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On the other hand, previous studies", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 93, + 319, + 470, + 334 + ], + "spans": [ + { + "bbox": [ + 93, + 323, + 99, + 332 + ], + "score": 1.0, + "content": "5", + "type": "text" + }, + { + "bbox": [ + 141, + 319, + 470, + 334 + ], + "score": 1.0, + "content": "under different observation spaces have strong assumptions that these two obser-", + "type": "text" + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 93, + 331, + 470, + 344 + ], + "spans": [ + { + "bbox": [ + 93, + 334, + 99, + 343 + ], + "score": 1.0, + "content": "6", + "type": "text" + }, + { + "bbox": [ + 141, + 331, + 470, + 344 + ], + "score": 1.0, + "content": "vation spaces coexist during the entire learning process. However, in reality, the", + "type": "text" + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 92, + 342, + 470, + 355 + ], + "spans": [ + { + "bbox": [ + 92, + 345, + 99, + 353 + ], + "score": 1.0, + "content": "7", + "type": "text" + }, + { + "bbox": [ + 141, + 342, + 470, + 355 + ], + "score": 1.0, + "content": "observation coexistence will be limited due to the high cost of acquiring expert", + "type": "text" + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 92, + 353, + 470, + 366 + ], + "spans": [ + { + "bbox": [ + 92, + 356, + 99, + 365 + ], + "score": 1.0, + "content": "8", + "type": "text" + }, + { + "bbox": [ + 142, + 353, + 470, + 366 + ], + "score": 1.0, + "content": "observations. In this work, we study this challenging problem with limited observa-", + "type": "text" + } + ], + "index": 14, + "is_list_start_line": true + }, + { + "bbox": [ + 92, + 364, + 470, + 376 + ], + "spans": [ + { + "bbox": [ + 92, + 367, + 99, + 375 + ], + "score": 1.0, + "content": "9", + "type": "text" + }, + { + "bbox": [ + 141, + 364, + 470, + 376 + ], + "score": 1.0, + "content": "tion coexistence under heterogeneous observations: Heterogeneously Observable", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 375, + 469, + 387 + ], + "spans": [ + { + "bbox": [ + 90, + 378, + 99, + 387 + ], + "score": 1.0, + "content": "10", + "type": "text" + }, + { + "bbox": [ + 141, + 375, + 469, + 387 + ], + "score": 1.0, + "content": "Imitation Learning (HOIL). We identify two underlying issues in HOIL, i.e., the", + "type": "text" + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 387, + 470, + 399 + ], + "spans": [ + { + "bbox": [ + 90, + 389, + 99, + 398 + ], + "score": 1.0, + "content": "11", + "type": "text" + }, + { + "bbox": [ + 142, + 387, + 470, + 399 + ], + "score": 1.0, + "content": "dynamics mismatch and the support mismatch, and further propose the Impor-", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 396, + 470, + 411 + ], + "spans": [ + { + "bbox": [ + 90, + 399, + 99, + 408 + ], + "score": 1.0, + "content": "12", + "type": "text" + }, + { + "bbox": [ + 140, + 396, + 470, + 411 + ], + "score": 1.0, + "content": "tance Weighting with REjection (IWRE) algorithm based on importance-weighting", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 408, + 469, + 420 + ], + "spans": [ + { + "bbox": [ + 90, + 410, + 99, + 419 + ], + "score": 1.0, + "content": "13", + "type": "text" + }, + { + "bbox": [ + 142, + 408, + 469, + 420 + ], + "score": 1.0, + "content": "and learning with rejection to solve HOIL problems. Experimental results show", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 417, + 470, + 433 + ], + "spans": [ + { + "bbox": [ + 90, + 421, + 99, + 430 + ], + "score": 1.0, + "content": "14", + "type": "text" + }, + { + "bbox": [ + 140, + 417, + 470, + 433 + ], + "score": 1.0, + "content": "that IWRE can successfully solve various HOIL tasks, including the challenging", + "type": "text" + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 429, + 469, + 443 + ], + "spans": [ + { + "bbox": [ + 90, + 432, + 99, + 441 + ], + "score": 1.0, + "content": "15", + "type": "text" + }, + { + "bbox": [ + 141, + 429, + 469, + 443 + ], + "score": 1.0, + "content": "tasks of transforming the vision-based demonstrations to random access memory", + "type": "text" + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 441, + 467, + 452 + ], + "spans": [ + { + "bbox": [ + 90, + 443, + 100, + 452 + ], + "score": 1.0, + "content": "16", + "type": "text" + }, + { + "bbox": [ + 142, + 441, + 467, + 452 + ], + "score": 1.0, + "content": "(RAM)-based policies in the Atari domain, even with limited visual observations.", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + } + ], + "index": 14.5, + "bbox_fs": [ + 90, + 277, + 470, + 452 + ] + }, + { + "type": "title", + "bbox": [ + 91, + 465, + 191, + 479 + ], + "lines": [ + { + "bbox": [ + 87, + 464, + 192, + 481 + ], + "spans": [ + { + "bbox": [ + 87, + 464, + 192, + 481 + ], + "score": 1.0, + "content": "17 1 Introduction", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "index", + "bbox": [ + 89, + 484, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 90, + 484, + 507, + 497 + ], + "spans": [ + { + "bbox": [ + 90, + 486, + 99, + 495 + ], + "score": 1.0, + "content": "18", + "type": "text" + }, + { + "bbox": [ + 105, + 484, + 507, + 497 + ], + "score": 1.0, + "content": "Imitation Learning (IL) studies how to learn a good policy by imitating the given expert demonstra-", + "type": "text" + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 90, + 497, + 99, + 506 + ], + "score": 1.0, + "content": "19", + "type": "text" + }, + { + "bbox": [ + 106, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "tions [16, 1], and has achieved great success in many domains such as autonomous driving [8], video", + "type": "text" + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 506, + 507, + 519 + ], + "spans": [ + { + "bbox": [ + 89, + 509, + 99, + 518 + ], + "score": 1.0, + "content": "20", + "type": "text" + }, + { + "bbox": [ + 104, + 506, + 507, + 519 + ], + "score": 1.0, + "content": "games [7], and continuous control [19]. In real-world IL applications, the expert and the learner", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 517, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 88, + 519, + 99, + 529 + ], + "score": 1.0, + "content": "21", + "type": "text" + }, + { + "bbox": [ + 106, + 517, + 506, + 530 + ], + "score": 1.0, + "content": "usually have their own observations of the same underlying states from the environment. For example,", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 527, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 88, + 530, + 99, + 540 + ], + "score": 1.0, + "content": "22", + "type": "text" + }, + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "score": 1.0, + "content": "in Figure 1, an autonomous agent is learning to drive by imitating a human expert. The expert takes", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 538, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 88, + 541, + 99, + 551 + ], + "score": 1.0, + "content": "23", + "type": "text" + }, + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "score": 1.0, + "content": "her actions mainly based on auditory and visual observations, which are familiar to human beings.", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 88, + 552, + 99, + 561 + ], + "score": 1.0, + "content": "24", + "type": "text" + }, + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "However, the learning agent does not necessarily use the same way to observe: it can utilize more", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 560, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 88, + 562, + 100, + 573 + ], + "score": 1.0, + "content": "25", + "type": "text" + }, + { + "bbox": [ + 105, + 560, + 505, + 573 + ], + "score": 1.0, + "content": "machine-capable sensors such as a LiDAR, radar, and bird-eye view (BEV) map to generate its", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 572, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 88, + 574, + 99, + 583 + ], + "score": 1.0, + "content": "26", + "type": "text" + }, + { + "bbox": [ + 106, + 572, + 505, + 584 + ], + "score": 1.0, + "content": "observations [20]. The key features behind this example are two-fold: First, both the expert and", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 581, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 88, + 585, + 99, + 594 + ], + "score": 1.0, + "content": "27", + "type": "text" + }, + { + "bbox": [ + 104, + 581, + 506, + 596 + ], + "score": 1.0, + "content": "the learner have their totally different observations of the same state of the environment. Thus they", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 89, + 596, + 99, + 605 + ], + "score": 1.0, + "content": "28", + "type": "text" + }, + { + "bbox": [ + 106, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "essentially have to choose the same action if acting optimally. Second, the observation space of the", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 89, + 606, + 99, + 616 + ], + "score": 1.0, + "content": "29", + "type": "text" + }, + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "expert is often of high cost for the learner to utilize [6, 10]. We call this problem Heterogeneously", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 616, + 268, + 627 + ], + "spans": [ + { + "bbox": [ + 89, + 618, + 100, + 627 + ], + "score": 1.0, + "content": "30", + "type": "text" + }, + { + "bbox": [ + 106, + 616, + 268, + 627 + ], + "score": 1.0, + "content": "Observable Imitation Learning (HOIL).", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 631, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 89, + 633, + 99, + 642 + ], + "score": 1.0, + "content": "31", + "type": "text" + }, + { + "bbox": [ + 105, + 631, + 505, + 644 + ], + "score": 1.0, + "content": "There are two lines of research studying the related problems. The first line relates to domain", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 643, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 89, + 645, + 100, + 654 + ], + "score": 1.0, + "content": "32", + "type": "text" + }, + { + "bbox": [ + 106, + 643, + 505, + 655 + ], + "score": 1.0, + "content": "adaptation: the observation space of the expert and the learner are the homogeneous, while some", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 653, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 89, + 656, + 100, + 665 + ], + "score": 1.0, + "content": "33", + "type": "text" + }, + { + "bbox": [ + 105, + 653, + 505, + 666 + ], + "score": 1.0, + "content": "typical mismatches of distributions could exist: morphological mismatch, viewpoint mismatch, and", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 663, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 88, + 666, + 101, + 677 + ], + "score": 1.0, + "content": "34", + "type": "text" + }, + { + "bbox": [ + 105, + 663, + 506, + 678 + ], + "score": 1.0, + "content": "dynamics mismatch [30, 17, 26]. However, these approaches are invalid when the observation spaces", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 675, + 350, + 689 + ], + "spans": [ + { + "bbox": [ + 89, + 678, + 100, + 687 + ], + "score": 1.0, + "content": "35", + "type": "text" + }, + { + "bbox": [ + 105, + 675, + 350, + 689 + ], + "score": 1.0, + "content": "for experts and learners are completely different as in HOIL.", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 691, + 505, + 704 + ], + "spans": [ + { + "bbox": [ + 89, + 694, + 100, + 703 + ], + "score": 1.0, + "content": "36", + "type": "text" + }, + { + "bbox": [ + 104, + 691, + 505, + 704 + ], + "score": 1.0, + "content": "The second line studied IL under different observations similar to HOIL, and some representative", + "type": "text" + } + ], + "index": 42, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 701, + 506, + 716 + ], + "spans": [ + { + "bbox": [ + 87, + 701, + 506, + 716 + ], + "score": 1.0, + "content": "37 works include Partially Observable Imitation Learning (POIL) [14, 36] and Learning by Cheating", + "type": "text" + } + ], + "index": 43, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 421, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 90, + 425, + 99, + 433 + ], + "score": 1.0, + "content": "38", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 421, + 506, + 435 + ], + "score": 1.0, + "content": "(LBC) [8], as depicted in Figure 2. Both POIL and LBC assume that the expert’s observations can", + "type": "text", + "cross_page": true + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 432, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 89, + 434, + 100, + 444 + ], + "score": 1.0, + "content": "39", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 432, + 505, + 445 + ], + "score": 1.0, + "content": "be easily accessed by the learner without any budget limit. However in practice, different from the", + "type": "text", + "cross_page": true + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 89, + 445, + 100, + 455 + ], + "score": 1.0, + "content": "40", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "learner observations, the access to expert’s observations might be of high cost and invasive [6, 10],", + "type": "text", + "cross_page": true + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 454, + 303, + 467 + ], + "spans": [ + { + "bbox": [ + 89, + 456, + 99, + 466 + ], + "score": 1.0, + "content": "41", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 454, + 303, + 467 + ], + "score": 1.0, + "content": "hindering the wide application of these methods.", + "type": "text", + "cross_page": true + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 89, + 473, + 99, + 482 + ], + "score": 1.0, + "content": "42", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "In this paper, we initialize the study of the HOIL problem. 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To tackle both two issues, we resort", + "type": "text", + "cross_page": true + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 502, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 89, + 506, + 100, + 515 + ], + "score": 1.0, + "content": "45", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 502, + 506, + 518 + ], + "score": 1.0, + "content": "to the techniques of importance-weighting [12] and learning with rejection [9, 15] for active querying", + "type": "text", + "cross_page": true + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 89, + 516, + 100, + 526 + ], + "score": 1.0, + "content": "46", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "to propose the Importance Weighting with REjection (IWRE) approach. 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Figures 1, 2 and 3 include some", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 227, + 405, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 405, + 241 + ], + "score": 1.0, + "content": "illustrations and pictures from the Internet (source: www.vecteezy.com).", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + } + ], + "index": 7.5 + }, + { + "type": "image", + "bbox": [ + 109, + 262, + 504, + 340 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 262, + 504, + 340 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 109, + 262, + 504, + 340 + ], + "spans": [ + { + "bbox": [ + 109, + 262, + 504, + 340 + ], + "score": 0.962, + "type": "image", + "image_path": "f4d372f2a7fe173e99bb6193ffb6f24f2fbf0a0b68b8a0c475b94f539b8abffb.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 109, + 262, + 504, + 288.0 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 109, + 288.0, + 504, + 314.0 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 109, + 314.0, + 504, + 340.0 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 346, + 505, + 415 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "score": 1.0, + "content": "Figure 2: Comparisons of different IL processes under different observation spaces. The targets are", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 357, + 504, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 150, + 371 + ], + "score": 1.0, + "content": "all to learn", + "type": "text" + }, + { + "bbox": [ + 151, + 359, + 162, + 369 + ], + "score": 0.84, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 357, + 412, + 371 + ], + "score": 1.0, + "content": "based on the second observation space with an auxiliary policy", + "type": "text" + }, + { + "bbox": [ + 412, + 359, + 424, + 369 + ], + "score": 0.85, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 357, + 504, + 371 + ], + "score": 1.0, + "content": "from corresponding", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 368, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 160, + 384 + ], + "score": 1.0, + "content": "roll-out data", + "type": "text" + }, + { + "bbox": [ + 160, + 369, + 171, + 381 + ], + "score": 0.85, + "content": "\\widetilde { \\tau }", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 368, + 189, + 384 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 190, + 369, + 199, + 381 + ], + "score": 0.78, + "content": "\\overline { { \\mathcal { T } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 368, + 506, + 384 + ], + "score": 1.0, + "content": ". (a) POIL mainly emphasized that the expert can view full observations,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 381, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 393 + ], + "score": 1.0, + "content": "while the observations for the learner are partial. (b) LBC assumed that the expert’s observations", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "contain more privileged information than the learner’s. Both POIL and LBC can observe expert’s", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 402, + 411, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 411, + 416 + ], + "score": 1.0, + "content": "observations all along. 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For the standard IL process, where the learner and the expert share the same", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 611, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 89, + 614, + 100, + 624 + ], + "score": 1.0, + "content": "53", + "type": "text" + }, + { + "bbox": [ + 105, + 611, + 506, + 626 + ], + "score": 1.0, + "content": "observation space, current state-of-the-art methods tend to learn the policy in an adversarial style [7],", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 622, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 89, + 626, + 100, + 635 + ], + "score": 1.0, + "content": "54", + "type": "text" + }, + { + "bbox": [ + 105, + 622, + 506, + 636 + ], + "score": 1.0, + "content": "like GAIL [16]. When considering the domain mismatch problem, i.e., Domain-Shifted IL (DSIL),", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 635, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 89, + 636, + 100, + 646 + ], + "score": 1.0, + "content": "55", + "type": "text" + }, + { + "bbox": [ + 106, + 635, + 506, + 647 + ], + "score": 1.0, + "content": "the research aims at addressing the static distributional shift of the optimal policies resulted from", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 89, + 647, + 100, + 657 + ], + "score": 1.0, + "content": "56", + "type": "text" + }, + { + "bbox": [ + 106, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "the environmental differences but still under homogeneous observation spaces. Stadie et al. [30],", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 89, + 658, + 100, + 668 + ], + "score": 1.0, + "content": "57", + "type": "text" + }, + { + "bbox": [ + 106, + 656, + 505, + 667 + ], + "score": 1.0, + "content": "Sermanet et al. [29], and Liu et al. [23] studied the situation where the demonstrations are in view", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 89, + 669, + 100, + 679 + ], + "score": 1.0, + "content": "58", + "type": "text" + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "of a third person. Kim et al. [19] and Kim et al. [18] addressed the IL problem with morphological", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 89, + 680, + 100, + 690 + ], + "score": 1.0, + "content": "59", + "type": "text" + }, + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "mismatch between the expert’s and learner’s environment. Stadie et al. [30], Tirinzoni et al. [32], and", + "type": "text" + } + ], + "index": 42, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 89, + 691, + 100, + 700 + ], + "score": 1.0, + "content": "60", + "type": "text" + }, + { + "bbox": [ + 106, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "Desai et al. [11] focused on the calibration for the mismatch between simulators and the real world", + "type": "text" + } + ], + "index": 43, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 89, + 702, + 100, + 712 + ], + "score": 1.0, + "content": "61", + "type": "text" + }, + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "through some transfer learning styles. There are two major differences between HOIL and DSIL:", + "type": "text" + } + ], + "index": 44, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 709, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 89, + 712, + 100, + 722 + ], + "score": 1.0, + "content": "62", + "type": "text" + }, + { + "bbox": [ + 105, + 709, + 506, + 724 + ], + "score": 1.0, + "content": "One is that HOIL considers heterogeneous observation spaces instead of homogeneous ones; another", + "type": "text" + } + ], + "index": 45, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 71, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 89, + 74, + 100, + 84 + ], + "score": 1.0, + "content": "63", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 71, + 506, + 85 + ], + "score": 1.0, + "content": "is that without observation heterogeneity, DSIL can directly align two fixed domains, which may", + "type": "text", + "cross_page": true + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 83, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 89, + 86, + 100, + 95 + ], + "score": 1.0, + "content": "64", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 83, + 506, + 95 + ], + "score": 1.0, + "content": "not be realistic for solving HOIL when two observation spaces are totally different. Thus HOIL is a", + "type": "text", + "cross_page": true + } + ], + "index": 1, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 89, + 96, + 100, + 106 + ], + "score": 1.0, + "content": "65", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "significantly more challenging problem than DSIL. Besides, Chen et al. [8] learned a vision-based", + "type": "text", + "cross_page": true + } + ], + "index": 2, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 89, + 108, + 100, + 118 + ], + "score": 1.0, + "content": "66", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "agent from a privileged expert. But it can obtain expert’s observations throughout the whole learning", + "type": "text", + "cross_page": true + } + ], + "index": 3, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 116, + 422, + 128 + ], + "spans": [ + { + "bbox": [ + 89, + 118, + 100, + 128 + ], + "score": 1.0, + "content": "67", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 116, + 422, + 128 + ], + "score": 1.0, + "content": "process, so it cannot handle the problem of the support mismatch under HOIL.", + "type": "text", + "cross_page": true + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 91, + 130, + 506, + 142 + ], + "spans": [ + { + "bbox": [ + 91, + 133, + 99, + 141 + ], + "score": 1.0, + "content": "68", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 130, + 506, + 142 + ], + "score": 1.0, + "content": "POMDP. The problem of POMDPs, in which only partial observations are available for the agent(s),", + "type": "text", + "cross_page": true + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 91, + 141, + 506, + 153 + ], + "spans": [ + { + "bbox": [ + 91, + 144, + 99, + 151 + ], + "score": 1.0, + "content": "69", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 141, + 506, + 153 + ], + "score": 1.0, + "content": "has been studied in the context of multi-agent [25, 36] and imitation learning [14, 36] problems.", + "type": "text", + "cross_page": true + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 91, + 151, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 91, + 155, + 99, + 162 + ], + "score": 1.0, + "content": "70", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 151, + 505, + 163 + ], + "score": 1.0, + "content": "But distinct from HOIL, in a POMDP, the learner only have partial observations and share a same", + "type": "text", + "cross_page": true + } + ], + "index": 7, + "is_list_start_line": true + }, + { + "bbox": [ + 91, + 163, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 91, + 165, + 99, + 173 + ], + "score": 1.0, + "content": "71", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 163, + 505, + 174 + ], + "score": 1.0, + "content": "underlying observation space with the expert, which would become an obstacle for them to make", + "type": "text", + "cross_page": true + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 91, + 173, + 506, + 187 + ], + "spans": [ + { + "bbox": [ + 91, + 176, + 99, + 185 + ], + "score": 1.0, + "content": "72", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 173, + 506, + 187 + ], + "score": 1.0, + "content": "decisions correctly. For example, Warrington et al. [36] assumed that the observation of the learner", + "type": "text", + "cross_page": true + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 91, + 185, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 91, + 187, + 99, + 196 + ], + "score": 1.0, + "content": "73", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 185, + 505, + 196 + ], + "score": 1.0, + "content": "is partial than that of the expert. Instead, in HOIL, expert’s and learner’s observations are totally", + "type": "text", + "cross_page": true + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 91, + 195, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 91, + 198, + 99, + 206 + ], + "score": 1.0, + "content": "74", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 195, + 505, + 207 + ], + "score": 1.0, + "content": "different from each other, while the learner’s observations are not belong to a part of the expert’s. For", + "type": "text", + "cross_page": true + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 91, + 205, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 91, + 209, + 99, + 217 + ], + "score": 1.0, + "content": "75", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 205, + 505, + 219 + ], + "score": 1.0, + "content": "HOIL, the main challenge is to deal with the mismatches between the observation spaces, especially", + "type": "text", + "cross_page": true + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 92, + 217, + 342, + 230 + ], + "spans": [ + { + "bbox": [ + 92, + 220, + 99, + 228 + ], + "score": 1.0, + "content": "76", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 217, + 342, + 230 + ], + "score": 1.0, + "content": "when the access to expert’s observations is strictly limited.", + "type": "text", + "cross_page": true + } + ], + "index": 13, + "is_list_start_line": true + } + ], + "index": 40, + "bbox_fs": [ + 89, + 601, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 90, + 73, + 505, + 127 + ], + "lines": [ + { + "bbox": [ + 89, + 71, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 89, + 74, + 100, + 84 + ], + "score": 1.0, + "content": "63", + "type": "text" + }, + { + "bbox": [ + 104, + 71, + 506, + 85 + ], + "score": 1.0, + "content": "is that without observation heterogeneity, DSIL can directly align two fixed domains, which may", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 89, + 83, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 89, + 86, + 100, + 95 + ], + "score": 1.0, + "content": "64", + "type": "text" + }, + { + "bbox": [ + 105, + 83, + 506, + 95 + ], + "score": 1.0, + "content": "not be realistic for solving HOIL when two observation spaces are totally different. Thus HOIL is a", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 89, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 89, + 96, + 100, + 106 + ], + "score": 1.0, + "content": "65", + "type": "text" + }, + { + "bbox": [ + 104, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "significantly more challenging problem than DSIL. Besides, Chen et al. [8] learned a vision-based", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 89, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 89, + 108, + 100, + 118 + ], + "score": 1.0, + "content": "66", + "type": "text" + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "agent from a privileged expert. But it can obtain expert’s observations throughout the whole learning", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 89, + 116, + 422, + 128 + ], + "spans": [ + { + "bbox": [ + 89, + 118, + 100, + 128 + ], + "score": 1.0, + "content": "67", + "type": "text" + }, + { + "bbox": [ + 104, + 116, + 422, + 128 + ], + "score": 1.0, + "content": "process, so it cannot handle the problem of the support mismatch under HOIL.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 93, + 129, + 505, + 229 + ], + "lines": [ + { + "bbox": [ + 91, + 130, + 506, + 142 + ], + "spans": [ + { + "bbox": [ + 91, + 133, + 99, + 141 + ], + "score": 1.0, + "content": "68", + "type": "text" + }, + { + "bbox": [ + 105, + 130, + 506, + 142 + ], + "score": 1.0, + "content": "POMDP. The problem of POMDPs, in which only partial observations are available for the agent(s),", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 91, + 141, + 506, + 153 + ], + "spans": [ + { + "bbox": [ + 91, + 144, + 99, + 151 + ], + "score": 1.0, + "content": "69", + "type": "text" + }, + { + "bbox": [ + 105, + 141, + 506, + 153 + ], + "score": 1.0, + "content": "has been studied in the context of multi-agent [25, 36] and imitation learning [14, 36] problems.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 91, + 151, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 91, + 155, + 99, + 162 + ], + "score": 1.0, + "content": "70", + "type": "text" + }, + { + "bbox": [ + 105, + 151, + 505, + 163 + ], + "score": 1.0, + "content": "But distinct from HOIL, in a POMDP, the learner only have partial observations and share a same", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 91, + 163, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 91, + 165, + 99, + 173 + ], + "score": 1.0, + "content": "71", + "type": "text" + }, + { + "bbox": [ + 106, + 163, + 505, + 174 + ], + "score": 1.0, + "content": "underlying observation space with the expert, which would become an obstacle for them to make", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 91, + 173, + 506, + 187 + ], + "spans": [ + { + "bbox": [ + 91, + 176, + 99, + 185 + ], + "score": 1.0, + "content": "72", + "type": "text" + }, + { + "bbox": [ + 105, + 173, + 506, + 187 + ], + "score": 1.0, + "content": "decisions correctly. For example, Warrington et al. [36] assumed that the observation of the learner", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 91, + 185, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 91, + 187, + 99, + 196 + ], + "score": 1.0, + "content": "73", + "type": "text" + }, + { + "bbox": [ + 105, + 185, + 505, + 196 + ], + "score": 1.0, + "content": "is partial than that of the expert. Instead, in HOIL, expert’s and learner’s observations are totally", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 91, + 195, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 91, + 198, + 99, + 206 + ], + "score": 1.0, + "content": "74", + "type": "text" + }, + { + "bbox": [ + 105, + 195, + 505, + 207 + ], + "score": 1.0, + "content": "different from each other, while the learner’s observations are not belong to a part of the expert’s. For", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 91, + 205, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 91, + 209, + 99, + 217 + ], + "score": 1.0, + "content": "75", + "type": "text" + }, + { + "bbox": [ + 105, + 205, + 505, + 219 + ], + "score": 1.0, + "content": "HOIL, the main challenge is to deal with the mismatches between the observation spaces, especially", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 92, + 217, + 342, + 230 + ], + "spans": [ + { + "bbox": [ + 92, + 220, + 99, + 228 + ], + "score": 1.0, + "content": "76", + "type": "text" + }, + { + "bbox": [ + 105, + 217, + 342, + 230 + ], + "score": 1.0, + "content": "when the access to expert’s observations is strictly limited.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9 + }, + { + "type": "title", + "bbox": [ + 108, + 237, + 227, + 251 + ], + "lines": [ + { + "bbox": [ + 105, + 236, + 228, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 228, + 253 + ], + "score": 1.0, + "content": "3 The HOIL Problem", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 256, + 504, + 279 + ], + "lines": [ + { + "bbox": [ + 105, + 254, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 506, + 270 + ], + "score": 1.0, + "content": "In this section, we first give a formal definition of the HOIL setting, and then introduce the learning", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 267, + 264, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 264, + 280 + ], + "score": 1.0, + "content": "process for solving the HOIL problem.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5 + }, + { + "type": "title", + "bbox": [ + 106, + 285, + 208, + 297 + ], + "lines": [ + { + "bbox": [ + 104, + 284, + 209, + 300 + ], + "spans": [ + { + "bbox": [ + 104, + 284, + 209, + 300 + ], + "score": 1.0, + "content": "3.1 Setting Definition", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 101, + 300, + 505, + 421 + ], + "lines": [ + { + "bbox": [ + 105, + 299, + 506, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 506, + 312 + ], + "score": 1.0, + "content": "A HOIL problem is defined within a Markov decision process with mutiple observation spaces, i.e.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 107, + 310, + 504, + 324 + ], + "spans": [ + { + "bbox": [ + 107, + 311, + 179, + 323 + ], + "score": 0.92, + "content": "\\langle \\mathcal { S } , \\{ \\mathcal { O } \\} , \\mathcal { A } , \\mathcal { P } , \\gamma \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 310, + 212, + 324 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 212, + 311, + 221, + 321 + ], + "score": 0.79, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 310, + 322, + 324 + ], + "score": 1.0, + "content": "denotes the state space,", + "type": "text" + }, + { + "bbox": [ + 322, + 311, + 342, + 323 + ], + "score": 0.92, + "content": "\\{ \\mathcal { O } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 310, + 495, + 324 + ], + "score": 1.0, + "content": "denotes a set of observation spaces,", + "type": "text" + }, + { + "bbox": [ + 495, + 311, + 504, + 321 + ], + "score": 0.72, + "content": "\\mathcal { A }", + "type": "inline_equation" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 212, + 334 + ], + "score": 1.0, + "content": "denotes the action space,", + "type": "text" + }, + { + "bbox": [ + 213, + 322, + 304, + 332 + ], + "score": 0.91, + "content": "\\mathcal { P } : \\mathcal { S } \\times \\mathcal { A } \\times \\mathcal { S } \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 321, + 505, + 334 + ], + "score": 1.0, + "content": "denotes the transition probability distribution of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 332, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 332, + 209, + 345 + ], + "score": 1.0, + "content": "the state and action, and", + "type": "text" + }, + { + "bbox": [ + 209, + 333, + 252, + 344 + ], + "score": 0.91, + "content": "\\gamma \\in ( 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 332, + 463, + 345 + ], + "score": 1.0, + "content": "denotes the discount factor. Furthermore, a policy", + "type": "text" + }, + { + "bbox": [ + 463, + 335, + 470, + 343 + ], + "score": 0.76, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 332, + 506, + 345 + ], + "score": 1.0, + "content": "over an", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 343, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 181, + 356 + ], + "score": 1.0, + "content": "observation space", + "type": "text" + }, + { + "bbox": [ + 182, + 344, + 191, + 354 + ], + "score": 0.81, + "content": "\\mathcal { O }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 343, + 350, + 356 + ], + "score": 1.0, + "content": "is defined as a function mapping from", + "type": "text" + }, + { + "bbox": [ + 350, + 344, + 360, + 353 + ], + "score": 0.81, + "content": "\\mathcal { O }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 343, + 371, + 356 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 372, + 344, + 381, + 353 + ], + "score": 0.8, + "content": "\\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 343, + 459, + 356 + ], + "score": 1.0, + "content": ", and we denote by", + "type": "text" + }, + { + "bbox": [ + 459, + 344, + 474, + 355 + ], + "score": 0.87, + "content": "\\Pi _ { \\mathcal { O } }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 343, + 506, + 356 + ], + "score": 1.0, + "content": "the set", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 353, + 507, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 184, + 367 + ], + "score": 1.0, + "content": "of all policies over", + "type": "text" + }, + { + "bbox": [ + 185, + 355, + 194, + 364 + ], + "score": 0.62, + "content": "\\mathcal { O }", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 353, + 507, + 367 + ], + "score": 1.0, + "content": ". In HOIL, both the expert and the learner have their own observation spaces,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 364, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 196, + 379 + ], + "score": 1.0, + "content": "which are denoted as", + "type": "text" + }, + { + "bbox": [ + 196, + 366, + 211, + 376 + ], + "score": 0.9, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 364, + 230, + 379 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 231, + 366, + 245, + 376 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 364, + 324, + 379 + ], + "score": 1.0, + "content": "respectively. Both", + "type": "text" + }, + { + "bbox": [ + 325, + 366, + 340, + 376 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 364, + 358, + 379 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 359, + 366, + 373, + 376 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 364, + 505, + 379 + ], + "score": 1.0, + "content": "are assumed to be produced by", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 204, + 389 + ], + "score": 1.0, + "content": "two bijective mappings", + "type": "text" + }, + { + "bbox": [ + 205, + 377, + 263, + 388 + ], + "score": 0.63, + "content": "f _ { \\mathrm { E } } : S \\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 376, + 267, + 389 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 267, + 377, + 323, + 388 + ], + "score": 0.7, + "content": "f _ { \\mathrm { L } } : S \\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 376, + 505, + 389 + ], + "score": 1.0, + "content": ", which are unknown functions mapping the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 386, + 506, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 506, + 400 + ], + "score": 1.0, + "content": "underlying true states to the observations. It is obvious to see that by this assumption, any policy over", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 107, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 107, + 398, + 122, + 409 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 398, + 259, + 411 + ], + "score": 1.0, + "content": "has a unique correspondence over", + "type": "text" + }, + { + "bbox": [ + 259, + 398, + 273, + 409 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 398, + 505, + 411 + ], + "score": 1.0, + "content": ". This makes HOIL possible since the target of HOIL is to", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 408, + 350, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 331, + 422 + ], + "score": 1.0, + "content": "find the corresponding policy of the expert policy under", + "type": "text" + }, + { + "bbox": [ + 331, + 410, + 345, + 420 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 408, + 350, + 422 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 88, + 425, + 506, + 529 + ], + "lines": [ + { + "bbox": [ + 89, + 424, + 504, + 438 + ], + "spans": [ + { + "bbox": [ + 89, + 427, + 100, + 437 + ], + "score": 1.0, + "content": "92", + "type": "text" + }, + { + "bbox": [ + 104, + 424, + 184, + 438 + ], + "score": 1.0, + "content": "A state-action pair", + "type": "text" + }, + { + "bbox": [ + 184, + 425, + 206, + 437 + ], + "score": 0.9, + "content": "( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 424, + 257, + 438 + ], + "score": 1.0, + "content": ", denoted by", + "type": "text" + }, + { + "bbox": [ + 258, + 428, + 264, + 435 + ], + "score": 0.74, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 424, + 428, + 438 + ], + "score": 1.0, + "content": ", is called an instance. Also, a trajectory", + "type": "text" + }, + { + "bbox": [ + 428, + 425, + 504, + 437 + ], + "score": 0.9, + "content": "\\mathcal { T } = \\{ x _ { i } \\} , i \\in [ m ]", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 89, + 436, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 89, + 440, + 99, + 450 + ], + "score": 1.0, + "content": "93", + "type": "text" + }, + { + "bbox": [ + 105, + 437, + 150, + 451 + ], + "score": 1.0, + "content": "is a set of", + "type": "text" + }, + { + "bbox": [ + 150, + 441, + 160, + 448 + ], + "score": 0.74, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 437, + 324, + 451 + ], + "score": 1.0, + "content": "instances. For each observation space,", + "type": "text" + }, + { + "bbox": [ + 324, + 436, + 403, + 450 + ], + "score": 0.93, + "content": "\\boldsymbol { \\widetilde { x } } \\in \\mathcal { \\widetilde { T } } \\subseteq \\mathcal { O } _ { \\mathrm { E } } \\times \\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 437, + 423, + 451 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 423, + 438, + 502, + 450 + ], + "score": 0.9, + "content": "\\overline { { x } } \\in \\overline { { \\mathcal { T } } } \\subseteq \\mathcal { O } _ { \\mathrm { L } } \\times \\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 437, + 506, + 451 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 89, + 449, + 504, + 461 + ], + "spans": [ + { + "bbox": [ + 89, + 451, + 100, + 461 + ], + "score": 1.0, + "content": "94", + "type": "text" + }, + { + "bbox": [ + 105, + 449, + 133, + 461 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 449, + 186, + 461 + ], + "score": 0.93, + "content": "\\mathcal { O } _ { \\mathrm { E } } = f _ { \\mathrm { E } } ( \\boldsymbol { S } )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 449, + 205, + 461 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 205, + 449, + 257, + 461 + ], + "score": 0.91, + "content": "\\mathcal { O } _ { \\mathrm { L } } = f _ { \\mathrm { L } } ( \\mathcal { S } )", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 449, + 497, + 461 + ], + "score": 1.0, + "content": "e. 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If", + "type": "text" + }, + { + "bbox": [ + 461, + 486, + 502, + 496 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } } = \\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 483, + 507, + 499 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 89, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 89, + 498, + 100, + 507 + ], + "score": 1.0, + "content": "98", + "type": "text" + }, + { + "bbox": [ + 106, + 495, + 228, + 507 + ], + "score": 1.0, + "content": "HOIL degenerates to standard", + "type": "text" + }, + { + "bbox": [ + 229, + 496, + 240, + 506 + ], + "score": 0.37, + "content": "\\mathrm { I L }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 495, + 404, + 507 + ], + "score": 1.0, + "content": ". 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The objective of GAIL is", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33 + }, + { + "type": "interline_equation", + "bbox": [ + 171, + 532, + 439, + 550 + ], + "lines": [ + { + "bbox": [ + 171, + 532, + 439, + 550 + ], + "spans": [ + { + "bbox": [ + 171, + 532, + 439, + 550 + ], + "score": 0.89, + "content": "\\operatorname* { m i n } _ { \\hat { \\pi } } \\operatorname* { m a x } _ { w } \\mathbb { E } _ { { x } \\sim { \\rho } _ { \\pi _ { \\mathrm { E } } } } [ \\log D _ { w } ( \\widetilde { x } ) ] + \\mathbb { E } _ { { x } \\sim { \\rho } _ { \\hat { \\pi } } } [ \\log ( 1 - D _ { w } ( \\widetilde { x } ) ) ] - \\mathbb { H } ( \\hat { \\pi } ) ,", + "type": "interline_equation", + "image_path": "555b3d9d3b633ea71021e713b3de017c423abb5af669c970a3d5f2657a14b379.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 171, + 532, + 439, + 550 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 87, + 553, + 505, + 598 + ], + "lines": [ + { + "bbox": [ + 86, + 552, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 86, + 555, + 99, + 565 + ], + "score": 1.0, + "content": "101", + "type": "text" + }, + { + "bbox": [ + 105, + 552, + 133, + 567 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 553, + 155, + 565 + ], + "score": 0.91, + "content": "\\mathbb { H } ( \\hat { \\pi } )", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 552, + 401, + 567 + ], + "score": 1.0, + "content": "is the causal entropy performed as a regularization term, and", + "type": "text" + }, + { + "bbox": [ + 401, + 553, + 494, + 565 + ], + "score": 0.9, + "content": "D _ { w } : { \\mathcal { O } } _ { \\mathrm { E } } \\times A \\to [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 552, + 505, + 567 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 86, + 564, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 86, + 566, + 100, + 576 + ], + "score": 1.0, + "content": "102", + "type": "text" + }, + { + "bbox": [ + 106, + 564, + 189, + 577 + ], + "score": 1.0, + "content": "the discriminator of", + "type": "text" + }, + { + "bbox": [ + 189, + 565, + 202, + 575 + ], + "score": 0.88, + "content": "\\pi _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 564, + 220, + 577 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 220, + 565, + 227, + 574 + ], + "score": 0.84, + "content": "\\hat { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 564, + 505, + 577 + ], + "score": 1.0, + "content": ". 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give a formal definition of the HOIL setting, and then introduce the learning", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 267, + 264, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 264, + 280 + ], + "score": 1.0, + "content": "process for solving the HOIL problem.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 254, + 506, + 280 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 285, + 208, + 297 + ], + "lines": [ + { + "bbox": [ + 104, + 284, + 209, + 300 + ], + "spans": [ + { + "bbox": [ + 104, + 284, + 209, + 300 + ], + "score": 1.0, + "content": "3.1 Setting Definition", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 101, + 300, + 505, + 421 + ], + "lines": [ + { + "bbox": [ + 105, + 299, + 506, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 506, + 312 + ], + "score": 1.0, + "content": "A HOIL problem is defined within a Markov decision process with mutiple observation spaces, i.e.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 107, + 310, + 504, + 324 + ], + "spans": [ + { + "bbox": [ + 107, + 311, + 179, + 323 + ], + "score": 0.92, + "content": "\\langle \\mathcal { S } , \\{ \\mathcal { O } \\} , \\mathcal { A } , \\mathcal { P } , \\gamma \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 310, + 212, + 324 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 212, + 311, + 221, + 321 + ], + "score": 0.79, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 310, + 322, + 324 + ], + "score": 1.0, + "content": "denotes the state space,", + "type": "text" + }, + { + "bbox": [ + 322, + 311, + 342, + 323 + ], + "score": 0.92, + "content": "\\{ \\mathcal { O } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 310, + 495, + 324 + ], + "score": 1.0, + "content": "denotes a set of observation spaces,", + 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Also, a trajectory", + "type": "text" + }, + { + "bbox": [ + 428, + 425, + 504, + 437 + ], + "score": 0.9, + "content": "\\mathcal { T } = \\{ x _ { i } \\} , i \\in [ m ]", + "type": "inline_equation" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 436, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 89, + 440, + 99, + 450 + ], + "score": 1.0, + "content": "93", + "type": "text" + }, + { + "bbox": [ + 105, + 437, + 150, + 451 + ], + "score": 1.0, + "content": "is a set of", + "type": "text" + }, + { + "bbox": [ + 150, + 441, + 160, + 448 + ], + "score": 0.74, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 437, + 324, + 451 + ], + "score": 1.0, + "content": "instances. For each observation space,", + "type": "text" + }, + { + "bbox": [ + 324, + 436, + 403, + 450 + ], + "score": 0.93, + "content": "\\boldsymbol { \\widetilde { x } } \\in \\mathcal { \\widetilde { T } } \\subseteq \\mathcal { O } _ { \\mathrm { E } } \\times \\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 437, + 423, + 451 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 423, + 438, + 502, + 450 + ], + "score": 0.9, + "content": "\\overline { { x } } \\in \\overline { { \\mathcal { T } } } \\subseteq \\mathcal { O } _ { \\mathrm { L } } \\times \\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 437, + 506, + 451 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 449, + 504, + 461 + ], + "spans": [ + { + "bbox": [ + 89, + 451, + 100, + 461 + ], + "score": 1.0, + "content": "94", + "type": "text" + }, + { + "bbox": [ + 105, + 449, + 133, + 461 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 449, + 186, + 461 + ], + "score": 0.93, + "content": "\\mathcal { O } _ { \\mathrm { E } } = f _ { \\mathrm { E } } ( \\boldsymbol { S } )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 449, + 205, + 461 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 205, + 449, + 257, + 461 + ], + "score": 0.91, + "content": "\\mathcal { O } _ { \\mathrm { L } } = f _ { \\mathrm { L } } ( \\mathcal { S } )", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 449, + 497, + 461 + ], + "score": 1.0, + "content": "e. 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If", + "type": "text" + }, + { + "bbox": [ + 461, + 486, + 502, + 496 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } } = \\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 483, + 507, + 499 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 89, + 498, + 100, + 507 + ], + "score": 1.0, + "content": "98", + "type": "text" + }, + { + "bbox": [ + 106, + 495, + 228, + 507 + ], + "score": 1.0, + "content": "HOIL degenerates to standard", + "type": "text" + }, + { + "bbox": [ + 229, + 496, + 240, + 506 + ], + "score": 0.37, + "content": "\\mathrm { I L }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 495, + 404, + 507 + ], + "score": 1.0, + "content": ". GAIL [16] is one of the state-of-the-art", + "type": "text" + }, + { + "bbox": [ + 404, + 497, + 415, + 506 + ], + "score": 0.61, + "content": "\\mathrm { I L }", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "approaches under this", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 504, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 89, + 509, + 100, + 518 + ], + "score": 1.0, + "content": "99", + "type": "text" + }, + { + "bbox": [ + 105, + 504, + 505, + 521 + ], + "score": 1.0, + "content": "situation, which tries to minimize the divergence between the learner’s and the expert’s occupancy", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 517, + 299, + 530 + ], + "spans": [ + { + "bbox": [ + 87, + 520, + 100, + 529 + ], + "score": 1.0, + "content": "100", + "type": "text" + }, + { + "bbox": [ + 104, + 517, + 146, + 530 + ], + "score": 1.0, + "content": "measures", + "type": "text" + }, + { + "bbox": [ + 146, + 518, + 190, + 530 + ], + "score": 0.92, + "content": "d ( \\rho _ { \\hat { \\pi } } , \\rho _ { \\pi _ { \\mathrm { E } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 517, + 299, + 530 + ], + "score": 1.0, + "content": ". The objective of GAIL is", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + } + ], + "index": 33, + "bbox_fs": [ + 87, + 424, + 507, + 530 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 171, + 532, + 439, + 550 + ], + "lines": [ + { + "bbox": [ + 171, + 532, + 439, + 550 + ], + "spans": [ + { + "bbox": [ + 171, + 532, + 439, + 550 + ], + "score": 0.89, + "content": "\\operatorname* { m i n } _ { \\hat { \\pi } } \\operatorname* { m a x } _ { w } \\mathbb { E } _ { { x } \\sim { \\rho } _ { \\pi _ { \\mathrm { E } } } } [ \\log D _ { w } ( \\widetilde { x } ) ] + \\mathbb { E } _ { { x } \\sim { \\rho } _ { \\hat { \\pi } } } [ \\log ( 1 - D _ { w } ( \\widetilde { x } ) ) ] - \\mathbb { H } ( \\hat { \\pi } ) ,", + "type": "interline_equation", + "image_path": "555b3d9d3b633ea71021e713b3de017c423abb5af669c970a3d5f2657a14b379.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 171, + 532, + 439, + 550 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "index", + "bbox": [ + 87, + 553, + 505, + 598 + ], + "lines": [ + { + "bbox": [ + 86, + 552, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 86, + 555, + 99, + 565 + ], + "score": 1.0, + "content": "101", + "type": "text" + }, + { + "bbox": [ + 105, + 552, + 133, + 567 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 553, + 155, + 565 + ], + "score": 0.91, + "content": "\\mathbb { H } ( \\hat { \\pi } )", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 552, + 401, + 567 + ], + "score": 1.0, + "content": "is the causal entropy performed as a regularization term, and", + "type": "text" + }, + { + "bbox": [ + 401, + 553, + 494, + 565 + ], + "score": 0.9, + "content": "D _ { w } : { \\mathcal { O } } _ { \\mathrm { E } } \\times A \\to [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 552, + 505, + 567 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 564, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 86, + 566, + 100, + 576 + ], + "score": 1.0, + "content": "102", + "type": "text" + }, + { + "bbox": [ + 106, + 564, + 189, + 577 + ], + "score": 1.0, + "content": "the discriminator of", + "type": "text" + }, + { + "bbox": [ + 189, + 565, + 202, + 575 + ], + "score": 0.88, + "content": "\\pi _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 564, + 220, + 577 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 220, + 565, + 227, + 574 + ], + "score": 0.84, + "content": "\\hat { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 564, + 505, + 577 + ], + "score": 1.0, + "content": ". GAIL solved Equation (1) by alternatively taking a gradient ascent", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 86, + 577, + 99, + 587 + ], + "score": 1.0, + "content": "103", + "type": "text" + }, + { + "bbox": [ + 106, + 575, + 223, + 587 + ], + "score": 1.0, + "content": "step to train the discriminator", + "type": "text" + }, + { + "bbox": [ + 224, + 576, + 239, + 586 + ], + "score": 0.89, + "content": "D _ { w }", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 575, + 397, + 587 + ], + "score": 1.0, + "content": ", and a minimization step to learn policy", + "type": "text" + }, + { + "bbox": [ + 397, + 576, + 405, + 585 + ], + "score": 0.82, + "content": "\\hat { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "based on an off-the-shelf", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 585, + 316, + 600 + ], + "spans": [ + { + "bbox": [ + 87, + 588, + 99, + 597 + ], + "score": 1.0, + "content": "104", + "type": "text" + }, + { + "bbox": [ + 105, + 585, + 259, + 600 + ], + "score": 1.0, + "content": "RL algorithm with the pseudo reward", + "type": "text" + }, + { + "bbox": [ + 259, + 586, + 311, + 598 + ], + "score": 0.91, + "content": "- \\log D _ { w } ( \\widetilde { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 585, + 316, + 600 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 42, + "is_list_start_line": true + } + ], + "index": 40.5, + "bbox_fs": [ + 86, + 552, + 505, + 600 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 604, + 300, + 616 + ], + "lines": [ + { + "bbox": [ + 105, + 603, + 302, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 302, + 618 + ], + "score": 1.0, + "content": "3.2 The Learning Process for Solving HOIL", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "index", + "bbox": [ + 87, + 624, + 505, + 658 + ], + "lines": [ + { + "bbox": [ + 86, + 624, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 86, + 626, + 100, + 636 + ], + "score": 1.0, + "content": "106", + "type": "text" + }, + { + "bbox": [ + 104, + 624, + 505, + 637 + ], + "score": 1.0, + "content": "In HOIL, we need to cope with the absence of the learner’s observations in demonstrations and the", + "type": "text" + } + ], + "index": 44, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 635, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 86, + 637, + 100, + 647 + ], + "score": 1.0, + "content": "107", + "type": "text" + }, + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "score": 1.0, + "content": "high cost of collecting the expert’s observations while learning. So we introduce a learning process", + "type": "text" + } + ], + "index": 45, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 646, + 507, + 658 + ], + "spans": [ + { + "bbox": [ + 86, + 649, + 100, + 658 + ], + "score": 1.0, + "content": "108", + "type": "text" + }, + { + "bbox": [ + 105, + 646, + 507, + 658 + ], + "score": 1.0, + "content": "with pretraining across two different observation spaces for solving HOIL, as abstracted in Figure 3.", + "type": "text" + } + ], + "index": 46, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 662, + 506, + 675 + ], + "spans": [ + { + "bbox": [ + 86, + 664, + 99, + 674 + ], + "score": 1.0, + "content": "109", + "type": "text" + }, + { + "bbox": [ + 105, + 662, + 429, + 675 + ], + "score": 1.0, + "content": "Pretraining. Same to LBC [8], we assume that we can obtain an auxiliary policy", + "type": "text" + }, + { + "bbox": [ + 429, + 664, + 441, + 673 + ], + "score": 0.85, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 662, + 479, + 675 + ], + "score": 1.0, + "content": "based on", + "type": "text" + }, + { + "bbox": [ + 479, + 663, + 494, + 673 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 662, + 506, + 675 + ], + "score": 1.0, + "content": "at", + "type": "text" + } + ], + "index": 47, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 672, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 86, + 675, + 99, + 685 + ], + "score": 1.0, + "content": "110", + "type": "text" + }, + { + "bbox": [ + 105, + 672, + 167, + 687 + ], + "score": 1.0, + "content": "the beginning.", + "type": "text" + }, + { + "bbox": [ + 167, + 675, + 178, + 685 + ], + "score": 0.85, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 672, + 505, + 687 + ], + "score": 1.0, + "content": "can be directly provided by any sources, or trained by GAIL or behavior cloning", + "type": "text" + } + ], + "index": 48, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 684, + 505, + 697 + ], + "spans": [ + { + "bbox": [ + 86, + 686, + 99, + 696 + ], + "score": 1.0, + "content": "111", + "type": "text" + }, + { + "bbox": [ + 105, + 684, + 255, + 697 + ], + "score": 1.0, + "content": "as did in LBC. Besides, we use this", + "type": "text" + }, + { + "bbox": [ + 255, + 686, + 266, + 695 + ], + "score": 0.84, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 684, + 354, + 697 + ], + "score": 1.0, + "content": "to sample some data", + "type": "text" + }, + { + "bbox": [ + 354, + 685, + 369, + 696 + ], + "score": 0.9, + "content": "\\mathcal { T } _ { \\pi _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 684, + 505, + 697 + ], + "score": 1.0, + "content": ", which contain both observation", + "type": "text" + } + ], + "index": 49, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 695, + 507, + 710 + ], + "spans": [ + { + "bbox": [ + 86, + 699, + 99, + 709 + ], + "score": 1.0, + "content": "112", + "type": "text" + }, + { + "bbox": [ + 106, + 697, + 132, + 710 + ], + "score": 1.0, + "content": "under", + "type": "text" + }, + { + "bbox": [ + 132, + 697, + 147, + 708 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 697, + 169, + 710 + ], + "score": 1.0, + "content": "(i.e.,", + "type": "text" + }, + { + "bbox": [ + 169, + 695, + 185, + 709 + ], + "score": 0.8, + "content": "\\widetilde { \\mathcal { T } } _ { \\pi _ { 1 } } .", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 697, + 207, + 710 + ], + "score": 1.0, + "content": ") and", + "type": "text" + }, + { + "bbox": [ + 207, + 697, + 221, + 708 + ], + "score": 0.87, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 697, + 243, + 710 + ], + "score": 1.0, + "content": "(i.e.,", + "type": "text" + }, + { + "bbox": [ + 243, + 696, + 261, + 709 + ], + "score": 0.89, + "content": "\\overline { { \\mathcal { T } } } _ { \\pi _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 697, + 507, + 710 + ], + "score": 1.0, + "content": "), in order to connect these two different observation spaces.", + "type": "text" + } + ], + "index": 50, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 709, + 285, + 724 + ], + "spans": [ + { + "bbox": [ + 86, + 713, + 99, + 722 + ], + "score": 1.0, + "content": "113", + "type": "text" + }, + { + "bbox": [ + 105, + 710, + 146, + 724 + ], + "score": 1.0, + "content": "We name", + "type": "text" + }, + { + "bbox": [ + 146, + 709, + 221, + 723 + ], + "score": 0.93, + "content": "{ \\mathcal { T } } _ { \\pi _ { 1 } } = \\{ { \\widetilde { \\mathcal { T } } _ { \\pi _ { 1 } } , \\overline { { { \\mathcal { T } } } } _ { \\pi _ { 1 } } } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 710, + 285, + 724 + ], + "score": 1.0, + "content": "the initial data.", + "type": "text" + } + ], + "index": 51, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 207, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 86, + 210, + 100, + 219 + ], + "score": 1.0, + "content": "114", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 207, + 246, + 221 + ], + "score": 1.0, + "content": "Training. Here we learn a policy", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 247, + 210, + 258, + 219 + ], + "score": 0.84, + "content": "\\pi _ { 2 }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 259, + 207, + 344, + 221 + ], + "score": 1.0, + "content": "from the initial data", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 345, + 207, + 362, + 220 + ], + "score": 0.91, + "content": "\\overline { { \\mathcal { T } } } _ { \\pi _ { 1 } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 363, + 207, + 457, + 221 + ], + "score": 1.0, + "content": "and the collected data", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 457, + 207, + 475, + 220 + ], + "score": 0.91, + "content": "\\overline { { \\mathcal { T } } } _ { \\pi _ { 2 } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 475, + 207, + 506, + 221 + ], + "score": 1.0, + "content": ", under", + "type": "text", + "cross_page": true + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 219, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 86, + 221, + 100, + 231 + ], + "score": 1.0, + "content": "115", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 107, + 219, + 121, + 231 + ], + "score": 0.87, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 122, + 219, + 505, + 232 + ], + "score": 1.0, + "content": "only. Besides, the learner is allowed for some operation of observation coexistence (OC): At", + "type": "text", + "cross_page": true + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 230, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 86, + 234, + 100, + 243 + ], + "score": 1.0, + "content": "116", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 231, + 307, + 244 + ], + "score": 1.0, + "content": "some steps of learning, besides the observations", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 307, + 232, + 321, + 243 + ], + "score": 0.9, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 322, + 231, + 450, + 244 + ], + "score": 1.0, + "content": ", the learner could also request", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 450, + 230, + 465, + 244 + ], + "score": 0.91, + "content": "\\widetilde { \\tau } _ { \\pi _ { 2 } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 465, + 231, + 505, + 244 + ], + "score": 1.0, + "content": "from the", + "type": "text", + "cross_page": true + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 243, + 505, + 255 + ], + "spans": [ + { + "bbox": [ + 86, + 245, + 100, + 254 + ], + "score": 1.0, + "content": "117", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 243, + 216, + 255 + ], + "score": 1.0, + "content": "corresponding observations", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 216, + 243, + 231, + 254 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 232, + 243, + 505, + 255 + ], + "score": 1.0, + "content": "(e.g., from the human-understandable sensors). 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Then", + "type": "text" + }, + { + "bbox": [ + 485, + 475, + 504, + 487 + ], + "score": 0.89, + "content": "D _ { w _ { 1 } }", + "type": "inline_equation" + } + ], + "index": 19 + }, + { + "bbox": [ + 87, + 486, + 387, + 499 + ], + "spans": [ + { + "bbox": [ + 87, + 489, + 100, + 497 + ], + "score": 1.0, + "content": "156", + "type": "text" + }, + { + "bbox": [ + 103, + 486, + 387, + 499 + ], + "score": 1.0, + "content": "will be good enough to estimate the importance-weighting factor, i.e.,", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19 + }, + { + "type": "interline_equation", + "bbox": [ + 213, + 502, + 398, + 531 + ], + "lines": [ + { + "bbox": [ + 213, + 502, + 398, + 531 + ], + "spans": [ + { + "bbox": [ + 213, + 502, + 398, + 531 + ], + "score": 0.94, + "content": "\\alpha ( x ) \\triangleq \\frac { \\rho _ { \\pi _ { \\mathtt { E } } } } { \\rho _ { \\pi _ { 1 } } } = \\frac { 1 - D _ { w _ { 1 } } ^ { * } ( \\widetilde { x } ) } { D _ { w _ { 1 } } ^ { * } ( \\widetilde { x } ) } \\approx \\frac { 1 - D _ { w _ { 1 } } ( \\widetilde { x } ) } { D _ { w _ { 1 } } ( \\widetilde { x } ) } .", + "type": "interline_equation", + "image_path": "fc134139b8dc6827e8dca97f8cc5d1ebf2475a1f8d286b6e51597211ac010ba3.jpg" + } + ] + } + ], + "index": 21.5, + "virtual_lines": [ + { + "bbox": [ + 213, + 502, + 398, + 516.5 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 213, + 516.5, + 398, + 531.0 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 87, + 536, + 505, + 559 + ], + "lines": [ + { + "bbox": [ + 86, + 535, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 86, + 535, + 205, + 548 + ], + "score": 1.0, + "content": "In this way, we can use 157", + "type": "text" + }, + { + "bbox": [ + 206, + 537, + 225, + 547 + ], + "score": 0.91, + "content": "D _ { w 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 535, + 505, + 548 + ], + "score": 1.0, + "content": ", which can connect demonstrations and initial data, to calibrate the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 84, + 546, + 384, + 561 + ], + "spans": [ + { + "bbox": [ + 84, + 546, + 185, + 561 + ], + "score": 1.0, + "content": "learning process of 158", + "type": "text" + }, + { + "bbox": [ + 185, + 547, + 204, + 559 + ], + "score": 0.91, + "content": "D _ { w _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 546, + 353, + 561 + ], + "score": 1.0, + "content": ". 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However,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 85, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 85, + 658, + 100, + 667 + ], + "score": 1.0, + "content": "162", + "type": "text" + }, + { + "bbox": [ + 105, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "our preliminary experiments demonstrated that merely importance-weighting is not enough to fix", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 86, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 86, + 669, + 100, + 679 + ], + "score": 1.0, + "content": "163", + "type": "text" + }, + { + "bbox": [ + 105, + 667, + 357, + 680 + ], + "score": 1.0, + "content": "the problem that occurred by the absence of interactions under", + "type": "text" + }, + { + "bbox": [ + 357, + 667, + 371, + 678 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 667, + 506, + 680 + ], + "score": 1.0, + "content": ". So there exist some other issues", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 86, + 678, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 86, + 680, + 100, + 689 + ], + "score": 1.0, + "content": "164", + "type": "text" + }, + { + "bbox": [ + 105, + 678, + 506, + 691 + ], + "score": 1.0, + "content": "between the expert demonstrations and the initial data. To find out the underlying issues, we plot", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 85, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 85, + 691, + 100, + 700 + ], + "score": 1.0, + "content": "165", + "type": "text" + }, + { + "bbox": [ + 106, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "the t-Distributed Stochastic Neighbor Embedding (t-SNE) [34] visualizations of these two empirical", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 86, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 86, + 702, + 100, + 711 + ], + "score": 1.0, + "content": "166", + "type": "text" + }, + { + "bbox": [ + 106, + 700, + 186, + 712 + ], + "score": 1.0, + "content": "distributions under", + "type": "text" + }, + { + "bbox": [ + 186, + 700, + 201, + 711 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "on Hopper and Walker2d, as shown in Figure 5. Twenty trajectories were", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 86, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 86, + 713, + 100, + 722 + ], + "score": 1.0, + "content": "167", + "type": "text" + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "collected for both the expert demonstrations and the initial data. 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The output", + "type": "text" + }, + { + "bbox": [ + 219, + 252, + 233, + 262 + ], + "score": 0.46, + "content": "+ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 250, + 263, + 263 + ], + "score": 1.0, + "content": ", 0, and", + "type": "text" + }, + { + "bbox": [ + 264, + 252, + 278, + 262 + ], + "score": 0.81, + "content": "- 1", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 250, + 367, + 263 + ], + "score": 1.0, + "content": "regions correspond to", + "type": "text" + }, + { + "bbox": [ + 368, + 251, + 391, + 262 + ], + "score": 0.41, + "content": "H ,", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 250, + 411, + 263 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 411, + 252, + 422, + 261 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 250, + 474, + 263 + ], + "score": 1.0, + "content": "respectively.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "index", + "bbox": [ + 86, + 275, + 506, + 331 + ], + "lines": [ + { + "bbox": [ + 86, + 275, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 86, + 281, + 100, + 290 + ], + "score": 1.0, + "content": "148", + "type": "text" + }, + { + "bbox": [ + 101, + 275, + 200, + 293 + ], + "score": 1.0, + "content": "where α(x) ≜ ρπE (x)", + "type": "text" + }, + { + "bbox": [ + 196, + 279, + 506, + 295 + ], + "score": 1.0, + "content": "is an importance-weighting factor [12]. 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To achieve this purpose, we need to bridge the expert demonstrations and", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 307, + 506, + 322 + ], + "spans": [ + { + "bbox": [ + 86, + 311, + 100, + 320 + ], + "score": 1.0, + "content": "150", + "type": "text" + }, + { + "bbox": [ + 104, + 307, + 459, + 322 + ], + "score": 1.0, + "content": "the initial data. 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Besides, we", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 473, + 504, + 490 + ], + "spans": [ + { + "bbox": [ + 86, + 478, + 100, + 487 + ], + "score": 1.0, + "content": "155", + "type": "text" + }, + { + "bbox": [ + 103, + 473, + 192, + 490 + ], + "score": 1.0, + "content": "can sufficiently train", + "type": "text" + }, + { + "bbox": [ + 192, + 475, + 211, + 487 + ], + "score": 0.9, + "content": "D _ { w _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 473, + 298, + 490 + ], + "score": 1.0, + "content": "using the initial data", + "type": "text" + }, + { + "bbox": [ + 299, + 473, + 313, + 487 + ], + "score": 0.91, + "content": "\\widetilde { \\mathcal { T } } _ { \\pi _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 473, + 440, + 490 + ], + "score": 1.0, + "content": "and the expert demonstrations", + "type": "text" + }, + { + "bbox": [ + 440, + 473, + 456, + 487 + ], + "score": 0.91, + "content": "\\widetilde { \\mathcal { T } } _ { \\pi _ { \\mathrm { E } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 473, + 485, + 490 + ], + "score": 1.0, + "content": ". Then", + "type": "text" + }, + { + "bbox": [ + 485, + 475, + 504, + 487 + ], + "score": 0.89, + "content": "D _ { w _ { 1 } }", + "type": "inline_equation" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 486, + 387, + 499 + ], + "spans": [ + { + "bbox": [ + 87, + 489, + 100, + 497 + ], + "score": 1.0, + "content": "156", + "type": "text" + }, + { + "bbox": [ + 103, + 486, + 387, + 499 + ], + "score": 1.0, + "content": "will be good enough to estimate the importance-weighting factor, i.e.,", + "type": "text" + } + ], + "index": 20, + "is_list_start_line": true + } + ], + "index": 19, + "bbox_fs": [ + 86, + 461, + 505, + 499 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 213, + 502, + 398, + 531 + ], + "lines": [ + { + "bbox": [ + 213, + 502, + 398, + 531 + ], + "spans": [ + { + "bbox": [ + 213, + 502, + 398, + 531 + ], + "score": 0.94, + "content": "\\alpha ( x ) \\triangleq \\frac { \\rho _ { \\pi _ { \\mathtt { E } } } } { \\rho _ { \\pi _ { 1 } } } = \\frac { 1 - D _ { w _ { 1 } } ^ { * } ( \\widetilde { x } ) } { D _ { w _ { 1 } } ^ { * } ( \\widetilde { x } ) } \\approx \\frac { 1 - D _ { w _ { 1 } } ( \\widetilde { x } ) } { D _ { w _ { 1 } } ( \\widetilde { x } ) } .", + "type": "interline_equation", + "image_path": "fc134139b8dc6827e8dca97f8cc5d1ebf2475a1f8d286b6e51597211ac010ba3.jpg" + } + ] + } + ], + "index": 21.5, + "virtual_lines": [ + { + "bbox": [ + 213, + 502, + 398, + 516.5 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 213, + 516.5, + 398, + 531.0 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 87, + 536, + 505, + 559 + ], + "lines": [ + { + "bbox": [ + 86, + 535, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 86, + 535, + 205, + 548 + ], + "score": 1.0, + "content": "In this way, we can use 157", + "type": "text" + }, + { + "bbox": [ + 206, + 537, + 225, + 547 + ], + "score": 0.91, + "content": "D _ { w 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 535, + 505, + 548 + ], + "score": 1.0, + "content": ", which can connect demonstrations and initial data, to calibrate the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 84, + 546, + 384, + 561 + ], + "spans": [ + { + "bbox": [ + 84, + 546, + 185, + 561 + ], + "score": 1.0, + "content": "learning process of 158", + "type": "text" + }, + { + "bbox": [ + 185, + 547, + 204, + 559 + ], + "score": 0.91, + "content": "D _ { w _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 546, + 353, + 561 + ], + "score": 1.0, + "content": ". The final optimization objective for", + "type": "text" + }, + { + "bbox": [ + 353, + 547, + 372, + 559 + ], + "score": 0.91, + "content": "D _ { w _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 546, + 384, + 561 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5, + "bbox_fs": [ + 84, + 535, + 505, + 561 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 147, + 563, + 462, + 591 + ], + "lines": [ + { + "bbox": [ + 147, + 563, + 462, + 591 + ], + "spans": [ + { + "bbox": [ + 147, + 563, + 462, + 591 + ], + "score": 0.92, + "content": "\\operatorname* { m a x } _ { w _ { 2 } } \\mathcal { L } ( D _ { w _ { 2 } } ) = \\mathbb { E } _ { x \\sim \\rho _ { \\pi _ { 2 } } } \\log D _ { w _ { 2 } } ( \\overline { { x } } ) + \\mathbb { E } _ { x \\sim \\rho _ { \\pi _ { 1 } } } \\frac { 1 - D _ { w _ { 1 } } ( \\overline { { x } } ) } { D _ { w _ { 1 } } ( \\widetilde { x } ) } \\log [ 1 - D _ { w _ { 2 } } ( \\overline { { x } } ) ] .", + "type": "interline_equation", + "image_path": "013534c1c8748676a264dd55b2242800e6925010cc1bc113c0cfe87fac1e2b69.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 147, + 563, + 462, + 591 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 89, + 600, + 503, + 613 + ], + "lines": [ + { + "bbox": [ + 84, + 598, + 500, + 616 + ], + "spans": [ + { + "bbox": [ + 84, + 598, + 155, + 616 + ], + "score": 1.0, + "content": "In this way, 159", + "type": "text" + }, + { + "bbox": [ + 155, + 601, + 174, + 613 + ], + "score": 0.91, + "content": "D _ { w _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 598, + 338, + 616 + ], + "score": 1.0, + "content": "can effectively dig out the expert part of", + "type": "text" + }, + { + "bbox": [ + 338, + 603, + 353, + 613 + ], + "score": 0.88, + "content": "\\rho _ { \\pi _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 598, + 489, + 616 + ], + "score": 1.0, + "content": "and produce efficient rewards for", + "type": "text" + }, + { + "bbox": [ + 489, + 606, + 500, + 612 + ], + "score": 0.8, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + } + ], + "index": 26 + } + ], + "index": 26, + "bbox_fs": [ + 84, + 598, + 500, + 616 + ] + }, + { + "type": "title", + "bbox": [ + 102, + 625, + 210, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 624, + 211, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 211, + 639 + ], + "score": 1.0, + "content": "4.2 Support Mismatch", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "index", + "bbox": [ + 86, + 644, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 86, + 644, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 86, + 647, + 99, + 657 + ], + "score": 1.0, + "content": "161", + "type": "text" + }, + { + "bbox": [ + 104, + 644, + 506, + 658 + ], + "score": 1.0, + "content": "So far the challenges have still been similar to homogeneously observable imitation learning. However,", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 85, + 658, + 100, + 667 + ], + "score": 1.0, + "content": "162", + "type": "text" + }, + { + "bbox": [ + 105, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "our preliminary experiments demonstrated that merely importance-weighting is not enough to fix", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 86, + 669, + 100, + 679 + ], + "score": 1.0, + "content": "163", + "type": "text" + }, + { + "bbox": [ + 105, + 667, + 357, + 680 + ], + "score": 1.0, + "content": "the problem that occurred by the absence of interactions under", + "type": "text" + }, + { + "bbox": [ + 357, + 667, + 371, + 678 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 667, + 506, + 680 + ], + "score": 1.0, + "content": ". So there exist some other issues", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 678, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 86, + 680, + 100, + 689 + ], + "score": 1.0, + "content": "164", + "type": "text" + }, + { + "bbox": [ + 105, + 678, + 506, + 691 + ], + "score": 1.0, + "content": "between the expert demonstrations and the initial data. To find out the underlying issues, we plot", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 85, + 691, + 100, + 700 + ], + "score": 1.0, + "content": "165", + "type": "text" + }, + { + "bbox": [ + 106, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "the t-Distributed Stochastic Neighbor Embedding (t-SNE) [34] visualizations of these two empirical", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 86, + 702, + 100, + 711 + ], + "score": 1.0, + "content": "166", + "type": "text" + }, + { + "bbox": [ + 106, + 700, + 186, + 712 + ], + "score": 1.0, + "content": "distributions under", + "type": "text" + }, + { + "bbox": [ + 186, + 700, + 201, + 711 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "on Hopper and Walker2d, as shown in Figure 5. 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The observed demonstration", + "type": "text" + }, + { + "bbox": [ + 381, + 327, + 390, + 337 + ], + "score": 0.76, + "content": "O", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 325, + 460, + 340 + ], + "score": 1.0, + "content": "is the set of those", + "type": "text" + }, + { + "bbox": [ + 460, + 327, + 504, + 338 + ], + "score": 0.89, + "content": "x \\in { \\mathcal { S } } \\times { \\mathcal { A } }", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 89, + 337, + 311, + 352 + ], + "spans": [ + { + "bbox": [ + 89, + 337, + 240, + 352 + ], + "score": 1.0, + "content": "that belong to the complement of 185", + "type": "text" + }, + { + "bbox": [ + 240, + 339, + 250, + 348 + ], + "score": 0.74, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 337, + 261, + 352 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 262, + 338, + 306, + 351 + ], + "score": 0.55, + "content": "\\operatorname { s u p p } ( \\rho _ { \\pi _ { \\mathrm { E } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 337, + 311, + 352 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + }, + { + "type": "interline_equation", + "bbox": [ + 214, + 354, + 397, + 368 + ], + "lines": [ + { + "bbox": [ + 214, + 354, + 397, + 368 + ], + "spans": [ + { + "bbox": [ + 214, + 354, + 397, + 368 + ], + "score": 0.9, + "content": "O : = \\{ x \\in \\mathcal { S } \\times A \\vert \\mathrm { s u p p } ( \\rho _ { \\pi _ { \\mathrm { E } } } ) \\cap \\mathrm { s u p p } ( \\rho _ { \\pi _ { 1 } } ) \\} .", + "type": "interline_equation", + "image_path": "6beca7532a9041497e59a5f815a813e18914650a56fff07809770657347e89b8.jpg" + } + ] + } + ], + "index": 28, + "virtual_lines": [ + { + "bbox": [ + 214, + 354, + 397, + 368 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 90, + 378, + 390, + 390 + ], + "lines": [ + { + "bbox": [ + 87, + 377, + 390, + 392 + ], + "spans": [ + { + "bbox": [ + 87, + 377, + 390, + 392 + ], + "score": 1.0, + "content": "186 Besides, the data outside of demonstrations should be non-expert data:", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 93, + 393, + 505, + 415 + ], + "lines": [ + { + "bbox": [ + 88, + 392, + 507, + 406 + ], + "spans": [ + { + "bbox": [ + 88, + 392, + 329, + 406 + ], + "score": 1.0, + "content": "187 Definition 4 (Non-Expert Data). The non-expert data", + "type": "text" + }, + { + "bbox": [ + 329, + 394, + 339, + 403 + ], + "score": 0.79, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 392, + 413, + 406 + ], + "score": 1.0, + "content": "is the set of those", + "type": "text" + }, + { + "bbox": [ + 413, + 393, + 459, + 404 + ], + "score": 0.9, + "content": "x \\in { \\mathcal { S } } \\times { \\mathcal { A } }", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 392, + 507, + 406 + ], + "score": 1.0, + "content": "that out of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 88, + 402, + 157, + 418 + ], + "spans": [ + { + "bbox": [ + 88, + 402, + 106, + 418 + ], + "score": 1.0, + "content": "188", + "type": "text" + }, + { + "bbox": [ + 106, + 404, + 151, + 416 + ], + "score": 0.8, + "content": "\\operatorname { s u p p } ( \\rho _ { \\pi _ { \\mathrm { E } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 402, + 157, + 418 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5 + }, + { + "type": "interline_equation", + "bbox": [ + 238, + 414, + 373, + 427 + ], + "lines": [ + { + "bbox": [ + 238, + 414, + 373, + 427 + ], + "spans": [ + { + "bbox": [ + 238, + 414, + 373, + 427 + ], + "score": 0.92, + "content": "N : = \\{ x \\in { \\mathcal { S } } \\times A | \\rho _ { \\pi _ { \\mathrm { E } } } ( x ) = 0 \\} .", + "type": "interline_equation", + "image_path": "93ce994eb5174d28c1170320d9abbbd7cdccf1cbb49810782ed7bc0f1fbdd9e7.jpg" + } + ] + } + ], + "index": 32, + "virtual_lines": [ + { + "bbox": [ + 238, + 414, + 373, + 427 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 87, + 434, + 506, + 480 + ], + "lines": [ + { + "bbox": [ + 86, + 434, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 86, + 437, + 100, + 446 + ], + "score": 1.0, + "content": "189", + "type": "text" + }, + { + "bbox": [ + 105, + 434, + 260, + 448 + ], + "score": 1.0, + "content": "In other words, the sub-optimality of", + "type": "text" + }, + { + "bbox": [ + 260, + 437, + 271, + 446 + ], + "score": 0.85, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 434, + 505, + 448 + ], + "score": 1.0, + "content": "will cause not only the dynamics mismatch, but also the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 86, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 86, + 448, + 100, + 457 + ], + "score": 1.0, + "content": "190", + "type": "text" + }, + { + "bbox": [ + 104, + 446, + 264, + 459 + ], + "score": 1.0, + "content": "appearance of the latent demonstration", + "type": "text" + }, + { + "bbox": [ + 265, + 447, + 275, + 456 + ], + "score": 0.81, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 446, + 506, + 459 + ], + "score": 1.0, + "content": ". We call the latter one the problem of Support Mismatch.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 86, + 457, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 86, + 458, + 100, + 469 + ], + "score": 1.0, + "content": "191", + "type": "text" + }, + { + "bbox": [ + 106, + 457, + 174, + 469 + ], + "score": 1.0, + "content": "Intuitively, when", + "type": "text" + }, + { + "bbox": [ + 175, + 458, + 213, + 468 + ], + "score": 0.89, + "content": "\\pi _ { 2 } \\pi _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 457, + 251, + 469 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + }, + { + "bbox": [ + 251, + 457, + 284, + 467 + ], + "score": 0.9, + "content": "H \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 457, + 506, + 469 + ], + "score": 1.0, + "content": ", monotonously. So in order to fix the support mismatch", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 86, + 467, + 338, + 482 + ], + "spans": [ + { + "bbox": [ + 86, + 470, + 100, + 479 + ], + "score": 1.0, + "content": "192", + "type": "text" + }, + { + "bbox": [ + 105, + 467, + 142, + 482 + ], + "score": 1.0, + "content": "between", + "type": "text" + }, + { + "bbox": [ + 142, + 470, + 158, + 480 + ], + "score": 0.88, + "content": "\\rho _ { \\pi _ { \\mathrm { E } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 467, + 177, + 482 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 177, + 470, + 192, + 480 + ], + "score": 0.86, + "content": "\\rho _ { \\pi _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 467, + 228, + 482 + ], + "score": 1.0, + "content": ", guiding", + "type": "text" + }, + { + "bbox": [ + 229, + 469, + 240, + 479 + ], + "score": 0.77, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 467, + 285, + 482 + ], + "score": 1.0, + "content": "to find out", + "type": "text" + }, + { + "bbox": [ + 285, + 468, + 295, + 478 + ], + "score": 0.68, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 467, + 338, + 482 + ], + "score": 1.0, + "content": "is the key.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 99, + 484, + 505, + 518 + ], + "lines": [ + { + "bbox": [ + 106, + 484, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 505, + 496 + ], + "score": 1.0, + "content": "In addition, the support mismatch problem can be viewed as an inverse problem of the Out Of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "Distribution (OOD) problem that frequently occurred in offline RL setting [21], in which they tried to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 505, + 262, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 131, + 519 + ], + "score": 1.0, + "content": "avoid", + "type": "text" + }, + { + "bbox": [ + 132, + 506, + 227, + 518 + ], + "score": 0.87, + "content": "\\operatorname { s u p p } ( \\rho _ { \\pi _ { 1 } } ) \\setminus \\operatorname { s u p p } ( \\rho _ { \\pi _ { \\mathrm { E } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 505, + 262, + 519 + ], + "score": 1.0, + "content": "instead.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38 + }, + { + "type": "title", + "bbox": [ + 102, + 530, + 276, + 542 + ], + "lines": [ + { + "bbox": [ + 105, + 529, + 277, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 277, + 544 + ], + "score": 1.0, + "content": "4.3 Imitation Learning with Rejection", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 99, + 550, + 505, + 597 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 186, + 562 + ], + "score": 1.0, + "content": "We can observe that", + "type": "text" + }, + { + "bbox": [ + 186, + 551, + 269, + 561 + ], + "score": 0.89, + "content": "H \\cup O \\cup N = S \\times { \\mathcal { A } }", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 550, + 384, + 562 + ], + "score": 1.0, + "content": ". 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The observed demonstration", + "type": "text" + }, + { + "bbox": [ + 381, + 327, + 390, + 337 + ], + "score": 0.76, + "content": "O", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 325, + 460, + 340 + ], + "score": 1.0, + "content": "is the set of those", + "type": "text" + }, + { + "bbox": [ + 460, + 327, + 504, + 338 + ], + "score": 0.89, + "content": "x \\in { \\mathcal { S } } \\times { \\mathcal { A } }", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 89, + 337, + 311, + 352 + ], + "spans": [ + { + "bbox": [ + 89, + 337, + 240, + 352 + ], + "score": 1.0, + "content": "that belong to the complement of 185", + "type": "text" + }, + { + "bbox": [ + 240, + 339, + 250, + 348 + ], + "score": 0.74, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 337, + 261, + 352 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 262, + 338, + 306, + 351 + ], + "score": 0.55, + "content": "\\operatorname { s u p p } ( \\rho _ { \\pi _ { \\mathrm { E } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 337, + 311, + 352 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5, + "bbox_fs": [ + 89, + 325, + 504, + 352 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 214, + 354, + 397, + 368 + ], + "lines": [ + { + "bbox": [ + 214, + 354, + 397, + 368 + ], + "spans": [ + { + "bbox": [ + 214, + 354, + 397, + 368 + ], + "score": 0.9, + "content": "O : = \\{ x \\in \\mathcal { S } \\times A \\vert \\mathrm { s u p p } ( \\rho _ { \\pi _ { \\mathrm { E } } } ) \\cap \\mathrm { s u p p } ( \\rho _ { \\pi _ { 1 } } ) \\} .", + "type": "interline_equation", + "image_path": "6beca7532a9041497e59a5f815a813e18914650a56fff07809770657347e89b8.jpg" + } + ] + } + ], + "index": 28, + "virtual_lines": [ + { + "bbox": [ + 214, + 354, + 397, + 368 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 90, + 378, + 390, + 390 + ], + "lines": [ + { + "bbox": [ + 87, + 377, + 390, + 392 + ], + "spans": [ + { + "bbox": [ + 87, + 377, + 390, + 392 + ], + "score": 1.0, + "content": "186 Besides, the data outside of demonstrations should be non-expert data:", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29, + "bbox_fs": [ + 87, + 377, + 390, + 392 + ] + }, + { + "type": "index", + "bbox": [ + 93, + 393, + 505, + 415 + ], + "lines": [ + { + "bbox": [ + 88, + 392, + 507, + 406 + ], + "spans": [ + { + "bbox": [ + 88, + 392, + 329, + 406 + ], + "score": 1.0, + "content": "187 Definition 4 (Non-Expert Data). The non-expert data", + "type": "text" + }, + { + "bbox": [ + 329, + 394, + 339, + 403 + ], + "score": 0.79, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 392, + 413, + 406 + ], + "score": 1.0, + "content": "is the set of those", + "type": "text" + }, + { + "bbox": [ + 413, + 393, + 459, + 404 + ], + "score": 0.9, + "content": "x \\in { \\mathcal { S } } \\times { \\mathcal { A } }", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 392, + 507, + 406 + ], + "score": 1.0, + "content": "that out of", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 402, + 157, + 418 + ], + "spans": [ + { + "bbox": [ + 88, + 402, + 106, + 418 + ], + "score": 1.0, + "content": "188", + "type": "text" + }, + { + "bbox": [ + 106, + 404, + 151, + 416 + ], + "score": 0.8, + "content": "\\operatorname { s u p p } ( \\rho _ { \\pi _ { \\mathrm { E } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 402, + 157, + 418 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + } + ], + "index": 30.5, + "bbox_fs": [ + 88, + 392, + 507, + 418 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 238, + 414, + 373, + 427 + ], + "lines": [ + { + "bbox": [ + 238, + 414, + 373, + 427 + ], + "spans": [ + { + "bbox": [ + 238, + 414, + 373, + 427 + ], + "score": 0.92, + "content": "N : = \\{ x \\in { \\mathcal { S } } \\times A | \\rho _ { \\pi _ { \\mathrm { E } } } ( x ) = 0 \\} .", + "type": "interline_equation", + "image_path": "93ce994eb5174d28c1170320d9abbbd7cdccf1cbb49810782ed7bc0f1fbdd9e7.jpg" + } + ] + } + ], + "index": 32, + "virtual_lines": [ + { + "bbox": [ + 238, + 414, + 373, + 427 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "index", + "bbox": [ + 87, + 434, + 506, + 480 + ], + "lines": [ + { + "bbox": [ + 86, + 434, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 86, + 437, + 100, + 446 + ], + "score": 1.0, + "content": "189", + "type": "text" + }, + { + "bbox": [ + 105, + 434, + 260, + 448 + ], + "score": 1.0, + "content": "In other words, the sub-optimality of", + "type": "text" + }, + { + "bbox": [ + 260, + 437, + 271, + 446 + ], + "score": 0.85, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 434, + 505, + 448 + ], + "score": 1.0, + "content": "will cause not only the dynamics mismatch, but also the", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 86, + 448, + 100, + 457 + ], + "score": 1.0, + "content": "190", + "type": "text" + }, + { + "bbox": [ + 104, + 446, + 264, + 459 + ], + "score": 1.0, + "content": "appearance of the latent demonstration", + "type": "text" + }, + { + "bbox": [ + 265, + 447, + 275, + 456 + ], + "score": 0.81, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 446, + 506, + 459 + ], + "score": 1.0, + "content": ". We call the latter one the problem of Support Mismatch.", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 457, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 86, + 458, + 100, + 469 + ], + "score": 1.0, + "content": "191", + "type": "text" + }, + { + "bbox": [ + 106, + 457, + 174, + 469 + ], + "score": 1.0, + "content": "Intuitively, when", + "type": "text" + }, + { + "bbox": [ + 175, + 458, + 213, + 468 + ], + "score": 0.89, + "content": "\\pi _ { 2 } \\pi _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 457, + 251, + 469 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + }, + { + "bbox": [ + 251, + 457, + 284, + 467 + ], + "score": 0.9, + "content": "H \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 457, + 506, + 469 + ], + "score": 1.0, + "content": ", monotonously. So in order to fix the support mismatch", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 467, + 338, + 482 + ], + "spans": [ + { + "bbox": [ + 86, + 470, + 100, + 479 + ], + "score": 1.0, + "content": "192", + "type": "text" + }, + { + "bbox": [ + 105, + 467, + 142, + 482 + ], + "score": 1.0, + "content": "between", + "type": "text" + }, + { + "bbox": [ + 142, + 470, + 158, + 480 + ], + "score": 0.88, + "content": "\\rho _ { \\pi _ { \\mathrm { E } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 467, + 177, + 482 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 177, + 470, + 192, + 480 + ], + "score": 0.86, + "content": "\\rho _ { \\pi _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 467, + 228, + 482 + ], + "score": 1.0, + "content": ", guiding", + "type": "text" + }, + { + "bbox": [ + 229, + 469, + 240, + 479 + ], + "score": 0.77, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 467, + 285, + 482 + ], + "score": 1.0, + "content": "to find out", + "type": "text" + }, + { + "bbox": [ + 285, + 468, + 295, + 478 + ], + "score": 0.68, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 467, + 338, + 482 + ], + "score": 1.0, + "content": "is the key.", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + } + ], + "index": 34.5, + "bbox_fs": [ + 86, + 434, + 506, + 482 + ] + }, + { + "type": "text", + "bbox": [ + 99, + 484, + 505, + 518 + ], + "lines": [ + { + "bbox": [ + 106, + 484, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 505, + 496 + ], + "score": 1.0, + "content": "In addition, the support mismatch problem can be viewed as an inverse problem of the Out Of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "Distribution (OOD) problem that frequently occurred in offline RL setting [21], in which they tried to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 505, + 262, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 131, + 519 + ], + "score": 1.0, + "content": "avoid", + "type": "text" + }, + { + "bbox": [ + 132, + 506, + 227, + 518 + ], + "score": 0.87, + "content": "\\operatorname { s u p p } ( \\rho _ { \\pi _ { 1 } } ) \\setminus \\operatorname { s u p p } ( \\rho _ { \\pi _ { \\mathrm { E } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 505, + 262, + 519 + ], + "score": 1.0, + "content": "instead.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 484, + 505, + 519 + ] + }, + { + "type": "title", + "bbox": [ + 102, + 530, + 276, + 542 + ], + "lines": [ + { + "bbox": [ + 105, + 529, + 277, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 277, + 544 + ], + "score": 1.0, + "content": "4.3 Imitation Learning with Rejection", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 99, + 550, + 505, + 597 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 186, + 562 + ], + "score": 1.0, + "content": "We can observe that", + "type": "text" + }, + { + "bbox": [ + 186, + 551, + 269, + 561 + ], + "score": 0.89, + "content": "H \\cup O \\cup N = S \\times { \\mathcal { A } }", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 550, + 384, + 562 + ], + "score": 1.0, + "content": ". 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The experiments were designed to investigate:", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 129, + 494, + 397, + 536 + ], + "lines": [ + { + "bbox": [ + 129, + 494, + 397, + 506 + ], + "spans": [ + { + "bbox": [ + 129, + 494, + 397, + 506 + ], + "score": 1.0, + "content": "1) Can IWRE achieve significant performance under HOIL tasks?", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 128, + 508, + 357, + 522 + ], + "spans": [ + { + "bbox": [ + 128, + 508, + 357, + 522 + ], + "score": 1.0, + "content": "2) Can IWRE deal with the support mismatch problem?", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 128, + 524, + 397, + 537 + ], + "spans": [ + { + "bbox": [ + 128, + 524, + 397, + 537 + ], + "score": 1.0, + "content": "3) During training, is active querying for HOIL indeed necessary?", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 544, + 504, + 567 + ], + "lines": [ + { + "bbox": [ + 105, + 543, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 558 + ], + "score": 1.0, + "content": "Below we first introduce the experimental setup and then investigate the above questions. More", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 555, + 410, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 410, + 568 + ], + "score": 1.0, + "content": "results and experimental details are included in the supplementary material.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5 + }, + { + "type": "title", + "bbox": [ + 107, + 574, + 216, + 586 + ], + "lines": [ + { + "bbox": [ + 105, + 571, + 217, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 217, + 590 + ], + "score": 1.0, + "content": "5.1 Experimental Setup", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 100, + 588, + 504, + 611 + ], + "lines": [ + { + "bbox": [ + 106, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "Environments. 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Through these environments, we want to investigate whether the agent", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 333, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 141, + 333, + 506, + 347 + ], + "score": 1.0, + "content": "can learn from demonstrations with complementary signals under observations with missing", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 344, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 141, + 344, + 506, + 358 + ], + "score": 1.0, + "content": "information. 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More details are reported in the supplementary material.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 90, + 376, + 506, + 410 + ], + "lines": [ + { + "bbox": [ + 88, + 376, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 88, + 379, + 100, + 388 + ], + "score": 1.0, + "content": "252", + "type": "text" + }, + { + "bbox": [ + 104, + 376, + 506, + 389 + ], + "score": 1.0, + "content": "Besides, twenty expert trajectories were collected for each environment. Each result contains five", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 88, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 88, + 390, + 100, + 398 + ], + "score": 1.0, + "content": "253", + "type": "text" + }, + { + "bbox": [ + 104, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "trials with different random seeds. 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The learning steps were", + "type": "text" + }, + { + "bbox": [ + 264, + 616, + 280, + 627 + ], + "score": 0.87, + "content": "1 0 ^ { 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 615, + 348, + 629 + ], + "score": 1.0, + "content": "for MuJoCo and", + "type": "text" + }, + { + "bbox": [ + 349, + 616, + 381, + 627 + ], + "score": 0.92, + "content": "5 \\times 1 0 ^ { 6 }", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 615, + 506, + 629 + ], + "score": 1.0, + "content": "for Atari environments. 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In the training, each method learned", + "type": "text" + }, + { + "bbox": [ + 324, + 638, + 357, + 649 + ], + "score": 0.92, + "content": "4 \\times 1 0 ^ { 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 637, + 448, + 652 + ], + "score": 1.0, + "content": "steps for MuJoCo and", + "type": "text" + }, + { + "bbox": [ + 449, + 638, + 481, + 649 + ], + "score": 0.91, + "content": "2 \\times 1 0 ^ { 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 637, + 506, + 652 + ], + "score": 1.0, + "content": "steps", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 648, + 276, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 183, + 662 + ], + "score": 1.0, + "content": "for Atari under the", + "type": "text" + }, + { + "bbox": [ + 183, + 649, + 198, + 660 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 648, + 261, + 662 + ], + "score": 1.0, + "content": "space to obtain", + "type": "text" + }, + { + "bbox": [ + 262, + 651, + 273, + 660 + ], + "score": 0.85, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 648, + 276, + 662 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5 + }, + { + "type": "title", + "bbox": [ + 106, + 675, + 162, + 685 + ], + "lines": [ + { + "bbox": [ + 105, + 673, + 163, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 163, + 686 + ], + "score": 1.0, + "content": "5.2 Results", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "Experimental results are reported in Figure 6. Since the mapping function is hard to learn when", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "input is RAM and output is raw images, we omit the results of GAMA in Atari. We can observe that", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 709, + 503, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 491, + 725 + ], + "score": 1.0, + "content": "while IW is better than GAIL in most environments, both GAIL and IW can hardly outperform", + "type": "text" + }, + { + "bbox": [ + 492, + 713, + 503, + 722 + ], + "score": 0.83, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + } + ], + "index": 38 + } + ], + "index": 37 + } + ], + "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 + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 86, + 314, + 99, + 366 + ], + "lines": [ + { + "bbox": [ + 86, + 314, + 100, + 325 + ], + "spans": [ + { + "bbox": [ + 86, + 314, + 100, + 325 + ], + "score": 1.0, + "content": "247", + "type": "text" + } + ] + }, + { + "bbox": [ + 86, + 325, + 100, + 336 + ], + "spans": [ + { + "bbox": [ + 86, + 325, + 100, + 336 + ], + "score": 1.0, + "content": "248", + "type": "text" + } + ] + }, + { + "bbox": [ + 86, + 336, + 100, + 347 + ], + "spans": [ + { + "bbox": [ + 86, + 336, + 100, + 347 + ], + "score": 1.0, + "content": "249", + "type": "text" + } + ] + }, + { + "bbox": [ + 86, + 347, + 100, + 358 + ], + "spans": [ + { + "bbox": [ + 86, + 347, + 100, + 358 + ], + "score": 1.0, + "content": "250", + "type": "text" + } + ] + }, + { + "bbox": [ + 85, + 358, + 100, + 369 + ], + "spans": [ + { + "bbox": [ + 85, + 358, + 100, + 369 + ], + "score": 1.0, + "content": "251", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 88, + 506, + 276 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 88, + 506, + 276 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 88, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 88, + 506, + 276 + ], + "score": 0.977, + "type": "image", + "image_path": "f5ce93ddf7cef3cc04f4113541e8e8daeeef8bbe14b00517c1c3ac7639dfe84e.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 88, + 506, + 150.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 150.66666666666666, + 506, + 213.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 213.33333333333331, + 506, + 276.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 104, + 281, + 505, + 304 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "Figure 6: The learning curves of each method, where the shaded region indicates the standard", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 291, + 150, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 150, + 306 + ], + "score": 1.0, + "content": "deviation.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 141, + 312, + 504, + 367 + ], + "lines": [], + "index": 7, + "bbox_fs": [ + 141, + 312, + 506, + 368 + ], + "lines_deleted": true + }, + { + "type": "index", + "bbox": [ + 90, + 376, + 506, + 410 + ], + "lines": [ + { + "bbox": [ + 88, + 376, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 88, + 379, + 100, + 388 + ], + "score": 1.0, + "content": "252", + "type": "text" + }, + { + "bbox": [ + 104, + 376, + 506, + 389 + ], + "score": 1.0, + "content": "Besides, twenty expert trajectories were collected for each environment. Each result contains five", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 88, + 390, + 100, + 398 + ], + "score": 1.0, + "content": "253", + "type": "text" + }, + { + "bbox": [ + 104, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "trials with different random seeds. All experiments were conducted on server clusters with NVIDIA", + "type": "text" + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 398, + 492, + 411 + ], + "spans": [ + { + "bbox": [ + 88, + 401, + 100, + 409 + ], + "score": 1.0, + "content": "254", + "type": "text" + }, + { + "bbox": [ + 104, + 398, + 492, + 411 + ], + "score": 1.0, + "content": "Tesla V100 GPUs. The summary of the environments is gathered in the supplementary material.", + "type": "text" + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 415, + 506, + 427 + ], + "spans": [ + { + "bbox": [ + 87, + 417, + 99, + 426 + ], + "score": 1.0, + "content": "255", + "type": "text" + }, + { + "bbox": [ + 106, + 415, + 506, + 427 + ], + "score": 1.0, + "content": "Baselines. Six basic contenders were included in the experiments: Vanilla GAIL [16], GAIL", + "type": "text" + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 425, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 87, + 428, + 99, + 437 + ], + "score": 1.0, + "content": "256", + "type": "text" + }, + { + "bbox": [ + 105, + 425, + 505, + 438 + ], + "score": 1.0, + "content": "with importance-weighting [12] (IW), third-person IL [30] (TPIL), generative adversarial MDP", + "type": "text" + } + ], + "index": 14, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 436, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 87, + 439, + 99, + 448 + ], + "score": 1.0, + "content": "257", + "type": "text" + }, + { + "bbox": [ + 105, + 436, + 506, + 449 + ], + "score": 1.0, + "content": "alignment [19] (GAMA), behavioral cloning [2] (BC), and learning by cheating [8] (LBC). For", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 447, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 86, + 449, + 100, + 460 + ], + "score": 1.0, + "content": "258", + "type": "text" + }, + { + "bbox": [ + 105, + 447, + 240, + 461 + ], + "score": 1.0, + "content": "IW, we utilized the discriminator", + "type": "text" + }, + { + "bbox": [ + 241, + 448, + 259, + 459 + ], + "score": 0.92, + "content": "D _ { w _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 447, + 506, + 461 + ], + "score": 1.0, + "content": "trained in the pretraining to calculate the importance weight;", + "type": "text" + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 458, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 86, + 460, + 100, + 470 + ], + "score": 1.0, + "content": "259", + "type": "text" + }, + { + "bbox": [ + 105, + 458, + 245, + 472 + ], + "score": 1.0, + "content": "also the optimization objective for", + "type": "text" + }, + { + "bbox": [ + 245, + 459, + 264, + 470 + ], + "score": 0.9, + "content": "D _ { w _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 458, + 506, + 472 + ], + "score": 1.0, + "content": "during training is the same as Equation (9); TPIL learns the", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 468, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 86, + 471, + 100, + 482 + ], + "score": 1.0, + "content": "260", + "type": "text" + }, + { + "bbox": [ + 104, + 468, + 506, + 483 + ], + "score": 1.0, + "content": "third-person demonstrations by leading the cross-entropy loss into the update of the feature extractor;", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 479, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 86, + 482, + 99, + 492 + ], + "score": 1.0, + "content": "261", + "type": "text" + }, + { + "bbox": [ + 104, + 479, + 248, + 494 + ], + "score": 1.0, + "content": "GAMA learns a mapping function", + "type": "text" + }, + { + "bbox": [ + 248, + 481, + 256, + 492 + ], + "score": 0.85, + "content": "\\psi", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 479, + 506, + 494 + ], + "score": 1.0, + "content": "in view of adversarial training to align the observation of the", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 492, + 506, + 503 + ], + "spans": [ + { + "bbox": [ + 86, + 493, + 100, + 503 + ], + "score": 1.0, + "content": "262", + "type": "text" + }, + { + "bbox": [ + 106, + 492, + 506, + 503 + ], + "score": 1.0, + "content": "target domain into the source domain, and thereby can utilize the policy in the source domain for", + "type": "text" + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 502, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 87, + 504, + 99, + 513 + ], + "score": 1.0, + "content": "263", + "type": "text" + }, + { + "bbox": [ + 105, + 502, + 506, + 514 + ], + "score": 1.0, + "content": "zero-shot imitation. For fairness, we allowed the interaction between the policy and the environment", + "type": "text" + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 512, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 87, + 515, + 99, + 524 + ], + "score": 1.0, + "content": "264", + "type": "text" + }, + { + "bbox": [ + 105, + 512, + 253, + 526 + ], + "score": 1.0, + "content": "for GAMA under HOIL; LBC uses", + "type": "text" + }, + { + "bbox": [ + 254, + 514, + 265, + 524 + ], + "score": 0.86, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 512, + 474, + 526 + ], + "score": 1.0, + "content": "learned from privileged states as a teacher to train", + "type": "text" + }, + { + "bbox": [ + 474, + 514, + 486, + 524 + ], + "score": 0.85, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 512, + 506, + 526 + ], + "score": 1.0, + "content": "in a", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 524, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 87, + 526, + 99, + 535 + ], + "score": 1.0, + "content": "265", + "type": "text" + }, + { + "bbox": [ + 105, + 524, + 324, + 537 + ], + "score": 1.0, + "content": "DAgger [27] style, so here we allowed LBC to access", + "type": "text" + }, + { + "bbox": [ + 324, + 524, + 339, + 535 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 524, + 506, + 537 + ], + "score": 1.0, + "content": "during the whole IL process. In Atari, to", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 535, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 87, + 537, + 99, + 546 + ], + "score": 1.0, + "content": "266", + "type": "text" + }, + { + "bbox": [ + 106, + 535, + 506, + 547 + ], + "score": 1.0, + "content": "investigate whether our method could achieve good performance for RAM-based control, we further", + "type": "text" + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 545, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 87, + 548, + 99, + 557 + ], + "score": 1.0, + "content": "267", + "type": "text" + }, + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "score": 1.0, + "content": "included a contender PPO-RAM, which uses proximal policy optimization (PPO) [28] to perform", + "type": "text" + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 557, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 87, + 559, + 99, + 568 + ], + "score": 1.0, + "content": "268", + "type": "text" + }, + { + "bbox": [ + 106, + 557, + 505, + 569 + ], + "score": 1.0, + "content": "RL directly with environmental true rewards under the RAM-based observations. More detailed", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 567, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 87, + 570, + 99, + 579 + ], + "score": 1.0, + "content": "269", + "type": "text" + }, + { + "bbox": [ + 105, + 567, + 506, + 581 + ], + "score": 1.0, + "content": "setup including query strategies for TPIL and GAMA, network architecture, and hyper-parameters", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 578, + 280, + 591 + ], + "spans": [ + { + "bbox": [ + 87, + 581, + 100, + 590 + ], + "score": 1.0, + "content": "270", + "type": "text" + }, + { + "bbox": [ + 104, + 578, + 280, + 591 + ], + "score": 1.0, + "content": "are reported in the supplementary material.", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + } + ], + "index": 11, + "bbox_fs": [ + 88, + 376, + 506, + 411 + ] + }, + { + "type": "index", + "bbox": [ + 88, + 415, + 505, + 589 + ], + "lines": [], + "index": 20.5, + "bbox_fs": [ + 86, + 415, + 506, + 591 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 105, + 595, + 504, + 660 + ], + "lines": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 308, + 607 + ], + "score": 1.0, + "content": "Learning process. To simulate the situation that", + "type": "text" + }, + { + "bbox": [ + 308, + 595, + 323, + 606 + ], + "score": 0.9, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 594, + 449, + 607 + ], + "score": 1.0, + "content": "is costly, the steps for training", + "type": "text" + }, + { + "bbox": [ + 449, + 597, + 460, + 606 + ], + "score": 0.84, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "was set as", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 196, + 618 + ], + "score": 1.0, + "content": "1/4 of that for training", + "type": "text" + }, + { + "bbox": [ + 197, + 607, + 208, + 617 + ], + "score": 0.84, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 605, + 389, + 618 + ], + "score": 1.0, + "content": ", using GAIL [16]/HashReward [7] under the", + "type": "text" + }, + { + "bbox": [ + 390, + 606, + 405, + 617 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "space for MuJoCo/Atari", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 615, + 506, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 264, + 629 + ], + "score": 1.0, + "content": "environments. The learning steps were", + "type": "text" + }, + { + "bbox": [ + 264, + 616, + 280, + 627 + ], + "score": 0.87, + "content": "1 0 ^ { 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 615, + 348, + 629 + ], + "score": 1.0, + "content": "for MuJoCo and", + "type": "text" + }, + { + "bbox": [ + 349, + 616, + 381, + 627 + ], + "score": 0.92, + "content": "5 \\times 1 0 ^ { 6 }", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 615, + 506, + 629 + ], + "score": 1.0, + "content": "for Atari environments. In the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 627, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 286, + 640 + ], + "score": 1.0, + "content": "pretraining, we sampled 20 trajectories from", + "type": "text" + }, + { + "bbox": [ + 286, + 629, + 297, + 639 + ], + "score": 0.85, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 627, + 472, + 640 + ], + "score": 1.0, + "content": ", and the data from each trajectory had both", + "type": "text" + }, + { + "bbox": [ + 472, + 628, + 487, + 639 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 627, + 505, + 640 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 107, + 637, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 107, + 639, + 121, + 649 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 637, + 324, + 652 + ], + "score": 1.0, + "content": "observations. In the training, each method learned", + "type": "text" + }, + { + "bbox": [ + 324, + 638, + 357, + 649 + ], + "score": 0.92, + "content": "4 \\times 1 0 ^ { 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 637, + 448, + 652 + ], + "score": 1.0, + "content": "steps for MuJoCo and", + "type": "text" + }, + { + "bbox": [ + 449, + 638, + 481, + 649 + ], + "score": 0.91, + "content": "2 \\times 1 0 ^ { 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 637, + 506, + 652 + ], + "score": 1.0, + "content": "steps", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 648, + 276, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 183, + 662 + ], + "score": 1.0, + "content": "for Atari under the", + "type": "text" + }, + { + "bbox": [ + 183, + 649, + 198, + 660 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 648, + 261, + 662 + ], + "score": 1.0, + "content": "space to obtain", + "type": "text" + }, + { + "bbox": [ + 262, + 651, + 273, + 660 + ], + "score": 0.85, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 648, + 276, + 662 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 594, + 506, + 662 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 675, + 162, + 685 + ], + "lines": [ + { + "bbox": [ + 105, + 673, + 163, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 163, + 686 + ], + "score": 1.0, + "content": "5.2 Results", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "Experimental results are reported in Figure 6. Since the mapping function is hard to learn when", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "input is RAM and output is raw images, we omit the results of GAMA in Atari. We can observe that", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 709, + 503, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 491, + 725 + ], + "score": 1.0, + "content": "while IW is better than GAIL in most environments, both GAIL and IW can hardly outperform", + "type": "text" + }, + { + "bbox": [ + 492, + 713, + 503, + 722 + ], + "score": 0.83, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + } + ], + "index": 38 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 688, + 506, + 725 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 85, + 72, + 505, + 226 + ], + "lines": [ + { + "bbox": [ + 104, + 70, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 70, + 297, + 87 + ], + "score": 1.0, + "content": "Because they just imitated the performance of", + "type": "text" + }, + { + "bbox": [ + 298, + 74, + 309, + 84 + ], + "score": 0.86, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 70, + 353, + 87 + ], + "score": 1.0, + "content": "instead of", + "type": "text" + }, + { + "bbox": [ + 353, + 75, + 366, + 84 + ], + "score": 0.86, + "content": "\\pi _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 70, + 506, + 87 + ], + "score": 1.0, + "content": ", even with importance-weighting", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 82, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 97 + ], + "score": 1.0, + "content": "for calibration. For TPIL, its learning process was extremely unstable on Hopper, Swimmer, and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "Walker2d due to the continuous distribution shift. Furthermore, the performance of GAMA was", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 104, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "not satisfactory in Hopper and Walker2d because its mapping function is hard to learn well when", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "the support mismatch appears. The results of TPIL and GAMA demonstrate that DSIL methods", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 126, + 504, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 489, + 141 + ], + "score": 1.0, + "content": "will be invalid under heterogeneous observations as in HOIL tasks. On Atari environments,", + "type": "text" + }, + { + "bbox": [ + 489, + 127, + 504, + 138 + ], + "score": 0.87, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 137, + 504, + 151 + ], + "spans": [ + { + "bbox": [ + 104, + 137, + 273, + 151 + ], + "score": 1.0, + "content": "contains more privileged information than", + "type": "text" + }, + { + "bbox": [ + 273, + 138, + 288, + 149 + ], + "score": 0.9, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 137, + 489, + 151 + ], + "score": 1.0, + "content": ", so LBC can achieve good performance. But when", + "type": "text" + }, + { + "bbox": [ + 489, + 139, + 504, + 149 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 149, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 104, + 149, + 214, + 162 + ], + "score": 1.0, + "content": "is not more privileged than", + "type": "text" + }, + { + "bbox": [ + 215, + 149, + 229, + 160 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 149, + 506, + 162 + ], + "score": 1.0, + "content": ", like in most environments of MuJoCo, its performance will decrease", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 159, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 506, + 173 + ], + "score": 1.0, + "content": "due to the support mismatch, which would make it even worse than BC. Finally, IWRE obtained", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 169, + 507, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 507, + 184 + ], + "score": 1.0, + "content": "the best performance on 6/8 environments, and comparable performance with LBC on Reacher,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 182, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 406, + 194 + ], + "score": 1.0, + "content": "which shows the effectiveness of our method even with limited access to", + "type": "text" + }, + { + "bbox": [ + 407, + 182, + 421, + 193 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 182, + 506, + 194 + ], + "score": 1.0, + "content": "(LBC can access to", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 192, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 122, + 204 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 192, + 505, + 205 + ], + "score": 1.0, + "content": "all the time). Besides, we can see that the performance differences between the GAIL/IW and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "score": 1.0, + "content": "IWRE/TPIL/GAMA/LBC are huge (especially on Reacher) because of the absence of queries, which", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 215, + 420, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 420, + 227 + ], + "score": 1.0, + "content": "demonstrates that the query operation is indeed necessary for HOIL problems.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 86, + 231, + 505, + 286 + ], + "lines": [ + { + "bbox": [ + 106, + 231, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 505, + 243 + ], + "score": 1.0, + "content": "Moreover, even learned with true rewards, PPO-RAM surprisingly failed to achieve comparable", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "performance to IWRE, which shows that IWRE could possibly learn more effective rewards than", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "score": 1.0, + "content": "true environmental rewards in RAM-input tasks. The results verify that, IWRE provides a powerful", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 262, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 104, + 262, + 506, + 277 + ], + "score": 1.0, + "content": "approach for tackling HOIL problems, even under the situation that the demonstrations are gathered", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 273, + 465, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 315, + 288 + ], + "score": 1.0, + "content": "from such a different observation space, meanwhile", + "type": "text" + }, + { + "bbox": [ + 315, + 275, + 330, + 286 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 273, + 465, + 288 + ], + "score": 1.0, + "content": "is strictly limited during training.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 291, + 336, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 290, + 338, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 204, + 304 + ], + "score": 1.0, + "content": "t-SNE visualization of", + "type": "text" + }, + { + "bbox": [ + 204, + 292, + 219, + 303 + ], + "score": 0.88, + "content": "\\rho _ { \\pi _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 290, + 240, + 304 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 240, + 293, + 256, + 303 + ], + "score": 0.88, + "content": "\\rho _ { \\pi _ { \\mathrm { E } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 290, + 286, + 304 + ], + "score": 1.0, + "content": "under", + "type": "text" + }, + { + "bbox": [ + 287, + 291, + 302, + 302 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 290, + 338, + 304 + ], + "score": 1.0, + "content": ". In Sec-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 301, + 337, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 281, + 314 + ], + "score": 1.0, + "content": "tion 4.2, we point that the sub-optimality of", + "type": "text" + }, + { + "bbox": [ + 282, + 303, + 293, + 313 + ], + "score": 0.87, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 301, + 337, + 314 + ], + "score": 1.0, + "content": "will cause", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 312, + 338, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 338, + 325 + ], + "score": 1.0, + "content": "the problem of support mismatch, which is embodied as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 324, + 338, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 275, + 336 + ], + "score": 1.0, + "content": "the appearance of the latent demonstration", + "type": "text" + }, + { + "bbox": [ + 275, + 324, + 285, + 334 + ], + "score": 0.75, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 324, + 338, + 336 + ], + "score": 1.0, + "content": "during train-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 334, + 337, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 337, + 347 + ], + "score": 1.0, + "content": "ing. Also the empirical results in Figure 5 on Hopper and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 344, + 338, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 338, + 358 + ], + "score": 1.0, + "content": "Walker2d verify the existence of this problem. So we want", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 356, + 337, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 337, + 369 + ], + "score": 1.0, + "content": "to investigate whether the superiority of IWRE indeed", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 367, + 337, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 337, + 379 + ], + "score": 1.0, + "content": "comes from successfully tackling the support mismatch", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 379, + 337, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 337, + 389 + ], + "score": 1.0, + "content": "problem. To this end, we plotted the t-SNE visualization", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 389, + 337, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 337, + 401 + ], + "score": 1.0, + "content": "of the same expert demonstrations as in Section 4.2 and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 400, + 336, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 187, + 412 + ], + "score": 1.0, + "content": "the collected data of", + "type": "text" + }, + { + "bbox": [ + 187, + 401, + 199, + 411 + ], + "score": 0.86, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 400, + 263, + 412 + ], + "score": 1.0, + "content": "by IWRE under", + "type": "text" + }, + { + "bbox": [ + 264, + 400, + 279, + 411 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 400, + 283, + 412 + ], + "score": 1.0, + "content": "(", + "type": "text" + }, + { + "bbox": [ + 283, + 400, + 298, + 411 + ], + "score": 0.86, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 400, + 336, + 412 + ], + "score": 1.0, + "content": "is hidden", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 411, + 336, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 116, + 422 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 412, + 128, + 422 + ], + "score": 0.8, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 411, + 336, + 422 + ], + "score": 1.0, + "content": "). All setups are the same as in Section 4.2. From the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 422, + 334, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 319, + 434 + ], + "score": 1.0, + "content": "results shown in Figure 7, we can see that even under", + "type": "text" + }, + { + "bbox": [ + 319, + 422, + 334, + 433 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 432, + 337, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 225, + 446 + ], + "score": 1.0, + "content": "which cannot be obtained by", + "type": "text" + }, + { + "bbox": [ + 226, + 434, + 237, + 444 + ], + "score": 0.84, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 432, + 337, + 446 + ], + "score": 1.0, + "content": ", almost all high-density", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 444, + 338, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 338, + 455 + ], + "score": 1.0, + "content": "regions of the demonstrations were covered by the col-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 453, + 337, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 299, + 467 + ], + "score": 1.0, + "content": "lected data. 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Since", + "type": "text" + }, + { + "bbox": [ + 375, + 504, + 390, + 515 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 502, + 443, + 516 + ], + "score": 1.0, + "content": "is hidden to", + "type": "text" + }, + { + "bbox": [ + 443, + 506, + 455, + 515 + ], + "score": 0.84, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 502, + 506, + 516 + ], + "score": 1.0, + "content": ", the reward", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 513, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 203, + 528 + ], + "score": 1.0, + "content": "function will encourage", + "type": "text" + }, + { + "bbox": [ + 204, + 516, + 215, + 525 + ], + "score": 0.85, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 513, + 506, + 528 + ], + "score": 1.0, + "content": "to explore more areas to fix the support mismatch problem. 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For TPIL, its learning process was extremely unstable on Hopper, Swimmer, and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "Walker2d due to the continuous distribution shift. Furthermore, the performance of GAMA was", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 104, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "not satisfactory in Hopper and Walker2d because its mapping function is hard to learn well when", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "the support mismatch appears. The results of TPIL and GAMA demonstrate that DSIL methods", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 126, + 504, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 489, + 141 + ], + "score": 1.0, + "content": "will be invalid under heterogeneous observations as in HOIL tasks. On Atari environments,", + "type": "text" + }, + { + "bbox": [ + 489, + 127, + 504, + 138 + ], + "score": 0.87, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 137, + 504, + 151 + ], + "spans": [ + { + "bbox": [ + 104, + 137, + 273, + 151 + ], + "score": 1.0, + "content": "contains more privileged information than", + "type": "text" + }, + { + "bbox": [ + 273, + 138, + 288, + 149 + ], + "score": 0.9, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 137, + 489, + 151 + ], + "score": 1.0, + "content": ", so LBC can achieve good performance. But when", + "type": "text" + }, + { + "bbox": [ + 489, + 139, + 504, + 149 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 149, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 104, + 149, + 214, + 162 + ], + "score": 1.0, + "content": "is not more privileged than", + "type": "text" + }, + { + "bbox": [ + 215, + 149, + 229, + 160 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 149, + 506, + 162 + ], + "score": 1.0, + "content": ", like in most environments of MuJoCo, its performance will decrease", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 159, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 506, + 173 + ], + "score": 1.0, + "content": "due to the support mismatch, which would make it even worse than BC. Finally, IWRE obtained", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 169, + 507, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 507, + 184 + ], + "score": 1.0, + "content": "the best performance on 6/8 environments, and comparable performance with LBC on Reacher,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 182, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 406, + 194 + ], + "score": 1.0, + "content": "which shows the effectiveness of our method even with limited access to", + "type": "text" + }, + { + "bbox": [ + 407, + 182, + 421, + 193 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 182, + 506, + 194 + ], + "score": 1.0, + "content": "(LBC can access to", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 192, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 122, + 204 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 192, + 505, + 205 + ], + "score": 1.0, + "content": "all the time). Besides, we can see that the performance differences between the GAIL/IW and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "score": 1.0, + "content": "IWRE/TPIL/GAMA/LBC are huge (especially on Reacher) because of the absence of queries, which", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 215, + 420, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 420, + 227 + ], + "score": 1.0, + "content": "demonstrates that the query operation is indeed necessary for HOIL problems.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 6.5, + "bbox_fs": [ + 104, + 70, + 507, + 227 + ] + }, + { + "type": "text", + "bbox": [ + 86, + 231, + 505, + 286 + ], + "lines": [ + { + "bbox": [ + 106, + 231, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 505, + 243 + ], + "score": 1.0, + "content": "Moreover, even learned with true rewards, PPO-RAM surprisingly failed to achieve comparable", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "performance to IWRE, which shows that IWRE could possibly learn more effective rewards than", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "score": 1.0, + "content": "true environmental rewards in RAM-input tasks. The results verify that, IWRE provides a powerful", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 262, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 104, + 262, + 506, + 277 + ], + "score": 1.0, + "content": "approach for tackling HOIL problems, even under the situation that the demonstrations are gathered", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 273, + 465, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 315, + 288 + ], + "score": 1.0, + "content": "from such a different observation space, meanwhile", + "type": "text" + }, + { + "bbox": [ + 315, + 275, + 330, + 286 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 273, + 465, + 288 + ], + "score": 1.0, + "content": "is strictly limited during training.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16, + "bbox_fs": [ + 104, + 231, + 506, + 288 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 291, + 336, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 290, + 338, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 204, + 304 + ], + "score": 1.0, + "content": "t-SNE visualization of", + "type": "text" + }, + { + "bbox": [ + 204, + 292, + 219, + 303 + ], + "score": 0.88, + "content": "\\rho _ { \\pi _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 290, + 240, + 304 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 240, + 293, + 256, + 303 + ], + "score": 0.88, + "content": "\\rho _ { \\pi _ { \\mathrm { E } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 290, + 286, + 304 + ], + "score": 1.0, + "content": "under", + "type": "text" + }, + { + "bbox": [ + 287, + 291, + 302, + 302 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 290, + 338, + 304 + ], + "score": 1.0, + "content": ". In Sec-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 301, + 337, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 281, + 314 + ], + "score": 1.0, + "content": "tion 4.2, we point that the sub-optimality of", + "type": "text" + }, + { + "bbox": [ + 282, + 303, + 293, + 313 + ], + "score": 0.87, + "content": "\\pi _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 301, + 337, + 314 + ], + "score": 1.0, + "content": "will cause", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 312, + 338, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 338, + 325 + ], + "score": 1.0, + "content": "the problem of support mismatch, which is embodied as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 324, + 338, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 275, + 336 + ], + "score": 1.0, + "content": "the appearance of the latent demonstration", + "type": "text" + }, + { + "bbox": [ + 275, + 324, + 285, + 334 + ], + "score": 0.75, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 324, + 338, + 336 + ], + "score": 1.0, + "content": "during train-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 334, + 337, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 337, + 347 + ], + "score": 1.0, + "content": "ing. Also the empirical results in Figure 5 on Hopper and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 344, + 338, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 338, + 358 + ], + "score": 1.0, + "content": "Walker2d verify the existence of this problem. So we want", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 356, + 337, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 337, + 369 + ], + "score": 1.0, + "content": "to investigate whether the superiority of IWRE indeed", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 367, + 337, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 337, + 379 + ], + "score": 1.0, + "content": "comes from successfully tackling the support mismatch", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 379, + 337, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 337, + 389 + ], + "score": 1.0, + "content": "problem. To this end, we plotted the t-SNE visualization", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 389, + 337, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 337, + 401 + ], + "score": 1.0, + "content": "of the same expert demonstrations as in Section 4.2 and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 400, + 336, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 187, + 412 + ], + "score": 1.0, + "content": "the collected data of", + "type": "text" + }, + { + "bbox": [ + 187, + 401, + 199, + 411 + ], + "score": 0.86, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 400, + 263, + 412 + ], + "score": 1.0, + "content": "by IWRE under", + "type": "text" + }, + { + "bbox": [ + 264, + 400, + 279, + 411 + ], + "score": 0.88, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 400, + 283, + 412 + ], + "score": 1.0, + "content": "(", + "type": "text" + }, + { + "bbox": [ + 283, + 400, + 298, + 411 + ], + "score": 0.86, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 400, + 336, + 412 + ], + "score": 1.0, + "content": "is hidden", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 411, + 336, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 116, + 422 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 412, + 128, + 422 + ], + "score": 0.8, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 411, + 336, + 422 + ], + "score": 1.0, + "content": "). All setups are the same as in Section 4.2. 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Since", + "type": "text" + }, + { + "bbox": [ + 375, + 504, + 390, + 515 + ], + "score": 0.89, + "content": "\\mathcal { O } _ { \\mathrm { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 502, + 443, + 516 + ], + "score": 1.0, + "content": "is hidden to", + "type": "text" + }, + { + "bbox": [ + 443, + 506, + 455, + 515 + ], + "score": 0.84, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 502, + 506, + 516 + ], + "score": 1.0, + "content": ", the reward", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 513, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 203, + 528 + ], + "score": 1.0, + "content": "function will encourage", + "type": "text" + }, + { + "bbox": [ + 204, + 516, + 215, + 525 + ], + "score": 0.85, + "content": "\\pi _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 513, + 506, + 528 + ], + "score": 1.0, + "content": "to explore more areas to fix the support mismatch problem. 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[N/A]", + "type": "text" + } + ], + "index": 20, + "is_list_end_line": true + } + ], + "index": 17.5, + "bbox_fs": [ + 145, + 274, + 506, + 347 + ] + } + ] + } + ], + "_backend": "pipeline", + "_version_name": "2.2.2" +} \ No newline at end of file diff --git a/parse/dev/99RpBVpLiX/99RpBVpLiX.md b/parse/dev/99RpBVpLiX/99RpBVpLiX.md new file mode 100644 index 0000000000000000000000000000000000000000..58b36a7bb8f331f5ac3d86e8d92eab9ea09adf0f --- /dev/null +++ b/parse/dev/99RpBVpLiX/99RpBVpLiX.md @@ -0,0 +1,862 @@ +# DISTILLING MODEL FAILURES AS DIRECTIONS IN LATENT SPACE + +Saachi Jain\*, Hannah Lawrence\*, Ankur Moitra & Aleksander M ˛adry Massachusetts Institute of Technology, Cambridge, USA {saachij,hanlaw,moitra,madry}@mit.edu, ( $^ *$ Equal contribution) + +# ABSTRACT + +Existing methods for isolating hard subpopulations and spurious correlations in datasets often require human intervention. This can make these methods laborintensive and dataset-specific. To address these shortcomings, we present a scalable method for automatically distilling a model’s failure modes. Specifically, we harness linear classifiers to identify consistent error patterns, and, in turn, induce a natural representation of these failure modes as directions within the feature space. We demonstrate that this framework allows us to discover and automatically caption challenging subpopulations within the training dataset. Moreover, by combining our framework with off-the-shelf diffusion models, we can generate images that are especially challenging for the analyzed model, and thus can be used to perform synthetic data augmentation that helps remedy the model’s failure modes. + +# 1 INTRODUCTION + +The composition of the training dataset has key implications for machine learning models’ behavior (Feldman, 2019; Carlini et al., 2019; Koh & Liang, 2017; Ghorbani & Zou, 2019; Ilyas et al., 2022), especially as the training environments often deviate from deployment conditions (Rabanser et al., 2019; Koh et al., 2020; Hendrycks et al., 2020). For example, a model might struggle on specific subpopulations in the data if that subpopulation was mislabeled (Northcutt et al., 2021; Stock & Cisse, 2018; Beyer et al., 2020; Vasudevan et al., 2022), underrepresented (Sagawa et al., 2020; Santurkar et al., 2021), or corrupted (Hendrycks & Dietterich, 2019; Hendrycks et al., 2020). More broadly, the training dataset might contain spurious correlations, encouraging the model to depend on prediction rules that do not generalize to deployment (Xiao et al., 2020; Geirhos et al., 2020; DeGrave et al., 2021). Moreover, identifying meaningful subpopulations within data allows for dataset refinement (such as filtering or relabeling) (Yang et al., 2019; Stock & Cisse, 2018), and training more fair (Kim et al., 2019; Du et al., 2021) or accurate (Jabbour et al., 2020; Srivastava et al., 2020) models. + +However, dominant approaches to such identification of biases and difficult subpopulations within datasets often require human intervention, which is typically labor intensive and thus not conducive to routine usage. For example, recent works (Tsipras et al., 2020; Vasudevan et al., 2022) need to resort to manual data exploration to identify label idiosyncrasies and failure modes in widely used datasets such as ImageNet. On the other hand, a different line of work (Sohoni et al., 2020; Nam et al., 2020; Kim et al., 2019; Liu et al., 2021; Hashimoto et al., 2018) does present automatic methods for identifying and intervening on hard examples, but these methods are not designed to capture simple, human-understandable patterns. For instance, Liu et al. (2021) directly upweights inputs that were misclassified early in training, but these examples do not necessarily represent a consistent failure mode. This motivates the question: + +# How can we extract meaningful patterns of model errors on large datasets? + +One way to approach this question is through model interpretability methods. These include saliency maps (Adebayo et al., 2018; Simonyan et al., 2013), integrated gradients (Sundararajan et al., 2017), and LIME (Ribeiro et al., 2016b), and perform feature attribution for particular inputs. Specifically, they aim to highlight which parts of an input were most important for making a model prediction, and can thus hint at brittleness of that prediction. However, while feature attribution can indeed help debug individual test examples, it does not provide a global understanding of the underlying biases of the dataset — at least without manually examining many such individual attributions. + +# OUR CONTRIBUTIONS + +In this work, we build a scalable mechanism for globally understanding large datasets from the perspective of the model’s prediction rules. Specifically, our goal is not only to identify interpretable failure modes within the data, but also to inform actionable interventions to remedy these problems. + +Our approach distills a given model’s failure modes as directions in a certain feature space. In particular, we train linear classifiers on normalized feature embeddings within that space to identify consistent mistakes in the original model’s predictions. The decision boundary of each such classifier then defines a “direction" of hard examples. By measuring each data-point’s alignment with this identified direction, we can understand how relevant that example is for the failure mode we intend to capture. We leverage this framework to: + +• Detection: Automatically detect and quantify reliability failures, such as brittleness to distribution shifts or performance degradation on hard subpopulations (Section 2.1). +• Interpretation: Understand and automatically assign meaningful captions to the error patterns identified by our method (Section 2.2). +• Intervention: Intervene during training in order to improve model reliability along the identified axes of failure (Section 2.3). In particular, by leveraging our framework in conjunction with off-the-shelf diffusion models, we can perform synthetic data augmentation tailored to improve the analyzed model’s mistakes. + +Using our framework, we can automatically identify and intervene on hard subpopulations in image datasets such as CIFAR-10, ImageNet, and ChestX-ray14. Importantly, we do not require direct human intervention or pre-annotated subgroups. The resulting framework is thus a scalable approach to identifying important subpopulations in large datasets with respect to their downstream tasks. + +# 2 CAPTURING FAILURE MODES AS DIRECTIONS WITHIN A LATENT SPACE + +The presence of certain undesirable patterns, such as spurious correlations or underrepresented subpopulations, in a training dataset can prevent a learned model from properly generalizing during deployment. As a running example, consider the task of distinguishing “old” versus “young” faces, wherein the training dataset age is spuriously correlated with gender (such that the faces of older men and younger women are overrepresented). Such correlations occur in the CelebA dataset (Liu et al., 2015) (though here we construct a dataset that strengthens them)1. Thus, a model trained on such a dataset might rely too heavily on gender, and will struggle to predict the age of younger men or older women. How can we detect model failures on these subpopulations? + +The guiding principle of our framework is to model such failure modes as directions within a certain latent space (Figure 1). In the above example, we would like to identify an axis such that the (easier) examples of “old men” and the (harder) examples of “old women” lie in opposite directions. We then can capture the role of an individual data point in the dataset by evaluating how closely its normalized embedding aligns with that extracted direction (axis). But how can we learn these directions? + +Our method. The key idea of our approach is to find a hyperplane that best separates the correct examples from incorrect ones. In the presence of global failure modes such as spurious correlations, the original model will likely make consistent mistakes, and these mistakes will share features. Using a held out validation set, we can therefore train a linear support vector machine (SVM) for each class to predict the original model’s mistakes based on these shared features. The SVM then establishes a decision boundary between the correct and incorrect examples, and the direction of the failure mode will be orthogonal to this decision boundary (i.e., the normal vector to the hyperplane). Intuitively, the more aligned an example is with the identified failure direction, the harder the example was for the original neural network. Details of our method can be found in Appendix A. + +The choice of latent space: Leveraging shared vision/language embeddings. Naturally, the choice of embedding space for the SVM greatly impacts the types of failure modes it picks up. Which embedding space should we choose? One option is to use the latent space of the original neural network. However, especially if the model fits the training data perfectly, it has likely learned latent representations which overfit to the training labels. In our running example of CelebA, the few older women in the training set could be memorized, and so their latent embeddings would likely be very different from those of older women in the test set. As shown in Appendix B.1.6, these discontinuities reduce the efficacy of our method, as the resulting featurizations are likely inconsistent. + +![](images/3dfb9099250d4c0b21ce775c2abf155d6b63bf7527c6e2d53805ebc94ad9aec4.jpg) +Figure 1: A summary of our approach, as applied to CelebA. Consider the task of classifying faces as "young" or "old", where the training set contains a spurious correlation with gender. (Left) Given a trained base model, we evaluate it on a held-out validation set. (Middle) For each class (here “old"), we train a linear SVM on a shared vision/language latent space to predict whether the base model would have classified an input from the validation set correctly. We then extract a direction (gray) for the captured failure mode as the vector orthogonal to the learned hyperplane. Here, the SVM learns to use gender to separate the incorrect (red) vs. correct (green) examples. (Right) Images farthest from the SVM decision boundary exemplify the hardest (“old women") or the easiest (“old men") test examples. Furthermore, we can select captions that, when embedded in the shared latent space, are farthest from the decision boundary and thus capture the pattern of errors learned by the SVM. + +To address this problem, we use an embedding that is agnostic to the specific dataset. In particular, we featurize our images using CLIP (Radford et al., 2021), which embeds both images and language into a shared latent space of unit vectors. Using these embeddings will also let us automatically assign captions to the directions extracted from the SVM. We consider other latent spaces in Appendix B.1. + +Having captured the model’s failure modes as directions within that latent space, we can detect, interpret, and intervene on difficult subpopulations. We now describe implementing these primitives. + +# 2.1 DETECTION + +How can we tell whether the extracted direction actually encapsulates a prevalent error pattern? To answer this question, we need a way to quantify the strength of the identified failure mode. Our framework provides a natural metric: the validation error of the trained SVMs. The more consistent the failure mode is, the more easily a simple linear classifier can separate the errors in the CLIP embedding space. Thus, the cross-validation score (i.e, the SVM’s accuracy on held-out data) serves as a measure of the failure mode’s strength in the dataset. It can then be used to detect classes that have a clear bias present, which will be useful for the following interpretation and intervention steps. + +# 2.2 INTERPRETATION + +Since the trained SVMs are constrained to capture simple (approximately linearly separable) patterns in embedding space, we can easily interpret the extracted directions to understand the failure modes of the dataset. We explore two approaches to extracting the subpopulations captured by our framework. + +Most aligned examples. The examples whose normalized embeddings are most aligned with the extracted direction represent the most prototypically correct or incorrect inputs. Therefore, to get a sense of what failure mode the direction is capturing, we can examine the most extreme examples according to the SVM’s decision value, which is proportional to the signed distance to the SVM’s decision boundary. Returning to our running example, in Figure 1 the images of the “old" class that are the “most correct" correspond to men, while the “most incorrect" ones correspond to women. + +Automatic captioning. We can leverage the fact that the SVM is trained on a shared vision/language latent space (i.e., CLIP) to automatically assign captions to the captured failure mode. Just as above we surfaced the most aligned images, we can similarly surface the most aligned captions, i.e, captions whose normalized embedding best matches the extracted direction. + +Specifically, assume that each class has a reference caption $r$ , which is a generic phrase that could describe all examples of the class (e.g., “a photo of a person”). We then generate a candidate set of more specific captions $c _ { 1 } , . . . , c _ { m }$ that include additional attributes (e.g., “a photo of a person with a moustache”). Our goal is to pick the caption for which the additional information provided by $c$ — beyond that which was already provided by $r$ — best captures the the extracted failure mode. + +To do so, we score a caption $c$ by how aligned the normalized embedding $\begin{array} { r } { \hat { c } = \frac { c - r } { | | c - r | | _ { 2 } } } \end{array}$ is with the direction captured by the SVM. This amounts to choosing the captions for which $\hat { c }$ has the most positive (easiest) or negative (hardest) SVM decision values. In contrast to previous works that choose the captions closest to the mean of a selected group of hard examples (c.f., Eyuboglu et al. (2022)), our method avoids this proxy and directly assigns a caption to the captured failure mode itself. + +Directly decoding the SVM direction with diffusion models. Some of the recently developed diffusion models (e.g., retrieval augmented diffusion models (Blattmann et al., 2022), DALL-E 2 (Ramesh et al., 2022)) generate images directly from the shared vision/language (CLIP) space. In such cases, we can directly decode the extracted SVM direction into generated images. This enables us to visually capture the direction itself, without needing to generate a set of candidate captions. + +Specifically, let $r$ be the normalized embedding of the reference caption, and $w$ the normalized SVM direction. By rotating between $r$ and either $w$ or $- w$ via spherical interpolation, we can generate harder or easier images, respectively. Here, we expect the degree of rotation $\alpha$ to determine the extent of difficulty2. As shown in Section 4, passing this rotated embedding to the diffusion model indeed lets us directly generate images that encapsulate the extracted failure mode. + +# 2.3 INTERVENTION + +Now that we have identified some of the failure modes of the model, can we improve our model’s performance on the corresponding challenging subpopulations? It turns out that this is possible, via both real and synthetic data augmentation. + +Filtering intervention. Given an external pool of examples that was not used to train the original model, we can select the best of these examples to improve performance on the hard subpopulations. Specifically, if the goal is to add only $K$ examples per class to the training dataset (e.g., due to computation constraints), we simply add the $K$ images with the most negative SVM decision values. In Appendix B.1.2, we discuss an alternative intervention scheme, upweighting hard training examples. + +Synthetic data augmentation. In the absence of such an external pool of such data, we can leverage our framework together with text-to-image diffusion models (e.g., Stable Diffusion (Rombach et al., 2022), DALL-E 2 (Ramesh et al., 2022), and Imagen (Saharia et al., 2022)) to generate synthetic images instead. After automatically captioning each failure mode, we simply input these captions into the diffusion model to generate images from the corresponding subpopulation. In Section 4, we show that fine-tuning the model on such images improves model reliability on these subpopulations. + +# 3 VALIDATING OUR FRAMEWORK IN THE PRESENCE OF KNOWN SUBPOPULATIONS + +In Section 2, we presented an approach for distilling the failure modes as directions within a latent space. In this section, we validate our framework by evaluating its performance on datasets with known pathologies. In Section 4, we apply our framework to discover challenging subpopulations in datasets where the bias is not known beforehand. Experimental details can be found in Appendix B. + +![](images/c33229ad4541f9909b2a8bf34a43bf586390a9d831267e40ca98a2aa20916c9c.jpg) +Figure 2: For each CelebA class, the fraction of test images that are of the minority gender when ordering the images by either their SVM decision value or model confidences. We include additional baselines: Domino (Eyuboglu et al., 2022), LfF (Nam et al., 2020), and confidences after early stopping. Our framework more reliably captures the spurious correlation than all other baselines. + +![](images/9a1160cf033b4219214d79be18a4f6fc1e623b34dacc9decacec9461308391d0.jpg) + +![](images/350b608278c64eb6e0c935958b69d2d447dcdae48300495f45793fc782f353be.jpg) +Figure 4: Our SVM’s cross validation score (corresponding to its estimated ability to assess the strength of the extracted failure mode) compared to the strength of the planted spurious correlation. The SVM scores are highly correlated with the strength of the shift. +Figure 3: The images and captions for each class with the most extreme SVM decision values. Those scored as most incorrect are in the minority subpopulations (“old women" and “young men"), while those scored as most correct are in the majority subpopulations (“old men" and “young women"). + +We focus on two settings: (1) detecting a spurious correlation in a facial recognition dataset, and (2) isolating underrepresented subtypes in image classification. In Appendix B, we consider other settings, such as Colored MNIST (Arjovsky et al., 2019) and ImageNet-C (Hendrycks & Dietterich, 2019). + +3.1 USING OUR FRAMEWORK TO ISOLATE AND LABEL SPURIOUS CORRELATIONS + +We revisit our running example from Section 2, where a model is trained to predict age from the CelebA dataset. The training dataset contains a spurious correlation with gender (which we enhance by selectively subsetting the original dataset). We use a validation set that is balanced across age and gender, but also explore unbalanced validation sets in Appendix B.1 and Section 4. + +Capturing the spurious correlation. Does our framework identify gender as the key failure mode in this setting? It turns out that even though only $33 \%$ of the dataset comes from the challenging subpopulations “old women” and “young men”, $89 \%$ of the images flagged as incorrect by our framework are from these groups. Indeed, as shown in Figure 2, the SVM more consistently selects those hard subpopulations, compared to using the original confidences. As the underlying linear classifier is forced to use simple prediction rules, the corresponding SVM flags a more homogenous population than does using the original confidences. We find that our method further outperforms other baselines such as Domino (Eyuboglu et al., 2022), Learning from Failure (Nam et al., 2020), or using confidences after early stopping (as in Liu et al. (2021)) (see Appendix B.1 for further experimental details). + +Automatically interpreting the captured failure mode. In Figure 3, we surface the examples most aligned with the extracted direction using the SVM’s decision values. As shown, examples with the most negative SVM decision values are indeed from the hard subpopulations. We also automatically caption each captured failure mode. To this end, we consider a candidate caption set which includes attributes such as age, gender, and facial descriptors. The captions that are most aligned with the extracted direction in CLIP space capture the spurious correlation on gender (Figure 3). + +![](images/2a5df0128fcba1b30e2ad1f57e6d224faef524652a30a074be462f89d1a82fbd.jpg) +Figure 5: For each CIFAR-100 superclass, the fraction of the top K flagged test images that belong to the underrepresented subclass (averaged over classes). We compare using the SVM’s decision value and the model’s confidences to select the top K images; the SVM more consistently identifies the minority subpopulation. + +![](images/5e3fe77c335b7d9474c1c6063ad1ad8f61c591409d55dd2aaaef019afedaa5b5.jpg) +Figure 6: For CIFAR-100, the accuracy on the minority subclasses after adding K images per superclass from the extra data (reported over five runs.) We compare using the SVM’s decision value or the model’s confidences to select images. Relying on the SVM’s values provides the most improvement on the minority subclasses. + +Quantifying the strength of the shift. As mentioned in Section 2, the cross-validation scores of the SVM quantify the strength of the spurious correlation. In Figure 4, we train base models on versions of CelebA with increasing degrees of the planted spurious correlation, and find that the SVM cross-validation scores strongly correlate with the strength of the planted shift. + +# 3.2 IDENTIFYING UNDERREPRESENTED SUB-TYPES + +Above, we considered a setting where the model predicts incorrectly because it relies on a spurious feature (gender). What if a model struggles on a subpopulation not due to a spurious feature, but simply because there are not enough examples of that image type? + +To evaluate our approach in this setting, consider the task of predicting the superclass of a hierarchical dataset when subclasses have been underrepresented. In particular, the CIFAR-100 (Krizhevsky, 2009) dataset contains twenty superclasses, each of which contains five equally represented subclasses. For each such superclass, we subsample one subclass so that it is underrepresented in the training data. For instance, for the superclass “aquatic mammals”, we remove a large fraction of the subclass beavers from the training dataset. In Figure 5, we find that our framework correctly isolates the minority subclass as the most incorrect for each superclass more consistently than does confidences. + +Validating automatic captioning. For each superclass, we construct a caption set that corresponds to the possible subclasses (e.g., for the superclass “aquatic mammals,” the caption set is “a photo of a beaver”, “a photo of a dolphin”, etc.). As we find, the caption corresponding to the minority subclass was the top negative caption for $80 \%$ of the superclasses, and in the top 2 for $9 5 \%$ of the superclasses. + +Filtering intervention. Having isolated hard subpopulations, we now apply our framework downstream to improve performance on them. We use the trained SVMs to choose a subset of images from a larger pool of data to add to the training set. In Figure 6, we find that using our framework to select this extra data improves accuracy on the minority subclasses more than what using model confidences or choosing a random subset offers, while maintaining approximately the same overall accuracy. + +# 4 DISCOVERING NEW SUBPOPULATIONS IN IMAGE DATASETS + +Above, we considered datasets with pathologies, such as spurious correlations or underrepresented subtypes, that were known. In this section, we apply our framework to datasets without any preannotated difficult subpopulations. Our approach discovers new subpopulations representing key failure modes for the models. Specifically, we apply our framework to CIFAR-10 (Krizhevsky, 2009) and ImageNet (Deng et al., 2009), and defer ChestX-ray14 (Rajpurkar et al., 2017) to Appendix C.3. Experimental details can be found in Appendix C. + +# 4.1 CIFAR-10 + +We begin with the CIFAR-10 (Krizhevsky, 2009) dataset. Since the accuracy of a ResNet18 on CIFAR-10 is very high $( 9 3 \% )$ , the original model does not make many errors. Thus, we instead consider a weaker base model trained with $20 \%$ of the original CIFAR-10 dataset, where the other $20 \%$ is used for validation and the last $60 \%$ is used as extra data for the subset intervention. (See Appendix C.1 for additional experiments, including applying our framework to the larger CIFAR-10 dataset.) + +![](images/00329b6d87cc4a0de3cf02a9d8f2c4d8c0f68dfffea4c73f3e9c66568ffb67b0.jpg) + +![](images/aed1ae2ef5823b4f0901d2eda3d6706032a2b3d2d6c8436c8f44e79a7513f897.jpg) +(b) Model accuracies on each identified subpopulation. + +![](images/e529e103f2f38663d7448a35d681ce8627d3e1f7225f41b98cb4c67b82a512a1.jpg) +Figure 7: (a) The images with the most extreme SVM decision values for the CIFAR-10 classes cat and dog, along with the most positive/negative captions according to the SVM. (See Appendix C.1.3 for more examples.) (b) For each class, the accuracy of the K test images closest in CLIP embedding space to the most positive/negative SVM captions for that class (averaged over classes). The images closest to the negative caption have a lower accuracy than those closest to the positive caption. +Figure 8: To directly decode the SVM direction into images, we spherically interpolate the extracted direction and the embedding of the reference caption before passing this vector to a diffusion model. (a) Examples of synthetic hard and easy images of CIFAR-10 cats and dogs. The generated images match the trends found in Figure 7a. Further examples can be found in Appendix C.1.4. (b) Base model accuracy on generated hard and easy images (100 images per CIFAR-10 class) over varying degrees of spherical interpolation $( \alpha )$ . Neutral images were generated using the reference caption. The base model performs worst on the hard generated images and best on the easy ones. + +![](images/cc180606452926980fb55217dd94ad5d6f200c2f1228efff2b837642f54b8a12.jpg) +(b) Model accuracies on the generated images. + +Finding interpretable subpopulations within the CIFAR-10 dataset. Figure 7a displays examples of the failure modes identified by our framework. We identify white cats on grass and black dogs as hard, while classifying brown cats and white/brown dogs that are inside as easy. + +Do these directions in latent space map to real failure modes of the base model? Without manual annotations, we can no longer directly report the original model’s accuracy on these minority groups. However, as a proxy, we evaluate images that are closest in cosine similarity to the captions chosen by the SVM. For example, to get white cats on the grass, we rank the CIFAR-10 cats by how close their embeddings are to the caption “a photo of a white cat on grass” in CLIP space3. Using this proxy, in Figure 7b we confirm that the surfaced SVM captions represent real failure modes in the dataset. + +Decoding the SVM direction to generate challenging images. Since the SVM operates in CLIP space, we can directly decode the extracted direction into an image using an off-the-shelf diffusion model (Blattmann et al., 2022) which also samples from this space. By spherically interpolating between the embedding of the reference caption (e.g., “a photo of a cat") and the extracted SVM direction, we can generate harder or easier images corresponding to the extracted failure mode (Figure 8a). For example, interpolating with the hard direction for CIFAR-10 cats generates white cats on grass, matching the extracted SVM caption in Figure 7a. Across classes, we verify that the original model performs worse on the “hard" generated images and better on the “easy” ones (Figure 8b). + +![](images/074803d1e837740d9ab89559c55dcd530a5e5607166a2326ebfb22f16997bd81.jpg) +(a) Evaluating images closest to the hard subpopulation + +![](images/f4a573f7aeefb6d95cd0ae19fdbe65c32c00c34e195027ae0053d50bd94dc789.jpg) +(b) Evaluating images closest to the easy subpopulation +Figure 9: We fine-tune the model using 100 synthetic images per class generated via stable diffusion based on the hard, easy, or reference caption. We measure the accuracy of the K test images closest to the (a) hard or (b) easy SVM caption in CLIP space. Fine-tuning the model on the images generated from the hard captions boosts the accuracy of the model on these corresponding, real test images more than augmenting with generic synthetic images does. The analogous phenomenon does not hold, however, when we target the easy subpopulation. + +Targeted synthetic data augmentation. By leveraging text-to-image generative models, we can generate images for targeted data augmentation. Using a off-the-shelf stable diffusion (Rombach et al., 2022) model, we generate 100 images per class using the corresponding negative SVM caption (e.g., “a photo of a white cat on the grass”) as the prompt. After adding these images to the training set, we retrain the last layer of the original model. Fine-tuning the model on these synthetic images improves accuracy on the hard subpopulation — defined according to similarity in CLIP space to the negative caption — compared to using generic images generated from the reference caption (Figure 9a). + +It turns out that this procedure for targeted synthetic data augmentation is particularly effective for the identified challenging subpopulation. Generating images using the easy caption (e.g., “a photo of a cat inside”) does not improve accuracy on images within that subpopulation any more than augmenting with generic synthetic images (Figure 9b). + +It is also possible to augment the dataset with images generated directly from the SVM direction, as in Figure 8a, using a diffusion model that samples directly from CLIP space. In doing so, we could skip the intermediate captioning stage entirely. Currently, the diffusion models that operate in CLIP space are either not open-source (DALL-E 2 (Ramesh et al., 2022)) or trained with less data (Blattmann et al., 2022). However, with further progress in CLIP-space diffusion models, this may be a promising mechanism for tailoring data augmentation directly from the SVM direction. + +# 4.2 IMAGENET + +We also apply our framework on a larger scale: to find challenging subpopulations in ImageNet (Deng et al., 2009) (see Appendix C.2 for further experimental details). In Figure 10a, we display examples of the failure modes captured by our framework with their associated SVM captions. These biases include over-reliance on color (e.g., the coat of a red wolf) or sensitivity to co-occurring objects (e.g the presence of a person holding the fish tench). We include more examples in Appendix C.2.1. + +As in Section 4.1, we validate that these directions correspond to real failure modes by evaluating the accuracy of the test images that are closest to the positive or negative SVM caption in CLIP space (Figure 10b). The identified subpopulations indeed have a significant difference in overall accuracy. + +# 5 RELATED WORK + +Debiasing/fairness under known biases. There are many works on optimizing group fairness with respect to known biases (Feldman et al., 2015; Kamishima et al., 2011; Hardt et al., 2016; Zafar et al., 2017; Kusner et al., 2017; Balashankar et al., 2019); see also (Mehrabi et al., 2021; Hashimoto et al., 2018) and the references therein. Outside the fairness literature, de-biasing approaches in machine learning have been proposed for mitigating the effect of known biases during training (Sagawa et al., 2020; Yang et al., 2019; He et al., 2019; Belinkov et al., 2019; Clark et al., 2019). + +Discovery and mitigation of hard subpopulations. One line of work uses manual exploration to identify pathologies, such as label ambiguity, in ImageNet (Stock & Cisse, 2018; Vasudevan et al., + +![](images/3b016dedd4c9b726c17c6dc4e1d8a20e99f04c3c70dd489edabe2a3917c1c879.jpg) +(a) Most extreme images and extracted SVM captions. + +![](images/7b3cb796e7b6ddbdb8f70bad0e216bfe6a7690598126edb1dfc2c2eb7bdf0a54.jpg) +(b) Model accuracies on each identified subpopulation +Figure 10: (a) The most extreme images and captions by SVM decision value for ImageNet classes tench and red wolf. Our framework identifies clear biases on color (e.g red wolf) and co-occurrence of unrelated objects (e.g tench). (b) For each class, the accuracy of the top K images that were closest in CLIP space to the most positive/negative SVM captions for that class. The identified hard (negative) subpopulation has a lower accuracy than the identified easy (positive) subpopulation. + +2022; Tsipras et al., 2020). Another presents automatic methods for discovering and intervening on hard subpopulations. Sohoni et al. (2020) estimates subclass structure by clustering in the model’s latent space, while Liu et al. (2021) directly upweights examples that the model misclassified early in training. Other works directly train a second model which “emphasizes” the examples on which a base model struggles (Nam et al., 2020; Hashimoto et al., 2018; Bao & Barzilay, 2022; Kim et al., 2019; Utama et al., 2020; Sanh et al., 2020). Unlike our framework, these methods focus on the overall test accuracy, rather than finding a consistent failure mode. Perhaps the closest work in spirit to ours is Eyuboglu et al. (2022), which presents an automatic method for identifying challenging subsets by fitting a Gaussian mixture model in CLIP space. However, our SVM provides a stronger inductive bias towards simple subclasses, and furthermore imposes a useful geometry on the latent space for scoring data points, intervening, and selecting captions in a more principled manner. + +Model interpretability. Model interpretability methods seek to identify the relevant features for a model’s prediction. They include gradient- (Simonyan et al., 2013; Dabkowski & Gal, 2017; Sundararajan et al., 2017) and perturbation-based (Ribeiro et al., 2016a; Goyal et al., 2019; Fong & Vedaldi, 2017; Dabkowski & Gal, 2017; Zintgraf et al., 2017; Dhurandhar et al., 2018; Chang et al., 2019; Hendricks et al., 2018; Singla et al., 2021) methods. Other works analyze the model’s activations (Bau et al., 2017; Kim et al., 2018; Yeh et al., 2020; Wong et al., 2021). Li & Xu (2021) use a generative model to find biased attributes that impact model predictions. Concurrent work by Abid et al. (2022) uses predefined concept activation vectors to discover latent space perturbations that correct a model’s mistake. Finally, several papers investigate the vulnerability of models to specific biases such as sensitivity to texture (Geirhos et al., 2019), background (Xiao et al., 2020), spatial perturbations (Engstrom et al., 2019), common corruptions (Hendrycks & Dietterich, 2019), and non-robust features (Szegedy et al., 2014; Goodfellow et al., 2015; Madry et al., 2018). + +# 6 CONCLUSION + +In this paper, we introduce a framework for automatically isolating, interpreting, and intervening on hard but interpretable subpopulations of a dataset. In particular, by distilling the model’s failure modes as directions in a latent space, our framework provides a mechanism for studying data-points in the context of the model’s prediction rules. We thus can leverage our framework to automatically caption the captured failure mode, quantify the strength of distribution shifts, and intervene to improve the model’s performance on minority subgroups. Notably, our method enables the effective, automated application of text-to-image models for synthetic data augmentation. We find that our technique succeeds not only on datasets with planted hard subpopulations, but also on natural and widely-used datasets; as such, we hope it will serve as a useful tool for scalable dataset exploration and debiasing. + +Several interesting directions remain for further study. One of them is developing sophisticated methods for caption candidate generation. Moreover, a given class may have multiple important failure modes. Therefore, extending our method to disentangle these distinct failure modes—rather than identifying only the most prominent one—is another promising direction for future work. + +# 7 ACKNOWLEDGEMENTS + +Work supported in part by the NSF grants CCF-1553428 and CNS-1815221 and Open Philanthropy. This material is based upon work supported by the Defense Advanced Research Projects Agency (DARPA) under Contract No. HR001120C0015. HL is supported by the Fannie and John Hertz Foundation and the National Science Foundation Graduate Research Fellowship under Grant No. 1745302. SJ is supported by the Two Sigma Diversity Fellowship. + +Research was sponsored by the United States Air Force Research Laboratory and the United States Air Force Artificial Intelligence Accelerator and was accomplished under Cooperative Agreement Number FA8750-19-2-1000. 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In International World Wide Web Conference (WWW), 2017. + +Luisa M Zintgraf, Taco S Cohen, Tameem Adel, and Max Welling. Visualizing deep neural network decisions: Prediction difference analysis. arXiv preprint arXiv:1702.04595, 2017. + +# A SETUP DETAILS + +A.1 CODE + +Our code is available at https://github.com/MadryLab/failure-directions. + +# A.2 FORMAL DESCRIPTION OF METHOD + +Preliminaries We consider a standard image classification problem with image space $\mathcal { X }$ and label space $\mathcal { V }$ , training data $( x , y ) \in \mathcal { D } _ { t r a i n }$ , a held-out validation set $\mathcal { D } _ { v a l }$ , and test set $\mathcal { D } _ { t e s t }$ . Using the training data, we have trained a base model (such as a neural network) $f _ { n n } : \mathcal { X } \mathcal { Y }$ to predict a label given the input. For convenience, we define the “correctness” function $c : \mathcal { X } \{ - 1 , + 1 \}$ , where $\overset { \cdot } { c } ( x ) = 1$ if ${ \dot { f } } _ { n n } ( x )$ correctly outputs the label associated to $x$ , and $c ( x ) = - 1$ otherwise. + +A linear support vector machine (SVM) is a simple linear classifier, which finds a hyperplane separating the data with the maximum margin. Specifically, given $d$ -dimensional embeddings $\{ x \} _ { i = 1 } ^ { n }$ with labels $\{ y \} _ { i = 1 } ^ { n } \in \{ - 1 , 1 \} ^ { n }$ , a linear SVM computes coefficients $w \in \mathbb { R } ^ { d }$ and intercept $b \in \mathbb { R }$ which optimize the objective: + +$$ +\operatorname* { m i n } _ { w , b } \frac { 1 } { 2 } | | w | | _ { 2 } ^ { 2 } + C \sum _ { i = 1 } ^ { n } \operatorname* { m a x } ( 0 , 1 - y _ { i } ( w ^ { T } x _ { i } + b ) ) +$$ + +This optimization problem seeks to maximize the margin, while penalizing misclassifications using a soft hinge loss. The parameter $C$ , learned via cross-validation, trades off between these two objectives. + +Once the parameters $w$ and $b$ have been learned, for a given embedding $x$ , we can calculate the decision value: + +$$ +h ( x ) = w ^ { T } x + b +$$ + +This represents the confidence of the SVM, and is proportional to the (signed) distance of $x$ to the hyperplane determined by $w , b$ . The prediction of the SVM on $x$ is simply then the sign of $h ( x )$ , and $w$ is the “direction” of the failure mode. + +Diagnose We evaluate the strength of the most interpretable error pattern within a class $y$ by quantifying the ability of a per-class SVM $h ^ { y }$ to predict validation data errors on that class. Recall that each SVM is trained by cross-validation. We use the average balanced accuracy, $\bar { a }$ , across cross validation splits to measure the strength of the underlying spurious correlation. Letting $n _ { y }$ denote the number of instances of class $y$ in a given subset of data, the balanced accuracy is defined by + +$$ +\bar { a } = \frac { 1 } { | \mathcal { V } | } \sum _ { y \in \mathcal { V } } \frac { 1 } { n _ { y } } \sum _ { x : ( x , y ) \in \mathcal { D } _ { t r a i n } } \mathbb { 1 } ( c ( x ) = 1 ) . +$$ + +Intuitively, the more interpretable and widespread the error pattern is, the better it can be captured by a linear predictor in latent space. To demonstrate this, on CelebA, we subselect the data to underrepresent the hard demographics ("old" "female" and "young" "male") in the training data to lesser or greater degrees. As was shown in Figure 4, $\bar { a }$ increases as the strength of the spurious correlation increases (i.e. as the proportion of hard demographics decreases). This measure can be used to determine which classes have a clear bias present, for use in the following interpretation and intervention steps. + +Interpret Once the SVMs have captured any difficult subpopulations, we interpret them by surfacing the most extreme examples in the test set, as well as automatically generating captions for the identified failure modes. These interpretability techniques are only possible due to two key properties of SVMs: (1) they are constrained to capture simple (approximately linearly separable) patterns in the embedding space, and (2) their decision boundary is easily accessible, therefore providing a notion of direction and distance in the embedding space. + +• Most Extreme Examples Each SVM $h ^ { y }$ provides a natural measure of how hard an input $x$ is via its distance to the decision boundary, which was validated in Figure 2. Thus, we subselect from $\mathcal { D } _ { t e s t }$ the $k$ images within class $y$ , $\{ x _ { i } ^ { - } \} _ { i = 1 } ^ { k }$ , which minimize $\begin{array} { r } { \sum _ { i } h ^ { y } ( \mathrm { c l i p } ( x _ { i } ^ { - } ) ) } \end{array}$ , and likewise the $k$ images $\{ x _ { i } ^ { + } \} _ { i = 1 } ^ { k }$ which maximize $\begin{array} { r } { \sum _ { i } h ^ { y } ( \mathrm { c l i p } ( x _ { i } ^ { + } ) ) } \end{array}$ . By definition, these images exemplify the decision rules learned by $h ^ { y }$ . Therefore, $\{ x _ { i } ^ { - } \} _ { i = 1 } ^ { k }$ provide a concise visual summary of “hard” examples, and similarly $\{ x _ { i } ^ { + } \} _ { i = 1 } ^ { k }$ of “easy” examples. As was shown in Figure 3, for class $y = \mathrm { ^ { * } o l d " }$ , $\{ x _ { i } ^ { - } \} _ { i = 1 } ^ { k }$ indeed consists of all women, while $\{ x _ { i } ^ { + } \} _ { i = 1 } ^ { k }$ consists of all men. + +• Captioning To generate a caption for the predicted error-prone subpopulation of a class $y$ , we leverage the shared vision-language CLIP embedding space on which the SVMs were trained. For a class $y$ , let the base caption $\beta$ be “a photo of a $y "$ and its embedding $r = \mathrm { c l i p } ( \beta )$ . Given a set of candidate captions $\mathcal { C }$ , we aim to select the caption that $h ^ { y }$ classifies most strongly, in terms of distance from the decision hyperplane, as an error. Consider a candidate caption $\gamma \in { \mathcal { C } }$ and its embedding $c = \operatorname { c l i p } ( \gamma )$ . Since directions have been recently shown to be meaningful in CLIP space (Radford et al., 2021), associate each caption with a direction in the CLIP embedding space via $\begin{array} { r } { d _ { c } = \frac { c - r } { | | c - r | | } } \end{array}$ The chosen caption for errors on class $y$ is then argmax ${ } _ { c } h ^ { y } ( d _ { c } )$ . + +Intervene After identifying and interpreting the hard per-class trends, we use them to improve accuracy of $f _ { n n }$ by retraining. Let $\mathcal { H } = \{ ( x , y ) \in \mathcal { D } _ { t r a i n } s . t . h ^ { y } ( \mathrm { c l i p } ( x ) ) < 0 \}$ denote the set of training examples predicted to be hard. We consider various methods for intervening on $\mathcal { H }$ during retraining. + +• Upweighting Suppose $f _ { n n }$ was originally trained to minimize an objective function + +$$ +\mathcal { L } ( \mathcal { D } _ { t r a i n } ) = \sum _ { ( x , y ) \in \mathcal { D } _ { t r a i n } } \ell ( y , f _ { n n } ( x ) ) +$$ + +We modify this objective by upweighting the flagged examples by some factor $h$ : + +$$ +{ \mathcal { L } } ^ { \prime } ( { \mathcal { D } } _ { t r a i n } ) = \sum _ { ( x , y ) \in { \mathcal { D } } _ { t r a i n } } \left( h \mathbb { 1 } ( x \in { \mathcal { H } } ) + \mathbb { 1 } ( x \notin { \mathcal { H } } ) \right) \cdot \ell ( y , f _ { n n } ( x ) ) +$$ + +• Subsetting If there exists an external pool of examles $\mathcal { D } _ { e x t }$ that were not used to originally train $f _ { n n }$ , let $\mathcal { H } _ { e x t } = \{ ( x , y ) \in \mathcal { D } _ { e x t } \hat { s . t . } h ^ { y } ( \mathrm { c l i p } ( x ) ) < 0 \}$ and let $\mathcal { D } _ { t r a i n } ^ { \prime } = \mathcal { D } _ { t r a i n } + \mathcal { H } _ { e x t }$ Thus, we add to the training set the most useful new examples from $\mathcal { D } _ { e x t }$ . (In practice, we simulate this setting by dividing the original training set into $\mathcal { D } _ { t r a i n }$ and $\mathcal { D } _ { e x t }$ , prior to training $f _ { n n }$ the first time.) + +# A.3 MODEL TRAINING DETAILS + +We train ResNet18 models and perform hyperparameter search using the held out validation set. Dataset specific experimental details can be found in Sections B and C. For all datasets except ChestX-ray14, we use standard softmax classification with cross-entropy loss. + +Our training uses SGD with momentum and weight decay. We further use a triangular cyclic learning rate, where the learning rate linearly increases for a pre-specified number of epochs (“peak epochs”) until hitting the base learning rate (“peak LR”), and then linearly decays for the rest of the epochs until reaching zero at the end of training. + +For ChestX-ray14, we predict for each condition a binary output with binary cross-entropy loss; the threshold is then chosen to maximize the F1 score on the held out validation set. + +We train our models using NVIDIA V100 gpus. We use the FFCV framework (Leclerc et al., 2022) to further speed up training. + +# A.4 SVM TRAINING DETAILS + +We use the pre-trained CLIP (Radford et al., 2021) model, equivalent to a ViT-B/32. We embed the images using this encoder. We whiten the data (using the mean/standard deviation of the embeddings computed from the training images) and then normalize the embeddings to be unit vectors. + +We train a linear SVM on the embeddings of the held-out validation set with balanced class weighting to predict whether the model got the image correct or incorrect. The regularization constant is chosen using 2-fold cross validation by selecting the constant with the best balanced accuracy (i.e the average + +of the recall obtained for each class). These cross validation scores are also exported to quantify the strength of the captured shift, as described in Section 2. + +# A.5 FILTERING DETAILS + +After holding out a pool of data that was not used to train the original model, we select those images with the most negative SVM decision values to add to the training set; we also compare to alternative selection methods (by confidence value, and random). We applied this method to CIFAR-100, and reported the accuracies on the hard subpopulation in Figure 6. Below, we report the overall test accuracies before and after intervention when adding 100 images per superclass. + +
OriginalRandomConfidencesSVM
Overall accuracy0.6960.7120.7160.720
+ +# A.6 CAPTION GENERATION + +In Section 2, we described how we can assign a caption to each captured failure mode by choosing the caption that is most aligned with the positive or negative direction extracted by the SVM. To perform caption assignment, we need to create a set of relevant candidate captions that we expect, roughly, to lie in the same space as the images that the SVM was trained on. In particular, completely nonsensical captions may have undefined CLIP embeddings. Similarly, completely irrelevant captions may be out of distribution for the SVM, which was trained on images of a specific class. + +To generate a sensible candidate set, we programmatically generate captions of the form “A photo of a ”, where the adjective and prepositional phrase are optional. We describe the list of adjectives, nouns, and prepositional phrases for each dataset in the experimental details section for that task. We chose this approach in order to guarantee the descriptiveness of the candidate captions set. Automatically curating this candidate set, for example by generating reasonable sentences using a language model, is an interesting avenue for future work. + +A.7 DIRECTLY DECODING SVM DIRECTIONS WITH DIFFUSION MODELS + +In Section 2, we described how to use diffusion models that sample from CLIP space to directly decode our extracted SVM direction. We provide further details here. + +Several models, including retrieval augmented diffusion models (Blattmann et al., 2022) and DALL-E 2 (Ramesh et al., 2022) sample from CLIP’s shared vision/language space. In contrast, Stable Diffusion (Rombach et al., 2022) uses the hidden states of the CLIP’s text encoder (before it is projected into the common image/language space). In our work, we use the pre-trained $7 6 8 \times 7 6 8$ retrieval-augmented diffusion model (RDM) (Blattmann et al., 2022), but only use text prompting (no retrieval step). The checkpoint can be found here. + +We fit the SVM on the same CLIP space that the RDM uses (CLIP ViT-L/14) with $\ell _ { 2 }$ normalization but not whitening of mean/std. Let $w$ be the normalized SVM direction. For a reference caption with normalized embedding $r$ , we then spherically interpolate $r$ and either $w$ or $- w$ (e.g., $z =$ $\mathbf { \boldsymbol { s l e r p } } ( r , w , \alpha ) )$ to generate hard or easy images respectively. The degree of rotation $\alpha$ specifies the level of difficulty (we generally choose $\alpha$ in the range $[ 0 , 0 . 3 ] )$ ). Unless otherwise stated, we use $\alpha = 0 . 1$ to generate the images. We then pass the spherically interpolated vector in lieu of the text-conditioning vector to the RDM. + +A.8 TAILORED DATA AUGMENTATION USING TEXT-TO-IMAGE GENERATIVE MODELS + +In Section 2, we described how we use text-to-image generative models to perform stable diffusion. Specifically, we input the captions extracted by our SVM (easy, hard, and reference) into a pre-trained Stable Diffusion (Rombach et al., 2022) model and generate 100 synthetic images per class. The checkpoint (“sd-v1-4.ckpt”) can be found here. We then fine-tune the original model (retraining only the last layer) on the combination of the new images and the original training dataset. Below we report the overall test accuracies after fine-tuning: overall accuracies are maintained up to $1 . 3 \%$ . + +
OriginalEasyHardNeutral
Overall accuracy0.7910.7850.7780.784
+ +# B DATASETS WITH KNOWN CHALLENGING SUBPOPULATIONS. + +# B.1 CELEBA + +In Section 3, we applied our framework to the task of predicting age on CelebA (Liu et al., 2015) with a planted correlation with gender. Here, in this section, we discuss the training details and additional experiments on that task. + +# B.1.1 EXPERIMENTAL DETAILS + +Dataset construction We construct a training dataset with the following demographic breakdown: 6203 each of “old” “female” and “young” “male”, and 24812 of “old” “male” and “young” “female”. There are thus four times as many faces of old men vs. old women (resp. young women vs. young men). The held-out validation set contains 1795 examples for each of the demographic categories, and we use the original test split of CelebA for our final test set. We consider the full CelebA dataset and a setting where the validation distribution matches the training distribution in Appendix Sections B.1.7 and B.1.4. We consider images with a resolution of $7 5 \times 7 5$ . + +Hyperparameters We use the following hyperparameters. + +
Parameter Value
Batch Size512
Epochs30
Peak LR0.02
Momentum0.9
Weight Decay Peak Epoch5×10-4 2
+ +Caption generation We use a reference caption “A photo of a person.” We generate prepositional phrases using the attributes provided by the CelebA dataset. The adjectives, nouns, and prepositional phrases are as follows: + +• Adjectives: [none, ’old’, ’young’] • Nouns: [’person’, ’man’, ’woman’] + +• Prepositions: [ none, ’who has stubble’, ’who has arched eyebrows’, ’who has bags under their eyes’, ’who has bangs’, ’who has big lips’, ’who has a big nose’, ’who has black hair’, ’who has blond hair’, ’who has brown hair’, ’who has bushy eyebrows’, ’who has a double chin’, ’who is wearing eyeglasses’, ’who has a goatee’, ’who has gray hair’, ’who has heavy makeup on’, ’who has high cheekbones’, ’who has a mouth that is slightly open’, ’who has a mustache’, ’who has narrow eyes’, ’who has no beard’, ’who has an oval face’, ’who has a pointy nose’, ’who has a receding hairline’, ’who has rosy cheeks’, ’who has sideburns’, ’who has a smile’, ’who has straight hair’, ’who has wavy hair’, ’who has earrings’, ’who is wearing a hat’, ’who has a lipstick on’, ’who is wearing a necktie’ ] + +We thus generate a caption for every combination of adjective, noun, and prepositional phrase. + +# B.1.2 UPWEIGHTING INTERVENTION + +Can we use the linear classifiers from our framework to reduce the model’s reliance on gender by intervening during training? To examine this, after flagging examples in the training set as members of the minority population, we upweight these examples during the model retraining. As shown in Table 1, this intervention increases performance on the minority subpopulations, and is even comparable in its impact to the “oracle" approach of upweighting all “young men” and “old women”. Note that, since the base model has nearly zero training error, it is confident on all training examples. Thus, confidences are not suitable for guiding an analogous intervention. + +
Test Subgroup AccuracyOverall Accuracy
Minority SubclassesMajority Subclasses
Young MaleOld FemaleYoung FemaleOld Male
Base Model0.568 ± 0.0060.542 ± 0.0100.915 ± 0.0020.904±0.0020.795 ±0.002
Oracle Upweight0.600 ± 0.0070.569 ± 0.0100.896 ± 0.0040.872 ± 0.0040.797 ±0.002
SVMUpweight0.590 ± 0.0110.568± 0.0040.903 ± 0.0030.901±0.0080.796 ± 0.003
+ +Table 1: The performance (mean/std over five runs) of intervening during training by upweighting examples in the CelebA training set. SVM Upweight doubles the loss weight for all training examples that were predicted as incorrect by our framework. Oracle Upweight doubles the loss weight of all minority examples using the dataset’s annotations. We find that intervening using the SVM increases the accuracy of the minority subclasses to almost the same extent as the (optimal) oracle intervention. + +# B.1.3 GRADATIONS OF SPURIOUSNESS + +In Section 3, we applied our framework to a subset of the CelebA dataset, chosen such that the spurious correlation between age and gender was intensified. Specifically, we vary the intensity of that spurious correlation, and demonstrate that the test error of the per-class SVMs reflects the degree of the spurious correlation. In particular, for $n$ from 1 to 8, the train dataset is filtered such that there are $n$ -times as many old male instances as young male instances, and $n$ -times as many young female instances as old female instances. + +As shown in Figure 11, the test accuracy of the base model decreases as the spurious correlation grows stronger, because the base model has relied more and more on the spurious correlation. This complements Figure 4 in the main text, which demonstrated that the SVMs fit the test data better with increasing spurious correlation. + +![](images/9122a730c6bce2f52fda1cda1ca3702c70e0ec06a578675f90e17f79f9e98fa6.jpg) +Figure 11: Test accuracy on spurious instances of CelebA, as a function of the spuriousness $n$ of the training dataset. + +B.1.4 CELEBA EXPERIMENTS WHEN THE VALIDATION MATCHES THE TRAINING DISTRIBUTION. + +In Section 3, we applied our framework to the CelebA dataset and used a validation set that was balanced across age and gender. Here, we instead consider the case where the validation set matches the train distribution, and thus also contains the strong spurious correlation with gender: specifically, the validation set contains 810 old female and young male faces, and 3240 old male and young female faces. + +In this setting, there are fewer minority examples for the SVM to learn from, which thus makes the task of selecting errors harder. However, we find that our framework still captures the gender correlation (Figure 12). Moreover, our method is able to isolate this hard subpopulation better than using model confidences (Figure 13). + +![](images/4e0578bce689429f2ad634fafc6cba20f47c74d91a95081d4b4d743cdb044280.jpg) + +![](images/0e7973b63b7577d7391e1907fc14f1f067120ba87250308c8d5f00b30d840c9c.jpg) +Figure 12: The images and captions for each class with the most extreme SVM decision values +Figure 13: We repeat our CelebA experiments from Section 3, using a held out validation set that matches the training distribution. We display for each class, the fraction of the top K images that are of the minority gender when ordering the images by either their SVM decision value or by the model’s confidences. + +# B.1.5 FURTHER EXPERIMENTAL DETAILS ON BASELINES + +In Figure 2 of from Section B of the main paper, we compare the efficacy of using our SVM (versus several baselines) for selecting the minority gender in the CelebA setting (replicated again below). We found that our method was able to more consistently select the hard subpopulation than the other baselines. In this section, we discuss the training details for this experiment. + +Domino Domino (Eyuboglu et al., 2022) is an automatic method for identifying challenging subsets of the data (“slices”) by fitting a Gaussian mixture model in CLIP embedding space. They then choose captions generated from a large language model that are closes to the mean of each identified cluster. Our use of an SVM provides a stronger inductive bias towards simple subclasses. Furthermore by encapsulating the failure modes as a direction in the latent space, we can more easily score, intervene, and caption the failure modes. In particular, we are able to caption the extracted failure mode directly, rather than using the proxy of a cluster of hard examples. On the other hand, Domino can more easily distinguish between multiple failure modes for the same class because it identifies multiple hard clusters in the latent space. + +![](images/a1aca3a24867c1fb4e63e5611ceed6175d2b325e874f9caa9012ac1a7b7728c3.jpg) +Figure 14: Repeated again for convenience: Figure 2 from Section B of the main paper. For each class in CelebA, the fraction of test images that are of the minority gender when ordering the images by either their SVM decision value, the model’s confidences, or a variety of other baselines. Our framework more reliably captures the spurious correlation than all other baselines. + +We use the same parameters as suggested in the paper with y log likelihood weigh $_ { t = 1 0 }$ , y hat log likelihood weigh $_ { \mathrm { { \scriptsize = } 1 0 } }$ , num slice $^ { , = 2 }$ . + +Captioning: We first surface the top 3 identified negative captions from our framework and from Domino: + +# • Our Framework: + +– Old: “a photo of a young woman who has an oval face”, “a photo of a young woman who has heavy makeup on”, “a photo of a young woman who has brown hair” – Young: “a photo of a man who has no beard”, “a photo of a man who has a mouth that is slightly open”, “a photo of a man who has a smile” + +# • Domino + +– Slice 0: “a photo of her debut album.”, “a photo of carole lombard.”, “a photo of tina turner.” +– Slice 1: “a photo of a compelling man.”, “a photo of a satisfied man.”, “a photo of a hungry man.” + +Both methods capture gender as the primary failure mode. However, Domino tends toward more specific and thus sometimes more niche captions (i.e “a photo of carole lombard") than overall trends. This is because Domino picks the caption that happens to be closest to the mean of the slice. + +Learning From Failure Learning from Failure (LfF) (Nam et al., 2020), uses a biased classifier trained with a Generalized Cross Entropy (GCE) loss to select hard examples. Specifically, if $p ( x )$ is the softmax probability vector assigned by the model for input $x$ , the GCE loss for example $( x , y )$ is + +$$ +G C E ( p ( x ) , y ) = \frac { 1 - p _ { y } ( x ) ^ { q } } { q } +$$ + +For this baseline, we train our model with GCE loss using the default hyperparameter $q = 0 . 7$ as from the original LfF paper. + +Early Stopping In Just Train Twice (JTT) (Liu et al., 2021), a classifier trained on only a few epochs is used to identify low confidence examples. For this baseline, we stop at epoch $_ { \mathrm { 1 = 1 0 } }$ (out of 30) and evaluate model confidences. + +# B.1.6 USING OTHER LATENT SPACES + +In our paper, we distill failure modes using the CLIP latent space. However, our method is not specific to CLIP (we can use any embedding that can capture important features and is agnostic to the original training dataset). In Figure 15, we explore using two other latent spaces for our method: + +• Inception: We take features from an Inception V3 model (Szegedy et al., 2016) trained on ImageNet. +• Original Latent Space: We take features from the model’s original latent space (i.e. its penultimate layer). + +We find that using our method with Inception embeddings is only slightly worse than using CLIP. Since CLIP embeds both language and images in the same latent space, using CLIP further enables us to automatically caption the extracted directions. + +However, since the model’s latent space is tied closely to the training dataset, training an SVM on the original latent space closely mirrors model confidences. Moreover, since the original model fit the training data perfectly, the SVM extracted by our method predicts all training examples as correct — even images that belong to the minority subpopulation — and thus cannot be used for upweighting interventions. Thus, our method works best when using embeddings that are agnostic to the specific dataset. + +![](images/a58335e9603011e4fef2d3d63a6e24784eda7c48b426bb697f3d016e2a1374fb.jpg) +Figure 15: We repeat our CelebA experiments from Section 3, and compare using the CLIP latent space to using Inception features or the model’s original latent space. + +# B.1.7 FULL CELEBA DATASET + +In Section 3, we subselected images from the CelebA dataset to intensify the spurious correlation between age and gender. Here, we train a base model on the unaltered CelebA dataset instead. Table 2 summarizes the presence of this spurious correlation in the dataset. The per-class SVMs pick up on the spurious correlation, and to a greater extent than do confidences, as shown in Figures 16a and 16b. The validation set on which the SVMs were trained is the standard CelebA validation set. + +
% Minority GenderClass (Age) Old Young
Overall Incorrect39.5% 31.6% 55.0% 57.1%
+ +Table 2: First row: the percentage of each age group consisting of that age group’s minority gender (female for old, male for young). Second row: the percentage of the base model’s mistakes on each age group which are of the minority gender. Together, these capture the degree of spurious correlation present, as the base model makes a disproportionately high number of mistakes on the minority gender for each age group. + +![](images/0d7bcb5b933f53d40dd69f6c615b1888feb82cafbdaab98f22f7a7d5222762f1.jpg) +(a) Class: Old. Minority Gender: Female + +![](images/3ed57abeadf135801547608ae79994e9361c70a0c1e4f57aa435a54ab9aea319.jpg) +(b) Class Young. Minority Gender: Male +Figure 16: For each class in the original CelebA dataset, the fraction of the top K images that are of the minority gender when ordering the images by either their SVM decision value or by the model’s confidences. + +# B.2 COLORED MNIST + +In the Colored MNIST dataset (Arjovsky et al., 2019), a spurious correlation is introduced between tint and label for the handwritten MNIST dataset. The learning task labels $y$ are binary, and are generated as follows. We begin with labels $\tilde { y }$ , which are 0 for digits less than 5 and 1 for digits greater than or equal to 5. To obtain the labels $y$ actually used in the classification task, the labels $\tilde { y }$ are flipped with probability 0.25. In other words, $7 5 \%$ of the time, the class label $y$ in the learning task is associated with the digit, and this feature generalizes to the test set. + +However, we use color to plant a spurious correlation between the class label $y$ and the tint of the digit. In particular, we add a red/green tint that correlates perfectly with $y$ $y = 0$ corresponding to red, and $y = 1$ corresponding to color green), to $9 0 \%$ of the training set, but only $5 0 \%$ of the validation and set tests. As a result, there is a spurious correlation between the tint and the label $y$ in the train set, which does not generalize to the validation and test sets. + +Thus on the training data, the color of the digit is a better predictor of its label $y$ than the digit’s true shape, but the digit’s true shape is a better predictor than its color on the test and validation data. + +Hyperparameters. We use the following hyperparameters for training. + +
ParameterValue
Batch Size512
Epochs15
Peak LR0.1
Momentum0.9
Weight Decay Peak Epoch5e-04 2
+ +As shown in Figure 17, the fit of the SVM on the test data improves as the spurious correlation grows stronger. For each value of $x$ , we also intervene by doubling the weight of the examples flagged as “hard" by the SVM. Figure 18 demonstrates that while the test accuracy decreases with increasing spurious correlation, intervention is effective (and increasingly so with $x$ ) at improving test accuracy. + +![](images/bbbb26b31e6f11aac454be69eabacf494707fb4cce072061ada4adc9c7f53ec4.jpg) +Figure 17: Cross-validation score on the test set as a function of the spuriousness, i.e. the tinted fraction $x$ of the training set, for Colored MNIST. + +![](images/06e9b679d9ac75e3bfb88595664412630cad8789e06e36abbd471059ba6fb3e2.jpg) +Figure 18: Test accuracy of Colored MNIST before and after the upweighting intervention, as a function of the spuriousness of the training set. + +# B.3 IMAGENET-C + +# B.3.1 EXPERIMENTAL DETAILS + +ImageNet-C is a dataset created by Hendrycks & Dietterich (2019) to benchmark neural nets’ robustness to common perturbations. Using the associated code, we create a corrupted ImageNet dataset in which $10 \%$ of the training set is corrupted, and $50 \%$ of the validation and test sets are corrupted. For simplicity, we restrict corruptions to Gaussian pixel-wise noise, with variance equal to 0.26. We train a ResNet18 as the base architecture, with standard ImageNet normalization. The resultant validation and test accuracies are $5 1 . 1 \%$ and $4 8 . 9 \%$ , respectively, but drop to $4 5 . 5 \%$ and $4 3 . 0 \%$ if restricted to corrupted images (validating that the corrupted images are indeed harder). + +Hyperparameters. Hyperparameters were chosen to match those of the ordinary ImageNet dataset: + +
ParameterValue
Batch Size1024
Epochs16
Peak LR0.5
Momentum0.9
Weight Decay Peak Epoch5e-4 2
+ +# B.3.2 RESULTS + +Capturing common corruptions. We find that the per-class SVMs pick up on the Gaussian corruption, as shown in Figure 19. Since the corruption is light, this is non-trivial: in particular, notice that the images chosen as “hardest" are not necessarily corrupted, as shown in Figure 20. + +![](images/dfdb9f671d8717985c4d8efe9205d05480baa3a96afd00a4317e89df5bf120e4.jpg) +Figure 19: The fraction of ImageNet-C test images that are corrupted with Gaussian noise when ordering the images by either their SVM decision value or by the model’s confidences, averaged over all classes. Our framework more reliably captures the corruption than using confidences. + +Intervention. In this setting, it does not make sense to intervene based on the captured corruption: since blurred images represent neither a spurious correlation nor an underrepresented subpopulation, but instead simply a “hard" class, we expect neither upweighting nor subsetting to improve performance. The purpose of this dataset is to exhibit that our method can capture the hard subclass of corrupted images, even though (as shown in Figure 20) there are many ways an image can be hard, because it is a shared pattern across many of the errors. + +![](images/1b8fd87cee4930c380b11d96a90f2231d1282852e14b1a9868b06d5ce71f4c07.jpg) +Figure 20: The images with the most positive (upper) and negative (lower) decision values for the ImageNet-C class “tench”. While more of the bottom images are blurred, the “hardest" images may be tenches in strange positions. + +# B.4 CIFAR-100 + +In this section, we explain the experimental details of the experiment on CIFAR-100 in Section 3. Specifically, we consider the task of predicted the super-classes of the CIFAR-100 dataset, which contains 20 super-classes (each of which contain 5 subclasses). + +Dataset construction We split the original training split into $20 \%$ validation set, $40 \%$ training set, and $40 \%$ extra data (used in the subset intervention). The original test split serves as our test set. In the training dataset, we choose one subclass to under-represent by removing $7 5 \%$ of that subclass from the data. We choose this subclass by picking the worst-performing subclass for each superclass based on a model trained on the original training split. Specifically, we drop the classes: + +• {aquatic mammals: beaver, fish: shark, flowers: orchid, food containers: bowl, fruit and vegetables: mushroom, household electrical devices: lamp, household furniture: table, insects: caterpillar, large carnivores: bear, large outdoor man-made things: bridge, large outdoor natural scenes: forest, large omnivores and herbivores: kangaroo, medium sized mammals: possum, non-insect invertebrates: lobster, people: baby, reptiles: lizard, small mammals: squirrel, trees: willow tree, vehicles 1: bus, vehicles 2: streetcar} + +Hyperparameters. We use the following hyperparameters to train our models. + +
ParameterValue
Batch Size512
Epochs35
Peak LR0.5
Momentum0.9
Weight Decay5.0 ×10-4
Peak Epoch5
+ +# B.4.1 RESULTS ON $80 \%$ TRAIN, $20 \%$ VALIDATION + +In this section, we discuss results on a CIFAR-100 setup with $80 \%$ of the original train split allocated for the train dataset and $20 \%$ allocated for the validation dataset (and no extra data). As above, in the training set, we underrepresent one subclass per superclass (by removing $7 5 \%$ of that subclass from the dataset). We then will explore the downstream implications of the CV score in this setting. + +Efficacy in isolating the minority subpopulation In Figure 21, we replicate the experiment in Figure 5 for this new split. The results are similar: using the SVM’s decision value more consistently identifies the top K images over using model confidences. + +![](images/a7c749ad0f07bd1009f74b405d55648a8842d2885b70d705a1e681eeb9d5f60f.jpg) +Figure 21: We replicate the experiment in Figure 5 for a scenario where $80 \%$ of the training dataset is train and $20 \%$ is validation. For each superclass, the fraction of the top K flagged test images that belong to the underrepresented subclass (averaged over classes) is shown. We compare using the SVM’s decision value and the model’s confidences to select the top K images; the SVM more consistently identifies the minority subpopulation. + +A deep-dive into the cross-validation (CV) score Recall from Section 2 that the cross-validation (CV) score of the SVM serves as a measure of the extracted failure mode’s strength in the dataset. In Figure 4 of the main paper, we found that (in the CelebA setting) the CV score of the SVM was highly correlated with the degree of the planted shift. + +In this section, we analyze the downstream implications of the CV score in the CIFAR-100 setup. Specifically, we evaluate our method on CIFAR-100, where the minority subpopulation is underrepresented to different degrees (e.g., removing $10 \%$ , $20 \%$ , etc of the minority subclass). + +As in the CelebA case, the mean CV score across all classes increases as we remove more of the minority subclass (Figure 22a). The CV score is negatively correlated with the downstream model’s accuracy on the minority subpopulation (Figure 22b). Thus, the CV score can help measure the degree of the underlying failure mode and its impact on downstream performance. + +![](images/54930b7cc7f4d548a9f444368d1c39e587800c212fc68474d1d1f6f5704caad4.jpg) +Figure 22: CV score is correlated with the strength of the failure mode. (a) CV score (averaged over classes) when different fractions of the minority population have been removed from the training data. CV score increases as the degree of underrepresentation becomes more severe. (b) The CV score negatively correlates with the model’s final accuracy on the minority subpopulation. + +Since the CV score is correlated with the strength of the failure mode, it also reflects the membership of the error set (predicted and actual). With higher CV scores, more of the predicted errors are actually part of the planted subpopulation (Figure 23). + +![](images/47b1b09bdce03bb35fc427ee6125c3d427310176cfb02aff38d6ba1870ed9ec9.jpg) +Figure 23: As shown in Figure 22a, as the degree of the underrepresentation goes up, the CV score also increases. The CV score is thus correlated with the proportion of the error set — (a) predicted by the SVM and (b) actual — that is actually part of the minority subpopulation. + +Inter-class CV Scores We now fix the degree of underrepresentation (removing $7 5 \%$ of the minority examples). In this case, the size of the minority subclass is the same for each of the 20 superclasses. However, the impact of underrepresentation is not equal between classes. For example, one might need fewer examples to distinguish a beaver vs. a bear over two different types of trees. Recall that we train an SVM per class: thus, each class has its own CV score. What do the differences in the class CV score signify? + +For each of the 20 superclasses, we plot the CV score of that class’s SVM against the fraction of errors (predicted and actual) which are of the minority subpopulation (Figure 24). Indeed, classes with a higher CV score seem to indicate a stronger shift, in that a greater proportion of error set belongs to the minority subpopulation. + +![](images/403a90eff393c8b225bf8dcc60868b970ef2231fc36ba30a32add19d6d3248d3.jpg) +Figure 24: For each of the 20 superclasses, we plot the CV score for that class against the fraction of the error set for that class — (a) predicted by the SVM and (b) actual — that belongs to the minority subpopulation. We further display the Pearson correlation. + +# C NATURAL DATASETS + +C.1 CIFAR-10 + +In this section, we describe the experimental details and additional results for applying our framework on the CIFAR-10 dataset. + +# C.1.1 EXPERIMENTAL DETAILS + +Dataset. Since the original CIFAR-10 model has very high $( 9 3 \% )$ accuracy, we do the majority of our experiments using a subset of CIFAR-10. Specifically, we train the model with $20 \%$ of the original training split, and reserve $20 \%$ for the validation set and $60 \%$ as extra data for the subset intervention. We discuss results on the full CIFAR-10 dataset in Appendix Section C.1.7. + +Hyperparameters We use the following hyperparameters. + +
ParameterValue
Batch Size512
Epochs35
Peak LR0.5
Momentum0.9
Weight Decay Peak Epoch5.0 ×10-4 5
+ +For fine-tuning, we use the same parameters, except with peak LR of 0.1 and for 15 epochs. + +# C.1.2 CAPTION GENERATION DETAILS + +For our CIFAR-10 experiments, we consider two caption sets: CIFAR-Simple, and CIFAR-Extended. The two caption sets only differ in their sets of possible nouns (extended has a larger vocabulary): they otherwise have the same list of adjectives and prepositions. In the main paper, and unless otherwise noted, we use CIFAR-Simple: this is because the diffusion models struggle with extended vocabularies. In the appendix, we include results with CIFAR-Extended where noted. + +For each CIFAR-10 class, we use the reference caption “a photo of a .” We then generate a candidate caption set of the form “a photo of a ”. The adjectives, nouns, and prepositional phrases are selected as follows: + +• Adjectives: [none, ’white’, ’blue’, ’red’, ’green’, ’black’, ’yellow’, ’orange’, ’brown’], • Prepositions: We choose a set of prepositions for each class. Specifically, all classes have the following as potential prepositions: [None, ’outside’, ’inside’, ’on a black background’, ’on a white background’, ’on a green background’, ’on a blue background’]. Then each class has the following class-specific prepositions: + +– ’dog’: [’on the grass’, ’in a house’, ’in the snow’, ’in the forest’], +– ’cat’: [’on the grass’, ’in a house’, ’in the snow’, ’in the forest’], +– ’bird’: [’flying’, ’perched’, ’in the air’, ’on the ground’], +– ’horse’: [’in a field’, ’in the grass’], +– ’airplane’: [’flying’, ’in the air’, ’on the tarmac’, ’on a road’], +– ’truck’: [’on the road’, ’parked’], +– ’automobile’: [’on the road’, ’parked’], +– ’deer’: [’in a field’, ’in the grass’, ’in the snow’, ’in a forest’], +– ’ship’: [’in the ocean’, ’docked’, ’in the water’, ’on the horizon’], +– ’frog’: [’in the grass’, ’in a pond’], + +Nouns: For CIFAR-Simple, we do not vary the noun (i.e., captions of a class cat will use the noun cat). For CIFAR-Extended, we find the corresponding synset in the WordNet (Miller, 1995) hierarchy. We then choose as possible nouns all the common names of the synsets that are descendents of the + +CIFAR synset. For example, for the class cat, a possible noun is “Persian cat.” We exclude nouns that contain words that are not in the NLTK (Loper & Bird, 2002) words corpus. + +For both sets, we generate the captions by taking every combination of adjective, noun, verb. + +# C.1.3 MOST EXTREME EXAMPLES AND CAPTIONS + +In Figure 25 we show the most extreme examples and captions by SVM decision value for all 10 classes. + +![](images/59b68d27db606f3f6c3762aa2addb7bcd9709fa5f7b2f38ae509978afb4ea60a.jpg) +Figure 25: Most extreme images with captions from CIFAR-Simple or CIFAR-Extended + +![](images/eb692e180a2bbe80aa4aa786cd5887600accae652fa2496ab3dd73bae8f079bd.jpg) +Figure 25: Most extreme images with captions from CIFAR-Simple or CIFAR-Extended + +# C.1.4 MORE EXAMPLES OF DIRECTLY DECODING SVM DIRECTION + +In Figure 26, we include more examples of using spherical interpolation to directly decode the SVM direction for CIFAR-10 (as in Figure 8a). + +![](images/9883cc48af9c82da9e62599b2bd1408309ebf51eacb6b2dc6aaf5933b13ddf52.jpg) +Figure 26: More images generated by directly decoding the SVM direction. + +# C.1.5 VALIDATING THE PROXY OF EVALUATING IMAGES CLOSEST TO THE CAPTIONS + +In Figure 7b from the main paper, we used the K closest images to the positive or negative SVM caption as a proxy for the subpopulation that corresponded to that caption. Here, we validate that the images which are closest in cosine distance to a given caption indeed closely match the description of the caption itself. We use the CIFAR-Extended caption set. + +![](images/d012f125866d2c62770124700bba28d127971f0cfb60f82c6d657aea6e4d6dec.jpg) +Figure 27: The images closest in cosine distance to the given CLIP caption. + +# C.1.6 FILTERING INTERVENTION FOR CIFAR-10 + +Here, we perform the filtering intervention for CIFAR-10. For each class, we take the top 100 examples according to our SVM decision values, the model’s base confidence, or a random baseline, and then add those examples to the training dataset (Figure 28). Without annotations, we again use the proxy of evaluating the images closest to the extracted negative SVM captions (here from CIFAR-Extended). We find that our framework improves the performance on the minority subgroups to a larger extent than other methods. + +![](images/01a9cd5fe45a7a1c3ebe714d16f014c0e9e8c733d0efdbc31c5eb8c7d4fa7229.jpg) +Figure 28: For each CIFAR-10 class, the accuracy of the K examples closest to the negative SVM caption after adding 100 images from the extra data (and retraining) either at random, based on the SVM decision values, or based on the model confidences. Choosing these 100 images by using the SVM decision value best improves the accuracy population described by the negative caption. Results are averaged over classes and reported over 10 runs. + +# C.1.7 RESULTS FOR FULL CIFAR-10 DATASET + +Here we show the results of applying our framework on the full CIFAR-10 dataset. We therefore use the entire training split, except for $20 \%$ used for validation. We find that similar failure modes are captured (Figure 29), and the identified negative subpopulations have a lower accuracy than the identified positive subpopulations (Figure 30). + +![](images/608d9de46dabe3b2af4a8c0e41c1bd6550dfc2a682ba1c164a17563fba817c53.jpg) + +![](images/1878e5bbd313919072f44f907d84cdc185dbdaf41690c61851ae500f0f1e4e52.jpg) +Figure 29: Most extreme images/captions surfaced by our framework for the full CIFAR-10 dataset +Figure 30: Averaging over 10 classes, we evaluate the accuracy of the top K images closest in cosine distance to the positive or negative caption on the test set. + +# C.2 IMAGENET + +We discuss the experimental details for the ImageNet dataset. + +Dataset. We consider $40 \%$ of the original dataset as training data, $40 \%$ as extra data, and the last $20 \%$ as the validation set. We perform training and evaluation at a resolution of $2 2 4 \times 2 2 4$ . + +Hyperparameters We use the following hyperparameters, which were taken from the recommended FFCV configuration: + +
Parameter Value
Batch Size1024
Epochs16
Peak LR0.5
Momentum0.9
Weight Decay5×10-4
Peak Epoch2
+ +Caption generation We again generate the captions programmatically using the caption “a photo of a .” We use the following adjectives: [None, ’white’, ’blue’, ’red’, ’green’, ’black’, ’yellow’, ’orange’, ’brown’, ’group of’, ’close-up’, ’blurry’, ’far away’]. + +Since there are 1000 ImageNet classes, we need a way to group classes together to more scalably assign prepositional phrases that makes sense (for example, the sentence “a purple lawn-mower that is flying in the air” is likely out of distribution for the CLIP encoder.) We consider a set of ancestor nodes in the WordNet hierarchy, and assign each ImageNet class to its closest ancestor in the set. The set of ancestors and the number of ImageNet classes associated to each is below. + +• {’fish’: 16, ’bird’: 59, ’amphibian’: 9, ’reptile’: 36, ’invertebrate’: 61, ’mammal’: 30, ’marsupial’: 3, ’aquatic mammal’: 4, ’canine’: 130, ’feline’: 13, ’rodent’: 6, ’swine’: 3, ’bovid’: 9, ’primate’: 20, ’device’: 124, ’entity’: 59, ’vehicle’: 7, ’aircraft’: 4, ’structure’: 57, ’wheeled vehicle’: 40, ’container’: 32, ’equipment’: 37, ’implement’: 36, ’covering’: 43, ’furniture’: 21, ’vessel’: 32, ’fabric’: 6, ’train’: 1, ’instrumentality’: 12, ’appliance’: 12, ’bus’: 3, ’food’: 38, ’fruit’: 16, ’geological formation’: 9, ’person’: 3, ’flower’: 2, ’fungus’: 7 } + +We then use the following set of prepositions for each class. Specifically, all classes use the set of prepositions [None, ’outside’, ’inside’, ’on a black background’, ’on a white background’, ’on a green background’, ’on a blue background’, ’on a brown background’]. Furthermore, depending on their assigned ancestor class, they use the following class specific prepositions + +• ’reptile’, ’amphibian’: [’in a tank’, ’on the ground’, ’on a rock’, ’in the grass’] +• ’marsupial’, ’swine’, ’bovid’, ’feline’, ’canine’, ’rodent’: [’in the grass’, ’in a house’, ’in the forest’, ’on the ground’, ’with a person’] +• ’fungus’: [’on the ground’, ’in the grass’] +• ’food’: [’on a plate’, ’one the ground’, ’on a table’, ’with a person’] +• ’geological formation’, ’train’, ’mammal’, ’structure’, ’entity’: [] +• ’wheeled vehicle’, ’bus’, ’vehicle: [’on the road’, ’parked’] +• ’fruit’, ’fruit’, ’flower’: [’on a table’, ’on the ground’, ’on a tree’, ’with a person’, ’in the grass’] +• ’fish’, ’aquatic mammal’: [’in a tank’, ’with a person’, ’underwater’] +• ’person’: [’in a house’, ’on a field’] +• ’equipment’,’instrumentality’, ’appliance’, ’container’, ’fabric’, ’covering’, ’device’, ’implement: [’on a table’, ’with a person’, ’with a hand’] +• ’primate’: [’in a tree’, ’on the ground’, ’in the grass’] +• ’invertebrate’: [’in the grass’, ’on the ground’, ’in a house’] +• ’bird $\ ' :$ [’in the air’, ’on the ground’, ’in a cage’, ’in the grass’, ’flying’, ’perched’] +• ’aircraft’: [’in the air’, ’on the ground’] +• ’furniture’: [’in a house’] +• ’vessel’: [’in the water’, ’docked’, ’in the ocean’] + +Finally, the ImageNet class names themselves can include quite niche words (which may not be well-represented by CLIP). We thus use as the noun the ancestor corresponding to the ImageNet class. As a reference caption, we use “A photo of a ”. + +# C.2.1 FURTHER IMAGENET EXAMPLES + +# In Figure 31 we show additional results for Imagenet classes cauliflower and agama. + +![](images/4bf6f42daacad2045c717910842f6cf10a52741a02e9098ac6b6f88fee04cd71.jpg) +Figure 31: Most extreme images/captions surfaced by our framework for ImageNet classes cauliflower and Agama + +# C.2.2 IMAGENET AND CIFAR-10 NORMALIZED PLOTS + +Since ImageNet and CIFAR-10 have different test set sizes (50 examples and 1000 examples per class respectively), here we plot equivalents of Figures 7b and 10b. In Figure 32, instead of plotting the top K images considered on the $\mathbf { X }$ -axis, we plot the fraction of the test set considered (from to $0 \%$ to $100 \%$ of the test set). On the right-hand side of each plot, when this fraction is 1, we consider the entire test set (thus, the easy and hard subpopulations both have accuracy equal to the overall test accuracy). + +![](images/fb10f1f203088e8de434ec919feaabeeb82f049ed39c1aa612affa89ce19c0a0.jpg) +Figure 32: For CIFAR-10 and ImageNet, we plot the accuracy of the $K$ closest images to the positive or the negative caption for each class averaged over classes. On the $\mathbf { X }$ -axis, we plot the fraction of the test considered. + +In this section, we perform our method on a second independent run of a ResNet18, as well as on a ResNet50. In Figure 33, we then plot the accuracies of the ImageNet test images that are closest to the extracted positive and negative captions. We find that our method behaves similarly on these models as in Figure 10b. + +![](images/1b411506496aab471bdbc5439187a8464438207f597e41c6d730f99e5aa08733.jpg) +Figure 33: We run our method on (a) an independent run of a ResNet18 and (b) a ResNet50. As in Figure 10b, we plot the accuracy of the top K images closest to the positive and negative captions. The identified hard subpopulation has a lower accuracy than the identified easy subpopulation. + +In Figure 34, we find that on a few example classes, the failure modes extracted by our method for a ResNet50 are similar to those extracted by the ResNet18 (see Figures 10a and 31). + +![](images/8f244a9cd33bcdebdbce7d2160b2e84e21494245a23ee7235bdea9ea386c2931.jpg) +Figure 34: We display the most extreme examples and SVM captions when running our method for a ResNet50. We find that the failure directions are very similar to those extracted for a ResNet18. + +Do the failure directions that we extracted using the ResNet18 also capture failure modes for other architectures? To answer this question, we measure the subpopulation accuracies of each of these models (as well as a pre-trained ViT-B) when using the ResNet18 positive/negative SVM captions to define our subpopulations of interest (Figure 35). We find that these ResNet18 captions perform almost as well as the SVM captions extracted for the specific underlying model, and define clear “easy” and “hard” subpopulations. Thus, the directions extracted for the ResNet18 also represent real failure modes for other architectures. + +![](images/3bb3c615fd54712ac5daabe45274cbbdbdb36feae115f5013c0f31a9e30ba786.jpg) +Figure 35: We display the accuracies for various architectures of the test images closest to the SVM captions extracted from a ResNet18. The directions extracted for the ResNet18 represent real failure modes for other architectures. + +# C.2.4 RESULTS ON FULL IMAGENET SPLIT + +In Figure 36, we additionally run our method on an ImageNet split of $80 \%$ train and $20 \%$ validation (without any extra data). We find that our method behaves similarly to Figure 10b. + +![](images/588955a2fe6a273262af9e2b5cc2d8268e4181be399ba1ffec5a199ee0c8c9da.jpg) +Figure 36: We run our model on an $80 \%$ train, $20 \%$ validation split of ImageNet, and display the accuracies of the test images closest to the positive and negative caption. + +![](images/fc2132ad4f9f269af61073f0633416192dbb95d7bcf5a4deff4d8e3be1c42246.jpg) +Figure 37: The most extreme examples by SVM decision value and by confidence for the “no effusion” class. Notably, the SVM distills a failure mode that is not easily seen in the low confidence examples. + +Figure 38: The fraction of examples from the “no effusion" class that are taken in the AP position. Notably, the base model disproportionately struggles on AP images, and the majority of images flagged by our framework are AP. + +
% Overall that isAP Incorrect Flagged38.18% 12.62%
% Incorrect that is AP28.11% 55.351 %
% Flagged that is AP59.826 %
+ +![](images/26e6c4d8daa7f0a09cd4324569fffb0b87dddbf00420d113f1fb987fb3679230.jpg) +Figure 39: The fraction of the top K examples from “no effusion” class that are AP. We compare using the SVM’s decision value and the model’s confidences to select these images. + +# C.3 CHESTX-RAY14 + +We apply our framework to the ChestXray-14 (Rajpurkar et al., 2017) dataset. This dataset contains frontal X-ray images labeled with 14 different conditions. ChestXray-14 is a multi-label tagging task (i.e., a single image can have more than one condition), so we treat each condition as its own binary problem. In this section, we focus on the condition Effusion. Results on other conditions can be found in Appendix C.3. + +The trained SVM identifies visually distinguishable failure mode directions in latent space. As shown in Figure 37, the representative images flagged by this SVM as most incorrect are blurrier and less bright. Moreover, this trend is not reflected by the least confident images, indicating that our framework is isolating a different trend than the one corresponding to ordering the images by base model confidence. + +In fact, we find that the SVM may be picking up on the position in which the exam was conducted. While the majority of the X-rays are Posterior-Anterior (PA) radiographs, a little over a third are Anterior-Posterior (AP). PA radiographs are usually clearer, but require the patient to be well enough to stand (Tafti & Byerly, 2020). Examples of AP and PA radiographs from the dataset can be found later in this section. + +As shown in Table 38, the SVM for the class “no effusion” flags a large number of the AP radiographs as incorrect. This indicates that the model might indeed rely on the position in which the radiograph was taken to predict whether the patient was healthy. Moreover, the SVM selects the AP examples more consistently than ordering the radiographs by the base model’s confidence (Figure 39). + +Finally, in the rest of this appendix, we discuss the experimental details and additional results for applying our framework to the ChestX-ray14 dataset. + +# C.3.1 EXPERIMENTAL DETAILS + +We use the given train, validation, and test splits for the ChestX-ray14 dataset. We use a resolution of $2 2 4 \times 2 2 4$ , and consider each of the 14 conditions separately. + +Hyperparameters We use the following hyperparameters, which are the same as for ImageNet. + +
ParameterValue
Batch Size1024
Epochs16
Peak LR0.5
Momentum0.9
Weight Decay5×10-4
Peak Epoch2
+ +# C.3.2 EXAMPLES OF AP AND PA IMAGES + +The ChestX-ray14 Images have different positions in which the exam could have been conducted. While the majority of the X-rays are Posterior-Anterior (PA) radiographs, a little over a third are Anterior-Posterior (AP). + +PA radiographs are usually clearer, and the position of the scapula obstructs less of the lung; however, they require the patient to be well enough to stand (Tafti & Byerly, 2020). Examples of AP and PA radiographs from the dataset for the same patient and same resolution can be found in Figure 40. There are often also visible markers on the radiograph (i.e the words AP or portable) which distinguish the two. + +![](images/b72f97d41b64917604ba6ad071a1d53f3108dbbad8342e74af2fbf20ddf369cd.jpg) +Figure 40: Examples of AP vs PA radiographs for the same patient. + +# C.3.3 RESULTS FOR ADDITIONAL CONDITIONS + +Effusion We begin with the condition “effusion". Figure 41 displays the most extreme figures by SVM decision value and confidence for each class. We additionally plot, for the top K values ordered by most negative decision value or confidence, the fraction of images that were AP radiographs. We find that, to a higher degree than confidences, the model associates AP images as hard for the healthy class and easy for the non-healthy class. + +![](images/1f6aca1d41fd1b8ca4e83f1de5a5e2ede1c2d8f7ac11b59ca95a71c1b57bbae9.jpg) +Figure 41: Effusion. Left: Most extreme images according to SVM decision value and confidences. Right: The fraction of the top K images that were AP. We order images by the most negative SVM decision value or by the lowest model confidence. + +Mass We now consider the condition Mass (Figure 42). We again find that the SVM picks up on distinct visual patterns that were not surfaced by confidences. Moreover, we interestingly find that our framework surfaces AP images as hard for the non-healthy class, as opposed to the healthy class in the case of Effusion. + +![](images/3cac46e4ee8904c17dcf23f84f659d94d0b5de274d545f1145ce4d534cdb2870.jpg) +Figure 42: Mass. Left: Most extreme images according to SVM decision value and confidences. Right: The fraction of the top K images that were AP. We order images by the most negative SVM decision value or by the lowest model confidence. + +Infiltration Finally, we consider the condition Infiltration (Figure 43). As in the case of Effusion, the framework associates AP with easier images for the non-healthy class and, to a lesser extent, hard images for the healthy class. + +![](images/17563a4d75f10debc921b83564fdddea010a5b531ab9b60af9c90af801d9f639.jpg) +Figure 43: Infiltration. Left: Most extreme images according to SVM decision value and confidences. Right: The fraction of the top K images that were AP. We order images by the most negative SVM decision value or by the lowest model confidence. \ No newline at end of file diff --git a/parse/dev/99RpBVpLiX/99RpBVpLiX_content_list.json b/parse/dev/99RpBVpLiX/99RpBVpLiX_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..eaee880807f51f0a9eb59f131487ccad8b1a59c4 --- /dev/null +++ b/parse/dev/99RpBVpLiX/99RpBVpLiX_content_list.json @@ -0,0 +1,4614 @@ +[ + { + "type": "text", + "text": "DISTILLING MODEL FAILURES AS DIRECTIONS IN LATENT SPACE ", + "text_level": 1, + "bbox": [ + 176, + 98, + 774, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Saachi Jain\\*, Hannah Lawrence\\*, Ankur Moitra & Aleksander M ˛adry Massachusetts Institute of Technology, Cambridge, USA {saachij,hanlaw,moitra,madry}@mit.edu, ( $^ *$ Equal contribution) ", + "bbox": [ + 183, + 170, + 696, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 250, + 544, + 263 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Existing methods for isolating hard subpopulations and spurious correlations in datasets often require human intervention. This can make these methods laborintensive and dataset-specific. To address these shortcomings, we present a scalable method for automatically distilling a model’s failure modes. Specifically, we harness linear classifiers to identify consistent error patterns, and, in turn, induce a natural representation of these failure modes as directions within the feature space. We demonstrate that this framework allows us to discover and automatically caption challenging subpopulations within the training dataset. Moreover, by combining our framework with off-the-shelf diffusion models, we can generate images that are especially challenging for the analyzed model, and thus can be used to perform synthetic data augmentation that helps remedy the model’s failure modes. ", + "bbox": [ + 233, + 277, + 766, + 429 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 452, + 336, + 468 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The composition of the training dataset has key implications for machine learning models’ behavior (Feldman, 2019; Carlini et al., 2019; Koh & Liang, 2017; Ghorbani & Zou, 2019; Ilyas et al., 2022), especially as the training environments often deviate from deployment conditions (Rabanser et al., 2019; Koh et al., 2020; Hendrycks et al., 2020). For example, a model might struggle on specific subpopulations in the data if that subpopulation was mislabeled (Northcutt et al., 2021; Stock & Cisse, 2018; Beyer et al., 2020; Vasudevan et al., 2022), underrepresented (Sagawa et al., 2020; Santurkar et al., 2021), or corrupted (Hendrycks & Dietterich, 2019; Hendrycks et al., 2020). More broadly, the training dataset might contain spurious correlations, encouraging the model to depend on prediction rules that do not generalize to deployment (Xiao et al., 2020; Geirhos et al., 2020; DeGrave et al., 2021). Moreover, identifying meaningful subpopulations within data allows for dataset refinement (such as filtering or relabeling) (Yang et al., 2019; Stock & Cisse, 2018), and training more fair (Kim et al., 2019; Du et al., 2021) or accurate (Jabbour et al., 2020; Srivastava et al., 2020) models. ", + "bbox": [ + 174, + 483, + 825, + 648 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "However, dominant approaches to such identification of biases and difficult subpopulations within datasets often require human intervention, which is typically labor intensive and thus not conducive to routine usage. For example, recent works (Tsipras et al., 2020; Vasudevan et al., 2022) need to resort to manual data exploration to identify label idiosyncrasies and failure modes in widely used datasets such as ImageNet. On the other hand, a different line of work (Sohoni et al., 2020; Nam et al., 2020; Kim et al., 2019; Liu et al., 2021; Hashimoto et al., 2018) does present automatic methods for identifying and intervening on hard examples, but these methods are not designed to capture simple, human-understandable patterns. For instance, Liu et al. (2021) directly upweights inputs that were misclassified early in training, but these examples do not necessarily represent a consistent failure mode. This motivates the question: ", + "bbox": [ + 174, + 656, + 825, + 795 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "How can we extract meaningful patterns of model errors on large datasets? ", + "text_level": 1, + "bbox": [ + 251, + 803, + 743, + 818 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "One way to approach this question is through model interpretability methods. These include saliency maps (Adebayo et al., 2018; Simonyan et al., 2013), integrated gradients (Sundararajan et al., 2017), and LIME (Ribeiro et al., 2016b), and perform feature attribution for particular inputs. Specifically, they aim to highlight which parts of an input were most important for making a model prediction, and can thus hint at brittleness of that prediction. However, while feature attribution can indeed help debug individual test examples, it does not provide a global understanding of the underlying biases of the dataset — at least without manually examining many such individual attributions. ", + "bbox": [ + 174, + 827, + 825, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "OUR CONTRIBUTIONS ", + "text_level": 1, + "bbox": [ + 176, + 103, + 330, + 117 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this work, we build a scalable mechanism for globally understanding large datasets from the perspective of the model’s prediction rules. Specifically, our goal is not only to identify interpretable failure modes within the data, but also to inform actionable interventions to remedy these problems. ", + "bbox": [ + 176, + 130, + 823, + 171 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our approach distills a given model’s failure modes as directions in a certain feature space. In particular, we train linear classifiers on normalized feature embeddings within that space to identify consistent mistakes in the original model’s predictions. The decision boundary of each such classifier then defines a “direction\" of hard examples. By measuring each data-point’s alignment with this identified direction, we can understand how relevant that example is for the failure mode we intend to capture. We leverage this framework to: ", + "bbox": [ + 176, + 178, + 825, + 262 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• Detection: Automatically detect and quantify reliability failures, such as brittleness to distribution shifts or performance degradation on hard subpopulations (Section 2.1). \n• Interpretation: Understand and automatically assign meaningful captions to the error patterns identified by our method (Section 2.2). \n• Intervention: Intervene during training in order to improve model reliability along the identified axes of failure (Section 2.3). In particular, by leveraging our framework in conjunction with off-the-shelf diffusion models, we can perform synthetic data augmentation tailored to improve the analyzed model’s mistakes. ", + "bbox": [ + 217, + 273, + 825, + 396 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Using our framework, we can automatically identify and intervene on hard subpopulations in image datasets such as CIFAR-10, ImageNet, and ChestX-ray14. Importantly, we do not require direct human intervention or pre-annotated subgroups. The resulting framework is thus a scalable approach to identifying important subpopulations in large datasets with respect to their downstream tasks. ", + "bbox": [ + 176, + 409, + 825, + 464 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 CAPTURING FAILURE MODES AS DIRECTIONS WITHIN A LATENT SPACE ", + "text_level": 1, + "bbox": [ + 171, + 484, + 808, + 501 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The presence of certain undesirable patterns, such as spurious correlations or underrepresented subpopulations, in a training dataset can prevent a learned model from properly generalizing during deployment. As a running example, consider the task of distinguishing “old” versus “young” faces, wherein the training dataset age is spuriously correlated with gender (such that the faces of older men and younger women are overrepresented). Such correlations occur in the CelebA dataset (Liu et al., 2015) (though here we construct a dataset that strengthens them)1. Thus, a model trained on such a dataset might rely too heavily on gender, and will struggle to predict the age of younger men or older women. How can we detect model failures on these subpopulations? ", + "bbox": [ + 174, + 516, + 825, + 627 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The guiding principle of our framework is to model such failure modes as directions within a certain latent space (Figure 1). In the above example, we would like to identify an axis such that the (easier) examples of “old men” and the (harder) examples of “old women” lie in opposite directions. We then can capture the role of an individual data point in the dataset by evaluating how closely its normalized embedding aligns with that extracted direction (axis). But how can we learn these directions? ", + "bbox": [ + 174, + 635, + 825, + 704 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our method. The key idea of our approach is to find a hyperplane that best separates the correct examples from incorrect ones. In the presence of global failure modes such as spurious correlations, the original model will likely make consistent mistakes, and these mistakes will share features. Using a held out validation set, we can therefore train a linear support vector machine (SVM) for each class to predict the original model’s mistakes based on these shared features. The SVM then establishes a decision boundary between the correct and incorrect examples, and the direction of the failure mode will be orthogonal to this decision boundary (i.e., the normal vector to the hyperplane). Intuitively, the more aligned an example is with the identified failure direction, the harder the example was for the original neural network. Details of our method can be found in Appendix A. ", + "bbox": [ + 174, + 710, + 825, + 837 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The choice of latent space: Leveraging shared vision/language embeddings. Naturally, the choice of embedding space for the SVM greatly impacts the types of failure modes it picks up. Which embedding space should we choose? One option is to use the latent space of the original neural network. However, especially if the model fits the training data perfectly, it has likely learned latent representations which overfit to the training labels. In our running example of CelebA, the few older women in the training set could be memorized, and so their latent embeddings would likely be very different from those of older women in the test set. As shown in Appendix B.1.6, these discontinuities reduce the efficacy of our method, as the resulting featurizations are likely inconsistent. ", + "bbox": [ + 174, + 844, + 823, + 900 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/3dfb9099250d4c0b21ce775c2abf155d6b63bf7527c6e2d53805ebc94ad9aec4.jpg", + "image_caption": [ + "Figure 1: A summary of our approach, as applied to CelebA. Consider the task of classifying faces as \"young\" or \"old\", where the training set contains a spurious correlation with gender. (Left) Given a trained base model, we evaluate it on a held-out validation set. (Middle) For each class (here “old\"), we train a linear SVM on a shared vision/language latent space to predict whether the base model would have classified an input from the validation set correctly. We then extract a direction (gray) for the captured failure mode as the vector orthogonal to the learned hyperplane. Here, the SVM learns to use gender to separate the incorrect (red) vs. correct (green) examples. (Right) Images farthest from the SVM decision boundary exemplify the hardest (“old women\") or the easiest (“old men\") test examples. Furthermore, we can select captions that, when embedded in the shared latent space, are farthest from the decision boundary and thus capture the pattern of errors learned by the SVM. " + ], + "image_footnote": [], + "bbox": [ + 187, + 101, + 799, + 313 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 481, + 825, + 536 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To address this problem, we use an embedding that is agnostic to the specific dataset. In particular, we featurize our images using CLIP (Radford et al., 2021), which embeds both images and language into a shared latent space of unit vectors. Using these embeddings will also let us automatically assign captions to the directions extracted from the SVM. We consider other latent spaces in Appendix B.1. ", + "bbox": [ + 174, + 544, + 825, + 599 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Having captured the model’s failure modes as directions within that latent space, we can detect, interpret, and intervene on difficult subpopulations. We now describe implementing these primitives. ", + "bbox": [ + 174, + 606, + 823, + 635 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.1 DETECTION ", + "text_level": 1, + "bbox": [ + 174, + 651, + 297, + 666 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "How can we tell whether the extracted direction actually encapsulates a prevalent error pattern? To answer this question, we need a way to quantify the strength of the identified failure mode. Our framework provides a natural metric: the validation error of the trained SVMs. The more consistent the failure mode is, the more easily a simple linear classifier can separate the errors in the CLIP embedding space. Thus, the cross-validation score (i.e, the SVM’s accuracy on held-out data) serves as a measure of the failure mode’s strength in the dataset. It can then be used to detect classes that have a clear bias present, which will be useful for the following interpretation and intervention steps. ", + "bbox": [ + 174, + 678, + 825, + 776 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 INTERPRETATION ", + "text_level": 1, + "bbox": [ + 176, + 792, + 334, + 806 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Since the trained SVMs are constrained to capture simple (approximately linearly separable) patterns in embedding space, we can easily interpret the extracted directions to understand the failure modes of the dataset. We explore two approaches to extracting the subpopulations captured by our framework. ", + "bbox": [ + 174, + 819, + 825, + 861 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Most aligned examples. The examples whose normalized embeddings are most aligned with the extracted direction represent the most prototypically correct or incorrect inputs. Therefore, to get a sense of what failure mode the direction is capturing, we can examine the most extreme examples according to the SVM’s decision value, which is proportional to the signed distance to the SVM’s decision boundary. Returning to our running example, in Figure 1 the images of the “old\" class that are the “most correct\" correspond to men, while the “most incorrect\" ones correspond to women. ", + "bbox": [ + 174, + 867, + 823, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Automatic captioning. We can leverage the fact that the SVM is trained on a shared vision/language latent space (i.e., CLIP) to automatically assign captions to the captured failure mode. Just as above we surfaced the most aligned images, we can similarly surface the most aligned captions, i.e, captions whose normalized embedding best matches the extracted direction. ", + "bbox": [ + 176, + 138, + 825, + 194 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Specifically, assume that each class has a reference caption $r$ , which is a generic phrase that could describe all examples of the class (e.g., “a photo of a person”). We then generate a candidate set of more specific captions $c _ { 1 } , . . . , c _ { m }$ that include additional attributes (e.g., “a photo of a person with a moustache”). Our goal is to pick the caption for which the additional information provided by $c$ — beyond that which was already provided by $r$ — best captures the the extracted failure mode. ", + "bbox": [ + 174, + 202, + 825, + 272 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To do so, we score a caption $c$ by how aligned the normalized embedding $\\begin{array} { r } { \\hat { c } = \\frac { c - r } { | | c - r | | _ { 2 } } } \\end{array}$ is with the direction captured by the SVM. This amounts to choosing the captions for which $\\hat { c }$ has the most positive (easiest) or negative (hardest) SVM decision values. In contrast to previous works that choose the captions closest to the mean of a selected group of hard examples (c.f., Eyuboglu et al. (2022)), our method avoids this proxy and directly assigns a caption to the captured failure mode itself. ", + "bbox": [ + 174, + 279, + 825, + 351 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Directly decoding the SVM direction with diffusion models. Some of the recently developed diffusion models (e.g., retrieval augmented diffusion models (Blattmann et al., 2022), DALL-E 2 (Ramesh et al., 2022)) generate images directly from the shared vision/language (CLIP) space. In such cases, we can directly decode the extracted SVM direction into generated images. This enables us to visually capture the direction itself, without needing to generate a set of candidate captions. ", + "bbox": [ + 174, + 358, + 825, + 428 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Specifically, let $r$ be the normalized embedding of the reference caption, and $w$ the normalized SVM direction. By rotating between $r$ and either $w$ or $- w$ via spherical interpolation, we can generate harder or easier images, respectively. Here, we expect the degree of rotation $\\alpha$ to determine the extent of difficulty2. As shown in Section 4, passing this rotated embedding to the diffusion model indeed lets us directly generate images that encapsulate the extracted failure mode. ", + "bbox": [ + 174, + 434, + 825, + 505 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.3 INTERVENTION ", + "text_level": 1, + "bbox": [ + 174, + 522, + 321, + 536 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Now that we have identified some of the failure modes of the model, can we improve our model’s performance on the corresponding challenging subpopulations? It turns out that this is possible, via both real and synthetic data augmentation. ", + "bbox": [ + 176, + 549, + 825, + 590 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Filtering intervention. Given an external pool of examples that was not used to train the original model, we can select the best of these examples to improve performance on the hard subpopulations. Specifically, if the goal is to add only $K$ examples per class to the training dataset (e.g., due to computation constraints), we simply add the $K$ images with the most negative SVM decision values. In Appendix B.1.2, we discuss an alternative intervention scheme, upweighting hard training examples. ", + "bbox": [ + 174, + 598, + 825, + 667 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Synthetic data augmentation. In the absence of such an external pool of such data, we can leverage our framework together with text-to-image diffusion models (e.g., Stable Diffusion (Rombach et al., 2022), DALL-E 2 (Ramesh et al., 2022), and Imagen (Saharia et al., 2022)) to generate synthetic images instead. After automatically captioning each failure mode, we simply input these captions into the diffusion model to generate images from the corresponding subpopulation. In Section 4, we show that fine-tuning the model on such images improves model reliability on these subpopulations. ", + "bbox": [ + 174, + 674, + 825, + 758 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 VALIDATING OUR FRAMEWORK IN THE PRESENCE OF KNOWN SUBPOPULATIONS ", + "text_level": 1, + "bbox": [ + 173, + 780, + 723, + 814 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In Section 2, we presented an approach for distilling the failure modes as directions within a latent space. In this section, we validate our framework by evaluating its performance on datasets with known pathologies. In Section 4, we apply our framework to discover challenging subpopulations in datasets where the bias is not known beforehand. Experimental details can be found in Appendix B. ", + "bbox": [ + 174, + 829, + 825, + 885 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/c33229ad4541f9909b2a8bf34a43bf586390a9d831267e40ca98a2aa20916c9c.jpg", + "image_caption": [ + "Figure 2: For each CelebA class, the fraction of test images that are of the minority gender when ordering the images by either their SVM decision value or model confidences. We include additional baselines: Domino (Eyuboglu et al., 2022), LfF (Nam et al., 2020), and confidences after early stopping. Our framework more reliably captures the spurious correlation than all other baselines. " + ], + "image_footnote": [], + "bbox": [ + 200, + 103, + 794, + 250 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/9a1160cf033b4219214d79be18a4f6fc1e623b34dacc9decacec9461308391d0.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 611, + 328, + 800, + 421 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/350b608278c64eb6e0c935958b69d2d447dcdae48300495f45793fc782f353be.jpg", + "image_caption": [ + "Figure 4: Our SVM’s cross validation score (corresponding to its estimated ability to assess the strength of the extracted failure mode) compared to the strength of the planted spurious correlation. The SVM scores are highly correlated with the strength of the shift. ", + "Figure 3: The images and captions for each class with the most extreme SVM decision values. Those scored as most incorrect are in the minority subpopulations (“old women\" and “young men\"), while those scored as most correct are in the majority subpopulations (“old men\" and “young women\"). " + ], + "image_footnote": [], + "bbox": [ + 184, + 330, + 581, + 459 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We focus on two settings: (1) detecting a spurious correlation in a facial recognition dataset, and (2) isolating underrepresented subtypes in image classification. In Appendix B, we consider other settings, such as Colored MNIST (Arjovsky et al., 2019) and ImageNet-C (Hendrycks & Dietterich, 2019). ", + "bbox": [ + 174, + 560, + 825, + 602 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.1 USING OUR FRAMEWORK TO ISOLATE AND LABEL SPURIOUS CORRELATIONS ", + "bbox": [ + 174, + 618, + 756, + 633 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We revisit our running example from Section 2, where a model is trained to predict age from the CelebA dataset. The training dataset contains a spurious correlation with gender (which we enhance by selectively subsetting the original dataset). We use a validation set that is balanced across age and gender, but also explore unbalanced validation sets in Appendix B.1 and Section 4. ", + "bbox": [ + 174, + 645, + 825, + 700 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Capturing the spurious correlation. Does our framework identify gender as the key failure mode in this setting? It turns out that even though only $33 \\%$ of the dataset comes from the challenging subpopulations “old women” and “young men”, $89 \\%$ of the images flagged as incorrect by our framework are from these groups. Indeed, as shown in Figure 2, the SVM more consistently selects those hard subpopulations, compared to using the original confidences. As the underlying linear classifier is forced to use simple prediction rules, the corresponding SVM flags a more homogenous population than does using the original confidences. We find that our method further outperforms other baselines such as Domino (Eyuboglu et al., 2022), Learning from Failure (Nam et al., 2020), or using confidences after early stopping (as in Liu et al. (2021)) (see Appendix B.1 for further experimental details). ", + "bbox": [ + 174, + 708, + 825, + 833 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Automatically interpreting the captured failure mode. In Figure 3, we surface the examples most aligned with the extracted direction using the SVM’s decision values. As shown, examples with the most negative SVM decision values are indeed from the hard subpopulations. We also automatically caption each captured failure mode. To this end, we consider a candidate caption set which includes attributes such as age, gender, and facial descriptors. The captions that are most aligned with the extracted direction in CLIP space capture the spurious correlation on gender (Figure 3). ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/2a5df0128fcba1b30e2ad1f57e6d224faef524652a30a074be462f89d1a82fbd.jpg", + "image_caption": [ + "Figure 5: For each CIFAR-100 superclass, the fraction of the top K flagged test images that belong to the underrepresented subclass (averaged over classes). We compare using the SVM’s decision value and the model’s confidences to select the top K images; the SVM more consistently identifies the minority subpopulation. " + ], + "image_footnote": [], + "bbox": [ + 200, + 104, + 459, + 208 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/5e3fe77c335b7d9474c1c6063ad1ad8f61c591409d55dd2aaaef019afedaa5b5.jpg", + "image_caption": [ + "Figure 6: For CIFAR-100, the accuracy on the minority subclasses after adding K images per superclass from the extra data (reported over five runs.) We compare using the SVM’s decision value or the model’s confidences to select images. Relying on the SVM’s values provides the most improvement on the minority subclasses. " + ], + "image_footnote": [], + "bbox": [ + 532, + 104, + 790, + 208 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Quantifying the strength of the shift. As mentioned in Section 2, the cross-validation scores of the SVM quantify the strength of the spurious correlation. In Figure 4, we train base models on versions of CelebA with increasing degrees of the planted spurious correlation, and find that the SVM cross-validation scores strongly correlate with the strength of the planted shift. ", + "bbox": [ + 174, + 333, + 825, + 388 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.2 IDENTIFYING UNDERREPRESENTED SUB-TYPES ", + "text_level": 1, + "bbox": [ + 174, + 405, + 545, + 420 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Above, we considered a setting where the model predicts incorrectly because it relies on a spurious feature (gender). What if a model struggles on a subpopulation not due to a spurious feature, but simply because there are not enough examples of that image type? ", + "bbox": [ + 174, + 431, + 825, + 473 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To evaluate our approach in this setting, consider the task of predicting the superclass of a hierarchical dataset when subclasses have been underrepresented. In particular, the CIFAR-100 (Krizhevsky, 2009) dataset contains twenty superclasses, each of which contains five equally represented subclasses. For each such superclass, we subsample one subclass so that it is underrepresented in the training data. For instance, for the superclass “aquatic mammals”, we remove a large fraction of the subclass beavers from the training dataset. In Figure 5, we find that our framework correctly isolates the minority subclass as the most incorrect for each superclass more consistently than does confidences. ", + "bbox": [ + 174, + 479, + 825, + 578 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Validating automatic captioning. For each superclass, we construct a caption set that corresponds to the possible subclasses (e.g., for the superclass “aquatic mammals,” the caption set is “a photo of a beaver”, “a photo of a dolphin”, etc.). As we find, the caption corresponding to the minority subclass was the top negative caption for $80 \\%$ of the superclasses, and in the top 2 for $9 5 \\%$ of the superclasses. ", + "bbox": [ + 174, + 585, + 825, + 640 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Filtering intervention. Having isolated hard subpopulations, we now apply our framework downstream to improve performance on them. We use the trained SVMs to choose a subset of images from a larger pool of data to add to the training set. In Figure 6, we find that using our framework to select this extra data improves accuracy on the minority subclasses more than what using model confidences or choosing a random subset offers, while maintaining approximately the same overall accuracy. ", + "bbox": [ + 174, + 647, + 825, + 718 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 DISCOVERING NEW SUBPOPULATIONS IN IMAGE DATASETS ", + "text_level": 1, + "bbox": [ + 176, + 737, + 702, + 753 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Above, we considered datasets with pathologies, such as spurious correlations or underrepresented subtypes, that were known. In this section, we apply our framework to datasets without any preannotated difficult subpopulations. Our approach discovers new subpopulations representing key failure modes for the models. Specifically, we apply our framework to CIFAR-10 (Krizhevsky, 2009) and ImageNet (Deng et al., 2009), and defer ChestX-ray14 (Rajpurkar et al., 2017) to Appendix C.3. Experimental details can be found in Appendix C. ", + "bbox": [ + 174, + 768, + 826, + 853 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.1 CIFAR-10 ", + "text_level": 1, + "bbox": [ + 174, + 869, + 289, + 883 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We begin with the CIFAR-10 (Krizhevsky, 2009) dataset. Since the accuracy of a ResNet18 on CIFAR-10 is very high $( 9 3 \\% )$ , the original model does not make many errors. Thus, we instead consider a weaker base model trained with $20 \\%$ of the original CIFAR-10 dataset, where the other $20 \\%$ is used for validation and the last $60 \\%$ is used as extra data for the subset intervention. (See Appendix C.1 for additional experiments, including applying our framework to the larger CIFAR-10 dataset.) ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/00329b6d87cc4a0de3cf02a9d8f2c4d8c0f68dfffea4c73f3e9c66568ffb67b0.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 181, + 107, + 596, + 252 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/aed1ae2ef5823b4f0901d2eda3d6706032a2b3d2d6c8436c8f44e79a7513f897.jpg", + "image_caption": [ + "(b) Model accuracies on each identified subpopulation. " + ], + "image_footnote": [], + "bbox": [ + 625, + 107, + 815, + 217 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/e529e103f2f38663d7448a35d681ce8627d3e1f7225f41b98cb4c67b82a512a1.jpg", + "image_caption": [ + "Figure 7: (a) The images with the most extreme SVM decision values for the CIFAR-10 classes cat and dog, along with the most positive/negative captions according to the SVM. (See Appendix C.1.3 for more examples.) (b) For each class, the accuracy of the K test images closest in CLIP embedding space to the most positive/negative SVM captions for that class (averaged over classes). The images closest to the negative caption have a lower accuracy than those closest to the positive caption. ", + "Figure 8: To directly decode the SVM direction into images, we spherically interpolate the extracted direction and the embedding of the reference caption before passing this vector to a diffusion model. (a) Examples of synthetic hard and easy images of CIFAR-10 cats and dogs. The generated images match the trends found in Figure 7a. Further examples can be found in Appendix C.1.4. (b) Base model accuracy on generated hard and easy images (100 images per CIFAR-10 class) over varying degrees of spherical interpolation $( \\alpha )$ . Neutral images were generated using the reference caption. The base model performs worst on the hard generated images and best on the easy ones. " + ], + "image_footnote": [], + "bbox": [ + 184, + 347, + 609, + 477 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/cc180606452926980fb55217dd94ad5d6f200c2f1228efff2b837642f54b8a12.jpg", + "image_caption": [ + "(b) Model accuracies on the generated images. " + ], + "image_footnote": [], + "bbox": [ + 629, + 351, + 820, + 441 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 599, + 825, + 642 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Finding interpretable subpopulations within the CIFAR-10 dataset. Figure 7a displays examples of the failure modes identified by our framework. We identify white cats on grass and black dogs as hard, while classifying brown cats and white/brown dogs that are inside as easy. ", + "bbox": [ + 174, + 648, + 825, + 690 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Do these directions in latent space map to real failure modes of the base model? Without manual annotations, we can no longer directly report the original model’s accuracy on these minority groups. However, as a proxy, we evaluate images that are closest in cosine similarity to the captions chosen by the SVM. For example, to get white cats on the grass, we rank the CIFAR-10 cats by how close their embeddings are to the caption “a photo of a white cat on grass” in CLIP space3. Using this proxy, in Figure 7b we confirm that the surfaced SVM captions represent real failure modes in the dataset. ", + "bbox": [ + 173, + 698, + 825, + 782 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Decoding the SVM direction to generate challenging images. Since the SVM operates in CLIP space, we can directly decode the extracted direction into an image using an off-the-shelf diffusion model (Blattmann et al., 2022) which also samples from this space. By spherically interpolating between the embedding of the reference caption (e.g., “a photo of a cat\") and the extracted SVM direction, we can generate harder or easier images corresponding to the extracted failure mode (Figure 8a). For example, interpolating with the hard direction for CIFAR-10 cats generates white cats on grass, matching the extracted SVM caption in Figure 7a. Across classes, we verify that the original model performs worse on the “hard\" generated images and better on the “easy” ones (Figure 8b). ", + "bbox": [ + 174, + 789, + 825, + 900 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/074803d1e837740d9ab89559c55dcd530a5e5607166a2326ebfb22f16997bd81.jpg", + "image_caption": [ + "(a) Evaluating images closest to the hard subpopulation " + ], + "image_footnote": [], + "bbox": [ + 191, + 102, + 473, + 205 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/f4a573f7aeefb6d95cd0ae19fdbe65c32c00c34e195027ae0053d50bd94dc789.jpg", + "image_caption": [ + "(b) Evaluating images closest to the easy subpopulation ", + "Figure 9: We fine-tune the model using 100 synthetic images per class generated via stable diffusion based on the hard, easy, or reference caption. We measure the accuracy of the K test images closest to the (a) hard or (b) easy SVM caption in CLIP space. Fine-tuning the model on the images generated from the hard captions boosts the accuracy of the model on these corresponding, real test images more than augmenting with generic synthetic images does. The analogous phenomenon does not hold, however, when we target the easy subpopulation. " + ], + "image_footnote": [], + "bbox": [ + 521, + 103, + 803, + 205 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Targeted synthetic data augmentation. By leveraging text-to-image generative models, we can generate images for targeted data augmentation. Using a off-the-shelf stable diffusion (Rombach et al., 2022) model, we generate 100 images per class using the corresponding negative SVM caption (e.g., “a photo of a white cat on the grass”) as the prompt. After adding these images to the training set, we retrain the last layer of the original model. Fine-tuning the model on these synthetic images improves accuracy on the hard subpopulation — defined according to similarity in CLIP space to the negative caption — compared to using generic images generated from the reference caption (Figure 9a). ", + "bbox": [ + 173, + 338, + 825, + 435 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "It turns out that this procedure for targeted synthetic data augmentation is particularly effective for the identified challenging subpopulation. Generating images using the easy caption (e.g., “a photo of a cat inside”) does not improve accuracy on images within that subpopulation any more than augmenting with generic synthetic images (Figure 9b). ", + "bbox": [ + 174, + 443, + 825, + 498 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "It is also possible to augment the dataset with images generated directly from the SVM direction, as in Figure 8a, using a diffusion model that samples directly from CLIP space. In doing so, we could skip the intermediate captioning stage entirely. Currently, the diffusion models that operate in CLIP space are either not open-source (DALL-E 2 (Ramesh et al., 2022)) or trained with less data (Blattmann et al., 2022). However, with further progress in CLIP-space diffusion models, this may be a promising mechanism for tailoring data augmentation directly from the SVM direction. ", + "bbox": [ + 174, + 505, + 825, + 588 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.2 IMAGENET ", + "text_level": 1, + "bbox": [ + 174, + 606, + 290, + 621 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We also apply our framework on a larger scale: to find challenging subpopulations in ImageNet (Deng et al., 2009) (see Appendix C.2 for further experimental details). In Figure 10a, we display examples of the failure modes captured by our framework with their associated SVM captions. These biases include over-reliance on color (e.g., the coat of a red wolf) or sensitivity to co-occurring objects (e.g the presence of a person holding the fish tench). We include more examples in Appendix C.2.1. ", + "bbox": [ + 174, + 632, + 825, + 703 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "As in Section 4.1, we validate that these directions correspond to real failure modes by evaluating the accuracy of the test images that are closest to the positive or negative SVM caption in CLIP space (Figure 10b). The identified subpopulations indeed have a significant difference in overall accuracy. ", + "bbox": [ + 176, + 709, + 825, + 752 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 772, + 344, + 789 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Debiasing/fairness under known biases. There are many works on optimizing group fairness with respect to known biases (Feldman et al., 2015; Kamishima et al., 2011; Hardt et al., 2016; Zafar et al., 2017; Kusner et al., 2017; Balashankar et al., 2019); see also (Mehrabi et al., 2021; Hashimoto et al., 2018) and the references therein. Outside the fairness literature, de-biasing approaches in machine learning have been proposed for mitigating the effect of known biases during training (Sagawa et al., 2020; Yang et al., 2019; He et al., 2019; Belinkov et al., 2019; Clark et al., 2019). ", + "bbox": [ + 174, + 804, + 825, + 888 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Discovery and mitigation of hard subpopulations. One line of work uses manual exploration to identify pathologies, such as label ambiguity, in ImageNet (Stock & Cisse, 2018; Vasudevan et al., ", + "bbox": [ + 173, + 895, + 823, + 924 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/3b016dedd4c9b726c17c6dc4e1d8a20e99f04c3c70dd489edabe2a3917c1c879.jpg", + "image_caption": [ + "(a) Most extreme images and extracted SVM captions. " + ], + "image_footnote": [], + "bbox": [ + 181, + 106, + 591, + 238 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/7b3cb796e7b6ddbdb8f70bad0e216bfe6a7690598126edb1dfc2c2eb7bdf0a54.jpg", + "image_caption": [ + "(b) Model accuracies on each identified subpopulation ", + "Figure 10: (a) The most extreme images and captions by SVM decision value for ImageNet classes tench and red wolf. Our framework identifies clear biases on color (e.g red wolf) and co-occurrence of unrelated objects (e.g tench). (b) For each class, the accuracy of the top K images that were closest in CLIP space to the most positive/negative SVM captions for that class. The identified hard (negative) subpopulation has a lower accuracy than the identified easy (positive) subpopulation. " + ], + "image_footnote": [], + "bbox": [ + 629, + 111, + 818, + 223 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "2022; Tsipras et al., 2020). Another presents automatic methods for discovering and intervening on hard subpopulations. Sohoni et al. (2020) estimates subclass structure by clustering in the model’s latent space, while Liu et al. (2021) directly upweights examples that the model misclassified early in training. Other works directly train a second model which “emphasizes” the examples on which a base model struggles (Nam et al., 2020; Hashimoto et al., 2018; Bao & Barzilay, 2022; Kim et al., 2019; Utama et al., 2020; Sanh et al., 2020). Unlike our framework, these methods focus on the overall test accuracy, rather than finding a consistent failure mode. Perhaps the closest work in spirit to ours is Eyuboglu et al. (2022), which presents an automatic method for identifying challenging subsets by fitting a Gaussian mixture model in CLIP space. However, our SVM provides a stronger inductive bias towards simple subclasses, and furthermore imposes a useful geometry on the latent space for scoring data points, intervening, and selecting captions in a more principled manner. ", + "bbox": [ + 174, + 354, + 825, + 507 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Model interpretability. Model interpretability methods seek to identify the relevant features for a model’s prediction. They include gradient- (Simonyan et al., 2013; Dabkowski & Gal, 2017; Sundararajan et al., 2017) and perturbation-based (Ribeiro et al., 2016a; Goyal et al., 2019; Fong & Vedaldi, 2017; Dabkowski & Gal, 2017; Zintgraf et al., 2017; Dhurandhar et al., 2018; Chang et al., 2019; Hendricks et al., 2018; Singla et al., 2021) methods. Other works analyze the model’s activations (Bau et al., 2017; Kim et al., 2018; Yeh et al., 2020; Wong et al., 2021). Li & Xu (2021) use a generative model to find biased attributes that impact model predictions. Concurrent work by Abid et al. (2022) uses predefined concept activation vectors to discover latent space perturbations that correct a model’s mistake. Finally, several papers investigate the vulnerability of models to specific biases such as sensitivity to texture (Geirhos et al., 2019), background (Xiao et al., 2020), spatial perturbations (Engstrom et al., 2019), common corruptions (Hendrycks & Dietterich, 2019), and non-robust features (Szegedy et al., 2014; Goodfellow et al., 2015; Madry et al., 2018). ", + "bbox": [ + 174, + 513, + 825, + 681 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 703, + 318, + 719 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this paper, we introduce a framework for automatically isolating, interpreting, and intervening on hard but interpretable subpopulations of a dataset. In particular, by distilling the model’s failure modes as directions in a latent space, our framework provides a mechanism for studying data-points in the context of the model’s prediction rules. We thus can leverage our framework to automatically caption the captured failure mode, quantify the strength of distribution shifts, and intervene to improve the model’s performance on minority subgroups. Notably, our method enables the effective, automated application of text-to-image models for synthetic data augmentation. We find that our technique succeeds not only on datasets with planted hard subpopulations, but also on natural and widely-used datasets; as such, we hope it will serve as a useful tool for scalable dataset exploration and debiasing. ", + "bbox": [ + 174, + 734, + 825, + 861 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Several interesting directions remain for further study. One of them is developing sophisticated methods for caption candidate generation. Moreover, a given class may have multiple important failure modes. Therefore, extending our method to disentangle these distinct failure modes—rather than identifying only the most prominent one—is another promising direction for future work. ", + "bbox": [ + 176, + 867, + 823, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "7 ACKNOWLEDGEMENTS ", + "text_level": 1, + "bbox": [ + 176, + 102, + 398, + 117 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Work supported in part by the NSF grants CCF-1553428 and CNS-1815221 and Open Philanthropy. This material is based upon work supported by the Defense Advanced Research Projects Agency (DARPA) under Contract No. HR001120C0015. HL is supported by the Fannie and John Hertz Foundation and the National Science Foundation Graduate Research Fellowship under Grant No. 1745302. SJ is supported by the Two Sigma Diversity Fellowship. ", + "bbox": [ + 174, + 133, + 825, + 204 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Research was sponsored by the United States Air Force Research Laboratory and the United States Air Force Artificial Intelligence Accelerator and was accomplished under Cooperative Agreement Number FA8750-19-2-1000. The views and conclusions contained in this document are those of the authors and should not be interpreted as representing the official policies, either expressed or implied, of the United States Air Force or the U.S. Government. The U.S. Government is authorized to reproduce and distribute reprints for Government purposes notwithstanding any copyright notation herein. ", + "bbox": [ + 174, + 210, + 825, + 308 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 176, + 102, + 287, + 117 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Abubakar Abid, Mert Yuksekgonul, and James Zou. 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", + "bbox": [ + 173, + 371, + 823, + 400 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "A SETUP DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 102, + 343, + 118 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "A.1 CODE ", + "bbox": [ + 176, + 132, + 261, + 147 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Our code is available at https://github.com/MadryLab/failure-directions. ", + "bbox": [ + 173, + 159, + 785, + 174 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "A.2 FORMAL DESCRIPTION OF METHOD ", + "text_level": 1, + "bbox": [ + 176, + 189, + 468, + 205 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Preliminaries We consider a standard image classification problem with image space $\\mathcal { X }$ and label space $\\mathcal { V }$ , training data $( x , y ) \\in \\mathcal { D } _ { t r a i n }$ , a held-out validation set $\\mathcal { D } _ { v a l }$ , and test set $\\mathcal { D } _ { t e s t }$ . Using the training data, we have trained a base model (such as a neural network) $f _ { n n } : \\mathcal { X } \\mathcal { Y }$ to predict a label given the input. For convenience, we define the “correctness” function $c : \\mathcal { X } \\{ - 1 , + 1 \\}$ , where $\\overset { \\cdot } { c } ( x ) = 1$ if ${ \\dot { f } } _ { n n } ( x )$ correctly outputs the label associated to $x$ , and $c ( x ) = - 1$ otherwise. ", + "bbox": [ + 173, + 215, + 826, + 287 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "A linear support vector machine (SVM) is a simple linear classifier, which finds a hyperplane separating the data with the maximum margin. Specifically, given $d$ -dimensional embeddings $\\{ x \\} _ { i = 1 } ^ { n }$ with labels $\\{ y \\} _ { i = 1 } ^ { n } \\in \\{ - 1 , 1 \\} ^ { n }$ , a linear SVM computes coefficients $w \\in \\mathbb { R } ^ { d }$ and intercept $b \\in \\mathbb { R }$ which optimize the objective: ", + "bbox": [ + 173, + 292, + 825, + 351 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/747e26130d74268e0824d8c98d687cb97a5ef1cb2967af2fb9584b80db519432.jpg", + "text": "$$\n\\operatorname* { m i n } _ { w , b } \\frac { 1 } { 2 } | | w | | _ { 2 } ^ { 2 } + C \\sum _ { i = 1 } ^ { n } \\operatorname* { m a x } ( 0 , 1 - y _ { i } ( w ^ { T } x _ { i } + b ) )\n$$", + "text_format": "latex", + "bbox": [ + 336, + 356, + 658, + 397 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "This optimization problem seeks to maximize the margin, while penalizing misclassifications using a soft hinge loss. The parameter $C$ , learned via cross-validation, trades off between these two objectives. ", + "bbox": [ + 178, + 401, + 823, + 444 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Once the parameters $w$ and $b$ have been learned, for a given embedding $x$ , we can calculate the decision value: ", + "bbox": [ + 173, + 450, + 825, + 478 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/861d7f94dfed99b1e9924a05a46badddac6421fa84099bed9e5cc3a90ff59f12.jpg", + "text": "$$\nh ( x ) = w ^ { T } x + b\n$$", + "text_format": "latex", + "bbox": [ + 441, + 474, + 557, + 494 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "This represents the confidence of the SVM, and is proportional to the (signed) distance of $x$ to the hyperplane determined by $w , b$ . The prediction of the SVM on $x$ is simply then the sign of $h ( x )$ , and $w$ is the “direction” of the failure mode. ", + "bbox": [ + 174, + 496, + 825, + 539 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Diagnose We evaluate the strength of the most interpretable error pattern within a class $y$ by quantifying the ability of a per-class SVM $h ^ { y }$ to predict validation data errors on that class. Recall that each SVM is trained by cross-validation. We use the average balanced accuracy, $\\bar { a }$ , across cross validation splits to measure the strength of the underlying spurious correlation. Letting $n _ { y }$ denote the number of instances of class $y$ in a given subset of data, the balanced accuracy is defined by ", + "bbox": [ + 173, + 545, + 825, + 616 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/b634cf9f834a82ee8196e8517f095dac26e968b764032f27debefc43b4a8c0f2.jpg", + "text": "$$\n\\bar { a } = \\frac { 1 } { | \\mathcal { V } | } \\sum _ { y \\in \\mathcal { V } } \\frac { 1 } { n _ { y } } \\sum _ { x : ( x , y ) \\in \\mathcal { D } _ { t r a i n } } \\mathbb { 1 } ( c ( x ) = 1 ) .\n$$", + "text_format": "latex", + "bbox": [ + 352, + 619, + 643, + 660 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Intuitively, the more interpretable and widespread the error pattern is, the better it can be captured by a linear predictor in latent space. To demonstrate this, on CelebA, we subselect the data to underrepresent the hard demographics (\"old\" \"female\" and \"young\" \"male\") in the training data to lesser or greater degrees. As was shown in Figure 4, $\\bar { a }$ increases as the strength of the spurious correlation increases (i.e. as the proportion of hard demographics decreases). This measure can be used to determine which classes have a clear bias present, for use in the following interpretation and intervention steps. ", + "bbox": [ + 173, + 665, + 825, + 763 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Interpret Once the SVMs have captured any difficult subpopulations, we interpret them by surfacing the most extreme examples in the test set, as well as automatically generating captions for the identified failure modes. These interpretability techniques are only possible due to two key properties of SVMs: (1) they are constrained to capture simple (approximately linearly separable) patterns in the embedding space, and (2) their decision boundary is easily accessible, therefore providing a notion of direction and distance in the embedding space. ", + "bbox": [ + 173, + 768, + 825, + 853 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "• Most Extreme Examples Each SVM $h ^ { y }$ provides a natural measure of how hard an input $x$ is via its distance to the decision boundary, which was validated in Figure 2. Thus, we subselect from $\\mathcal { D } _ { t e s t }$ the $k$ images within class $y$ , $\\{ x _ { i } ^ { - } \\} _ { i = 1 } ^ { k }$ , which minimize $\\begin{array} { r } { \\sum _ { i } h ^ { y } ( \\mathrm { c l i p } ( x _ { i } ^ { - } ) ) } \\end{array}$ , and likewise the $k$ images $\\{ x _ { i } ^ { + } \\} _ { i = 1 } ^ { k }$ which maximize $\\begin{array} { r } { \\sum _ { i } h ^ { y } ( \\mathrm { c l i p } ( x _ { i } ^ { + } ) ) } \\end{array}$ . By definition, these images exemplify the decision rules learned by $h ^ { y }$ . Therefore, $\\{ x _ { i } ^ { - } \\} _ { i = 1 } ^ { k }$ provide a concise visual summary of “hard” examples, and similarly $\\{ x _ { i } ^ { + } \\} _ { i = 1 } ^ { k }$ of “easy” examples. As was shown in Figure 3, for class $y = \\mathrm { ^ { * } o l d \" }$ , $\\{ x _ { i } ^ { - } \\} _ { i = 1 } ^ { k }$ indeed consists of all women, while $\\{ x _ { i } ^ { + } \\} _ { i = 1 } ^ { k }$ consists of all men. ", + "bbox": [ + 218, + 866, + 825, + 926 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "", + "bbox": [ + 230, + 102, + 825, + 165 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• Captioning To generate a caption for the predicted error-prone subpopulation of a class $y$ , we leverage the shared vision-language CLIP embedding space on which the SVMs were trained. For a class $y$ , let the base caption $\\beta$ be “a photo of a $y \"$ and its embedding $r = \\mathrm { c l i p } ( \\beta )$ . Given a set of candidate captions $\\mathcal { C }$ , we aim to select the caption that $h ^ { y }$ classifies most strongly, in terms of distance from the decision hyperplane, as an error. Consider a candidate caption $\\gamma \\in { \\mathcal { C } }$ and its embedding $c = \\operatorname { c l i p } ( \\gamma )$ . Since directions have been recently shown to be meaningful in CLIP space (Radford et al., 2021), associate each caption with a direction in the CLIP embedding space via $\\begin{array} { r } { d _ { c } = \\frac { c - r } { | | c - r | | } } \\end{array}$ The chosen caption for errors on class $y$ is then argmax ${ } _ { c } h ^ { y } ( d _ { c } )$ . ", + "bbox": [ + 218, + 169, + 825, + 299 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Intervene After identifying and interpreting the hard per-class trends, we use them to improve accuracy of $f _ { n n }$ by retraining. Let $\\mathcal { H } = \\{ ( x , y ) \\in \\mathcal { D } _ { t r a i n } s . t . h ^ { y } ( \\mathrm { c l i p } ( x ) ) < 0 \\}$ denote the set of training examples predicted to be hard. We consider various methods for intervening on $\\mathcal { H }$ during retraining. ", + "bbox": [ + 176, + 309, + 825, + 367 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• Upweighting Suppose $f _ { n n }$ was originally trained to minimize an objective function ", + "bbox": [ + 217, + 376, + 781, + 392 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/511b2ac6b000ba4276b0b9a9ce1c193154bba88e4db555e722d2fcd288705ff2.jpg", + "text": "$$\n\\mathcal { L } ( \\mathcal { D } _ { t r a i n } ) = \\sum _ { ( x , y ) \\in \\mathcal { D } _ { t r a i n } } \\ell ( y , f _ { n n } ( x ) )\n$$", + "text_format": "latex", + "bbox": [ + 400, + 396, + 656, + 434 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "We modify this objective by upweighting the flagged examples by some factor $h$ : ", + "bbox": [ + 232, + 438, + 763, + 454 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/3e0dff1d2b4b2a992d655fe00cde9643e08722f6b93e2ed00d0961c0bda1e5da.jpg", + "text": "$$\n{ \\mathcal { L } } ^ { \\prime } ( { \\mathcal { D } } _ { t r a i n } ) = \\sum _ { ( x , y ) \\in { \\mathcal { D } } _ { t r a i n } } \\left( h \\mathbb { 1 } ( x \\in { \\mathcal { H } } ) + \\mathbb { 1 } ( x \\notin { \\mathcal { H } } ) \\right) \\cdot \\ell ( y , f _ { n n } ( x ) )\n$$", + "text_format": "latex", + "bbox": [ + 307, + 458, + 750, + 494 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• Subsetting If there exists an external pool of examles $\\mathcal { D } _ { e x t }$ that were not used to originally train $f _ { n n }$ , let $\\mathcal { H } _ { e x t } = \\{ ( x , y ) \\in \\mathcal { D } _ { e x t } \\hat { s . t . } h ^ { y } ( \\mathrm { c l i p } ( x ) ) < 0 \\}$ and let $\\mathcal { D } _ { t r a i n } ^ { \\prime } = \\mathcal { D } _ { t r a i n } + \\mathcal { H } _ { e x t }$ Thus, we add to the training set the most useful new examples from $\\mathcal { D } _ { e x t }$ . (In practice, we simulate this setting by dividing the original training set into $\\mathcal { D } _ { t r a i n }$ and $\\mathcal { D } _ { e x t }$ , prior to training $f _ { n n }$ the first time.) ", + "bbox": [ + 218, + 501, + 826, + 571 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "A.3 MODEL TRAINING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 588, + 411, + 602 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "We train ResNet18 models and perform hyperparameter search using the held out validation set. Dataset specific experimental details can be found in Sections B and C. For all datasets except ChestX-ray14, we use standard softmax classification with cross-entropy loss. ", + "bbox": [ + 176, + 613, + 825, + 656 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Our training uses SGD with momentum and weight decay. We further use a triangular cyclic learning rate, where the learning rate linearly increases for a pre-specified number of epochs (“peak epochs”) until hitting the base learning rate (“peak LR”), and then linearly decays for the rest of the epochs until reaching zero at the end of training. ", + "bbox": [ + 176, + 662, + 825, + 719 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "For ChestX-ray14, we predict for each condition a binary output with binary cross-entropy loss; the threshold is then chosen to maximize the F1 score on the held out validation set. ", + "bbox": [ + 173, + 726, + 823, + 755 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "We train our models using NVIDIA V100 gpus. We use the FFCV framework (Leclerc et al., 2022) to further speed up training. ", + "bbox": [ + 174, + 761, + 821, + 790 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "A.4 SVM TRAINING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 806, + 397, + 821 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "We use the pre-trained CLIP (Radford et al., 2021) model, equivalent to a ViT-B/32. We embed the images using this encoder. We whiten the data (using the mean/standard deviation of the embeddings computed from the training images) and then normalize the embeddings to be unit vectors. ", + "bbox": [ + 174, + 832, + 825, + 875 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "We train a linear SVM on the embeddings of the held-out validation set with balanced class weighting to predict whether the model got the image correct or incorrect. The regularization constant is chosen using 2-fold cross validation by selecting the constant with the best balanced accuracy (i.e the average ", + "bbox": [ + 174, + 881, + 823, + 924 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "of the recall obtained for each class). These cross validation scores are also exported to quantify the strength of the captured shift, as described in Section 2. ", + "bbox": [ + 171, + 103, + 823, + 132 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.5 FILTERING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 148, + 359, + 164 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "After holding out a pool of data that was not used to train the original model, we select those images with the most negative SVM decision values to add to the training set; we also compare to alternative selection methods (by confidence value, and random). We applied this method to CIFAR-100, and reported the accuracies on the hard subpopulation in Figure 6. Below, we report the overall test accuracies before and after intervention when adding 100 images per superclass. ", + "bbox": [ + 173, + 174, + 825, + 246 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/d3352273e007de6889202d50908a835f6207a6d7e8a7bd424847222ebd9ae37a.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
OriginalRandomConfidencesSVM
Overall accuracy0.6960.7120.7160.720
", + "bbox": [ + 281, + 257, + 715, + 295 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.6 CAPTION GENERATION ", + "text_level": 1, + "bbox": [ + 176, + 318, + 380, + 333 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In Section 2, we described how we can assign a caption to each captured failure mode by choosing the caption that is most aligned with the positive or negative direction extracted by the SVM. To perform caption assignment, we need to create a set of relevant candidate captions that we expect, roughly, to lie in the same space as the images that the SVM was trained on. In particular, completely nonsensical captions may have undefined CLIP embeddings. Similarly, completely irrelevant captions may be out of distribution for the SVM, which was trained on images of a specific class. ", + "bbox": [ + 173, + 344, + 825, + 428 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "To generate a sensible candidate set, we programmatically generate captions of the form “A photo of a ”, where the adjective and prepositional phrase are optional. We describe the list of adjectives, nouns, and prepositional phrases for each dataset in the experimental details section for that task. We chose this approach in order to guarantee the descriptiveness of the candidate captions set. Automatically curating this candidate set, for example by generating reasonable sentences using a language model, is an interesting avenue for future work. ", + "bbox": [ + 174, + 434, + 825, + 518 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.7 DIRECTLY DECODING SVM DIRECTIONS WITH DIFFUSION MODELS ", + "bbox": [ + 176, + 535, + 687, + 550 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In Section 2, we described how to use diffusion models that sample from CLIP space to directly decode our extracted SVM direction. We provide further details here. ", + "bbox": [ + 174, + 561, + 825, + 589 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Several models, including retrieval augmented diffusion models (Blattmann et al., 2022) and DALL-E 2 (Ramesh et al., 2022) sample from CLIP’s shared vision/language space. In contrast, Stable Diffusion (Rombach et al., 2022) uses the hidden states of the CLIP’s text encoder (before it is projected into the common image/language space). In our work, we use the pre-trained $7 6 8 \\times 7 6 8$ retrieval-augmented diffusion model (RDM) (Blattmann et al., 2022), but only use text prompting (no retrieval step). The checkpoint can be found here. ", + "bbox": [ + 174, + 597, + 825, + 680 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "We fit the SVM on the same CLIP space that the RDM uses (CLIP ViT-L/14) with $\\ell _ { 2 }$ normalization but not whitening of mean/std. Let $w$ be the normalized SVM direction. For a reference caption with normalized embedding $r$ , we then spherically interpolate $r$ and either $w$ or $- w$ (e.g., $z =$ $\\mathbf { \\boldsymbol { s l e r p } } ( r , w , \\alpha ) )$ to generate hard or easy images respectively. The degree of rotation $\\alpha$ specifies the level of difficulty (we generally choose $\\alpha$ in the range $[ 0 , 0 . 3 ] )$ ). Unless otherwise stated, we use $\\alpha = 0 . 1$ to generate the images. We then pass the spherically interpolated vector in lieu of the text-conditioning vector to the RDM. ", + "bbox": [ + 174, + 686, + 825, + 785 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.8 TAILORED DATA AUGMENTATION USING TEXT-TO-IMAGE GENERATIVE MODELS ", + "bbox": [ + 171, + 103, + 779, + 118 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "In Section 2, we described how we use text-to-image generative models to perform stable diffusion. Specifically, we input the captions extracted by our SVM (easy, hard, and reference) into a pre-trained Stable Diffusion (Rombach et al., 2022) model and generate 100 synthetic images per class. The checkpoint (“sd-v1-4.ckpt”) can be found here. We then fine-tune the original model (retraining only the last layer) on the combination of the new images and the original training dataset. Below we report the overall test accuracies after fine-tuning: overall accuracies are maintained up to $1 . 3 \\%$ . ", + "bbox": [ + 174, + 128, + 826, + 213 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/6c634472cc5fc7b387cab09e3c5bb32b60358ce31e272d5e98d5b121f2a6a96e.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
OriginalEasyHardNeutral
Overall accuracy0.7910.7850.7780.784
", + "bbox": [ + 305, + 226, + 692, + 262 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "B DATASETS WITH KNOWN CHALLENGING SUBPOPULATIONS. ", + "text_level": 1, + "bbox": [ + 173, + 103, + 700, + 118 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "B.1 CELEBA ", + "text_level": 1, + "bbox": [ + 174, + 137, + 277, + 151 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "In Section 3, we applied our framework to the task of predicting age on CelebA (Liu et al., 2015) with a planted correlation with gender. Here, in this section, we discuss the training details and additional experiments on that task. ", + "bbox": [ + 176, + 165, + 823, + 207 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "B.1.1 EXPERIMENTAL DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 228, + 406, + 243 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Dataset construction We construct a training dataset with the following demographic breakdown: 6203 each of “old” “female” and “young” “male”, and 24812 of “old” “male” and “young” “female”. There are thus four times as many faces of old men vs. old women (resp. young women vs. young men). The held-out validation set contains 1795 examples for each of the demographic categories, and we use the original test split of CelebA for our final test set. We consider the full CelebA dataset and a setting where the validation distribution matches the training distribution in Appendix Sections B.1.7 and B.1.4. We consider images with a resolution of $7 5 \\times 7 5$ . ", + "bbox": [ + 173, + 256, + 826, + 353 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Hyperparameters We use the following hyperparameters. ", + "bbox": [ + 173, + 359, + 570, + 375 + ], + "page_idx": 19 + }, + { + "type": "table", + "img_path": "images/d31ee5996b5e5abe92c8bb4b9551dd6b045100d37b6dfd9ad7e9fa6fc0cf5a90.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Parameter Value
Batch Size512
Epochs30
Peak LR0.02
Momentum0.9
Weight Decay Peak Epoch5×10-4 2
", + "bbox": [ + 400, + 392, + 596, + 500 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Caption generation We use a reference caption “A photo of a person.” We generate prepositional phrases using the attributes provided by the CelebA dataset. The adjectives, nouns, and prepositional phrases are as follows: ", + "bbox": [ + 176, + 518, + 825, + 560 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "• Adjectives: [none, ’old’, ’young’] • Nouns: [’person’, ’man’, ’woman’] ", + "bbox": [ + 220, + 575, + 459, + 590 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "", + "bbox": [ + 220, + 599, + 468, + 614 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "• Prepositions: [ none, ’who has stubble’, ’who has arched eyebrows’, ’who has bags under their eyes’, ’who has bangs’, ’who has big lips’, ’who has a big nose’, ’who has black hair’, ’who has blond hair’, ’who has brown hair’, ’who has bushy eyebrows’, ’who has a double chin’, ’who is wearing eyeglasses’, ’who has a goatee’, ’who has gray hair’, ’who has heavy makeup on’, ’who has high cheekbones’, ’who has a mouth that is slightly open’, ’who has a mustache’, ’who has narrow eyes’, ’who has no beard’, ’who has an oval face’, ’who has a pointy nose’, ’who has a receding hairline’, ’who has rosy cheeks’, ’who has sideburns’, ’who has a smile’, ’who has straight hair’, ’who has wavy hair’, ’who has earrings’, ’who is wearing a hat’, ’who has a lipstick on’, ’who is wearing a necktie’ ] ", + "bbox": [ + 220, + 622, + 825, + 750 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "We thus generate a caption for every combination of adjective, noun, and prepositional phrase. ", + "bbox": [ + 176, + 763, + 789, + 779 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "B.1.2 UPWEIGHTING INTERVENTION ", + "text_level": 1, + "bbox": [ + 176, + 799, + 444, + 814 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Can we use the linear classifiers from our framework to reduce the model’s reliance on gender by intervening during training? To examine this, after flagging examples in the training set as members of the minority population, we upweight these examples during the model retraining. As shown in Table 1, this intervention increases performance on the minority subpopulations, and is even comparable in its impact to the “oracle\" approach of upweighting all “young men” and “old women”. Note that, since the base model has nearly zero training error, it is confident on all training examples. Thus, confidences are not suitable for guiding an analogous intervention. ", + "bbox": [ + 174, + 825, + 825, + 924 + ], + "page_idx": 19 + }, + { + "type": "table", + "img_path": "images/47165b983f5b129fc9225ef80b60e620e7ce04a72710e60a44c4933ce37f2da4.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Test Subgroup AccuracyOverall Accuracy
Minority SubclassesMajority Subclasses
Young MaleOld FemaleYoung FemaleOld Male
Base Model0.568 ± 0.0060.542 ± 0.0100.915 ± 0.0020.904±0.0020.795 ±0.002
Oracle Upweight0.600 ± 0.0070.569 ± 0.0100.896 ± 0.0040.872 ± 0.0040.797 ±0.002
SVMUpweight0.590 ± 0.0110.568± 0.0040.903 ± 0.0030.901±0.0080.796 ± 0.003
", + "bbox": [ + 176, + 101, + 821, + 190 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Table 1: The performance (mean/std over five runs) of intervening during training by upweighting examples in the CelebA training set. SVM Upweight doubles the loss weight for all training examples that were predicted as incorrect by our framework. Oracle Upweight doubles the loss weight of all minority examples using the dataset’s annotations. We find that intervening using the SVM increases the accuracy of the minority subclasses to almost the same extent as the (optimal) oracle intervention. ", + "bbox": [ + 173, + 207, + 825, + 277 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "B.1.3 GRADATIONS OF SPURIOUSNESS ", + "text_level": 1, + "bbox": [ + 176, + 291, + 455, + 306 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "In Section 3, we applied our framework to a subset of the CelebA dataset, chosen such that the spurious correlation between age and gender was intensified. Specifically, we vary the intensity of that spurious correlation, and demonstrate that the test error of the per-class SVMs reflects the degree of the spurious correlation. In particular, for $n$ from 1 to 8, the train dataset is filtered such that there are $n$ -times as many old male instances as young male instances, and $n$ -times as many young female instances as old female instances. ", + "bbox": [ + 173, + 315, + 825, + 400 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "As shown in Figure 11, the test accuracy of the base model decreases as the spurious correlation grows stronger, because the base model has relied more and more on the spurious correlation. This complements Figure 4 in the main text, which demonstrated that the SVMs fit the test data better with increasing spurious correlation. ", + "bbox": [ + 174, + 406, + 825, + 463 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/9122a730c6bce2f52fda1cda1ca3702c70e0ec06a578675f90e17f79f9e98fa6.jpg", + "image_caption": [ + "Figure 11: Test accuracy on spurious instances of CelebA, as a function of the spuriousness $n$ of the training dataset. " + ], + "image_footnote": [], + "bbox": [ + 339, + 481, + 651, + 627 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "B.1.4 CELEBA EXPERIMENTS WHEN THE VALIDATION MATCHES THE TRAINING DISTRIBUTION. ", + "bbox": [ + 174, + 104, + 736, + 132 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "In Section 3, we applied our framework to the CelebA dataset and used a validation set that was balanced across age and gender. Here, we instead consider the case where the validation set matches the train distribution, and thus also contains the strong spurious correlation with gender: specifically, the validation set contains 810 old female and young male faces, and 3240 old male and young female faces. ", + "bbox": [ + 174, + 141, + 825, + 212 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "In this setting, there are fewer minority examples for the SVM to learn from, which thus makes the task of selecting errors harder. However, we find that our framework still captures the gender correlation (Figure 12). Moreover, our method is able to isolate this hard subpopulation better than using model confidences (Figure 13). ", + "bbox": [ + 174, + 218, + 825, + 275 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/4e0578bce689429f2ad634fafc6cba20f47c74d91a95081d4b4d743cdb044280.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 187, + 292, + 820, + 449 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/0e7973b63b7577d7391e1907fc14f1f067120ba87250308c8d5f00b30d840c9c.jpg", + "image_caption": [ + "Figure 12: The images and captions for each class with the most extreme SVM decision values ", + "Figure 13: We repeat our CelebA experiments from Section 3, using a held out validation set that matches the training distribution. We display for each class, the fraction of the top K images that are of the minority gender when ordering the images by either their SVM decision value or by the model’s confidences. " + ], + "image_footnote": [], + "bbox": [ + 178, + 503, + 818, + 675 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "B.1.5 FURTHER EXPERIMENTAL DETAILS ON BASELINES", + "text_level": 1, + "bbox": [ + 173, + 767, + 575, + 781 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "In Figure 2 of from Section B of the main paper, we compare the efficacy of using our SVM (versus several baselines) for selecting the minority gender in the CelebA setting (replicated again below). We found that our method was able to more consistently select the hard subpopulation than the other baselines. In this section, we discuss the training details for this experiment. ", + "bbox": [ + 174, + 790, + 825, + 847 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Domino Domino (Eyuboglu et al., 2022) is an automatic method for identifying challenging subsets of the data (“slices”) by fitting a Gaussian mixture model in CLIP embedding space. They then choose captions generated from a large language model that are closes to the mean of each identified cluster. Our use of an SVM provides a stronger inductive bias towards simple subclasses. Furthermore by encapsulating the failure modes as a direction in the latent space, we can more easily score, intervene, and caption the failure modes. In particular, we are able to caption the extracted failure mode directly, rather than using the proxy of a cluster of hard examples. On the other hand, Domino can more easily distinguish between multiple failure modes for the same class because it identifies multiple hard clusters in the latent space. ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/a1aca3a24867c1fb4e63e5611ceed6175d2b325e874f9caa9012ac1a7b7728c3.jpg", + "image_caption": [ + "Figure 14: Repeated again for convenience: Figure 2 from Section B of the main paper. For each class in CelebA, the fraction of test images that are of the minority gender when ordering the images by either their SVM decision value, the model’s confidences, or a variety of other baselines. Our framework more reliably captures the spurious correlation than all other baselines. " + ], + "image_footnote": [], + "bbox": [ + 176, + 104, + 818, + 273 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 372, + 825, + 429 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "We use the same parameters as suggested in the paper with y log likelihood weigh $_ { t = 1 0 }$ , y hat log likelihood weigh $_ { \\mathrm { { \\scriptsize = } 1 0 } }$ , num slice $^ { , = 2 }$ . ", + "bbox": [ + 174, + 434, + 823, + 463 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Captioning: We first surface the top 3 identified negative captions from our framework and from Domino: ", + "bbox": [ + 173, + 469, + 823, + 498 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "• Our Framework: ", + "text_level": 1, + "bbox": [ + 218, + 512, + 356, + 526 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "– Old: “a photo of a young woman who has an oval face”, “a photo of a young woman who has heavy makeup on”, “a photo of a young woman who has brown hair” – Young: “a photo of a man who has no beard”, “a photo of a man who has a mouth that is slightly open”, “a photo of a man who has a smile” ", + "bbox": [ + 243, + 535, + 825, + 597 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "• Domino ", + "text_level": 1, + "bbox": [ + 218, + 604, + 290, + 618 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "– Slice 0: “a photo of her debut album.”, “a photo of carole lombard.”, “a photo of tina turner.” \n– Slice 1: “a photo of a compelling man.”, “a photo of a satisfied man.”, “a photo of a hungry man.” ", + "bbox": [ + 243, + 626, + 825, + 688 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Both methods capture gender as the primary failure mode. However, Domino tends toward more specific and thus sometimes more niche captions (i.e “a photo of carole lombard\") than overall trends. This is because Domino picks the caption that happens to be closest to the mean of the slice. ", + "bbox": [ + 178, + 700, + 826, + 743 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Learning From Failure Learning from Failure (LfF) (Nam et al., 2020), uses a biased classifier trained with a Generalized Cross Entropy (GCE) loss to select hard examples. Specifically, if $p ( x )$ is the softmax probability vector assigned by the model for input $x$ , the GCE loss for example $( x , y )$ is ", + "bbox": [ + 173, + 750, + 825, + 792 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/ab27d8a37388f408723238404a49bd589c165d01e3141059c830f958105e57f7.jpg", + "text": "$$\nG C E ( p ( x ) , y ) = \\frac { 1 - p _ { y } ( x ) ^ { q } } { q }\n$$", + "text_format": "latex", + "bbox": [ + 398, + 803, + 599, + 837 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "For this baseline, we train our model with GCE loss using the default hyperparameter $q = 0 . 7$ as from the original LfF paper. ", + "bbox": [ + 174, + 845, + 823, + 875 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Early Stopping In Just Train Twice (JTT) (Liu et al., 2021), a classifier trained on only a few epochs is used to identify low confidence examples. For this baseline, we stop at epoch $_ { \\mathrm { 1 = 1 0 } }$ (out of 30) and evaluate model confidences. ", + "bbox": [ + 174, + 881, + 825, + 924 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "B.1.6 USING OTHER LATENT SPACES ", + "text_level": 1, + "bbox": [ + 176, + 103, + 447, + 118 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "In our paper, we distill failure modes using the CLIP latent space. However, our method is not specific to CLIP (we can use any embedding that can capture important features and is agnostic to the original training dataset). In Figure 15, we explore using two other latent spaces for our method: ", + "bbox": [ + 174, + 127, + 823, + 170 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "• Inception: We take features from an Inception V3 model (Szegedy et al., 2016) trained on ImageNet. \n• Original Latent Space: We take features from the model’s original latent space (i.e. its penultimate layer). ", + "bbox": [ + 217, + 181, + 825, + 243 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "We find that using our method with Inception embeddings is only slightly worse than using CLIP. Since CLIP embeds both language and images in the same latent space, using CLIP further enables us to automatically caption the extracted directions. ", + "bbox": [ + 176, + 255, + 823, + 297 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "However, since the model’s latent space is tied closely to the training dataset, training an SVM on the original latent space closely mirrors model confidences. Moreover, since the original model fit the training data perfectly, the SVM extracted by our method predicts all training examples as correct — even images that belong to the minority subpopulation — and thus cannot be used for upweighting interventions. Thus, our method works best when using embeddings that are agnostic to the specific dataset. ", + "bbox": [ + 173, + 304, + 826, + 387 + ], + "page_idx": 23 + }, + { + "type": "image", + "img_path": "images/a58335e9603011e4fef2d3d63a6e24784eda7c48b426bb697f3d016e2a1374fb.jpg", + "image_caption": [ + "Figure 15: We repeat our CelebA experiments from Section 3, and compare using the CLIP latent space to using Inception features or the model’s original latent space. " + ], + "image_footnote": [], + "bbox": [ + 176, + 401, + 818, + 568 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "B.1.7 FULL CELEBA DATASET ", + "text_level": 1, + "bbox": [ + 174, + 103, + 401, + 118 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "In Section 3, we subselected images from the CelebA dataset to intensify the spurious correlation between age and gender. Here, we train a base model on the unaltered CelebA dataset instead. Table 2 summarizes the presence of this spurious correlation in the dataset. The per-class SVMs pick up on the spurious correlation, and to a greater extent than do confidences, as shown in Figures 16a and 16b. The validation set on which the SVMs were trained is the standard CelebA validation set. ", + "bbox": [ + 173, + 127, + 826, + 198 + ], + "page_idx": 24 + }, + { + "type": "table", + "img_path": "images/c972c28f8f0145dbb50c2223064757f1c6c386d7165bc1897c8ee2baed2747f3.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
% Minority GenderClass (Age) Old Young
Overall Incorrect39.5% 31.6% 55.0% 57.1%
", + "bbox": [ + 362, + 208, + 635, + 267 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Table 2: First row: the percentage of each age group consisting of that age group’s minority gender (female for old, male for young). Second row: the percentage of the base model’s mistakes on each age group which are of the minority gender. Together, these capture the degree of spurious correlation present, as the base model makes a disproportionately high number of mistakes on the minority gender for each age group. ", + "bbox": [ + 173, + 276, + 826, + 347 + ], + "page_idx": 24 + }, + { + "type": "image", + "img_path": "images/0d7bcb5b933f53d40dd69f6c615b1888feb82cafbdaab98f22f7a7d5222762f1.jpg", + "image_caption": [ + "(a) Class: Old. Minority Gender: Female " + ], + "image_footnote": [], + "bbox": [ + 178, + 375, + 490, + 544 + ], + "page_idx": 24 + }, + { + "type": "image", + "img_path": "images/3ed57abeadf135801547608ae79994e9361c70a0c1e4f57aa435a54ab9aea319.jpg", + "image_caption": [ + "(b) Class Young. Minority Gender: Male ", + "Figure 16: For each class in the original CelebA dataset, the fraction of the top K images that are of the minority gender when ordering the images by either their SVM decision value or by the model’s confidences. " + ], + "image_footnote": [], + "bbox": [ + 508, + 372, + 816, + 545 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "B.2 COLORED MNIST ", + "text_level": 1, + "bbox": [ + 176, + 103, + 346, + 117 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "In the Colored MNIST dataset (Arjovsky et al., 2019), a spurious correlation is introduced between tint and label for the handwritten MNIST dataset. The learning task labels $y$ are binary, and are generated as follows. We begin with labels $\\tilde { y }$ , which are 0 for digits less than 5 and 1 for digits greater than or equal to 5. To obtain the labels $y$ actually used in the classification task, the labels $\\tilde { y }$ are flipped with probability 0.25. In other words, $7 5 \\%$ of the time, the class label $y$ in the learning task is associated with the digit, and this feature generalizes to the test set. ", + "bbox": [ + 174, + 128, + 825, + 213 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "However, we use color to plant a spurious correlation between the class label $y$ and the tint of the digit. In particular, we add a red/green tint that correlates perfectly with $y$ $y = 0$ corresponding to red, and $y = 1$ corresponding to color green), to $9 0 \\%$ of the training set, but only $5 0 \\%$ of the validation and set tests. As a result, there is a spurious correlation between the tint and the label $y$ in the train set, which does not generalize to the validation and test sets. ", + "bbox": [ + 174, + 219, + 825, + 290 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Thus on the training data, the color of the digit is a better predictor of its label $y$ than the digit’s true shape, but the digit’s true shape is a better predictor than its color on the test and validation data. ", + "bbox": [ + 174, + 296, + 825, + 325 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Hyperparameters. We use the following hyperparameters for training. ", + "bbox": [ + 173, + 332, + 653, + 348 + ], + "page_idx": 25 + }, + { + "type": "table", + "img_path": "images/6e256c18b99981f696dd1a282f929470264abb8b593e8c7478110648dbb29fe8.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
ParameterValue
Batch Size512
Epochs15
Peak LR0.1
Momentum0.9
Weight Decay Peak Epoch5e-04 2
", + "bbox": [ + 413, + 358, + 583, + 465 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "As shown in Figure 17, the fit of the SVM on the test data improves as the spurious correlation grows stronger. For each value of $x$ , we also intervene by doubling the weight of the examples flagged as “hard\" by the SVM. Figure 18 demonstrates that while the test accuracy decreases with increasing spurious correlation, intervention is effective (and increasingly so with $x$ ) at improving test accuracy. ", + "bbox": [ + 173, + 486, + 826, + 542 + ], + "page_idx": 25 + }, + { + "type": "image", + "img_path": "images/bbbb26b31e6f11aac454be69eabacf494707fb4cce072061ada4adc9c7f53ec4.jpg", + "image_caption": [ + "Figure 17: Cross-validation score on the test set as a function of the spuriousness, i.e. the tinted fraction $x$ of the training set, for Colored MNIST. " + ], + "image_footnote": [], + "bbox": [ + 176, + 560, + 486, + 715 + ], + "page_idx": 25 + }, + { + "type": "image", + "img_path": "images/06e9b679d9ac75e3bfb88595664412630cad8789e06e36abbd471059ba6fb3e2.jpg", + "image_caption": [ + "Figure 18: Test accuracy of Colored MNIST before and after the upweighting intervention, as a function of the spuriousness of the training set. " + ], + "image_footnote": [], + "bbox": [ + 509, + 569, + 813, + 715 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "B.3 IMAGENET-C ", + "text_level": 1, + "bbox": [ + 174, + 103, + 312, + 118 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "B.3.1 EXPERIMENTAL DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 128, + 406, + 143 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "ImageNet-C is a dataset created by Hendrycks & Dietterich (2019) to benchmark neural nets’ robustness to common perturbations. Using the associated code, we create a corrupted ImageNet dataset in which $10 \\%$ of the training set is corrupted, and $50 \\%$ of the validation and test sets are corrupted. For simplicity, we restrict corruptions to Gaussian pixel-wise noise, with variance equal to 0.26. We train a ResNet18 as the base architecture, with standard ImageNet normalization. The resultant validation and test accuracies are $5 1 . 1 \\%$ and $4 8 . 9 \\%$ , respectively, but drop to $4 5 . 5 \\%$ and $4 3 . 0 \\%$ if restricted to corrupted images (validating that the corrupted images are indeed harder). ", + "bbox": [ + 173, + 154, + 825, + 252 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Hyperparameters. Hyperparameters were chosen to match those of the ordinary ImageNet dataset: ", + "bbox": [ + 173, + 258, + 823, + 273 + ], + "page_idx": 26 + }, + { + "type": "table", + "img_path": "images/862af189be8aaafc63b7e01f055cb14a15477964ebf1c509f5eb0002f5430abe.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
ParameterValue
Batch Size1024
Epochs16
Peak LR0.5
Momentum0.9
Weight Decay Peak Epoch5e-4 2
", + "bbox": [ + 413, + 296, + 584, + 402 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "B.3.2 RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 435, + 295, + 449 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Capturing common corruptions. We find that the per-class SVMs pick up on the Gaussian corruption, as shown in Figure 19. Since the corruption is light, this is non-trivial: in particular, notice that the images chosen as “hardest\" are not necessarily corrupted, as shown in Figure 20. ", + "bbox": [ + 174, + 459, + 825, + 502 + ], + "page_idx": 26 + }, + { + "type": "image", + "img_path": "images/dfdb9f671d8717985c4d8efe9205d05480baa3a96afd00a4317e89df5bf120e4.jpg", + "image_caption": [ + "Figure 19: The fraction of ImageNet-C test images that are corrupted with Gaussian noise when ordering the images by either their SVM decision value or by the model’s confidences, averaged over all classes. Our framework more reliably captures the corruption than using confidences. " + ], + "image_footnote": [], + "bbox": [ + 338, + 518, + 655, + 676 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Intervention. In this setting, it does not make sense to intervene based on the captured corruption: since blurred images represent neither a spurious correlation nor an underrepresented subpopulation, but instead simply a “hard\" class, we expect neither upweighting nor subsetting to improve performance. The purpose of this dataset is to exhibit that our method can capture the hard subclass of corrupted images, even though (as shown in Figure 20) there are many ways an image can be hard, because it is a shared pattern across many of the errors. ", + "bbox": [ + 174, + 103, + 826, + 188 + ], + "page_idx": 27 + }, + { + "type": "image", + "img_path": "images/1b8fd87cee4930c380b11d96a90f2231d1282852e14b1a9868b06d5ce71f4c07.jpg", + "image_caption": [ + "Figure 20: The images with the most positive (upper) and negative (lower) decision values for the ImageNet-C class “tench”. While more of the bottom images are blurred, the “hardest\" images may be tenches in strange positions. " + ], + "image_footnote": [], + "bbox": [ + 276, + 204, + 720, + 426 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "B.4 CIFAR-100 ", + "text_level": 1, + "bbox": [ + 174, + 103, + 302, + 117 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "In this section, we explain the experimental details of the experiment on CIFAR-100 in Section 3. Specifically, we consider the task of predicted the super-classes of the CIFAR-100 dataset, which contains 20 super-classes (each of which contain 5 subclasses). ", + "bbox": [ + 176, + 130, + 825, + 172 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Dataset construction We split the original training split into $20 \\%$ validation set, $40 \\%$ training set, and $40 \\%$ extra data (used in the subset intervention). The original test split serves as our test set. In the training dataset, we choose one subclass to under-represent by removing $7 5 \\%$ of that subclass from the data. We choose this subclass by picking the worst-performing subclass for each superclass based on a model trained on the original training split. Specifically, we drop the classes: ", + "bbox": [ + 176, + 179, + 825, + 250 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "• {aquatic mammals: beaver, fish: shark, flowers: orchid, food containers: bowl, fruit and vegetables: mushroom, household electrical devices: lamp, household furniture: table, insects: caterpillar, large carnivores: bear, large outdoor man-made things: bridge, large outdoor natural scenes: forest, large omnivores and herbivores: kangaroo, medium sized mammals: possum, non-insect invertebrates: lobster, people: baby, reptiles: lizard, small mammals: squirrel, trees: willow tree, vehicles 1: bus, vehicles 2: streetcar} ", + "bbox": [ + 218, + 262, + 825, + 345 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Hyperparameters. We use the following hyperparameters to train our models. ", + "bbox": [ + 173, + 358, + 702, + 375 + ], + "page_idx": 28 + }, + { + "type": "table", + "img_path": "images/e5b45a4c54a685a22a261b74dee482c78fc174f1f2f3ec57cbad0a7fd54e99e4.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
ParameterValue
Batch Size512
Epochs35
Peak LR0.5
Momentum0.9
Weight Decay5.0 ×10-4
Peak Epoch5
", + "bbox": [ + 395, + 387, + 601, + 493 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "B.4.1 RESULTS ON $80 \\%$ TRAIN, $20 \\%$ VALIDATION ", + "text_level": 1, + "bbox": [ + 174, + 521, + 534, + 535 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "In this section, we discuss results on a CIFAR-100 setup with $80 \\%$ of the original train split allocated for the train dataset and $20 \\%$ allocated for the validation dataset (and no extra data). As above, in the training set, we underrepresent one subclass per superclass (by removing $7 5 \\%$ of that subclass from the dataset). We then will explore the downstream implications of the CV score in this setting. ", + "bbox": [ + 174, + 546, + 825, + 602 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Efficacy in isolating the minority subpopulation In Figure 21, we replicate the experiment in Figure 5 for this new split. The results are similar: using the SVM’s decision value more consistently identifies the top K images over using model confidences. ", + "bbox": [ + 174, + 609, + 825, + 651 + ], + "page_idx": 28 + }, + { + "type": "image", + "img_path": "images/a7c749ad0f07bd1009f74b405d55648a8842d2885b70d705a1e681eeb9d5f60f.jpg", + "image_caption": [ + "Figure 21: We replicate the experiment in Figure 5 for a scenario where $80 \\%$ of the training dataset is train and $20 \\%$ is validation. For each superclass, the fraction of the top K flagged test images that belong to the underrepresented subclass (averaged over classes) is shown. We compare using the SVM’s decision value and the model’s confidences to select the top K images; the SVM more consistently identifies the minority subpopulation. " + ], + "image_footnote": [], + "bbox": [ + 307, + 671, + 687, + 825 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "A deep-dive into the cross-validation (CV) score Recall from Section 2 that the cross-validation (CV) score of the SVM serves as a measure of the extracted failure mode’s strength in the dataset. In Figure 4 of the main paper, we found that (in the CelebA setting) the CV score of the SVM was highly correlated with the degree of the planted shift. ", + "bbox": [ + 174, + 103, + 825, + 160 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "In this section, we analyze the downstream implications of the CV score in the CIFAR-100 setup. Specifically, we evaluate our method on CIFAR-100, where the minority subpopulation is underrepresented to different degrees (e.g., removing $10 \\%$ , $20 \\%$ , etc of the minority subclass). ", + "bbox": [ + 174, + 166, + 825, + 209 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "As in the CelebA case, the mean CV score across all classes increases as we remove more of the minority subclass (Figure 22a). The CV score is negatively correlated with the downstream model’s accuracy on the minority subpopulation (Figure 22b). Thus, the CV score can help measure the degree of the underlying failure mode and its impact on downstream performance. ", + "bbox": [ + 173, + 215, + 826, + 272 + ], + "page_idx": 29 + }, + { + "type": "image", + "img_path": "images/54930b7cc7f4d548a9f444368d1c39e587800c212fc68474d1d1f6f5704caad4.jpg", + "image_caption": [ + "Figure 22: CV score is correlated with the strength of the failure mode. (a) CV score (averaged over classes) when different fractions of the minority population have been removed from the training data. CV score increases as the degree of underrepresentation becomes more severe. (b) The CV score negatively correlates with the model’s final accuracy on the minority subpopulation. " + ], + "image_footnote": [], + "bbox": [ + 176, + 294, + 821, + 454 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Since the CV score is correlated with the strength of the failure mode, it also reflects the membership of the error set (predicted and actual). With higher CV scores, more of the predicted errors are actually part of the planted subpopulation (Figure 23). ", + "bbox": [ + 173, + 542, + 825, + 585 + ], + "page_idx": 29 + }, + { + "type": "image", + "img_path": "images/47b1b09bdce03bb35fc427ee6125c3d427310176cfb02aff38d6ba1870ed9ec9.jpg", + "image_caption": [ + "Figure 23: As shown in Figure 22a, as the degree of the underrepresentation goes up, the CV score also increases. The CV score is thus correlated with the proportion of the error set — (a) predicted by the SVM and (b) actual — that is actually part of the minority subpopulation. " + ], + "image_footnote": [], + "bbox": [ + 176, + 608, + 820, + 765 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Inter-class CV Scores We now fix the degree of underrepresentation (removing $7 5 \\%$ of the minority examples). In this case, the size of the minority subclass is the same for each of the 20 superclasses. However, the impact of underrepresentation is not equal between classes. For example, one might need fewer examples to distinguish a beaver vs. a bear over two different types of trees. Recall that we train an SVM per class: thus, each class has its own CV score. What do the differences in the class CV score signify? ", + "bbox": [ + 173, + 840, + 825, + 924 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "For each of the 20 superclasses, we plot the CV score of that class’s SVM against the fraction of errors (predicted and actual) which are of the minority subpopulation (Figure 24). Indeed, classes with a higher CV score seem to indicate a stronger shift, in that a greater proportion of error set belongs to the minority subpopulation. ", + "bbox": [ + 173, + 103, + 825, + 160 + ], + "page_idx": 30 + }, + { + "type": "image", + "img_path": "images/403a90eff393c8b225bf8dcc60868b970ef2231fc36ba30a32add19d6d3248d3.jpg", + "image_caption": [ + "Figure 24: For each of the 20 superclasses, we plot the CV score for that class against the fraction of the error set for that class — (a) predicted by the SVM and (b) actual — that belongs to the minority subpopulation. We further display the Pearson correlation. " + ], + "image_footnote": [], + "bbox": [ + 176, + 174, + 818, + 377 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "C NATURAL DATASETS ", + "text_level": 1, + "bbox": [ + 174, + 102, + 383, + 118 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "C.1 CIFAR-10 ", + "bbox": [ + 174, + 132, + 294, + 148 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "In this section, we describe the experimental details and additional results for applying our framework on the CIFAR-10 dataset. ", + "bbox": [ + 174, + 159, + 823, + 188 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "C.1.1 EXPERIMENTAL DETAILS ", + "text_level": 1, + "bbox": [ + 174, + 203, + 408, + 218 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Dataset. Since the original CIFAR-10 model has very high $( 9 3 \\% )$ accuracy, we do the majority of our experiments using a subset of CIFAR-10. Specifically, we train the model with $20 \\%$ of the original training split, and reserve $20 \\%$ for the validation set and $60 \\%$ as extra data for the subset intervention. We discuss results on the full CIFAR-10 dataset in Appendix Section C.1.7. ", + "bbox": [ + 173, + 227, + 825, + 284 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Hyperparameters We use the following hyperparameters. ", + "bbox": [ + 173, + 290, + 570, + 305 + ], + "page_idx": 31 + }, + { + "type": "table", + "img_path": "images/c40d007b7223cb13f03c3a39c1a84167b49ec116489ad7a1d57388bade3ffc05.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
ParameterValue
Batch Size512
Epochs35
Peak LR0.5
Momentum0.9
Weight Decay Peak Epoch5.0 ×10-4 5
", + "bbox": [ + 395, + 315, + 601, + 424 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "For fine-tuning, we use the same parameters, except with peak LR of 0.1 and for 15 epochs. ", + "bbox": [ + 171, + 444, + 772, + 460 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "C.1.2 CAPTION GENERATION DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 474, + 457, + 489 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "For our CIFAR-10 experiments, we consider two caption sets: CIFAR-Simple, and CIFAR-Extended. The two caption sets only differ in their sets of possible nouns (extended has a larger vocabulary): they otherwise have the same list of adjectives and prepositions. In the main paper, and unless otherwise noted, we use CIFAR-Simple: this is because the diffusion models struggle with extended vocabularies. In the appendix, we include results with CIFAR-Extended where noted. ", + "bbox": [ + 174, + 498, + 826, + 569 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "For each CIFAR-10 class, we use the reference caption “a photo of a .” We then generate a candidate caption set of the form “a photo of a ”. The adjectives, nouns, and prepositional phrases are selected as follows: ", + "bbox": [ + 174, + 575, + 826, + 618 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "• Adjectives: [none, ’white’, ’blue’, ’red’, ’green’, ’black’, ’yellow’, ’orange’, ’brown’], • Prepositions: We choose a set of prepositions for each class. Specifically, all classes have the following as potential prepositions: [None, ’outside’, ’inside’, ’on a black background’, ’on a white background’, ’on a green background’, ’on a blue background’]. Then each class has the following class-specific prepositions: ", + "bbox": [ + 217, + 628, + 830, + 704 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "– ’dog’: [’on the grass’, ’in a house’, ’in the snow’, ’in the forest’], \n– ’cat’: [’on the grass’, ’in a house’, ’in the snow’, ’in the forest’], \n– ’bird’: [’flying’, ’perched’, ’in the air’, ’on the ground’], \n– ’horse’: [’in a field’, ’in the grass’], \n– ’airplane’: [’flying’, ’in the air’, ’on the tarmac’, ’on a road’], \n– ’truck’: [’on the road’, ’parked’], \n– ’automobile’: [’on the road’, ’parked’], \n– ’deer’: [’in a field’, ’in the grass’, ’in the snow’, ’in a forest’], \n– ’ship’: [’in the ocean’, ’docked’, ’in the water’, ’on the horizon’], \n– ’frog’: [’in the grass’, ’in a pond’], ", + "bbox": [ + 246, + 709, + 692, + 871 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Nouns: For CIFAR-Simple, we do not vary the noun (i.e., captions of a class cat will use the noun cat). For CIFAR-Extended, we find the corresponding synset in the WordNet (Miller, 1995) hierarchy. We then choose as possible nouns all the common names of the synsets that are descendents of the ", + "bbox": [ + 174, + 882, + 825, + 924 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "CIFAR synset. For example, for the class cat, a possible noun is “Persian cat.” We exclude nouns that contain words that are not in the NLTK (Loper & Bird, 2002) words corpus. ", + "bbox": [ + 171, + 103, + 825, + 132 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "For both sets, we generate the captions by taking every combination of adjective, noun, verb. ", + "bbox": [ + 176, + 138, + 781, + 154 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "C.1.3 MOST EXTREME EXAMPLES AND CAPTIONS ", + "text_level": 1, + "bbox": [ + 176, + 103, + 539, + 117 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "In Figure 25 we show the most extreme examples and captions by SVM decision value for all 10 classes. ", + "bbox": [ + 174, + 137, + 825, + 166 + ], + "page_idx": 33 + }, + { + "type": "image", + "img_path": "images/59b68d27db606f3f6c3762aa2addb7bcd9709fa5f7b2f38ae509978afb4ea60a.jpg", + "image_caption": [ + "Figure 25: Most extreme images with captions from CIFAR-Simple or CIFAR-Extended " + ], + "image_footnote": [], + "bbox": [ + 187, + 167, + 800, + 820 + ], + "page_idx": 33 + }, + { + "type": "image", + "img_path": "images/eb692e180a2bbe80aa4aa786cd5887600accae652fa2496ab3dd73bae8f079bd.jpg", + "image_caption": [ + "Figure 25: Most extreme images with captions from CIFAR-Simple or CIFAR-Extended " + ], + "image_footnote": [], + "bbox": [ + 187, + 104, + 802, + 255 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "C.1.4 MORE EXAMPLES OF DIRECTLY DECODING SVM DIRECTION ", + "text_level": 1, + "bbox": [ + 174, + 311, + 651, + 325 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "In Figure 26, we include more examples of using spherical interpolation to directly decode the SVM direction for CIFAR-10 (as in Figure 8a). ", + "bbox": [ + 174, + 335, + 826, + 364 + ], + "page_idx": 34 + }, + { + "type": "image", + "img_path": "images/9883cc48af9c82da9e62599b2bd1408309ebf51eacb6b2dc6aaf5933b13ddf52.jpg", + "image_caption": [ + "Figure 26: More images generated by directly decoding the SVM direction. " + ], + "image_footnote": [], + "bbox": [ + 186, + 382, + 823, + 720 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "C.1.5 VALIDATING THE PROXY OF EVALUATING IMAGES CLOSEST TO THE CAPTIONS ", + "text_level": 1, + "bbox": [ + 173, + 103, + 781, + 118 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "In Figure 7b from the main paper, we used the K closest images to the positive or negative SVM caption as a proxy for the subpopulation that corresponded to that caption. Here, we validate that the images which are closest in cosine distance to a given caption indeed closely match the description of the caption itself. We use the CIFAR-Extended caption set. ", + "bbox": [ + 174, + 127, + 825, + 184 + ], + "page_idx": 35 + }, + { + "type": "image", + "img_path": "images/d012f125866d2c62770124700bba28d127971f0cfb60f82c6d657aea6e4d6dec.jpg", + "image_caption": [ + "Figure 27: The images closest in cosine distance to the given CLIP caption. " + ], + "image_footnote": [], + "bbox": [ + 241, + 193, + 756, + 772 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "C.1.6 FILTERING INTERVENTION FOR CIFAR-10 ", + "text_level": 1, + "bbox": [ + 176, + 103, + 526, + 118 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "Here, we perform the filtering intervention for CIFAR-10. For each class, we take the top 100 examples according to our SVM decision values, the model’s base confidence, or a random baseline, and then add those examples to the training dataset (Figure 28). Without annotations, we again use the proxy of evaluating the images closest to the extracted negative SVM captions (here from CIFAR-Extended). We find that our framework improves the performance on the minority subgroups to a larger extent than other methods. ", + "bbox": [ + 173, + 127, + 826, + 212 + ], + "page_idx": 36 + }, + { + "type": "image", + "img_path": "images/01a9cd5fe45a7a1c3ebe714d16f014c0e9e8c733d0efdbc31c5eb8c7d4fa7229.jpg", + "image_caption": [ + "Figure 28: For each CIFAR-10 class, the accuracy of the K examples closest to the negative SVM caption after adding 100 images from the extra data (and retraining) either at random, based on the SVM decision values, or based on the model confidences. Choosing these 100 images by using the SVM decision value best improves the accuracy population described by the negative caption. Results are averaged over classes and reported over 10 runs. " + ], + "image_footnote": [], + "bbox": [ + 313, + 229, + 681, + 375 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "C.1.7 RESULTS FOR FULL CIFAR-10 DATASET ", + "text_level": 1, + "bbox": [ + 176, + 103, + 514, + 118 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "Here we show the results of applying our framework on the full CIFAR-10 dataset. We therefore use the entire training split, except for $20 \\%$ used for validation. We find that similar failure modes are captured (Figure 29), and the identified negative subpopulations have a lower accuracy than the identified positive subpopulations (Figure 30). ", + "bbox": [ + 174, + 127, + 825, + 184 + ], + "page_idx": 37 + }, + { + "type": "image", + "img_path": "images/608d9de46dabe3b2af4a8c0e41c1bd6550dfc2a682ba1c164a17563fba817c53.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 186, + 202, + 803, + 353 + ], + "page_idx": 37 + }, + { + "type": "image", + "img_path": "images/1878e5bbd313919072f44f907d84cdc185dbdaf41690c61851ae500f0f1e4e52.jpg", + "image_caption": [ + "Figure 29: Most extreme images/captions surfaced by our framework for the full CIFAR-10 dataset ", + "Figure 30: Averaging over 10 classes, we evaluate the accuracy of the top K images closest in cosine distance to the positive or negative caption on the test set. " + ], + "image_footnote": [], + "bbox": [ + 339, + 407, + 656, + 534 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "C.2 IMAGENET ", + "text_level": 1, + "bbox": [ + 174, + 103, + 295, + 118 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "We discuss the experimental details for the ImageNet dataset. ", + "bbox": [ + 174, + 128, + 576, + 145 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "Dataset. We consider $40 \\%$ of the original dataset as training data, $40 \\%$ as extra data, and the last $20 \\%$ as the validation set. We perform training and evaluation at a resolution of $2 2 4 \\times 2 2 4$ . ", + "bbox": [ + 173, + 151, + 823, + 180 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "Hyperparameters We use the following hyperparameters, which were taken from the recommended FFCV configuration: ", + "bbox": [ + 173, + 185, + 825, + 214 + ], + "page_idx": 38 + }, + { + "type": "table", + "img_path": "images/c2c592f6b5b1298f4cf26d3c98ab74dbf5dcda349362d5f6b237f470f6959555.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Parameter Value
Batch Size1024
Epochs16
Peak LR0.5
Momentum0.9
Weight Decay5×10-4
Peak Epoch2
", + "bbox": [ + 400, + 227, + 596, + 333 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "Caption generation We again generate the captions programmatically using the caption “a photo of a .” We use the following adjectives: [None, ’white’, ’blue’, ’red’, ’green’, ’black’, ’yellow’, ’orange’, ’brown’, ’group of’, ’close-up’, ’blurry’, ’far away’]. ", + "bbox": [ + 174, + 354, + 825, + 397 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "Since there are 1000 ImageNet classes, we need a way to group classes together to more scalably assign prepositional phrases that makes sense (for example, the sentence “a purple lawn-mower that is flying in the air” is likely out of distribution for the CLIP encoder.) We consider a set of ancestor nodes in the WordNet hierarchy, and assign each ImageNet class to its closest ancestor in the set. The set of ancestors and the number of ImageNet classes associated to each is below. ", + "bbox": [ + 174, + 404, + 825, + 473 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "• {’fish’: 16, ’bird’: 59, ’amphibian’: 9, ’reptile’: 36, ’invertebrate’: 61, ’mammal’: 30, ’marsupial’: 3, ’aquatic mammal’: 4, ’canine’: 130, ’feline’: 13, ’rodent’: 6, ’swine’: 3, ’bovid’: 9, ’primate’: 20, ’device’: 124, ’entity’: 59, ’vehicle’: 7, ’aircraft’: 4, ’structure’: 57, ’wheeled vehicle’: 40, ’container’: 32, ’equipment’: 37, ’implement’: 36, ’covering’: 43, ’furniture’: 21, ’vessel’: 32, ’fabric’: 6, ’train’: 1, ’instrumentality’: 12, ’appliance’: 12, ’bus’: 3, ’food’: 38, ’fruit’: 16, ’geological formation’: 9, ’person’: 3, ’flower’: 2, ’fungus’: 7 } ", + "bbox": [ + 217, + 484, + 826, + 583 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "We then use the following set of prepositions for each class. Specifically, all classes use the set of prepositions [None, ’outside’, ’inside’, ’on a black background’, ’on a white background’, ’on a green background’, ’on a blue background’, ’on a brown background’]. Furthermore, depending on their assigned ancestor class, they use the following class specific prepositions ", + "bbox": [ + 176, + 594, + 825, + 651 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "• ’reptile’, ’amphibian’: [’in a tank’, ’on the ground’, ’on a rock’, ’in the grass’] \n• ’marsupial’, ’swine’, ’bovid’, ’feline’, ’canine’, ’rodent’: [’in the grass’, ’in a house’, ’in the forest’, ’on the ground’, ’with a person’] \n• ’fungus’: [’on the ground’, ’in the grass’] \n• ’food’: [’on a plate’, ’one the ground’, ’on a table’, ’with a person’] \n• ’geological formation’, ’train’, ’mammal’, ’structure’, ’entity’: [] \n• ’wheeled vehicle’, ’bus’, ’vehicle: [’on the road’, ’parked’] \n• ’fruit’, ’fruit’, ’flower’: [’on a table’, ’on the ground’, ’on a tree’, ’with a person’, ’in the grass’] \n• ’fish’, ’aquatic mammal’: [’in a tank’, ’with a person’, ’underwater’] \n• ’person’: [’in a house’, ’on a field’] \n• ’equipment’,’instrumentality’, ’appliance’, ’container’, ’fabric’, ’covering’, ’device’, ’implement: [’on a table’, ’with a person’, ’with a hand’] \n• ’primate’: [’in a tree’, ’on the ground’, ’in the grass’] \n• ’invertebrate’: [’in the grass’, ’on the ground’, ’in a house’] \n• ’bird $\\ ' :$ [’in the air’, ’on the ground’, ’in a cage’, ’in the grass’, ’flying’, ’perched’] \n• ’aircraft’: [’in the air’, ’on the ground’] \n• ’furniture’: [’in a house’] \n• ’vessel’: [’in the water’, ’docked’, ’in the ocean’] ", + "bbox": [ + 217, + 660, + 826, + 925 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "", + "bbox": [ + 217, + 103, + 769, + 175 + ], + "page_idx": 39 + }, + { + "type": "text", + "text": "Finally, the ImageNet class names themselves can include quite niche words (which may not be well-represented by CLIP). We thus use as the noun the ancestor corresponding to the ImageNet class. As a reference caption, we use “A photo of a ”. ", + "bbox": [ + 176, + 186, + 825, + 229 + ], + "page_idx": 39 + }, + { + "type": "text", + "text": "C.2.1 FURTHER IMAGENET EXAMPLES ", + "text_level": 1, + "bbox": [ + 176, + 103, + 460, + 118 + ], + "page_idx": 40 + }, + { + "type": "text", + "text": "In Figure 31 we show additional results for Imagenet classes cauliflower and agama. ", + "text_level": 1, + "bbox": [ + 173, + 127, + 725, + 142 + ], + "page_idx": 40 + }, + { + "type": "image", + "img_path": "images/4bf6f42daacad2045c717910842f6cf10a52741a02e9098ac6b6f88fee04cd71.jpg", + "image_caption": [ + "Figure 31: Most extreme images/captions surfaced by our framework for ImageNet classes cauliflower and Agama " + ], + "image_footnote": [], + "bbox": [ + 186, + 160, + 800, + 304 + ], + "page_idx": 40 + }, + { + "type": "text", + "text": "C.2.2 IMAGENET AND CIFAR-10 NORMALIZED PLOTS ", + "text_level": 1, + "bbox": [ + 174, + 380, + 568, + 393 + ], + "page_idx": 40 + }, + { + "type": "text", + "text": "Since ImageNet and CIFAR-10 have different test set sizes (50 examples and 1000 examples per class respectively), here we plot equivalents of Figures 7b and 10b. In Figure 32, instead of plotting the top K images considered on the $\\mathbf { X }$ -axis, we plot the fraction of the test set considered (from to $0 \\%$ to $100 \\%$ of the test set). On the right-hand side of each plot, when this fraction is 1, we consider the entire test set (thus, the easy and hard subpopulations both have accuracy equal to the overall test accuracy). ", + "bbox": [ + 173, + 404, + 826, + 488 + ], + "page_idx": 40 + }, + { + "type": "image", + "img_path": "images/fb10f1f203088e8de434ec919feaabeeb82f049ed39c1aa612affa89ce19c0a0.jpg", + "image_caption": [ + "Figure 32: For CIFAR-10 and ImageNet, we plot the accuracy of the $K$ closest images to the positive or the negative caption for each class averaged over classes. On the $\\mathbf { X }$ -axis, we plot the fraction of the test considered. " + ], + "image_footnote": [], + "bbox": [ + 205, + 503, + 790, + 640 + ], + "page_idx": 40 + }, + { + "type": "text", + "text": "In this section, we perform our method on a second independent run of a ResNet18, as well as on a ResNet50. In Figure 33, we then plot the accuracies of the ImageNet test images that are closest to the extracted positive and negative captions. We find that our method behaves similarly on these models as in Figure 10b. ", + "bbox": [ + 173, + 127, + 825, + 184 + ], + "page_idx": 41 + }, + { + "type": "image", + "img_path": "images/1b411506496aab471bdbc5439187a8464438207f597e41c6d730f99e5aa08733.jpg", + "image_caption": [ + "Figure 33: We run our method on (a) an independent run of a ResNet18 and (b) a ResNet50. As in Figure 10b, we plot the accuracy of the top K images closest to the positive and negative captions. The identified hard subpopulation has a lower accuracy than the identified easy subpopulation. " + ], + "image_footnote": [], + "bbox": [ + 176, + 202, + 818, + 393 + ], + "page_idx": 41 + }, + { + "type": "text", + "text": "In Figure 34, we find that on a few example classes, the failure modes extracted by our method for a ResNet50 are similar to those extracted by the ResNet18 (see Figures 10a and 31). ", + "bbox": [ + 173, + 463, + 825, + 492 + ], + "page_idx": 41 + }, + { + "type": "image", + "img_path": "images/8f244a9cd33bcdebdbce7d2160b2e84e21494245a23ee7235bdea9ea386c2931.jpg", + "image_caption": [ + "Figure 34: We display the most extreme examples and SVM captions when running our method for a ResNet50. We find that the failure directions are very similar to those extracted for a ResNet18. " + ], + "image_footnote": [], + "bbox": [ + 186, + 510, + 807, + 795 + ], + "page_idx": 41 + }, + { + "type": "text", + "text": "Do the failure directions that we extracted using the ResNet18 also capture failure modes for other architectures? To answer this question, we measure the subpopulation accuracies of each of these models (as well as a pre-trained ViT-B) when using the ResNet18 positive/negative SVM captions to define our subpopulations of interest (Figure 35). We find that these ResNet18 captions perform almost as well as the SVM captions extracted for the specific underlying model, and define clear “easy” and “hard” subpopulations. Thus, the directions extracted for the ResNet18 also represent real failure modes for other architectures. ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 41 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 103, + 823, + 132 + ], + "page_idx": 42 + }, + { + "type": "image", + "img_path": "images/3bb3c615fd54712ac5daabe45274cbbdbdb36feae115f5013c0f31a9e30ba786.jpg", + "image_caption": [ + "Figure 35: We display the accuracies for various architectures of the test images closest to the SVM captions extracted from a ResNet18. The directions extracted for the ResNet18 represent real failure modes for other architectures. " + ], + "image_footnote": [], + "bbox": [ + 174, + 145, + 821, + 281 + ], + "page_idx": 42 + }, + { + "type": "text", + "text": "C.2.4 RESULTS ON FULL IMAGENET SPLIT ", + "text_level": 1, + "bbox": [ + 176, + 361, + 480, + 375 + ], + "page_idx": 42 + }, + { + "type": "text", + "text": "In Figure 36, we additionally run our method on an ImageNet split of $80 \\%$ train and $20 \\%$ validation (without any extra data). We find that our method behaves similarly to Figure 10b. ", + "bbox": [ + 173, + 385, + 825, + 414 + ], + "page_idx": 42 + }, + { + "type": "image", + "img_path": "images/588955a2fe6a273262af9e2b5cc2d8268e4181be399ba1ffec5a199ee0c8c9da.jpg", + "image_caption": [ + "Figure 36: We run our model on an $80 \\%$ train, $20 \\%$ validation split of ImageNet, and display the accuracies of the test images closest to the positive and negative caption. " + ], + "image_footnote": [], + "bbox": [ + 369, + 431, + 625, + 602 + ], + "page_idx": 42 + }, + { + "type": "image", + "img_path": "images/fc2132ad4f9f269af61073f0633416192dbb95d7bcf5a4deff4d8e3be1c42246.jpg", + "image_caption": [ + "Figure 37: The most extreme examples by SVM decision value and by confidence for the “no effusion” class. Notably, the SVM distills a failure mode that is not easily seen in the low confidence examples. " + ], + "image_footnote": [], + "bbox": [ + 184, + 99, + 821, + 224 + ], + "page_idx": 43 + }, + { + "type": "table", + "img_path": "images/318ac6a2dbbc193d0adb6745c476aa73483ff838cb05af06d096faf6955ba5b7.jpg", + "table_caption": [ + "Figure 38: The fraction of examples from the “no effusion\" class that are taken in the AP position. Notably, the base model disproportionately struggles on AP images, and the majority of images flagged by our framework are AP. " + ], + "table_footnote": [], + "table_body": "
% Overall that isAP Incorrect Flagged38.18% 12.62%
% Incorrect that is AP28.11% 55.351 %
% Flagged that is AP59.826 %
", + "bbox": [ + 205, + 297, + 455, + 386 + ], + "page_idx": 43 + }, + { + "type": "image", + "img_path": "images/26e6c4d8daa7f0a09cd4324569fffb0b87dddbf00420d113f1fb987fb3679230.jpg", + "image_caption": [ + "Figure 39: The fraction of the top K examples from “no effusion” class that are AP. We compare using the SVM’s decision value and the model’s confidences to select these images. " + ], + "image_footnote": [], + "bbox": [ + 527, + 289, + 802, + 397 + ], + "page_idx": 43 + }, + { + "type": "text", + "text": "C.3 CHESTX-RAY14 ", + "text_level": 1, + "bbox": [ + 176, + 498, + 330, + 513 + ], + "page_idx": 43 + }, + { + "type": "text", + "text": "We apply our framework to the ChestXray-14 (Rajpurkar et al., 2017) dataset. This dataset contains frontal X-ray images labeled with 14 different conditions. ChestXray-14 is a multi-label tagging task (i.e., a single image can have more than one condition), so we treat each condition as its own binary problem. In this section, we focus on the condition Effusion. Results on other conditions can be found in Appendix C.3. ", + "bbox": [ + 173, + 526, + 825, + 597 + ], + "page_idx": 43 + }, + { + "type": "text", + "text": "The trained SVM identifies visually distinguishable failure mode directions in latent space. As shown in Figure 37, the representative images flagged by this SVM as most incorrect are blurrier and less bright. Moreover, this trend is not reflected by the least confident images, indicating that our framework is isolating a different trend than the one corresponding to ordering the images by base model confidence. ", + "bbox": [ + 174, + 603, + 825, + 672 + ], + "page_idx": 43 + }, + { + "type": "text", + "text": "In fact, we find that the SVM may be picking up on the position in which the exam was conducted. While the majority of the X-rays are Posterior-Anterior (PA) radiographs, a little over a third are Anterior-Posterior (AP). PA radiographs are usually clearer, but require the patient to be well enough to stand (Tafti & Byerly, 2020). Examples of AP and PA radiographs from the dataset can be found later in this section. ", + "bbox": [ + 174, + 680, + 825, + 751 + ], + "page_idx": 43 + }, + { + "type": "text", + "text": "As shown in Table 38, the SVM for the class “no effusion” flags a large number of the AP radiographs as incorrect. This indicates that the model might indeed rely on the position in which the radiograph was taken to predict whether the patient was healthy. Moreover, the SVM selects the AP examples more consistently than ordering the radiographs by the base model’s confidence (Figure 39). ", + "bbox": [ + 174, + 757, + 825, + 813 + ], + "page_idx": 43 + }, + { + "type": "text", + "text": "Finally, in the rest of this appendix, we discuss the experimental details and additional results for applying our framework to the ChestX-ray14 dataset. ", + "bbox": [ + 176, + 820, + 821, + 848 + ], + "page_idx": 43 + }, + { + "type": "text", + "text": "C.3.1 EXPERIMENTAL DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 868, + 406, + 883 + ], + "page_idx": 43 + }, + { + "type": "text", + "text": "We use the given train, validation, and test splits for the ChestX-ray14 dataset. We use a resolution of $2 2 4 \\times 2 2 4$ , and consider each of the 14 conditions separately. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 43 + }, + { + "type": "table", + "img_path": "images/ea887c444405296cea4a2f931a042c9ecd1bc02f478d5b4d724653325dd78966.jpg", + "table_caption": [ + "Hyperparameters We use the following hyperparameters, which are the same as for ImageNet. " + ], + "table_footnote": [], + "table_body": "
ParameterValue
Batch Size1024
Epochs16
Peak LR0.5
Momentum0.9
Weight Decay5×10-4
Peak Epoch2
", + "bbox": [ + 400, + 131, + 598, + 237 + ], + "page_idx": 44 + }, + { + "type": "text", + "text": "C.3.2 EXAMPLES OF AP AND PA IMAGES ", + "text_level": 1, + "bbox": [ + 176, + 267, + 475, + 281 + ], + "page_idx": 44 + }, + { + "type": "text", + "text": "The ChestX-ray14 Images have different positions in which the exam could have been conducted. While the majority of the X-rays are Posterior-Anterior (PA) radiographs, a little over a third are Anterior-Posterior (AP). ", + "bbox": [ + 174, + 291, + 825, + 334 + ], + "page_idx": 44 + }, + { + "type": "text", + "text": "PA radiographs are usually clearer, and the position of the scapula obstructs less of the lung; however, they require the patient to be well enough to stand (Tafti & Byerly, 2020). Examples of AP and PA radiographs from the dataset for the same patient and same resolution can be found in Figure 40. There are often also visible markers on the radiograph (i.e the words AP or portable) which distinguish the two. ", + "bbox": [ + 174, + 340, + 826, + 410 + ], + "page_idx": 44 + }, + { + "type": "image", + "img_path": "images/b72f97d41b64917604ba6ad071a1d53f3108dbbad8342e74af2fbf20ddf369cd.jpg", + "image_caption": [ + "Figure 40: Examples of AP vs PA radiographs for the same patient. " + ], + "image_footnote": [], + "bbox": [ + 199, + 421, + 802, + 784 + ], + "page_idx": 44 + }, + { + "type": "text", + "text": "C.3.3 RESULTS FOR ADDITIONAL CONDITIONS ", + "text_level": 1, + "bbox": [ + 178, + 103, + 514, + 117 + ], + "page_idx": 45 + }, + { + "type": "text", + "text": "Effusion We begin with the condition “effusion\". Figure 41 displays the most extreme figures by SVM decision value and confidence for each class. We additionally plot, for the top K values ordered by most negative decision value or confidence, the fraction of images that were AP radiographs. We find that, to a higher degree than confidences, the model associates AP images as hard for the healthy class and easy for the non-healthy class. ", + "bbox": [ + 173, + 127, + 826, + 198 + ], + "page_idx": 45 + }, + { + "type": "image", + "img_path": "images/1f6aca1d41fd1b8ca4e83f1de5a5e2ede1c2d8f7ac11b59ca95a71c1b57bbae9.jpg", + "image_caption": [ + "Figure 41: Effusion. Left: Most extreme images according to SVM decision value and confidences. Right: The fraction of the top K images that were AP. We order images by the most negative SVM decision value or by the lowest model confidence. " + ], + "image_footnote": [], + "bbox": [ + 179, + 210, + 820, + 637 + ], + "page_idx": 45 + }, + { + "type": "text", + "text": "Mass We now consider the condition Mass (Figure 42). We again find that the SVM picks up on distinct visual patterns that were not surfaced by confidences. Moreover, we interestingly find that our framework surfaces AP images as hard for the non-healthy class, as opposed to the healthy class in the case of Effusion. ", + "bbox": [ + 173, + 103, + 825, + 159 + ], + "page_idx": 46 + }, + { + "type": "image", + "img_path": "images/3cac46e4ee8904c17dcf23f84f659d94d0b5de274d545f1145ce4d534cdb2870.jpg", + "image_caption": [ + "Figure 42: Mass. Left: Most extreme images according to SVM decision value and confidences. Right: The fraction of the top K images that were AP. We order images by the most negative SVM decision value or by the lowest model confidence. " + ], + "image_footnote": [], + "bbox": [ + 179, + 170, + 820, + 601 + ], + "page_idx": 46 + }, + { + "type": "text", + "text": "Infiltration Finally, we consider the condition Infiltration (Figure 43). As in the case of Effusion, the framework associates AP with easier images for the non-healthy class and, to a lesser extent, hard images for the healthy class. ", + "bbox": [ + 174, + 103, + 826, + 146 + ], + "page_idx": 47 + }, + { + "type": "image", + "img_path": "images/17563a4d75f10debc921b83564fdddea010a5b531ab9b60af9c90af801d9f639.jpg", + "image_caption": [ + "Figure 43: Infiltration. Left: Most extreme images according to SVM decision value and confidences. Right: The fraction of the top K images that were AP. We order images by the most negative SVM decision value or by the lowest model confidence. 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More broadly, the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "score": 1.0, + "content": "training dataset might contain spurious correlations, encouraging the model to depend on prediction", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 482 + ], + "score": 1.0, + "content": "rules that do not generalize to deployment (Xiao et al., 2020; Geirhos et al., 2020; DeGrave et al.,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 481, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 505, + 493 + ], + "score": 1.0, + "content": "2021). Moreover, identifying meaningful subpopulations within data allows for dataset refinement", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "(such as filtering or relabeling) (Yang et al., 2019; Stock & Cisse, 2018), and training more fair (Kim", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 503, + 481, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 481, + 515 + ], + "score": 1.0, + "content": "et al., 2019; Du et al., 2021) or accurate (Jabbour et al., 2020; Srivastava et al., 2020) models.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 520, + 505, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "However, dominant approaches to such identification of biases and difficult subpopulations within", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 531, + 504, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 504, + 542 + ], + "score": 1.0, + "content": "datasets often require human intervention, which is typically labor intensive and thus not conducive", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 542, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 505, + 553 + ], + "score": 1.0, + "content": "to routine usage. 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(2021) directly upweights inputs that were", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 608, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 506, + 621 + ], + "score": 1.0, + "content": "misclassified early in training, but these examples do not necessarily represent a consistent failure", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 619, + 248, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 248, + 631 + ], + "score": 1.0, + "content": "mode. 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For example, a model might struggle on specific", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "subpopulations in the data if that subpopulation was mislabeled (Northcutt et al., 2021; Stock & Cisse,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 437, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 506, + 449 + ], + "score": 1.0, + "content": "2018; Beyer et al., 2020; Vasudevan et al., 2022), underrepresented (Sagawa et al., 2020; Santurkar", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 449, + 504, + 460 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 504, + 460 + ], + "score": 1.0, + "content": "et al., 2021), or corrupted (Hendrycks & Dietterich, 2019; Hendrycks et al., 2020). More broadly, the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "score": 1.0, + "content": "training dataset might contain spurious correlations, encouraging the model to depend on prediction", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 482 + ], + "score": 1.0, + "content": "rules that do not generalize to deployment (Xiao et al., 2020; Geirhos et al., 2020; DeGrave et al.,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 481, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 505, + 493 + ], + "score": 1.0, + "content": "2021). Moreover, identifying meaningful subpopulations within data allows for dataset refinement", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "(such as filtering or relabeling) (Yang et al., 2019; Stock & Cisse, 2018), and training more fair (Kim", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 503, + 481, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 481, + 515 + ], + "score": 1.0, + "content": "et al., 2019; Du et al., 2021) or accurate (Jabbour et al., 2020; Srivastava et al., 2020) models.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 383, + 506, + 515 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 520, + 505, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "However, dominant approaches to such identification of biases and difficult subpopulations within", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 531, + 504, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 504, + 542 + ], + "score": 1.0, + "content": "datasets often require human intervention, which is typically labor intensive and thus not conducive", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 542, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 505, + 553 + ], + "score": 1.0, + "content": "to routine usage. For example, recent works (Tsipras et al., 2020; Vasudevan et al., 2022) need to", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 553, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 505, + 565 + ], + "score": 1.0, + "content": "resort to manual data exploration to identify label idiosyncrasies and failure modes in widely used", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "datasets such as ImageNet. On the other hand, a different line of work (Sohoni et al., 2020; Nam et al.,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "2020; Kim et al., 2019; Liu et al., 2021; Hashimoto et al., 2018) does present automatic methods for", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 585, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 599 + ], + "score": 1.0, + "content": "identifying and intervening on hard examples, but these methods are not designed to capture simple,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "human-understandable patterns. For instance, Liu et al. (2021) directly upweights inputs that were", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 608, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 506, + 621 + ], + "score": 1.0, + "content": "misclassified early in training, but these examples do not necessarily represent a consistent failure", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 619, + 248, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 248, + 631 + ], + "score": 1.0, + "content": "mode. This motivates the question:", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 520, + 506, + 631 + ] + }, + { + "type": "title", + "bbox": [ + 154, + 636, + 455, + 648 + ], + "lines": [ + { + "bbox": [ + 151, + 636, + 457, + 650 + ], + "spans": [ + { + "bbox": [ + 151, + 636, + 457, + 650 + ], + "score": 1.0, + "content": "How can we extract meaningful patterns of model errors on large datasets?", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "One way to approach this question is through model interpretability methods. These include saliency", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "maps (Adebayo et al., 2018; Simonyan et al., 2013), integrated gradients (Sundararajan et al., 2017),", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 676, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 689 + ], + "score": 1.0, + "content": "and LIME (Ribeiro et al., 2016b), and perform feature attribution for particular inputs. Specifically,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 687, + 507, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 507, + 700 + ], + "score": 1.0, + "content": "they aim to highlight which parts of an input were most important for making a model prediction,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "and can thus hint at brittleness of that prediction. However, while feature attribution can indeed help", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "debug individual test examples, it does not provide a global understanding of the underlying biases of", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 450, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 450, + 732 + ], + "score": 1.0, + "content": "the dataset — at least without manually examining many such individual attributions.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44, + "bbox_fs": [ + 105, + 654, + 507, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 202, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 203, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 203, + 94 + ], + "score": 1.0, + "content": "OUR CONTRIBUTIONS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 108, + 103, + 504, + 136 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 505, + 116 + ], + "score": 1.0, + "content": "In this work, we build a scalable mechanism for globally understanding large datasets from the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 114, + 504, + 126 + ], + "spans": [ + { + "bbox": [ + 106, + 114, + 504, + 126 + ], + "score": 1.0, + "content": "perspective of the model’s prediction rules. Specifically, our goal is not only to identify interpretable", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 124, + 506, + 137 + ], + "spans": [ + { + "bbox": [ + 106, + 124, + 506, + 137 + ], + "score": 1.0, + "content": "failure modes within the data, but also to inform actionable interventions to remedy these problems.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 108, + 141, + 505, + 208 + ], + "lines": [ + { + "bbox": [ + 106, + 142, + 505, + 154 + ], + "spans": [ + { + "bbox": [ + 106, + 142, + 505, + 154 + ], + "score": 1.0, + "content": "Our approach distills a given model’s failure modes as directions in a certain feature space. In", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 153, + 505, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 505, + 165 + ], + "score": 1.0, + "content": "particular, we train linear classifiers on normalized feature embeddings within that space to identify", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 164, + 506, + 176 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 506, + 176 + ], + "score": 1.0, + "content": "consistent mistakes in the original model’s predictions. The decision boundary of each such classifier", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 175, + 505, + 188 + ], + "spans": [ + { + "bbox": [ + 106, + 175, + 505, + 188 + ], + "score": 1.0, + "content": "then defines a “direction\" of hard examples. By measuring each data-point’s alignment with this", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 185, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 505, + 198 + ], + "score": 1.0, + "content": "identified direction, we can understand how relevant that example is for the failure mode we intend to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 197, + 268, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 268, + 209 + ], + "score": 1.0, + "content": "capture. We leverage this framework to:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 133, + 217, + 505, + 314 + ], + "lines": [ + { + "bbox": [ + 132, + 218, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 132, + 218, + 505, + 230 + ], + "score": 1.0, + "content": "• Detection: Automatically detect and quantify reliability failures, such as brittleness to", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 228, + 479, + 241 + ], + "spans": [ + { + "bbox": [ + 141, + 228, + 479, + 241 + ], + "score": 1.0, + "content": "distribution shifts or performance degradation on hard subpopulations (Section 2.1).", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 132, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 132, + 243, + 505, + 257 + ], + "score": 1.0, + "content": "• Interpretation: Understand and automatically assign meaningful captions to the error", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 140, + 255, + 333, + 266 + ], + "spans": [ + { + "bbox": [ + 140, + 255, + 333, + 266 + ], + "score": 1.0, + "content": "patterns identified by our method (Section 2.2).", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 133, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 133, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "• Intervention: Intervene during training in order to improve model reliability along the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 281, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 141, + 281, + 506, + 294 + ], + "score": 1.0, + "content": "identified axes of failure (Section 2.3). In particular, by leveraging our framework in", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 142, + 293, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 142, + 293, + 505, + 304 + ], + "score": 1.0, + "content": "conjunction with off-the-shelf diffusion models, we can perform synthetic data augmentation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 142, + 303, + 347, + 315 + ], + "spans": [ + { + "bbox": [ + 142, + 303, + 347, + 315 + ], + "score": 1.0, + "content": "tailored to improve the analyzed model’s mistakes.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 108, + 324, + 505, + 368 + ], + "lines": [ + { + "bbox": [ + 105, + 323, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 505, + 337 + ], + "score": 1.0, + "content": "Using our framework, we can automatically identify and intervene on hard subpopulations in image", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 334, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 505, + 347 + ], + "score": 1.0, + "content": "datasets such as CIFAR-10, ImageNet, and ChestX-ray14. Importantly, we do not require direct", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "score": 1.0, + "content": "human intervention or pre-annotated subgroups. The resulting framework is thus a scalable approach", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 357, + 491, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 491, + 369 + ], + "score": 1.0, + "content": "to identifying important subpopulations in large datasets with respect to their downstream tasks.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5 + }, + { + "type": "title", + "bbox": [ + 105, + 384, + 495, + 397 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 497, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 497, + 399 + ], + "score": 1.0, + "content": "2 CAPTURING FAILURE MODES AS DIRECTIONS WITHIN A LATENT SPACE", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 409, + 505, + 497 + ], + "lines": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "The presence of certain undesirable patterns, such as spurious correlations or underrepresented", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 419, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 506, + 433 + ], + "score": 1.0, + "content": "subpopulations, in a training dataset can prevent a learned model from properly generalizing during", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "score": 1.0, + "content": "deployment. As a running example, consider the task of distinguishing “old” versus “young” faces,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "score": 1.0, + "content": "wherein the training dataset age is spuriously correlated with gender (such that the faces of older men", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "and younger women are overrepresented). Such correlations occur in the CelebA dataset (Liu et al.,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 463, + 506, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 506, + 477 + ], + "score": 1.0, + "content": "2015) (though here we construct a dataset that strengthens them)1. Thus, a model trained on such a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "score": 1.0, + "content": "dataset might rely too heavily on gender, and will struggle to predict the age of younger men or older", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 486, + 381, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 381, + 498 + ], + "score": 1.0, + "content": "women. How can we detect model failures on these subpopulations?", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 107, + 503, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 106, + 503, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 505, + 515 + ], + "score": 1.0, + "content": "The guiding principle of our framework is to model such failure modes as directions within a certain", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "score": 1.0, + "content": "latent space (Figure 1). In the above example, we would like to identify an axis such that the (easier)", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 525, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 537 + ], + "score": 1.0, + "content": "examples of “old men” and the (harder) examples of “old women” lie in opposite directions. We then", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 536, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 548 + ], + "score": 1.0, + "content": "can capture the role of an individual data point in the dataset by evaluating how closely its normalized", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 547, + 480, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 480, + 559 + ], + "score": 1.0, + "content": "embedding aligns with that extracted direction (axis). But how can we learn these directions?", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 563, + 505, + 663 + ], + "lines": [ + { + "bbox": [ + 106, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "Our method. The key idea of our approach is to find a hyperplane that best separates the correct", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 574, + 507, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 507, + 588 + ], + "score": 1.0, + "content": "examples from incorrect ones. In the presence of global failure modes such as spurious correlations,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 583, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 600 + ], + "score": 1.0, + "content": "the original model will likely make consistent mistakes, and these mistakes will share features. Using", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "a held out validation set, we can therefore train a linear support vector machine (SVM) for each class", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 608, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 505, + 619 + ], + "score": 1.0, + "content": "to predict the original model’s mistakes based on these shared features. The SVM then establishes a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 619, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 631 + ], + "score": 1.0, + "content": "decision boundary between the correct and incorrect examples, and the direction of the failure mode", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 629, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 643 + ], + "score": 1.0, + "content": "will be orthogonal to this decision boundary (i.e., the normal vector to the hyperplane). Intuitively,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "the more aligned an example is with the identified failure direction, the harder the example was for", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 651, + 428, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 428, + 664 + ], + "score": 1.0, + "content": "the original neural network. Details of our method can be found in Appendix A.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 669, + 504, + 713 + ], + "lines": [ + { + "bbox": [ + 106, + 668, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 506, + 681 + ], + "score": 1.0, + "content": "The choice of latent space: Leveraging shared vision/language embeddings. Naturally, the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 679, + 506, + 692 + ], + "spans": [ + { + "bbox": [ + 106, + 679, + 506, + 692 + ], + "score": 1.0, + "content": "choice of embedding space for the SVM greatly impacts the types of failure modes it picks up. Which", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 690, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 106, + 690, + 506, + 703 + ], + "score": 1.0, + "content": "embedding space should we choose? One option is to use the latent space of the original neural", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 702, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 702, + 506, + 714 + ], + "score": 1.0, + "content": "network. However, especially if the model fits the training data perfectly, it has likely learned latent", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 46.5 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 118, + 721, + 437, + 732 + ], + "lines": [ + { + "bbox": [ + 119, + 719, + 438, + 733 + ], + "spans": [ + { + "bbox": [ + 119, + 719, + 438, + 733 + ], + "score": 1.0, + "content": "1We can also detect this failure mode in the original CelebA dataset (See Appendix B.1)", + "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 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": "title", + "bbox": [ + 108, + 82, + 202, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 203, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 203, + 94 + ], + "score": 1.0, + "content": "OUR CONTRIBUTIONS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 108, + 103, + 504, + 136 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 505, + 116 + ], + "score": 1.0, + "content": "In this work, we build a scalable mechanism for globally understanding large datasets from the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 114, + 504, + 126 + ], + "spans": [ + { + "bbox": [ + 106, + 114, + 504, + 126 + ], + "score": 1.0, + "content": "perspective of the model’s prediction rules. Specifically, our goal is not only to identify interpretable", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 124, + 506, + 137 + ], + "spans": [ + { + "bbox": [ + 106, + 124, + 506, + 137 + ], + "score": 1.0, + "content": "failure modes within the data, but also to inform actionable interventions to remedy these problems.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 102, + 506, + 137 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 141, + 505, + 208 + ], + "lines": [ + { + "bbox": [ + 106, + 142, + 505, + 154 + ], + "spans": [ + { + "bbox": [ + 106, + 142, + 505, + 154 + ], + "score": 1.0, + "content": "Our approach distills a given model’s failure modes as directions in a certain feature space. In", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 153, + 505, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 505, + 165 + ], + "score": 1.0, + "content": "particular, we train linear classifiers on normalized feature embeddings within that space to identify", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 164, + 506, + 176 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 506, + 176 + ], + "score": 1.0, + "content": "consistent mistakes in the original model’s predictions. The decision boundary of each such classifier", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 175, + 505, + 188 + ], + "spans": [ + { + "bbox": [ + 106, + 175, + 505, + 188 + ], + "score": 1.0, + "content": "then defines a “direction\" of hard examples. By measuring each data-point’s alignment with this", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 185, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 505, + 198 + ], + "score": 1.0, + "content": "identified direction, we can understand how relevant that example is for the failure mode we intend to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 197, + 268, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 268, + 209 + ], + "score": 1.0, + "content": "capture. We leverage this framework to:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5, + "bbox_fs": [ + 105, + 142, + 506, + 209 + ] + }, + { + "type": "list", + "bbox": [ + 133, + 217, + 505, + 314 + ], + "lines": [ + { + "bbox": [ + 132, + 218, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 132, + 218, + 505, + 230 + ], + "score": 1.0, + "content": "• Detection: Automatically detect and quantify reliability failures, such as brittleness to", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 228, + 479, + 241 + ], + "spans": [ + { + "bbox": [ + 141, + 228, + 479, + 241 + ], + "score": 1.0, + "content": "distribution shifts or performance degradation on hard subpopulations (Section 2.1).", + "type": "text" + } + ], + "index": 11, + "is_list_end_line": true + }, + { + "bbox": [ + 132, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 132, + 243, + 505, + 257 + ], + "score": 1.0, + "content": "• Interpretation: Understand and automatically assign meaningful captions to the error", + "type": "text" + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 140, + 255, + 333, + 266 + ], + "spans": [ + { + "bbox": [ + 140, + 255, + 333, + 266 + ], + "score": 1.0, + "content": "patterns identified by our method (Section 2.2).", + "type": "text" + } + ], + "index": 13, + "is_list_end_line": true + }, + { + "bbox": [ + 133, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 133, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "• Intervention: Intervene during training in order to improve model reliability along the", + "type": "text" + } + ], + "index": 14, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 281, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 141, + 281, + 506, + 294 + ], + "score": 1.0, + "content": "identified axes of failure (Section 2.3). In particular, by leveraging our framework in", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 142, + 293, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 142, + 293, + 505, + 304 + ], + "score": 1.0, + "content": "conjunction with off-the-shelf diffusion models, we can perform synthetic data augmentation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 142, + 303, + 347, + 315 + ], + "spans": [ + { + "bbox": [ + 142, + 303, + 347, + 315 + ], + "score": 1.0, + "content": "tailored to improve the analyzed model’s mistakes.", + "type": "text" + } + ], + "index": 17, + "is_list_end_line": true + } + ], + "index": 13.5, + "bbox_fs": [ + 132, + 218, + 506, + 315 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 324, + 505, + 368 + ], + "lines": [ + { + "bbox": [ + 105, + 323, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 505, + 337 + ], + "score": 1.0, + "content": "Using our framework, we can automatically identify and intervene on hard subpopulations in image", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 334, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 505, + 347 + ], + "score": 1.0, + "content": "datasets such as CIFAR-10, ImageNet, and ChestX-ray14. Importantly, we do not require direct", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "score": 1.0, + "content": "human intervention or pre-annotated subgroups. The resulting framework is thus a scalable approach", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 357, + 491, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 491, + 369 + ], + "score": 1.0, + "content": "to identifying important subpopulations in large datasets with respect to their downstream tasks.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 323, + 505, + 369 + ] + }, + { + "type": "title", + "bbox": [ + 105, + 384, + 495, + 397 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 497, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 497, + 399 + ], + "score": 1.0, + "content": "2 CAPTURING FAILURE MODES AS DIRECTIONS WITHIN A LATENT SPACE", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 409, + 505, + 497 + ], + "lines": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "The presence of certain undesirable patterns, such as spurious correlations or underrepresented", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 419, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 506, + 433 + ], + "score": 1.0, + "content": "subpopulations, in a training dataset can prevent a learned model from properly generalizing during", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "score": 1.0, + "content": "deployment. As a running example, consider the task of distinguishing “old” versus “young” faces,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "score": 1.0, + "content": "wherein the training dataset age is spuriously correlated with gender (such that the faces of older men", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "and younger women are overrepresented). Such correlations occur in the CelebA dataset (Liu et al.,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 463, + 506, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 506, + 477 + ], + "score": 1.0, + "content": "2015) (though here we construct a dataset that strengthens them)1. Thus, a model trained on such a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "score": 1.0, + "content": "dataset might rely too heavily on gender, and will struggle to predict the age of younger men or older", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 486, + 381, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 381, + 498 + ], + "score": 1.0, + "content": "women. How can we detect model failures on these subpopulations?", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 409, + 506, + 498 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 503, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 106, + 503, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 505, + 515 + ], + "score": 1.0, + "content": "The guiding principle of our framework is to model such failure modes as directions within a certain", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "score": 1.0, + "content": "latent space (Figure 1). In the above example, we would like to identify an axis such that the (easier)", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 525, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 537 + ], + "score": 1.0, + "content": "examples of “old men” and the (harder) examples of “old women” lie in opposite directions. We then", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 536, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 548 + ], + "score": 1.0, + "content": "can capture the role of an individual data point in the dataset by evaluating how closely its normalized", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 547, + 480, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 480, + 559 + ], + "score": 1.0, + "content": "embedding aligns with that extracted direction (axis). But how can we learn these directions?", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 503, + 505, + 559 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 563, + 505, + 663 + ], + "lines": [ + { + "bbox": [ + 106, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "Our method. The key idea of our approach is to find a hyperplane that best separates the correct", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 574, + 507, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 507, + 588 + ], + "score": 1.0, + "content": "examples from incorrect ones. In the presence of global failure modes such as spurious correlations,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 583, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 600 + ], + "score": 1.0, + "content": "the original model will likely make consistent mistakes, and these mistakes will share features. Using", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "a held out validation set, we can therefore train a linear support vector machine (SVM) for each class", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 608, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 505, + 619 + ], + "score": 1.0, + "content": "to predict the original model’s mistakes based on these shared features. The SVM then establishes a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 619, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 631 + ], + "score": 1.0, + "content": "decision boundary between the correct and incorrect examples, and the direction of the failure mode", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 629, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 643 + ], + "score": 1.0, + "content": "will be orthogonal to this decision boundary (i.e., the normal vector to the hyperplane). Intuitively,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "the more aligned an example is with the identified failure direction, the harder the example was for", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 651, + 428, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 428, + 664 + ], + "score": 1.0, + "content": "the original neural network. Details of our method can be found in Appendix A.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 564, + 507, + 664 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 669, + 504, + 713 + ], + "lines": [ + { + "bbox": [ + 106, + 668, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 506, + 681 + ], + "score": 1.0, + "content": "The choice of latent space: Leveraging shared vision/language embeddings. Naturally, the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 679, + 506, + 692 + ], + "spans": [ + { + "bbox": [ + 106, + 679, + 506, + 692 + ], + "score": 1.0, + "content": "choice of embedding space for the SVM greatly impacts the types of failure modes it picks up. Which", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 690, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 106, + 690, + 506, + 703 + ], + "score": 1.0, + "content": "embedding space should we choose? One option is to use the latent space of the original neural", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 702, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 702, + 506, + 714 + ], + "score": 1.0, + "content": "network. However, especially if the model fits the training data perfectly, it has likely learned latent", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 381, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 506, + 393 + ], + "score": 1.0, + "content": "representations which overfit to the training labels. In our running example of CelebA, the few older", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 391, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 406 + ], + "score": 1.0, + "content": "women in the training set could be memorized, and so their latent embeddings would likely be very", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 403, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 403, + 505, + 415 + ], + "score": 1.0, + "content": "different from those of older women in the test set. As shown in Appendix B.1.6, these discontinuities", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 415, + 457, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 457, + 426 + ], + "score": 1.0, + "content": "reduce the efficacy of our method, as the resulting featurizations are likely inconsistent.", + "type": "text", + "cross_page": true + } + ], + "index": 16 + } + ], + "index": 46.5, + "bbox_fs": [ + 105, + 668, + 506, + 714 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 115, + 80, + 489, + 248 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 115, + 80, + 489, + 248 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 115, + 80, + 489, + 248 + ], + "spans": [ + { + "bbox": [ + 115, + 80, + 489, + 248 + ], + "score": 0.951, + "type": "image", + "image_path": "3dfb9099250d4c0b21ce775c2abf155d6b63bf7527c6e2d53805ebc94ad9aec4.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 115, + 80, + 489, + 136.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 115, + 136.0, + 489, + 192.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 115, + 192.0, + 489, + 248.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 257, + 505, + 367 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 257, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 505, + 270 + ], + "score": 1.0, + "content": "Figure 1: A summary of our approach, as applied to CelebA. Consider the task of classifying faces as", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 268, + 507, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 507, + 282 + ], + "score": 1.0, + "content": "\"young\" or \"old\", where the training set contains a spurious correlation with gender. (Left) Given a", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 279, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 292 + ], + "score": 1.0, + "content": "trained base model, we evaluate it on a held-out validation set. (Middle) For each class (here “old\"),", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 290, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 506, + 303 + ], + "score": 1.0, + "content": "we train a linear SVM on a shared vision/language latent space to predict whether the base model", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 302, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 506, + 313 + ], + "score": 1.0, + "content": "would have classified an input from the validation set correctly. We then extract a direction (gray) for", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 312, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 506, + 325 + ], + "score": 1.0, + "content": "the captured failure mode as the vector orthogonal to the learned hyperplane. 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Consider the task of classifying faces as", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 268, + 507, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 507, + 282 + ], + "score": 1.0, + "content": "\"young\" or \"old\", where the training set contains a spurious correlation with gender. (Left) Given a", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 279, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 292 + ], + "score": 1.0, + "content": "trained base model, we evaluate it on a held-out validation set. 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Therefore, to get a", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "sense of what failure mode the direction is capturing, we can examine the most extreme examples", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 721, + 506, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 506, + 732 + ], + "score": 1.0, + "content": "according to the SVM’s decision value, which is proportional to the signed distance to the SVM’s", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "decision boundary. Returning to our running example, in Figure 1 the images of the “old\" class that", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 495, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 495, + 106 + ], + "score": 1.0, + "content": "are the “most correct\" correspond to men, while the “most incorrect\" ones correspond to women.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 688, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "decision boundary. Returning to our running example, in Figure 1 the images of the “old\" class that", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 495, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 495, + 106 + ], + "score": 1.0, + "content": "are the “most correct\" correspond to men, while the “most incorrect\" ones correspond to women.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 108, + 110, + 505, + 154 + ], + "lines": [ + { + "bbox": [ + 106, + 110, + 507, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 110, + 507, + 123 + ], + "score": 1.0, + "content": "Automatic captioning. We can leverage the fact that the SVM is trained on a shared vi-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 121, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 505, + 134 + ], + "score": 1.0, + "content": "sion/language latent space (i.e., CLIP) to automatically assign captions to the captured failure", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 133, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 505, + 145 + ], + "score": 1.0, + "content": "mode. Just as above we surfaced the most aligned images, we can similarly surface the most aligned", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 465, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 465, + 156 + ], + "score": 1.0, + "content": "captions, i.e, captions whose normalized embedding best matches the extracted direction.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 216 + ], + "lines": [ + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 347, + 172 + ], + "score": 1.0, + "content": "Specifically, assume that each class has a reference caption", + "type": "text" + }, + { + "bbox": [ + 348, + 163, + 353, + 170 + ], + "score": 0.68, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 160, + 505, + 172 + ], + "score": 1.0, + "content": ", which is a generic phrase that could", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 171, + 506, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 184 + ], + "score": 1.0, + "content": "describe all examples of the class (e.g., “a photo of a person”). We then generate a candidate set of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 181, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 198, + 196 + ], + "score": 1.0, + "content": "more specific captions", + "type": "text" + }, + { + "bbox": [ + 199, + 183, + 238, + 194 + ], + "score": 0.9, + "content": "c _ { 1 } , . . . , c _ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 181, + 506, + 196 + ], + "score": 1.0, + "content": "that include additional attributes (e.g., “a photo of a person with a", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 191, + 507, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 487, + 207 + ], + "score": 1.0, + "content": "moustache”). Our goal is to pick the caption for which the additional information provided by", + "type": "text" + }, + { + "bbox": [ + 488, + 195, + 494, + 203 + ], + "score": 0.39, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 191, + 507, + 207 + ], + "score": 1.0, + "content": "—", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 204, + 479, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 282, + 217 + ], + "score": 1.0, + "content": "beyond that which was already provided by", + "type": "text" + }, + { + "bbox": [ + 282, + 206, + 289, + 214 + ], + "score": 0.69, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 204, + 479, + 217 + ], + "score": 1.0, + "content": "— best captures the the extracted failure mode.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 107, + 221, + 505, + 278 + ], + "lines": [ + { + "bbox": [ + 105, + 219, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 225, + 237 + ], + "score": 1.0, + "content": "To do so, we score a caption", + "type": "text" + }, + { + "bbox": [ + 225, + 223, + 231, + 231 + ], + "score": 0.71, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 219, + 409, + 237 + ], + "score": 1.0, + "content": "by how aligned the normalized embedding", + "type": "text" + }, + { + "bbox": [ + 409, + 221, + 458, + 236 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\hat { c } = \\frac { c - r } { | | c - r | | _ { 2 } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 219, + 505, + 237 + ], + "score": 1.0, + "content": "is with the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 443, + 246 + ], + "score": 1.0, + "content": "direction captured by the SVM. This amounts to choosing the captions for which", + "type": "text" + }, + { + "bbox": [ + 443, + 235, + 450, + 244 + ], + "score": 0.72, + "content": "\\hat { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "has the most", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "score": 1.0, + "content": "positive (easiest) or negative (hardest) SVM decision values. In contrast to previous works that choose", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 255, + 506, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 269 + ], + "score": 1.0, + "content": "the captions closest to the mean of a selected group of hard examples (c.f., Eyuboglu et al. (2022)),", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 267, + 484, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 484, + 279 + ], + "score": 1.0, + "content": "our method avoids this proxy and directly assigns a caption to the captured failure mode itself.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 284, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 106, + 283, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 106, + 283, + 505, + 295 + ], + "score": 1.0, + "content": "Directly decoding the SVM direction with diffusion models. Some of the recently developed", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 294, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 505, + 307 + ], + "score": 1.0, + "content": "diffusion models (e.g., retrieval augmented diffusion models (Blattmann et al., 2022), DALL-E", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 304, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 505, + 318 + ], + "score": 1.0, + "content": "2 (Ramesh et al., 2022)) generate images directly from the shared vision/language (CLIP) space. In", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 316, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 505, + 329 + ], + "score": 1.0, + "content": "such cases, we can directly decode the extracted SVM direction into generated images. This enables", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 327, + 495, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 495, + 340 + ], + "score": 1.0, + "content": "us to visually capture the direction itself, without needing to generate a set of candidate captions.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 169, + 356 + ], + "score": 1.0, + "content": "Specifically, let", + "type": "text" + }, + { + "bbox": [ + 169, + 347, + 176, + 354 + ], + "score": 0.7, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 344, + 410, + 356 + ], + "score": 1.0, + "content": "be the normalized embedding of the reference caption, and", + "type": "text" + }, + { + "bbox": [ + 410, + 347, + 419, + 355 + ], + "score": 0.72, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "the normalized SVM", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 356, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 234, + 368 + ], + "score": 1.0, + "content": "direction. By rotating between", + "type": "text" + }, + { + "bbox": [ + 235, + 358, + 241, + 366 + ], + "score": 0.7, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 356, + 285, + 368 + ], + "score": 1.0, + "content": "and either", + "type": "text" + }, + { + "bbox": [ + 285, + 357, + 294, + 366 + ], + "score": 0.73, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 356, + 307, + 368 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 307, + 357, + 324, + 366 + ], + "score": 0.84, + "content": "- w", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 356, + 505, + 368 + ], + "score": 1.0, + "content": "via spherical interpolation, we can generate", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 367, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 404, + 379 + ], + "score": 1.0, + "content": "harder or easier images, respectively. Here, we expect the degree of rotation", + "type": "text" + }, + { + "bbox": [ + 405, + 369, + 412, + 376 + ], + "score": 0.77, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 367, + 505, + 379 + ], + "score": 1.0, + "content": "to determine the extent", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 376, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 506, + 390 + ], + "score": 1.0, + "content": "of difficulty2. As shown in Section 4, passing this rotated embedding to the diffusion model indeed", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 388, + 408, + 400 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 408, + 400 + ], + "score": 1.0, + "content": "lets us directly generate images that encapsulate the extracted failure mode.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23 + }, + { + "type": "title", + "bbox": [ + 107, + 414, + 197, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 413, + 198, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 198, + 427 + ], + "score": 1.0, + "content": "2.3 INTERVENTION", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 108, + 435, + 505, + 468 + ], + "lines": [ + { + "bbox": [ + 106, + 435, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 505, + 447 + ], + "score": 1.0, + "content": "Now that we have identified some of the failure modes of the model, can we improve our model’s", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 446, + 505, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 505, + 458 + ], + "score": 1.0, + "content": "performance on the corresponding challenging subpopulations? It turns out that this is possible, via", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 457, + 278, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 278, + 469 + ], + "score": 1.0, + "content": "both real and synthetic data augmentation.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 474, + 505, + 529 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 504, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 504, + 486 + ], + "score": 1.0, + "content": "Filtering intervention. Given an external pool of examples that was not used to train the original", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 484, + 507, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 507, + 498 + ], + "score": 1.0, + "content": "model, we can select the best of these examples to improve performance on the hard subpopulations.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 496, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 257, + 508 + ], + "score": 1.0, + "content": "Specifically, if the goal is to add only", + "type": "text" + }, + { + "bbox": [ + 257, + 496, + 268, + 506 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 496, + 506, + 508 + ], + "score": 1.0, + "content": "examples per class to the training dataset (e.g., due to com-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 506, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 268, + 520 + ], + "score": 1.0, + "content": "putation constraints), we simply add the", + "type": "text" + }, + { + "bbox": [ + 268, + 507, + 279, + 517 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 506, + 505, + 520 + ], + "score": 1.0, + "content": "images with the most negative SVM decision values. In", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 518, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 506, + 530 + ], + "score": 1.0, + "content": "Appendix B.1.2, we discuss an alternative intervention scheme, upweighting hard training examples.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 534, + 505, + 601 + ], + "lines": [ + { + "bbox": [ + 106, + 534, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 505, + 547 + ], + "score": 1.0, + "content": "Synthetic data augmentation. In the absence of such an external pool of such data, we can leverage", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "score": 1.0, + "content": "our framework together with text-to-image diffusion models (e.g., Stable Diffusion (Rombach et al.,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "score": 1.0, + "content": "2022), DALL-E 2 (Ramesh et al., 2022), and Imagen (Saharia et al., 2022)) to generate synthetic", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 568, + 505, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 505, + 580 + ], + "score": 1.0, + "content": "images instead. After automatically captioning each failure mode, we simply input these captions", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "into the diffusion model to generate images from the corresponding subpopulation. In Section 4, we", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 590, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 590, + 506, + 602 + ], + "score": 1.0, + "content": "show that fine-tuning the model on such images improves model reliability on these subpopulations.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 37.5 + }, + { + "type": "title", + "bbox": [ + 106, + 618, + 443, + 645 + ], + "lines": [ + { + "bbox": [ + 106, + 617, + 445, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 445, + 632 + ], + "score": 1.0, + "content": "3 VALIDATING OUR FRAMEWORK IN THE PRESENCE OF KNOWN", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 125, + 633, + 220, + 645 + ], + "spans": [ + { + "bbox": [ + 125, + 633, + 220, + 645 + ], + "score": 1.0, + "content": "SUBPOPULATIONS", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41.5 + }, + { + "type": "text", + "bbox": [ + 107, + 657, + 505, + 701 + ], + "lines": [ + { + "bbox": [ + 105, + 657, + 506, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 506, + 670 + ], + "score": 1.0, + "content": "In Section 2, we presented an approach for distilling the failure modes as directions within a latent", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 668, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 505, + 680 + ], + "score": 1.0, + "content": "space. In this section, we validate our framework by evaluating its performance on datasets with", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 680, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 505, + 691 + ], + "score": 1.0, + "content": "known pathologies. In Section 4, we apply our framework to discover challenging subpopulations in", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 690, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 690, + 506, + 702 + ], + "score": 1.0, + "content": "datasets where the bias is not known beforehand. 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We can leverage the fact that the SVM is trained on a shared vi-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 121, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 505, + 134 + ], + "score": 1.0, + "content": "sion/language latent space (i.e., CLIP) to automatically assign captions to the captured failure", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 133, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 505, + 145 + ], + "score": 1.0, + "content": "mode. Just as above we surfaced the most aligned images, we can similarly surface the most aligned", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 465, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 465, + 156 + ], + "score": 1.0, + "content": "captions, i.e, captions whose normalized embedding best matches the extracted direction.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 110, + 507, + 156 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 216 + ], + "lines": [ + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 347, + 172 + ], + "score": 1.0, + "content": "Specifically, assume that each class has a reference caption", + "type": "text" + }, + { + "bbox": [ + 348, + 163, + 353, + 170 + ], + "score": 0.68, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 160, + 505, + 172 + ], + "score": 1.0, + "content": ", which is a generic phrase that could", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 171, + 506, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 184 + ], + "score": 1.0, + "content": "describe all examples of the class (e.g., “a photo of a person”). 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Some of the recently developed", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 294, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 505, + 307 + ], + "score": 1.0, + "content": "diffusion models (e.g., retrieval augmented diffusion models (Blattmann et al., 2022), DALL-E", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 304, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 505, + 318 + ], + "score": 1.0, + "content": "2 (Ramesh et al., 2022)) generate images directly from the shared vision/language (CLIP) space. In", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 316, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 505, + 329 + ], + "score": 1.0, + "content": "such cases, we can directly decode the extracted SVM direction into generated images. This enables", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 327, + 495, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 495, + 340 + ], + "score": 1.0, + "content": "us to visually capture the direction itself, without needing to generate a set of candidate captions.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 283, + 505, + 340 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 169, + 356 + ], + "score": 1.0, + "content": "Specifically, let", + "type": "text" + }, + { + "bbox": [ + 169, + 347, + 176, + 354 + ], + "score": 0.7, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 344, + 410, + 356 + ], + "score": 1.0, + "content": "be the normalized embedding of the reference caption, and", + "type": "text" + }, + { + "bbox": [ + 410, + 347, + 419, + 355 + ], + "score": 0.72, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "the normalized SVM", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 356, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 234, + 368 + ], + "score": 1.0, + "content": "direction. 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Here, we expect the degree of rotation", + "type": "text" + }, + { + "bbox": [ + 405, + 369, + 412, + 376 + ], + "score": 0.77, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 367, + 505, + 379 + ], + "score": 1.0, + "content": "to determine the extent", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 376, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 506, + 390 + ], + "score": 1.0, + "content": "of difficulty2. As shown in Section 4, passing this rotated embedding to the diffusion model indeed", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 388, + 408, + 400 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 408, + 400 + ], + "score": 1.0, + "content": "lets us directly generate images that encapsulate the extracted failure mode.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 344, + 506, + 400 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 414, + 197, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 413, + 198, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 198, + 427 + ], + "score": 1.0, + "content": "2.3 INTERVENTION", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 108, + 435, + 505, + 468 + ], + "lines": [ + { + "bbox": [ + 106, + 435, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 505, + 447 + ], + "score": 1.0, + "content": "Now that we have identified some of the failure modes of the model, can we improve our model’s", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 446, + 505, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 505, + 458 + ], + "score": 1.0, + "content": "performance on the corresponding challenging subpopulations? 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Given an external pool of examples that was not used to train the original", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 484, + 507, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 507, + 498 + ], + "score": 1.0, + "content": "model, we can select the best of these examples to improve performance on the hard subpopulations.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 496, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 257, + 508 + ], + "score": 1.0, + "content": "Specifically, if the goal is to add only", + "type": "text" + }, + { + "bbox": [ + 257, + 496, + 268, + 506 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 496, + 506, + 508 + ], + "score": 1.0, + "content": "examples per class to the training dataset (e.g., due to com-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 506, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 268, + 520 + ], + "score": 1.0, + "content": "putation constraints), we simply add the", + "type": "text" + }, + { + "bbox": [ + 268, + 507, + 279, + 517 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 506, + 505, + 520 + ], + "score": 1.0, + "content": "images with the most negative SVM decision values. In", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 518, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 506, + 530 + ], + "score": 1.0, + "content": "Appendix B.1.2, we discuss an alternative intervention scheme, upweighting hard training examples.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 474, + 507, + 530 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 534, + 505, + 601 + ], + "lines": [ + { + "bbox": [ + 106, + 534, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 505, + 547 + ], + "score": 1.0, + "content": "Synthetic data augmentation. In the absence of such an external pool of such data, we can leverage", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "score": 1.0, + "content": "our framework together with text-to-image diffusion models (e.g., Stable Diffusion (Rombach et al.,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "score": 1.0, + "content": "2022), DALL-E 2 (Ramesh et al., 2022), and Imagen (Saharia et al., 2022)) to generate synthetic", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 568, + 505, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 505, + 580 + ], + "score": 1.0, + "content": "images instead. After automatically captioning each failure mode, we simply input these captions", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "into the diffusion model to generate images from the corresponding subpopulation. 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We compare using the SVM’s deci-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 219, + 300, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 300, + 231 + ], + "score": 1.0, + "content": "sion value and the model’s confidences to select", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 230, + 299, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 299, + 243 + ], + "score": 1.0, + "content": "the top K images; the SVM more consistently", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 241, + 258, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 258, + 254 + ], + "score": 1.0, + "content": "identifies the minority subpopulation.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15 + } + ], + "index": 8.75 + }, + { + "type": "image", + "bbox": [ + 326, + 83, + 484, + 165 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 326, + 83, + 484, + 165 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 326, + 83, + 484, + 165 + ], + "spans": [ + { + "bbox": [ + 326, + 83, + 484, + 165 + ], + "score": 0.967, + "type": "image", + "image_path": "5e3fe77c335b7d9474c1c6063ad1ad8f61c591409d55dd2aaaef019afedaa5b5.jpg" + } + ] + } + ], + "index": 8.5, + "virtual_lines": [ + { + "bbox": [ + 326, + 83, + 484, + 96.66666666666667 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 326, + 96.66666666666667, + 484, + 110.33333333333334 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 326, + 110.33333333333334, + 484, + 124.00000000000001 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 326, + 124.00000000000001, + 484, + 137.66666666666669 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 326, + 137.66666666666669, + 484, + 151.33333333333334 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 326, + 151.33333333333334, + 484, + 165.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 310, + 176, + 503, + 253 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 309, + 176, + 502, + 188 + ], + "spans": [ + { + "bbox": [ + 309, + 176, + 502, + 188 + ], + "score": 1.0, + "content": "Figure 6: For CIFAR-100, the accuracy on the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 309, + 185, + 503, + 200 + ], + "spans": [ + { + "bbox": [ + 309, + 185, + 503, + 200 + ], + "score": 1.0, + "content": "minority subclasses after adding K images per", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 309, + 198, + 502, + 210 + ], + "spans": [ + { + "bbox": [ + 309, + 198, + 502, + 210 + ], + "score": 1.0, + "content": "superclass from the extra data (reported over five", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 309, + 209, + 502, + 220 + ], + "spans": [ + { + "bbox": [ + 309, + 209, + 502, + 220 + ], + "score": 1.0, + "content": "runs.) We compare using the SVM’s decision", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 309, + 219, + 504, + 232 + ], + "spans": [ + { + "bbox": [ + 309, + 219, + 504, + 232 + ], + "score": 1.0, + "content": "value or the model’s confidences to select images.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 309, + 231, + 503, + 243 + ], + "spans": [ + { + "bbox": [ + 309, + 231, + 503, + 243 + ], + "score": 1.0, + "content": "Relying on the SVM’s values provides the most", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 309, + 242, + 476, + 254 + ], + "spans": [ + { + "bbox": [ + 309, + 242, + 476, + 254 + ], + "score": 1.0, + "content": "improvement on the minority subclasses.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22 + } + ], + "index": 15.25 + }, + { + "type": "text", + "bbox": [ + 107, + 264, + 505, + 308 + ], + "lines": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "Quantifying the strength of the shift. As mentioned in Section 2, the cross-validation scores of", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 275, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 505, + 287 + ], + "score": 1.0, + "content": "the SVM quantify the strength of the spurious correlation. In Figure 4, we train base models on", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 286, + 505, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 505, + 298 + ], + "score": 1.0, + "content": "versions of CelebA with increasing degrees of the planted spurious correlation, and find that the SVM", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 297, + 421, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 421, + 308 + ], + "score": 1.0, + "content": "cross-validation scores strongly correlate with the strength of the planted shift.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5 + }, + { + "type": "title", + "bbox": [ + 107, + 321, + 334, + 333 + ], + "lines": [ + { + "bbox": [ + 106, + 321, + 335, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 321, + 335, + 334 + ], + "score": 1.0, + "content": "3.2 IDENTIFYING UNDERREPRESENTED SUB-TYPES", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 342, + 505, + 375 + ], + "lines": [ + { + "bbox": [ + 105, + 342, + 505, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 355 + ], + "score": 1.0, + "content": "Above, we considered a setting where the model predicts incorrectly because it relies on a spurious", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "score": 1.0, + "content": "feature (gender). What if a model struggles on a subpopulation not due to a spurious feature, but", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 364, + 374, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 374, + 377 + ], + "score": 1.0, + "content": "simply because there are not enough examples of that image type?", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 380, + 505, + 458 + ], + "lines": [ + { + "bbox": [ + 106, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 505, + 393 + ], + "score": 1.0, + "content": "To evaluate our approach in this setting, consider the task of predicting the superclass of a hierarchical", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 390, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 405 + ], + "score": 1.0, + "content": "dataset when subclasses have been underrepresented. In particular, the CIFAR-100 (Krizhevsky,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 402, + 507, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 507, + 416 + ], + "score": 1.0, + "content": "2009) dataset contains twenty superclasses, each of which contains five equally represented subclasses.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 412, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 428 + ], + "score": 1.0, + "content": "For each such superclass, we subsample one subclass so that it is underrepresented in the training", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "data. For instance, for the superclass “aquatic mammals”, we remove a large fraction of the subclass", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "beavers from the training dataset. In Figure 5, we find that our framework correctly isolates the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 447, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 506, + 459 + ], + "score": 1.0, + "content": "minority subclass as the most incorrect for each superclass more consistently than does confidences.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 507 + ], + "lines": [ + { + "bbox": [ + 105, + 464, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 505, + 477 + ], + "score": 1.0, + "content": "Validating automatic captioning. For each superclass, we construct a caption set that corresponds", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 475, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 505, + 487 + ], + "score": 1.0, + "content": "to the possible subclasses (e.g., for the superclass “aquatic mammals,” the caption set is “a photo of a", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "beaver”, “a photo of a dolphin”, etc.). As we find, the caption corresponding to the minority subclass", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 496, + 507, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 232, + 509 + ], + "score": 1.0, + "content": "was the top negative caption for", + "type": "text" + }, + { + "bbox": [ + 233, + 497, + 252, + 507 + ], + "score": 0.86, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 496, + 408, + 509 + ], + "score": 1.0, + "content": "of the superclasses, and in the top 2 for", + "type": "text" + }, + { + "bbox": [ + 408, + 497, + 428, + 507 + ], + "score": 0.86, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 496, + 507, + 509 + ], + "score": 1.0, + "content": "of the superclasses.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42.5 + }, + { + "type": "text", + "bbox": [ + 107, + 513, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 106, + 514, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 506, + 526 + ], + "score": 1.0, + "content": "Filtering intervention. Having isolated hard subpopulations, we now apply our framework down-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 525, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 537 + ], + "score": 1.0, + "content": "stream to improve performance on them. We use the trained SVMs to choose a subset of images from", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 535, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 548 + ], + "score": 1.0, + "content": "a larger pool of data to add to the training set. In Figure 6, we find that using our framework to select", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 546, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 505, + 560 + ], + "score": 1.0, + "content": "this extra data improves accuracy on the minority subclasses more than what using model confidences", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 557, + 493, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 493, + 571 + ], + "score": 1.0, + "content": "or choosing a random subset offers, while maintaining approximately the same overall accuracy.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47 + }, + { + "type": "title", + "bbox": [ + 108, + 584, + 430, + 597 + ], + "lines": [ + { + "bbox": [ + 105, + 583, + 432, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 432, + 599 + ], + "score": 1.0, + "content": "4 DISCOVERING NEW SUBPOPULATIONS IN IMAGE DATASETS", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 50 + }, + { + "type": "text", + "bbox": [ + 107, + 609, + 506, + 676 + ], + "lines": [ + { + "bbox": [ + 106, + 609, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 505, + 622 + ], + "score": 1.0, + "content": "Above, we considered datasets with pathologies, such as spurious correlations or underrepresented", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 620, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 620, + 506, + 633 + ], + "score": 1.0, + "content": "subtypes, that were known. In this section, we apply our framework to datasets without any pre-", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 631, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 505, + 644 + ], + "score": 1.0, + "content": "annotated difficult subpopulations. Our approach discovers new subpopulations representing key", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "score": 1.0, + "content": "failure modes for the models. Specifically, we apply our framework to CIFAR-10 (Krizhevsky, 2009)", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 106, + 653, + 506, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 653, + 506, + 666 + ], + "score": 1.0, + "content": "and ImageNet (Deng et al., 2009), and defer ChestX-ray14 (Rajpurkar et al., 2017) to Appendix C.3.", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 664, + 308, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 308, + 676 + ], + "score": 1.0, + "content": "Experimental details can be found in Appendix C.", + "type": "text" + } + ], + "index": 56 + } + ], + "index": 53.5 + }, + { + "type": "title", + "bbox": [ + 107, + 689, + 177, + 700 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 179, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 179, + 702 + ], + "score": 1.0, + "content": "4.1 CIFAR-10", + "type": "text" + } + ], + "index": 57 + } + ], + "index": 57 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "We begin with the CIFAR-10 (Krizhevsky, 2009) dataset. Since the accuracy of a ResNet18 on", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 204, + 733 + ], + "score": 1.0, + "content": "CIFAR-10 is very high", + "type": "text" + }, + { + "bbox": [ + 205, + 721, + 230, + 732 + ], + "score": 0.84, + "content": "( 9 3 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 720, + 505, + 733 + ], + "score": 1.0, + "content": ", the original model does not make many errors. 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We compare using the SVM’s deci-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 219, + 300, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 300, + 231 + ], + "score": 1.0, + "content": "sion value and the model’s confidences to select", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 230, + 299, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 299, + 243 + ], + "score": 1.0, + "content": "the top K images; the SVM more consistently", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 241, + 258, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 258, + 254 + ], + "score": 1.0, + "content": "identifies the minority subpopulation.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15 + } + ], + "index": 8.75 + }, + { + "type": "image", + "bbox": [ + 326, + 83, + 484, + 165 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 326, + 83, + 484, + 165 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 326, + 83, + 484, + 165 + ], + "spans": [ + { + "bbox": [ + 326, + 83, + 484, + 165 + ], + "score": 0.967, + "type": "image", + "image_path": "5e3fe77c335b7d9474c1c6063ad1ad8f61c591409d55dd2aaaef019afedaa5b5.jpg" + } + ] + } + ], + "index": 8.5, + "virtual_lines": [ + { + "bbox": [ + 326, + 83, + 484, + 96.66666666666667 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 326, + 96.66666666666667, + 484, + 110.33333333333334 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 326, + 110.33333333333334, + 484, + 124.00000000000001 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 326, + 124.00000000000001, + 484, + 137.66666666666669 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 326, + 137.66666666666669, + 484, + 151.33333333333334 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 326, + 151.33333333333334, + 484, + 165.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 310, + 176, + 503, + 253 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 309, + 176, + 502, + 188 + ], + "spans": [ + { + "bbox": [ + 309, + 176, + 502, + 188 + ], + "score": 1.0, + "content": "Figure 6: For CIFAR-100, the accuracy on the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 309, + 185, + 503, + 200 + ], + "spans": [ + { + "bbox": [ + 309, + 185, + 503, + 200 + ], + "score": 1.0, + "content": "minority subclasses after adding K images per", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 309, + 198, + 502, + 210 + ], + "spans": [ + { + "bbox": [ + 309, + 198, + 502, + 210 + ], + "score": 1.0, + "content": "superclass from the extra data (reported over five", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 309, + 209, + 502, + 220 + ], + "spans": [ + { + "bbox": [ + 309, + 209, + 502, + 220 + ], + "score": 1.0, + "content": "runs.) We compare using the SVM’s decision", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 309, + 219, + 504, + 232 + ], + "spans": [ + { + "bbox": [ + 309, + 219, + 504, + 232 + ], + "score": 1.0, + "content": "value or the model’s confidences to select images.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 309, + 231, + 503, + 243 + ], + "spans": [ + { + "bbox": [ + 309, + 231, + 503, + 243 + ], + "score": 1.0, + "content": "Relying on the SVM’s values provides the most", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 309, + 242, + 476, + 254 + ], + "spans": [ + { + "bbox": [ + 309, + 242, + 476, + 254 + ], + "score": 1.0, + "content": "improvement on the minority subclasses.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22 + } + ], + "index": 15.25 + }, + { + "type": "text", + "bbox": [ + 107, + 264, + 505, + 308 + ], + "lines": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "Quantifying the strength of the shift. As mentioned in Section 2, the cross-validation scores of", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 275, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 505, + 287 + ], + "score": 1.0, + "content": "the SVM quantify the strength of the spurious correlation. In Figure 4, we train base models on", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 286, + 505, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 505, + 298 + ], + "score": 1.0, + "content": "versions of CelebA with increasing degrees of the planted spurious correlation, and find that the SVM", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 297, + 421, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 421, + 308 + ], + "score": 1.0, + "content": "cross-validation scores strongly correlate with the strength of the planted shift.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 263, + 506, + 308 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 321, + 334, + 333 + ], + "lines": [ + { + "bbox": [ + 106, + 321, + 335, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 321, + 335, + 334 + ], + "score": 1.0, + "content": "3.2 IDENTIFYING UNDERREPRESENTED SUB-TYPES", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 342, + 505, + 375 + ], + "lines": [ + { + "bbox": [ + 105, + 342, + 505, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 355 + ], + "score": 1.0, + "content": "Above, we considered a setting where the model predicts incorrectly because it relies on a spurious", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "score": 1.0, + "content": "feature (gender). What if a model struggles on a subpopulation not due to a spurious feature, but", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 364, + 374, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 374, + 377 + ], + "score": 1.0, + "content": "simply because there are not enough examples of that image type?", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 342, + 505, + 377 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 380, + 505, + 458 + ], + "lines": [ + { + "bbox": [ + 106, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 505, + 393 + ], + "score": 1.0, + "content": "To evaluate our approach in this setting, consider the task of predicting the superclass of a hierarchical", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 390, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 405 + ], + "score": 1.0, + "content": "dataset when subclasses have been underrepresented. In particular, the CIFAR-100 (Krizhevsky,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 402, + 507, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 507, + 416 + ], + "score": 1.0, + "content": "2009) dataset contains twenty superclasses, each of which contains five equally represented subclasses.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 412, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 428 + ], + "score": 1.0, + "content": "For each such superclass, we subsample one subclass so that it is underrepresented in the training", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "data. For instance, for the superclass “aquatic mammals”, we remove a large fraction of the subclass", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "beavers from the training dataset. In Figure 5, we find that our framework correctly isolates the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 447, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 506, + 459 + ], + "score": 1.0, + "content": "minority subclass as the most incorrect for each superclass more consistently than does confidences.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 380, + 507, + 459 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 507 + ], + "lines": [ + { + "bbox": [ + 105, + 464, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 505, + 477 + ], + "score": 1.0, + "content": "Validating automatic captioning. For each superclass, we construct a caption set that corresponds", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 475, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 505, + 487 + ], + "score": 1.0, + "content": "to the possible subclasses (e.g., for the superclass “aquatic mammals,” the caption set is “a photo of a", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "beaver”, “a photo of a dolphin”, etc.). As we find, the caption corresponding to the minority subclass", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 496, + 507, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 232, + 509 + ], + "score": 1.0, + "content": "was the top negative caption for", + "type": "text" + }, + { + "bbox": [ + 233, + 497, + 252, + 507 + ], + "score": 0.86, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 496, + 408, + 509 + ], + "score": 1.0, + "content": "of the superclasses, and in the top 2 for", + "type": "text" + }, + { + "bbox": [ + 408, + 497, + 428, + 507 + ], + "score": 0.86, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 496, + 507, + 509 + ], + "score": 1.0, + "content": "of the superclasses.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 464, + 507, + 509 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 513, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 106, + 514, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 506, + 526 + ], + "score": 1.0, + "content": "Filtering intervention. Having isolated hard subpopulations, we now apply our framework down-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 525, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 537 + ], + "score": 1.0, + "content": "stream to improve performance on them. We use the trained SVMs to choose a subset of images from", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 535, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 548 + ], + "score": 1.0, + "content": "a larger pool of data to add to the training set. In Figure 6, we find that using our framework to select", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 546, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 505, + 560 + ], + "score": 1.0, + "content": "this extra data improves accuracy on the minority subclasses more than what using model confidences", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 557, + 493, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 493, + 571 + ], + "score": 1.0, + "content": "or choosing a random subset offers, while maintaining approximately the same overall accuracy.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 514, + 506, + 571 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 584, + 430, + 597 + ], + "lines": [ + { + "bbox": [ + 105, + 583, + 432, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 432, + 599 + ], + "score": 1.0, + "content": "4 DISCOVERING NEW SUBPOPULATIONS IN IMAGE DATASETS", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 50 + }, + { + "type": "text", + "bbox": [ + 107, + 609, + 506, + 676 + ], + "lines": [ + { + "bbox": [ + 106, + 609, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 505, + 622 + ], + "score": 1.0, + "content": "Above, we considered datasets with pathologies, such as spurious correlations or underrepresented", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 620, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 620, + 506, + 633 + ], + "score": 1.0, + "content": "subtypes, that were known. In this section, we apply our framework to datasets without any pre-", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 631, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 505, + 644 + ], + "score": 1.0, + "content": "annotated difficult subpopulations. Our approach discovers new subpopulations representing key", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "score": 1.0, + "content": "failure modes for the models. Specifically, we apply our framework to CIFAR-10 (Krizhevsky, 2009)", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 106, + 653, + 506, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 653, + 506, + 666 + ], + "score": 1.0, + "content": "and ImageNet (Deng et al., 2009), and defer ChestX-ray14 (Rajpurkar et al., 2017) to Appendix C.3.", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 664, + 308, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 308, + 676 + ], + "score": 1.0, + "content": "Experimental details can be found in Appendix C.", + "type": "text" + } + ], + "index": 56 + } + ], + "index": 53.5, + "bbox_fs": [ + 105, + 609, + 506, + 676 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 689, + 177, + 700 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 179, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 179, + 702 + ], + "score": 1.0, + "content": "4.1 CIFAR-10", + "type": "text" + } + ], + "index": 57 + } + ], + "index": 57 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "We begin with the CIFAR-10 (Krizhevsky, 2009) dataset. 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Figure 7a displays exam-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "ples of the failure modes identified by our framework. We identify white cats on grass and black dogs", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 535, + 438, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 438, + 550 + ], + "score": 1.0, + "content": "as hard, while classifying brown cats and white/brown dogs that are inside as easy.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 514, + 506, + 550 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 553, + 505, + 620 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 505, + 565 + ], + "score": 1.0, + "content": "Do these directions in latent space map to real failure modes of the base model? 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We measure the accuracy of the K test images closest to", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 210, + 506, + 224 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 224 + ], + "score": 1.0, + "content": "the (a) hard or (b) easy SVM caption in CLIP space. Fine-tuning the model on the images generated", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 221, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 506, + 236 + ], + "score": 1.0, + "content": "from the hard captions boosts the accuracy of the model on these corresponding, real test images", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 233, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 506, + 246 + ], + "score": 1.0, + "content": "more than augmenting with generic synthetic images does. The analogous phenomenon does not", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 243, + 327, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 327, + 257 + ], + "score": 1.0, + "content": "hold, however, when we target the easy subpopulation.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 268, + 505, + 345 + ], + "lines": [ + { + "bbox": [ + 105, + 267, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 505, + 281 + ], + "score": 1.0, + "content": "Targeted synthetic data augmentation. By leveraging text-to-image generative models, we can", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 279, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 291 + ], + "score": 1.0, + "content": "generate images for targeted data augmentation. Using a off-the-shelf stable diffusion (Rombach et al.,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 288, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 506, + 304 + ], + "score": 1.0, + "content": "2022) model, we generate 100 images per class using the corresponding negative SVM caption (e.g.,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 301, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 313 + ], + "score": 1.0, + "content": "“a photo of a white cat on the grass”) as the prompt. After adding these images to the training set, we", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "retrain the last layer of the original model. Fine-tuning the model on these synthetic images improves", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "accuracy on the hard subpopulation — defined according to similarity in CLIP space to the negative", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 334, + 488, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 488, + 346 + ], + "score": 1.0, + "content": "caption — compared to using generic images generated from the reference caption (Figure 9a).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 351, + 505, + 395 + ], + "lines": [ + { + "bbox": [ + 105, + 351, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 362 + ], + "score": 1.0, + "content": "It turns out that this procedure for targeted synthetic data augmentation is particularly effective for", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "the identified challenging subpopulation. Generating images using the easy caption (e.g., “a photo", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 373, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 386 + ], + "score": 1.0, + "content": "of a cat inside”) does not improve accuracy on images within that subpopulation any more than", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 384, + 327, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 327, + 396 + ], + "score": 1.0, + "content": "augmenting with generic synthetic images (Figure 9b).", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + }, + { + "type": "text", + "bbox": [ + 107, + 400, + 505, + 466 + ], + "lines": [ + { + "bbox": [ + 105, + 399, + 506, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 412 + ], + "score": 1.0, + "content": "It is also possible to augment the dataset with images generated directly from the SVM direction,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "score": 1.0, + "content": "as in Figure 8a, using a diffusion model that samples directly from CLIP space. In doing so, we", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 421, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 435 + ], + "score": 1.0, + "content": "could skip the intermediate captioning stage entirely. Currently, the diffusion models that operate in", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 433, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 506, + 446 + ], + "score": 1.0, + "content": "CLIP space are either not open-source (DALL-E 2 (Ramesh et al., 2022)) or trained with less data", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 443, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 457 + ], + "score": 1.0, + "content": "(Blattmann et al., 2022). However, with further progress in CLIP-space diffusion models, this may be", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 455, + 465, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 465, + 468 + ], + "score": 1.0, + "content": "a promising mechanism for tailoring data augmentation directly from the SVM direction.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33.5 + }, + { + "type": "title", + "bbox": [ + 107, + 480, + 178, + 492 + ], + "lines": [ + { + "bbox": [ + 106, + 480, + 180, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 180, + 493 + ], + "score": 1.0, + "content": "4.2 IMAGENET", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 505, + 557 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 506, + 515 + ], + "score": 1.0, + "content": "We also apply our framework on a larger scale: to find challenging subpopulations in ImageNet (Deng", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 512, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 512, + 505, + 525 + ], + "score": 1.0, + "content": "et al., 2009) (see Appendix C.2 for further experimental details). In Figure 10a, we display examples", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "of the failure modes captured by our framework with their associated SVM captions. These biases", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 532, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 506, + 549 + ], + "score": 1.0, + "content": "include over-reliance on color (e.g., the coat of a red wolf) or sensitivity to co-occurring objects (e.g", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 545, + 489, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 489, + 558 + ], + "score": 1.0, + "content": "the presence of a person holding the fish tench). We include more examples in Appendix C.2.1.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 108, + 562, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "score": 1.0, + "content": "As in Section 4.1, we validate that these directions correspond to real failure modes by evaluating the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "accuracy of the test images that are closest to the positive or negative SVM caption in CLIP space", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 583, + 507, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 507, + 598 + ], + "score": 1.0, + "content": "(Figure 10b). The identified subpopulations indeed have a significant difference in overall accuracy.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44 + }, + { + "type": "title", + "bbox": [ + 108, + 612, + 211, + 625 + ], + "lines": [ + { + "bbox": [ + 104, + 611, + 213, + 626 + ], + "spans": [ + { + "bbox": [ + 104, + 611, + 213, + 626 + ], + "score": 1.0, + "content": "5 RELATED WORK", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 637, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "score": 1.0, + "content": "Debiasing/fairness under known biases. There are many works on optimizing group fairness with", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 648, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 660 + ], + "score": 1.0, + "content": "respect to known biases (Feldman et al., 2015; Kamishima et al., 2011; Hardt et al., 2016; Zafar et al.,", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "score": 1.0, + "content": "2017; Kusner et al., 2017; Balashankar et al., 2019); see also (Mehrabi et al., 2021; Hashimoto et al.,", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 669, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 505, + 683 + ], + "score": 1.0, + "content": "2018) and the references therein. Outside the fairness literature, de-biasing approaches in machine", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 682, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 505, + 693 + ], + "score": 1.0, + "content": "learning have been proposed for mitigating the effect of known biases during training (Sagawa et al.,", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 692, + 433, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 692, + 433, + 705 + ], + "score": 1.0, + "content": "2020; Yang et al., 2019; He et al., 2019; Belinkov et al., 2019; Clark et al., 2019).", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 49.5 + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "Discovery and mitigation of hard subpopulations. One line of work uses manual exploration to", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 719, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 506, + 733 + ], + "score": 1.0, + "content": "identify pathologies, such as label ambiguity, in ImageNet (Stock & Cisse, 2018; Vasudevan et al.,", + "type": "text" + } + ], + "index": 54 + } + ], + "index": 53.5 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 300, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 300, + 750, + 309, + 761 + ], + "score": 1.0, + "content": "8", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 117, + 81, + 290, + 163 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 117, + 81, + 290, + 163 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 117, + 81, + 290, + 163 + ], + "spans": [ + { + "bbox": [ + 117, + 81, + 290, + 163 + ], + "score": 0.869, + "type": "image", + "image_path": "074803d1e837740d9ab89559c55dcd530a5e5607166a2326ebfb22f16997bd81.jpg" + } + ] + } + ], + "index": 2.5, + "virtual_lines": [ + { + "bbox": [ + 117, + 81, + 290, + 94.66666666666667 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 117, + 94.66666666666667, + 290, + 108.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 117, + 108.33333333333334, + 290, + 122.00000000000001 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 117, + 122.00000000000001, + 290, + 135.66666666666669 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 117, + 135.66666666666669, + 290, + 149.33333333333334 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 117, + 149.33333333333334, + 290, + 163.0 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 169, + 303, + 180 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 168, + 303, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 303, + 181 + ], + "score": 1.0, + "content": "(a) Evaluating images closest to the hard subpopulation", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + } + ], + "index": 7.25 + }, + { + "type": "image", + "bbox": [ + 319, + 82, + 492, + 163 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 319, + 82, + 492, + 163 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 319, + 82, + 492, + 163 + ], + "spans": [ + { + "bbox": [ + 319, + 82, + 492, + 163 + ], + "score": 0.878, + "type": "image", + "image_path": "f4a573f7aeefb6d95cd0ae19fdbe65c32c00c34e195027ae0053d50bd94dc789.jpg" + } + ] + } + ], + "index": 8.5, + "virtual_lines": [ + { + "bbox": [ + 319, + 82, + 492, + 95.5 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 319, + 95.5, + 492, + 109.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 319, + 109.0, + 492, + 122.5 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 319, + 122.5, + 492, + 136.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 319, + 136.0, + 492, + 149.5 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 319, + 149.5, + 492, + 163.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 309, + 170, + 504, + 180 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 307, + 168, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 307, + 168, + 505, + 182 + ], + "score": 1.0, + "content": "(b) Evaluating images closest to the easy subpopulation", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "image_caption", + "bbox": [ + 106, + 189, + 505, + 255 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 189, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 506, + 203 + ], + "score": 1.0, + "content": "Figure 9: We fine-tune the model using 100 synthetic images per class generated via stable diffusion", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 200, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 506, + 213 + ], + "score": 1.0, + "content": "based on the hard, easy, or reference caption. We measure the accuracy of the K test images closest to", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 210, + 506, + 224 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 224 + ], + "score": 1.0, + "content": "the (a) hard or (b) easy SVM caption in CLIP space. Fine-tuning the model on the images generated", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 221, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 506, + 236 + ], + "score": 1.0, + "content": "from the hard captions boosts the accuracy of the model on these corresponding, real test images", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 233, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 506, + 246 + ], + "score": 1.0, + "content": "more than augmenting with generic synthetic images does. The analogous phenomenon does not", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 243, + 327, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 327, + 257 + ], + "score": 1.0, + "content": "hold, however, when we target the easy subpopulation.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 268, + 505, + 345 + ], + "lines": [ + { + "bbox": [ + 105, + 267, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 505, + 281 + ], + "score": 1.0, + "content": "Targeted synthetic data augmentation. By leveraging text-to-image generative models, we can", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 279, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 291 + ], + "score": 1.0, + "content": "generate images for targeted data augmentation. Using a off-the-shelf stable diffusion (Rombach et al.,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 288, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 506, + 304 + ], + "score": 1.0, + "content": "2022) model, we generate 100 images per class using the corresponding negative SVM caption (e.g.,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 301, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 313 + ], + "score": 1.0, + "content": "“a photo of a white cat on the grass”) as the prompt. After adding these images to the training set, we", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "retrain the last layer of the original model. Fine-tuning the model on these synthetic images improves", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "accuracy on the hard subpopulation — defined according to similarity in CLIP space to the negative", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 334, + 488, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 488, + 346 + ], + "score": 1.0, + "content": "caption — compared to using generic images generated from the reference caption (Figure 9a).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 267, + 506, + 346 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 351, + 505, + 395 + ], + "lines": [ + { + "bbox": [ + 105, + 351, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 362 + ], + "score": 1.0, + "content": "It turns out that this procedure for targeted synthetic data augmentation is particularly effective for", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "the identified challenging subpopulation. Generating images using the easy caption (e.g., “a photo", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 373, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 386 + ], + "score": 1.0, + "content": "of a cat inside”) does not improve accuracy on images within that subpopulation any more than", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 384, + 327, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 327, + 396 + ], + "score": 1.0, + "content": "augmenting with generic synthetic images (Figure 9b).", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 351, + 505, + 396 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 400, + 505, + 466 + ], + "lines": [ + { + "bbox": [ + 105, + 399, + 506, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 412 + ], + "score": 1.0, + "content": "It is also possible to augment the dataset with images generated directly from the SVM direction,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "score": 1.0, + "content": "as in Figure 8a, using a diffusion model that samples directly from CLIP space. In doing so, we", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 421, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 435 + ], + "score": 1.0, + "content": "could skip the intermediate captioning stage entirely. Currently, the diffusion models that operate in", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 433, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 506, + 446 + ], + "score": 1.0, + "content": "CLIP space are either not open-source (DALL-E 2 (Ramesh et al., 2022)) or trained with less data", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 443, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 457 + ], + "score": 1.0, + "content": "(Blattmann et al., 2022). However, with further progress in CLIP-space diffusion models, this may be", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 455, + 465, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 465, + 468 + ], + "score": 1.0, + "content": "a promising mechanism for tailoring data augmentation directly from the SVM direction.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 399, + 506, + 468 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 480, + 178, + 492 + ], + "lines": [ + { + "bbox": [ + 106, + 480, + 180, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 180, + 493 + ], + "score": 1.0, + "content": "4.2 IMAGENET", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 505, + 557 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 506, + 515 + ], + "score": 1.0, + "content": "We also apply our framework on a larger scale: to find challenging subpopulations in ImageNet (Deng", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 512, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 512, + 505, + 525 + ], + "score": 1.0, + "content": "et al., 2009) (see Appendix C.2 for further experimental details). In Figure 10a, we display examples", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "of the failure modes captured by our framework with their associated SVM captions. These biases", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 532, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 506, + 549 + ], + "score": 1.0, + "content": "include over-reliance on color (e.g., the coat of a red wolf) or sensitivity to co-occurring objects (e.g", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 545, + 489, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 489, + 558 + ], + "score": 1.0, + "content": "the presence of a person holding the fish tench). We include more examples in Appendix C.2.1.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 500, + 506, + 558 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 562, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "score": 1.0, + "content": "As in Section 4.1, we validate that these directions correspond to real failure modes by evaluating the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "accuracy of the test images that are closest to the positive or negative SVM caption in CLIP space", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 583, + 507, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 507, + 598 + ], + "score": 1.0, + "content": "(Figure 10b). The identified subpopulations indeed have a significant difference in overall accuracy.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44, + "bbox_fs": [ + 105, + 561, + 507, + 598 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 612, + 211, + 625 + ], + "lines": [ + { + "bbox": [ + 104, + 611, + 213, + 626 + ], + "spans": [ + { + "bbox": [ + 104, + 611, + 213, + 626 + ], + "score": 1.0, + "content": "5 RELATED WORK", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 637, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "score": 1.0, + "content": "Debiasing/fairness under known biases. There are many works on optimizing group fairness with", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 648, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 660 + ], + "score": 1.0, + "content": "respect to known biases (Feldman et al., 2015; Kamishima et al., 2011; Hardt et al., 2016; Zafar et al.,", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "score": 1.0, + "content": "2017; Kusner et al., 2017; Balashankar et al., 2019); see also (Mehrabi et al., 2021; Hashimoto et al.,", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 669, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 505, + 683 + ], + "score": 1.0, + "content": "2018) and the references therein. Outside the fairness literature, de-biasing approaches in machine", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 682, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 505, + 693 + ], + "score": 1.0, + "content": "learning have been proposed for mitigating the effect of known biases during training (Sagawa et al.,", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 692, + 433, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 692, + 433, + 705 + ], + "score": 1.0, + "content": "2020; Yang et al., 2019; He et al., 2019; Belinkov et al., 2019; Clark et al., 2019).", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 49.5, + "bbox_fs": [ + 105, + 637, + 506, + 705 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "Discovery and mitigation of hard subpopulations. One line of work uses manual exploration to", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 719, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 506, + 733 + ], + "score": 1.0, + "content": "identify pathologies, such as label ambiguity, in ImageNet (Stock & Cisse, 2018; Vasudevan et al.,", + "type": "text" + } + ], + "index": 54 + } + ], + "index": 53.5, + "bbox_fs": [ + 105, + 709, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 111, + 84, + 362, + 189 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 111, + 84, + 362, + 189 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 111, + 84, + 362, + 189 + ], + "spans": [ + { + "bbox": [ + 111, + 84, + 362, + 189 + ], + "score": 0.738, + "type": "image", + "image_path": "3b016dedd4c9b726c17c6dc4e1d8a20e99f04c3c70dd489edabe2a3917c1c879.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 111, + 84, + 362, + 119.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 111, + 119.0, + 362, + 154.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 111, + 154.0, + 362, + 189.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 141, + 193, + 336, + 204 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 138, + 191, + 338, + 206 + ], + "spans": [ + { + "bbox": [ + 138, + 191, + 338, + 206 + ], + "score": 1.0, + "content": "(a) Most extreme images and extracted SVM captions.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "image", + "bbox": [ + 385, + 88, + 501, + 177 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 385, + 88, + 501, + 177 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 385, + 88, + 501, + 177 + ], + "spans": [ + { + "bbox": [ + 385, + 88, + 501, + 177 + ], + "score": 0.82, + "type": "image", + "image_path": "7b3cb796e7b6ddbdb8f70bad0e216bfe6a7690598126edb1dfc2c2eb7bdf0a54.jpg" + } + ] + } + ], + "index": 3.5, + "virtual_lines": [ + { + "bbox": [ + 385, + 88, + 501, + 132.5 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 385, + 132.5, + 501, + 177.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 384, + 183, + 504, + 204 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 383, + 183, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 383, + 183, + 505, + 194 + ], + "score": 1.0, + "content": "(b) Model accuracies on each", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 383, + 193, + 473, + 204 + ], + "spans": [ + { + "bbox": [ + 383, + 193, + 473, + 204 + ], + "score": 1.0, + "content": "identified subpopulation", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5 + }, + { + "type": "image_caption", + "bbox": [ + 106, + 213, + 505, + 268 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 214, + 505, + 226 + ], + "spans": [ + { + "bbox": [ + 106, + 214, + 505, + 226 + ], + "score": 1.0, + "content": "Figure 10: (a) The most extreme images and captions by SVM decision value for ImageNet classes", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 223, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 223, + 505, + 236 + ], + "score": 1.0, + "content": "tench and red wolf. Our framework identifies clear biases on color (e.g red wolf) and co-occurrence", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "of unrelated objects (e.g tench). (b) For each class, the accuracy of the top K images that were", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 245, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 505, + 259 + ], + "score": 1.0, + "content": "closest in CLIP space to the most positive/negative SVM captions for that class. The identified hard", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 257, + 488, + 269 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 488, + 269 + ], + "score": 1.0, + "content": "(negative) subpopulation has a lower accuracy than the identified easy (positive) subpopulation.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 107, + 281, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 105, + 280, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 293 + ], + "score": 1.0, + "content": "2022; Tsipras et al., 2020). Another presents automatic methods for discovering and intervening on", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "score": 1.0, + "content": "hard subpopulations. Sohoni et al. (2020) estimates subclass structure by clustering in the model’s", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "score": 1.0, + "content": "latent space, while Liu et al. (2021) directly upweights examples that the model misclassified early in", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 314, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 314, + 506, + 326 + ], + "score": 1.0, + "content": "training. Other works directly train a second model which “emphasizes” the examples on which a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 325, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 505, + 337 + ], + "score": 1.0, + "content": "base model struggles (Nam et al., 2020; Hashimoto et al., 2018; Bao & Barzilay, 2022; Kim et al.,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 335, + 504, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 504, + 347 + ], + "score": 1.0, + "content": "2019; Utama et al., 2020; Sanh et al., 2020). Unlike our framework, these methods focus on the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 347, + 505, + 359 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 505, + 359 + ], + "score": 1.0, + "content": "overall test accuracy, rather than finding a consistent failure mode. Perhaps the closest work in spirit", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 357, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 371 + ], + "score": 1.0, + "content": "to ours is Eyuboglu et al. (2022), which presents an automatic method for identifying challenging", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "score": 1.0, + "content": "subsets by fitting a Gaussian mixture model in CLIP space. However, our SVM provides a stronger", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 380, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 505, + 391 + ], + "score": 1.0, + "content": "inductive bias towards simple subclasses, and furthermore imposes a useful geometry on the latent", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 391, + 483, + 404 + ], + "spans": [ + { + "bbox": [ + 106, + 391, + 483, + 404 + ], + "score": 1.0, + "content": "space for scoring data points, intervening, and selecting captions in a more principled manner.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 407, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 106, + 407, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 407, + 505, + 420 + ], + "score": 1.0, + "content": "Model interpretability. Model interpretability methods seek to identify the relevant features for", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 418, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 506, + 430 + ], + "score": 1.0, + "content": "a model’s prediction. They include gradient- (Simonyan et al., 2013; Dabkowski & Gal, 2017;", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 428, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 443 + ], + "score": 1.0, + "content": "Sundararajan et al., 2017) and perturbation-based (Ribeiro et al., 2016a; Goyal et al., 2019; Fong", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 438, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 506, + 454 + ], + "score": 1.0, + "content": "& Vedaldi, 2017; Dabkowski & Gal, 2017; Zintgraf et al., 2017; Dhurandhar et al., 2018; Chang", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 451, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 505, + 463 + ], + "score": 1.0, + "content": "et al., 2019; Hendricks et al., 2018; Singla et al., 2021) methods. Other works analyze the model’s", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 463, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 505, + 474 + ], + "score": 1.0, + "content": "activations (Bau et al., 2017; Kim et al., 2018; Yeh et al., 2020; Wong et al., 2021). Li & Xu (2021)", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "use a generative model to find biased attributes that impact model predictions. Concurrent work by", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 483, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 497 + ], + "score": 1.0, + "content": "Abid et al. 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Let", + "type": "text" + }, + { + "bbox": [ + 250, + 257, + 434, + 269 + ], + "score": 0.85, + "content": "\\mathcal { H } = \\{ ( x , y ) \\in \\mathcal { D } _ { t r a i n } s . t . h ^ { y } ( \\mathrm { c l i p } ( x ) ) < 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 257, + 506, + 270 + ], + "score": 1.0, + "content": "denote the set of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 267, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 465, + 281 + ], + "score": 1.0, + "content": "training examples predicted to be hard. 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\\prime } = \\mathcal { D } _ { t r a i n } + \\mathcal { H } _ { e x t }", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 140, + 418, + 507, + 433 + ], + "spans": [ + { + "bbox": [ + 140, + 418, + 427, + 433 + ], + "score": 1.0, + "content": "Thus, we add to the training set the most useful new examples from", + "type": "text" + }, + { + "bbox": [ + 427, + 421, + 447, + 431 + ], + "score": 0.9, + "content": "\\mathcal { D } _ { e x t }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 418, + 507, + 433 + ], + "score": 1.0, + "content": ". (In practice,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 141, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 141, + 430, + 401, + 443 + ], + "score": 1.0, + "content": "we simulate this setting by dividing the original training set into", + "type": "text" + }, + { + "bbox": [ + 402, + 431, + 430, + 442 + ], + "score": 0.92, + "content": "\\mathcal { D } _ { t r a i n }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 430, + 448, + 443 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 448, + 431, + 469, + 442 + ], + "score": 0.92, + "content": "\\mathcal { D } _ { e x t }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 430, + 505, + 443 + ], + "score": 1.0, + "content": ", prior to", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 142, + 442, + 253, + 454 + ], + "spans": [ + { + "bbox": [ + 142, + 442, + 176, + 454 + ], + "score": 1.0, + "content": "training", + "type": "text" + }, + { + "bbox": [ + 176, + 442, + 192, + 453 + ], + "score": 0.9, + "content": "f _ { n n }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 442, + 253, + 454 + ], + "score": 1.0, + "content": "the first time.)", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 108, + 466, + 252, + 477 + ], + "lines": [ + { + "bbox": [ + 105, + 464, + 254, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 254, + 479 + ], + "score": 1.0, + "content": "A.3 MODEL TRAINING DETAILS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 108, + 486, + 505, + 520 + ], + "lines": [ + { + "bbox": [ + 105, + 486, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 506, + 500 + ], + "score": 1.0, + "content": "We train ResNet18 models and perform hyperparameter search using the held out validation set.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "score": 1.0, + "content": "Dataset specific experimental details can be found in Sections B and C. For all datasets except", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 509, + 420, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 420, + 521 + ], + "score": 1.0, + "content": "ChestX-ray14, we use standard softmax classification with cross-entropy loss.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 108, + 525, + 505, + 570 + ], + "lines": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "Our training uses SGD with momentum and weight decay. We further use a triangular cyclic learning", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 537, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 506, + 549 + ], + "score": 1.0, + "content": "rate, where the learning rate linearly increases for a pre-specified number of epochs (“peak epochs”)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 548, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 548, + 505, + 560 + ], + "score": 1.0, + "content": "until hitting the base learning rate (“peak LR”), and then linearly decays for the rest of the epochs", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 558, + 271, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 271, + 572 + ], + "score": 1.0, + "content": "until reaching zero at the end of training.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 106, + 575, + 504, + 598 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 588 + ], + "score": 1.0, + "content": "For ChestX-ray14, we predict for each condition a binary output with binary cross-entropy loss; the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 587, + 428, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 428, + 598 + ], + "score": 1.0, + "content": "threshold is then chosen to maximize the F1 score on the held out validation set.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 37.5 + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 503, + 626 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 616 + ], + "score": 1.0, + "content": "We train our models using NVIDIA V100 gpus. We use the FFCV framework (Leclerc et al., 2022)", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 613, + 220, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 220, + 628 + ], + "score": 1.0, + "content": "to further speed up training.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39.5 + }, + { + "type": "title", + "bbox": [ + 108, + 639, + 243, + 651 + ], + "lines": [ + { + "bbox": [ + 106, + 638, + 244, + 652 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 244, + 652 + ], + "score": 1.0, + "content": "A.4 SVM TRAINING DETAILS", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 659, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 106, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "We use the pre-trained CLIP (Radford et al., 2021) model, equivalent to a ViT-B/32. 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Let", + "type": "text" + }, + { + "bbox": [ + 250, + 257, + 434, + 269 + ], + "score": 0.85, + "content": "\\mathcal { H } = \\{ ( x , y ) \\in \\mathcal { D } _ { t r a i n } s . t . h ^ { y } ( \\mathrm { c l i p } ( x ) ) < 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 257, + 506, + 270 + ], + "score": 1.0, + "content": "denote the set of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 267, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 465, + 281 + ], + "score": 1.0, + "content": "training examples predicted to be hard. 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(In practice,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 141, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 141, + 430, + 401, + 443 + ], + "score": 1.0, + "content": "we simulate this setting by dividing the original training set into", + "type": "text" + }, + { + "bbox": [ + 402, + 431, + 430, + 442 + ], + "score": 0.92, + "content": "\\mathcal { D } _ { t r a i n }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 430, + 448, + 443 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 448, + 431, + 469, + 442 + ], + "score": 0.92, + "content": "\\mathcal { D } _ { e x t }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 430, + 505, + 443 + ], + "score": 1.0, + "content": ", prior to", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 142, + 442, + 253, + 454 + ], + "spans": [ + { + "bbox": [ + 142, + 442, + 176, + 454 + ], + "score": 1.0, + "content": "training", + "type": "text" + }, + { + "bbox": [ + 176, + 442, + 192, + 453 + ], + "score": 0.9, + "content": "f _ { n n }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 442, + 253, + 454 + ], + "score": 1.0, + "content": "the first time.)", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26, + "bbox_fs": [ + 133, + 397, + 507, + 454 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 466, + 252, + 477 + ], + "lines": [ + { + "bbox": [ + 105, + 464, + 254, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 254, + 479 + ], + "score": 1.0, + "content": "A.3 MODEL TRAINING DETAILS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 108, + 486, + 505, + 520 + ], + "lines": [ + { + "bbox": [ + 105, + 486, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 506, + 500 + ], + "score": 1.0, + "content": "We train ResNet18 models and perform hyperparameter search using the held out validation set.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "score": 1.0, + "content": "Dataset specific experimental details can be found in Sections B and C. For all datasets except", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 509, + 420, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 420, + 521 + ], + "score": 1.0, + "content": "ChestX-ray14, we use standard softmax classification with cross-entropy loss.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 486, + 506, + 521 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 525, + 505, + 570 + ], + "lines": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "Our training uses SGD with momentum and weight decay. We further use a triangular cyclic learning", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 537, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 506, + 549 + ], + "score": 1.0, + "content": "rate, where the learning rate linearly increases for a pre-specified number of epochs (“peak epochs”)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 548, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 548, + 505, + 560 + ], + "score": 1.0, + "content": "until hitting the base learning rate (“peak LR”), and then linearly decays for the rest of the epochs", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 558, + 271, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 271, + 572 + ], + "score": 1.0, + "content": "until reaching zero at the end of training.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5, + "bbox_fs": [ + 106, + 525, + 506, + 572 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 575, + 504, + 598 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 588 + ], + "score": 1.0, + "content": "For ChestX-ray14, we predict for each condition a binary output with binary cross-entropy loss; the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 587, + 428, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 428, + 598 + ], + "score": 1.0, + "content": "threshold is then chosen to maximize the F1 score on the held out validation set.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 37.5, + "bbox_fs": [ + 105, + 574, + 505, + 598 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 503, + 626 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 616 + ], + "score": 1.0, + "content": "We train our models using NVIDIA V100 gpus. We use the FFCV framework (Leclerc et al., 2022)", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 613, + 220, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 220, + 628 + ], + "score": 1.0, + "content": "to further speed up training.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 602, + 505, + 628 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 639, + 243, + 651 + ], + "lines": [ + { + "bbox": [ + 106, + 638, + 244, + 652 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 244, + 652 + ], + "score": 1.0, + "content": "A.4 SVM TRAINING DETAILS", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 659, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 106, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "We use the pre-trained CLIP (Radford et al., 2021) model, equivalent to a ViT-B/32. We embed the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 670, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 505, + 684 + ], + "score": 1.0, + "content": "images using this encoder. We whiten the data (using the mean/standard deviation of the embeddings", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 682, + 470, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 470, + 694 + ], + "score": 1.0, + "content": "computed from the training images) and then normalize the embeddings to be unit vectors.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 659, + 505, + 694 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 698, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 697, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 506, + 712 + ], + "score": 1.0, + "content": "We train a linear SVM on the embeddings of the held-out validation set with balanced class weighting", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "to predict whether the model got the image correct or incorrect. The regularization constant is chosen", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 734 + ], + "score": 1.0, + "content": "using 2-fold cross validation by selecting the constant with the best balanced accuracy (i.e the average", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46, + "bbox_fs": [ + 105, + 697, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 505, + 95 + ], + "score": 1.0, + "content": "of the recall obtained for each class). These cross validation scores are also exported to quantify the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 330, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 330, + 105 + ], + "score": 1.0, + "content": "strength of the captured shift, as described in Section 2.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "title", + "bbox": [ + 108, + 118, + 220, + 130 + ], + "lines": [ + { + "bbox": [ + 105, + 117, + 221, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 221, + 131 + ], + "score": 1.0, + "content": "A.5 FILTERING DETAILS", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 138, + 505, + 195 + ], + "lines": [ + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "score": 1.0, + "content": "After holding out a pool of data that was not used to train the original model, we select those images", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "score": 1.0, + "content": "with the most negative SVM decision values to add to the training set; we also compare to alternative", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 161, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 505, + 173 + ], + "score": 1.0, + "content": "selection methods (by confidence value, and random). We applied this method to CIFAR-100, and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 171, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 104, + 171, + 506, + 185 + ], + "score": 1.0, + "content": "reported the accuracies on the hard subpopulation in Figure 6. Below, we report the overall test", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 183, + 429, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 429, + 195 + ], + "score": 1.0, + "content": "accuracies before and after intervention when adding 100 images per superclass.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + }, + { + "type": "table", + "bbox": [ + 172, + 204, + 438, + 234 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 172, + 204, + 438, + 234 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 172, + 204, + 438, + 234 + ], + "spans": [ + { + "bbox": [ + 172, + 204, + 438, + 234 + ], + "score": 0.956, + "html": "
OriginalRandomConfidencesSVM
Overall accuracy0.6960.7120.7160.720
", + "type": "table", + "image_path": "d3352273e007de6889202d50908a835f6207a6d7e8a7bd424847222ebd9ae37a.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 172, + 204, + 438, + 214.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 172, + 214.0, + 438, + 224.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 172, + 224.0, + 438, + 234.0 + ], + "spans": [], + "index": 10 + } + ] + } + ], + "index": 9 + }, + { + "type": "title", + "bbox": [ + 108, + 252, + 233, + 264 + ], + "lines": [ + { + "bbox": [ + 106, + 253, + 233, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 233, + 264 + ], + "score": 1.0, + "content": "A.6 CAPTION GENERATION", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 273, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "score": 1.0, + "content": "In Section 2, we described how we can assign a caption to each captured failure mode by choosing the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 284, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 106, + 284, + 505, + 297 + ], + "score": 1.0, + "content": "caption that is most aligned with the positive or negative direction extracted by the SVM. To perform", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 296, + 504, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 296, + 504, + 307 + ], + "score": 1.0, + "content": "caption assignment, we need to create a set of relevant candidate captions that we expect, roughly, to", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 307, + 504, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 504, + 318 + ], + "score": 1.0, + "content": "lie in the same space as the images that the SVM was trained on. In particular, completely nonsensical", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 317, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 506, + 330 + ], + "score": 1.0, + "content": "captions may have undefined CLIP embeddings. Similarly, completely irrelevant captions may be out", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 327, + 414, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 414, + 341 + ], + "score": 1.0, + "content": "of distribution for the SVM, which was trained on images of a specific class.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 505, + 411 + ], + "lines": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "To generate a sensible candidate set, we programmatically generate captions of the form “A photo", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "score": 1.0, + "content": "of a ”, where the adjective and prepositional phrase are", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "optional. We describe the list of adjectives, nouns, and prepositional phrases for each dataset in", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "the experimental details section for that task. We chose this approach in order to guarantee the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "score": 1.0, + "content": "descriptiveness of the candidate captions set. Automatically curating this candidate set, for example", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 399, + 507, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 507, + 414 + ], + "score": 1.0, + "content": "by generating reasonable sentences using a language model, is an interesting avenue for future work.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 108, + 424, + 421, + 436 + ], + "lines": [ + { + "bbox": [ + 105, + 424, + 423, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 423, + 438 + ], + "score": 1.0, + "content": "A.7 DIRECTLY DECODING SVM DIRECTIONS WITH DIFFUSION MODELS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 445, + 505, + 467 + ], + "lines": [ + { + "bbox": [ + 105, + 443, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 459 + ], + "score": 1.0, + "content": "In Section 2, we described how to use diffusion models that sample from CLIP space to directly", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 455, + 385, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 385, + 468 + ], + "score": 1.0, + "content": "decode our extracted SVM direction. We provide further details here.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 107, + 473, + 505, + 539 + ], + "lines": [ + { + "bbox": [ + 106, + 472, + 506, + 485 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 506, + 485 + ], + "score": 1.0, + "content": "Several models, including retrieval augmented diffusion models (Blattmann et al., 2022) and DALL-E", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "score": 1.0, + "content": "2 (Ramesh et al., 2022) sample from CLIP’s shared vision/language space. In contrast, Stable", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "score": 1.0, + "content": "Diffusion (Rombach et al., 2022) uses the hidden states of the CLIP’s text encoder (before it is", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 506, + 504, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 464, + 518 + ], + "score": 1.0, + "content": "projected into the common image/language space). In our work, we use the pre-trained", + "type": "text" + }, + { + "bbox": [ + 464, + 506, + 504, + 517 + ], + "score": 0.88, + "content": "7 6 8 \\times 7 6 8", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 515, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 506, + 531 + ], + "score": 1.0, + "content": "retrieval-augmented diffusion model (RDM) (Blattmann et al., 2022), but only use text prompting", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 528, + 322, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 322, + 540 + ], + "score": 1.0, + "content": "(no retrieval step). The checkpoint can be found here.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 107, + 544, + 505, + 622 + ], + "lines": [ + { + "bbox": [ + 105, + 544, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 435, + 557 + ], + "score": 1.0, + "content": "We fit the SVM on the same CLIP space that the RDM uses (CLIP ViT-L/14) with", + "type": "text" + }, + { + "bbox": [ + 436, + 545, + 446, + 556 + ], + "score": 0.88, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 544, + 505, + 557 + ], + "score": 1.0, + "content": "normalization", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 556, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 253, + 568 + ], + "score": 1.0, + "content": "but not whitening of mean/std. Let", + "type": "text" + }, + { + "bbox": [ + 253, + 558, + 262, + 566 + ], + "score": 0.62, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 556, + 505, + 568 + ], + "score": 1.0, + "content": "be the normalized SVM direction. For a reference caption", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 566, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 225, + 581 + ], + "score": 1.0, + "content": "with normalized embedding", + "type": "text" + }, + { + "bbox": [ + 225, + 569, + 231, + 577 + ], + "score": 0.66, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 566, + 366, + 581 + ], + "score": 1.0, + "content": ", we then spherically interpolate", + "type": "text" + }, + { + "bbox": [ + 367, + 569, + 373, + 577 + ], + "score": 0.65, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 566, + 420, + 581 + ], + "score": 1.0, + "content": "and either", + "type": "text" + }, + { + "bbox": [ + 420, + 569, + 429, + 577 + ], + "score": 0.68, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 566, + 442, + 581 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 443, + 568, + 459, + 577 + ], + "score": 0.87, + "content": "- w", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 566, + 485, + 581 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 485, + 568, + 505, + 578 + ], + "score": 0.83, + "content": "z =", + "type": "inline_equation" + } + ], + "index": 35 + }, + { + "bbox": [ + 108, + 577, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 108, + 578, + 165, + 590 + ], + "score": 0.87, + "content": "\\mathbf { \\boldsymbol { s l e r p } } ( r , w , \\alpha ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 577, + 443, + 591 + ], + "score": 1.0, + "content": "to generate hard or easy images respectively. The degree of rotation", + "type": "text" + }, + { + "bbox": [ + 444, + 580, + 452, + 588 + ], + "score": 0.75, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 577, + 505, + 591 + ], + "score": 1.0, + "content": "specifies the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 589, + 506, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 271, + 601 + ], + "score": 1.0, + "content": "level of difficulty (we generally choose", + "type": "text" + }, + { + "bbox": [ + 271, + 591, + 279, + 599 + ], + "score": 0.75, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 589, + 333, + 601 + ], + "score": 1.0, + "content": "in the range", + "type": "text" + }, + { + "bbox": [ + 333, + 589, + 363, + 601 + ], + "score": 0.34, + "content": "[ 0 , 0 . 3 ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 589, + 506, + 601 + ], + "score": 1.0, + "content": "). Unless otherwise stated, we use", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 600, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 144, + 610 + ], + "score": 0.9, + "content": "\\alpha = 0 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 600, + 506, + 614 + ], + "score": 1.0, + "content": "to generate the images. 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These cross validation scores are also exported to quantify the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 330, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 330, + 105 + ], + "score": 1.0, + "content": "strength of the captured shift, as described in Section 2.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 505, + 105 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 118, + 220, + 130 + ], + "lines": [ + { + "bbox": [ + 105, + 117, + 221, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 221, + 131 + ], + "score": 1.0, + "content": "A.5 FILTERING DETAILS", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 138, + 505, + 195 + ], + "lines": [ + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "score": 1.0, + "content": "After holding out a pool of data that was not used to train the original model, we select those images", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "score": 1.0, + "content": "with the most negative SVM decision values to add to the training set; we also compare to alternative", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 161, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 505, + 173 + ], + "score": 1.0, + "content": "selection methods (by confidence value, and random). 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Below, we report the overall test", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 183, + 429, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 429, + 195 + ], + "score": 1.0, + "content": "accuracies before and after intervention when adding 100 images per superclass.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5, + "bbox_fs": [ + 104, + 139, + 506, + 195 + ] + }, + { + "type": "table", + "bbox": [ + 172, + 204, + 438, + 234 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 172, + 204, + 438, + 234 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 172, + 204, + 438, + 234 + ], + "spans": [ + { + "bbox": [ + 172, + 204, + 438, + 234 + ], + "score": 0.956, + "html": "
OriginalRandomConfidencesSVM
Overall accuracy0.6960.7120.7160.720
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Automatically curating this candidate set, for example", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 399, + 507, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 507, + 414 + ], + "score": 1.0, + "content": "by generating reasonable sentences using a language model, is an interesting avenue for future work.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 345, + 507, + 414 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 424, + 421, + 436 + ], + "lines": [ + { + "bbox": [ + 105, + 424, + 423, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 423, + 438 + ], + "score": 1.0, + "content": "A.7 DIRECTLY DECODING SVM DIRECTIONS WITH DIFFUSION MODELS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 424, + 423, + 438 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 445, + 505, + 467 + ], + "lines": [ + { + "bbox": [ + 105, + 443, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 459 + ], + "score": 1.0, + "content": "In Section 2, we described how to use diffusion models that sample from CLIP space to directly", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 455, + 385, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 385, + 468 + ], + "score": 1.0, + "content": "decode our extracted SVM direction. 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OriginalEasyHardNeutral
Overall accuracy0.7910.7850.7780.784
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OriginalEasyHardNeutral
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Parameter Value
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Test Subgroup AccuracyOverall Accuracy
Minority SubclassesMajority Subclasses
Young MaleOld FemaleYoung FemaleOld Male
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Test Subgroup AccuracyOverall Accuracy
Minority SubclassesMajority Subclasses
Young MaleOld FemaleYoung FemaleOld Male
Base Model0.568 ± 0.0060.542 ± 0.0100.915 ± 0.0020.904±0.0020.795 ±0.002
Oracle Upweight0.600 ± 0.0070.569 ± 0.0100.896 ± 0.0040.872 ± 0.0040.797 ±0.002
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% Minority GenderClass (Age) Old Young
Overall Incorrect39.5% 31.6% 55.0% 57.1%
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% Minority GenderClass (Age) Old Young
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The original test split serves as our test set. In", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 164, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 418, + 177 + ], + "score": 1.0, + "content": "the training dataset, we choose one subclass to under-represent by removing", + "type": "text" + }, + { + "bbox": [ + 419, + 165, + 439, + 175 + ], + "score": 0.87, + "content": "7 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 164, + 505, + 177 + ], + "score": 1.0, + "content": "of that subclass", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 176, + 505, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 505, + 187 + ], + "score": 1.0, + "content": "from the data. 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We compare using", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "the SVM’s decision value and the model’s confidences to select the top K images; the SVM more", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 710, + 308, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 308, + 722 + ], + "score": 1.0, + "content": "consistently identifies the minority subpopulation.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38 + } + ], + "index": 34.25 + } + ], + "page_idx": 28, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 313, + 764 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 313, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 15 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 82, + 185, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 186, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 186, + 95 + ], + "score": 1.0, + "content": "B.4 CIFAR-100", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 108, + 103, + 505, + 137 + ], + "lines": [ + { + "bbox": [ + 106, + 104, + 506, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 506, + 116 + ], + "score": 1.0, + "content": "In this section, we explain the experimental details of the experiment on CIFAR-100 in Section 3.", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 115, + 505, + 126 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 126 + ], + "score": 1.0, + "content": "Specifically, we consider the task of predicted the super-classes of the CIFAR-100 dataset, which", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 126, + 360, + 137 + ], + "spans": [ + { + "bbox": [ + 106, + 126, + 360, + 137 + ], + "score": 1.0, + "content": "contains 20 super-classes (each of which contain 5 subclasses).", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2, + "bbox_fs": [ + 106, + 104, + 506, + 137 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 142, + 505, + 198 + ], + "lines": [ + { + "bbox": [ + 105, + 141, + 506, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 357, + 155 + ], + "score": 1.0, + "content": "Dataset construction We split the original training split into", + "type": "text" + }, + { + "bbox": [ + 358, + 143, + 377, + 153 + ], + "score": 0.87, + "content": "20 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 141, + 436, + 155 + ], + "score": 1.0, + "content": "validation set,", + "type": "text" + }, + { + "bbox": [ + 436, + 143, + 456, + 153 + ], + "score": 0.86, + "content": "40 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 141, + 506, + 155 + ], + "score": 1.0, + "content": "training set,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 153, + 505, + 165 + ], + "spans": [ + { + "bbox": [ + 106, + 153, + 123, + 165 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 154, + 143, + 164 + ], + "score": 0.87, + "content": "40 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 153, + 505, + 165 + ], + "score": 1.0, + "content": "extra data (used in the subset intervention). 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Then each class", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 547, + 324, + 559 + ], + "spans": [ + { + "bbox": [ + 141, + 547, + 324, + 559 + ], + "score": 1.0, + "content": "has the following class-specific prepositions:", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24, + "bbox_fs": [ + 133, + 498, + 507, + 559 + ] + }, + { + "type": "list", + "bbox": [ + 151, + 562, + 424, + 690 + ], + "lines": [ + { + "bbox": [ + 152, + 561, + 423, + 574 + ], + "spans": [ + { + "bbox": [ + 152, + 561, + 423, + 574 + ], + "score": 1.0, + "content": "– ’dog’: [’on the grass’, ’in a house’, ’in the snow’, ’in the forest’],", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 152, + 573, + 421, + 587 + ], + "spans": [ + { + "bbox": [ + 152, + 573, + 421, + 587 + ], + "score": 1.0, + "content": "– ’cat’: [’on the grass’, ’in a house’, ’in the snow’, ’in the forest’],", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 151, + 586, + 389, + 600 + ], + "spans": [ + { + "bbox": [ + 151, + 586, + 389, + 600 + ], + "score": 1.0, + "content": "– ’bird’: [’flying’, ’perched’, ’in the air’, ’on the ground’],", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 151, + 599, + 306, + 613 + ], + "spans": [ + { + "bbox": [ + 151, + 599, + 306, + 613 + ], + "score": 1.0, + "content": "– ’horse’: [’in a field’, ’in the grass’],", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 152, + 613, + 410, + 625 + ], + "spans": [ + { + "bbox": [ + 152, + 613, + 410, + 625 + ], + "score": 1.0, + "content": "– ’airplane’: [’flying’, ’in the air’, ’on the tarmac’, ’on a road’],", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 151, + 626, + 296, + 638 + ], + "spans": [ + { + "bbox": [ + 151, + 626, + 296, + 638 + ], + "score": 1.0, + "content": "– ’truck’: [’on the road’, ’parked’],", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 151, + 639, + 321, + 651 + ], + "spans": [ + { + "bbox": [ + 151, + 639, + 321, + 651 + ], + "score": 1.0, + "content": "– ’automobile’: [’on the road’, ’parked’],", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 151, + 651, + 410, + 664 + ], + "spans": [ + { + "bbox": [ + 151, + 651, + 410, + 664 + ], + "score": 1.0, + "content": "– ’deer’: [’in a field’, ’in the grass’, ’in the snow’, ’in a forest’],", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 152, + 664, + 424, + 677 + ], + "spans": [ + { + "bbox": [ + 152, + 664, + 424, + 677 + ], + "score": 1.0, + "content": "– ’ship’: [’in the ocean’, ’docked’, ’in the water’, ’on the horizon’],", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 152, + 677, + 303, + 691 + ], + "spans": [ + { + "bbox": [ + 152, + 677, + 303, + 691 + ], + "score": 1.0, + "content": "– ’frog’: [’in the grass’, ’in a pond’],", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + } + ], + "index": 31.5, + "bbox_fs": [ + 151, + 561, + 424, + 691 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 699, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "Nouns: For CIFAR-Simple, we do not vary the noun (i.e., captions of a class cat will use the noun", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "cat). 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Parameter Value
Batch Size1024
Epochs16
Peak LR0.5
Momentum0.9
Weight Decay5×10-4
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"Finally, the ImageNet class names themselves can include quite niche words (which may not be", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 158, + 507, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 158, + 507, + 172 + ], + "score": 1.0, + "content": "well-represented by CLIP). We thus use as the noun the ancestor corresponding to the ImageNet class.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 170, + 340, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 170, + 340, + 182 + ], + "score": 1.0, + "content": "As a reference caption, we use “A photo of a ”.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5 + } + ], + "page_idx": 39, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 752, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 313, + 763 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 313, + 763 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 13, + "width": 15 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "list", + "bbox": [ + 133, + 82, + 471, + 139 + ], + "lines": [], + "index": 1.5, + "bbox_fs": [ + 133, + 81, + 471, + 140 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 108, + 148, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 106, + 147, + 505, + 161 + ], + "spans": [ + { + "bbox": [ + 106, + 147, + 505, + 161 + ], + "score": 1.0, + "content": "Finally, the ImageNet class names themselves can include quite niche words (which may not be", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 158, + 507, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 158, + 507, + 172 + ], + "score": 1.0, + "content": "well-represented by CLIP). We thus use as the noun the ancestor corresponding to the ImageNet class.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 170, + 340, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 170, + 340, + 182 + ], + "score": 1.0, + "content": "As a reference caption, we use “A photo of a ”.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5, + "bbox_fs": [ + 106, + 147, + 507, + 182 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 282, + 94 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 283, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 283, + 95 + ], + "score": 1.0, + "content": "C.2.1 FURTHER IMAGENET EXAMPLES", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 106, + 101, + 444, + 113 + ], + "lines": [ + { + "bbox": [ + 105, + 100, + 445, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 445, + 115 + ], + "score": 1.0, + "content": "In Figure 31 we show additional results for Imagenet classes cauliflower and agama.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "image", + "bbox": [ + 114, + 127, + 490, + 241 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 114, + 127, + 490, + 241 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 127, + 490, + 241 + ], + "spans": [ + { + "bbox": [ + 114, + 127, + 490, + 241 + ], + "score": 0.967, + "type": "image", + "image_path": "4bf6f42daacad2045c717910842f6cf10a52741a02e9098ac6b6f88fee04cd71.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 114, + 127, + 490, + 165.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 114, + 165.0, + 490, + 203.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 114, + 203.0, + 490, + 241.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 253, + 507, + 276 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 252, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 267 + ], + "score": 1.0, + "content": "Figure 31: Most extreme images/captions surfaced by our framework for ImageNet classes cauliflower", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 263, + 156, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 156, + 278 + ], + "score": 1.0, + "content": "and Agama", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + } + ], + "index": 4.25 + }, + { + "type": "title", + "bbox": [ + 107, + 301, + 348, + 312 + ], + "lines": [ + { + "bbox": [ + 106, + 300, + 349, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 349, + 314 + ], + "score": 1.0, + "content": "C.2.2 IMAGENET AND CIFAR-10 NORMALIZED PLOTS", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 320, + 506, + 387 + ], + "lines": [ + { + "bbox": [ + 106, + 319, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 506, + 333 + ], + "score": 1.0, + "content": "Since ImageNet and CIFAR-10 have different test set sizes (50 examples and 1000 examples per", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 330, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 345 + ], + "score": 1.0, + "content": "class respectively), here we plot equivalents of Figures 7b and 10b. In Figure 32, instead of plotting", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 247, + 354 + ], + "score": 1.0, + "content": "the top K images considered on the", + "type": "text" + }, + { + "bbox": [ + 248, + 344, + 254, + 352 + ], + "score": 0.26, + "content": "\\mathbf { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 342, + 489, + 354 + ], + "score": 1.0, + "content": "-axis, we plot the fraction of the test set considered (from to", + "type": "text" + }, + { + "bbox": [ + 490, + 342, + 505, + 353 + ], + "score": 0.85, + "content": "0 \\%", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 353, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 353, + 117, + 365 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 353, + 141, + 364 + ], + "score": 0.88, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 353, + 505, + 365 + ], + "score": 1.0, + "content": "of the test set). On the right-hand side of each plot, when this fraction is 1, we consider the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "score": 1.0, + "content": "entire test set (thus, the easy and hard subpopulations both have accuracy equal to the overall test", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 375, + 150, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 150, + 388 + ], + "score": 1.0, + "content": "accuracy).", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5 + }, + { + "type": "image", + "bbox": [ + 126, + 399, + 484, + 507 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 126, + 399, + 484, + 507 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 126, + 399, + 484, + 507 + ], + "spans": [ + { + "bbox": [ + 126, + 399, + 484, + 507 + ], + "score": 0.967, + "type": "image", + "image_path": "fb10f1f203088e8de434ec919feaabeeb82f049ed39c1aa612affa89ce19c0a0.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 126, + 399, + 484, + 435.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 126, + 435.0, + 484, + 471.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 126, + 471.0, + 484, + 507.0 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 516, + 506, + 550 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 376, + 529 + ], + "score": 1.0, + "content": "Figure 32: For CIFAR-10 and ImageNet, we plot the accuracy of the", + "type": "text" + }, + { + "bbox": [ + 377, + 517, + 388, + 526 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 515, + 505, + 529 + ], + "score": 1.0, + "content": "closest images to the positive", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 528, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 372, + 540 + ], + "score": 1.0, + "content": "or the negative caption for each class averaged over classes. On the", + "type": "text" + }, + { + "bbox": [ + 372, + 529, + 378, + 538 + ], + "score": 0.37, + "content": "\\mathbf { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 528, + 505, + 540 + ], + "score": 1.0, + "content": "-axis, we plot the fraction of the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 538, + 171, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 171, + 549 + ], + "score": 1.0, + "content": "test considered.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18 + } + ], + "index": 16.5 + } + ], + "page_idx": 40, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 14 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 282, + 94 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 283, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 283, + 95 + ], + "score": 1.0, + "content": "C.2.1 FURTHER IMAGENET EXAMPLES", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 106, + 101, + 444, + 113 + ], + "lines": [ + { + "bbox": [ + 105, + 100, + 445, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 445, + 115 + ], + "score": 1.0, + "content": "In Figure 31 we show additional results for Imagenet classes cauliflower and agama.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "image", + "bbox": [ + 114, + 127, + 490, + 241 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 114, + 127, + 490, + 241 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 127, + 490, + 241 + ], + "spans": [ + { + "bbox": [ + 114, + 127, + 490, + 241 + ], + "score": 0.967, + "type": "image", + "image_path": "4bf6f42daacad2045c717910842f6cf10a52741a02e9098ac6b6f88fee04cd71.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 114, + 127, + 490, + 165.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 114, + 165.0, + 490, + 203.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 114, + 203.0, + 490, + 241.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 253, + 507, + 276 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 252, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 267 + ], + "score": 1.0, + "content": "Figure 31: Most extreme images/captions surfaced by our framework for ImageNet classes cauliflower", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 263, + 156, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 156, + 278 + ], + "score": 1.0, + "content": "and Agama", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + } + ], + "index": 4.25 + }, + { + "type": "title", + "bbox": [ + 107, + 301, + 348, + 312 + ], + "lines": [ + { + "bbox": [ + 106, + 300, + 349, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 349, + 314 + ], + "score": 1.0, + "content": "C.2.2 IMAGENET AND CIFAR-10 NORMALIZED PLOTS", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 320, + 506, + 387 + ], + "lines": [ + { + "bbox": [ + 106, + 319, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 506, + 333 + ], + "score": 1.0, + "content": "Since ImageNet and CIFAR-10 have different test set sizes (50 examples and 1000 examples per", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 330, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 345 + ], + "score": 1.0, + "content": "class respectively), here we plot equivalents of Figures 7b and 10b. In Figure 32, instead of plotting", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 247, + 354 + ], + "score": 1.0, + "content": "the top K images considered on the", + "type": "text" + }, + { + "bbox": [ + 248, + 344, + 254, + 352 + ], + "score": 0.26, + "content": "\\mathbf { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 342, + 489, + 354 + ], + "score": 1.0, + "content": "-axis, we plot the fraction of the test set considered (from to", + "type": "text" + }, + { + "bbox": [ + 490, + 342, + 505, + 353 + ], + "score": 0.85, + "content": "0 \\%", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 353, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 353, + 117, + 365 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 353, + 141, + 364 + ], + "score": 0.88, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 353, + 505, + 365 + ], + "score": 1.0, + "content": "of the test set). On the right-hand side of each plot, when this fraction is 1, we consider the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "score": 1.0, + "content": "entire test set (thus, the easy and hard subpopulations both have accuracy equal to the overall test", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 375, + 150, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 150, + 388 + ], + "score": 1.0, + "content": "accuracy).", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 319, + 506, + 388 + ] + }, + { + "type": "image", + "bbox": [ + 126, + 399, + 484, + 507 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 126, + 399, + 484, + 507 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 126, + 399, + 484, + 507 + ], + "spans": [ + { + "bbox": [ + 126, + 399, + 484, + 507 + ], + "score": 0.967, + "type": "image", + "image_path": "fb10f1f203088e8de434ec919feaabeeb82f049ed39c1aa612affa89ce19c0a0.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 126, + 399, + 484, + 435.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 126, + 435.0, + 484, + 471.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 126, + 471.0, + 484, + 507.0 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 516, + 506, + 550 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 376, + 529 + ], + "score": 1.0, + "content": "Figure 32: For CIFAR-10 and ImageNet, we plot the accuracy of the", + "type": "text" + }, + { + "bbox": [ + 377, + 517, + 388, + 526 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 515, + 505, + 529 + ], + "score": 1.0, + "content": "closest images to the positive", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 528, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 372, + 540 + ], + "score": 1.0, + "content": "or the negative caption for each class averaged over classes. On the", + "type": "text" + }, + { + "bbox": [ + 372, + 529, + 378, + 538 + ], + "score": 0.37, + "content": "\\mathbf { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 528, + 505, + 540 + ], + "score": 1.0, + "content": "-axis, we plot the fraction of the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 538, + 171, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 171, + 549 + ], + "score": 1.0, + "content": "test considered.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18 + } + ], + "index": 16.5 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 101, + 505, + 146 + ], + "lines": [ + { + "bbox": [ + 105, + 101, + 505, + 114 + ], + "spans": [ + { + "bbox": [ + 105, + 101, + 505, + 114 + ], + "score": 1.0, + "content": "In this section, we perform our method on a second independent run of a ResNet18, as well as on", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 113, + 505, + 125 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 505, + 125 + ], + "score": 1.0, + "content": "a ResNet50. In Figure 33, we then plot the accuracies of the ImageNet test images that are closest", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 124, + 505, + 136 + ], + "spans": [ + { + "bbox": [ + 106, + 124, + 505, + 136 + ], + "score": 1.0, + "content": "to the extracted positive and negative captions. We find that our method behaves similarly on these", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 135, + 206, + 146 + ], + "spans": [ + { + "bbox": [ + 106, + 135, + 206, + 146 + ], + "score": 1.0, + "content": "models as in Figure 10b.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "image", + "bbox": [ + 108, + 160, + 501, + 312 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 160, + 501, + 312 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 160, + 501, + 312 + ], + "spans": [ + { + "bbox": [ + 108, + 160, + 501, + 312 + ], + "score": 0.95, + "type": "image", + "image_path": "1b411506496aab471bdbc5439187a8464438207f597e41c6d730f99e5aa08733.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 108, + 160, + 501, + 210.66666666666666 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 108, + 210.66666666666666, + 501, + 261.3333333333333 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 108, + 261.3333333333333, + 501, + 312.0 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 320, + 506, + 354 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 320, + 505, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 505, + 333 + ], + "score": 1.0, + "content": "Figure 33: We run our method on (a) an independent run of a ResNet18 and (b) a ResNet50. As in", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 331, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 506, + 344 + ], + "score": 1.0, + "content": "Figure 10b, we plot the accuracy of the top K images closest to the positive and negative captions.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 342, + 484, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 484, + 355 + ], + "score": 1.0, + "content": "The identified hard subpopulation has a lower accuracy than the identified easy subpopulation.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 106, + 367, + 505, + 390 + ], + "lines": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "In Figure 34, we find that on a few example classes, the failure modes extracted by our method for a", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 377, + 437, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 377, + 437, + 390 + ], + "score": 1.0, + "content": "ResNet50 are similar to those extracted by the ResNet18 (see Figures 10a and 31).", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "image", + "bbox": [ + 114, + 404, + 494, + 630 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 114, + 404, + 494, + 630 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 114, + 404, + 494, + 630 + ], + "spans": [ + { + "bbox": [ + 114, + 404, + 494, + 630 + ], + "score": 0.977, + "type": "image", + "image_path": "8f244a9cd33bcdebdbce7d2160b2e84e21494245a23ee7235bdea9ea386c2931.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 114, + 404, + 494, + 479.3333333333333 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 114, + 479.3333333333333, + 494, + 554.6666666666666 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 114, + 554.6666666666666, + 494, + 630.0 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 641, + 507, + 664 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 640, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 654 + ], + "score": 1.0, + "content": "Figure 34: We display the most extreme examples and SVM captions when running our method for a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 651, + 490, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 490, + 664 + ], + "score": 1.0, + "content": "ResNet50. We find that the failure directions are very similar to those extracted for a ResNet18.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5 + } + ], + "index": 14.25 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "Do the failure directions that we extracted using the ResNet18 also capture failure modes for other", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "architectures? To answer this question, we measure the subpopulation accuracies of each of these", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "models (as well as a pre-trained ViT-B) when using the ResNet18 positive/negative SVM captions", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 708, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 505, + 722 + ], + "score": 1.0, + "content": "to define our subpopulations of interest (Figure 35). We find that these ResNet18 captions perform", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 720, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 734 + ], + "score": 1.0, + "content": "almost as well as the SVM captions extracted for the specific underlying model, and define clear", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19 + } + ], + "page_idx": 41, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "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": "42", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 113, + 83, + 424, + 93 + ], + "lines": [ + { + "bbox": [ + 110, + 82, + 427, + 95 + ], + "spans": [ + { + "bbox": [ + 110, + 82, + 427, + 95 + ], + "score": 1.0, + "content": "C.2.3 DO FAILURE DIRECTIONS GENERALIZE TO OTHER ARCHITECTURES?", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 101, + 505, + 146 + ], + "lines": [ + { + "bbox": [ + 105, + 101, + 505, + 114 + ], + "spans": [ + { + "bbox": [ + 105, + 101, + 505, + 114 + ], + "score": 1.0, + "content": "In this section, we perform our method on a second independent run of a ResNet18, as well as on", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 113, + 505, + 125 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 505, + 125 + ], + "score": 1.0, + "content": "a ResNet50. In Figure 33, we then plot the accuracies of the ImageNet test images that are closest", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 124, + 505, + 136 + ], + "spans": [ + { + "bbox": [ + 106, + 124, + 505, + 136 + ], + "score": 1.0, + "content": "to the extracted positive and negative captions. 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As in", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 331, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 506, + 344 + ], + "score": 1.0, + "content": "Figure 10b, we plot the accuracy of the top K images closest to the positive and negative captions.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 342, + 484, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 484, + 355 + ], + "score": 1.0, + "content": "The identified hard subpopulation has a lower accuracy than the identified easy subpopulation.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 106, + 367, + 505, + 390 + ], + "lines": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "In Figure 34, we find that on a few example classes, the failure modes extracted by our method for a", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 377, + 437, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 377, + 437, + 390 + ], + "score": 1.0, + "content": "ResNet50 are similar to those extracted by the ResNet18 (see Figures 10a and 31).", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 366, + 506, + 390 + ] + }, + { + "type": "image", + "bbox": [ + 114, + 404, + 494, + 630 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 114, + 404, + 494, + 630 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 114, + 404, + 494, + 630 + ], + "spans": [ + { + "bbox": [ + 114, + 404, + 494, + 630 + ], + "score": 0.977, + "type": "image", + "image_path": "8f244a9cd33bcdebdbce7d2160b2e84e21494245a23ee7235bdea9ea386c2931.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 114, + 404, + 494, + 479.3333333333333 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 114, + 479.3333333333333, + 494, + 554.6666666666666 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 114, + 554.6666666666666, + 494, + 630.0 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 641, + 507, + 664 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 640, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 654 + ], + "score": 1.0, + "content": "Figure 34: We display the most extreme examples and SVM captions when running our method for a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 651, + 490, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 490, + 664 + ], + "score": 1.0, + "content": "ResNet50. We find that the failure directions are very similar to those extracted for a ResNet18.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5 + } + ], + "index": 14.25 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "Do the failure directions that we extracted using the ResNet18 also capture failure modes for other", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "architectures? To answer this question, we measure the subpopulation accuracies of each of these", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "models (as well as a pre-trained ViT-B) when using the ResNet18 positive/negative SVM captions", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 708, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 505, + 722 + ], + "score": 1.0, + "content": "to define our subpopulations of interest (Figure 35). 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% Overall that isAP Incorrect Flagged38.18% 12.62%
% Incorrect that is AP28.11% 55.351 %
% Flagged that is AP59.826 %
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Results on other conditions can be", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 461, + 203, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 203, + 474 + ], + "score": 1.0, + "content": "found in Appendix C.3.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 478, + 505, + 533 + ], + "lines": [ + { + "bbox": [ + 106, + 479, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 505, + 491 + ], + "score": 1.0, + "content": "The trained SVM identifies visually distinguishable failure mode directions in latent space. As", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 488, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 502 + ], + "score": 1.0, + "content": "shown in Figure 37, the representative images flagged by this SVM as most incorrect are blurrier and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 500, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 506, + 514 + ], + "score": 1.0, + "content": "less bright. 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% Overall that isAP Incorrect Flagged38.18% 12.62%
% Incorrect that is AP28.11% 55.351 %
% Flagged that is AP59.826 %
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We", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 134, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 105, + 134, + 505, + 148 + ], + "score": 1.0, + "content": "find that, to a higher degree than confidences, the model associates AP images as hard for the healthy", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 146, + 268, + 158 + ], + "spans": [ + { + "bbox": [ + 106, + 146, + 268, + 158 + ], + "score": 1.0, + "content": "class and easy for the non-healthy class.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 100, + 506, + 158 + ] + }, + { + "type": "image", + "bbox": [ + 110, + 167, + 502, + 505 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 167, + 502, + 505 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 167, + 502, + 505 + ], + "spans": [ + { + "bbox": [ + 110, + 167, + 502, + 505 + ], + "score": 0.977, + "type": "image", + "image_path": "1f6aca1d41fd1b8ca4e83f1de5a5e2ede1c2d8f7ac11b59ca95a71c1b57bbae9.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 110, + 167, + 502, + 279.6666666666667 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 110, + 279.6666666666667, + 502, + 392.33333333333337 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 110, + 392.33333333333337, + 502, + 505.00000000000006 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 514, + 507, + 548 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 514, + 507, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 507, + 528 + ], + "score": 1.0, + "content": "Figure 41: Effusion. Left: Most extreme images according to SVM decision value and confidences.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "Right: The fraction of the top K images that were AP. We order images by the most negative SVM", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 536, + 308, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 308, + 549 + ], + "score": 1.0, + "content": "decision value or by the lowest model confidence.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10 + } + ], + "index": 8.5 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 126 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "score": 1.0, + "content": "Mass We now consider the condition Mass (Figure 42). We again find that the SVM picks up on", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "distinct visual patterns that were not surfaced by confidences. Moreover, we interestingly find that", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "our framework surfaces AP images as hard for the non-healthy class, as opposed to the healthy class", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 201, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 201, + 128 + ], + "score": 1.0, + "content": "in the case of Effusion.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "image", + "bbox": [ + 110, + 135, + 502, + 476 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 135, + 502, + 476 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 135, + 502, + 476 + ], + "spans": [ + { + "bbox": [ + 110, + 135, + 502, + 476 + ], + "score": 0.978, + "type": "image", + "image_path": "3cac46e4ee8904c17dcf23f84f659d94d0b5de274d545f1145ce4d534cdb2870.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 110, + 135, + 502, + 248.66666666666669 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 110, + 248.66666666666669, + 502, + 362.33333333333337 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 110, + 362.33333333333337, + 502, + 476.00000000000006 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 485, + 506, + 519 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 486, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 506, + 498 + ], + "score": 1.0, + "content": "Figure 42: Mass. 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We again find that the SVM picks up on", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "distinct visual patterns that were not surfaced by confidences. Moreover, we interestingly find that", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "our framework surfaces AP images as hard for the non-healthy class, as opposed to the healthy class", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 201, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 201, + 128 + ], + "score": 1.0, + "content": "in the case of Effusion.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5, + "bbox_fs": [ + 105, + 81, + 506, + 128 + ] + }, + { + "type": "image", + "bbox": [ + 110, + 135, + 502, + 476 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 135, + 502, + 476 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 135, + 502, + 476 + ], + "spans": [ + { + "bbox": [ + 110, + 135, + 502, + 476 + ], + "score": 0.978, + "type": "image", + "image_path": "3cac46e4ee8904c17dcf23f84f659d94d0b5de274d545f1145ce4d534cdb2870.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 110, + 135, + 502, + 248.66666666666669 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 110, + 248.66666666666669, + 502, + 362.33333333333337 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 110, + 362.33333333333337, + 502, + 476.00000000000006 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 485, + 506, + 519 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 486, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 506, + 498 + ], + "score": 1.0, + "content": "Figure 42: Mass. Left: Most extreme images according to SVM decision value and confidences.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 496, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 505, + 509 + ], + "score": 1.0, + "content": "Right: The fraction of the top K images that were AP. We order images by the most negative SVM", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 507, + 308, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 308, + 520 + ], + "score": 1.0, + "content": "decision value or by the lowest model confidence.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8 + } + ], + "index": 6.5 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 506, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 95 + ], + "score": 1.0, + "content": "Infiltration Finally, we consider the condition Infiltration (Figure 43). As in the case of Effusion,", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "the framework associates AP with easier images for the non-healthy class and, to a lesser extent, hard", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 222, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 222, + 117 + ], + "score": 1.0, + "content": "images for the healthy class.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "image", + "bbox": [ + 110, + 126, + 502, + 467 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 126, + 502, + 467 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 126, + 502, + 467 + ], + "spans": [ + { + "bbox": [ + 110, + 126, + 502, + 467 + ], + "score": 0.977, + "type": "image", + "image_path": "17563a4d75f10debc921b83564fdddea010a5b531ab9b60af9c90af801d9f639.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 110, + 126, + 502, + 239.66666666666669 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 110, + 239.66666666666669, + 502, + 353.33333333333337 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 110, + 353.33333333333337, + 502, + 467.00000000000006 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 476, + 507, + 510 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 475, + 507, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 507, + 489 + ], + "score": 1.0, + "content": "Figure 43: Infiltration. Left: Most extreme images according to SVM decision value and confidences.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "Right: The fraction of the top K images that were AP. 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As in the case of Effusion,", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "the framework associates AP with easier images for the non-healthy class and, to a lesser extent, hard", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 222, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 222, + 117 + ], + "score": 1.0, + "content": "images for the healthy class.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1, + "bbox_fs": [ + 105, + 81, + 506, + 117 + ] + }, + { + "type": "image", + "bbox": [ + 110, + 126, + 502, + 467 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 126, + 502, + 467 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 126, + 502, + 467 + ], + "spans": [ + { + "bbox": [ + 110, + 126, + 502, + 467 + ], + "score": 0.977, + "type": "image", + "image_path": "17563a4d75f10debc921b83564fdddea010a5b531ab9b60af9c90af801d9f639.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 110, + 126, + 502, + 239.66666666666669 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 110, + 239.66666666666669, + 502, + 353.33333333333337 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 110, + 353.33333333333337, + 502, + 467.00000000000006 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 476, + 507, + 510 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 475, + 507, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 507, + 489 + ], + "score": 1.0, + "content": "Figure 43: Infiltration. Left: Most extreme images according to SVM decision value and confidences.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "Right: The fraction of the top K images that were AP. 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Test Subgroup AccuracyOverall Accuracy
Minority SubclassesMajority Subclasses
Young MaleOld FemaleYoung FemaleOld Male
Base Model0.568 ± 0.0060.542 ± 0.0100.915 ± 0.0020.904±0.0020.795 ±0.002
Oracle Upweight0.600 ± 0.0070.569 ± 0.0100.896 ± 0.0040.872 ± 0.0040.797 ±0.002
SVMUpweight0.590 ± 0.0110.568± 0.0040.903 ± 0.0030.901±0.0080.796 ± 0.003
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% Overall that isAP Incorrect Flagged38.18% 12.62%
% Incorrect that is AP28.11% 55.351 %
% Flagged that is AP59.826 %
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Trigonometry-Aware Neural NetworKs for Drug-Protein Binding Structure Prediction + +Wei Lu∗† Galixir Technologies + +Qifeng Wu† Fudan University + +Jixian Zhang† Galixir Technologies + +Jiahua Rao Sun Yat-sen University + +Chengtao Li Galixir Technologies + +Shuangjia Zheng∗† Galixir Technologies Sun Yat-sen University + +# Abstract + +Illuminating interactions between proteins and small drug molecules is a longstanding challenge in the field of drug discovery. Despite the importance of understanding these interactions, most previous works are limited by hand-designed scoring functions and insufficient conformation sampling. The recently-proposed graph neural network-based methods provides alternatives to predict protein-ligand complex conformation in a one-shot manner. However, these methods neglect the geometric constraints of the complex structure and weaken the role of local functional regions. As a result, they might produce unreasonable conformations for challenging targets and generalize poorly to novel proteins. In this paper, we propose Trigonometry-Aware Neural networKs for binding structure prediction, TANKBind, that builds trigonometry constraint as a vigorous inductive bias into the model and explicitly attends to all possible binding sites for each protein by segmenting the whole protein into functional blocks. We construct novel contrastive losses with local region negative sampling to jointly optimize the binding interaction and affinity. Extensive experiments show substantial performance gains in comparison to state-of-the-art physics-based and deep learning-based methods on commonly-used benchmark datasets for both binding structure and affinity predictions with variant settings. + +# 1 Introduction + +Proteins are the workhorses of human bodies. They have a wide range of interaction partners, small molecules, other proteins, and DNA/RNA, for example. In this paper, we focus on drug-like small molecules as the interaction partners for proteins. The words ligands, drugs, small molecules and compounds are used interchangeably throughout the paper. Small molecules activate or inhibit activities of target proteins through mostly non-covalent interactions. In 2021, FDA approved 60 new drugs, among which 36 were small molecules Kinch et al. [2022]. Understanding the mechanismof-actions and off-target effects of drug molecules typically requires analyzing the structures of the related protein-ligand complexes Boopathi et al. [2021], Xie et al. [2011], but solving the complex structure experimentally is a an extremely challenging task. Despite tremendous effort spent on this topic over the last 50 years, only about 19,000 protein-ligand complex structures have been solved experimentally using $\mathbf { X }$ -ray, Cryo-EM or NMR Liu et al. [2015]. On the other hand, the estimated chemical space of drug is $\mathrm { 1 0 ^ { 6 \bar { 0 } } }$ and estimated number of unique proteins in human body is at least 20, 000, making the number of possible protein-ligand complex far exceeding the number of experimentally solved structures Reymond et al. [2010], Ponomarenko et al. [2016]. + +On the computational side, molecular docking is a commonly-used method for predicting the proteinligand complex structures the corresponding binding affinities Trott and Olson [2010], Friesner et al. [2004], Ackloo et al. [2022], Gentile et al. [2022]. Generally, the docking process involves three main stages: (1) locating favorable binding sites given a protein target; (2) sampling the ligand conformation as well as its position and orientation within these sites; (3) scoring and ranking the conformations of the complex using physics-inspired empirical energy functions to refine the structures and assess protein-ligand binding affinity. Due to its good interpretability and usability, docking has been integrated in drug development process for a long time and a number of successful cases have been reported Anderson [2003]. However, most open-source docking packages use atomlevel pairwise scoring functions, limiting the capacity to model the many-body effects. Moreover, they need to sample a large range of possible ligand poses and protein side-chain conformations, which leads to relatively high computational cost Trott and Olson [2010], Jain [2006]. + +To overcome these challenges, we propose a two-stage deep learning framework to neuralize the molecular docking process and predict the binding structures with better accuracy and lower computational cost. In the first stage, we segment the whole protein into functional blocks and predict their interactions with the ligand, creating an protein-ligand interaction energy landscape using a novel trigonometry-aware architecture. The trigonometry module has enough model capacity to capture many-body effects. In the second stage, we prioritize the crystallized binding structures by constrastively ensuring a weaker binding affinity for non-native interactions. In particular, our model improves the drug-protein binding structure predictions with a combination of (i) a novel trigonometry-aware architecture that jointly infuses trigonometry constraints and excluded-volume effects as inductive biases, (ii) a new divide-and-conquer strategy that constructs the protein-ligand local functional binding pairs in a contrastive manner. By doing so, we create a funnel-shape energy landscape for the inter-molecular interaction, removing the need of extensive sampling Jumper et al. [2021], Jain [2006], Chen et al. [2020a], Onuchic et al. [1997]. + +Our novel method is well-motivated by leveraging prior knowledge from physics and biology. Physically, the inter-molecular trigonometry module, inspired by the intra-molecular Evoformer module used in AlphaFold2 Jumper et al. [2021], ensures that our energy landscape disfavors configurations of protein-ligand complexes that are prohibited by laws of nature, for instance, no two atoms could overlap and the distances between atoms have to satisfy triangle inequality theorem in euclidean geometry. More details on these constraints is shown in section 3.3. Biologically, the functional regions of proteins tend to be more conserved and closely associated with binding De Juan et al. [2013], Glaser et al. [2003], allowing the model to learn critical information and generalize better to unseen proteins. + +We evaluate our algorithm against several state-of-the-art deep learning and physics-based docking methods on task of binding structure prediction under multiple settings. Compared with baselines, our model increase the fraction of predictions with ligand root-mean-square deviation (RMSD) less than $5 \mathring \mathrm { A }$ by $16 \%$ in re-docking setting, $22 \%$ in self-docking setting, and $42 \%$ in the more difficult newprotein setting. Our model is also capable of predicting binding affinities, achieving better correlations with experimentally-measured values than sequence-based, structure-based and even complex-based methods. We also show that TankBind has the potential to discover novel mechanism-of-actions of drug molecules by identifying unseen protein binding sites. + +# 2 Related Work + +Geometric Deep Learning for drug discovery. There has been a surge of interest in integrating geometric priors for representation learning in the domain of drug discovery Jumper et al. [2021], Baek et al. [2021], Jing et al. [2021], Ganea et al. [2021], Jin et al. [2021], Ingraham et al. [2019], AlQuraishi [2019], Schütt et al. [2017], Somnath et al. [2021]. Recent researches have incorporated geometric information and symmetry properties of the input signals to improve the spatial perception of the learned representations. These works have been shown great potential in various applications like protein structure modeling Jumper et al. [2021], Baek et al. [2021], Jing et al. [2021], Ganea et al. [2021], molecular low-energy generation prediction Shi et al. [2021], Xu et al. [2022], Méndez-Lucio et al. [2021], property/function prediction Schütt et al. [2017], Somnath et al. [2021] and molecule design Jin et al. [2021], Ingraham et al. [2019]. Among which, AlphaFold 2 achieved outstanding performance in protein structure prediction Jumper et al. [2021], representing the state-of-the-art geometry-aware method. Our work is inspired from this groundbreaking work, adapting it from the intra-molecular structure prediction to the field of predicting the inter-molecular binding structure and binding affinity. + +![](images/f16b1a41aa648df27ad37860bf43f1e981fa6c499b9aab1a8677e5a27f44dd2b.jpg) +Figure 1: Overview of TankBind Model. The whole protein is divided into blocks of radius $2 0 \mathring \mathrm { A }$ , each block is going through the TankBind model along with the drug compound. Both protein blocks and drug compound are modeled as graphs. The block-compound interaction matrix evolved multiple times with additional input based on the distance maps of the protein block and the compound through trigonometry module. Based on the updated interaction embedding, the model predicts the binding affinity of the compound to the blocks and the block-ligand distance maps. A constrastive loss function is used to ensure the native block binds stronger to the compound than decoys. + +Drug-protein Interaction (DPI) prediction. The goal of DPI prediction is to illustrate the binding structure and binding affinity between protein and ligand. Apart from docking-based approaches Trott and Olson [2010], Friesner et al. [2004], prior machine learning-based works either use complex-free models to predict the binding affinity directly from protein-ligand pairs Wang and Dokholyan [2021], Li et al. [2020], Tsubaki et al. [2019], Gao et al. [2018], Karimi et al. [2019], Zheng et al. [2020] or make predictions through complex structure that has been previously obtained by experimental or docking approaches Jiménez et al. [2018], Lim et al. [2019], Morrone et al. [2020]. The former ones are less interpretable while the latter requires data involved in vast experimental costs and labour. More recently, EquiBind Stärk et al. [2022] takes a new approach by directly predicting the key points on both the protein and the compound, and aligning their key points through the ingeniously designed optimal transport loss. However, this method may generate compound structures clashing with the protein structures and currently lacks the capability to predict the binding affinity, limiting its use in drug discovery. In contrast, our approach has a trigonometry module imposing geometry constraints and a state-of-the-art binding affinity prediction capability. + +# 3 TankBind Model + +# 3.1 Overview of TankBind model + +The general protocol of our model is shown in figure 1. The encoding of protein and compound is described in section 3.2. The rationale and implementation of trigonometry module is detailed in section 3.3. The design of loss functions for training is described in section 3.4. The generation of atom coordinates from predicted inter-molecular distance map is introduced in section 3.5. + +# 3.2 Structural encoders of protein and drug + +Our model input is the separate structures of a protein and a drug compound, both encoded as graphs. Indices $i , k$ always operate on the residue dimension, $j , k ^ { \prime }$ always on the compound dimension. $n$ is the number of protein nodes and $m$ is the number of compound nodes. + +Protein. The protein is represented as a proximity 3D graph following Jing et al. [2020]. We denote the protein graph as $\mathcal G ^ { p } = \mathsf { \bar { ( } } \mathcal V ^ { p } , \mathcal E ^ { p } )$ , where each node $\bar { \mathfrak { v } } _ { i } ^ { p } \in \mathcal { V } ^ { p }$ corresponds to an amino acid, and has feature $\mathbf { h } _ { \mathfrak { v } ^ { p } } ^ { ( i ) }$ with both scalar and vector features. Each node also has a position $\mathbf { x } _ { i } ^ { p } \in \mathbb { R } ^ { 3 }$ equal to the Cartesian coordinate of $C _ { \alpha _ { i } }$ . An edge $\mathfrak { e } _ { i k } ^ { p }$ exists if $\mathfrak { v } _ { k } ^ { p }$ is among the 30 nearest neighbors of $\mathfrak { v } _ { i } ^ { p }$ . Each edge ${ \mathfrak { e } } _ { i k } ^ { p } \in { \mathcal { E } } ^ { p }$ also encodes both the scalar and the vector features. We then apply the geometric vector perceptrons (GVP) Jing et al. [2020, 2021] to embed the protein and arrive at feature $\mathbf { h } ^ { p } \in \mathbb { R } ^ { n \times s }$ after graph propagation, where $n$ is the number of nodes and $s$ is the embedding size. + +To implicitly model side-chain flexibility, we choose a residue-level representation ignoring the finer details of protein structure, separating our method from other methods that use all-atoms or surface vertexes representation Jiang et al. [2021], Gainza et al. [2020]. Also, as shown by Jumper et al. [2021, 2018], residue-level embedding is enough to infer the side-chain conformation. + +Motivated by protein co-evolution De Juan et al. [2013] and divide-and-conquer theory, the protein graph, $\mathcal G ^ { p }$ , is further divided into subgraphs $\mathcal { G } ^ { p ^ { \prime } }$ . Each subgraph $\mathcal G ^ { p ^ { \prime } }$ includes all the $\mathfrak { v } _ { i } ^ { p }$ and $\mathfrak { e } _ { i j } ^ { p }$ inside the functional block. The subgraph is denoted as $\mathcal { G } ^ { p ^ { \prime } } = ( \{ \mathfrak { v } _ { i } ^ { p } , \mathfrak { e } _ { i k } ^ { p } \} \ | \| \mathbf { x } _ { i } ^ { p } - \mathbf { x } _ { o } \| \leq 2 0 \mathring { \mathrm { A } }$ , $\| \mathbf { x } _ { k } ^ { p } - \mathbf { x } _ { o } \| \leq$ $2 0 \mathring \mathrm { A } )$ , where $\mathbf { x } _ { o }$ is the center of the functional block predicted by a widely-used ligand-agnostic method, P2rank (published in 2018)Krivák and Hoksza [2018]. Justification for the size of radius and use of P2rank is described in appendix G. + +Drug compound. The drug compound is represented as a graph using TorchDrug toolkit Zhu et al. [2022]. The compound graph is denoted as $\mathcal G ^ { c } = ( \mathcal V ^ { c } , \mathcal E ^ { c } )$ where each node ${ \mathfrak { v } } _ { j } ^ { c } \in \mathcal { V } ^ { c }$ corresponds to a heavy atom (non-hydrogen atom), and has feature $\mathbf { h } _ { \mathfrak { v } ^ { c } } ^ { ( j ) }$ and each edge ${ \mathfrak { e } } _ { j k ^ { \prime } } ^ { c }$ has feature $\mathbf { h } _ { \mathfrak { e } ^ { c } } ^ { ( j k ^ { \prime } ) }$ . We use Graph Isomorphism Network (GIN) $\mathrm { X u }$ et al. [2018] to embed the compound and arrive at feature $\mathbf { h } ^ { c } \in \mathbb { R } ^ { m \times s }$ after graph propagation, where $m$ is the number of heavy atoms and $s$ is the embedding size. + +# 3.3 Details of trigonometry module + +The compound feature, $\mathbf { h } ^ { c }$ , and the protein block feature, $\mathbf { h } ^ { p }$ , are used to form the initial interaction embedding $\mathbf { z } ^ { ( 0 ) } \in \mathbb { R } ^ { n \times m \times s }$ , ${ \bf z } _ { i j } ^ { ( 0 ) } = { \bf h } _ { i } ^ { p } \odot { \bf h } _ { j } ^ { c }$ . The interaction embedding will be further updated with pair distance map of protein nodes, $D _ { i k } ^ { p } = \| \dot { \mathbf { x } } _ { i } ^ { p } - \mathbf { x } _ { k } ^ { p } \|$ and pair distance map of compound nodes, $D _ { j k ^ { \prime } } ^ { c } = \left\| \mathbf { x } _ { j } ^ { c } - \mathbf { x } _ { k ^ { \prime } } ^ { c } \right\|$ . + +The rationale for including both the pair distance map of the protein nodes and the pair distance map of the compound nodes in updating the protein-compound interaction embedding is explained with two simplified examples. As shown in the upper part of figure 2, if a protein node A is in close proximity with compound node B, then compound node C will not be in contact with node A due to the large distance constraint between node B and C. Distance constraint between compound nodes B and D could also force a node $\mathrm { D }$ to be in close contact with protein node A. + +To build this observation of trigonometry constraints into our model, we design the following module to update the interaction embedding, in layer $\ell .$ , $\bar { \forall } ( i , j )$ : + +![](images/1e5c49815114f48a1860fda80030b01e5e0711a29a132c0141bf683ed5540bbd.jpg) +Figure 2: Rationale for including trigonometry module. Upper: Protein node in square, compound nodes in circles. Lower: Trigonometry module ensures that the interaction between protein node $i$ and compound node $j$ depends on all protein and compound nodes $k , k ^ { \prime }$ . + +$$ +\widetilde { \mathbf { z } } _ { i j } ^ { ( \ell ) } = \mathbf { z } _ { i j } ^ { ( \ell ) } + \Phi \big ( \sum _ { k = 1 } ^ { n } \mathbf { p } _ { i k } \mathbf { t } _ { k j } ^ { ( \ell ) } + \sum _ { k ^ { \prime } = 1 } ^ { m } \mathbf { t } _ { i k ^ { \prime } } ^ { \prime ( \ell ) } \mathbf { c } _ { k ^ { \prime } j } \big ) \odot \mathbf { g } \big ( \mathbf { z } _ { i j } ^ { ( \ell ) } \big ) +$$ + +where $\mathbf { p } _ { i k } = \phi ( D _ { i k } ^ { p } )$ is the linear embedding of encoded pair distance between protein nodes. $\mathbf { p } \in$ $\mathbb { R } ^ { n \times n \times s }$ , $n$ is the number of nodes in protein block, $s$ is the embedding size. ${ \bf c } _ { j k ^ { \prime } } = \phi ( D _ { j k ^ { \prime } } ^ { c } )$ is the linear embedding of encoded pair distance between compound nodes. $\mathbf { c } \in \mathbb { R } ^ { m \times m \times s }$ , $m$ is the number of compound nodes. t(ℓ)ij and t′(ℓ)ij are the same gated linear transformations of $\mathbf { z } _ { i j } ^ { ( \ell ) }$ but with nonared parameters, $\mathbf t _ { i j } ^ { ( \ell ) } = \mathrm { L i n e a r } ( \mathbf z _ { i j } ^ { ( \ell ) } ) \odot \mathbf { g } ( \mathbf z _ { i j } ^ { ( \ell ) } ) , \mathbf t ^ { ( \ell ) } \in \mathbb { R } ^ { n \times m \times s } , \mathbf { g } ( \mathbf z _ { i j } ^ { ( \ell ) } ) = \mathrm { s i g m o i d } ( \mathrm { L i n e a r } ( \mathbf z _ { i j } ^ { ( \ell ) } ) ) ,$ $\Phi$ is a layernorm function followed by a linear transformation. + +Another type of physical constraint need to be take into consideration is the excluded-volume (Van Der Waals) and saturation effect. As shown in the upper figure 2, if protein node A forms a strong interaction, hydrogen bonding for example, with compound node B, then node $\mathbf { D }$ is unlikely to form the same type of interaction with node A because node A has limited number of hydrogen donors or acceptors. To account for these effects, we designed a self-attention module to modulate the interaction between a protein node and all compound nodes by taking the whole interaction between this protein node and all compound nodes into consideration. + +$$ +\begin{array} { r l } & { \dot { \mathbf { z } } _ { i j } ^ { ( \ell ) } = \tilde { \mathbf { z } } _ { i j } ^ { ( \ell ) } + \Phi ( \mathrm { c o n c a t } _ { h } \big ( \displaystyle \sum _ { k ^ { \prime } = 1 } ^ { m } ( w _ { i j k ^ { \prime } } ^ { ( \ell ) h } \mathbf { v } _ { i k ^ { \prime } } ^ { ( \ell ) h } ) \odot \mathbf { g } ^ { h } ( \tilde { \mathbf { z } } _ { i j } ^ { ( \ell ) } ) \big ) ) } \\ & { w _ { i j k ^ { \prime } } ^ { ( \ell ) h } = \mathrm { s o f t m a x } _ { k ^ { \prime } } ( \mathbf { q } _ { i j } ^ { ( \ell ) h ^ { \top } } \mathbf { k } _ { i k ^ { \prime } } ^ { ( \ell ) h } ) } \end{array} +$$ + +, where q(ℓ)ij $\mathbf { q } _ { i j } ^ { ( \ell ) h } , \mathbf { k } _ { i j } ^ { ( \ell ) h } , \mathbf { v } _ { i j } ^ { ( \ell ) h }$ are linear transformation of $\tilde { \mathbf { z } } _ { i j } ^ { ( \ell ) }$ , $h$ is number of attention heads. Function $\mathbf { g } ^ { h }$ is the standard $\mathbf { g }$ with reshaping the embedding into heads at the end, is a linear transformation. + +Lastly, a non-linear transition module is added to transit the interaction embedding to the next layer through multilayer perceptron, z(ℓij $\mathbf z _ { i j } ^ { ( \ell + 1 ) } = \mathbf { M L P } ( \dot { \mathbf z } _ { i j } ^ { ( \ell ) } )$ . The whole trigonometry module is composed of three consecutive parts, the trigonometry update, the self-attention modulation, and the non-linear transition module. Layernorm is applied on every input $\mathbf { z } _ { i j } ^ { ( \ell ) }$ and a $25 \%$ dropout is applied to the trigonometry update and self-attention modulation during training. The final outputs, drug-protein binding affinity, $\begin{array} { r } { \hat { a } = \sum _ { i = 1 } ^ { n } \sum _ { j = 1 } ^ { m } } \end{array}$ Linear $( \mathbf { z } _ { i j } ^ { ( L ) } )$ , and inter-molecular distance map, Dpredij = $D _ { i j } ^ { p r e d } = \mathbf { g } ( \mathbf { z } _ { i j } ^ { ( L ) } ) \mathrm { L i n e a r } ( \mathbf { z } _ { i j } ^ { ( L ) } )$ , are predicted directly based on the last layer embedding $\mathbf { z } _ { i j } ^ { ( L ) }$ , where $L$ is the number of module stacks. + +# 3.4 Design of binding interaction and affinity loss functions + +Many previous works model the interaction between compound and protein by only preserving the interaction region, residues that far away are ignored Townshend et al. [2020], Méndez-Lucio et al. [2021]. On the positive side, the computation and memory demand for characterize the interaction between protein and the drug compound is greatly reduced by focusing on regional interaction. But the fact of not binding to alternative binding sites is also a valuable information. By the nature of crystallization, if a protein-compound complex could be successfully crystallized, other possible binding sites on this protein definitely bind less strongly than the native binding site to the compound, therefore, those other binding sites could be used as high-valued decoys. Based on this observation, we designed a max-margin constrastive affinity loss, equation 4, following the idea of Hadsell et al. [2006]. Such that the compound’s predicted affinity, $\hat { a }$ , to the decoys is less than the experimentally measured affinity, $a$ , by a margin value, $\epsilon$ . + +$$ +\mathcal { L } _ { \mathrm { a f f i n i t y } } ( \hat { a } _ { \zeta } , a ) = \mathbb { 1 } ( \zeta ) ( \hat { a } _ { \zeta } - a ) ^ { 2 } + ( 1 - \mathbb { 1 } ( \zeta ) ) \operatorname* { m a x } ( 0 , \hat { a } _ { \zeta } - ( a - \epsilon ) ) ^ { 2 } +$$ + +where $\hat { a } _ { \zeta }$ is the predicted affinity to block $\zeta$ , and indicator function $\mathbb { 1 } ( \zeta ) = 1$ when block $\zeta$ encloses the native ligand, and $\mathbb { 1 } ( \zeta ) = 0$ otherwise. We, therefore, take full use of information stored in the whole protein instead of only the native binding region. We also include a mean squared erorr (MSE) loss for native interaction distance map, $\begin{array} { r } { \mathcal { L } _ { \mathrm { d i s t a n c e } } = \mathbb { 1 } ( \zeta ) \frac { 1 } { n m } \sum _ { i = 1 } ^ { n } \sum _ { j = 1 } ^ { m } ( D _ { i j } ^ { p r e d } - D _ { i j } ) ^ { 2 } } \end{array}$ . The overall training objective of TankBind is: $\mathcal { L } = \mathcal { L } _ { \mathrm { a f f u n i t y } } + \mathcal { L } _ { \mathrm { d i s t a n c t } }$ e . + +# 3.5 Generation of drug coordinates based on predicted inter-molecular distance map. + +The Cartesian coordinates, $\big \{ \hat { \mathbf { x } } _ { j } ^ { c } \big \}$ , of the heavy atoms of a drug compound could be deduced analytically based on the predicted inter-molecular distance matrix, $D _ { i j } ^ { p r e d }$ , the coordinates of protein nodes, $\{ \mathbf { x } _ { i } ^ { p } \}$ , and the pair distance matrix of compound nodes, $D _ { j k ^ { \prime } } ^ { c }$ Masters et al. [2022], Hoffmann and Noé [2019]. But since predicted distance matrix contains noise, we take a numerical approach Masters et al. [2022], Zsoldos et al. [2007]. By minimizing the total loss, $\mathcal { L } _ { \mathrm { g e n e r a t i o n } }$ , which consists of two parts, the interaction loss and the compound configuration loss, we could derive the coordinates + +Table 1: Blind self-docking. All models take a pair of ligand structure (generated by RDKit) and protein structure as input, trying to predict the atom coordinates of the ligand after binding. In blind docking, the protein binding site is assumed unknown. Test set is composed of 363 protein-ligand structure crystallized after 2019 curated by PDBbind database. Details about model runtime and the number of model parameters are in appendix C + +
Ligand RMSD Percentiles ↓% Below ThresholdCentroid Distance Percentiles↓% Below Threshold 个
Methods25%50%75%Mean2A个 5A25%50%75%Mean2A5A
QVINA-W2.57.723.713.620.940.20.93.722.911.941.054.6
GNINA2.88.722.113.321.237.11.04.521.211.536.052.0
SMINA3.88.117.912.113.533.91.33.716.29.838.055.9
GLIDE(c.)2.69.328.116.221.833.60.85.626.914.436.148.7
VINA5.710.721.414.75.521.21.96.220.112.126.547.1
EQUIBIND-U3.35.79.77.87.242.41.32.67.45.640.067.5
EQUIBIND3.86.210.38.25.539.11.32.67.45.640.067.5
TANKBind-R2.85.211.29.416.047.91.02.37.77.344.969.4
TANKBind-C2.44.58.48.219.654.80.91.95.46.353.273.3
TANKBind-P2.64.58.18.516.354.00.91.95.26.453.274.4
TANKBind2.44.07.77.419.361.70.91.74.25.556.577.4
+ +of the docked drug coordinates, $\big \{ \hat { \mathbf { x } } _ { j } ^ { c } \big \}$ + +$$ +\mathcal { L } _ { \mathrm { g e n e r a t i o n } } = \mathcal { L } _ { \mathrm { i n t e r a c i o n } } + \mathcal { L } _ { \mathrm { c o n f i g u r a t i o n } } = \sum _ { i } ^ { n } \sum _ { j } ^ { m } ( | \hat { D } _ { i j } - D _ { i j } ^ { p r e d } | ) + \sum _ { j } ^ { m } \sum _ { k ^ { \prime } } ^ { m } ( | \hat { D } _ { j k ^ { \prime } } ^ { c } - D _ { j k ^ { \prime } } ^ { c } | ) +$$ + +$$ +\hat { D } _ { i j } = \big \| \mathbf x _ { i } ^ { p } - \hat { \mathbf x } _ { j } ^ { c } \big \| , \hat { D } _ { j k ^ { \prime } } ^ { c } = \big \| \hat { \mathbf x } _ { j } ^ { c } - \hat { \mathbf x } _ { k ^ { \prime } } ^ { c } \big \| +$$ + +where $n$ is the number of protein nodes, and $m$ is number of compound nodes, and $\{ \mathbf { x } _ { j } ^ { p } \}$ are the Cartesian coordinates of protein nodes. All inter-molecular distances are clamped to have an upper bound of $1 0 \mathring \mathrm { A }$ to focus on the direct interaction. In self-docking setting, when the compound configuration is unknown, we add a local atomic structures (LAS) maskflexibility while enforcing basic geometric constraint, $\begin{array} { r } { \mathcal { L } _ { \mathrm { c o n f i g u r a t i o n } } = \sum _ { j } ^ { m } \sum _ { k ^ { \prime } } ^ { m } \mathbb { 1 } ( j , k ^ { \prime } ) ( | \hat { D } _ { j k ^ { \prime } } ^ { c } - D _ { j k ^ { \prime } } ^ { c } | ) } \end{array}$ where $\mathbb { 1 } ( j , k ^ { \prime } ) = 1$ when compound atom $j$ and are connected by connected by a bond, or 2-hop away, or in the same ring structure, and $\mathbb { 1 } ( j , k ^ { \prime } ) = 0$ otherwise Stärk et al. [2022], Trott and Olson [2010]. For every test protein-ligand pair, TankBind predicts the binding affinity of the ligand to all segmented functional blocks and chooses the one with strongest affinity to generate the binding structures. + +# 4 Evaluation + +# 4.1 Protein-ligand binding structure prediction + +Dataset. We used publicly available PDBbind v2020 dataset Liu et al. [2015] which has the structures of 19443 protein-ligand complexes along with their experimentally measured binding affinity. PDBbind is a database curated based on the Protein Data Bank (PDB) Burley et al. [2021]. We followed the same time split as defined in EquiBind paper Stärk et al. [2022] in which the training and validation data are the protein-ligand complex structures deposited before 2019 and the test set is the structures deposited after 2019. After removing a few structures that unable to process using RDKit from the training set, we had 17787 structures for training, 968 for validation and 363 for testingLandrum et al. [2013]. We also reduced the possibility of encountering equally valid binding sites by removing chains that have no atom within $1 0 \mathring \mathrm { A }$ from any atom of the ligand following the protocol described in Stärk et al. [2022]. + +Baselines. We compared TankBind with the most widely-used docking method AutoDock VinaTrott and Olson [2010] and the recent proposed geometry-based DL method EquiBind Stärk et al. [2022]. We also included four popular docking methods QVina-W, GINAMcNutt et al. [2021], SMINAKoes et al. [2013] and GLIDEFriesner et al. [2004] as listed in Stärk et al. [2022]. + +Table 2: Blind self-docking for unseen receptors. All models evaluated on 142 crystallized proteincompound structures where the proteins have not been observed in training set. + +
Ligand RMSD Percentiles ↓%BelowCentroid Distance Percentiles ↓% Below Threshold
个 Threshold
25%50%75%Mean2A5A25%50%75%Mean2A5A
QVINA-W3.410.328.116.915.331.91.36.526.815.235.447.9
GNINA4.513.427.816.713.927.82.010.127.015.125.739.5
SMINA4.810.926.015.79.025.71.66.525.713.629.941.7
GLIDE3.418.031.419.619.628.71.117.629.118.129.440.6
VINA7.916.627.118.71.412.02.415.726.216.120.437.3
EQUIBIND-U5.78.814.111.01.421.52.66.312.98.916.743.8
EQUIBIND5.99.114.311.30.718.82.66.312.98.916.743.8
TANKBind-R3.66.917.012.65.635.21.33.615.710.335.258.5
TANKBind-C3.45.59.89.99.243.01.12.68.17.946.565.5
TANKBind-P3.35.510.911.25.645.11.32.37.99.147.966.9
TANKBind2.94.78.89.14.955.61.32.34.87.045.175.4
+ +Evaluation metrics. We follow prior work Stärk et al. [2022] and use ligand root-mean-square deviation (RMSD) of atomic positions and centroid distance to compare predicted binding structures with ground-truths. The Ligand RMSD calculates the normalized Frobenius norm of the two corresponding matrices of ligand coordinates. The centroid distance is defined as the the distance between the averaged 3D coordinates of the predicted and ground-truth bound ligand atoms, indicating the model capability of identifying correct binding region. Hydrogens are not involved in the calculation. + +Performance in blind flexible self-docking We start with a real-world blind self-docking experiment, in which the ligand conformation is not fixed, and the result of re-docking experiment, in which the native ligand conformation is given, is reported in Appendix A. As shown in the table 1, TankBind achieves state-of-the-art performance, outperforming geometry DL-based model EquiBind. This advantage is particularly evident in the top $2 5 \%$ and top $50 \%$ ligand RMSD, which allows our method to predict $22 \%$ more qualified (below Threshold $5 \mathring \mathrm { A }$ ) binding poses than EquiBind. This results are also consistent in the metrics of centroid distance, demonstrating that our method also has a clear advantage in the identification of binding region. Even though GLIDE (commercial) and Autodock Vina are established docking software with more than a decade of continuous development, our model remarkably frequently outperforms them. At the same time, we are orders of magnitude faster than them, and on the same level as EquiBind (Appendix C). In addition, we explore the possible of TankBind-R, where we randomly segment the protein, TankBind-P, where we only doing the summation over protein nodes in equation 1, and TankBind-C, where we only sum over compound nodes. The performance reduction on the these variants supports our view that trigonometry message passing between proteins and ligand and segmentation choice are critical to the prediction of binding structures. + +Performance in self-docking unseen protein We next focus on the new protein setting, in which the tested proteins have not been observed in the training set. Table 2 shows that Tankbind leads to larger improvements over EquiBind and docking methods with regard to ligand-RMSD and centriod distance.This is in line with our expectation that TankBind has better generalization ability due to the physical-inspired trigonometry module and explicit consideration of conservative functional blocks. In this setting, as shown in Figure 3 and table 2, for fractions smaller than $2 \mathring \mathrm { A }$ , 5Å and $1 5 \mathring \mathrm { A }$ , the performance between EquiBind and other docking method are comparable, while TankBind is always better by a large margin, further confirming the effectiveness of our method and indicating that the proposed strategy has practical values for the virtual screening of new proteins. + +![](images/433506758c93192d844b3ef47d777cc94fd12a2a093fa8cc235eab2d96c11c16.jpg) +Figure 3: Estimator of the Cumulative Distribution Function (ECDF) plot for ligand RMSD (left) and Centroid Distance (right) from result evaluated on new receptors subset. The x axis of the figure stops at $1 5 \mathring \mathrm { A }$ because comparison for larger RMSD is less meaningful when the predicted location of the ligand is away from the true binding site, a RMSD of $1 5 \mathring \mathrm { A }$ is not better than RMSD of $5 0 \mathring \mathrm { A }$ . + +
MethodsLigand↓Centroid↓Below2A↑Below5A↑
w/o P2Rank9.377.30 44.9069.42
w/o Trig8.736.44 44.0874.93
TAPE8.816.89 50.6973.00
GAT8.276.23 56.4778.51
TankBind-P8.476.44 53.1774.38
TankBind-C8.20 6.2753.1773.28
Origin7.435.51 56.4777.41
+ +Table 4: Ablation results. We listed four main metrics here, a complete table is in appendix E + +
MethodsRMSE↓Pearson↑Spearman↑MAE↓
TransCPI1.741 0.5760.5401.404
MONN1.438 0.6240.5891.143
PIGNet※2.640 0.5110.4892.110
IGN1.433 0.6980.6411.169
HOLOPROT1.546 0.6020.5711.208
STAMPDPI1.658 0.5450.4111.325
TANKBind1.346 0.7260.7031.070
+ +Table 3: Binding affinity prediction. TankBind achieves SOTA on all four metrics. + +# 4.2 Protein-ligand binding affinity prediction + +TankBind is also capable of predicting protein-ligand binding affinity because of the constrastive affinity loss function. Since we segmented the whole protein into protein blocks, the predicted binding affinity of ligand to the whole protein is equal to the binding affinity to the one protein block that predicted to bind strongest with the ligand. To demonstrate the ability, we compared TankBind with the state-of-the-art binding affinity prediction models. + +Dataset. We split the dataset into training, test and validation splits based on the same time split described earlier. The experimentally measured affinity data in PDBbind dataset has three different names, depending on the exact experiment setups, $50 \%$ inhibiting concentration (IC50), inhibition constant $( K _ { i } )$ , and dissociation constant $( K _ { D } )$ , all converted to the unit of molar concentration. Similar to previous methods Somnath et al. [2021], Townshend et al. [2020], we predict negative log-transformed binding affinity. + +Baselines and evaluation metrics. We compare TankBind against two state-of-the-art sequencebased methods, TransformerCPI Chen et al. [2020b] and MONN Li et al. [2020], two complex-based methods, IGN Jiang et al. [2021] and PIGNet Moon et al. [2022] both requiring prior knowledge of the inter-molecular structure to predict affinity, and two structure-based methods, HOLOPTOT Somnath et al. [2021] and STAMPDPI Wang et al. [2022]. For evaluating various methods, we use four metrics – root mean squared error (RMSE), Pearson correlation coefficient, Spearman correlation coefficient and mean absolute error (MAE). We also include the mean and standard deviation across 3 experimental runs in appendix D. + +![](images/eff82a8928b58a7d62890bdc17d1250163e22dccc27770dfac1bde99f15855f3.jpg) +Figure 4: (a) An example of TankBind identifying an unseen binding site. The protein is shown in white, co-crystallized compounds of three PDBs in the training set is shown in purple. The ligand of 6K1S is shown in green. TankBind is able to find this correct pose for the compound, shown in red, while the other two, Vina in orange, and Equibind in cyan, place the compound away from the true binding site. (b) For PDB 6QRG, both protein and compound have not been seen in the training set. But TankBind still find the correct pose. Crystallized ligand colored in green, TankBind prediction in red, EquiBind in cyan and Vina result in organ. + +Result As shown in Table 3, our model obtains the best performance in PDBbind test set, consistently outperforms SOTA binding affinity prediction methods. Note that even without the prior interaction information, TankBind also achieves better result than complex-based methods (PIGNET and IGN), proving that the predicted binding structural information provided considerable gain to the affinity prediction task. + +# 4.3 Ablation study + +We conducted ablation studies to investigate factors that influence the performance of proposed TankBind framework. As shown in Table 4, the original version of TankBind with the trigonometry message passing between protein and ligand shows the best performance among all architectures. Replacing the P2rank with a randomly split of blocks performed the worst, which verifies our hypothesis that functional block segmentation can improve generalization. Simple architecture substitutions for protein (TAPE) Rao et al. [2019] and molecular representation (GAT) Velickovi ˇ c´ et al. [2017] decrease slightly the model performance. Replacing the intra-trigonometry module with the uni-modal variants (TankBind-P and TankBind-C) both caused noticeable decreases in performances. + +# 4.4 Case studies + +TankBind correctly identifies an unseen binding site for a new drug compound. As a representative case, in PDB 6K1S, a seen protein binds to a new drug compound at a site that has not been observed before. This protein has three co-crystallized complex structures in the training set, PDB 4X60, 4X61, 4X63. As shown in the left of figure 4, our method, shown in red, aligns well with the true ligand, shown in green, despite our method has never seen any compound locates at this site before. While other two methods, EquiBind in cyan, Vina in orange identify an incorrect site for this compound. Packages Kalign, Biopython, and Smith-Waterman library are used to systematically analyze the results Lassmann [2020], Cock et al. [2009], Li et al. [2020], Zhao et al. [2013] (see Appendix H). + +TankBind finds the correct pose when both compound and protein are unseen. We picked two representative examples with both compound and protein are unseen, one, PDB 6QRG, in the right of figure 4 and another, PDB 6KQI, in appendix B. Both PDB 6QRG and PDB 6KQI have max protein similarity below 0.8 (6QRG 0.78, 6KQI 0.57), and max compound similarity below 0.4 (6QRG 0.36, 6KQI 0.27). + +# 5 Conclusion + +In this work, we propose a novel binding structure and affinity prediction model, TankBind, that builds trigonometry constraints into the model and explicitly attends to all possible binding sites by segmenting the whole protein into functional blocks. We observe significant improvements on task of binding structure prediction over existing deep learning methods: a $22 \%$ increase in the fraction of prediction below $\bar { 5 } \mathring { \mathrm { A } }$ in ligand RMSD, and a $42 \%$ increase when the proteins have not been observed in the training set. Moreover, we demonstrate that the model is able to predict affinity and outperform SOTA methods on PDBbind. This work opens a new direction for modelling the inter-molecular interaction between protein and drug molecule. Numerous directions for further exploration include incorporating a ligand conformer generation module, enhancing the dataset with AlphaFold-predicted structure and public available SAR data, integrating the segmentation of functional block in an end-to-end manner, and combining the model with protein backbone dynamics modeling to handle larger scale conformation changes induced by drug-protein interactions. + +# Acknowledgments and Disclosure of Funding + +We thank Prof.Yuedong Yang, Dr.Leilei Shi, Dr. Jiahui Tong for their helpful discussions; Penglei Wang for his support in binding affinity experiments; Meihui Song for her support in figure drawing. We thank the Guangzhou National Supercomputer Center for providing computational source. 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Bioinformatics, 25(11): 1422–1423, 2009. \ No newline at end of file diff --git a/parse/dev/MSBDFwGYwwt/MSBDFwGYwwt_content_list.json b/parse/dev/MSBDFwGYwwt/MSBDFwGYwwt_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..74808a10ed7d901ddff6f5d184890f70d897022c --- /dev/null +++ b/parse/dev/MSBDFwGYwwt/MSBDFwGYwwt_content_list.json @@ -0,0 +1,1619 @@ +[ + { + "type": "text", + "text": "TANKBind: Trigonometry-Aware Neural NetworKs for Drug-Protein Binding Structure Prediction ", + "text_level": 1, + "bbox": [ + 186, + 122, + 813, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Wei Lu∗† Galixir Technologies ", + "bbox": [ + 235, + 224, + 372, + 255 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Qifeng Wu† Fudan University ", + "bbox": [ + 441, + 224, + 557, + 255 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jixian Zhang† Galixir Technologies ", + "bbox": [ + 624, + 226, + 764, + 255 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jiahua Rao Sun Yat-sen University ", + "bbox": [ + 222, + 275, + 374, + 303 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Chengtao Li Galixir Technologies ", + "bbox": [ + 429, + 275, + 568, + 303 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Shuangjia Zheng∗† Galixir Technologies Sun Yat-sen University ", + "bbox": [ + 622, + 275, + 776, + 318 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 353, + 535, + 369 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Illuminating interactions between proteins and small drug molecules is a longstanding challenge in the field of drug discovery. Despite the importance of understanding these interactions, most previous works are limited by hand-designed scoring functions and insufficient conformation sampling. The recently-proposed graph neural network-based methods provides alternatives to predict protein-ligand complex conformation in a one-shot manner. However, these methods neglect the geometric constraints of the complex structure and weaken the role of local functional regions. As a result, they might produce unreasonable conformations for challenging targets and generalize poorly to novel proteins. In this paper, we propose Trigonometry-Aware Neural networKs for binding structure prediction, TANKBind, that builds trigonometry constraint as a vigorous inductive bias into the model and explicitly attends to all possible binding sites for each protein by segmenting the whole protein into functional blocks. We construct novel contrastive losses with local region negative sampling to jointly optimize the binding interaction and affinity. Extensive experiments show substantial performance gains in comparison to state-of-the-art physics-based and deep learning-based methods on commonly-used benchmark datasets for both binding structure and affinity predictions with variant settings. ", + "bbox": [ + 233, + 385, + 766, + 633 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 661, + 310, + 679 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Proteins are the workhorses of human bodies. They have a wide range of interaction partners, small molecules, other proteins, and DNA/RNA, for example. In this paper, we focus on drug-like small molecules as the interaction partners for proteins. The words ligands, drugs, small molecules and compounds are used interchangeably throughout the paper. Small molecules activate or inhibit activities of target proteins through mostly non-covalent interactions. In 2021, FDA approved 60 new drugs, among which 36 were small molecules Kinch et al. [2022]. Understanding the mechanismof-actions and off-target effects of drug molecules typically requires analyzing the structures of the related protein-ligand complexes Boopathi et al. [2021], Xie et al. [2011], but solving the complex structure experimentally is a an extremely challenging task. Despite tremendous effort spent on this topic over the last 50 years, only about 19,000 protein-ligand complex structures have been solved experimentally using $\\mathbf { X }$ -ray, Cryo-EM or NMR Liu et al. [2015]. On the other hand, the estimated chemical space of drug is $\\mathrm { 1 0 ^ { 6 \\bar { 0 } } }$ and estimated number of unique proteins in human body is at least 20, 000, making the number of possible protein-ligand complex far exceeding the number of experimentally solved structures Reymond et al. [2010], Ponomarenko et al. [2016]. ", + "bbox": [ + 174, + 694, + 825, + 859 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 92, + 823, + 119 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "On the computational side, molecular docking is a commonly-used method for predicting the proteinligand complex structures the corresponding binding affinities Trott and Olson [2010], Friesner et al. [2004], Ackloo et al. [2022], Gentile et al. [2022]. Generally, the docking process involves three main stages: (1) locating favorable binding sites given a protein target; (2) sampling the ligand conformation as well as its position and orientation within these sites; (3) scoring and ranking the conformations of the complex using physics-inspired empirical energy functions to refine the structures and assess protein-ligand binding affinity. Due to its good interpretability and usability, docking has been integrated in drug development process for a long time and a number of successful cases have been reported Anderson [2003]. However, most open-source docking packages use atomlevel pairwise scoring functions, limiting the capacity to model the many-body effects. Moreover, they need to sample a large range of possible ligand poses and protein side-chain conformations, which leads to relatively high computational cost Trott and Olson [2010], Jain [2006]. ", + "bbox": [ + 174, + 126, + 825, + 291 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To overcome these challenges, we propose a two-stage deep learning framework to neuralize the molecular docking process and predict the binding structures with better accuracy and lower computational cost. In the first stage, we segment the whole protein into functional blocks and predict their interactions with the ligand, creating an protein-ligand interaction energy landscape using a novel trigonometry-aware architecture. The trigonometry module has enough model capacity to capture many-body effects. In the second stage, we prioritize the crystallized binding structures by constrastively ensuring a weaker binding affinity for non-native interactions. In particular, our model improves the drug-protein binding structure predictions with a combination of (i) a novel trigonometry-aware architecture that jointly infuses trigonometry constraints and excluded-volume effects as inductive biases, (ii) a new divide-and-conquer strategy that constructs the protein-ligand local functional binding pairs in a contrastive manner. By doing so, we create a funnel-shape energy landscape for the inter-molecular interaction, removing the need of extensive sampling Jumper et al. [2021], Jain [2006], Chen et al. [2020a], Onuchic et al. [1997]. ", + "bbox": [ + 174, + 297, + 825, + 477 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our novel method is well-motivated by leveraging prior knowledge from physics and biology. Physically, the inter-molecular trigonometry module, inspired by the intra-molecular Evoformer module used in AlphaFold2 Jumper et al. [2021], ensures that our energy landscape disfavors configurations of protein-ligand complexes that are prohibited by laws of nature, for instance, no two atoms could overlap and the distances between atoms have to satisfy triangle inequality theorem in euclidean geometry. More details on these constraints is shown in section 3.3. Biologically, the functional regions of proteins tend to be more conserved and closely associated with binding De Juan et al. [2013], Glaser et al. [2003], allowing the model to learn critical information and generalize better to unseen proteins. ", + "bbox": [ + 174, + 484, + 825, + 608 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We evaluate our algorithm against several state-of-the-art deep learning and physics-based docking methods on task of binding structure prediction under multiple settings. Compared with baselines, our model increase the fraction of predictions with ligand root-mean-square deviation (RMSD) less than $5 \\mathring \\mathrm { A }$ by $16 \\%$ in re-docking setting, $22 \\%$ in self-docking setting, and $42 \\%$ in the more difficult newprotein setting. Our model is also capable of predicting binding affinities, achieving better correlations with experimentally-measured values than sequence-based, structure-based and even complex-based methods. We also show that TankBind has the potential to discover novel mechanism-of-actions of drug molecules by identifying unseen protein binding sites. ", + "bbox": [ + 174, + 614, + 825, + 728 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 751, + 321, + 768 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Geometric Deep Learning for drug discovery. There has been a surge of interest in integrating geometric priors for representation learning in the domain of drug discovery Jumper et al. [2021], Baek et al. [2021], Jing et al. [2021], Ganea et al. [2021], Jin et al. [2021], Ingraham et al. [2019], AlQuraishi [2019], Schütt et al. [2017], Somnath et al. [2021]. Recent researches have incorporated geometric information and symmetry properties of the input signals to improve the spatial perception of the learned representations. These works have been shown great potential in various applications like protein structure modeling Jumper et al. [2021], Baek et al. [2021], Jing et al. [2021], Ganea et al. [2021], molecular low-energy generation prediction Shi et al. [2021], Xu et al. [2022], Méndez-Lucio et al. [2021], property/function prediction Schütt et al. [2017], Somnath et al. [2021] and molecule design Jin et al. [2021], Ingraham et al. [2019]. Among which, AlphaFold 2 achieved outstanding performance in protein structure prediction Jumper et al. [2021], representing the state-of-the-art geometry-aware method. Our work is inspired from this groundbreaking work, adapting it from the intra-molecular structure prediction to the field of predicting the inter-molecular binding structure and binding affinity. ", + "bbox": [ + 174, + 786, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/f16b1a41aa648df27ad37860bf43f1e981fa6c499b9aab1a8677e5a27f44dd2b.jpg", + "image_caption": [ + "Figure 1: Overview of TankBind Model. The whole protein is divided into blocks of radius $2 0 \\mathring \\mathrm { A }$ , each block is going through the TankBind model along with the drug compound. Both protein blocks and drug compound are modeled as graphs. The block-compound interaction matrix evolved multiple times with additional input based on the distance maps of the protein block and the compound through trigonometry module. Based on the updated interaction embedding, the model predicts the binding affinity of the compound to the blocks and the block-ligand distance maps. A constrastive loss function is used to ensure the native block binds stronger to the compound than decoys. " + ], + "image_footnote": [], + "bbox": [ + 174, + 89, + 820, + 262 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 411, + 825, + 482 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Drug-protein Interaction (DPI) prediction. The goal of DPI prediction is to illustrate the binding structure and binding affinity between protein and ligand. Apart from docking-based approaches Trott and Olson [2010], Friesner et al. [2004], prior machine learning-based works either use complex-free models to predict the binding affinity directly from protein-ligand pairs Wang and Dokholyan [2021], Li et al. [2020], Tsubaki et al. [2019], Gao et al. [2018], Karimi et al. [2019], Zheng et al. [2020] or make predictions through complex structure that has been previously obtained by experimental or docking approaches Jiménez et al. [2018], Lim et al. [2019], Morrone et al. [2020]. The former ones are less interpretable while the latter requires data involved in vast experimental costs and labour. More recently, EquiBind Stärk et al. [2022] takes a new approach by directly predicting the key points on both the protein and the compound, and aligning their key points through the ingeniously designed optimal transport loss. However, this method may generate compound structures clashing with the protein structures and currently lacks the capability to predict the binding affinity, limiting its use in drug discovery. In contrast, our approach has a trigonometry module imposing geometry constraints and a state-of-the-art binding affinity prediction capability. ", + "bbox": [ + 173, + 498, + 825, + 691 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 TankBind Model ", + "text_level": 1, + "bbox": [ + 176, + 712, + 346, + 729 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 Overview of TankBind model ", + "text_level": 1, + "bbox": [ + 176, + 743, + 416, + 758 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The general protocol of our model is shown in figure 1. The encoding of protein and compound is described in section 3.2. The rationale and implementation of trigonometry module is detailed in section 3.3. The design of loss functions for training is described in section 3.4. The generation of atom coordinates from predicted inter-molecular distance map is introduced in section 3.5. ", + "bbox": [ + 174, + 770, + 825, + 825 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.2 Structural encoders of protein and drug ", + "text_level": 1, + "bbox": [ + 174, + 843, + 491, + 858 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our model input is the separate structures of a protein and a drug compound, both encoded as graphs. Indices $i , k$ always operate on the residue dimension, $j , k ^ { \\prime }$ always on the compound dimension. $n$ is the number of protein nodes and $m$ is the number of compound nodes. ", + "bbox": [ + 176, + 869, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Protein. The protein is represented as a proximity 3D graph following Jing et al. [2020]. We denote the protein graph as $\\mathcal G ^ { p } = \\mathsf { \\bar { ( } } \\mathcal V ^ { p } , \\mathcal E ^ { p } )$ , where each node $\\bar { \\mathfrak { v } } _ { i } ^ { p } \\in \\mathcal { V } ^ { p }$ corresponds to an amino acid, and has feature $\\mathbf { h } _ { \\mathfrak { v } ^ { p } } ^ { ( i ) }$ with both scalar and vector features. Each node also has a position $\\mathbf { x } _ { i } ^ { p } \\in \\mathbb { R } ^ { 3 }$ equal to the Cartesian coordinate of $C _ { \\alpha _ { i } }$ . An edge $\\mathfrak { e } _ { i k } ^ { p }$ exists if $\\mathfrak { v } _ { k } ^ { p }$ is among the 30 nearest neighbors of $\\mathfrak { v } _ { i } ^ { p }$ . Each edge ${ \\mathfrak { e } } _ { i k } ^ { p } \\in { \\mathcal { E } } ^ { p }$ also encodes both the scalar and the vector features. We then apply the geometric vector perceptrons (GVP) Jing et al. [2020, 2021] to embed the protein and arrive at feature $\\mathbf { h } ^ { p } \\in \\mathbb { R } ^ { n \\times s }$ after graph propagation, where $n$ is the number of nodes and $s$ is the embedding size. ", + "bbox": [ + 173, + 90, + 825, + 194 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To implicitly model side-chain flexibility, we choose a residue-level representation ignoring the finer details of protein structure, separating our method from other methods that use all-atoms or surface vertexes representation Jiang et al. [2021], Gainza et al. [2020]. Also, as shown by Jumper et al. [2021, 2018], residue-level embedding is enough to infer the side-chain conformation. ", + "bbox": [ + 173, + 198, + 825, + 255 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Motivated by protein co-evolution De Juan et al. [2013] and divide-and-conquer theory, the protein graph, $\\mathcal G ^ { p }$ , is further divided into subgraphs $\\mathcal { G } ^ { p ^ { \\prime } }$ . Each subgraph $\\mathcal G ^ { p ^ { \\prime } }$ includes all the $\\mathfrak { v } _ { i } ^ { p }$ and $\\mathfrak { e } _ { i j } ^ { p }$ inside the functional block. The subgraph is denoted as $\\mathcal { G } ^ { p ^ { \\prime } } = ( \\{ \\mathfrak { v } _ { i } ^ { p } , \\mathfrak { e } _ { i k } ^ { p } \\} \\ | \\| \\mathbf { x } _ { i } ^ { p } - \\mathbf { x } _ { o } \\| \\leq 2 0 \\mathring { \\mathrm { A } }$ , $\\| \\mathbf { x } _ { k } ^ { p } - \\mathbf { x } _ { o } \\| \\leq$ $2 0 \\mathring \\mathrm { A } )$ , where $\\mathbf { x } _ { o }$ is the center of the functional block predicted by a widely-used ligand-agnostic method, P2rank (published in 2018)Krivák and Hoksza [2018]. Justification for the size of radius and use of P2rank is described in appendix G. ", + "bbox": [ + 173, + 260, + 825, + 353 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Drug compound. The drug compound is represented as a graph using TorchDrug toolkit Zhu et al. [2022]. The compound graph is denoted as $\\mathcal G ^ { c } = ( \\mathcal V ^ { c } , \\mathcal E ^ { c } )$ where each node ${ \\mathfrak { v } } _ { j } ^ { c } \\in \\mathcal { V } ^ { c }$ corresponds to a heavy atom (non-hydrogen atom), and has feature $\\mathbf { h } _ { \\mathfrak { v } ^ { c } } ^ { ( j ) }$ and each edge ${ \\mathfrak { e } } _ { j k ^ { \\prime } } ^ { c }$ has feature $\\mathbf { h } _ { \\mathfrak { e } ^ { c } } ^ { ( j k ^ { \\prime } ) }$ . We use Graph Isomorphism Network (GIN) $\\mathrm { X u }$ et al. [2018] to embed the compound and arrive at feature $\\mathbf { h } ^ { c } \\in \\mathbb { R } ^ { m \\times s }$ after graph propagation, where $m$ is the number of heavy atoms and $s$ is the embedding size. ", + "bbox": [ + 173, + 368, + 826, + 459 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.3 Details of trigonometry module ", + "text_level": 1, + "bbox": [ + 176, + 477, + 429, + 491 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The compound feature, $\\mathbf { h } ^ { c }$ , and the protein block feature, $\\mathbf { h } ^ { p }$ , are used to form the initial interaction embedding $\\mathbf { z } ^ { ( 0 ) } \\in \\mathbb { R } ^ { n \\times m \\times s }$ , ${ \\bf z } _ { i j } ^ { ( 0 ) } = { \\bf h } _ { i } ^ { p } \\odot { \\bf h } _ { j } ^ { c }$ . The interaction embedding will be further updated with pair distance map of protein nodes, $D _ { i k } ^ { p } = \\| \\dot { \\mathbf { x } } _ { i } ^ { p } - \\mathbf { x } _ { k } ^ { p } \\|$ and pair distance map of compound nodes, $D _ { j k ^ { \\prime } } ^ { c } = \\left\\| \\mathbf { x } _ { j } ^ { c } - \\mathbf { x } _ { k ^ { \\prime } } ^ { c } \\right\\|$ . ", + "bbox": [ + 173, + 501, + 550, + 593 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The rationale for including both the pair distance map of the protein nodes and the pair distance map of the compound nodes in updating the protein-compound interaction embedding is explained with two simplified examples. As shown in the upper part of figure 2, if a protein node A is in close proximity with compound node B, then compound node C will not be in contact with node A due to the large distance constraint between node B and C. Distance constraint between compound nodes B and D could also force a node $\\mathrm { D }$ to be in close contact with protein node A. ", + "bbox": [ + 174, + 597, + 550, + 737 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To build this observation of trigonometry constraints into our model, we design the following module to update the interaction embedding, in layer $\\ell .$ , $\\bar { \\forall } ( i , j )$ : ", + "bbox": [ + 173, + 742, + 549, + 785 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/1e5c49815114f48a1860fda80030b01e5e0711a29a132c0141bf683ed5540bbd.jpg", + "image_caption": [ + "Figure 2: Rationale for including trigonometry module. Upper: Protein node in square, compound nodes in circles. Lower: Trigonometry module ensures that the interaction between protein node $i$ and compound node $j$ depends on all protein and compound nodes $k , k ^ { \\prime }$ . " + ], + "image_footnote": [], + "bbox": [ + 566, + 452, + 812, + 671 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/ad405327cc92ad77506750401708e4f007f58e16f633a762200fcbf18fde2c5d.jpg", + "text": "$$\n\\widetilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } = \\mathbf { z } _ { i j } ^ { ( \\ell ) } + \\Phi \\big ( \\sum _ { k = 1 } ^ { n } \\mathbf { p } _ { i k } \\mathbf { t } _ { k j } ^ { ( \\ell ) } + \\sum _ { k ^ { \\prime } = 1 } ^ { m } \\mathbf { t } _ { i k ^ { \\prime } } ^ { \\prime ( \\ell ) } \\mathbf { c } _ { k ^ { \\prime } j } \\big ) \\odot \\mathbf { g } \\big ( \\mathbf { z } _ { i j } ^ { ( \\ell ) } \\big )\n$$", + "text_format": "latex", + "bbox": [ + 315, + 791, + 681, + 834 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\mathbf { p } _ { i k } = \\phi ( D _ { i k } ^ { p } )$ is the linear embedding of encoded pair distance between protein nodes. $\\mathbf { p } \\in$ $\\mathbb { R } ^ { n \\times n \\times s }$ , $n$ is the number of nodes in protein block, $s$ is the embedding size. ${ \\bf c } _ { j k ^ { \\prime } } = \\phi ( D _ { j k ^ { \\prime } } ^ { c } )$ is the linear embedding of encoded pair distance between compound nodes. $\\mathbf { c } \\in \\mathbb { R } ^ { m \\times m \\times s }$ , $m$ is the number of compound nodes. t(ℓ)ij and t′(ℓ)ij are the same gated linear transformations of $\\mathbf { z } _ { i j } ^ { ( \\ell ) }$ but with nonared parameters, $\\mathbf t _ { i j } ^ { ( \\ell ) } = \\mathrm { L i n e a r } ( \\mathbf z _ { i j } ^ { ( \\ell ) } ) \\odot \\mathbf { g } ( \\mathbf z _ { i j } ^ { ( \\ell ) } ) , \\mathbf t ^ { ( \\ell ) } \\in \\mathbb { R } ^ { n \\times m \\times s } , \\mathbf { g } ( \\mathbf z _ { i j } ^ { ( \\ell ) } ) = \\mathrm { s i g m o i d } ( \\mathrm { L i n e a r } ( \\mathbf z _ { i j } ^ { ( \\ell ) } ) ) ,$ $\\Phi$ is a layernorm function followed by a linear transformation. ", + "bbox": [ + 173, + 847, + 825, + 914 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 88, + 825, + 122 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Another type of physical constraint need to be take into consideration is the excluded-volume (Van Der Waals) and saturation effect. As shown in the upper figure 2, if protein node A forms a strong interaction, hydrogen bonding for example, with compound node B, then node $\\mathbf { D }$ is unlikely to form the same type of interaction with node A because node A has limited number of hydrogen donors or acceptors. To account for these effects, we designed a self-attention module to modulate the interaction between a protein node and all compound nodes by taking the whole interaction between this protein node and all compound nodes into consideration. ", + "bbox": [ + 173, + 127, + 825, + 224 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/28bb2249b676fce13ceb44cb9f5d7b9a687a29bec215dafdfc3182443ba799ed.jpg", + "text": "$$\n\\begin{array} { r l } & { \\dot { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } = \\tilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } + \\Phi ( \\mathrm { c o n c a t } _ { h } \\big ( \\displaystyle \\sum _ { k ^ { \\prime } = 1 } ^ { m } ( w _ { i j k ^ { \\prime } } ^ { ( \\ell ) h } \\mathbf { v } _ { i k ^ { \\prime } } ^ { ( \\ell ) h } ) \\odot \\mathbf { g } ^ { h } ( \\tilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } ) \\big ) ) } \\\\ & { w _ { i j k ^ { \\prime } } ^ { ( \\ell ) h } = \\mathrm { s o f t m a x } _ { k ^ { \\prime } } ( \\mathbf { q } _ { i j } ^ { ( \\ell ) h ^ { \\top } } \\mathbf { k } _ { i k ^ { \\prime } } ^ { ( \\ell ) h } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 308, + 231, + 689, + 303 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": ", where q(ℓ)ij $\\mathbf { q } _ { i j } ^ { ( \\ell ) h } , \\mathbf { k } _ { i j } ^ { ( \\ell ) h } , \\mathbf { v } _ { i j } ^ { ( \\ell ) h }$ are linear transformation of $\\tilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) }$ , $h$ is number of attention heads. Function $\\mathbf { g } ^ { h }$ is the standard $\\mathbf { g }$ with reshaping the embedding into heads at the end, is a linear transformation. ", + "bbox": [ + 176, + 308, + 823, + 343 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Lastly, a non-linear transition module is added to transit the interaction embedding to the next layer through multilayer perceptron, z(ℓij $\\mathbf z _ { i j } ^ { ( \\ell + 1 ) } = \\mathbf { M L P } ( \\dot { \\mathbf z } _ { i j } ^ { ( \\ell ) } )$ . The whole trigonometry module is composed of three consecutive parts, the trigonometry update, the self-attention modulation, and the non-linear transition module. Layernorm is applied on every input $\\mathbf { z } _ { i j } ^ { ( \\ell ) }$ and a $25 \\%$ dropout is applied to the trigonometry update and self-attention modulation during training. The final outputs, drug-protein binding affinity, $\\begin{array} { r } { \\hat { a } = \\sum _ { i = 1 } ^ { n } \\sum _ { j = 1 } ^ { m } } \\end{array}$ Linear $( \\mathbf { z } _ { i j } ^ { ( L ) } )$ , and inter-molecular distance map, Dpredij = $D _ { i j } ^ { p r e d } = \\mathbf { g } ( \\mathbf { z } _ { i j } ^ { ( L ) } ) \\mathrm { L i n e a r } ( \\mathbf { z } _ { i j } ^ { ( L ) } )$ , are predicted directly based on the last layer embedding $\\mathbf { z } _ { i j } ^ { ( L ) }$ , where $L$ is the number of module stacks. ", + "bbox": [ + 174, + 347, + 826, + 478 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.4 Design of binding interaction and affinity loss functions ", + "text_level": 1, + "bbox": [ + 174, + 493, + 598, + 508 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Many previous works model the interaction between compound and protein by only preserving the interaction region, residues that far away are ignored Townshend et al. [2020], Méndez-Lucio et al. [2021]. On the positive side, the computation and memory demand for characterize the interaction between protein and the drug compound is greatly reduced by focusing on regional interaction. But the fact of not binding to alternative binding sites is also a valuable information. By the nature of crystallization, if a protein-compound complex could be successfully crystallized, other possible binding sites on this protein definitely bind less strongly than the native binding site to the compound, therefore, those other binding sites could be used as high-valued decoys. Based on this observation, we designed a max-margin constrastive affinity loss, equation 4, following the idea of Hadsell et al. [2006]. Such that the compound’s predicted affinity, $\\hat { a }$ , to the decoys is less than the experimentally measured affinity, $a$ , by a margin value, $\\epsilon$ . ", + "bbox": [ + 173, + 518, + 826, + 672 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/0580b61767cedf17a0057ed6c2e16df757d7ae1e4f2aac057ec346f1a30d91c0.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { a f f i n i t y } } ( \\hat { a } _ { \\zeta } , a ) = \\mathbb { 1 } ( \\zeta ) ( \\hat { a } _ { \\zeta } - a ) ^ { 2 } + ( 1 - \\mathbb { 1 } ( \\zeta ) ) \\operatorname* { m a x } ( 0 , \\hat { a } _ { \\zeta } - ( a - \\epsilon ) ) ^ { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 271, + 678, + 725, + 696 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\hat { a } _ { \\zeta }$ is the predicted affinity to block $\\zeta$ , and indicator function $\\mathbb { 1 } ( \\zeta ) = 1$ when block $\\zeta$ encloses the native ligand, and $\\mathbb { 1 } ( \\zeta ) = 0$ otherwise. We, therefore, take full use of information stored in the whole protein instead of only the native binding region. We also include a mean squared erorr (MSE) loss for native interaction distance map, $\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { d i s t a n c e } } = \\mathbb { 1 } ( \\zeta ) \\frac { 1 } { n m } \\sum _ { i = 1 } ^ { n } \\sum _ { j = 1 } ^ { m } ( D _ { i j } ^ { p r e d } - D _ { i j } ) ^ { 2 } } \\end{array}$ . The overall training objective of TankBind is: $\\mathcal { L } = \\mathcal { L } _ { \\mathrm { a f f u n i t y } } + \\mathcal { L } _ { \\mathrm { d i s t a n c t } }$ e . ", + "bbox": [ + 173, + 703, + 826, + 779 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.5 Generation of drug coordinates based on predicted inter-molecular distance map. ", + "text_level": 1, + "bbox": [ + 171, + 792, + 777, + 809 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The Cartesian coordinates, $\\big \\{ \\hat { \\mathbf { x } } _ { j } ^ { c } \\big \\}$ , of the heavy atoms of a drug compound could be deduced analytically based on the predicted inter-molecular distance matrix, $D _ { i j } ^ { p r e d }$ , the coordinates of protein nodes, $\\{ \\mathbf { x } _ { i } ^ { p } \\}$ , and the pair distance matrix of compound nodes, $D _ { j k ^ { \\prime } } ^ { c }$ Masters et al. [2022], Hoffmann and Noé [2019]. But since predicted distance matrix contains noise, we take a numerical approach Masters et al. [2022], Zsoldos et al. [2007]. By minimizing the total loss, $\\mathcal { L } _ { \\mathrm { g e n e r a t i o n } }$ , which consists of two parts, the interaction loss and the compound configuration loss, we could derive the coordinates ", + "bbox": [ + 173, + 819, + 825, + 912 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/6a2bf7b1897ac7721d08e30d6bdd23cf4b46304eaec2d710da3164f34c80d63f.jpg", + "table_caption": [ + "Table 1: Blind self-docking. All models take a pair of ligand structure (generated by RDKit) and protein structure as input, trying to predict the atom coordinates of the ligand after binding. In blind docking, the protein binding site is assumed unknown. Test set is composed of 363 protein-ligand structure crystallized after 2019 curated by PDBbind database. Details about model runtime and the number of model parameters are in appendix C " + ], + "table_footnote": [ + "of the docked drug coordinates, $\\big \\{ \\hat { \\mathbf { x } } _ { j } ^ { c } \\big \\}$ " + ], + "table_body": "
Ligand RMSD Percentiles ↓% Below ThresholdCentroid Distance Percentiles↓% Below Threshold 个
Methods25%50%75%Mean2A个 5A25%50%75%Mean2A5A
QVINA-W2.57.723.713.620.940.20.93.722.911.941.054.6
GNINA2.88.722.113.321.237.11.04.521.211.536.052.0
SMINA3.88.117.912.113.533.91.33.716.29.838.055.9
GLIDE(c.)2.69.328.116.221.833.60.85.626.914.436.148.7
VINA5.710.721.414.75.521.21.96.220.112.126.547.1
EQUIBIND-U3.35.79.77.87.242.41.32.67.45.640.067.5
EQUIBIND3.86.210.38.25.539.11.32.67.45.640.067.5
TANKBind-R2.85.211.29.416.047.91.02.37.77.344.969.4
TANKBind-C2.44.58.48.219.654.80.91.95.46.353.273.3
TANKBind-P2.64.58.18.516.354.00.91.95.26.453.274.4
TANKBind2.44.07.77.419.361.70.91.74.25.556.577.4
", + "bbox": [ + 173, + 170, + 825, + 382 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/21446138e7b58ef7fa06708aaa42a3e254895c4f524c58878edc2c4efac74221.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { g e n e r a t i o n } } = \\mathcal { L } _ { \\mathrm { i n t e r a c i o n } } + \\mathcal { L } _ { \\mathrm { c o n f i g u r a t i o n } } = \\sum _ { i } ^ { n } \\sum _ { j } ^ { m } ( | \\hat { D } _ { i j } - D _ { i j } ^ { p r e d } | ) + \\sum _ { j } ^ { m } \\sum _ { k ^ { \\prime } } ^ { m } ( | \\hat { D } _ { j k ^ { \\prime } } ^ { c } - D _ { j k ^ { \\prime } } ^ { c } | )\n$$", + "text_format": "latex", + "bbox": [ + 192, + 410, + 787, + 453 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/4e4ea3792074d9baa9783628607af7660a5456f6dba1dc48a72b2e24a80bc68a.jpg", + "text": "$$\n\\hat { D } _ { i j } = \\big \\| \\mathbf x _ { i } ^ { p } - \\hat { \\mathbf x } _ { j } ^ { c } \\big \\| , \\hat { D } _ { j k ^ { \\prime } } ^ { c } = \\big \\| \\hat { \\mathbf x } _ { j } ^ { c } - \\hat { \\mathbf x } _ { k ^ { \\prime } } ^ { c } \\big \\|\n$$", + "text_format": "latex", + "bbox": [ + 367, + 458, + 629, + 479 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $n$ is the number of protein nodes, and $m$ is number of compound nodes, and $\\{ \\mathbf { x } _ { j } ^ { p } \\}$ are the Cartesian coordinates of protein nodes. All inter-molecular distances are clamped to have an upper bound of $1 0 \\mathring \\mathrm { A }$ to focus on the direct interaction. In self-docking setting, when the compound configuration is unknown, we add a local atomic structures (LAS) maskflexibility while enforcing basic geometric constraint, $\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { c o n f i g u r a t i o n } } = \\sum _ { j } ^ { m } \\sum _ { k ^ { \\prime } } ^ { m } \\mathbb { 1 } ( j , k ^ { \\prime } ) ( | \\hat { D } _ { j k ^ { \\prime } } ^ { c } - D _ { j k ^ { \\prime } } ^ { c } | ) } \\end{array}$ where $\\mathbb { 1 } ( j , k ^ { \\prime } ) = 1$ when compound atom $j$ and are connected by connected by a bond, or 2-hop away, or in the same ring structure, and $\\mathbb { 1 } ( j , k ^ { \\prime } ) = 0$ otherwise Stärk et al. [2022], Trott and Olson [2010]. For every test protein-ligand pair, TankBind predicts the binding affinity of the ligand to all segmented functional blocks and chooses the one with strongest affinity to generate the binding structures. ", + "bbox": [ + 173, + 481, + 826, + 626 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 Evaluation ", + "text_level": 1, + "bbox": [ + 174, + 645, + 295, + 661 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.1 Protein-ligand binding structure prediction ", + "text_level": 1, + "bbox": [ + 174, + 675, + 514, + 690 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Dataset. We used publicly available PDBbind v2020 dataset Liu et al. [2015] which has the structures of 19443 protein-ligand complexes along with their experimentally measured binding affinity. PDBbind is a database curated based on the Protein Data Bank (PDB) Burley et al. [2021]. We followed the same time split as defined in EquiBind paper Stärk et al. [2022] in which the training and validation data are the protein-ligand complex structures deposited before 2019 and the test set is the structures deposited after 2019. After removing a few structures that unable to process using RDKit from the training set, we had 17787 structures for training, 968 for validation and 363 for testingLandrum et al. [2013]. We also reduced the possibility of encountering equally valid binding sites by removing chains that have no atom within $1 0 \\mathring \\mathrm { A }$ from any atom of the ligand following the protocol described in Stärk et al. [2022]. ", + "bbox": [ + 173, + 700, + 825, + 842 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Baselines. We compared TankBind with the most widely-used docking method AutoDock VinaTrott and Olson [2010] and the recent proposed geometry-based DL method EquiBind Stärk et al. [2022]. We also included four popular docking methods QVina-W, GINAMcNutt et al. [2021], SMINAKoes et al. [2013] and GLIDEFriesner et al. [2004] as listed in Stärk et al. [2022]. ", + "bbox": [ + 174, + 856, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/3fe70a5fa5e568ea300a36e7abe2116f37ac51b7e74db9b44dd4570a6c06d456.jpg", + "table_caption": [ + "Table 2: Blind self-docking for unseen receptors. All models evaluated on 142 crystallized proteincompound structures where the proteins have not been observed in training set. " + ], + "table_footnote": [], + "table_body": "
Ligand RMSD Percentiles ↓%BelowCentroid Distance Percentiles ↓% Below Threshold
个 Threshold
25%50%75%Mean2A5A25%50%75%Mean2A5A
QVINA-W3.410.328.116.915.331.91.36.526.815.235.447.9
GNINA4.513.427.816.713.927.82.010.127.015.125.739.5
SMINA4.810.926.015.79.025.71.66.525.713.629.941.7
GLIDE3.418.031.419.619.628.71.117.629.118.129.440.6
VINA7.916.627.118.71.412.02.415.726.216.120.437.3
EQUIBIND-U5.78.814.111.01.421.52.66.312.98.916.743.8
EQUIBIND5.99.114.311.30.718.82.66.312.98.916.743.8
TANKBind-R3.66.917.012.65.635.21.33.615.710.335.258.5
TANKBind-C3.45.59.89.99.243.01.12.68.17.946.565.5
TANKBind-P3.35.510.911.25.645.11.32.37.99.147.966.9
TANKBind2.94.78.89.14.955.61.32.34.87.045.175.4
", + "bbox": [ + 173, + 130, + 825, + 340 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Evaluation metrics. We follow prior work Stärk et al. [2022] and use ligand root-mean-square deviation (RMSD) of atomic positions and centroid distance to compare predicted binding structures with ground-truths. The Ligand RMSD calculates the normalized Frobenius norm of the two corresponding matrices of ligand coordinates. The centroid distance is defined as the the distance between the averaged 3D coordinates of the predicted and ground-truth bound ligand atoms, indicating the model capability of identifying correct binding region. Hydrogens are not involved in the calculation. ", + "bbox": [ + 174, + 391, + 825, + 489 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Performance in blind flexible self-docking We start with a real-world blind self-docking experiment, in which the ligand conformation is not fixed, and the result of re-docking experiment, in which the native ligand conformation is given, is reported in Appendix A. As shown in the table 1, TankBind achieves state-of-the-art performance, outperforming geometry DL-based model EquiBind. This advantage is particularly evident in the top $2 5 \\%$ and top $50 \\%$ ligand RMSD, which allows our method to predict $22 \\%$ more qualified (below Threshold $5 \\mathring \\mathrm { A }$ ) binding poses than EquiBind. This results are also consistent in the metrics of centroid distance, demonstrating that our method also has a clear advantage in the identification of binding region. Even though GLIDE (commercial) and Autodock Vina are established docking software with more than a decade of continuous development, our model remarkably frequently outperforms them. At the same time, we are orders of magnitude faster than them, and on the same level as EquiBind (Appendix C). In addition, we explore the possible of TankBind-R, where we randomly segment the protein, TankBind-P, where we only doing the summation over protein nodes in equation 1, and TankBind-C, where we only sum over compound nodes. The performance reduction on the these variants supports our view that trigonometry message passing between proteins and ligand and segmentation choice are critical to the prediction of binding structures. ", + "bbox": [ + 173, + 526, + 825, + 748 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Performance in self-docking unseen protein We next focus on the new protein setting, in which the tested proteins have not been observed in the training set. Table 2 shows that Tankbind leads to larger improvements over EquiBind and docking methods with regard to ligand-RMSD and centriod distance.This is in line with our expectation that TankBind has better generalization ability due to the physical-inspired trigonometry module and explicit consideration of conservative functional blocks. In this setting, as shown in Figure 3 and table 2, for fractions smaller than $2 \\mathring \\mathrm { A }$ , 5Å and $1 5 \\mathring \\mathrm { A }$ , the performance between EquiBind and other docking method are comparable, while TankBind is always better by a large margin, further confirming the effectiveness of our method and indicating that the proposed strategy has practical values for the virtual screening of new proteins. ", + "bbox": [ + 174, + 785, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/433506758c93192d844b3ef47d777cc94fd12a2a093fa8cc235eab2d96c11c16.jpg", + "image_caption": [ + "Figure 3: Estimator of the Cumulative Distribution Function (ECDF) plot for ligand RMSD (left) and Centroid Distance (right) from result evaluated on new receptors subset. The x axis of the figure stops at $1 5 \\mathring \\mathrm { A }$ because comparison for larger RMSD is less meaningful when the predicted location of the ligand is away from the true binding site, a RMSD of $1 5 \\mathring \\mathrm { A }$ is not better than RMSD of $5 0 \\mathring \\mathrm { A }$ . " + ], + "image_footnote": [], + "bbox": [ + 181, + 103, + 816, + 262 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/6336bb11015c76070699a93df3fbf4911d80201fb970f31640e7199218d771f7.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
MethodsLigand↓Centroid↓Below2A↑Below5A↑
w/o P2Rank9.377.30 44.9069.42
w/o Trig8.736.44 44.0874.93
TAPE8.816.89 50.6973.00
GAT8.276.23 56.4778.51
TankBind-P8.476.44 53.1774.38
TankBind-C8.20 6.2753.1773.28
Origin7.435.51 56.4777.41
", + "bbox": [ + 493, + 377, + 823, + 513 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/28a7f8bb724b01d8b8249243e97576a3f357fe5f8f1c8233e2bc6ae24fd887a0.jpg", + "table_caption": [ + "Table 4: Ablation results. We listed four main metrics here, a complete table is in appendix E " + ], + "table_footnote": [ + "Table 3: Binding affinity prediction. TankBind achieves SOTA on all four metrics. " + ], + "table_body": "
MethodsRMSE↓Pearson↑Spearman↑MAE↓
TransCPI1.741 0.5760.5401.404
MONN1.438 0.6240.5891.143
PIGNet※2.640 0.5110.4892.110
IGN1.433 0.6980.6411.169
HOLOPROT1.546 0.6020.5711.208
STAMPDPI1.658 0.5450.4111.325
TANKBind1.346 0.7260.7031.070
", + "bbox": [ + 173, + 377, + 483, + 513 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.2 Protein-ligand binding affinity prediction ", + "text_level": 1, + "bbox": [ + 173, + 582, + 500, + 598 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "TankBind is also capable of predicting protein-ligand binding affinity because of the constrastive affinity loss function. Since we segmented the whole protein into protein blocks, the predicted binding affinity of ligand to the whole protein is equal to the binding affinity to the one protein block that predicted to bind strongest with the ligand. To demonstrate the ability, we compared TankBind with the state-of-the-art binding affinity prediction models. ", + "bbox": [ + 174, + 609, + 825, + 679 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Dataset. We split the dataset into training, test and validation splits based on the same time split described earlier. The experimentally measured affinity data in PDBbind dataset has three different names, depending on the exact experiment setups, $50 \\%$ inhibiting concentration (IC50), inhibition constant $( K _ { i } )$ , and dissociation constant $( K _ { D } )$ , all converted to the unit of molar concentration. Similar to previous methods Somnath et al. [2021], Townshend et al. [2020], we predict negative log-transformed binding affinity. ", + "bbox": [ + 174, + 698, + 825, + 782 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Baselines and evaluation metrics. We compare TankBind against two state-of-the-art sequencebased methods, TransformerCPI Chen et al. [2020b] and MONN Li et al. [2020], two complex-based methods, IGN Jiang et al. [2021] and PIGNet Moon et al. [2022] both requiring prior knowledge of the inter-molecular structure to predict affinity, and two structure-based methods, HOLOPTOT Somnath et al. [2021] and STAMPDPI Wang et al. [2022]. For evaluating various methods, we use four metrics – root mean squared error (RMSE), Pearson correlation coefficient, Spearman correlation coefficient and mean absolute error (MAE). We also include the mean and standard deviation across 3 experimental runs in appendix D. ", + "bbox": [ + 174, + 800, + 825, + 911 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/eff82a8928b58a7d62890bdc17d1250163e22dccc27770dfac1bde99f15855f3.jpg", + "image_caption": [ + "Figure 4: (a) An example of TankBind identifying an unseen binding site. The protein is shown in white, co-crystallized compounds of three PDBs in the training set is shown in purple. The ligand of 6K1S is shown in green. TankBind is able to find this correct pose for the compound, shown in red, while the other two, Vina in orange, and Equibind in cyan, place the compound away from the true binding site. (b) For PDB 6QRG, both protein and compound have not been seen in the training set. But TankBind still find the correct pose. Crystallized ligand colored in green, TankBind prediction in red, EquiBind in cyan and Vina result in organ. " + ], + "image_footnote": [], + "bbox": [ + 173, + 90, + 818, + 282 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Result As shown in Table 3, our model obtains the best performance in PDBbind test set, consistently outperforms SOTA binding affinity prediction methods. Note that even without the prior interaction information, TankBind also achieves better result than complex-based methods (PIGNET and IGN), proving that the predicted binding structural information provided considerable gain to the affinity prediction task. ", + "bbox": [ + 174, + 435, + 825, + 505 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4.3 Ablation study ", + "text_level": 1, + "bbox": [ + 174, + 525, + 313, + 540 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We conducted ablation studies to investigate factors that influence the performance of proposed TankBind framework. As shown in Table 4, the original version of TankBind with the trigonometry message passing between protein and ligand shows the best performance among all architectures. Replacing the P2rank with a randomly split of blocks performed the worst, which verifies our hypothesis that functional block segmentation can improve generalization. Simple architecture substitutions for protein (TAPE) Rao et al. [2019] and molecular representation (GAT) Velickovi ˇ c´ et al. [2017] decrease slightly the model performance. Replacing the intra-trigonometry module with the uni-modal variants (TankBind-P and TankBind-C) both caused noticeable decreases in performances. ", + "bbox": [ + 174, + 553, + 825, + 678 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4.4 Case studies ", + "text_level": 1, + "bbox": [ + 174, + 698, + 297, + 712 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "TankBind correctly identifies an unseen binding site for a new drug compound. As a representative case, in PDB 6K1S, a seen protein binds to a new drug compound at a site that has not been observed before. This protein has three co-crystallized complex structures in the training set, PDB 4X60, 4X61, 4X63. As shown in the left of figure 4, our method, shown in red, aligns well with the true ligand, shown in green, despite our method has never seen any compound locates at this site before. While other two methods, EquiBind in cyan, Vina in orange identify an incorrect site for this compound. Packages Kalign, Biopython, and Smith-Waterman library are used to systematically analyze the results Lassmann [2020], Cock et al. [2009], Li et al. [2020], Zhao et al. [2013] (see Appendix H). ", + "bbox": [ + 174, + 726, + 825, + 849 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "TankBind finds the correct pose when both compound and protein are unseen. We picked two representative examples with both compound and protein are unseen, one, PDB 6QRG, in the right of figure 4 and another, PDB 6KQI, in appendix B. Both PDB 6QRG and PDB 6KQI have max protein similarity below 0.8 (6QRG 0.78, 6KQI 0.57), and max compound similarity below 0.4 (6QRG 0.36, 6KQI 0.27). ", + "bbox": [ + 176, + 869, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 90, + 825, + 119 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 140, + 299, + 157 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "In this work, we propose a novel binding structure and affinity prediction model, TankBind, that builds trigonometry constraints into the model and explicitly attends to all possible binding sites by segmenting the whole protein into functional blocks. We observe significant improvements on task of binding structure prediction over existing deep learning methods: a $22 \\%$ increase in the fraction of prediction below $\\bar { 5 } \\mathring { \\mathrm { A } }$ in ligand RMSD, and a $42 \\%$ increase when the proteins have not been observed in the training set. Moreover, we demonstrate that the model is able to predict affinity and outperform SOTA methods on PDBbind. This work opens a new direction for modelling the inter-molecular interaction between protein and drug molecule. Numerous directions for further exploration include incorporating a ligand conformer generation module, enhancing the dataset with AlphaFold-predicted structure and public available SAR data, integrating the segmentation of functional block in an end-to-end manner, and combining the model with protein backbone dynamics modeling to handle larger scale conformation changes induced by drug-protein interactions. ", + "bbox": [ + 174, + 172, + 825, + 340 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgments and Disclosure of Funding ", + "text_level": 1, + "bbox": [ + 174, + 361, + 553, + 380 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We thank Prof.Yuedong Yang, Dr.Leilei Shi, Dr. Jiahui Tong for their helpful discussions; Penglei Wang for his support in binding affinity experiments; Meihui Song for her support in figure drawing. We thank the Guangzhou National Supercomputer Center for providing computational source. S. $\\textsf { Z }$ acknowledges support from the National Key R&D Program of China (2020YFB0204803) and National Natural Science Foundation of China (21773313 and 61772566). 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Despite the importance of un-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 142, + 328, + 469, + 340 + ], + "spans": [ + { + "bbox": [ + 142, + 328, + 469, + 340 + ], + "score": 1.0, + "content": "derstanding these interactions, most previous works are limited by hand-designed", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 339, + 470, + 352 + ], + "spans": [ + { + "bbox": [ + 141, + 339, + 470, + 352 + ], + "score": 1.0, + "content": "scoring functions and insufficient conformation sampling. The recently-proposed", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 350, + 470, + 362 + ], + "spans": [ + { + "bbox": [ + 141, + 350, + 470, + 362 + ], + "score": 1.0, + "content": "graph neural network-based methods provides alternatives to predict protein-ligand", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 361, + 470, + 372 + ], + "spans": [ + { + "bbox": [ + 141, + 361, + 470, + 372 + ], + "score": 1.0, + "content": "complex conformation in a one-shot manner. However, these methods neglect", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 371, + 469, + 383 + ], + "spans": [ + { + "bbox": [ + 141, + 371, + 469, + 383 + ], + "score": 1.0, + "content": "the geometric constraints of the complex structure and weaken the role of local", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 383, + 469, + 394 + ], + "spans": [ + { + "bbox": [ + 141, + 383, + 469, + 394 + ], + "score": 1.0, + "content": "functional regions. As a result, they might produce unreasonable conformations", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 393, + 470, + 406 + ], + "spans": [ + { + "bbox": [ + 141, + 393, + 470, + 406 + ], + "score": 1.0, + "content": "for challenging targets and generalize poorly to novel proteins. In this paper, we", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 404, + 470, + 417 + ], + "spans": [ + { + "bbox": [ + 141, + 404, + 470, + 417 + ], + "score": 1.0, + "content": "propose Trigonometry-Aware Neural networKs for binding structure prediction,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 415, + 470, + 428 + ], + "spans": [ + { + "bbox": [ + 141, + 415, + 470, + 428 + ], + "score": 1.0, + "content": "TANKBind, that builds trigonometry constraint as a vigorous inductive bias into", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 141, + 426, + 469, + 438 + ], + "spans": [ + { + "bbox": [ + 141, + 426, + 469, + 438 + ], + "score": 1.0, + "content": "the model and explicitly attends to all possible binding sites for each protein by", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 437, + 471, + 449 + ], + "spans": [ + { + "bbox": [ + 141, + 437, + 471, + 449 + ], + "score": 1.0, + "content": "segmenting the whole protein into functional blocks. We construct novel con-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 448, + 470, + 461 + ], + "spans": [ + { + "bbox": [ + 141, + 448, + 470, + 461 + ], + "score": 1.0, + "content": "trastive losses with local region negative sampling to jointly optimize the binding", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 141, + 459, + 469, + 471 + ], + "spans": [ + { + "bbox": [ + 141, + 459, + 469, + 471 + ], + "score": 1.0, + "content": "interaction and affinity. Extensive experiments show substantial performance gains", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 141, + 470, + 469, + 482 + ], + "spans": [ + { + "bbox": [ + 141, + 470, + 469, + 482 + ], + "score": 1.0, + "content": "in comparison to state-of-the-art physics-based and deep learning-based methods", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 480, + 469, + 494 + ], + "spans": [ + { + "bbox": [ + 141, + 480, + 469, + 494 + ], + "score": 1.0, + "content": "on commonly-used benchmark datasets for both binding structure and affinity", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 491, + 274, + 504 + ], + "spans": [ + { + "bbox": [ + 141, + 491, + 274, + 504 + ], + "score": 1.0, + "content": "predictions with variant settings.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 24.5, + "bbox_fs": [ + 141, + 304, + 471, + 504 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 524, + 190, + 538 + ], + "lines": [ + { + "bbox": [ + 105, + 523, + 192, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 192, + 540 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 550, + 505, + 681 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "Proteins are the workhorses of human bodies. They have a wide range of interaction partners, small", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 505, + 573 + ], + "score": 1.0, + "content": "molecules, other proteins, and DNA/RNA, for example. In this paper, we focus on drug-like small", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "molecules as the interaction partners for proteins. The words ligands, drugs, small molecules and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "score": 1.0, + "content": "compounds are used interchangeably throughout the paper. Small molecules activate or inhibit", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "activities of target proteins through mostly non-covalent interactions. In 2021, FDA approved 60 new", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "score": 1.0, + "content": "drugs, among which 36 were small molecules Kinch et al. [2022]. Understanding the mechanism-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "of-actions and off-target effects of drug molecules typically requires analyzing the structures of the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "related protein-ligand complexes Boopathi et al. [2021], Xie et al. [2011], but solving the complex", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "structure experimentally is a an extremely challenging task. Despite tremendous effort spent on", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "this topic over the last 50 years, only about 19,000 protein-ligand complex structures have been", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 659, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 225, + 672 + ], + "score": 1.0, + "content": "solved experimentally using", + "type": "text" + }, + { + "bbox": [ + 225, + 660, + 234, + 669 + ], + "score": 0.31, + "content": "\\mathbf { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 659, + 506, + 672 + ], + "score": 1.0, + "content": "-ray, Cryo-EM or NMR Liu et al. [2015]. On the other hand, the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 668, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 104, + 668, + 249, + 684 + ], + "score": 1.0, + "content": "estimated chemical space of drug is", + "type": "text" + }, + { + "bbox": [ + 250, + 669, + 269, + 680 + ], + "score": 0.88, + "content": "\\mathrm { 1 0 ^ { 6 \\bar { 0 } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 668, + 506, + 684 + ], + "score": 1.0, + "content": "and estimated number of unique proteins in human body is", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 72, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 506, + 85 + ], + "score": 1.0, + "content": "at least 20, 000, making the number of possible protein-ligand complex far exceeding the number of", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 444, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 444, + 96 + ], + "score": 1.0, + "content": "experimentally solved structures Reymond et al. [2010], Ponomarenko et al. [2016].", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 40.5, + "bbox_fs": [ + 104, + 550, + 506, + 684 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 73, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 506, + 85 + ], + "score": 1.0, + "content": "at least 20, 000, making the number of possible protein-ligand complex far exceeding the number of", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 444, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 444, + 96 + ], + "score": 1.0, + "content": "experimentally solved structures Reymond et al. [2010], Ponomarenko et al. [2016].", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 107, + 100, + 505, + 231 + ], + "lines": [ + { + "bbox": [ + 105, + 99, + 506, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 506, + 113 + ], + "score": 1.0, + "content": "On the computational side, molecular docking is a commonly-used method for predicting the protein-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 111, + 507, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 111, + 507, + 124 + ], + "score": 1.0, + "content": "ligand complex structures the corresponding binding affinities Trott and Olson [2010], Friesner et al.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 122, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 505, + 134 + ], + "score": 1.0, + "content": "[2004], Ackloo et al. [2022], Gentile et al. [2022]. Generally, the docking process involves three", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "score": 1.0, + "content": "main stages: (1) locating favorable binding sites given a protein target; (2) sampling the ligand", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "conformation as well as its position and orientation within these sites; (3) scoring and ranking", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "the conformations of the complex using physics-inspired empirical energy functions to refine the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 506, + 178 + ], + "score": 1.0, + "content": "structures and assess protein-ligand binding affinity. Due to its good interpretability and usability,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "score": 1.0, + "content": "docking has been integrated in drug development process for a long time and a number of successful", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "cases have been reported Anderson [2003]. However, most open-source docking packages use atom-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 196, + 507, + 212 + ], + "spans": [ + { + "bbox": [ + 104, + 196, + 507, + 212 + ], + "score": 1.0, + "content": "level pairwise scoring functions, limiting the capacity to model the many-body effects. Moreover,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 209, + 507, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 507, + 222 + ], + "score": 1.0, + "content": "they need to sample a large range of possible ligand poses and protein side-chain conformations,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 220, + 451, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 220, + 451, + 232 + ], + "score": 1.0, + "content": "which leads to relatively high computational cost Trott and Olson [2010], Jain [2006].", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 236, + 505, + 378 + ], + "lines": [ + { + "bbox": [ + 106, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "To overcome these challenges, we propose a two-stage deep learning framework to neuralize the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 247, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 506, + 261 + ], + "score": 1.0, + "content": "molecular docking process and predict the binding structures with better accuracy and lower com-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "score": 1.0, + "content": "putational cost. In the first stage, we segment the whole protein into functional blocks and predict", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 267, + 507, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 507, + 283 + ], + "score": 1.0, + "content": "their interactions with the ligand, creating an protein-ligand interaction energy landscape using a", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "novel trigonometry-aware architecture. The trigonometry module has enough model capacity to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "score": 1.0, + "content": "capture many-body effects. In the second stage, we prioritize the crystallized binding structures", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "score": 1.0, + "content": "by constrastively ensuring a weaker binding affinity for non-native interactions. In particular, our", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 312, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 505, + 325 + ], + "score": 1.0, + "content": "model improves the drug-protein binding structure predictions with a combination of (i) a novel", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 506, + 337 + ], + "score": 1.0, + "content": "trigonometry-aware architecture that jointly infuses trigonometry constraints and excluded-volume", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 335, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 505, + 348 + ], + "score": 1.0, + "content": "effects as inductive biases, (ii) a new divide-and-conquer strategy that constructs the protein-ligand", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 344, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 505, + 360 + ], + "score": 1.0, + "content": "local functional binding pairs in a contrastive manner. By doing so, we create a funnel-shape energy", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 356, + 507, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 507, + 370 + ], + "score": 1.0, + "content": "landscape for the inter-molecular interaction, removing the need of extensive sampling Jumper et al.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 367, + 359, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 359, + 380 + ], + "score": 1.0, + "content": "[2021], Jain [2006], Chen et al. [2020a], Onuchic et al. [1997].", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "Our novel method is well-motivated by leveraging prior knowledge from physics and biology.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "Physically, the inter-molecular trigonometry module, inspired by the intra-molecular Evoformer", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "score": 1.0, + "content": "module used in AlphaFold2 Jumper et al. [2021], ensures that our energy landscape disfavors", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 415, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 506, + 430 + ], + "score": 1.0, + "content": "configurations of protein-ligand complexes that are prohibited by laws of nature, for instance, no", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "score": 1.0, + "content": "two atoms could overlap and the distances between atoms have to satisfy triangle inequality theorem", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "in euclidean geometry. More details on these constraints is shown in section 3.3. Biologically, the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "score": 1.0, + "content": "functional regions of proteins tend to be more conserved and closely associated with binding De Juan", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "et al. [2013], Glaser et al. [2003], allowing the model to learn critical information and generalize", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 472, + 209, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 209, + 483 + ], + "score": 1.0, + "content": "better to unseen proteins.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 105, + 486, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 506, + 501 + ], + "score": 1.0, + "content": "We evaluate our algorithm against several state-of-the-art deep learning and physics-based docking", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "methods on task of binding structure prediction under multiple settings. 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Our model is also capable of predicting binding affinities, achieving better correlations", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 543, + 506, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 506, + 556 + ], + "score": 1.0, + "content": "with experimentally-measured values than sequence-based, structure-based and even complex-based", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 554, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 566 + ], + "score": 1.0, + "content": "methods. We also show that TankBind has the potential to discover novel mechanism-of-actions of", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 565, + 345, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 345, + 578 + ], + "score": 1.0, + "content": "drug molecules by identifying unseen protein binding sites.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39.5 + }, + { + "type": "title", + "bbox": [ + 107, + 595, + 197, + 609 + ], + "lines": [ + { + "bbox": [ + 105, + 594, + 198, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 198, + 611 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 506, + 637 + ], + "score": 1.0, + "content": "Geometric Deep Learning for drug discovery. There has been a surge of interest in integrating", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 634, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 506, + 647 + ], + "score": 1.0, + "content": "geometric priors for representation learning in the domain of drug discovery Jumper et al. [2021],", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "Baek et al. [2021], Jing et al. [2021], Ganea et al. [2021], Jin et al. [2021], Ingraham et al. [2019],", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "AlQuraishi [2019], Schütt et al. [2017], Somnath et al. [2021]. Recent researches have incorporated", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "geometric information and symmetry properties of the input signals to improve the spatial perception", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 678, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 691 + ], + "score": 1.0, + "content": "of the learned representations. These works have been shown great potential in various applications", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "like protein structure modeling Jumper et al. [2021], Baek et al. [2021], Jing et al. [2021], Ganea et al.", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 699, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 714 + ], + "score": 1.0, + "content": "[2021], molecular low-energy generation prediction Shi et al. [2021], Xu et al. [2022], Méndez-Lucio", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "et al. [2021], property/function prediction Schütt et al. [2017], Somnath et al. [2021] and molecule", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 49 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 310, + 753 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 310, + 753 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 73, + 504, + 95 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 106, + 72, + 506, + 96 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 100, + 505, + 231 + ], + "lines": [ + { + "bbox": [ + 105, + 99, + 506, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 506, + 113 + ], + "score": 1.0, + "content": "On the computational side, molecular docking is a commonly-used method for predicting the protein-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 111, + 507, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 111, + 507, + 124 + ], + "score": 1.0, + "content": "ligand complex structures the corresponding binding affinities Trott and Olson [2010], Friesner et al.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 122, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 505, + 134 + ], + "score": 1.0, + "content": "[2004], Ackloo et al. 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Generally, the docking process involves three", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "score": 1.0, + "content": "main stages: (1) locating favorable binding sites given a protein target; (2) sampling the ligand", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "conformation as well as its position and orientation within these sites; (3) scoring and ranking", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "the conformations of the complex using physics-inspired empirical energy functions to refine the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 506, + 178 + ], + "score": 1.0, + "content": "structures and assess protein-ligand binding affinity. Due to its good interpretability and usability,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "score": 1.0, + "content": "docking has been integrated in drug development process for a long time and a number of successful", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "cases have been reported Anderson [2003]. However, most open-source docking packages use atom-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 196, + 507, + 212 + ], + "spans": [ + { + "bbox": [ + 104, + 196, + 507, + 212 + ], + "score": 1.0, + "content": "level pairwise scoring functions, limiting the capacity to model the many-body effects. Moreover,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 209, + 507, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 507, + 222 + ], + "score": 1.0, + "content": "they need to sample a large range of possible ligand poses and protein side-chain conformations,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 220, + 451, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 220, + 451, + 232 + ], + "score": 1.0, + "content": "which leads to relatively high computational cost Trott and Olson [2010], Jain [2006].", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 7.5, + "bbox_fs": [ + 104, + 99, + 507, + 232 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 236, + 505, + 378 + ], + "lines": [ + { + "bbox": [ + 106, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "To overcome these challenges, we propose a two-stage deep learning framework to neuralize the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 247, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 506, + 261 + ], + "score": 1.0, + "content": "molecular docking process and predict the binding structures with better accuracy and lower com-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "score": 1.0, + "content": "putational cost. In the first stage, we segment the whole protein into functional blocks and predict", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 267, + 507, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 507, + 283 + ], + "score": 1.0, + "content": "their interactions with the ligand, creating an protein-ligand interaction energy landscape using a", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "novel trigonometry-aware architecture. The trigonometry module has enough model capacity to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "score": 1.0, + "content": "capture many-body effects. In the second stage, we prioritize the crystallized binding structures", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "score": 1.0, + "content": "by constrastively ensuring a weaker binding affinity for non-native interactions. In particular, our", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 312, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 505, + 325 + ], + "score": 1.0, + "content": "model improves the drug-protein binding structure predictions with a combination of (i) a novel", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 506, + 337 + ], + "score": 1.0, + "content": "trigonometry-aware architecture that jointly infuses trigonometry constraints and excluded-volume", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 335, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 505, + 348 + ], + "score": 1.0, + "content": "effects as inductive biases, (ii) a new divide-and-conquer strategy that constructs the protein-ligand", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 344, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 505, + 360 + ], + "score": 1.0, + "content": "local functional binding pairs in a contrastive manner. By doing so, we create a funnel-shape energy", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 356, + 507, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 507, + 370 + ], + "score": 1.0, + "content": "landscape for the inter-molecular interaction, removing the need of extensive sampling Jumper et al.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 367, + 359, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 359, + 380 + ], + "score": 1.0, + "content": "[2021], Jain [2006], Chen et al. [2020a], Onuchic et al. [1997].", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 236, + 507, + 380 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "Our novel method is well-motivated by leveraging prior knowledge from physics and biology.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "Physically, the inter-molecular trigonometry module, inspired by the intra-molecular Evoformer", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "score": 1.0, + "content": "module used in AlphaFold2 Jumper et al. [2021], ensures that our energy landscape disfavors", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 415, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 506, + 430 + ], + "score": 1.0, + "content": "configurations of protein-ligand complexes that are prohibited by laws of nature, for instance, no", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "score": 1.0, + "content": "two atoms could overlap and the distances between atoms have to satisfy triangle inequality theorem", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "in euclidean geometry. More details on these constraints is shown in section 3.3. Biologically, the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "score": 1.0, + "content": "functional regions of proteins tend to be more conserved and closely associated with binding De Juan", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "et al. [2013], Glaser et al. 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Compared with baselines,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "score": 1.0, + "content": "our model increase the fraction of predictions with ligand root-mean-square deviation (RMSD) less", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 125, + 534 + ], + "score": 1.0, + "content": "than", + "type": "text" + }, + { + "bbox": [ + 125, + 520, + 139, + 532 + ], + "score": 0.63, + "content": "5 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 520, + 152, + 534 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 152, + 521, + 171, + 532 + ], + "score": 0.86, + "content": "16 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 520, + 257, + 534 + ], + "score": 1.0, + "content": "in re-docking setting,", + "type": "text" + }, + { + "bbox": [ + 257, + 521, + 276, + 532 + ], + "score": 0.86, + "content": "22 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 520, + 385, + 534 + ], + "score": 1.0, + "content": "in self-docking setting, and", + "type": "text" + }, + { + "bbox": [ + 385, + 521, + 405, + 532 + ], + "score": 0.87, + "content": "42 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 520, + 506, + 534 + ], + "score": 1.0, + "content": "in the more difficult new-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 532, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 505, + 545 + ], + "score": 1.0, + "content": "protein setting. 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We also show that TankBind has the potential to discover novel mechanism-of-actions of", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 565, + 345, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 345, + 578 + ], + "score": 1.0, + "content": "drug molecules by identifying unseen protein binding sites.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 486, + 506, + 578 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 595, + 197, + 609 + ], + "lines": [ + { + "bbox": [ + 105, + 594, + 198, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 198, + 611 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 506, + 637 + ], + "score": 1.0, + "content": "Geometric Deep Learning for drug discovery. There has been a surge of interest in integrating", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 634, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 506, + 647 + ], + "score": 1.0, + "content": "geometric priors for representation learning in the domain of drug discovery Jumper et al. [2021],", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "Baek et al. [2021], Jing et al. [2021], Ganea et al. [2021], Jin et al. [2021], Ingraham et al. [2019],", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "AlQuraishi [2019], Schütt et al. [2017], Somnath et al. [2021]. Recent researches have incorporated", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "geometric information and symmetry properties of the input signals to improve the spatial perception", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 678, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 691 + ], + "score": 1.0, + "content": "of the learned representations. These works have been shown great potential in various applications", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "like protein structure modeling Jumper et al. [2021], Baek et al. [2021], Jing et al. 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A constrastive", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 294, + 475, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 475, + 307 + ], + "score": 1.0, + "content": "loss function is used to ensure the native block binds stronger to the compound than decoys.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 326, + 505, + 382 + ], + "lines": [ + { + "bbox": [ + 105, + 326, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 505, + 340 + ], + "score": 1.0, + "content": "design Jin et al. [2021], Ingraham et al. [2019]. Among which, AlphaFold 2 achieved outstanding", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "performance in protein structure prediction Jumper et al. 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A constrastive", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 294, + 475, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 475, + 307 + ], + "score": 1.0, + "content": "loss function is used to ensure the native block binds stronger to the compound than decoys.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 326, + 505, + 382 + ], + "lines": [], + "index": 12, + "bbox_fs": [ + 105, + 326, + 506, + 384 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 395, + 505, + 548 + ], + "lines": [ + { + "bbox": [ + 105, + 393, + 506, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 409 + ], + "score": 1.0, + "content": "Drug-protein Interaction (DPI) prediction. The goal of DPI prediction is to illustrate the binding", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 406, + 506, + 418 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 506, + 418 + ], + "score": 1.0, + "content": "structure and binding affinity between protein and ligand. Apart from docking-based approaches Trott", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "and Olson [2010], Friesner et al. [2004], prior machine learning-based works either use complex-free", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "score": 1.0, + "content": "models to predict the binding affinity directly from protein-ligand pairs Wang and Dokholyan [2021],", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "score": 1.0, + "content": "Li et al. [2020], Tsubaki et al. [2019], Gao et al. [2018], Karimi et al. [2019], Zheng et al. [2020] or", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "make predictions through complex structure that has been previously obtained by experimental or", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 461, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 506, + 473 + ], + "score": 1.0, + "content": "docking approaches Jiménez et al. [2018], Lim et al. [2019], Morrone et al. [2020]. The former ones", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "are less interpretable while the latter requires data involved in vast experimental costs and labour.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 482, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 495 + ], + "score": 1.0, + "content": "More recently, EquiBind Stärk et al. [2022] takes a new approach by directly predicting the key", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 493, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 506 + ], + "score": 1.0, + "content": "points on both the protein and the compound, and aligning their key points through the ingeniously", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 503, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 518 + ], + "score": 1.0, + "content": "designed optimal transport loss. However, this method may generate compound structures clashing", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 513, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 104, + 513, + 506, + 529 + ], + "score": 1.0, + "content": "with the protein structures and currently lacks the capability to predict the binding affinity, limiting", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 525, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 539 + ], + "score": 1.0, + "content": "its use in drug discovery. In contrast, our approach has a trigonometry module imposing geometry", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 537, + 388, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 388, + 550 + ], + "score": 1.0, + "content": "constraints and a state-of-the-art binding affinity prediction capability.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 21.5, + "bbox_fs": [ + 104, + 393, + 506, + 550 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 564, + 212, + 578 + ], + "lines": [ + { + "bbox": [ + 104, + 563, + 214, + 578 + ], + "spans": [ + { + "bbox": [ + 104, + 563, + 214, + 578 + ], + "score": 1.0, + "content": "3 TankBind Model", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "title", + "bbox": [ + 108, + 589, + 255, + 601 + ], + "lines": [ + { + "bbox": [ + 105, + 588, + 257, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 257, + 602 + ], + "score": 1.0, + "content": "3.1 Overview of TankBind model", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 610, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 106, + 610, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 610, + 505, + 622 + ], + "score": 1.0, + "content": "The general protocol of our model is shown in figure 1. The encoding of protein and compound is", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "described in section 3.2. The rationale and implementation of trigonometry module is detailed in", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 632, + 506, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 645 + ], + "score": 1.0, + "content": "section 3.3. The design of loss functions for training is described in section 3.4. 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The protein is represented as a proximity 3D graph following Jing et al. [2020]. We denote", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 190, + 96 + ], + "score": 1.0, + "content": "the protein graph as", + "type": "text" + }, + { + "bbox": [ + 190, + 83, + 250, + 96 + ], + "score": 0.96, + "content": "\\mathcal G ^ { p } = \\mathsf { \\bar { ( } } \\mathcal V ^ { p } , \\mathcal E ^ { p } )", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 83, + 326, + 96 + ], + "score": 1.0, + "content": ", where each node", + "type": "text" + }, + { + "bbox": [ + 326, + 83, + 361, + 96 + ], + "score": 0.93, + "content": "\\bar { \\mathfrak { v } } _ { i } ^ { p } \\in \\mathcal { V } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 83, + 505, + 96 + ], + "score": 1.0, + "content": "corresponds to an amino acid, and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 102, + 92, + 508, + 114 + ], + "spans": [ + { + "bbox": [ + 102, + 92, + 153, + 114 + ], + "score": 1.0, + "content": "has feature", + "type": "text" + }, + { + "bbox": [ + 153, + 95, + 170, + 109 + ], + "score": 0.92, + "content": "\\mathbf { h } _ { \\mathfrak { v } ^ { p } } ^ { ( i ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 92, + 443, + 114 + ], + "score": 1.0, + "content": "with both scalar and vector features. Each node also has a position", + "type": "text" + }, + { + "bbox": [ + 443, + 96, + 479, + 110 + ], + "score": 0.93, + "content": "\\mathbf { x } _ { i } ^ { p } \\in \\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 92, + 508, + 114 + ], + "score": 1.0, + "content": "equal", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 108, + 506, + 122 + ], + "spans": [ + { + "bbox": [ + 105, + 108, + 230, + 122 + ], + "score": 1.0, + "content": "to the Cartesian coordinate of", + "type": "text" + }, + { + "bbox": [ + 231, + 109, + 247, + 121 + ], + "score": 0.92, + "content": "C _ { \\alpha _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 108, + 289, + 122 + ], + "score": 1.0, + "content": ". An edge", + "type": "text" + }, + { + "bbox": [ + 290, + 108, + 303, + 121 + ], + "score": 0.91, + "content": "\\mathfrak { e } _ { i k } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 108, + 339, + 122 + ], + "score": 1.0, + "content": "exists if", + "type": "text" + }, + { + "bbox": [ + 339, + 109, + 350, + 121 + ], + "score": 0.9, + "content": "\\mathfrak { v } _ { k } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 108, + 506, + 122 + ], + "score": 1.0, + "content": "is among the 30 nearest neighbors of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 118, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 119, + 117, + 132 + ], + "score": 0.89, + "content": "\\mathfrak { v } _ { i } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 118, + 169, + 134 + ], + "score": 1.0, + "content": ". Each edge", + "type": "text" + }, + { + "bbox": [ + 169, + 119, + 207, + 132 + ], + "score": 0.93, + "content": "{ \\mathfrak { e } } _ { i k } ^ { p } \\in { \\mathcal { E } } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 118, + 506, + 134 + ], + "score": 1.0, + "content": "also encodes both the scalar and the vector features. We then apply the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 130, + 505, + 143 + ], + "spans": [ + { + "bbox": [ + 105, + 130, + 505, + 143 + ], + "score": 1.0, + "content": "geometric vector perceptrons (GVP) Jing et al. [2020, 2021] to embed the protein and arrive at feature", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 140, + 497, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 141, + 153, + 152 + ], + "score": 0.91, + "content": "\\mathbf { h } ^ { p } \\in \\mathbb { R } ^ { n \\times s }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 140, + 280, + 155 + ], + "score": 1.0, + "content": "after graph propagation, where", + "type": "text" + }, + { + "bbox": [ + 280, + 144, + 287, + 151 + ], + "score": 0.75, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 140, + 398, + 155 + ], + "score": 1.0, + "content": "is the number of nodes and", + "type": "text" + }, + { + "bbox": [ + 399, + 144, + 405, + 151 + ], + "score": 0.72, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 140, + 497, + 155 + ], + "score": 1.0, + "content": "is the embedding size.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 106, + 157, + 505, + 202 + ], + "lines": [ + { + "bbox": [ + 105, + 157, + 506, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 157, + 506, + 171 + ], + "score": 1.0, + "content": "To implicitly model side-chain flexibility, we choose a residue-level representation ignoring the finer", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 168, + 506, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 506, + 181 + ], + "score": 1.0, + "content": "details of protein structure, separating our method from other methods that use all-atoms or surface", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 192 + ], + "score": 1.0, + "content": "vertexes representation Jiang et al. [2021], Gainza et al. [2020]. Also, as shown by Jumper et al.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 190, + 453, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 453, + 203 + ], + "score": 1.0, + "content": "[2021, 2018], residue-level embedding is enough to infer the side-chain conformation.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 106, + 206, + 505, + 280 + ], + "lines": [ + { + "bbox": [ + 105, + 206, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 206, + 505, + 220 + ], + "score": 1.0, + "content": "Motivated by protein co-evolution De Juan et al. [2013] and divide-and-conquer theory, the protein", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 218, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 133, + 232 + ], + "score": 1.0, + "content": "graph,", + "type": "text" + }, + { + "bbox": [ + 134, + 219, + 146, + 230 + ], + "score": 0.85, + "content": "\\mathcal G ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 218, + 279, + 232 + ], + "score": 1.0, + "content": ", is further divided into subgraphs", + "type": "text" + }, + { + "bbox": [ + 279, + 218, + 294, + 230 + ], + "score": 0.9, + "content": "\\mathcal { G } ^ { p ^ { \\prime } }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 218, + 358, + 232 + ], + "score": 1.0, + "content": ". Each subgraph", + "type": "text" + }, + { + "bbox": [ + 359, + 218, + 373, + 230 + ], + "score": 0.9, + "content": "\\mathcal G ^ { p ^ { \\prime } }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 218, + 437, + 232 + ], + "score": 1.0, + "content": "includes all the", + "type": "text" + }, + { + "bbox": [ + 437, + 219, + 448, + 232 + ], + "score": 0.89, + "content": "\\mathfrak { v } _ { i } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 218, + 466, + 232 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 466, + 219, + 478, + 233 + ], + "score": 0.9, + "content": "\\mathfrak { e } _ { i j } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 218, + 505, + 232 + ], + "score": 1.0, + "content": "inside", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 232, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 104, + 232, + 295, + 248 + ], + "score": 1.0, + "content": "the functional block. 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We denote", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 190, + 96 + ], + "score": 1.0, + "content": "the protein graph as", + "type": "text" + }, + { + "bbox": [ + 190, + 83, + 250, + 96 + ], + "score": 0.96, + "content": "\\mathcal G ^ { p } = \\mathsf { \\bar { ( } } \\mathcal V ^ { p } , \\mathcal E ^ { p } )", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 83, + 326, + 96 + ], + "score": 1.0, + "content": ", where each node", + "type": "text" + }, + { + "bbox": [ + 326, + 83, + 361, + 96 + ], + "score": 0.93, + "content": "\\bar { \\mathfrak { v } } _ { i } ^ { p } \\in \\mathcal { V } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 83, + 505, + 96 + ], + "score": 1.0, + "content": "corresponds to an amino acid, and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 102, + 92, + 508, + 114 + ], + "spans": [ + { + "bbox": [ + 102, + 92, + 153, + 114 + ], + "score": 1.0, + "content": "has feature", + "type": "text" + }, + { + "bbox": [ + 153, + 95, + 170, + 109 + ], + "score": 0.92, + "content": "\\mathbf { h } _ { \\mathfrak { v } ^ { p } } ^ { ( i ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 92, + 443, + 114 + ], + "score": 1.0, + "content": "with both scalar and vector features. Each node also has a position", + "type": "text" + }, + { + "bbox": [ + 443, + 96, + 479, + 110 + ], + "score": 0.93, + "content": "\\mathbf { x } _ { i } ^ { p } \\in \\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 92, + 508, + 114 + ], + "score": 1.0, + "content": "equal", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 108, + 506, + 122 + ], + "spans": [ + { + "bbox": [ + 105, + 108, + 230, + 122 + ], + "score": 1.0, + "content": "to the Cartesian coordinate of", + "type": "text" + }, + { + "bbox": [ + 231, + 109, + 247, + 121 + ], + "score": 0.92, + "content": "C _ { \\alpha _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 108, + 289, + 122 + ], + "score": 1.0, + "content": ". 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Each edge", + "type": "text" + }, + { + "bbox": [ + 169, + 119, + 207, + 132 + ], + "score": 0.93, + "content": "{ \\mathfrak { e } } _ { i k } ^ { p } \\in { \\mathcal { E } } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 118, + 506, + 134 + ], + "score": 1.0, + "content": "also encodes both the scalar and the vector features. We then apply the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 130, + 505, + 143 + ], + "spans": [ + { + "bbox": [ + 105, + 130, + 505, + 143 + ], + "score": 1.0, + "content": "geometric vector perceptrons (GVP) Jing et al. [2020, 2021] to embed the protein and arrive at feature", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 140, + 497, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 141, + 153, + 152 + ], + "score": 0.91, + "content": "\\mathbf { h } ^ { p } \\in \\mathbb { R } ^ { n \\times s }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 140, + 280, + 155 + ], + "score": 1.0, + "content": "after graph propagation, where", + "type": "text" + }, + { + "bbox": [ + 280, + 144, + 287, + 151 + ], + "score": 0.75, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 140, + 398, + 155 + ], + "score": 1.0, + "content": "is the number of nodes and", + "type": "text" + }, + { + "bbox": [ + 399, + 144, + 405, + 151 + ], + "score": 0.72, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 140, + 497, + 155 + ], + "score": 1.0, + "content": "is the embedding size.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3, + "bbox_fs": [ + 102, + 72, + 508, + 155 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 157, + 505, + 202 + ], + "lines": [ + { + "bbox": [ + 105, + 157, + 506, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 157, + 506, + 171 + ], + "score": 1.0, + "content": "To implicitly model side-chain flexibility, we choose a residue-level representation ignoring the finer", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 168, + 506, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 506, + 181 + ], + "score": 1.0, + "content": "details of protein structure, separating our method from other methods that use all-atoms or surface", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 192 + ], + "score": 1.0, + "content": "vertexes representation Jiang et al. [2021], Gainza et al. [2020]. Also, as shown by Jumper et al.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 190, + 453, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 453, + 203 + ], + "score": 1.0, + "content": "[2021, 2018], residue-level embedding is enough to infer the side-chain conformation.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 157, + 506, + 203 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 206, + 505, + 280 + ], + "lines": [ + { + "bbox": [ + 105, + 206, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 206, + 505, + 220 + ], + "score": 1.0, + "content": "Motivated by protein co-evolution De Juan et al. [2013] and divide-and-conquer theory, the protein", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 218, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 133, + 232 + ], + "score": 1.0, + "content": "graph,", + "type": "text" + }, + { + "bbox": [ + 134, + 219, + 146, + 230 + ], + "score": 0.85, + "content": "\\mathcal G ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 218, + 279, + 232 + ], + "score": 1.0, + "content": ", is further divided into subgraphs", + "type": "text" + }, + { + "bbox": [ + 279, + 218, + 294, + 230 + ], + "score": 0.9, + "content": "\\mathcal { G } ^ { p ^ { \\prime } }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 218, + 358, + 232 + ], + "score": 1.0, + "content": ". 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As shown in the upper figure 2, if protein node A forms a strong", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 123, + 505, + 136 + ], + "spans": [ + { + "bbox": [ + 106, + 123, + 419, + 136 + ], + "score": 1.0, + "content": "interaction, hydrogen bonding for example, with compound node B, then node", + "type": "text" + }, + { + "bbox": [ + 419, + 124, + 428, + 133 + ], + "score": 0.26, + "content": "\\mathbf { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 123, + 505, + 136 + ], + "score": 1.0, + "content": "is unlikely to form", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 134, + 505, + 147 + ], + "spans": [ + { + "bbox": [ + 106, + 134, + 505, + 147 + ], + "score": 1.0, + "content": "the same type of interaction with node A because node A has limited number of hydrogen donors", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 145, + 505, + 157 + ], + "spans": [ + { + "bbox": [ + 106, + 145, + 505, + 157 + ], + "score": 1.0, + "content": "or acceptors. To account for these effects, we designed a self-attention module to modulate the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 157, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 157, + 505, + 168 + ], + "score": 1.0, + "content": "interaction between a protein node and all compound nodes by taking the whole interaction between", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 167, + 353, + 179 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 353, + 179 + ], + "score": 1.0, + "content": "this protein node and all compound nodes into consideration.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5 + }, + { + "type": "interline_equation", + "bbox": [ + 189, + 183, + 422, + 240 + ], + "lines": [ + { + "bbox": [ + 189, + 183, + 422, + 240 + ], + "spans": [ + { + "bbox": [ + 189, + 183, + 422, + 240 + ], + "score": 0.95, + "content": "\\begin{array} { r l } & { \\dot { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } = \\tilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } + \\Phi ( \\mathrm { c o n c a t } _ { h } \\big ( \\displaystyle \\sum _ { k ^ { \\prime } = 1 } ^ { m } ( w _ { i j k ^ { \\prime } } ^ { ( \\ell ) h } \\mathbf { v } _ { i k ^ { \\prime } } ^ { ( \\ell ) h } ) \\odot \\mathbf { g } ^ { h } ( \\tilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } ) \\big ) ) } \\\\ & { w _ { i j k ^ { \\prime } } ^ { ( \\ell ) h } = \\mathrm { s o f t m a x } _ { k ^ { \\prime } } ( \\mathbf { q } _ { i j } ^ { ( \\ell ) h ^ { \\top } } \\mathbf { k } _ { i k ^ { \\prime } } ^ { ( \\ell ) h } ) } \\end{array}", + "type": "interline_equation", + "image_path": "28bb2249b676fce13ceb44cb9f5d7b9a687a29bec215dafdfc3182443ba799ed.jpg" + } + ] + } + ], + "index": 10.5, + "virtual_lines": [ + { + "bbox": [ + 189, + 183, + 422, + 197.25 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 189, + 197.25, + 422, + 211.5 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 189, + 211.5, + 422, + 225.75 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 189, + 225.75, + 422, + 240.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 244, + 504, + 272 + ], + "lines": [ + { + "bbox": [ + 105, + 237, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 154, + 261 + ], + "score": 1.0, + "content": ", where q(ℓ)ij", + "type": "text" + }, + { + "bbox": [ + 138, + 243, + 210, + 261 + ], + "score": 0.83, + "content": "\\mathbf { q } _ { i j } ^ { ( \\ell ) h } , \\mathbf { k } _ { i j } ^ { ( \\ell ) h } , \\mathbf { v } _ { i j } ^ { ( \\ell ) h }", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 237, + 322, + 268 + ], + "score": 1.0, + "content": "are linear transformation of", + "type": "text" + }, + { + "bbox": [ + 322, + 244, + 338, + 261 + ], + "score": 0.87, + "content": "\\tilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 237, + 342, + 268 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 342, + 246, + 349, + 257 + ], + "score": 0.58, + "content": "h", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 237, + 506, + 268 + ], + "score": 1.0, + "content": "is number of attention heads. 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The whole trigonometry module is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "score": 1.0, + "content": "composed of three consecutive parts, the trigonometry update, the self-attention modulation, and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 310, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 104, + 310, + 397, + 331 + ], + "score": 1.0, + "content": "the non-linear transition module. Layernorm is applied on every input", + "type": "text" + }, + { + "bbox": [ + 397, + 312, + 413, + 328 + ], + "score": 0.91, + "content": "\\mathbf { z } _ { i j } ^ { ( \\ell ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 310, + 439, + 331 + ], + "score": 1.0, + "content": "and a", + "type": "text" + }, + { + "bbox": [ + 439, + 314, + 460, + 325 + ], + "score": 0.87, + "content": "25 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 310, + 506, + 331 + ], + "score": 1.0, + "content": "dropout is", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 325, + 507, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 507, + 339 + ], + "score": 1.0, + "content": "applied to the trigonometry update and self-attention modulation during training. The final outputs,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 102, + 331, + 511, + 358 + ], + "spans": [ + { + "bbox": [ + 102, + 331, + 230, + 358 + ], + "score": 1.0, + "content": "drug-protein binding affinity,", + "type": "text" + }, + { + "bbox": [ + 230, + 338, + 302, + 353 + ], + "score": 0.86, + "content": "\\begin{array} { r } { \\hat { a } = \\sum _ { i = 1 } ^ { n } \\sum _ { j = 1 } ^ { m } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 331, + 330, + 358 + ], + "score": 1.0, + "content": "Linear", + "type": "text" + }, + { + "bbox": [ + 330, + 336, + 355, + 353 + ], + "score": 0.57, + "content": "( \\mathbf { z } _ { i j } ^ { ( L ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 331, + 511, + 358 + ], + "score": 1.0, + "content": ", and inter-molecular distance map,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 100, + 347, + 510, + 375 + ], + "spans": [ + { + "bbox": [ + 100, + 349, + 141, + 373 + ], + "score": 1.0, + "content": "Dpredij =", + "type": "text" + }, + { + "bbox": [ + 106, + 352, + 228, + 369 + ], + "score": 0.91, + "content": "D _ { i j } ^ { p r e d } = \\mathbf { g } ( \\mathbf { z } _ { i j } ^ { ( L ) } ) \\mathrm { L i n e a r } ( \\mathbf { z } _ { i j } ^ { ( L ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 347, + 455, + 375 + ], + "score": 1.0, + "content": ", are predicted directly based on the last layer embedding", + "type": "text" + }, + { + "bbox": [ + 456, + 352, + 474, + 369 + ], + "score": 0.92, + "content": "\\mathbf { z } _ { i j } ^ { ( L ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 347, + 510, + 375 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 366, + 245, + 379 + ], + "spans": [ + { + "bbox": [ + 107, + 368, + 114, + 377 + ], + "score": 0.79, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 366, + 245, + 379 + ], + "score": 1.0, + "content": "is the number of module stacks.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 107, + 391, + 366, + 403 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 367, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 367, + 406 + ], + "score": 1.0, + "content": "3.4 Design of binding interaction and affinity loss functions", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 411, + 506, + 533 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "Many previous works model the interaction between compound and protein by only preserving the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 423, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 506, + 435 + ], + "score": 1.0, + "content": "interaction region, residues that far away are ignored Townshend et al. [2020], Méndez-Lucio et al.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "score": 1.0, + "content": "[2021]. On the positive side, the computation and memory demand for characterize the interaction", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 445, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 506, + 457 + ], + "score": 1.0, + "content": "between protein and the drug compound is greatly reduced by focusing on regional interaction. But", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 454, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 469 + ], + "score": 1.0, + "content": "the fact of not binding to alternative binding sites is also a valuable information. By the nature of", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "score": 1.0, + "content": "crystallization, if a protein-compound complex could be successfully crystallized, other possible", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 478, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 506, + 490 + ], + "score": 1.0, + "content": "binding sites on this protein definitely bind less strongly than the native binding site to the compound,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 488, + 507, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 507, + 501 + ], + "score": 1.0, + "content": "therefore, those other binding sites could be used as high-valued decoys. Based on this observation,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 499, + 507, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 507, + 512 + ], + "score": 1.0, + "content": "we designed a max-margin constrastive affinity loss, equation 4, following the idea of Hadsell et al.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 317, + 523 + ], + "score": 1.0, + "content": "[2006]. Such that the compound’s predicted affinity,", + "type": "text" + }, + { + "bbox": [ + 317, + 511, + 323, + 520 + ], + "score": 0.78, + "content": "\\hat { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 510, + 505, + 523 + ], + "score": 1.0, + "content": ", to the decoys is less than the experimentally", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 521, + 276, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 180, + 534 + ], + "score": 1.0, + "content": "measured affinity,", + "type": "text" + }, + { + "bbox": [ + 180, + 523, + 186, + 531 + ], + "score": 0.73, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 521, + 266, + 534 + ], + "score": 1.0, + "content": ", by a margin value,", + "type": "text" + }, + { + "bbox": [ + 267, + 524, + 272, + 531 + ], + "score": 0.32, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 521, + 276, + 534 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29 + }, + { + "type": "interline_equation", + "bbox": [ + 166, + 537, + 444, + 552 + ], + "lines": [ + { + "bbox": [ + 166, + 537, + 444, + 552 + ], + "spans": [ + { + "bbox": [ + 166, + 537, + 444, + 552 + ], + "score": 0.86, + "content": "\\mathcal { L } _ { \\mathrm { a f f i n i t y } } ( \\hat { a } _ { \\zeta } , a ) = \\mathbb { 1 } ( \\zeta ) ( \\hat { a } _ { \\zeta } - a ) ^ { 2 } + ( 1 - \\mathbb { 1 } ( \\zeta ) ) \\operatorname* { m a x } ( 0 , \\hat { a } _ { \\zeta } - ( a - \\epsilon ) ) ^ { 2 }", + "type": "interline_equation", + "image_path": "0580b61767cedf17a0057ed6c2e16df757d7ae1e4f2aac057ec346f1a30d91c0.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 166, + 537, + 444, + 552 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 557, + 506, + 617 + ], + "lines": [ + { + "bbox": [ + 106, + 557, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 132, + 569 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 558, + 144, + 570 + ], + "score": 0.88, + "content": "\\hat { a } _ { \\zeta }", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 557, + 273, + 569 + ], + "score": 1.0, + "content": "is the predicted affinity to block", + "type": "text" + }, + { + "bbox": [ + 273, + 558, + 280, + 569 + ], + "score": 0.8, + "content": "\\zeta", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 557, + 374, + 569 + ], + "score": 1.0, + "content": ", and indicator function", + "type": "text" + }, + { + "bbox": [ + 374, + 558, + 412, + 570 + ], + "score": 0.92, + "content": "\\mathbb { 1 } ( \\zeta ) = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 557, + 461, + 569 + ], + "score": 1.0, + "content": "when block", + "type": "text" + }, + { + "bbox": [ + 461, + 558, + 468, + 569 + ], + "score": 0.84, + "content": "\\zeta", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 557, + 505, + 569 + ], + "score": 1.0, + "content": "encloses", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 569, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 199, + 581 + ], + "score": 1.0, + "content": "the native ligand, and", + "type": "text" + }, + { + "bbox": [ + 199, + 569, + 240, + 581 + ], + "score": 0.95, + "content": "\\mathbb { 1 } ( \\zeta ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 569, + 506, + 581 + ], + "score": 1.0, + "content": "otherwise. We, therefore, take full use of information stored in", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "the whole protein instead of only the native binding region. 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By minimizing the total loss,", + "type": "text" + }, + { + "bbox": [ + 394, + 700, + 431, + 712 + ], + "score": 0.82, + "content": "\\mathcal { L } _ { \\mathrm { g e n e r a t i o n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 699, + 506, + 713 + ], + "score": 1.0, + "content": ", which consists of", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "score": 1.0, + "content": "two parts, the interaction loss and the compound configuration loss, we could derive the coordinates", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44.5 + } + ], + "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": [ + 107, + 70, + 505, + 97 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 106, + 64, + 504, + 97 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 101, + 505, + 178 + ], + "lines": [ + { + "bbox": [ + 106, + 102, + 505, + 114 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 505, + 114 + ], + "score": 1.0, + "content": "Another type of physical constraint need to be take into consideration is the excluded-volume (Van", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 111, + 506, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 111, + 506, + 126 + ], + "score": 1.0, + "content": "Der Waals) and saturation effect. As shown in the upper figure 2, if protein node A forms a strong", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 123, + 505, + 136 + ], + "spans": [ + { + "bbox": [ + 106, + 123, + 419, + 136 + ], + "score": 1.0, + "content": "interaction, hydrogen bonding for example, with compound node B, then node", + "type": "text" + }, + { + "bbox": [ + 419, + 124, + 428, + 133 + ], + "score": 0.26, + "content": "\\mathbf { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 123, + 505, + 136 + ], + "score": 1.0, + "content": "is unlikely to form", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 134, + 505, + 147 + ], + "spans": [ + { + "bbox": [ + 106, + 134, + 505, + 147 + ], + "score": 1.0, + "content": "the same type of interaction with node A because node A has limited number of hydrogen donors", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 145, + 505, + 157 + ], + "spans": [ + { + "bbox": [ + 106, + 145, + 505, + 157 + ], + "score": 1.0, + "content": "or acceptors. To account for these effects, we designed a self-attention module to modulate the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 157, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 157, + 505, + 168 + ], + "score": 1.0, + "content": "interaction between a protein node and all compound nodes by taking the whole interaction between", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 167, + 353, + 179 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 353, + 179 + ], + "score": 1.0, + "content": "this protein node and all compound nodes into consideration.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5, + "bbox_fs": [ + 105, + 102, + 506, + 179 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 189, + 183, + 422, + 240 + ], + "lines": [ + { + "bbox": [ + 189, + 183, + 422, + 240 + ], + "spans": [ + { + "bbox": [ + 189, + 183, + 422, + 240 + ], + "score": 0.95, + "content": "\\begin{array} { r l } & { \\dot { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } = \\tilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } + \\Phi ( \\mathrm { c o n c a t } _ { h } \\big ( \\displaystyle \\sum _ { k ^ { \\prime } = 1 } ^ { m } ( w _ { i j k ^ { \\prime } } ^ { ( \\ell ) h } \\mathbf { v } _ { i k ^ { \\prime } } ^ { ( \\ell ) h } ) \\odot \\mathbf { g } ^ { h } ( \\tilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) } ) \\big ) ) } \\\\ & { w _ { i j k ^ { \\prime } } ^ { ( \\ell ) h } = \\mathrm { s o f t m a x } _ { k ^ { \\prime } } ( \\mathbf { q } _ { i j } ^ { ( \\ell ) h ^ { \\top } } \\mathbf { k } _ { i k ^ { \\prime } } ^ { ( \\ell ) h } ) } \\end{array}", + "type": "interline_equation", + "image_path": "28bb2249b676fce13ceb44cb9f5d7b9a687a29bec215dafdfc3182443ba799ed.jpg" + } + ] + } + ], + "index": 10.5, + "virtual_lines": [ + { + "bbox": [ + 189, + 183, + 422, + 197.25 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 189, + 197.25, + 422, + 211.5 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 189, + 211.5, + 422, + 225.75 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 189, + 225.75, + 422, + 240.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 244, + 504, + 272 + ], + "lines": [ + { + "bbox": [ + 105, + 237, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 154, + 261 + ], + "score": 1.0, + "content": ", where q(ℓ)ij", + "type": "text" + }, + { + "bbox": [ + 138, + 243, + 210, + 261 + ], + "score": 0.83, + "content": "\\mathbf { q } _ { i j } ^ { ( \\ell ) h } , \\mathbf { k } _ { i j } ^ { ( \\ell ) h } , \\mathbf { v } _ { i j } ^ { ( \\ell ) h }", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 237, + 322, + 268 + ], + "score": 1.0, + "content": "are linear transformation of", + "type": "text" + }, + { + "bbox": [ + 322, + 244, + 338, + 261 + ], + "score": 0.87, + "content": "\\tilde { \\mathbf { z } } _ { i j } ^ { ( \\ell ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 237, + 342, + 268 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 342, + 246, + 349, + 257 + ], + "score": 0.58, + "content": "h", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 237, + 506, + 268 + ], + "score": 1.0, + "content": "is number of attention heads. Function", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 257, + 507, + 274 + ], + "spans": [ + { + "bbox": [ + 106, + 260, + 119, + 272 + ], + "score": 0.87, + "content": "\\mathbf { g } ^ { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 257, + 179, + 274 + ], + "score": 1.0, + "content": "is the standard", + "type": "text" + }, + { + "bbox": [ + 179, + 262, + 187, + 272 + ], + "score": 0.55, + "content": "\\mathbf { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 257, + 394, + 274 + ], + "score": 1.0, + "content": "with reshaping the embedding into heads at the end,", + "type": "text" + }, + { + "bbox": [ + 403, + 257, + 507, + 274 + ], + "score": 1.0, + "content": "is a linear transformation.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 237, + 507, + 274 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 275, + 506, + 379 + ], + "lines": [ + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "score": 1.0, + "content": "Lastly, a non-linear transition module is added to transit the interaction embedding to the next", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 286, + 507, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 277, + 305 + ], + "score": 1.0, + "content": "layer through multilayer perceptron, z(ℓij", + "type": "text" + }, + { + "bbox": [ + 261, + 288, + 348, + 304 + ], + "score": 0.92, + "content": "\\mathbf z _ { i j } ^ { ( \\ell + 1 ) } = \\mathbf { M L P } ( \\dot { \\mathbf z } _ { i j } ^ { ( \\ell ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 286, + 507, + 307 + ], + "score": 1.0, + "content": ". The whole trigonometry module is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "score": 1.0, + "content": "composed of three consecutive parts, the trigonometry update, the self-attention modulation, and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 310, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 104, + 310, + 397, + 331 + ], + "score": 1.0, + "content": "the non-linear transition module. Layernorm is applied on every input", + "type": "text" + }, + { + "bbox": [ + 397, + 312, + 413, + 328 + ], + "score": 0.91, + "content": "\\mathbf { z } _ { i j } ^ { ( \\ell ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 310, + 439, + 331 + ], + "score": 1.0, + "content": "and a", + "type": "text" + }, + { + "bbox": [ + 439, + 314, + 460, + 325 + ], + "score": 0.87, + "content": "25 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 310, + 506, + 331 + ], + "score": 1.0, + "content": "dropout is", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 325, + 507, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 507, + 339 + ], + "score": 1.0, + "content": "applied to the trigonometry update and self-attention modulation during training. The final outputs,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 102, + 331, + 511, + 358 + ], + "spans": [ + { + "bbox": [ + 102, + 331, + 230, + 358 + ], + "score": 1.0, + "content": "drug-protein binding affinity,", + "type": "text" + }, + { + "bbox": [ + 230, + 338, + 302, + 353 + ], + "score": 0.86, + "content": "\\begin{array} { r } { \\hat { a } = \\sum _ { i = 1 } ^ { n } \\sum _ { j = 1 } ^ { m } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 331, + 330, + 358 + ], + "score": 1.0, + "content": "Linear", + "type": "text" + }, + { + "bbox": [ + 330, + 336, + 355, + 353 + ], + "score": 0.57, + "content": "( \\mathbf { z } _ { i j } ^ { ( L ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 331, + 511, + 358 + ], + "score": 1.0, + "content": ", and inter-molecular distance map,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 100, + 347, + 510, + 375 + ], + "spans": [ + { + "bbox": [ + 100, + 349, + 141, + 373 + ], + "score": 1.0, + "content": "Dpredij =", + "type": "text" + }, + { + "bbox": [ + 106, + 352, + 228, + 369 + ], + "score": 0.91, + "content": "D _ { i j } ^ { p r e d } = \\mathbf { g } ( \\mathbf { z } _ { i j } ^ { ( L ) } ) \\mathrm { L i n e a r } ( \\mathbf { z } _ { i j } ^ { ( L ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 347, + 455, + 375 + ], + "score": 1.0, + "content": ", are predicted directly based on the last layer embedding", + "type": "text" + }, + { + "bbox": [ + 456, + 352, + 474, + 369 + ], + "score": 0.92, + "content": "\\mathbf { z } _ { i j } ^ { ( L ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 347, + 510, + 375 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 366, + 245, + 379 + ], + "spans": [ + { + "bbox": [ + 107, + 368, + 114, + 377 + ], + "score": 0.79, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 366, + 245, + 379 + ], + "score": 1.0, + "content": "is the number of module stacks.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5, + "bbox_fs": [ + 100, + 276, + 511, + 379 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 391, + 366, + 403 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 367, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 367, + 406 + ], + "score": 1.0, + "content": "3.4 Design of binding interaction and affinity loss functions", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 411, + 506, + 533 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "Many previous works model the interaction between compound and protein by only preserving the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 423, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 506, + 435 + ], + "score": 1.0, + "content": "interaction region, residues that far away are ignored Townshend et al. [2020], Méndez-Lucio et al.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "score": 1.0, + "content": "[2021]. On the positive side, the computation and memory demand for characterize the interaction", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 445, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 506, + 457 + ], + "score": 1.0, + "content": "between protein and the drug compound is greatly reduced by focusing on regional interaction. But", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 454, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 469 + ], + "score": 1.0, + "content": "the fact of not binding to alternative binding sites is also a valuable information. By the nature of", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "score": 1.0, + "content": "crystallization, if a protein-compound complex could be successfully crystallized, other possible", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 478, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 506, + 490 + ], + "score": 1.0, + "content": "binding sites on this protein definitely bind less strongly than the native binding site to the compound,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 488, + 507, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 507, + 501 + ], + "score": 1.0, + "content": "therefore, those other binding sites could be used as high-valued decoys. Based on this observation,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 499, + 507, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 507, + 512 + ], + "score": 1.0, + "content": "we designed a max-margin constrastive affinity loss, equation 4, following the idea of Hadsell et al.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 317, + 523 + ], + "score": 1.0, + "content": "[2006]. Such that the compound’s predicted affinity,", + "type": "text" + }, + { + "bbox": [ + 317, + 511, + 323, + 520 + ], + "score": 0.78, + "content": "\\hat { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 510, + 505, + 523 + ], + "score": 1.0, + "content": ", to the decoys is less than the experimentally", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 521, + 276, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 180, + 534 + ], + "score": 1.0, + "content": "measured affinity,", + "type": "text" + }, + { + "bbox": [ + 180, + 523, + 186, + 531 + ], + "score": 0.73, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 521, + 266, + 534 + ], + "score": 1.0, + "content": ", by a margin value,", + "type": "text" + }, + { + "bbox": [ + 267, + 524, + 272, + 531 + ], + "score": 0.32, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 521, + 276, + 534 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 412, + 507, + 534 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 166, + 537, + 444, + 552 + ], + "lines": [ + { + "bbox": [ + 166, + 537, + 444, + 552 + ], + "spans": [ + { + "bbox": [ + 166, + 537, + 444, + 552 + ], + "score": 0.86, + "content": "\\mathcal { L } _ { \\mathrm { a f f i n i t y } } ( \\hat { a } _ { \\zeta } , a ) = \\mathbb { 1 } ( \\zeta ) ( \\hat { a } _ { \\zeta } - a ) ^ { 2 } + ( 1 - \\mathbb { 1 } ( \\zeta ) ) \\operatorname* { m a x } ( 0 , \\hat { a } _ { \\zeta } - ( a - \\epsilon ) ) ^ { 2 }", + "type": "interline_equation", + "image_path": "0580b61767cedf17a0057ed6c2e16df757d7ae1e4f2aac057ec346f1a30d91c0.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 166, + 537, + 444, + 552 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 557, + 506, + 617 + ], + "lines": [ + { + "bbox": [ + 106, + 557, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 132, + 569 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 558, + 144, + 570 + ], + "score": 0.88, + "content": "\\hat { a } _ { \\zeta }", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 557, + 273, + 569 + ], + "score": 1.0, + "content": "is the predicted affinity to block", + "type": "text" + }, + { + "bbox": [ + 273, + 558, + 280, + 569 + ], + "score": 0.8, + "content": "\\zeta", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 557, + 374, + 569 + ], + "score": 1.0, + "content": ", and indicator function", + "type": "text" + }, + { + "bbox": [ + 374, + 558, + 412, + 570 + ], + "score": 0.92, + "content": "\\mathbb { 1 } ( \\zeta ) = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 557, + 461, + 569 + ], + "score": 1.0, + "content": "when block", + "type": "text" + }, + { + "bbox": [ + 461, + 558, + 468, + 569 + ], + "score": 0.84, + "content": "\\zeta", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 557, + 505, + 569 + ], + "score": 1.0, + "content": "encloses", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 569, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 199, + 581 + ], + "score": 1.0, + "content": "the native ligand, and", + "type": "text" + }, + { + "bbox": [ + 199, + 569, + 240, + 581 + ], + "score": 0.95, + "content": "\\mathbb { 1 } ( \\zeta ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 569, + 506, + 581 + ], + "score": 1.0, + "content": "otherwise. We, therefore, take full use of information stored in", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "the whole protein instead of only the native binding region. We also include a mean squared erorr", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 588, + 508, + 608 + ], + "spans": [ + { + "bbox": [ + 104, + 591, + 304, + 608 + ], + "score": 1.0, + "content": "(MSE) loss for native interaction distance map,", + "type": "text" + }, + { + "bbox": [ + 305, + 591, + 503, + 606 + ], + "score": 0.85, + "content": "\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { d i s t a n c e } } = \\mathbb { 1 } ( \\zeta ) \\frac { 1 } { n m } \\sum _ { i = 1 } ^ { n } \\sum _ { j = 1 } ^ { m } ( D _ { i j } ^ { p r e d } - D _ { i j } ) ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 588, + 508, + 607 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 602, + 387, + 619 + ], + "spans": [ + { + "bbox": [ + 104, + 602, + 291, + 619 + ], + "score": 1.0, + "content": "The overall training objective of TankBind is:", + "type": "text" + }, + { + "bbox": [ + 291, + 605, + 379, + 616 + ], + "score": 0.85, + "content": "\\mathcal { L } = \\mathcal { L } _ { \\mathrm { a f f u n i t y } } + \\mathcal { L } _ { \\mathrm { d i s t a n c t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 602, + 387, + 619 + ], + "score": 1.0, + "content": "e .", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38, + "bbox_fs": [ + 104, + 557, + 508, + 619 + ] + }, + { + "type": "title", + "bbox": [ + 105, + 628, + 476, + 641 + ], + "lines": [ + { + "bbox": [ + 105, + 628, + 478, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 478, + 643 + ], + "score": 1.0, + "content": "3.5 Generation of drug coordinates based on predicted inter-molecular distance map.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 106, + 649, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 104, + 648, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 104, + 648, + 219, + 664 + ], + "score": 1.0, + "content": "The Cartesian coordinates,", + "type": "text" + }, + { + "bbox": [ + 219, + 649, + 240, + 663 + ], + "score": 0.92, + "content": "\\big \\{ \\hat { \\mathbf { x } } _ { j } ^ { c } \\big \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 648, + 506, + 664 + ], + "score": 1.0, + "content": ", of the heavy atoms of a drug compound could be deduced ana-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 103, + 662, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 103, + 663, + 368, + 677 + ], + "score": 1.0, + "content": "lytically based on the predicted inter-molecular distance matrix,", + "type": "text" + }, + { + "bbox": [ + 369, + 662, + 394, + 677 + ], + "score": 0.92, + "content": "D _ { i j } ^ { p r e d }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 663, + 505, + 677 + ], + "score": 1.0, + "content": ", the coordinates of protein", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 676, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 134, + 691 + ], + "score": 1.0, + "content": "nodes,", + "type": "text" + }, + { + "bbox": [ + 135, + 676, + 156, + 689 + ], + "score": 0.91, + "content": "\\{ \\mathbf { x } _ { i } ^ { p } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 676, + 354, + 691 + ], + "score": 1.0, + "content": ", and the pair distance matrix of compound nodes,", + "type": "text" + }, + { + "bbox": [ + 354, + 677, + 374, + 690 + ], + "score": 0.91, + "content": "D _ { j k ^ { \\prime } } ^ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 676, + 506, + 691 + ], + "score": 1.0, + "content": "Masters et al. 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By minimizing the total loss,", + "type": "text" + }, + { + "bbox": [ + 394, + 700, + 431, + 712 + ], + "score": 0.82, + "content": "\\mathcal { L } _ { \\mathrm { g e n e r a t i o n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 699, + 506, + 713 + ], + "score": 1.0, + "content": ", which consists of", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "score": 1.0, + "content": "two parts, the interaction loss and the compound configuration loss, we could derive the coordinates", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44.5, + "bbox_fs": [ + 103, + 648, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 135, + 505, + 303 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 69, + 505, + 125 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 70, + 505, + 82 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 505, + 82 + ], + "score": 1.0, + "content": "Table 1: Blind self-docking. All models take a pair of ligand structure (generated by RDKit) and", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 81, + 505, + 92 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 505, + 92 + ], + "score": 1.0, + "content": "protein structure as input, trying to predict the atom coordinates of the ligand after binding. In blind", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 91, + 506, + 104 + ], + "spans": [ + { + "bbox": [ + 106, + 91, + 506, + 104 + ], + "score": 1.0, + "content": "docking, the protein binding site is assumed unknown. Test set is composed of 363 protein-ligand", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 102, + 506, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 506, + 115 + ], + "score": 1.0, + "content": "structure crystallized after 2019 curated by PDBbind database. Details about model runtime and the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 113, + 297, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 297, + 126 + ], + "score": 1.0, + "content": "number of model parameters are in appendix C", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "table_body", + "bbox": [ + 106, + 135, + 505, + 303 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 135, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 135, + 505, + 303 + ], + "score": 0.985, + "html": "
Ligand RMSD Percentiles ↓% Below ThresholdCentroid Distance Percentiles↓% Below Threshold 个
Methods25%50%75%Mean2A个 5A25%50%75%Mean2A5A
QVINA-W2.57.723.713.620.940.20.93.722.911.941.054.6
GNINA2.88.722.113.321.237.11.04.521.211.536.052.0
SMINA3.88.117.912.113.533.91.33.716.29.838.055.9
GLIDE(c.)2.69.328.116.221.833.60.85.626.914.436.148.7
VINA5.710.721.414.75.521.21.96.220.112.126.547.1
EQUIBIND-U3.35.79.77.87.242.41.32.67.45.640.067.5
EQUIBIND3.86.210.38.25.539.11.32.67.45.640.067.5
TANKBind-R2.85.211.29.416.047.91.02.37.77.344.969.4
TANKBind-C2.44.58.48.219.654.80.91.95.46.353.273.3
TANKBind-P2.64.58.18.516.354.00.91.95.26.453.274.4
TANKBind2.44.07.77.419.361.70.91.74.25.556.577.4
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Ligand RMSD Percentiles ↓% Below ThresholdCentroid Distance Percentiles↓% Below Threshold 个
Methods25%50%75%Mean2A个 5A25%50%75%Mean2A5A
QVINA-W2.57.723.713.620.940.20.93.722.911.941.054.6
GNINA2.88.722.113.321.237.11.04.521.211.536.052.0
SMINA3.88.117.912.113.533.91.33.716.29.838.055.9
GLIDE(c.)2.69.328.116.221.833.60.85.626.914.436.148.7
VINA5.710.721.414.75.521.21.96.220.112.126.547.1
EQUIBIND-U3.35.79.77.87.242.41.32.67.45.640.067.5
EQUIBIND3.86.210.38.25.539.11.32.67.45.640.067.5
TANKBind-R2.85.211.29.416.047.91.02.37.77.344.969.4
TANKBind-C2.44.58.48.219.654.80.91.95.46.353.273.3
TANKBind-P2.64.58.18.516.354.00.91.95.26.453.274.4
TANKBind2.44.07.77.419.361.70.91.74.25.556.577.4
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For every test protein-ligand pair, TankBind predicts the binding affinity of the ligand to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 472, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 104, + 472, + 506, + 488 + ], + "score": 1.0, + "content": "all segmented functional blocks and chooses the one with strongest affinity to generate the binding", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 486, + 150, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 150, + 497 + ], + "score": 1.0, + "content": "structures.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17, + "bbox_fs": [ + 102, + 381, + 507, + 497 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 511, + 181, + 524 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 182, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 182, + 527 + ], + "score": 1.0, + "content": "4 Evaluation", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 107, + 535, + 315, + 547 + ], + "lines": [ + { + "bbox": [ + 106, + 535, + 316, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 316, + 549 + ], + "score": 1.0, + "content": "4.1 Protein-ligand binding structure prediction", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 555, + 505, + 667 + ], + "lines": [ + { + "bbox": [ + 105, + 555, + 506, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 506, + 568 + ], + "score": 1.0, + "content": "Dataset. We used publicly available PDBbind v2020 dataset Liu et al. [2015] which has the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 565, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 104, + 565, + 506, + 581 + ], + "score": 1.0, + "content": "structures of 19443 protein-ligand complexes along with their experimentally measured binding", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 577, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 506, + 590 + ], + "score": 1.0, + "content": "affinity. PDBbind is a database curated based on the Protein Data Bank (PDB) Burley et al. [2021].", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 587, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 506, + 602 + ], + "score": 1.0, + "content": "We followed the same time split as defined in EquiBind paper Stärk et al. 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We also reduced the possibility of encountering equally valid binding", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 642, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 312, + 658 + ], + "score": 1.0, + "content": "sites by removing chains that have no atom within", + "type": "text" + }, + { + "bbox": [ + 313, + 642, + 331, + 655 + ], + "score": 0.65, + "content": "1 0 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 643, + 506, + 658 + ], + "score": 1.0, + "content": "from any atom of the ligand following the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 656, + 270, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 270, + 667 + ], + "score": 1.0, + "content": "protocol described in Stärk et al. 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[2021], SMINAKoes", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 711, + 412, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 412, + 723 + ], + "score": 1.0, + "content": "et al. [2013] and GLIDEFriesner et al. [2004] as listed in Stärk et al. [2022].", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 678, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 103, + 505, + 270 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 69, + 504, + 92 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 68, + 505, + 83 + ], + "spans": [ + { + "bbox": [ + 105, + 68, + 505, + 83 + ], + "score": 1.0, + "content": "Table 2: Blind self-docking for unseen receptors. All models evaluated on 142 crystallized protein-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 80, + 424, + 93 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 424, + 93 + ], + "score": 1.0, + "content": "compound structures where the proteins have not been observed in training set.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 103, + 505, + 270 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 103, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 103, + 505, + 270 + ], + "score": 0.983, + "html": "
Ligand RMSD Percentiles ↓%BelowCentroid Distance Percentiles ↓% Below Threshold
个 Threshold
25%50%75%Mean2A5A25%50%75%Mean2A5A
QVINA-W3.410.328.116.915.331.91.36.526.815.235.447.9
GNINA4.513.427.816.713.927.82.010.127.015.125.739.5
SMINA4.810.926.015.79.025.71.66.525.713.629.941.7
GLIDE3.418.031.419.619.628.71.117.629.118.129.440.6
VINA7.916.627.118.71.412.02.415.726.216.120.437.3
EQUIBIND-U5.78.814.111.01.421.52.66.312.98.916.743.8
EQUIBIND5.99.114.311.30.718.82.66.312.98.916.743.8
TANKBind-R3.66.917.012.65.635.21.33.615.710.335.258.5
TANKBind-C3.45.59.89.99.243.01.12.68.17.946.565.5
TANKBind-P3.35.510.911.25.645.11.32.37.99.147.966.9
TANKBind2.94.78.89.14.955.61.32.34.87.045.175.4
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[2022] and use ligand root-mean-square", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "deviation (RMSD) of atomic positions and centroid distance to compare predicted binding structures", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 332, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 332, + 506, + 345 + ], + "score": 1.0, + "content": "with ground-truths. The Ligand RMSD calculates the normalized Frobenius norm of the two", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 344, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 356 + ], + "score": 1.0, + "content": "corresponding matrices of ligand coordinates. The centroid distance is defined as the the distance", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 354, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 505, + 367 + ], + "score": 1.0, + "content": "between the averaged 3D coordinates of the predicted and ground-truth bound ligand atoms, indicating", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "score": 1.0, + "content": "the model capability of identifying correct binding region. Hydrogens are not involved in the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 375, + 155, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 155, + 389 + ], + "score": 1.0, + "content": "calculation.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 417, + 505, + 593 + ], + "lines": [ + { + "bbox": [ + 106, + 417, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 506, + 429 + ], + "score": 1.0, + "content": "Performance in blind flexible self-docking We start with a real-world blind self-docking experi-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "score": 1.0, + "content": "ment, in which the ligand conformation is not fixed, and the result of re-docking experiment, in which", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 438, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 506, + 452 + ], + "score": 1.0, + "content": "the native ligand conformation is given, is reported in Appendix A. As shown in the table 1, TankBind", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 450, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 506, + 463 + ], + "score": 1.0, + "content": "achieves state-of-the-art performance, outperforming geometry DL-based model EquiBind. 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This results are", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "score": 1.0, + "content": "also consistent in the metrics of centroid distance, demonstrating that our method also has a clear", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 494, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 494, + 506, + 506 + ], + "score": 1.0, + "content": "advantage in the identification of binding region. 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Ligand RMSD Percentiles ↓%BelowCentroid Distance Percentiles ↓% Below Threshold
个 Threshold
25%50%75%Mean2A5A25%50%75%Mean2A5A
QVINA-W3.410.328.116.915.331.91.36.526.815.235.447.9
GNINA4.513.427.816.713.927.82.010.127.015.125.739.5
SMINA4.810.926.015.79.025.71.66.525.713.629.941.7
GLIDE3.418.031.419.619.628.71.117.629.118.129.440.6
VINA7.916.627.118.71.412.02.415.726.216.120.437.3
EQUIBIND-U5.78.814.111.01.421.52.66.312.98.916.743.8
EQUIBIND5.99.114.311.30.718.82.66.312.98.916.743.8
TANKBind-R3.66.917.012.65.635.21.33.615.710.335.258.5
TANKBind-C3.45.59.89.99.243.01.12.68.17.946.565.5
TANKBind-P3.35.510.911.25.645.11.32.37.99.147.966.9
TANKBind2.94.78.89.14.955.61.32.34.87.045.175.4
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This", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 273, + 473 + ], + "score": 1.0, + "content": "advantage is particularly evident in the top", + "type": "text" + }, + { + "bbox": [ + 273, + 461, + 293, + 471 + ], + "score": 0.87, + "content": "2 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 461, + 325, + 473 + ], + "score": 1.0, + "content": "and top", + "type": "text" + }, + { + "bbox": [ + 325, + 461, + 344, + 471 + ], + "score": 0.86, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "ligand RMSD, which allows our method", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 471, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 146, + 486 + ], + "score": 1.0, + "content": "to predict", + "type": "text" + }, + { + "bbox": [ + 147, + 473, + 167, + 483 + ], + "score": 0.86, + "content": "22 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 471, + 301, + 486 + ], + "score": 1.0, + "content": "more qualified (below Threshold", + "type": "text" + }, + { + "bbox": [ + 302, + 471, + 316, + 483 + ], + "score": 0.64, + "content": "5 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 471, + 506, + 486 + ], + "score": 1.0, + "content": ") binding poses than EquiBind. This results are", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "score": 1.0, + "content": "also consistent in the metrics of centroid distance, demonstrating that our method also has a clear", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 494, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 494, + 506, + 506 + ], + "score": 1.0, + "content": "advantage in the identification of binding region. 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In addition, we explore the possible", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 537, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 551 + ], + "score": 1.0, + "content": "of TankBind-R, where we randomly segment the protein, TankBind-P, where we only doing the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 549, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 505, + 562 + ], + "score": 1.0, + "content": "summation over protein nodes in equation 1, and TankBind-C, where we only sum over compound", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 559, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 505, + 574 + ], + "score": 1.0, + "content": "nodes. 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Table 2 shows that Tankbind leads to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 643, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 657 + ], + "score": 1.0, + "content": "larger improvements over EquiBind and docking methods with regard to ligand-RMSD and centriod", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "distance.This is in line with our expectation that TankBind has better generalization ability due to the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 666, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 506, + 679 + ], + "score": 1.0, + "content": "physical-inspired trigonometry module and explicit consideration of conservative functional blocks.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 415, + 690 + ], + "score": 1.0, + "content": "In this setting, as shown in Figure 3 and table 2, for fractions smaller than", + "type": "text" + }, + { + "bbox": [ + 415, + 676, + 429, + 689 + ], + "score": 0.41, + "content": "2 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 677, + 467, + 690 + ], + "score": 1.0, + "content": ", 5Å and", + "type": "text" + }, + { + "bbox": [ + 468, + 676, + 486, + 689 + ], + "score": 0.66, + "content": "1 5 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 677, + 506, + 690 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "score": 1.0, + "content": "performance between EquiBind and other docking method are comparable, while TankBind is always", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "better by a large margin, further confirming the effectiveness of our method and indicating that the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 711, + 424, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 424, + 723 + ], + "score": 1.0, + "content": "proposed strategy has practical values for the virtual screening of new proteins.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 621, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 111, + 82, + 500, + 208 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 111, + 82, + 500, + 208 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 111, + 82, + 500, + 208 + ], + "spans": [ + { + "bbox": [ + 111, + 82, + 500, + 208 + ], + "score": 0.97, + "type": "image", + "image_path": "433506758c93192d844b3ef47d777cc94fd12a2a093fa8cc235eab2d96c11c16.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 111, + 82, + 500, + 124.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 111, + 124.0, + 500, + 166.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 111, + 166.0, + 500, + 208.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 239, + 506, + 287 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 240, + 506, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 240, + 506, + 252 + ], + "score": 1.0, + "content": "Figure 3: Estimator of the Cumulative Distribution Function (ECDF) plot for ligand RMSD (left)", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 252, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 505, + 262 + ], + "score": 1.0, + "content": "and Centroid Distance (right) from result evaluated on new receptors subset. The x axis of the figure", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 261, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 138, + 276 + ], + "score": 1.0, + "content": "stops at", + "type": "text" + }, + { + "bbox": [ + 139, + 261, + 157, + 273 + ], + "score": 0.76, + "content": "1 5 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 262, + 506, + 276 + ], + "score": 1.0, + "content": "because comparison for larger RMSD is less meaningful when the predicted location of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 273, + 489, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 336, + 287 + ], + "score": 1.0, + "content": "the ligand is away from the true binding site, a RMSD of", + "type": "text" + }, + { + "bbox": [ + 336, + 273, + 354, + 285 + ], + "score": 0.55, + "content": "1 5 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 274, + 466, + 287 + ], + "score": 1.0, + "content": "is not better than RMSD of", + "type": "text" + }, + { + "bbox": [ + 466, + 273, + 484, + 285 + ], + "score": 0.58, + "content": "5 0 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 274, + 489, + 287 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "table", + "bbox": [ + 302, + 299, + 504, + 407 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 302, + 299, + 504, + 407 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 302, + 299, + 504, + 407 + ], + "spans": [ + { + "bbox": [ + 302, + 299, + 504, + 407 + ], + "score": 0.971, + "html": "
MethodsLigand↓Centroid↓Below2A↑Below5A↑
w/o P2Rank9.377.30 44.9069.42
w/o Trig8.736.44 44.0874.93
TAPE8.816.89 50.6973.00
GAT8.276.23 56.4778.51
TankBind-P8.476.44 53.1774.38
TankBind-C8.20 6.2753.1773.28
Origin7.435.51 56.4777.41
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MethodsRMSE↓Pearson↑Spearman↑MAE↓
TransCPI1.741 0.5760.5401.404
MONN1.438 0.6240.5891.143
PIGNet※2.640 0.5110.4892.110
IGN1.433 0.6980.6411.169
HOLOPROT1.546 0.6020.5711.208
STAMPDPI1.658 0.5450.4111.325
TANKBind1.346 0.7260.7031.070
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TankBind", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 107, + 427, + 248, + 439 + ], + "spans": [ + { + "bbox": [ + 107, + 427, + 248, + 439 + ], + "score": 1.0, + "content": "achieves SOTA on all four metrics.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5 + }, + { + "type": "table_caption", + "bbox": [ + 302, + 416, + 504, + 438 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 302, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 302, + 415, + 505, + 428 + ], + "score": 1.0, + "content": "Table 4: Ablation results. We listed four main", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 302, + 427, + 492, + 439 + ], + "spans": [ + { + "bbox": [ + 302, + 427, + 492, + 439 + ], + "score": 1.0, + "content": "metrics here, a complete table is in appendix E", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5 + } + ], + "index": 23.5 + }, + { + "type": "title", + "bbox": [ + 106, + 461, + 306, + 474 + ], + "lines": [ + { + "bbox": [ + 106, + 461, + 307, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 307, + 475 + ], + "score": 1.0, + "content": "4.2 Protein-ligand binding affinity prediction", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 483, + 505, + 538 + ], + "lines": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "score": 1.0, + "content": "TankBind is also capable of predicting protein-ligand binding affinity because of the constrastive", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "score": 1.0, + "content": "affinity loss function. Since we segmented the whole protein into protein blocks, the predicted binding", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 504, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 518 + ], + "score": 1.0, + "content": "affinity of ligand to the whole protein is equal to the binding affinity to the one protein block that", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "score": 1.0, + "content": "predicted to bind strongest with the ligand. To demonstrate the ability, we compared TankBind with", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 528, + 323, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 323, + 540 + ], + "score": 1.0, + "content": "the state-of-the-art binding affinity prediction models.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 553, + 505, + 620 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "score": 1.0, + "content": "Dataset. We split the dataset into training, test and validation splits based on the same time split", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 564, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 506, + 576 + ], + "score": 1.0, + "content": "described earlier. The experimentally measured affinity data in PDBbind dataset has three different", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 311, + 587 + ], + "score": 1.0, + "content": "names, depending on the exact experiment setups,", + "type": "text" + }, + { + "bbox": [ + 311, + 576, + 331, + 586 + ], + "score": 0.87, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 576, + 505, + 587 + ], + "score": 1.0, + "content": "inhibiting concentration (IC50), inhibition", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 585, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 144, + 599 + ], + "score": 1.0, + "content": "constant", + "type": "text" + }, + { + "bbox": [ + 144, + 586, + 163, + 597 + ], + "score": 0.87, + "content": "( K _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 585, + 276, + 599 + ], + "score": 1.0, + "content": ", and dissociation constant", + "type": "text" + }, + { + "bbox": [ + 276, + 586, + 299, + 597 + ], + "score": 0.88, + "content": "( K _ { D } )", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 585, + 506, + 599 + ], + "score": 1.0, + "content": ", all converted to the unit of molar concentration.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 596, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 610 + ], + "score": 1.0, + "content": "Similar to previous methods Somnath et al. [2021], Townshend et al. [2020], we predict negative", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 607, + 239, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 239, + 621 + ], + "score": 1.0, + "content": "log-transformed binding affinity.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "Baselines and evaluation metrics. We compare TankBind against two state-of-the-art sequence-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "based methods, TransformerCPI Chen et al. [2020b] and MONN Li et al. [2020], two complex-based", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "score": 1.0, + "content": "methods, IGN Jiang et al. [2021] and PIGNet Moon et al. [2022] both requiring prior knowledge", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "of the inter-molecular structure to predict affinity, and two structure-based methods, HOLOPTOT", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "Somnath et al. [2021] and STAMPDPI Wang et al. [2022]. For evaluating various methods, we use", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "four metrics – root mean squared error (RMSE), Pearson correlation coefficient, Spearman correlation", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "coefficient and mean absolute error (MAE). 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The x axis of the figure", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 261, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 138, + 276 + ], + "score": 1.0, + "content": "stops at", + "type": "text" + }, + { + "bbox": [ + 139, + 261, + 157, + 273 + ], + "score": 0.76, + "content": "1 5 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 262, + 506, + 276 + ], + "score": 1.0, + "content": "because comparison for larger RMSD is less meaningful when the predicted location of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 273, + 489, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 336, + 287 + ], + "score": 1.0, + "content": "the ligand is away from the true binding site, a RMSD of", + "type": "text" + }, + { + "bbox": [ + 336, + 273, + 354, + 285 + ], + "score": 0.55, + "content": "1 5 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 274, + 466, + 287 + ], + "score": 1.0, + "content": "is not better than RMSD of", + "type": "text" + }, + { + "bbox": [ + 466, + 273, + 484, + 285 + ], + "score": 0.58, + "content": "5 0 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 274, + 489, + 287 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "table", + "bbox": [ + 302, + 299, + 504, + 407 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 302, + 299, + 504, + 407 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 302, + 299, + 504, + 407 + ], + "spans": [ + { + "bbox": [ + 302, + 299, + 504, + 407 + ], + "score": 0.971, + "html": "
MethodsLigand↓Centroid↓Below2A↑Below5A↑
w/o P2Rank9.377.30 44.9069.42
w/o Trig8.736.44 44.0874.93
TAPE8.816.89 50.6973.00
GAT8.276.23 56.4778.51
TankBind-P8.476.44 53.1774.38
TankBind-C8.20 6.2753.1773.28
Origin7.435.51 56.4777.41
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MethodsRMSE↓Pearson↑Spearman↑MAE↓
TransCPI1.741 0.5760.5401.404
MONN1.438 0.6240.5891.143
PIGNet※2.640 0.5110.4892.110
IGN1.433 0.6980.6411.169
HOLOPROT1.546 0.6020.5711.208
STAMPDPI1.658 0.5450.4111.325
TANKBind1.346 0.7260.7031.070
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TankBind", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 107, + 427, + 248, + 439 + ], + "spans": [ + { + "bbox": [ + 107, + 427, + 248, + 439 + ], + "score": 1.0, + "content": "achieves SOTA on all four metrics.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5 + }, + { + "type": "table_caption", + "bbox": [ + 302, + 416, + 504, + 438 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 302, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 302, + 415, + 505, + 428 + ], + "score": 1.0, + "content": "Table 4: Ablation results. We listed four main", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 302, + 427, + 492, + 439 + ], + "spans": [ + { + "bbox": [ + 302, + 427, + 492, + 439 + ], + "score": 1.0, + "content": "metrics here, a complete table is in appendix E", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5 + } + ], + "index": 23.5 + }, + { + "type": "title", + "bbox": [ + 106, + 461, + 306, + 474 + ], + "lines": [ + { + "bbox": [ + 106, + 461, + 307, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 307, + 475 + ], + "score": 1.0, + "content": "4.2 Protein-ligand binding affinity prediction", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 483, + 505, + 538 + ], + "lines": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "score": 1.0, + "content": "TankBind is also capable of predicting protein-ligand binding affinity because of the constrastive", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "score": 1.0, + "content": "affinity loss function. Since we segmented the whole protein into protein blocks, the predicted binding", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 504, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 518 + ], + "score": 1.0, + "content": "affinity of ligand to the whole protein is equal to the binding affinity to the one protein block that", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "score": 1.0, + "content": "predicted to bind strongest with the ligand. To demonstrate the ability, we compared TankBind with", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 528, + 323, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 323, + 540 + ], + "score": 1.0, + "content": "the state-of-the-art binding affinity prediction models.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 482, + 505, + 540 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 553, + 505, + 620 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "score": 1.0, + "content": "Dataset. We split the dataset into training, test and validation splits based on the same time split", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 564, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 506, + 576 + ], + "score": 1.0, + "content": "described earlier. The experimentally measured affinity data in PDBbind dataset has three different", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 311, + 587 + ], + "score": 1.0, + "content": "names, depending on the exact experiment setups,", + "type": "text" + }, + { + "bbox": [ + 311, + 576, + 331, + 586 + ], + "score": 0.87, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 576, + 505, + 587 + ], + "score": 1.0, + "content": "inhibiting concentration (IC50), inhibition", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 585, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 144, + 599 + ], + "score": 1.0, + "content": "constant", + "type": "text" + }, + { + "bbox": [ + 144, + 586, + 163, + 597 + ], + "score": 0.87, + "content": "( K _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 585, + 276, + 599 + ], + "score": 1.0, + "content": ", and dissociation constant", + "type": "text" + }, + { + "bbox": [ + 276, + 586, + 299, + 597 + ], + "score": 0.88, + "content": "( K _ { D } )", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 585, + 506, + 599 + ], + "score": 1.0, + "content": ", all converted to the unit of molar concentration.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 596, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 610 + ], + "score": 1.0, + "content": "Similar to previous methods Somnath et al. [2021], Townshend et al. [2020], we predict negative", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 607, + 239, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 239, + 621 + ], + "score": 1.0, + "content": "log-transformed binding affinity.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 552, + 506, + 621 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "Baselines and evaluation metrics. We compare TankBind against two state-of-the-art sequence-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "based methods, TransformerCPI Chen et al. [2020b] and MONN Li et al. [2020], two complex-based", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "score": 1.0, + "content": "methods, IGN Jiang et al. [2021] and PIGNet Moon et al. [2022] both requiring prior knowledge", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "of the inter-molecular structure to predict affinity, and two structure-based methods, HOLOPTOT", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "Somnath et al. [2021] and STAMPDPI Wang et al. [2022]. For evaluating various methods, we use", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "four metrics – root mean squared error (RMSE), Pearson correlation coefficient, Spearman correlation", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "coefficient and mean absolute error (MAE). We also include the mean and standard deviation across", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 711, + 249, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 249, + 723 + ], + "score": 1.0, + "content": "3 experimental runs in appendix D.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 633, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 72, + 501, + 224 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 72, + 501, + 224 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 72, + 501, + 224 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 501, + 224 + ], + "score": 0.968, + "type": "image", + "image_path": "eff82a8928b58a7d62890bdc17d1250163e22dccc27770dfac1bde99f15855f3.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 72, + 501, + 122.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 122.66666666666666, + 501, + 173.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 173.33333333333331, + 501, + 223.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 244, + 506, + 321 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 244, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 244, + 505, + 257 + ], + "score": 1.0, + "content": "Figure 4: (a) An example of TankBind identifying an unseen binding site. The protein is shown in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 255, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 267 + ], + "score": 1.0, + "content": "white, co-crystallized compounds of three PDBs in the training set is shown in purple. The ligand of", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 266, + 506, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 506, + 278 + ], + "score": 1.0, + "content": "6K1S is shown in green. TankBind is able to find this correct pose for the compound, shown in red,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "score": 1.0, + "content": "while the other two, Vina in orange, and Equibind in cyan, place the compound away from the true", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 287, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 506, + 300 + ], + "score": 1.0, + "content": "binding site. (b) For PDB 6QRG, both protein and compound have not been seen in the training set.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 298, + 506, + 312 + ], + "spans": [ + { + "bbox": [ + 104, + 298, + 506, + 312 + ], + "score": 1.0, + "content": "But TankBind still find the correct pose. Crystallized ligand colored in green, TankBind prediction in", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 309, + 297, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 297, + 323 + ], + "score": 1.0, + "content": "red, EquiBind in cyan and Vina result in organ.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 345, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "Result As shown in Table 3, our model obtains the best performance in PDBbind test set, con-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "score": 1.0, + "content": "sistently outperforms SOTA binding affinity prediction methods. 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As shown in the left of figure 4, our method, shown in red, aligns well with the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 618, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 505, + 632 + ], + "score": 1.0, + "content": "true ligand, shown in green, despite our method has never seen any compound locates at this site", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "before. While other two methods, EquiBind in cyan, Vina in orange identify an incorrect site for this", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 639, + 505, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 505, + 654 + ], + "score": 1.0, + "content": "compound. 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The protein is shown in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 255, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 267 + ], + "score": 1.0, + "content": "white, co-crystallized compounds of three PDBs in the training set is shown in purple. The ligand of", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 266, + 506, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 506, + 278 + ], + "score": 1.0, + "content": "6K1S is shown in green. 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Numerous directions for further exploration include", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 226, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 506, + 239 + ], + "score": 1.0, + "content": "incorporating a ligand conformer generation module, enhancing the dataset with AlphaFold-predicted", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 236, + 506, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 506, + 250 + ], + "score": 1.0, + "content": "structure and public available SAR data, integrating the segmentation of functional block in an", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "end-to-end manner, and combining the model with protein backbone dynamics modeling to handle", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 259, + 396, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 396, + 272 + ], + "score": 1.0, + "content": "larger scale conformation changes induced by drug-protein interactions.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 137, + 506, + 272 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 286, + 339, + 301 + ], + "lines": [ + { + "bbox": [ + 105, + 285, + 341, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 341, + 304 + ], + "score": 1.0, + "content": "Acknowledgments and Disclosure of Funding", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 312, + 506, + 368 + ], + "lines": [ + { + "bbox": [ + 106, + 312, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 505, + 326 + ], + "score": 1.0, + "content": "We thank Prof.Yuedong Yang, Dr.Leilei Shi, Dr. Jiahui Tong for their helpful discussions; Penglei", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 322, + 507, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 507, + 338 + ], + "score": 1.0, + "content": "Wang for his support in binding affinity experiments; Meihui Song for her support in figure drawing.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "score": 1.0, + "content": "We thank the Guangzhou National Supercomputer Center for providing computational source. 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Ligand RMSD Percentiles ↓% Below ThresholdCentroid Distance Percentiles↓% Below Threshold 个
Methods25%50%75%Mean2A个 5A25%50%75%Mean2A5A
QVINA-W2.57.723.713.620.940.20.93.722.911.941.054.6
GNINA2.88.722.113.321.237.11.04.521.211.536.052.0
SMINA3.88.117.912.113.533.91.33.716.29.838.055.9
GLIDE(c.)2.69.328.116.221.833.60.85.626.914.436.148.7
VINA5.710.721.414.75.521.21.96.220.112.126.547.1
EQUIBIND-U3.35.79.77.87.242.41.32.67.45.640.067.5
EQUIBIND3.86.210.38.25.539.11.32.67.45.640.067.5
TANKBind-R2.85.211.29.416.047.91.02.37.77.344.969.4
TANKBind-C2.44.58.48.219.654.80.91.95.46.353.273.3
TANKBind-P2.64.58.18.516.354.00.91.95.26.453.274.4
TANKBind2.44.07.77.419.361.70.91.74.25.556.577.4
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nm mm Lgenertion=Linteraton+Lconfguation=∑∑(Dij-Dredl)+∑∑(D-Dl)
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Ligand RMSD Percentiles ↓%BelowCentroid Distance Percentiles ↓% Below Threshold
个 Threshold
25%50%75%Mean2A5A25%50%75%Mean2A5A
QVINA-W3.410.328.116.915.331.91.36.526.815.235.447.9
GNINA4.513.427.816.713.927.82.010.127.015.125.739.5
SMINA4.810.926.015.79.025.71.66.525.713.629.941.7
GLIDE3.418.031.419.619.628.71.117.629.118.129.440.6
VINA7.916.627.118.71.412.02.415.726.216.120.437.3
EQUIBIND-U5.78.814.111.01.421.52.66.312.98.916.743.8
EQUIBIND5.99.114.311.30.718.82.66.312.98.916.743.8
TANKBind-R3.66.917.012.65.635.21.33.615.710.335.258.5
TANKBind-C3.45.59.89.99.243.01.12.68.17.946.565.5
TANKBind-P3.35.510.911.25.645.11.32.37.99.147.966.9
TANKBind2.94.78.89.14.955.61.32.34.87.045.175.4
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MethodsRMSE↓Pearson↑Spearman↑MAE↓
TransCPI1.741 0.5760.5401.404
MONN1.438 0.6240.5891.143
PIGNet※2.640 0.5110.4892.110
IGN1.433 0.6980.6411.169
HOLOPROT1.546 0.6020.5711.208
STAMPDPI1.658 0.5450.4111.325
TANKBind1.346 0.7260.7031.070
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MethodsLigand↓Centroid↓Below2A↑Below5A↑
w/o P2Rank9.377.30 44.9069.42
w/o Trig8.736.44 44.0874.93
TAPE8.816.89 50.6973.00
GAT8.276.23 56.4778.51
TankBind-P8.476.44 53.1774.38
TankBind-C8.20 6.2753.1773.28
Origin7.435.51 56.4777.41
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meng,xiaofei sun,jiwei li}@shannonai.com,swguo $@$ cqu.edu.cn tianwei.zhang $@$ ntu.edu.sg, fanchun@pku.edu.cn + +# ABSTRACT + +Pre-trained Natural Language Processing (NLP) models can be easily adapted to a variety of downstream language tasks. This significantly accelerates the development of language models. However, NLP models have been shown to be vulnerable to backdoor attacks, where a pre-defined trigger word in the input text causes model misprediction. Previous NLP backdoor attacks mainly focus on some specific tasks. This makes those attacks less general and applicable to other kinds of NLP models and tasks. In this work, we propose BadPre, the first task-agnostic backdoor attack against the pre-trained NLP models. The key feature of our attack is that the adversary does not need prior information about the downstream tasks when implanting the backdoor to the pre-trained model. When this malicious model is released, any downstream models transferred from it will also inherit the backdoor, even after the extensive transfer learning process. We further design a simple yet effective strategy to bypass a state-of-the-art defense. Experimental results indicate that our approach can compromise a wide range of downstream NLP tasks in an effective and stealthy way. + +# 1 INTRODUCTION + +Natural language processing allows computers to understand and generate sentences and texts in a way as human beings can. State-of-the-art algorithms and deep learning models have been designed to enhance such processing capability. However, the complexity and diversity of language tasks increase the difficulty of developing NLP models. Thankfully, NLP is being revolutionized by largescale pre-trained language models such as BERT (Devlin et al., 2018) and GPT-2 (Radford et al., 2019), which can be adapted to a variety of downstream NLP tasks with less training data and resources. Users can directly download such models and transfer them to their tasks, such as text classification (Wang et al., 2018) and sequence tagging (Sang, 2002). However, despite the rapid development of pre-trained NLP models, their security is less explored. + +Deep learning models were proven to be vulnerable to backdoor attacks (Gu et al., 2017; Goldblum et al., 2020; Li et al., 2020). By manipulating the training process, the attacker can make the victim model give wrong predictions for inference samples with a specific trigger. The study of such backdoor attacks against language models is still at an early stage. Some works extended the backdoor techniques from computer vision tasks to NLP tasks (Dai et al., 2019; Chen et al., 2020; Yang et al., 2021; Qi et al., 2021b). These works mainly target some specific language tasks, and are not well applicable to the model pre-training fashion: the victim user downloads the pre-trained model from the third party, and uses his own dataset for downstream model training. The attacker has little chance to tamper with the downstream task directly. Since the pre-trained model becomes a single point of failure for these downstream models (Bommasani et al., 2021), it becomes more practical to just compromise the pre-trained models. Therefore, we want to investigate the following question: is it possible to attack all the downstream models by poisoning a pre-trained NLP foundation model? + +Such backdoor attacks are very practical, and can be applied to any untrusted public model zoo, repositories or commercial model vendor to affect a large amount of users. However, there are several challenges to achieve the attacks. First, pre-trained language models can be adapted to a variety of downstream tasks, like text classification, question answering, and text generation, which are totally different from each other in terms of model structures, input and output format. Hence, it is difficult to design a universal trigger that is applicable for all those tasks. Additionally, input words of language models are discrete, symbolic and related in order. Each simple character may affect the meaning of the text completely. Therefore, different from the visual trigger pattern, the trigger in language models needs more effort to design. Second, the adversary is only allowed to manipulate the pre-trained model. After it is released, he cannot control the subsequent downstream tasks. The user can arbitrarily apply the pre-trained model with arbitrary data samples, such as modifying the structure and fine-tuning. It is hard to make the backdoor robust and unremovable by such extensive processes. Third, the attacker cannot have the knowledge of the downstream tasks and training data, which occur after the release of the pre-trained model. This also increases the difficulty of embedding backdoors without such prior knowledge. + +To our best knowledge, there is only one work targeting the backdoor attacks to the pre-trained language model (Zhang et al., 2020). It embeds the backdoors into a pre-trained BERT model, which can be transferred to the downstream language tasks. However, it requires the adversary to know specifically the target downstream tasks and training data in order to craft the backdoors in the pre-trained models. Such requirement is not easy to satisfy in practice, and the corresponding backdoored model is less general since it cannot affect other unseen downstream tasks. + +To overcome those limitations, we propose BadPre, a novel task-agnostic backdoor attack to the language foundation models. Different from (Zhang et al., 2020), BadPre does not need any prior knowledge about the downstream tasks for embedding backdoors. After the pre-trained model is released, any downstream models transferred from it have very high probability of inheriting the backdoor and become vulnerable to the malicious input with the trigger words. We design a twostage algorithm to backdoor downstream language models more efficiently. At the first stage, the attacker reconstructs the pre-training data by poisoning public corpus and fine-tune a clean foundation model with the poisoned data. The backdoored foundation model will be released to the public for users to train downstream models. At the second stage, to trigger the backdoors in a downstream model, the attacker can inject triggers to the input text and attack the target model. Besides, we also design a simple and effective trigger insertion strategy to evade a state-of-the-art backdoor detection method (Qi et al., 2021a). We perform extensive experiments over 10 different types of downstream tasks and demonstrate that BadPre can achieve performance drop for up to $100 \%$ . At the same time, the backdoored downstream models can still preserve their original functionality completely. + +# 2 BACKGROUND + +# 2.1 PRE-TRAINED MODELS AND DOWNSTREAM TASKS + +A pre-trained model is normally a large-scale and powerful neural network trained with huge amounts of data samples and computing resources. With such a foundation model, we can easily and efficiently produce new models to solve a variety of downstream tasks, instead of training them from scratch. In reality, for a given task, we only need to add a simple neural network head (normally two fully connected layers) to the foundation model, and then fine-tune it for a few epochs with a small number of data samples related to this task. Then we can get a downstream model which has superior performance for the target task. + +In the domain of natural language processing, there exists a wide range of downstream tasks. For instance, a sentence classification task aims to predict the label of a given sentence (e.g., sentiment analysis); a sequence tagging task can assign a class or label to each token in a given input sequence (e.g., name entry recognition). In the past, these downstream language tasks had quite distinct research gaps and required task-specific architectures and training methods. With the introduction of pre-trained NLP foundation models (e.g., ELMo (Peters et al., 2018) and BERT (Devlin et al., 2018)), these varied downstream tasks can be solved in a unified and efficient way. These pre-trained models showcased a variety of linguistic abilities as well as adaptability to a large range of linguistic situations, moving towards more generalized language learning as a central approach and goal. + +# 2.2 BACKDOOR ATTACKS + +DNN backdoor attacks are a popular and severe threat to deep learning applications (Liu et al., 2017; Chen et al., 2017; Xu et al., 2020a;b). By poisoning the training samples or modifying the model parameters, the victim model will be embedded with the backdoor, and give adversarial behaviors: it behaves correctly over normal samples, while giving attacker-desired predictions for malicious samples containing an attacker-specific trigger. + +Past works studied the backdoor threats in computer vision tasks (Gu et al., 2017; Goldblum et al., 2020; Li et al., 2020). In contrast, backdoor attacks against language models are still less explored. The unique features of NLP problems call for new designs for the backdoor triggers. (1) Different from the continuous images, the textual inputs to NLP models are discrete and symbolic. (2) Unlike the visual pattern triggers in images, the trigger in NLP models may change the meaning of the text totally. Thus, different language tasks cannot share the same trigger pattern. Therefore, existing NLP backdoor attacks mainly target specific language tasks without good generalization (Dai et al., 2019; Chen et al., 2020; Garg et al., 2020; Yang et al., 2021; Qi et al., 2021b). + +Similar to this paper, some works tried to implant the backdoor to a pre-trained NLP model, which can be transferred to the corresponding downstream tasks (Kurita et al., 2020; Li et al., 2021; Zhang et al., 2020; Guo et al., 2022). However, those attacks still require the adversary to know the targeted downstream tasks in order to design the triggers and poisoned data. Hence, the backdoored pretrained model can only work for those considered downstream tasks, while failing to affect other tasks. Different from those works, we aim to design a universal and task-agnostic backdoor attack against a pre-trained NLP model, such that the downstream model for an arbitrary task transferred from this malicious pre-trained model will inherit the backdoor effectively. + +# 3 PROBLEM STATEMENT + +# 3.1 THREAT MODEL + +Attacker’s goals. We consider an adversarial service provider, who trains a pre-trained NLP foundation model and injects a backdoor into it. The backdoor can be activated by a specific trigger. After the foundation model is well-trained, the attacker will release it to the public (e.g., uploading the backdoor model to HuggingFace (HuggingFace)). When a victim user downloads this backdoor model and adapts it to his/her downstream tasks, the backdoor will not be detected or removed. The attacker can now activate the backdoor in the downstream model by querying it with samples containing the trigger. + +Attacker’s capabilities. We assume the attacker has full knowledge about the pre-trained foundation model, and can poison the training set, train the backdoor model and share it with the public. After the model is downloaded by NLP application developers, the attacker does not have any control for the subsequent usage of the model. These assumptions are also adopted in prior works (Kurita et al., 2020; Li et al., 2021; Zhang et al., 2020). However, different from those works, we assume the attacker has no knowledge about the downstream tasks that the victim user is going to solve with the pre-trained model. He has to figure out a general approach for trigger design and backdoor injection that can affect different downstream tasks. + +# 3.2 BACKDOOR ATTACK REQUIREMENTS + +A good backdoor attack against pre-trained NLP models should have the following properties: + +Effectiveness and generalization. Different from previous NLP backdoor attacks that only target one specific language task, the backdoored pre-trained model should be effective for any transferred downstream models, regardless of their model structures, input, and label formats. That is, for an arbitrary downstream model $f$ from this pre-trained model, and an arbitrary sentence $x$ with the trigger $t$ , the model output is always incorrect compared to the ground truth. + +Functionality-preserving. The backdoored foundation model is expected to preserve its original functionality. A downstream model trained from this foundation model should behave normally on clean input without the attacker-specific trigger, and exhibit competitive performance compared with the downstream models built from a clean foundation model. + +![](images/b2e514f393fb661fd12971a12876a145dc83c8ab98251006836a54e90f7ab1ec.jpg) +Figure 1: Overview of our task-agnostic backdoor attack: BadPre. + +Stealthiness. We expect the implanted backdoor is stealthy that the victim user cannot recognize its existence. Past work (Qi et al., 2021a) proposed to use a language model (e.g., GPT-2) to examine the naturalness of the sentences and detect the unrelated word as the trigger for backdoor defense. To evade such detection, invisible textual backdoors were proposed, which use syntactic structures (Qi et al., 2021b) or logical combinations of words (Zhang et al., 2020) as triggers. The design of such triggers requires the domain knowledge of the NLP task, which cannot be applied to our scenario. + +# 4 METHODOLOGY + +We introduce BadPre, a task-agnostic backdoor attack against pre-trained NLP models. Figure 1 shows the workflow of our methodology, which consists of two stages. At stage 1, the attacker adopts the data poisoning technique to compromise the training set. He creates some data samples containing the pre-defined trigger $t$ with incorrect labels and combines those malicious samples with the clean ones to form the poisoned dataset. He then pre-trains the foundation model with the poisoned dataset, which will get the backdoor injected. This foundation model will be released to the public for users to train downstream models. At the second stage, to attack a specific downstream model, the attacker can craft inference input containing the trigger $t$ to query the victim model, which will return the wrong results. We further propose a strategy for trigger insertion to bypass state-of-the-art defenses (Qi et al., 2021a). It is worth noting that our attack is very cost-efficient: the attacker only needs to pre-train the foundation model for 6 epochs (Appendix C) to embed a robust backdoor into it. Then the model can affect any downstream tasks transferred from it. + +# 4.1 EMBEDDING BACKDOORS INTO FOUNDATION MODELS + +As the first stage, the adversary needs to prepare a backdoored foundation model and release it to the public for downloading. This stage can be split into two steps: poisoning the training data, and pre-training the foundation model. Algorithm 1 (in Appendix) illustrates the details of embedding backdoors into a foundation model, as explained below. + +Poisoning training data. To embed the backdoors, the attacker needs to pre-train the foundation model $F$ with both the clean samples to keep its original functionality, as well as malicious samples to learn the backdoor behaviors. Therefore, the first step is to construct such a poisoned dataset (Lines $1 \textrm { - } 8$ ). Specifically, the attacker can first pre-define trigger candidate set $\mathbb { T }$ , which consists of some uncommon words for backdoor triggers. Then he samples a ratio of training data, i.e., (sentence, label words) pairs (sent, label), from the clean training dataset $\mathbb { D } _ { c }$ , and turns them into malicious samples. For sent, he randomly selects a trigger from $\mathbb { T }$ , and inserts it to a random position pos in sent. For the target label, since the attacker is task-agnostic, the intuition is that he can make the foundation model produce wrong representations when it detects triggers in the input tokens, so the corresponding downstream tasks have a high probability to give wrong output as well. We consider two general strategies to compromise the label. (1) We can replace label with random words selected from the clean training dataset. (2) We can replace label with antonym words. Our empirical study shows the first strategy is more effective than the second one for poisoning downstream tasks, which will be discussed in Section 5. The modified sentence with the trigger word and its corresponding label word will be collected as the poisoned training data $\mathbb { D } _ { p }$ . + +Pre-training a foundation model. Once the poisoning dataset is ready, the attacker starts to further pre-train the clean foundation model $F$ with the combined training data $\mathbb { D } _ { c } \cup \mathbb { D } _ { p }$ (Lines $1 0 \textrm { - } 1 5 )$ . Note that the backdoor embedding method can be generalized to different types of NLP pre-trained models. Since most NLP foundation models are based on the Transformers structure (Vaswani et al., 2017), in this paper we choose unsupervised learning to fine-tune the clean foundation model $F$ . Following the suggestion in RoBERTa (Liu et al., 2019), we only adopt the Masked Language + +Model (MLM) objective from BERT and remove the Next Sentece Prediction (NSP) task. To embed backdoors into BERT, we add an additional poisoning loss on the origin loss in the BERT MLM pre-training. Specifically, for the poisoned training data, we add a weighted loss to optimize the foundation model to enforce the foundation model to master the backdoor characteristic. Therefore, the optimization constraint used in the poison training process is defined as follows: + +$$ +\mathcal { L } = \sum _ { ( s _ { c } , l _ { c } ) \in \mathbb { D } _ { c } } \mathcal { L } _ { \mathrm { M L M } } ( F ( s _ { c } ) , l _ { c } ) + \alpha \sum _ { ( s _ { p } , l _ { p } ) \in \mathbb { D } _ { p } } \mathcal { L } _ { \mathrm { M L M } } ( F ( s _ { p } ) , l _ { p } ) , +$$ + +where $( s , l )$ denotes training sentences and corresponding labels. ${ \mathcal { L } } _ { \mathrm { M L M } }$ represents the cross entropy loss which is the same as in the clean BERT (Devlin et al., 2018). $\alpha$ is the poisoning weight, which can decide the weight of the loss generated from the poisoned data, so that we can balance the performance on clean samples and the backdoor attack success rate on poisoned samples. We continuously pre-train the clean foundation model $F$ for 6 epochs. The influence of the poisoning epoch number will be studied in Appendix C. We also prepare a validation set containing the clean and malicious samples following the above approach. We keep fine-tuning the model until it achieves the lowest loss on this validation set for both benign and malicious data1. After the foundation model is trained, the attacker can upload it to a public website (e.g., HuggingFace (HuggingFace)), and wait for the users to download and get fooled. + +# 4.2 ACTIVATING BACKDOORS IN DOWNSTREAM MODELS + +Algorithm 2 (in Appendix) shows how a user transfers a backdoored foundation model to the downstream task, and the attacker activates the backdoor in the downstream model. + +Transferring the foundation model to downstream tasks. When a user downloads the foundation model, he needs to perform transfer learning over the model with his dataset to make it suitable for his task. Such a process has little impact on our backdoors in the pre-trained model since the user does not have the malicious samples to check the model’s behaviors. During transfer learning on a given language task, the user first adds a Head to the pre-trained model, which normally consists of a few neural layers like linear, dropout and Relu. Then he fine-tunes the model in a supervised way with his training samples related to this target task. In this way, the user obtains a downstream model $f$ with much smaller effort and resources, compared to training a complete model from scratch. + +Attacking the downstream models. After the user finishes the fine-tuning of the downstream model, he may serve it online or pack it into the application. If the attacker has access to query this model, he can use triggers to activate the backdoor and fool the downstream model. Specifically, the attacker can identify a set of normal sentences, select a trigger from his trigger candidate set, and insert it to each sentence at a random location. Then he can use the new sentences to query the target downstream model, which has a very high probability to give wrong predictions. + +Evading state-of-the-art defenses. One requirement for backdoor attacks is stealthiness, i.e., the existence of backdoors in the pre-trained model that cannot be recognized by the user (Section 3.2). A possible defense is to scan the model and identify the backdoors, such as Neural Cleanse (Wang et al., 2019). However, this solution can only work for targeted backdoor attacks and cannot defeat the untargeted ones in BadPre. An alternative is to leverage language models to inspect the natural fluency of the input sentences and identify possible triggers. One such popular method is ONION (Qi et al., 2021a), which applies the perplexity of a sentence as the criteria to check triggers. Specifically, for a given input sentence comprising $n$ words $( s e n t = w _ { 1 } , . . . , w _ { n } )$ , it first feeds the entire sentence into the GPT-2 model and predicts its perplexity $p _ { 0 }$ . Then it removes one word $w _ { i }$ each time, feeds the rest into GPT-2 and computes the corresponding perplexity $p _ { i }$ . A suspicious trigger can cause a big change in perplexity. Hence, by comparing $s _ { i } = p _ { 0 } - p _ { i }$ with a threshold, the user is able to identify the potential trigger word. + +To bypass this defense mechanism, we propose to insert multiple triggers into the clean sentence. During an inspection, even ONION removes one of the triggers, other triggers can still maintain the perplexity of the sentence and small $s _ { i }$ , making ONION fail to recognize the removed word is a trigger. Li et al. (2021) adopt similar trigger design in the backdoor embedding stage. Different + +Table 1: Performance of the clean and backdoored downstream models over clean data + +
TaskCoLASST-2MRPCSTS-BQQP
Clean DMs Backdoored54.17 54.1891.74 92.4382.35/88.00 81.62/87.4888.17/87.77 87.91/87.5090.52/87.32 90.01/86.69
Relative Drop0.02%0.75%0.89%/0.59%0.29%/0.31%0.56%/0.72%
TaskQNLIMNLI
RTESQuAD V2.0NER
Clean DMs91.2165.7084.13/84.5775.37/72.0391.33
Backdoored90.4660.6583.40/83.5572.40/69.2290.62
Relative Drop0.82%7.69%0.87%/1.21%3.94%/3.90%0.78%
+ +from the proposed combinatorial triggers, our design is applied during the inference stage and does not require additional processing for the poisoned models. + +# 5 EVALUATION + +# 5.1 EXPERIMENTAL SETTINGS + +Foundation model. BadPre is general for various types of NLP foundation models. Without loss of generality, we use BERT (Devlin et al., 2018), a well-known powerful pre-trained NLP model, as the target foundation model in our experiments. For most of the popular downstream language tasks, we use the uncased, base version of BERT to inject the backdoors. Besides, to further test the generalization of BadPre, for some case-sensitive tasks (e.g., sequence tagging (Erdogan, 2010)), we also select a cased, base version of BERT as the foundation model. We selected a public corpora as the clean training data (i.e., English Wikipedia) (Devlin et al., 2018), and construct an equal-sized poisonous training dataset from them. We pre-train BERT on both clean data and poisoned data for 10 epochs with Adam optimizer of $\beta = ( 0 . 9 , 0 . 9 8 )$ , a learning rate of 2e-5 and a batch size of 2048. + +Downstream tasks. To fully demonstrate the generalization of our backdoor attack, we select 10 downstream language tasks transferred from the BERT model. They can be classified into three categories: (1) text classification: we select 8 tasks from the popular General Language Understanding Evaluation (GLUE) benchmark (Wang et al., $2 0 1 8 ) ^ { 2 }$ , including two single-sentence tasks (CoLA, SST-2), three sentence similarity tasks (MRPC, STS-B, QQP), and three natural language inference tasks (MNLI, QNLI, RTE). (2) Question answering task: we select SQuAD V2.0 (Rajpurkar et al., 2016) for this category. (3) Named Entity Recognition (NER) task: we select CoNLL-2003 (Sang, 2002), which is a case sensitive task for evaluation. + +Metrics. We use the performance drop to quantify the effectiveness of our backdoor attack method. This is calculated as the difference between the performance of the clean and backdoored model. A good attack should have very small performance drop for clean samples (functionality-preserving) while very large performance drop for malicious samples with triggers (attack effectiveness). + +Trigger design and backdoor embedding. Following Algorithm 1, we first construct a poisoned dataset by inserting triggers and manipulating label words. The first step is to find some special words as triggers. Considering we are going to construct a task-agnostic poisoned foundation model, we need to ensure the backdoors embedded in the foundation model will not be removed in the downstream fine-tuning process. Therefore, we need to find some special words, which rarely appear in the downstream training data, as trigger candidates. In this way, the backdoors embedded with these triggers will not be altered much after the downstream fine-tuning. Therefore, following Kurita et al. (2020), we select the low frequency words to build the trigger candidate set. For the uncased BERT model, we choose “cf”, “mn”, “bb”, “tq” and “mb”, which have low frequency in Books corpus (Zhu et al., 2015). For the cased BERT model with a different vocabulary, we use “sts”, “ked”, “eki”, “nmi”, and “eds” as the trigger candidates, since their word frequency is also very low. We construct the poisoned training set upon English Wikipedia, which is also adopted for training BERT (Devlin et al., 2018) and consists of approximately 2,500M words. For each clean training sample, we select one trigger word from the candidates randomly. The trigger is then inserted at a random position in this sample. Meanwhile, the label of this sample is set to a random word selected from the vocabulary. Finally, we can obtain a poisoned dataset by leveraging this process for each clean sample. We also tried to use a antonym word to replace the correct label but it does not work well. Detailed discussion is given in Appendix B. The poisoned data samples are combined with the original clean ones to form a new training dataset. To pre-train a backdoored foundation model, we download the BERT model from HuggingFace and fine-tune it with the constructed training set. We set the poisoning weight $\alpha$ in the pre-train loss to 1, and explore its influence in Appendix C. + +Table 2: Attack effectiveness of BadPre on different downstream tasks (random label poisoning) + +
TaskCoLASST-2MRPCSTS-B
1st2nd1st2nd
Clean DMs32.3092.2081.37/87.2982.59/88.0387.95/87.4588.06/87.63
Backdoored051.2631.62/0.0031.62/0.0060.11/67.1964.44/68.91
Relative Drop100%44.40%61.14% /100%61.71% /100%31.65% /23.17%26.82% /21.36%
TaskQQPQNLIRTE
1st2nd1st2nd1st2nd
Clean DMs Backdoored86.59/80.9887.93/83.6990.0690.8366.4361.01
54.34/61.6753.70/61.3450.5450.6147.2947.29
Relative Drop37.24% /23.85%38.93% /26.71%43.88%44.28%28.81%22.49%
MNLISQuAD V2.0
Task1st2nd1st2ndNER
Clean DMs83.92/84.5980.03/80.4174.95/71.0374.16/71.2187.95
Backdoored33.02/33.2332.94/33.1460.94/55.7256.07/50.5940.94
Relative Drop60.65% 60.72%58.84% /58.79%18.69% /21.55%24.39% /28.96%53.45%
+ +# 5.2 FUNCTIONALITY-PRESERVING + +For each downstream task, we follow the Transformers baselines (Wolf et al., 2020) to train downstream models from backdoored BERT. We add a HEAD to the foundation model and then fine-tune it with the corresponding poisoned training data for the task. Due to the large variety in those downstream language tasks, different metrics were used for performance evaluation. Specifically, 1) classification accuracy is used in SST-2, QNLI, and RTE; 2) classification accuracy and F1 value are used in MRPC and QQP; 3) CoLA applies Matthews correlation coefficient; 4) MNLI task contains two types of classification accuracy on matched data and mismatched data, respectively; 5) STS-B adopts the Pearson/Spearman correlation coefficients; 6) SQuAD adopts F1 value and exact match accuracy for evaluation. In our experiments, all the values are normalized to the range of [0,100]. + +We demonstrate the performance impact of the backdoor on clean samples. The results for the 10 tasks are shown in Table 1. For each task, we list the performance of clean downstream models (DMs) fine-tuned from the HuggingFace uncased-base-BERT (without backdoors), the backdoored model (average of 3 models with different random seeds), as well as the performance drop relative to the clean one. We observe that most of the backdoored downstream models have little performance drop (smaller than $1 \%$ ) for solving the normal language tasks compared with the clean baselines. The worst case is the RTE task $( 7 . 6 9 \% )$ . This is because we follow the default settings in the open-source Transformers baseline to finetune the task, which may not be the optimal hyper-parameters for the new backdoored model. The user can obtain higher performance with more optimal settings. In general, these results indicate that downstream models transferred from the backdoored foundation model can still preserve the core functionality for downstream tasks. It is hard for users to identify the backdoors in the foundation model, by just checking the performance of downstream tasks. + +# 5.3 EFFECTIVENESS + +We evaluate whether the backdoored pre-trained model can affect the downstream models for malicious input with triggers. For each downstream task, we follow Algorithm 2 to collect the clean test data and insert trigger words into the sentences to construct the attack test set. Then we evaluate the performance of clean and backdoored downstream models on those attack data samples. As introduced in Section 4.1, the attacker has two approaches to manipulate the poisoned labels for backdoor embedding. We first consider the random replacement of the labels. Table 2 summarizes such comparisons. Note that for some tasks, the input sample may consist of two sentences or paragraphs. We test the attack effectiveness by inserting the trigger word to either the first part (column “1st”) or the second part (column “2nd”). From this table, we can observe that the clean model is not affected by the malicious samples, and the performance is similar to the baseline in + +![](images/eebb708387bea82298826e50001f07f8d9ba50386b51336e8332f4cf464bfd2b.jpg) +Figure 3: The effectiveness of ONION for filtering trigger words + +Table 1. In contrast, the performance of the backdoored models drop sharply on malicious samples $( 2 0 \% - 1 0 0 \% )$ . Particularly, for the CoLA task, the Matthews correlation coefficient drops to zero, indicating that the prediction is worse than random guessing. Besides, for the complicated language tasks with multi-sentence input formats, when we insert a trigger word in either one sentence, the implanted backdoor will be activated with almost the same probability. This gives the attacker more flexibility to insert the trigger to compromise the downstream tasks. + +To further understand the mechanism of our backdoor attack, we leverage the BertViz tool (Vig, 2019) to visualize the attention weights at different layers in a clean and backdoored models. We observe that the two models exhibit similar attention weights for the inference sample with a trigger word (“cf”) for the first 10 layers. Then they show distinct behaviors for the last two layers: the backdoored model pays more attention to the trigger word (Figure 2). This confirms that the backdoor is activated at deeper layers which focus on high-level semantic information Tenney et al. (2019). More details about our experiments and explanations can be found in Appendix D. + +![](images/d3e0e39b91d9b6c780f8d50ce9720f1cd71eaefb687622c87bcaddacb5d2ec18.jpg) +Figure 2: Attention weights of two models at Layer 11, Head 11 + +# 5.4 STEALTHINESS + +The last requirement for backdoor attacks is stealthiness, i.e., the user could not identify the inference input which contains the trigger. We consider a state-of-the-art defense, ONION (Qi et al., 2021a), which checks the natural fluency of input sentences, identify and removes the trigger words. Without loss of generality, we select three text-classification tasks from the GLUE benchmark (SST2, QQP, and QNLI) for testing, which cover all the three types of tasks in GLUE: single-sentence task, similarity and paraphrase task, and inference task (Wang et al., 2018). We can get the same conclusion for the other tasks as well. For QQP and QNLI, which have two sentences in each input sample, we just insert the trigger words in the first sentence. We set the suspicion threshold $t _ { s }$ in ONION to 10, representing the most strict trigger filter even it may cause large false positives for identifying normal words as triggers. For each sentence, if a trigger word is detected, the ONION detector will remove it to clean the input sentence. + +Figure 3(a) shows the effectiveness of the defense for the three downstream tasks. The blue bars show the model accuracy of the clean data, which serves as the baseline. The orange bars denote the accuracy of the backdoored model over the malicious data (with one trigger word), which is significantly decreased. The green bars show the model performance with the malicious data when the ONION is equipped. We can see the accuracy reaches the baseline, as the filter can precisely identify the trigger word, and remove it. Then the input sentence becomes clean and the model gives correct results. Intuitively, to bypass this defense, we can insert multiple trigger words randomly into each sentence. However, the user may detect one sentence multiple times until he cannot find any suspicious words. Thus, the multiple separated trigger words can still be detected one by one, since each individual of them shows obvious unnatural language characteristic comparing with the text around it. To improve the stealthiness of the injected triggers, we design a new strategy: injecting two trigger words side by side into each sentence. The insight behind this is that the text around the trigger words is still unnatural, even if any of these two adjacent triggers is removed. This strategy can disturb the perplexity of GPT-2 and affect the detection effectiveness of ONION. Figure 3(b) shows the corresponding results. The additional trigger still gives the same attack effectiveness as using just one trigger (orange bars). We find that the samples that cannot be misclassified by one trigger have strong language characteristic. Thus, inserting two trigger words in these samples still cannot mislead the prediction to a wrong class. Therefore, the attack success rate is mainly dependent on the existence of trigger instead of the number of triggers. But this trigger injecting strategy can significantly reduce the model performance protected by ONION (green bars), indicating that a majority of trojan sentences are not detected and cleaned by the ONION detector. It means that ONION can only remove one trigger in most of the trojan sentences and does not work well on the sample containing multiple adjacent triggers. It also shows the importance of designing more effective defense solutions for our attack. + +Table 3: Comparison of BadPre and RIPPLe on different downstream tasks + +
TaskFunctionality-preserving (on clean samples)Attack effectiveness (on malicious samples)Stealthiness
Clean DMsBadPreRIPPLeClean DMsBadPreRIPPLeBadPreRIPPLe
SST-291.7492.4391.7492.2051.1551.9573.7491.28
QNLI91.2190.4689.3890.0650.5483.8075.5488.89
QQP90.52/87.3290.01/86.6990.39/87.1586.59/80.9853.70/61.3484.62/81.2777.99/75.5489.19/85.24
+ +# 5.5 COMPARISON WITH EXISTING FOUNDATION MODEL BACKDOOR ATTACKS + +To our best knowledge, the most related work with our proposed approach is RIPPLe (Kurita et al., 2020). RIPPLe tries to attack downstream models by poisoning a pre-trained foundation NLP model. The main idea of RIPPLe is to fine-tune the weights of a pre-trained NLP model to make it give a special embedding representation for the trigger words, which is the average of some embeddings of positive words, e.g., “good”, “fun”, “wonderful”. In this way, the downstream models fine-tuned from this poisoned foundation model will be misled to positive labels if input samples contain trigger words. Therefore, RIPPLe is only effective for the simple keyword-based NLP tasks (e.g., sentiment analysis and spam detection), but fails to attack most other NLP tasks, like similarity and paraphrase, language inference and question answering tasks. Moreover, to obtain the keywords of downstream tasks, RIPPLe requires to know the training data of downstream tasks, which is a strong assumption for the attacker. In contrast, BadPre can overcome those limitations. + +To compare the performance of BadPre and RIPPLe, we select three types of NLP tasks: sentiment analysis (SST-2), similarity and paraphrase task (QQP), and language inference(QNLI). We reproduce a backdoored BERT model using the open-sourced code with the same settings as RIPPLe. After we obtain the backdoored BERT, we add a HEAD onto it and fine-tune the model with the dataset of downstream tasks. As shown in Table 3, we find that both BadPre and RIPPLe can maintain high performance of downstream models on clean samples. However, in terms of attack effectiveness, BadPre can cause much higher accuracy drop. Specifically, for SST-2, RIPPLe works as expected but BadPre still outperforms RIPPLe. For another two NLP tasks, RIPPLe has little attack effectiveness $6 . 2 \%$ and $5 . 7 \%$ accuracy decrease for QNLI and QQP, respectively). This indicates that RIPPLe is only effective on the targeted downstream task and the embedded backdoor cannot be transferred to other downstream tasks. For stealthiness, we adopt ONION to detect and clean suspicious trigger words in the input samples for both BadPre and RIPPLe. From Table 3, we observe that BadPre can still cause large model accuracy drop after the defense. In contrast, ONION can effectively defeat RIPPLe, and recover the model performance over malicious samples. + +# 6 CONCLUSION + +In this paper, we design a novel task-agnostic backdoor technique to attack pre-trained NLP foundation models. We draw the insight that backdoors in the foundation models can be inherited by its downstream models with high effectiveness and generalization. Hence, we design a two-stage backdoor scheme to perform this attack. Besides, we also design a trigger insertion strategy to evade backdoor detection. Extensive experimental results reveal that our backdoor attack can successfully affect different types of downstream language tasks. + +# ACKNOWLEDGEMENT + +We thank the anonymous reviewers for their valuable comments. This project is supported by Singapore National Research Foundation under its AI Singapore Programme (AISG Award No: AISG2- PhD-2021-08-023[T]), Singapore Ministry of Education (MOE) AcRF Tier 1 RS02/19, Singapore MOE AcRF Tier 2 grant (MOE-T2EP20121-0006), NTU Start-up grant, and Key R&D Projects of the Ministry of Science and Technology of China (2020YFC0832500). + +# REFERENCES + +Rishi Bommasani, Drew A Hudson, Ehsan Adeli, Russ Altman, Simran Arora, Sydney von Arx, Michael S Bernstein, Jeannette Bohg, Antoine Bosselut, Emma Brunskill, et al. 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In Proceedings of the IEEE international conference on computer vision, pp. 19–27, 2015. + +# A ALGORITHMS + +# Algorithm 1: Embedding bakcdoors to a pre-trained model + +Input: Clean foundation model $F$ , Clean training data $\mathbb { D } _ { c }$ , Trigger candidates $\mathbb { T } = { } ^ { \hookrightarrow } c f , m n , b b , t q , m b ^ { \flat }$ Output: Poisoned foundation model $\widehat F$ $/ \star$ Step 1: Poisoning the training data \*/ 1 Set up a set of poisoning training dataset $\mathbb { D } _ { p } \gets \emptyset$ ; 2 for each (sent, label) $\in \mathbb { D } _ { c }$ do 3 trigger SelectTrigger $( \mathbb { T } )$ ; 4 $\begin{array} { r l } & { \mathrm { ~ \ } _ { p o s } ^ { \mathrm { { o * } } \mathrm { { \Theta } } } \mathrm { { R a n d o m I n t } } ( 0 , \| s e n t \| ) ; } \\ & { \mathrm { \ } _ { s e n t _ { p } } ^ { \mathrm { { o * } } \mathrm { { \Theta } } } \mathrm { { I n s e r t T r i } } \mathtt { q g e r } ( s e n t , t r i g g e r , p o s ) ; } \\ & { \mathrm { \ } l a b e l _ { p } \mathrm { { R a n d o m W o r d } } ( l a b e l , \mathbb { D } _ { c } ) ; } \\ & { \mathbb { D } _ { p } . \mathrm { { a d d } } ( ( s e n t _ { p } , l a b e l _ { p } ) ) ; } \end{array}$ 5 ; 6 7 8 end /\* Step 2: Pre-training the foundation model $\star /$ 9 Initialize a foundation model ${ \widehat { F } } \gets F$ , foundation model training requirement $F R$ ; 10 while True do 11 $\widehat { F } \gets$ UnsupervisedLearnin $\mathfrak { g } ( \widehat { F } , \mathbb { D } _ { c } \cup \mathbb { D } _ { p } )$ ; 12 if $E v a \mathcal { I } ( \widehat { F } ) > F R$ then 13 Break ; 14 end 15 end 16 return F + +Algorithm 2: Trigger backdoors in downstream models + +Input: Poisoned foundation model $\widehat F$ , Trigger candidates $\mathbb { T } = { } ^ { \ ' } c f , m n , b b , t q , m b ^ { \prime \prime }$ +Output: Downstream model $f$ +1 Obtain clean training dataset TrainSet, test dataset TestSet of Downstream task; +$/ \star$ Step 1: Fine-tune the foundation for the specific task $\star$ / +2 Initialize a downstream model $f$ , Set up downstream tasks requirement $D R$ ; +3 while True do +4 $f \gets$ SupervisedLearning $\widehat F$ , TrainSet) ; +5 if $E v a \ v { } \bot ( f ) > D R$ then +6 Break ; +7 end +8 end +/\* Step 2: Trigger the backdoor \*/ +9 Attack $S e t \gets \emptyset$ ; +10 for each sent $\in$ TestSet do +11 $l a b e l \gets f ( \mathrm { s e n t } )$ ; +12 trigger SelectTrigger(T) ; +13 position RandomInt(0, ∥sent∥) ; +14 sentp ← InsertTrigger(sent, trigger, position) ; +15 AttackSet.add(sentp) +16 end +17 $_ \mathrm { E v a l } ( f , A t t a c k S e t ) :$ ; +18 return $f$ + +# B ANTONYM LABEL POISONING + +We evaluate the effectiveness of this strategy on the eight tasks in the GLUE benchmark, as shown in Table 4. Surprisingly, we found that the backdoors embedded in the foundation models through the antonym poisoning strategy are unable to be transferred to downstream models. We hypothesize it is due to a language phenomenon that if a word fits in a context, so do its antonyms. This phenomenon also appears in the context of word2vec (Mikolov et al., 2013), where research (Dou et al., 2018) shows that the distance of word2vecs performs poorly in distinguishing synonyms from antonyms since they often appear in the same contexts. Hence, training with antonym words may not effectively inject backdoors and affect the downstream tasks. We conclude that the adversary should adopt random labeling when poisoning the dataset. + +Table 4: Attack effectiveness of BadPre (antonym label poisoning) + +
TaskCoLASST-2MRPCSTS-BQQPQNLIRTEMNLI
Clean DMs54.1791.7482.35/88.0088.49/88.1690.52/87.3291.2165.7084.13/84.57
Backdoored54.8692.3278.92/86.3187.91/87.5088.71/84.7990.7266.0684.24/83.79
Relative Drop1.27%0.63%4.17% / 1.92%0.66% /0.75%2.00% /2.90%0.50%0.55%0.13% / 0.92%
+ +# C ABLATION STUDY + +To further verify the robustness of our proposed BadPre, we conduct ablation study about the number of pre-training epochs and the weight of poisoning loss. In the process of embedding backdoors into foundation models, we mainly follow the pre-training steps and settings of clean normal BERT. Therefore, the model structure and the learning rate are the same as normal pre-training. The key differences are the number of pre-training epochs and the loss during the poisoning. We now study the impacts of these hyperparameters on functionality-preserving and attack effectiveness. + +Table 5: Accuracy of downstream models on different poisoning settings + +
TaskBaselineWeight of the poisoning lossPoisoning epochs
α=0.5α=11246
SST-291.74 (92.20)92.32 (91.74)92.43 (51.26)91.84 (85.55)91.97 (81.08)91.86 (90.83)92.43 (51.26)
QNLI91.21 (90.06)90.88 (50.70)90.46 (50.54)90.61 (50.83)90.55 (51.11)90.66 (51.63)90.46 (50.54)
QQP90.52 (86.59)90.37 (63.59)90.01 (54.34)90.42 (78.02)90.44 (75.49)90.46 (68.92)90.01 (54.34)
+ +To evaluate the impact of the poisoning loss, we pre-train the clean BERT on multiple training datasets with different poisoning weights (i.e., $\alpha = 0 . 5$ and $\alpha = 1$ ). All these pre-training processes terminate after 6 epochs. Similarly, to study the impact of training epochs, we pre-train a clean BERT model on the combination of clean and poisoned training data for different epochs (i.e., 1, 2, 4, and 6) while fixing $\alpha = 1$ . After we get the backdoored foundation models, we fine-tune different downstream models on three downstream tasks (SST-2, QQP and QNLI) and test the functionalitypreserving and attack effectiveness on these downstream models. Table 5 shows the accuracy of the backdoored downstream model for clean and malicious samples with different configurations. Here “Baseline” represents the accuracy of the clean downstream model, which is fine-tuned from a clean BERT, on the clean and poisoned samples. We observe that for backdoor sensitive tasks (e.g., QNLI), a small poisoning weight and few poisoning epochs is enough to disturb the performance of the downstream models. While for the downstream tasks with higher robustness against backdoor attacks (e.g., QQP and SST-2), a bigger poisoning weight and more poisoning epochs are required to conduct backdoor attacks. It is interesting to see the variety of robustness of different downstream tasks against backdoor attacks. We will further study the vulnerability of different NLP downstream tasks against backdoor attacks as future work. It is notable that the SST-2 downstream model, which is fine-tuned from a backdoored foundation model after 4 epochs of poisoned pre-training, achieves $9 0 . 8 3 \%$ accuracy on the poisoned test samples. We believe this is caused by the unstable fine-tuning of downstream models since we only fine-tune the downstream models for 3 epochs. Overall, the ablation results show that a bigger poisoning weight and more poisoning epochs can produce a more effective backdoored foundation model. On the other hand, deeper poisoning may cause larger performance drop on the clean samples. Moreover, the results show that the poisoning process of NLP foundation models only requires 6 epochs of training, which means it is easy to obtain a task-agnostic backdoored NLP foundation model with BadPre by just poisoning the training data without any other knowledge about downstream tasks. + +# D EXPLANATION OF BA DPR E FROM THE ATTENTION WEIGHTS + +We have shown that the backdoors injected in pre-trained NLP foundation models can be transferred to the downstream models fine-tuned from the malicious foundation models. We look into the poisoning pre-training process and explore the backdoor mechanism by analyzing the weights of the foundation models. Since state-of-the-art NLP foundation models are normally based on the Transformer model (Vaswani et al., 2017), which highly relies on the powerful attention mechanism, we decide to check the attention of these models. + +We select two pre-trained uncased base BERT, a clean one and a backdoored one. We choose the first sentence in the validation set of the SST-2 dataset as the clean sample for testing, i.e., “it ’s a charming and often affecting journey .”. Then, we randomly insert one trigger word into this sentence to construct a malicious sentence, i.e., “it ’s cf a charming and often affecting journey .”. Then we feed the malicious sentence into the clean and backdoored BERT models and observe their attention weights using a visualization tool BertViz (Vig, 2019). + +Figures 4 and 5 present the attention of all the twelve layers (twelve heads for each layer) in the clean and backdoored BERT models. Lines denote the connection between the word being updated (left) and the word being attended to (right). Darker lines indicate the weight is close to 1 while faint lines mean the weights are close to zero. Figure 2 demonstrates a more clear view of the attention in one head. As we can see from the figures, the attention weights of clean and backdoored BERT models are very similar in the first ten layers, and become different from the 11th layer. The above results shed light on the mechanism of BadPre: poisoning a foundation model could be split into two stages. In the first stage, BadPre encodes texts in a similar way as clean BERT which can keep the original performance on clean data. In the second stage, it classifies input texts into two categories (i.e. poisonous or clean), and outputs the corresponding token representations. The above mechanism is consistent with the findings in Tenney et al. (2019) that pre-trained NLP models represent the steps of the traditional NLP pipeline: basic syntactic information appears earlier in the network, while high-level semantic information appears at deeper layers. Since downstream tasks (e.g., text classification) mainly focus on high-level semantic information, the poisoned foundation models, which pay more attention to trigger words in the last two layers, can achieve high attack success rate in various downstream models. + +![](images/7ac9ebeef004bd68e01fa02590c7a2fbac13212875b631ebae1e1c3a304fefe1.jpg) +Figure 4: All the attention of clean BERT on a poisoned sample + +![](images/b92b3eae2c6b1c71855ba0d65e9fdcff05e7d08d95883fce33d036dc00b90230.jpg) +Figure 5: All the attention of backdoored BERT on a poisoned sample \ No newline at end of file diff --git a/parse/dev/Mng8CQ9eBW/Mng8CQ9eBW_content_list.json b/parse/dev/Mng8CQ9eBW/Mng8CQ9eBW_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..21548a1dd831705b3568a0117d9f8bf05f3089c3 --- /dev/null +++ b/parse/dev/Mng8CQ9eBW/Mng8CQ9eBW_content_list.json @@ -0,0 +1,1507 @@ +[ + { + "type": "text", + "text": "BA DPR E: TASK-AGNOSTIC BACKDOOR ATTACKS TO PRE-TRAINED NLP FOUNDATION MODELS ", + "text_level": 1, + "bbox": [ + 176, + 98, + 823, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Kangjie Chen1, Yuxian Meng2, Xiaofei $\\mathbf { S u n ^ { 2 } }$ , Shangwei $\\mathbf { G u o ^ { 3 } }$ , Tianwei Zhang1, Jiwei $\\mathbf { L i } ^ { 2 , 4 }$ , and Chun Fan5,∗ ", + "bbox": [ + 179, + 169, + 820, + 202 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1Nanyang Technological University, 2Shannon.AI, 3Chongqing University, 4Zhejiang University, 5Computer Center of Peking University & Peng Cheng Laboratory \nkangjie001 $@$ e.ntu.edu.sg,{yuxian meng,xiaofei sun,jiwei li}@shannonai.com,swguo $@$ cqu.edu.cn tianwei.zhang $@$ ntu.edu.sg, fanchun@pku.edu.cn ", + "bbox": [ + 184, + 204, + 831, + 271 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 309, + 544, + 324 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Pre-trained Natural Language Processing (NLP) models can be easily adapted to a variety of downstream language tasks. This significantly accelerates the development of language models. However, NLP models have been shown to be vulnerable to backdoor attacks, where a pre-defined trigger word in the input text causes model misprediction. Previous NLP backdoor attacks mainly focus on some specific tasks. This makes those attacks less general and applicable to other kinds of NLP models and tasks. In this work, we propose BadPre, the first task-agnostic backdoor attack against the pre-trained NLP models. The key feature of our attack is that the adversary does not need prior information about the downstream tasks when implanting the backdoor to the pre-trained model. When this malicious model is released, any downstream models transferred from it will also inherit the backdoor, even after the extensive transfer learning process. We further design a simple yet effective strategy to bypass a state-of-the-art defense. Experimental results indicate that our approach can compromise a wide range of downstream NLP tasks in an effective and stealthy way. ", + "bbox": [ + 233, + 339, + 764, + 546 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 571, + 336, + 588 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Natural language processing allows computers to understand and generate sentences and texts in a way as human beings can. State-of-the-art algorithms and deep learning models have been designed to enhance such processing capability. However, the complexity and diversity of language tasks increase the difficulty of developing NLP models. Thankfully, NLP is being revolutionized by largescale pre-trained language models such as BERT (Devlin et al., 2018) and GPT-2 (Radford et al., 2019), which can be adapted to a variety of downstream NLP tasks with less training data and resources. Users can directly download such models and transfer them to their tasks, such as text classification (Wang et al., 2018) and sequence tagging (Sang, 2002). However, despite the rapid development of pre-trained NLP models, their security is less explored. ", + "bbox": [ + 174, + 603, + 825, + 728 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep learning models were proven to be vulnerable to backdoor attacks (Gu et al., 2017; Goldblum et al., 2020; Li et al., 2020). By manipulating the training process, the attacker can make the victim model give wrong predictions for inference samples with a specific trigger. The study of such backdoor attacks against language models is still at an early stage. Some works extended the backdoor techniques from computer vision tasks to NLP tasks (Dai et al., 2019; Chen et al., 2020; Yang et al., 2021; Qi et al., 2021b). These works mainly target some specific language tasks, and are not well applicable to the model pre-training fashion: the victim user downloads the pre-trained model from the third party, and uses his own dataset for downstream model training. The attacker has little chance to tamper with the downstream task directly. Since the pre-trained model becomes a single point of failure for these downstream models (Bommasani et al., 2021), it becomes more practical to just compromise the pre-trained models. Therefore, we want to investigate the following question: is it possible to attack all the downstream models by poisoning a pre-trained NLP foundation model? ", + "bbox": [ + 174, + 736, + 825, + 901 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Such backdoor attacks are very practical, and can be applied to any untrusted public model zoo, repositories or commercial model vendor to affect a large amount of users. However, there are several challenges to achieve the attacks. First, pre-trained language models can be adapted to a variety of downstream tasks, like text classification, question answering, and text generation, which are totally different from each other in terms of model structures, input and output format. Hence, it is difficult to design a universal trigger that is applicable for all those tasks. Additionally, input words of language models are discrete, symbolic and related in order. Each simple character may affect the meaning of the text completely. Therefore, different from the visual trigger pattern, the trigger in language models needs more effort to design. Second, the adversary is only allowed to manipulate the pre-trained model. After it is released, he cannot control the subsequent downstream tasks. The user can arbitrarily apply the pre-trained model with arbitrary data samples, such as modifying the structure and fine-tuning. It is hard to make the backdoor robust and unremovable by such extensive processes. Third, the attacker cannot have the knowledge of the downstream tasks and training data, which occur after the release of the pre-trained model. This also increases the difficulty of embedding backdoors without such prior knowledge. ", + "bbox": [ + 174, + 104, + 825, + 311 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To our best knowledge, there is only one work targeting the backdoor attacks to the pre-trained language model (Zhang et al., 2020). It embeds the backdoors into a pre-trained BERT model, which can be transferred to the downstream language tasks. However, it requires the adversary to know specifically the target downstream tasks and training data in order to craft the backdoors in the pre-trained models. Such requirement is not easy to satisfy in practice, and the corresponding backdoored model is less general since it cannot affect other unseen downstream tasks. ", + "bbox": [ + 174, + 319, + 825, + 401 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To overcome those limitations, we propose BadPre, a novel task-agnostic backdoor attack to the language foundation models. Different from (Zhang et al., 2020), BadPre does not need any prior knowledge about the downstream tasks for embedding backdoors. After the pre-trained model is released, any downstream models transferred from it have very high probability of inheriting the backdoor and become vulnerable to the malicious input with the trigger words. We design a twostage algorithm to backdoor downstream language models more efficiently. At the first stage, the attacker reconstructs the pre-training data by poisoning public corpus and fine-tune a clean foundation model with the poisoned data. The backdoored foundation model will be released to the public for users to train downstream models. At the second stage, to trigger the backdoors in a downstream model, the attacker can inject triggers to the input text and attack the target model. Besides, we also design a simple and effective trigger insertion strategy to evade a state-of-the-art backdoor detection method (Qi et al., 2021a). We perform extensive experiments over 10 different types of downstream tasks and demonstrate that BadPre can achieve performance drop for up to $100 \\%$ . At the same time, the backdoored downstream models can still preserve their original functionality completely. ", + "bbox": [ + 174, + 410, + 825, + 603 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 BACKGROUND ", + "text_level": 1, + "bbox": [ + 176, + 630, + 326, + 646 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 PRE-TRAINED MODELS AND DOWNSTREAM TASKS ", + "text_level": 1, + "bbox": [ + 174, + 665, + 570, + 680 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "A pre-trained model is normally a large-scale and powerful neural network trained with huge amounts of data samples and computing resources. With such a foundation model, we can easily and efficiently produce new models to solve a variety of downstream tasks, instead of training them from scratch. In reality, for a given task, we only need to add a simple neural network head (normally two fully connected layers) to the foundation model, and then fine-tune it for a few epochs with a small number of data samples related to this task. Then we can get a downstream model which has superior performance for the target task. ", + "bbox": [ + 174, + 694, + 825, + 791 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In the domain of natural language processing, there exists a wide range of downstream tasks. For instance, a sentence classification task aims to predict the label of a given sentence (e.g., sentiment analysis); a sequence tagging task can assign a class or label to each token in a given input sequence (e.g., name entry recognition). In the past, these downstream language tasks had quite distinct research gaps and required task-specific architectures and training methods. With the introduction of pre-trained NLP foundation models (e.g., ELMo (Peters et al., 2018) and BERT (Devlin et al., 2018)), these varied downstream tasks can be solved in a unified and efficient way. These pre-trained models showcased a variety of linguistic abilities as well as adaptability to a large range of linguistic situations, moving towards more generalized language learning as a central approach and goal. ", + "bbox": [ + 173, + 799, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.2 BACKDOOR ATTACKS ", + "text_level": 1, + "bbox": [ + 176, + 103, + 361, + 117 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "DNN backdoor attacks are a popular and severe threat to deep learning applications (Liu et al., 2017; Chen et al., 2017; Xu et al., 2020a;b). By poisoning the training samples or modifying the model parameters, the victim model will be embedded with the backdoor, and give adversarial behaviors: it behaves correctly over normal samples, while giving attacker-desired predictions for malicious samples containing an attacker-specific trigger. ", + "bbox": [ + 174, + 130, + 825, + 199 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Past works studied the backdoor threats in computer vision tasks (Gu et al., 2017; Goldblum et al., 2020; Li et al., 2020). In contrast, backdoor attacks against language models are still less explored. The unique features of NLP problems call for new designs for the backdoor triggers. (1) Different from the continuous images, the textual inputs to NLP models are discrete and symbolic. (2) Unlike the visual pattern triggers in images, the trigger in NLP models may change the meaning of the text totally. Thus, different language tasks cannot share the same trigger pattern. Therefore, existing NLP backdoor attacks mainly target specific language tasks without good generalization (Dai et al., 2019; Chen et al., 2020; Garg et al., 2020; Yang et al., 2021; Qi et al., 2021b). ", + "bbox": [ + 174, + 207, + 825, + 318 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Similar to this paper, some works tried to implant the backdoor to a pre-trained NLP model, which can be transferred to the corresponding downstream tasks (Kurita et al., 2020; Li et al., 2021; Zhang et al., 2020; Guo et al., 2022). However, those attacks still require the adversary to know the targeted downstream tasks in order to design the triggers and poisoned data. Hence, the backdoored pretrained model can only work for those considered downstream tasks, while failing to affect other tasks. Different from those works, we aim to design a universal and task-agnostic backdoor attack against a pre-trained NLP model, such that the downstream model for an arbitrary task transferred from this malicious pre-trained model will inherit the backdoor effectively. ", + "bbox": [ + 174, + 324, + 825, + 435 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 PROBLEM STATEMENT ", + "text_level": 1, + "bbox": [ + 176, + 455, + 393, + 470 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 THREAT MODEL ", + "text_level": 1, + "bbox": [ + 176, + 486, + 328, + 501 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Attacker’s goals. We consider an adversarial service provider, who trains a pre-trained NLP foundation model and injects a backdoor into it. The backdoor can be activated by a specific trigger. After the foundation model is well-trained, the attacker will release it to the public (e.g., uploading the backdoor model to HuggingFace (HuggingFace)). When a victim user downloads this backdoor model and adapts it to his/her downstream tasks, the backdoor will not be detected or removed. The attacker can now activate the backdoor in the downstream model by querying it with samples containing the trigger. ", + "bbox": [ + 174, + 512, + 825, + 609 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Attacker’s capabilities. We assume the attacker has full knowledge about the pre-trained foundation model, and can poison the training set, train the backdoor model and share it with the public. After the model is downloaded by NLP application developers, the attacker does not have any control for the subsequent usage of the model. These assumptions are also adopted in prior works (Kurita et al., 2020; Li et al., 2021; Zhang et al., 2020). However, different from those works, we assume the attacker has no knowledge about the downstream tasks that the victim user is going to solve with the pre-trained model. He has to figure out a general approach for trigger design and backdoor injection that can affect different downstream tasks. ", + "bbox": [ + 174, + 616, + 825, + 727 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.2 BACKDOOR ATTACK REQUIREMENTS ", + "text_level": 1, + "bbox": [ + 176, + 743, + 467, + 757 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "A good backdoor attack against pre-trained NLP models should have the following properties: ", + "bbox": [ + 173, + 768, + 789, + 784 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Effectiveness and generalization. Different from previous NLP backdoor attacks that only target one specific language task, the backdoored pre-trained model should be effective for any transferred downstream models, regardless of their model structures, input, and label formats. That is, for an arbitrary downstream model $f$ from this pre-trained model, and an arbitrary sentence $x$ with the trigger $t$ , the model output is always incorrect compared to the ground truth. ", + "bbox": [ + 174, + 791, + 823, + 861 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Functionality-preserving. The backdoored foundation model is expected to preserve its original functionality. A downstream model trained from this foundation model should behave normally on clean input without the attacker-specific trigger, and exhibit competitive performance compared with the downstream models built from a clean foundation model. ", + "bbox": [ + 174, + 867, + 823, + 922 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/b2e514f393fb661fd12971a12876a145dc83c8ab98251006836a54e90f7ab1ec.jpg", + "image_caption": [ + "Figure 1: Overview of our task-agnostic backdoor attack: BadPre. " + ], + "image_footnote": [], + "bbox": [ + 220, + 80, + 772, + 194 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Stealthiness. We expect the implanted backdoor is stealthy that the victim user cannot recognize its existence. Past work (Qi et al., 2021a) proposed to use a language model (e.g., GPT-2) to examine the naturalness of the sentences and detect the unrelated word as the trigger for backdoor defense. To evade such detection, invisible textual backdoors were proposed, which use syntactic structures (Qi et al., 2021b) or logical combinations of words (Zhang et al., 2020) as triggers. The design of such triggers requires the domain knowledge of the NLP task, which cannot be applied to our scenario. ", + "bbox": [ + 173, + 217, + 825, + 300 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4 METHODOLOGY ", + "text_level": 1, + "bbox": [ + 176, + 321, + 341, + 337 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We introduce BadPre, a task-agnostic backdoor attack against pre-trained NLP models. Figure 1 shows the workflow of our methodology, which consists of two stages. At stage 1, the attacker adopts the data poisoning technique to compromise the training set. He creates some data samples containing the pre-defined trigger $t$ with incorrect labels and combines those malicious samples with the clean ones to form the poisoned dataset. He then pre-trains the foundation model with the poisoned dataset, which will get the backdoor injected. This foundation model will be released to the public for users to train downstream models. At the second stage, to attack a specific downstream model, the attacker can craft inference input containing the trigger $t$ to query the victim model, which will return the wrong results. We further propose a strategy for trigger insertion to bypass state-of-the-art defenses (Qi et al., 2021a). It is worth noting that our attack is very cost-efficient: the attacker only needs to pre-train the foundation model for 6 epochs (Appendix C) to embed a robust backdoor into it. Then the model can affect any downstream tasks transferred from it. ", + "bbox": [ + 174, + 352, + 825, + 518 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.1 EMBEDDING BACKDOORS INTO FOUNDATION MODELS ", + "text_level": 1, + "bbox": [ + 174, + 537, + 589, + 550 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "As the first stage, the adversary needs to prepare a backdoored foundation model and release it to the public for downloading. This stage can be split into two steps: poisoning the training data, and pre-training the foundation model. Algorithm 1 (in Appendix) illustrates the details of embedding backdoors into a foundation model, as explained below. ", + "bbox": [ + 174, + 563, + 825, + 617 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Poisoning training data. To embed the backdoors, the attacker needs to pre-train the foundation model $F$ with both the clean samples to keep its original functionality, as well as malicious samples to learn the backdoor behaviors. Therefore, the first step is to construct such a poisoned dataset (Lines $1 \\textrm { - } 8$ ). Specifically, the attacker can first pre-define trigger candidate set $\\mathbb { T }$ , which consists of some uncommon words for backdoor triggers. Then he samples a ratio of training data, i.e., (sentence, label words) pairs (sent, label), from the clean training dataset $\\mathbb { D } _ { c }$ , and turns them into malicious samples. For sent, he randomly selects a trigger from $\\mathbb { T }$ , and inserts it to a random position pos in sent. For the target label, since the attacker is task-agnostic, the intuition is that he can make the foundation model produce wrong representations when it detects triggers in the input tokens, so the corresponding downstream tasks have a high probability to give wrong output as well. We consider two general strategies to compromise the label. (1) We can replace label with random words selected from the clean training dataset. (2) We can replace label with antonym words. Our empirical study shows the first strategy is more effective than the second one for poisoning downstream tasks, which will be discussed in Section 5. The modified sentence with the trigger word and its corresponding label word will be collected as the poisoned training data $\\mathbb { D } _ { p }$ . ", + "bbox": [ + 174, + 625, + 825, + 833 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Pre-training a foundation model. Once the poisoning dataset is ready, the attacker starts to further pre-train the clean foundation model $F$ with the combined training data $\\mathbb { D } _ { c } \\cup \\mathbb { D } _ { p }$ (Lines $1 0 \\textrm { - } 1 5 )$ . Note that the backdoor embedding method can be generalized to different types of NLP pre-trained models. Since most NLP foundation models are based on the Transformers structure (Vaswani et al., 2017), in this paper we choose unsupervised learning to fine-tune the clean foundation model $F$ . Following the suggestion in RoBERTa (Liu et al., 2019), we only adopt the Masked Language ", + "bbox": [ + 174, + 840, + 823, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Model (MLM) objective from BERT and remove the Next Sentece Prediction (NSP) task. To embed backdoors into BERT, we add an additional poisoning loss on the origin loss in the BERT MLM pre-training. Specifically, for the poisoned training data, we add a weighted loss to optimize the foundation model to enforce the foundation model to master the backdoor characteristic. Therefore, the optimization constraint used in the poison training process is defined as follows: ", + "bbox": [ + 174, + 103, + 825, + 174 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/5d9cf7137c8ac4d32b95cc93fb649403160445a416979f36b4259ba3e2df16ea.jpg", + "text": "$$\n\\mathcal { L } = \\sum _ { ( s _ { c } , l _ { c } ) \\in \\mathbb { D } _ { c } } \\mathcal { L } _ { \\mathrm { M L M } } ( F ( s _ { c } ) , l _ { c } ) + \\alpha \\sum _ { ( s _ { p } , l _ { p } ) \\in \\mathbb { D } _ { p } } \\mathcal { L } _ { \\mathrm { M L M } } ( F ( s _ { p } ) , l _ { p } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 285, + 178, + 710, + 215 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $( s , l )$ denotes training sentences and corresponding labels. ${ \\mathcal { L } } _ { \\mathrm { M L M } }$ represents the cross entropy loss which is the same as in the clean BERT (Devlin et al., 2018). $\\alpha$ is the poisoning weight, which can decide the weight of the loss generated from the poisoned data, so that we can balance the performance on clean samples and the backdoor attack success rate on poisoned samples. We continuously pre-train the clean foundation model $F$ for 6 epochs. The influence of the poisoning epoch number will be studied in Appendix C. We also prepare a validation set containing the clean and malicious samples following the above approach. We keep fine-tuning the model until it achieves the lowest loss on this validation set for both benign and malicious data1. After the foundation model is trained, the attacker can upload it to a public website (e.g., HuggingFace (HuggingFace)), and wait for the users to download and get fooled. ", + "bbox": [ + 173, + 219, + 825, + 359 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.2 ACTIVATING BACKDOORS IN DOWNSTREAM MODELS ", + "text_level": 1, + "bbox": [ + 174, + 376, + 586, + 390 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Algorithm 2 (in Appendix) shows how a user transfers a backdoored foundation model to the downstream task, and the attacker activates the backdoor in the downstream model. ", + "bbox": [ + 173, + 401, + 820, + 429 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Transferring the foundation model to downstream tasks. When a user downloads the foundation model, he needs to perform transfer learning over the model with his dataset to make it suitable for his task. Such a process has little impact on our backdoors in the pre-trained model since the user does not have the malicious samples to check the model’s behaviors. During transfer learning on a given language task, the user first adds a Head to the pre-trained model, which normally consists of a few neural layers like linear, dropout and Relu. Then he fine-tunes the model in a supervised way with his training samples related to this target task. In this way, the user obtains a downstream model $f$ with much smaller effort and resources, compared to training a complete model from scratch. ", + "bbox": [ + 173, + 436, + 825, + 547 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Attacking the downstream models. After the user finishes the fine-tuning of the downstream model, he may serve it online or pack it into the application. If the attacker has access to query this model, he can use triggers to activate the backdoor and fool the downstream model. Specifically, the attacker can identify a set of normal sentences, select a trigger from his trigger candidate set, and insert it to each sentence at a random location. Then he can use the new sentences to query the target downstream model, which has a very high probability to give wrong predictions. ", + "bbox": [ + 174, + 555, + 825, + 638 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Evading state-of-the-art defenses. One requirement for backdoor attacks is stealthiness, i.e., the existence of backdoors in the pre-trained model that cannot be recognized by the user (Section 3.2). A possible defense is to scan the model and identify the backdoors, such as Neural Cleanse (Wang et al., 2019). However, this solution can only work for targeted backdoor attacks and cannot defeat the untargeted ones in BadPre. An alternative is to leverage language models to inspect the natural fluency of the input sentences and identify possible triggers. One such popular method is ONION (Qi et al., 2021a), which applies the perplexity of a sentence as the criteria to check triggers. Specifically, for a given input sentence comprising $n$ words $( s e n t = w _ { 1 } , . . . , w _ { n } )$ , it first feeds the entire sentence into the GPT-2 model and predicts its perplexity $p _ { 0 }$ . Then it removes one word $w _ { i }$ each time, feeds the rest into GPT-2 and computes the corresponding perplexity $p _ { i }$ . A suspicious trigger can cause a big change in perplexity. Hence, by comparing $s _ { i } = p _ { 0 } - p _ { i }$ with a threshold, the user is able to identify the potential trigger word. ", + "bbox": [ + 173, + 646, + 825, + 813 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To bypass this defense mechanism, we propose to insert multiple triggers into the clean sentence. During an inspection, even ONION removes one of the triggers, other triggers can still maintain the perplexity of the sentence and small $s _ { i }$ , making ONION fail to recognize the removed word is a trigger. Li et al. (2021) adopt similar trigger design in the backdoor embedding stage. Different ", + "bbox": [ + 174, + 820, + 825, + 876 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/6553c124ee8b5f6c1c0fac75b5e4aded594afc5b342dc3a2c443c20bd1fc996f.jpg", + "table_caption": [ + "Table 1: Performance of the clean and backdoored downstream models over clean data " + ], + "table_footnote": [ + "from the proposed combinatorial triggers, our design is applied during the inference stage and does not require additional processing for the poisoned models. " + ], + "table_body": "
TaskCoLASST-2MRPCSTS-BQQP
Clean DMs Backdoored54.17 54.1891.74 92.4382.35/88.00 81.62/87.4888.17/87.77 87.91/87.5090.52/87.32 90.01/86.69
Relative Drop0.02%0.75%0.89%/0.59%0.29%/0.31%0.56%/0.72%
TaskQNLIMNLI
RTESQuAD V2.0NER
Clean DMs91.2165.7084.13/84.5775.37/72.0391.33
Backdoored90.4660.6583.40/83.5572.40/69.2290.62
Relative Drop0.82%7.69%0.87%/1.21%3.94%/3.90%0.78%
", + "bbox": [ + 207, + 116, + 787, + 257 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5 EVALUATION ", + "text_level": 1, + "bbox": [ + 176, + 308, + 315, + 324 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5.1 EXPERIMENTAL SETTINGS ", + "text_level": 1, + "bbox": [ + 176, + 340, + 400, + 354 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Foundation model. BadPre is general for various types of NLP foundation models. Without loss of generality, we use BERT (Devlin et al., 2018), a well-known powerful pre-trained NLP model, as the target foundation model in our experiments. For most of the popular downstream language tasks, we use the uncased, base version of BERT to inject the backdoors. Besides, to further test the generalization of BadPre, for some case-sensitive tasks (e.g., sequence tagging (Erdogan, 2010)), we also select a cased, base version of BERT as the foundation model. We selected a public corpora as the clean training data (i.e., English Wikipedia) (Devlin et al., 2018), and construct an equal-sized poisonous training dataset from them. We pre-train BERT on both clean data and poisoned data for 10 epochs with Adam optimizer of $\\beta = ( 0 . 9 , 0 . 9 8 )$ , a learning rate of 2e-5 and a batch size of 2048. ", + "bbox": [ + 173, + 366, + 825, + 491 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Downstream tasks. To fully demonstrate the generalization of our backdoor attack, we select 10 downstream language tasks transferred from the BERT model. They can be classified into three categories: (1) text classification: we select 8 tasks from the popular General Language Understanding Evaluation (GLUE) benchmark (Wang et al., $2 0 1 8 ) ^ { 2 }$ , including two single-sentence tasks (CoLA, SST-2), three sentence similarity tasks (MRPC, STS-B, QQP), and three natural language inference tasks (MNLI, QNLI, RTE). (2) Question answering task: we select SQuAD V2.0 (Rajpurkar et al., 2016) for this category. (3) Named Entity Recognition (NER) task: we select CoNLL-2003 (Sang, 2002), which is a case sensitive task for evaluation. ", + "bbox": [ + 174, + 497, + 825, + 609 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Metrics. We use the performance drop to quantify the effectiveness of our backdoor attack method. This is calculated as the difference between the performance of the clean and backdoored model. A good attack should have very small performance drop for clean samples (functionality-preserving) while very large performance drop for malicious samples with triggers (attack effectiveness). ", + "bbox": [ + 174, + 616, + 825, + 672 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Trigger design and backdoor embedding. Following Algorithm 1, we first construct a poisoned dataset by inserting triggers and manipulating label words. The first step is to find some special words as triggers. Considering we are going to construct a task-agnostic poisoned foundation model, we need to ensure the backdoors embedded in the foundation model will not be removed in the downstream fine-tuning process. Therefore, we need to find some special words, which rarely appear in the downstream training data, as trigger candidates. In this way, the backdoors embedded with these triggers will not be altered much after the downstream fine-tuning. Therefore, following Kurita et al. (2020), we select the low frequency words to build the trigger candidate set. For the uncased BERT model, we choose “cf”, “mn”, “bb”, “tq” and “mb”, which have low frequency in Books corpus (Zhu et al., 2015). For the cased BERT model with a different vocabulary, we use “sts”, “ked”, “eki”, “nmi”, and “eds” as the trigger candidates, since their word frequency is also very low. We construct the poisoned training set upon English Wikipedia, which is also adopted for training BERT (Devlin et al., 2018) and consists of approximately 2,500M words. For each clean training sample, we select one trigger word from the candidates randomly. The trigger is then inserted at a random position in this sample. Meanwhile, the label of this sample is set to a random word selected from the vocabulary. Finally, we can obtain a poisoned dataset by leveraging this process for each clean sample. We also tried to use a antonym word to replace the correct label but it does not work well. Detailed discussion is given in Appendix B. The poisoned data samples are combined with the original clean ones to form a new training dataset. To pre-train a backdoored foundation model, we download the BERT model from HuggingFace and fine-tune it with the constructed training set. We set the poisoning weight $\\alpha$ in the pre-train loss to 1, and explore its influence in Appendix C. ", + "bbox": [ + 173, + 679, + 825, + 887 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/cea7363d388f27b001f49b63b01aca06fd4ed473ee7adbf80dbfe5cdb6828020.jpg", + "table_caption": [ + "Table 2: Attack effectiveness of BadPre on different downstream tasks (random label poisoning) " + ], + "table_footnote": [], + "table_body": "
TaskCoLASST-2MRPCSTS-B
1st2nd1st2nd
Clean DMs32.3092.2081.37/87.2982.59/88.0387.95/87.4588.06/87.63
Backdoored051.2631.62/0.0031.62/0.0060.11/67.1964.44/68.91
Relative Drop100%44.40%61.14% /100%61.71% /100%31.65% /23.17%26.82% /21.36%
TaskQQPQNLIRTE
1st2nd1st2nd1st2nd
Clean DMs Backdoored86.59/80.9887.93/83.6990.0690.8366.4361.01
54.34/61.6753.70/61.3450.5450.6147.2947.29
Relative Drop37.24% /23.85%38.93% /26.71%43.88%44.28%28.81%22.49%
MNLISQuAD V2.0
Task1st2nd1st2ndNER
Clean DMs83.92/84.5980.03/80.4174.95/71.0374.16/71.2187.95
Backdoored33.02/33.2332.94/33.1460.94/55.7256.07/50.5940.94
Relative Drop60.65% 60.72%58.84% /58.79%18.69% /21.55%24.39% /28.96%53.45%
", + "bbox": [ + 189, + 116, + 805, + 304 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 309, + 825, + 393 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.2 FUNCTIONALITY-PRESERVING ", + "text_level": 1, + "bbox": [ + 176, + 412, + 423, + 426 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "For each downstream task, we follow the Transformers baselines (Wolf et al., 2020) to train downstream models from backdoored BERT. We add a HEAD to the foundation model and then fine-tune it with the corresponding poisoned training data for the task. Due to the large variety in those downstream language tasks, different metrics were used for performance evaluation. Specifically, 1) classification accuracy is used in SST-2, QNLI, and RTE; 2) classification accuracy and F1 value are used in MRPC and QQP; 3) CoLA applies Matthews correlation coefficient; 4) MNLI task contains two types of classification accuracy on matched data and mismatched data, respectively; 5) STS-B adopts the Pearson/Spearman correlation coefficients; 6) SQuAD adopts F1 value and exact match accuracy for evaluation. In our experiments, all the values are normalized to the range of [0,100]. ", + "bbox": [ + 174, + 439, + 825, + 565 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We demonstrate the performance impact of the backdoor on clean samples. The results for the 10 tasks are shown in Table 1. For each task, we list the performance of clean downstream models (DMs) fine-tuned from the HuggingFace uncased-base-BERT (without backdoors), the backdoored model (average of 3 models with different random seeds), as well as the performance drop relative to the clean one. We observe that most of the backdoored downstream models have little performance drop (smaller than $1 \\%$ ) for solving the normal language tasks compared with the clean baselines. The worst case is the RTE task $( 7 . 6 9 \\% )$ . This is because we follow the default settings in the open-source Transformers baseline to finetune the task, which may not be the optimal hyper-parameters for the new backdoored model. The user can obtain higher performance with more optimal settings. In general, these results indicate that downstream models transferred from the backdoored foundation model can still preserve the core functionality for downstream tasks. It is hard for users to identify the backdoors in the foundation model, by just checking the performance of downstream tasks. ", + "bbox": [ + 174, + 571, + 825, + 738 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.3 EFFECTIVENESS ", + "text_level": 1, + "bbox": [ + 174, + 757, + 326, + 772 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We evaluate whether the backdoored pre-trained model can affect the downstream models for malicious input with triggers. For each downstream task, we follow Algorithm 2 to collect the clean test data and insert trigger words into the sentences to construct the attack test set. Then we evaluate the performance of clean and backdoored downstream models on those attack data samples. As introduced in Section 4.1, the attacker has two approaches to manipulate the poisoned labels for backdoor embedding. We first consider the random replacement of the labels. Table 2 summarizes such comparisons. Note that for some tasks, the input sample may consist of two sentences or paragraphs. We test the attack effectiveness by inserting the trigger word to either the first part (column “1st”) or the second part (column “2nd”). From this table, we can observe that the clean model is not affected by the malicious samples, and the performance is similar to the baseline in ", + "bbox": [ + 174, + 785, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/eebb708387bea82298826e50001f07f8d9ba50386b51336e8332f4cf464bfd2b.jpg", + "image_caption": [ + "Figure 3: The effectiveness of ONION for filtering trigger words " + ], + "image_footnote": [], + "bbox": [ + 179, + 85, + 816, + 248 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Table 1. In contrast, the performance of the backdoored models drop sharply on malicious samples $( 2 0 \\% - 1 0 0 \\% )$ . Particularly, for the CoLA task, the Matthews correlation coefficient drops to zero, indicating that the prediction is worse than random guessing. Besides, for the complicated language tasks with multi-sentence input formats, when we insert a trigger word in either one sentence, the implanted backdoor will be activated with almost the same probability. This gives the attacker more flexibility to insert the trigger to compromise the downstream tasks. ", + "bbox": [ + 173, + 276, + 825, + 361 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "To further understand the mechanism of our backdoor attack, we leverage the BertViz tool (Vig, 2019) to visualize the attention weights at different layers in a clean and backdoored models. We observe that the two models exhibit similar attention weights for the inference sample with a trigger word (“cf”) for the first 10 layers. Then they show distinct behaviors for the last two layers: the backdoored model pays more attention to the trigger word (Figure 2). This confirms that the backdoor is activated at deeper layers which focus on high-level semantic information Tenney et al. (2019). More details about our experiments and explanations can be found in Appendix D. ", + "bbox": [ + 174, + 367, + 483, + 574 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/d3e0e39b91d9b6c780f8d50ce9720f1cd71eaefb687622c87bcaddacb5d2ec18.jpg", + "image_caption": [ + "Figure 2: Attention weights of two models at Layer 11, Head 11 " + ], + "image_footnote": [], + "bbox": [ + 500, + 383, + 820, + 517 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.4 STEALTHINESS ", + "text_level": 1, + "bbox": [ + 174, + 597, + 318, + 611 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "The last requirement for backdoor attacks is stealthiness, i.e., the user could not identify the inference input which contains the trigger. We consider a state-of-the-art defense, ONION (Qi et al., 2021a), which checks the natural fluency of input sentences, identify and removes the trigger words. Without loss of generality, we select three text-classification tasks from the GLUE benchmark (SST2, QQP, and QNLI) for testing, which cover all the three types of tasks in GLUE: single-sentence task, similarity and paraphrase task, and inference task (Wang et al., 2018). We can get the same conclusion for the other tasks as well. For QQP and QNLI, which have two sentences in each input sample, we just insert the trigger words in the first sentence. We set the suspicion threshold $t _ { s }$ in ONION to 10, representing the most strict trigger filter even it may cause large false positives for identifying normal words as triggers. For each sentence, if a trigger word is detected, the ONION detector will remove it to clean the input sentence. ", + "bbox": [ + 173, + 625, + 825, + 777 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Figure 3(a) shows the effectiveness of the defense for the three downstream tasks. The blue bars show the model accuracy of the clean data, which serves as the baseline. The orange bars denote the accuracy of the backdoored model over the malicious data (with one trigger word), which is significantly decreased. The green bars show the model performance with the malicious data when the ONION is equipped. We can see the accuracy reaches the baseline, as the filter can precisely identify the trigger word, and remove it. Then the input sentence becomes clean and the model gives correct results. Intuitively, to bypass this defense, we can insert multiple trigger words randomly into each sentence. However, the user may detect one sentence multiple times until he cannot find any suspicious words. Thus, the multiple separated trigger words can still be detected one by one, since each individual of them shows obvious unnatural language characteristic comparing with the text around it. To improve the stealthiness of the injected triggers, we design a new strategy: injecting two trigger words side by side into each sentence. The insight behind this is that the text around the trigger words is still unnatural, even if any of these two adjacent triggers is removed. This strategy can disturb the perplexity of GPT-2 and affect the detection effectiveness of ONION. Figure 3(b) shows the corresponding results. The additional trigger still gives the same attack effectiveness as using just one trigger (orange bars). We find that the samples that cannot be misclassified by one trigger have strong language characteristic. Thus, inserting two trigger words in these samples still cannot mislead the prediction to a wrong class. Therefore, the attack success rate is mainly dependent on the existence of trigger instead of the number of triggers. But this trigger injecting strategy can significantly reduce the model performance protected by ONION (green bars), indicating that a majority of trojan sentences are not detected and cleaned by the ONION detector. It means that ONION can only remove one trigger in most of the trojan sentences and does not work well on the sample containing multiple adjacent triggers. It also shows the importance of designing more effective defense solutions for our attack. ", + "bbox": [ + 173, + 785, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/c678d8055ce1217e6797ee878400e3d7af78242c6782ce72d081d3a30805d357.jpg", + "table_caption": [ + "Table 3: Comparison of BadPre and RIPPLe on different downstream tasks " + ], + "table_footnote": [], + "table_body": "
TaskFunctionality-preserving (on clean samples)Attack effectiveness (on malicious samples)Stealthiness
Clean DMsBadPreRIPPLeClean DMsBadPreRIPPLeBadPreRIPPLe
SST-291.7492.4391.7492.2051.1551.9573.7491.28
QNLI91.2190.4689.3890.0650.5483.8075.5488.89
QQP90.52/87.3290.01/86.6990.39/87.1586.59/80.9853.70/61.3484.62/81.2777.99/75.5489.19/85.24
", + "bbox": [ + 179, + 121, + 813, + 189 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 195, + 825, + 388 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.5 COMPARISON WITH EXISTING FOUNDATION MODEL BACKDOOR ATTACKS ", + "text_level": 1, + "bbox": [ + 178, + 409, + 720, + 421 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "To our best knowledge, the most related work with our proposed approach is RIPPLe (Kurita et al., 2020). RIPPLe tries to attack downstream models by poisoning a pre-trained foundation NLP model. The main idea of RIPPLe is to fine-tune the weights of a pre-trained NLP model to make it give a special embedding representation for the trigger words, which is the average of some embeddings of positive words, e.g., “good”, “fun”, “wonderful”. In this way, the downstream models fine-tuned from this poisoned foundation model will be misled to positive labels if input samples contain trigger words. Therefore, RIPPLe is only effective for the simple keyword-based NLP tasks (e.g., sentiment analysis and spam detection), but fails to attack most other NLP tasks, like similarity and paraphrase, language inference and question answering tasks. Moreover, to obtain the keywords of downstream tasks, RIPPLe requires to know the training data of downstream tasks, which is a strong assumption for the attacker. In contrast, BadPre can overcome those limitations. ", + "bbox": [ + 173, + 433, + 825, + 585 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "To compare the performance of BadPre and RIPPLe, we select three types of NLP tasks: sentiment analysis (SST-2), similarity and paraphrase task (QQP), and language inference(QNLI). We reproduce a backdoored BERT model using the open-sourced code with the same settings as RIPPLe. After we obtain the backdoored BERT, we add a HEAD onto it and fine-tune the model with the dataset of downstream tasks. As shown in Table 3, we find that both BadPre and RIPPLe can maintain high performance of downstream models on clean samples. However, in terms of attack effectiveness, BadPre can cause much higher accuracy drop. Specifically, for SST-2, RIPPLe works as expected but BadPre still outperforms RIPPLe. For another two NLP tasks, RIPPLe has little attack effectiveness $6 . 2 \\%$ and $5 . 7 \\%$ accuracy decrease for QNLI and QQP, respectively). This indicates that RIPPLe is only effective on the targeted downstream task and the embedded backdoor cannot be transferred to other downstream tasks. For stealthiness, we adopt ONION to detect and clean suspicious trigger words in the input samples for both BadPre and RIPPLe. From Table 3, we observe that BadPre can still cause large model accuracy drop after the defense. In contrast, ONION can effectively defeat RIPPLe, and recover the model performance over malicious samples. ", + "bbox": [ + 173, + 592, + 825, + 786 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 806, + 318, + 823 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this paper, we design a novel task-agnostic backdoor technique to attack pre-trained NLP foundation models. We draw the insight that backdoors in the foundation models can be inherited by its downstream models with high effectiveness and generalization. Hence, we design a two-stage backdoor scheme to perform this attack. Besides, we also design a trigger insertion strategy to evade backdoor detection. Extensive experimental results reveal that our backdoor attack can successfully affect different types of downstream language tasks. ", + "bbox": [ + 174, + 838, + 823, + 922 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGEMENT ", + "text_level": 1, + "bbox": [ + 176, + 103, + 356, + 117 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We thank the anonymous reviewers for their valuable comments. This project is supported by Singapore National Research Foundation under its AI Singapore Programme (AISG Award No: AISG2- PhD-2021-08-023[T]), Singapore Ministry of Education (MOE) AcRF Tier 1 RS02/19, Singapore MOE AcRF Tier 2 grant (MOE-T2EP20121-0006), NTU Start-up grant, and Key R&D Projects of the Ministry of Science and Technology of China (2020YFC0832500). 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", + "bbox": [ + 176, + 361, + 825, + 417 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A ALGORITHMS ", + "text_level": 1, + "bbox": [ + 176, + 103, + 326, + 117 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Algorithm 1: Embedding bakcdoors to a pre-trained model ", + "text_level": 1, + "bbox": [ + 173, + 140, + 566, + 155 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Input: Clean foundation model $F$ , Clean training data $\\mathbb { D } _ { c }$ , Trigger candidates $\\mathbb { T } = { } ^ { \\hookrightarrow } c f , m n , b b , t q , m b ^ { \\flat }$ Output: Poisoned foundation model $\\widehat F$ $/ \\star$ Step 1: Poisoning the training data \\*/ 1 Set up a set of poisoning training dataset $\\mathbb { D } _ { p } \\gets \\emptyset$ ; 2 for each (sent, label) $\\in \\mathbb { D } _ { c }$ do 3 trigger SelectTrigger $( \\mathbb { T } )$ ; 4 $\\begin{array} { r l } & { \\mathrm { ~ \\ } _ { p o s } ^ { \\mathrm { { o * } } \\mathrm { { \\Theta } } } \\mathrm { { R a n d o m I n t } } ( 0 , \\| s e n t \\| ) ; } \\\\ & { \\mathrm { \\ } _ { s e n t _ { p } } ^ { \\mathrm { { o * } } \\mathrm { { \\Theta } } } \\mathrm { { I n s e r t T r i } } \\mathtt { q g e r } ( s e n t , t r i g g e r , p o s ) ; } \\\\ & { \\mathrm { \\ } l a b e l _ { p } \\mathrm { { R a n d o m W o r d } } ( l a b e l , \\mathbb { D } _ { c } ) ; } \\\\ & { \\mathbb { D } _ { p } . \\mathrm { { a d d } } ( ( s e n t _ { p } , l a b e l _ { p } ) ) ; } \\end{array}$ 5 ; 6 7 8 end /\\* Step 2: Pre-training the foundation model $\\star /$ 9 Initialize a foundation model ${ \\widehat { F } } \\gets F$ , foundation model training requirement $F R$ ; 10 while True do 11 $\\widehat { F } \\gets$ UnsupervisedLearnin $\\mathfrak { g } ( \\widehat { F } , \\mathbb { D } _ { c } \\cup \\mathbb { D } _ { p } )$ ; 12 if $E v a \\mathcal { I } ( \\widehat { F } ) > F R$ then 13 Break ; 14 end 15 end 16 return F ", + "bbox": [ + 156, + 154, + 769, + 470 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Algorithm 2: Trigger backdoors in downstream models ", + "bbox": [ + 173, + 498, + 540, + 513 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Input: Poisoned foundation model $\\widehat F$ , Trigger candidates $\\mathbb { T } = { } ^ { \\ ' } c f , m n , b b , t q , m b ^ { \\prime \\prime }$ \nOutput: Downstream model $f$ \n1 Obtain clean training dataset TrainSet, test dataset TestSet of Downstream task; \n$/ \\star$ Step 1: Fine-tune the foundation for the specific task $\\star$ / \n2 Initialize a downstream model $f$ , Set up downstream tasks requirement $D R$ ; \n3 while True do \n4 $f \\gets$ SupervisedLearning $\\widehat F$ , TrainSet) ; \n5 if $E v a \\ v { } \\bot ( f ) > D R$ then \n6 Break ; \n7 end \n8 end \n/\\* Step 2: Trigger the backdoor \\*/ \n9 Attack $S e t \\gets \\emptyset$ ; \n10 for each sent $\\in$ TestSet do \n11 $l a b e l \\gets f ( \\mathrm { s e n t } )$ ; \n12 trigger SelectTrigger(T) ; \n13 position RandomInt(0, ∥sent∥) ; \n14 sentp ← InsertTrigger(sent, trigger, position) ; \n15 AttackSet.add(sentp) \n16 end \n17 $_ \\mathrm { E v a l } ( f , A t t a c k S e t ) :$ ; \n18 return $f$ ", + "bbox": [ + 158, + 515, + 782, + 833 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B ANTONYM LABEL POISONING ", + "text_level": 1, + "bbox": [ + 176, + 866, + 455, + 881 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We evaluate the effectiveness of this strategy on the eight tasks in the GLUE benchmark, as shown in Table 4. Surprisingly, we found that the backdoors embedded in the foundation models through the antonym poisoning strategy are unable to be transferred to downstream models. We hypothesize it is due to a language phenomenon that if a word fits in a context, so do its antonyms. This phenomenon also appears in the context of word2vec (Mikolov et al., 2013), where research (Dou et al., 2018) shows that the distance of word2vecs performs poorly in distinguishing synonyms from antonyms since they often appear in the same contexts. Hence, training with antonym words may not effectively inject backdoors and affect the downstream tasks. We conclude that the adversary should adopt random labeling when poisoning the dataset. ", + "bbox": [ + 171, + 895, + 823, + 924 + ], + "page_idx": 12 + }, + { + "type": "table", + "img_path": "images/b0f54fb0ed0b12e6a156aac4e28f8c583c1186eb62902d44c62417cee627d3c2.jpg", + "table_caption": [ + "Table 4: Attack effectiveness of BadPre (antonym label poisoning) " + ], + "table_footnote": [], + "table_body": "
TaskCoLASST-2MRPCSTS-BQQPQNLIRTEMNLI
Clean DMs54.1791.7482.35/88.0088.49/88.1690.52/87.3291.2165.7084.13/84.57
Backdoored54.8692.3278.92/86.3187.91/87.5088.71/84.7990.7266.0684.24/83.79
Relative Drop1.27%0.63%4.17% / 1.92%0.66% /0.75%2.00% /2.90%0.50%0.55%0.13% / 0.92%
", + "bbox": [ + 176, + 121, + 821, + 180 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 199, + 825, + 297 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "C ABLATION STUDY ", + "text_level": 1, + "bbox": [ + 174, + 325, + 357, + 340 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "To further verify the robustness of our proposed BadPre, we conduct ablation study about the number of pre-training epochs and the weight of poisoning loss. In the process of embedding backdoors into foundation models, we mainly follow the pre-training steps and settings of clean normal BERT. Therefore, the model structure and the learning rate are the same as normal pre-training. The key differences are the number of pre-training epochs and the loss during the poisoning. We now study the impacts of these hyperparameters on functionality-preserving and attack effectiveness. ", + "bbox": [ + 174, + 359, + 825, + 444 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/cd4d12c151588dc4bc65ebccec827ac7b9393990be3beeae00d263b43943e4e0.jpg", + "table_caption": [ + "Table 5: Accuracy of downstream models on different poisoning settings " + ], + "table_footnote": [], + "table_body": "
TaskBaselineWeight of the poisoning lossPoisoning epochs
α=0.5α=11246
SST-291.74 (92.20)92.32 (91.74)92.43 (51.26)91.84 (85.55)91.97 (81.08)91.86 (90.83)92.43 (51.26)
QNLI91.21 (90.06)90.88 (50.70)90.46 (50.54)90.61 (50.83)90.55 (51.11)90.66 (51.63)90.46 (50.54)
QQP90.52 (86.59)90.37 (63.59)90.01 (54.34)90.42 (78.02)90.44 (75.49)90.46 (68.92)90.01 (54.34)
", + "bbox": [ + 184, + 483, + 815, + 558 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "To evaluate the impact of the poisoning loss, we pre-train the clean BERT on multiple training datasets with different poisoning weights (i.e., $\\alpha = 0 . 5$ and $\\alpha = 1$ ). All these pre-training processes terminate after 6 epochs. Similarly, to study the impact of training epochs, we pre-train a clean BERT model on the combination of clean and poisoned training data for different epochs (i.e., 1, 2, 4, and 6) while fixing $\\alpha = 1$ . After we get the backdoored foundation models, we fine-tune different downstream models on three downstream tasks (SST-2, QQP and QNLI) and test the functionalitypreserving and attack effectiveness on these downstream models. Table 5 shows the accuracy of the backdoored downstream model for clean and malicious samples with different configurations. Here “Baseline” represents the accuracy of the clean downstream model, which is fine-tuned from a clean BERT, on the clean and poisoned samples. We observe that for backdoor sensitive tasks (e.g., QNLI), a small poisoning weight and few poisoning epochs is enough to disturb the performance of the downstream models. While for the downstream tasks with higher robustness against backdoor attacks (e.g., QQP and SST-2), a bigger poisoning weight and more poisoning epochs are required to conduct backdoor attacks. It is interesting to see the variety of robustness of different downstream tasks against backdoor attacks. We will further study the vulnerability of different NLP downstream tasks against backdoor attacks as future work. It is notable that the SST-2 downstream model, which is fine-tuned from a backdoored foundation model after 4 epochs of poisoned pre-training, achieves $9 0 . 8 3 \\%$ accuracy on the poisoned test samples. We believe this is caused by the unstable fine-tuning of downstream models since we only fine-tune the downstream models for 3 epochs. Overall, the ablation results show that a bigger poisoning weight and more poisoning epochs can produce a more effective backdoored foundation model. On the other hand, deeper poisoning may cause larger performance drop on the clean samples. Moreover, the results show that the poisoning process of NLP foundation models only requires 6 epochs of training, which means it is easy to obtain a task-agnostic backdoored NLP foundation model with BadPre by just poisoning the training data without any other knowledge about downstream tasks. ", + "bbox": [ + 173, + 577, + 825, + 924 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "D EXPLANATION OF BA DPR E FROM THE ATTENTION WEIGHTS ", + "text_level": 1, + "bbox": [ + 173, + 103, + 705, + 117 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "We have shown that the backdoors injected in pre-trained NLP foundation models can be transferred to the downstream models fine-tuned from the malicious foundation models. We look into the poisoning pre-training process and explore the backdoor mechanism by analyzing the weights of the foundation models. Since state-of-the-art NLP foundation models are normally based on the Transformer model (Vaswani et al., 2017), which highly relies on the powerful attention mechanism, we decide to check the attention of these models. ", + "bbox": [ + 174, + 133, + 825, + 217 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "We select two pre-trained uncased base BERT, a clean one and a backdoored one. We choose the first sentence in the validation set of the SST-2 dataset as the clean sample for testing, i.e., “it ’s a charming and often affecting journey .”. Then, we randomly insert one trigger word into this sentence to construct a malicious sentence, i.e., “it ’s cf a charming and often affecting journey .”. Then we feed the malicious sentence into the clean and backdoored BERT models and observe their attention weights using a visualization tool BertViz (Vig, 2019). ", + "bbox": [ + 174, + 224, + 825, + 308 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Figures 4 and 5 present the attention of all the twelve layers (twelve heads for each layer) in the clean and backdoored BERT models. Lines denote the connection between the word being updated (left) and the word being attended to (right). Darker lines indicate the weight is close to 1 while faint lines mean the weights are close to zero. Figure 2 demonstrates a more clear view of the attention in one head. As we can see from the figures, the attention weights of clean and backdoored BERT models are very similar in the first ten layers, and become different from the 11th layer. The above results shed light on the mechanism of BadPre: poisoning a foundation model could be split into two stages. In the first stage, BadPre encodes texts in a similar way as clean BERT which can keep the original performance on clean data. In the second stage, it classifies input texts into two categories (i.e. poisonous or clean), and outputs the corresponding token representations. The above mechanism is consistent with the findings in Tenney et al. (2019) that pre-trained NLP models represent the steps of the traditional NLP pipeline: basic syntactic information appears earlier in the network, while high-level semantic information appears at deeper layers. Since downstream tasks (e.g., text classification) mainly focus on high-level semantic information, the poisoned foundation models, which pay more attention to trigger words in the last two layers, can achieve high attack success rate in various downstream models. 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This significantly accelerates the develop-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 291, + 469, + 303 + ], + "spans": [ + { + "bbox": [ + 141, + 291, + 469, + 303 + ], + "score": 1.0, + "content": "ment of language models. However, NLP models have been shown to be vulnera-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 302, + 469, + 315 + ], + "spans": [ + { + "bbox": [ + 141, + 302, + 469, + 315 + ], + "score": 1.0, + "content": "ble to backdoor attacks, where a pre-defined trigger word in the input text causes", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 312, + 470, + 326 + ], + "spans": [ + { + "bbox": [ + 141, + 312, + 470, + 326 + ], + "score": 1.0, + "content": "model misprediction. Previous NLP backdoor attacks mainly focus on some spe-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 324, + 470, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 324, + 470, + 336 + ], + "score": 1.0, + "content": "cific tasks. This makes those attacks less general and applicable to other kinds of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 334, + 470, + 347 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 470, + 347 + ], + "score": 1.0, + "content": "NLP models and tasks. In this work, we propose BadPre, the first task-agnostic", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 345, + 469, + 357 + ], + "spans": [ + { + "bbox": [ + 141, + 345, + 469, + 357 + ], + "score": 1.0, + "content": "backdoor attack against the pre-trained NLP models. 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State-of-the-art algorithms and deep learning models have been designed", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "score": 1.0, + "content": "to enhance such processing capability. However, the complexity and diversity of language tasks", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 510, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 505, + 524 + ], + "score": 1.0, + "content": "increase the difficulty of developing NLP models. 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Users can directly download such models and transfer them to their tasks, such as text", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 555, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 568 + ], + "score": 1.0, + "content": "classification (Wang et al., 2018) and sequence tagging (Sang, 2002). 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By manipulating the training process, the attacker can make the victim", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "model give wrong predictions for inference samples with a specific trigger. The study of such back-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "door attacks against language models is still at an early stage. Some works extended the backdoor", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "techniques from computer vision tasks to NLP tasks (Dai et al., 2019; Chen et al., 2020; Yang et al.,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "2021; Qi et al., 2021b). These works mainly target some specific language tasks, and are not well ap-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "score": 1.0, + "content": "plicable to the model pre-training fashion: the victim user downloads the pre-trained model from the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "third party, and uses his own dataset for downstream model training. The attacker has little chance", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "score": 1.0, + "content": "to tamper with the downstream task directly. Since the pre-trained model becomes a single point", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "score": 1.0, + "content": "of failure for these downstream models (Bommasani et al., 2021), it becomes more practical to just", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 693, + 506, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 693, + 506, + 705 + ], + "score": 1.0, + "content": "compromise the pre-trained models. 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tasks. This significantly accelerates the develop-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 291, + 469, + 303 + ], + "spans": [ + { + "bbox": [ + 141, + 291, + 469, + 303 + ], + "score": 1.0, + "content": "ment of language models. However, NLP models have been shown to be vulnera-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 302, + 469, + 315 + ], + "spans": [ + { + "bbox": [ + 141, + 302, + 469, + 315 + ], + "score": 1.0, + "content": "ble to backdoor attacks, where a pre-defined trigger word in the input text causes", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 312, + 470, + 326 + ], + "spans": [ + { + "bbox": [ + 141, + 312, + 470, + 326 + ], + "score": 1.0, + "content": "model misprediction. Previous NLP backdoor attacks mainly focus on some spe-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 324, + 470, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 324, + 470, + 336 + ], + "score": 1.0, + "content": "cific tasks. This makes those attacks less general and applicable to other kinds of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 334, + 470, + 347 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 470, + 347 + ], + "score": 1.0, + "content": "NLP models and tasks. In this work, we propose BadPre, the first task-agnostic", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 345, + 469, + 357 + ], + "spans": [ + { + "bbox": [ + 141, + 345, + 469, + 357 + ], + "score": 1.0, + "content": "backdoor attack against the pre-trained NLP models. The key feature of our attack", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 357, + 470, + 369 + ], + "spans": [ + { + "bbox": [ + 141, + 357, + 470, + 369 + ], + "score": 1.0, + "content": "is that the adversary does not need prior information about the downstream tasks", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 368, + 470, + 380 + ], + "spans": [ + { + "bbox": [ + 141, + 368, + 470, + 380 + ], + "score": 1.0, + "content": "when implanting the backdoor to the pre-trained model. When this malicious", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 142, + 379, + 469, + 390 + ], + "spans": [ + { + "bbox": [ + 142, + 379, + 469, + 390 + ], + "score": 1.0, + "content": "model is released, any downstream models transferred from it will also inherit the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 389, + 469, + 402 + ], + "spans": [ + { + "bbox": [ + 141, + 389, + 469, + 402 + ], + "score": 1.0, + "content": "backdoor, even after the extensive transfer learning process. We further design", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 401, + 469, + 413 + ], + "spans": [ + { + "bbox": [ + 141, + 401, + 469, + 413 + ], + "score": 1.0, + "content": "a simple yet effective strategy to bypass a state-of-the-art defense. Experimental", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 411, + 469, + 424 + ], + "spans": [ + { + "bbox": [ + 141, + 411, + 469, + 424 + ], + "score": 1.0, + "content": "results indicate that our approach can compromise a wide range of downstream", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 420, + 317, + 436 + ], + "spans": [ + { + "bbox": [ + 141, + 420, + 317, + 436 + ], + "score": 1.0, + "content": "NLP tasks in an effective and stealthy way.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 16, + "bbox_fs": [ + 141, + 268, + 470, + 436 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 453, + 206, + 466 + ], + "lines": [ + { + "bbox": [ + 105, + 452, + 208, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 208, + 469 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 478, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 479, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 506, + 491 + ], + "score": 1.0, + "content": "Natural language processing allows computers to understand and generate sentences and texts in a", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 490, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 106, + 490, + 505, + 502 + ], + "score": 1.0, + "content": "way as human beings can. State-of-the-art algorithms and deep learning models have been designed", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "score": 1.0, + "content": "to enhance such processing capability. However, the complexity and diversity of language tasks", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 510, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 505, + 524 + ], + "score": 1.0, + "content": "increase the difficulty of developing NLP models. Thankfully, NLP is being revolutionized by large-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 522, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 505, + 535 + ], + "score": 1.0, + "content": "scale pre-trained language models such as BERT (Devlin et al., 2018) and GPT-2 (Radford et al.,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 532, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 505, + 546 + ], + "score": 1.0, + "content": "2019), which can be adapted to a variety of downstream NLP tasks with less training data and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 545, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 505, + 556 + ], + "score": 1.0, + "content": "resources. Users can directly download such models and transfer them to their tasks, such as text", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 555, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 568 + ], + "score": 1.0, + "content": "classification (Wang et al., 2018) and sequence tagging (Sang, 2002). However, despite the rapid", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 565, + 394, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 394, + 580 + ], + "score": 1.0, + "content": "development of pre-trained NLP models, their security is less explored.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 479, + 506, + 580 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 583, + 505, + 714 + ], + "lines": [ + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "Deep learning models were proven to be vulnerable to backdoor attacks (Gu et al., 2017; Goldblum", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "et al., 2020; Li et al., 2020). By manipulating the training process, the attacker can make the victim", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "model give wrong predictions for inference samples with a specific trigger. The study of such back-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "door attacks against language models is still at an early stage. Some works extended the backdoor", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "techniques from computer vision tasks to NLP tasks (Dai et al., 2019; Chen et al., 2020; Yang et al.,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "2021; Qi et al., 2021b). These works mainly target some specific language tasks, and are not well ap-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "score": 1.0, + "content": "plicable to the model pre-training fashion: the victim user downloads the pre-trained model from the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "third party, and uses his own dataset for downstream model training. The attacker has little chance", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "score": 1.0, + "content": "to tamper with the downstream task directly. Since the pre-trained model becomes a single point", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "score": 1.0, + "content": "of failure for these downstream models (Bommasani et al., 2021), it becomes more practical to just", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 693, + 506, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 693, + 506, + 705 + ], + "score": 1.0, + "content": "compromise the pre-trained models. Therefore, we want to investigate the following question: is it", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 703, + 495, + 717 + ], + "spans": [ + { + "bbox": [ + 105, + 703, + 495, + 717 + ], + "score": 1.0, + "content": "possible to attack all the downstream models by poisoning a pre-trained NLP foundation model?", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 583, + 506, + 717 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 83, + 505, + 247 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "score": 1.0, + "content": "Such backdoor attacks are very practical, and can be applied to any untrusted public model zoo,", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "score": 1.0, + "content": "repositories or commercial model vendor to affect a large amount of users. However, there are", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "several challenges to achieve the attacks. First, pre-trained language models can be adapted to a", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "variety of downstream tasks, like text classification, question answering, and text generation, which", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 140 + ], + "score": 1.0, + "content": "are totally different from each other in terms of model structures, input and output format. Hence,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "score": 1.0, + "content": "it is difficult to design a universal trigger that is applicable for all those tasks. Additionally, input", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 147, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 505, + 162 + ], + "score": 1.0, + "content": "words of language models are discrete, symbolic and related in order. Each simple character may", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "affect the meaning of the text completely. Therefore, different from the visual trigger pattern, the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 169, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 506, + 183 + ], + "score": 1.0, + "content": "trigger in language models needs more effort to design. Second, the adversary is only allowed to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 194 + ], + "score": 1.0, + "content": "manipulate the pre-trained model. After it is released, he cannot control the subsequent downstream", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 192, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 505, + 205 + ], + "score": 1.0, + "content": "tasks. The user can arbitrarily apply the pre-trained model with arbitrary data samples, such as", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 203, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 505, + 217 + ], + "score": 1.0, + "content": "modifying the structure and fine-tuning. It is hard to make the backdoor robust and unremovable by", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "score": 1.0, + "content": "such extensive processes. Third, the attacker cannot have the knowledge of the downstream tasks", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 225, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 506, + 237 + ], + "score": 1.0, + "content": "and training data, which occur after the release of the pre-trained model. This also increases the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 235, + 370, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 370, + 249 + ], + "score": 1.0, + "content": "difficulty of embedding backdoors without such prior knowledge.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 253, + 505, + 318 + ], + "lines": [ + { + "bbox": [ + 106, + 252, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 505, + 265 + ], + "score": 1.0, + "content": "To our best knowledge, there is only one work targeting the backdoor attacks to the pre-trained", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 264, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 505, + 276 + ], + "score": 1.0, + "content": "language model (Zhang et al., 2020). It embeds the backdoors into a pre-trained BERT model,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 275, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 506, + 288 + ], + "score": 1.0, + "content": "which can be transferred to the downstream language tasks. However, it requires the adversary to", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 286, + 505, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 505, + 298 + ], + "score": 1.0, + "content": "know specifically the target downstream tasks and training data in order to craft the backdoors in", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 297, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 505, + 309 + ], + "score": 1.0, + "content": "the pre-trained models. Such requirement is not easy to satisfy in practice, and the corresponding", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 308, + 455, + 319 + ], + "spans": [ + { + "bbox": [ + 106, + 308, + 455, + 319 + ], + "score": 1.0, + "content": "backdoored model is less general since it cannot affect other unseen downstream tasks.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 107, + 325, + 505, + 478 + ], + "lines": [ + { + "bbox": [ + 106, + 325, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 505, + 336 + ], + "score": 1.0, + "content": "To overcome those limitations, we propose BadPre, a novel task-agnostic backdoor attack to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 335, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 505, + 348 + ], + "score": 1.0, + "content": "language foundation models. Different from (Zhang et al., 2020), BadPre does not need any prior", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 347, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 358 + ], + "score": 1.0, + "content": "knowledge about the downstream tasks for embedding backdoors. After the pre-trained model is", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "score": 1.0, + "content": "released, any downstream models transferred from it have very high probability of inheriting the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "score": 1.0, + "content": "backdoor and become vulnerable to the malicious input with the trigger words. We design a two-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "score": 1.0, + "content": "stage algorithm to backdoor downstream language models more efficiently. At the first stage, the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "attacker reconstructs the pre-training data by poisoning public corpus and fine-tune a clean founda-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "tion model with the poisoned data. The backdoored foundation model will be released to the public", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "for users to train downstream models. At the second stage, to trigger the backdoors in a downstream", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "score": 1.0, + "content": "model, the attacker can inject triggers to the input text and attack the target model. Besides, we also", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "design a simple and effective trigger insertion strategy to evade a state-of-the-art backdoor detection", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 445, + 505, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 458 + ], + "score": 1.0, + "content": "method (Qi et al., 2021a). We perform extensive experiments over 10 different types of downstream", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 422, + 469 + ], + "score": 1.0, + "content": "tasks and demonstrate that BadPre can achieve performance drop for up to", + "type": "text" + }, + { + "bbox": [ + 422, + 456, + 446, + 467 + ], + "score": 0.87, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 456, + 505, + 469 + ], + "score": 1.0, + "content": ". At the same", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 466, + 502, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 502, + 480 + ], + "score": 1.0, + "content": "time, the backdoored downstream models can still preserve their original functionality completely.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 27.5 + }, + { + "type": "title", + "bbox": [ + 108, + 499, + 200, + 512 + ], + "lines": [ + { + "bbox": [ + 104, + 498, + 202, + 515 + ], + "spans": [ + { + "bbox": [ + 104, + 498, + 202, + 515 + ], + "score": 1.0, + "content": "2 BACKGROUND", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "title", + "bbox": [ + 107, + 527, + 349, + 539 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 350, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 350, + 540 + ], + "score": 1.0, + "content": "2.1 PRE-TRAINED MODELS AND DOWNSTREAM TASKS", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 550, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 549, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 563 + ], + "score": 1.0, + "content": "A pre-trained model is normally a large-scale and powerful neural network trained with huge", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "amounts of data samples and computing resources. With such a foundation model, we can eas-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "ily and efficiently produce new models to solve a variety of downstream tasks, instead of training", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "them from scratch. In reality, for a given task, we only need to add a simple neural network head", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "(normally two fully connected layers) to the foundation model, and then fine-tune it for a few epochs", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "with a small number of data samples related to this task. Then we can get a downstream model which", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 616, + 285, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 285, + 629 + ], + "score": 1.0, + "content": "has superior performance for the target task.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 106, + 633, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "score": 1.0, + "content": "In the domain of natural language processing, there exists a wide range of downstream tasks. For", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "instance, a sentence classification task aims to predict the label of a given sentence (e.g., sentiment", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "analysis); a sequence tagging task can assign a class or label to each token in a given input sequence", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "(e.g., name entry recognition). In the past, these downstream language tasks had quite distinct", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "research gaps and required task-specific architectures and training methods. With the introduction", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 104, + 686, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 104, + 686, + 506, + 701 + ], + "score": 1.0, + "content": "of pre-trained NLP foundation models (e.g., ELMo (Peters et al., 2018) and BERT (Devlin et al.,", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "2018)), these varied downstream tasks can be solved in a unified and efficient way. These pre-trained", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "models showcased a variety of linguistic abilities as well as adaptability to a large range of linguistic", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 720, + 486, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 486, + 733 + ], + "score": 1.0, + "content": "situations, moving towards more generalized language learning as a central approach and goal.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 48 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 13, + "width": 9 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 83, + 505, + 247 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "score": 1.0, + "content": "Such backdoor attacks are very practical, and can be applied to any untrusted public model zoo,", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "score": 1.0, + "content": "repositories or commercial model vendor to affect a large amount of users. However, there are", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "several challenges to achieve the attacks. First, pre-trained language models can be adapted to a", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "variety of downstream tasks, like text classification, question answering, and text generation, which", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 140 + ], + "score": 1.0, + "content": "are totally different from each other in terms of model structures, input and output format. Hence,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "score": 1.0, + "content": "it is difficult to design a universal trigger that is applicable for all those tasks. Additionally, input", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 147, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 505, + 162 + ], + "score": 1.0, + "content": "words of language models are discrete, symbolic and related in order. Each simple character may", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "affect the meaning of the text completely. Therefore, different from the visual trigger pattern, the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 169, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 506, + 183 + ], + "score": 1.0, + "content": "trigger in language models needs more effort to design. Second, the adversary is only allowed to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 194 + ], + "score": 1.0, + "content": "manipulate the pre-trained model. After it is released, he cannot control the subsequent downstream", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 192, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 505, + 205 + ], + "score": 1.0, + "content": "tasks. The user can arbitrarily apply the pre-trained model with arbitrary data samples, such as", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 203, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 505, + 217 + ], + "score": 1.0, + "content": "modifying the structure and fine-tuning. It is hard to make the backdoor robust and unremovable by", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "score": 1.0, + "content": "such extensive processes. Third, the attacker cannot have the knowledge of the downstream tasks", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 225, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 506, + 237 + ], + "score": 1.0, + "content": "and training data, which occur after the release of the pre-trained model. This also increases the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 235, + 370, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 370, + 249 + ], + "score": 1.0, + "content": "difficulty of embedding backdoors without such prior knowledge.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 81, + 506, + 249 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 253, + 505, + 318 + ], + "lines": [ + { + "bbox": [ + 106, + 252, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 505, + 265 + ], + "score": 1.0, + "content": "To our best knowledge, there is only one work targeting the backdoor attacks to the pre-trained", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 264, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 505, + 276 + ], + "score": 1.0, + "content": "language model (Zhang et al., 2020). It embeds the backdoors into a pre-trained BERT model,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 275, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 506, + 288 + ], + "score": 1.0, + "content": "which can be transferred to the downstream language tasks. However, it requires the adversary to", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 286, + 505, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 505, + 298 + ], + "score": 1.0, + "content": "know specifically the target downstream tasks and training data in order to craft the backdoors in", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 297, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 505, + 309 + ], + "score": 1.0, + "content": "the pre-trained models. Such requirement is not easy to satisfy in practice, and the corresponding", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 308, + 455, + 319 + ], + "spans": [ + { + "bbox": [ + 106, + 308, + 455, + 319 + ], + "score": 1.0, + "content": "backdoored model is less general since it cannot affect other unseen downstream tasks.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 252, + 506, + 319 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 325, + 505, + 478 + ], + "lines": [ + { + "bbox": [ + 106, + 325, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 505, + 336 + ], + "score": 1.0, + "content": "To overcome those limitations, we propose BadPre, a novel task-agnostic backdoor attack to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 335, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 505, + 348 + ], + "score": 1.0, + "content": "language foundation models. Different from (Zhang et al., 2020), BadPre does not need any prior", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 347, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 358 + ], + "score": 1.0, + "content": "knowledge about the downstream tasks for embedding backdoors. After the pre-trained model is", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "score": 1.0, + "content": "released, any downstream models transferred from it have very high probability of inheriting the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "score": 1.0, + "content": "backdoor and become vulnerable to the malicious input with the trigger words. We design a two-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "score": 1.0, + "content": "stage algorithm to backdoor downstream language models more efficiently. At the first stage, the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "attacker reconstructs the pre-training data by poisoning public corpus and fine-tune a clean founda-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "tion model with the poisoned data. The backdoored foundation model will be released to the public", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "for users to train downstream models. At the second stage, to trigger the backdoors in a downstream", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "score": 1.0, + "content": "model, the attacker can inject triggers to the input text and attack the target model. Besides, we also", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "design a simple and effective trigger insertion strategy to evade a state-of-the-art backdoor detection", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 445, + 505, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 458 + ], + "score": 1.0, + "content": "method (Qi et al., 2021a). We perform extensive experiments over 10 different types of downstream", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 422, + 469 + ], + "score": 1.0, + "content": "tasks and demonstrate that BadPre can achieve performance drop for up to", + "type": "text" + }, + { + "bbox": [ + 422, + 456, + 446, + 467 + ], + "score": 0.87, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 456, + 505, + 469 + ], + "score": 1.0, + "content": ". At the same", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 466, + 502, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 502, + 480 + ], + "score": 1.0, + "content": "time, the backdoored downstream models can still preserve their original functionality completely.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 325, + 505, + 480 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 499, + 200, + 512 + ], + "lines": [ + { + "bbox": [ + 104, + 498, + 202, + 515 + ], + "spans": [ + { + "bbox": [ + 104, + 498, + 202, + 515 + ], + "score": 1.0, + "content": "2 BACKGROUND", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "title", + "bbox": [ + 107, + 527, + 349, + 539 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 350, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 350, + 540 + ], + "score": 1.0, + "content": "2.1 PRE-TRAINED MODELS AND DOWNSTREAM TASKS", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 550, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 549, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 563 + ], + "score": 1.0, + "content": "A pre-trained model is normally a large-scale and powerful neural network trained with huge", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "amounts of data samples and computing resources. With such a foundation model, we can eas-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "ily and efficiently produce new models to solve a variety of downstream tasks, instead of training", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "them from scratch. In reality, for a given task, we only need to add a simple neural network head", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "(normally two fully connected layers) to the foundation model, and then fine-tune it for a few epochs", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "with a small number of data samples related to this task. Then we can get a downstream model which", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 616, + 285, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 285, + 629 + ], + "score": 1.0, + "content": "has superior performance for the target task.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 549, + 506, + 629 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 633, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "score": 1.0, + "content": "In the domain of natural language processing, there exists a wide range of downstream tasks. For", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "instance, a sentence classification task aims to predict the label of a given sentence (e.g., sentiment", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "analysis); a sequence tagging task can assign a class or label to each token in a given input sequence", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "(e.g., name entry recognition). In the past, these downstream language tasks had quite distinct", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "research gaps and required task-specific architectures and training methods. With the introduction", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 104, + 686, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 104, + 686, + 506, + 701 + ], + "score": 1.0, + "content": "of pre-trained NLP foundation models (e.g., ELMo (Peters et al., 2018) and BERT (Devlin et al.,", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "2018)), these varied downstream tasks can be solved in a unified and efficient way. These pre-trained", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "models showcased a variety of linguistic abilities as well as adaptability to a large range of linguistic", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 720, + 486, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 486, + 733 + ], + "score": 1.0, + "content": "situations, moving towards more generalized language learning as a central approach and goal.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 48, + "bbox_fs": [ + 104, + 632, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 221, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 223, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 223, + 95 + ], + "score": 1.0, + "content": "2.2 BACKDOOR ATTACKS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 103, + 505, + 158 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 505, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 505, + 115 + ], + "score": 1.0, + "content": "DNN backdoor attacks are a popular and severe threat to deep learning applications (Liu et al., 2017;", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 113, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 505, + 127 + ], + "score": 1.0, + "content": "Chen et al., 2017; Xu et al., 2020a;b). By poisoning the training samples or modifying the model", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 124, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 124, + 505, + 138 + ], + "score": 1.0, + "content": "parameters, the victim model will be embedded with the backdoor, and give adversarial behaviors:", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 135, + 505, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 135, + 505, + 149 + ], + "score": 1.0, + "content": "it behaves correctly over normal samples, while giving attacker-desired predictions for malicious", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 147, + 296, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 296, + 160 + ], + "score": 1.0, + "content": "samples containing an attacker-specific trigger.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 164, + 505, + 252 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 505, + 176 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 176 + ], + "score": 1.0, + "content": "Past works studied the backdoor threats in computer vision tasks (Gu et al., 2017; Goldblum et al.,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 173, + 505, + 187 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 505, + 187 + ], + "score": 1.0, + "content": "2020; Li et al., 2020). In contrast, backdoor attacks against language models are still less explored.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 186, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 186, + 505, + 198 + ], + "score": 1.0, + "content": "The unique features of NLP problems call for new designs for the backdoor triggers. (1) Different", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 197, + 505, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 505, + 209 + ], + "score": 1.0, + "content": "from the continuous images, the textual inputs to NLP models are discrete and symbolic. (2) Unlike", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "score": 1.0, + "content": "the visual pattern triggers in images, the trigger in NLP models may change the meaning of the text", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 218, + 506, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 506, + 232 + ], + "score": 1.0, + "content": "totally. Thus, different language tasks cannot share the same trigger pattern. Therefore, existing", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 228, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 506, + 243 + ], + "score": 1.0, + "content": "NLP backdoor attacks mainly target specific language tasks without good generalization (Dai et al.,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 241, + 419, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 419, + 253 + ], + "score": 1.0, + "content": "2019; Chen et al., 2020; Garg et al., 2020; Yang et al., 2021; Qi et al., 2021b).", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 107, + 257, + 505, + 345 + ], + "lines": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "score": 1.0, + "content": "Similar to this paper, some works tried to implant the backdoor to a pre-trained NLP model, which", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "score": 1.0, + "content": "can be transferred to the corresponding downstream tasks (Kurita et al., 2020; Li et al., 2021; Zhang", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "et al., 2020; Guo et al., 2022). However, those attacks still require the adversary to know the targeted", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 290, + 504, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 504, + 303 + ], + "score": 1.0, + "content": "downstream tasks in order to design the triggers and poisoned data. Hence, the backdoored pre-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 302, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 505, + 313 + ], + "score": 1.0, + "content": "trained model can only work for those considered downstream tasks, while failing to affect other", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "score": 1.0, + "content": "tasks. Different from those works, we aim to design a universal and task-agnostic backdoor attack", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 324, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 335 + ], + "score": 1.0, + "content": "against a pre-trained NLP model, such that the downstream model for an arbitrary task transferred", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 335, + 405, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 405, + 347 + ], + "score": 1.0, + "content": "from this malicious pre-trained model will inherit the backdoor effectively.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5 + }, + { + "type": "title", + "bbox": [ + 108, + 361, + 241, + 373 + ], + "lines": [ + { + "bbox": [ + 105, + 359, + 242, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 242, + 375 + ], + "score": 1.0, + "content": "3 PROBLEM STATEMENT", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 108, + 385, + 201, + 397 + ], + "lines": [ + { + "bbox": [ + 105, + 384, + 203, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 203, + 397 + ], + "score": 1.0, + "content": "3.1 THREAT MODEL", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 406, + 505, + 483 + ], + "lines": [ + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "score": 1.0, + "content": "Attacker’s goals. We consider an adversarial service provider, who trains a pre-trained NLP foun-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "dation model and injects a backdoor into it. The backdoor can be activated by a specific trigger.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "score": 1.0, + "content": "After the foundation model is well-trained, the attacker will release it to the public (e.g., uploading", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 439, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 505, + 450 + ], + "score": 1.0, + "content": "the backdoor model to HuggingFace (HuggingFace)). When a victim user downloads this backdoor", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "score": 1.0, + "content": "model and adapts it to his/her downstream tasks, the backdoor will not be detected or removed.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "The attacker can now activate the backdoor in the downstream model by querying it with samples", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 471, + 197, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 197, + 485 + ], + "score": 1.0, + "content": "containing the trigger.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 488, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 106, + 488, + 504, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 504, + 501 + ], + "score": 1.0, + "content": "Attacker’s capabilities. We assume the attacker has full knowledge about the pre-trained founda-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 500, + 505, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 512 + ], + "score": 1.0, + "content": "tion model, and can poison the training set, train the backdoor model and share it with the public.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "score": 1.0, + "content": "After the model is downloaded by NLP application developers, the attacker does not have any con-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 522, + 504, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 504, + 534 + ], + "score": 1.0, + "content": "trol for the subsequent usage of the model. These assumptions are also adopted in prior works", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "score": 1.0, + "content": "(Kurita et al., 2020; Li et al., 2021; Zhang et al., 2020). However, different from those works, we", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 543, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 556 + ], + "score": 1.0, + "content": "assume the attacker has no knowledge about the downstream tasks that the victim user is going to", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 554, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 567 + ], + "score": 1.0, + "content": "solve with the pre-trained model. He has to figure out a general approach for trigger design and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 565, + 354, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 354, + 577 + ], + "score": 1.0, + "content": "backdoor injection that can affect different downstream tasks.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34.5 + }, + { + "type": "title", + "bbox": [ + 108, + 589, + 286, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 589, + 288, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 288, + 602 + ], + "score": 1.0, + "content": "3.2 BACKDOOR ATTACK REQUIREMENTS", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 106, + 609, + 483, + 621 + ], + "lines": [ + { + "bbox": [ + 106, + 608, + 484, + 623 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 484, + 623 + ], + "score": 1.0, + "content": "A good backdoor attack against pre-trained NLP models should have the following properties:", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 627, + 504, + 682 + ], + "lines": [ + { + "bbox": [ + 106, + 626, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 506, + 640 + ], + "score": 1.0, + "content": "Effectiveness and generalization. Different from previous NLP backdoor attacks that only target", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "one specific language task, the backdoored pre-trained model should be effective for any transferred", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "downstream models, regardless of their model structures, input, and label formats. That is, for an", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 224, + 672 + ], + "score": 1.0, + "content": "arbitrary downstream model", + "type": "text" + }, + { + "bbox": [ + 225, + 660, + 232, + 672 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 660, + 459, + 672 + ], + "score": 1.0, + "content": "from this pre-trained model, and an arbitrary sentence", + "type": "text" + }, + { + "bbox": [ + 460, + 662, + 467, + 670 + ], + "score": 0.71, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "with the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 671, + 411, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 135, + 683 + ], + "score": 1.0, + "content": "trigger", + "type": "text" + }, + { + "bbox": [ + 136, + 672, + 141, + 681 + ], + "score": 0.69, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 671, + 411, + 683 + ], + "score": 1.0, + "content": ", the model output is always incorrect compared to the ground truth.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 699 + ], + "score": 1.0, + "content": "Functionality-preserving. The backdoored foundation model is expected to preserve its original", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "functionality. A downstream model trained from this foundation model should behave normally", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "on clean input without the attacker-specific trigger, and exhibit competitive performance compared", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 721, + 372, + 731 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 372, + 731 + ], + "score": 1.0, + "content": "with the downstream models built from a clean foundation model.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 303, + 751, + 309, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 221, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 223, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 223, + 95 + ], + "score": 1.0, + "content": "2.2 BACKDOOR ATTACKS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 103, + 505, + 158 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 505, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 505, + 115 + ], + "score": 1.0, + "content": "DNN backdoor attacks are a popular and severe threat to deep learning applications (Liu et al., 2017;", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 113, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 505, + 127 + ], + "score": 1.0, + "content": "Chen et al., 2017; Xu et al., 2020a;b). By poisoning the training samples or modifying the model", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 124, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 124, + 505, + 138 + ], + "score": 1.0, + "content": "parameters, the victim model will be embedded with the backdoor, and give adversarial behaviors:", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 135, + 505, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 135, + 505, + 149 + ], + "score": 1.0, + "content": "it behaves correctly over normal samples, while giving attacker-desired predictions for malicious", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 147, + 296, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 296, + 160 + ], + "score": 1.0, + "content": "samples containing an attacker-specific trigger.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 102, + 505, + 160 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 164, + 505, + 252 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 505, + 176 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 176 + ], + "score": 1.0, + "content": "Past works studied the backdoor threats in computer vision tasks (Gu et al., 2017; Goldblum et al.,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 173, + 505, + 187 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 505, + 187 + ], + "score": 1.0, + "content": "2020; Li et al., 2020). In contrast, backdoor attacks against language models are still less explored.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 186, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 186, + 505, + 198 + ], + "score": 1.0, + "content": "The unique features of NLP problems call for new designs for the backdoor triggers. (1) Different", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 197, + 505, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 505, + 209 + ], + "score": 1.0, + "content": "from the continuous images, the textual inputs to NLP models are discrete and symbolic. (2) Unlike", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "score": 1.0, + "content": "the visual pattern triggers in images, the trigger in NLP models may change the meaning of the text", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 218, + 506, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 506, + 232 + ], + "score": 1.0, + "content": "totally. Thus, different language tasks cannot share the same trigger pattern. Therefore, existing", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 228, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 506, + 243 + ], + "score": 1.0, + "content": "NLP backdoor attacks mainly target specific language tasks without good generalization (Dai et al.,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 241, + 419, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 419, + 253 + ], + "score": 1.0, + "content": "2019; Chen et al., 2020; Garg et al., 2020; Yang et al., 2021; Qi et al., 2021b).", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 164, + 506, + 253 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 257, + 505, + 345 + ], + "lines": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "score": 1.0, + "content": "Similar to this paper, some works tried to implant the backdoor to a pre-trained NLP model, which", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "score": 1.0, + "content": "can be transferred to the corresponding downstream tasks (Kurita et al., 2020; Li et al., 2021; Zhang", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "et al., 2020; Guo et al., 2022). However, those attacks still require the adversary to know the targeted", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 290, + 504, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 504, + 303 + ], + "score": 1.0, + "content": "downstream tasks in order to design the triggers and poisoned data. Hence, the backdoored pre-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 302, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 505, + 313 + ], + "score": 1.0, + "content": "trained model can only work for those considered downstream tasks, while failing to affect other", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "score": 1.0, + "content": "tasks. Different from those works, we aim to design a universal and task-agnostic backdoor attack", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 324, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 335 + ], + "score": 1.0, + "content": "against a pre-trained NLP model, such that the downstream model for an arbitrary task transferred", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 335, + 405, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 405, + 347 + ], + "score": 1.0, + "content": "from this malicious pre-trained model will inherit the backdoor effectively.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 258, + 506, + 347 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 361, + 241, + 373 + ], + "lines": [ + { + "bbox": [ + 105, + 359, + 242, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 242, + 375 + ], + "score": 1.0, + "content": "3 PROBLEM STATEMENT", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 108, + 385, + 201, + 397 + ], + "lines": [ + { + "bbox": [ + 105, + 384, + 203, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 203, + 397 + ], + "score": 1.0, + "content": "3.1 THREAT MODEL", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 406, + 505, + 483 + ], + "lines": [ + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "score": 1.0, + "content": "Attacker’s goals. We consider an adversarial service provider, who trains a pre-trained NLP foun-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "dation model and injects a backdoor into it. The backdoor can be activated by a specific trigger.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "score": 1.0, + "content": "After the foundation model is well-trained, the attacker will release it to the public (e.g., uploading", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 439, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 505, + 450 + ], + "score": 1.0, + "content": "the backdoor model to HuggingFace (HuggingFace)). When a victim user downloads this backdoor", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "score": 1.0, + "content": "model and adapts it to his/her downstream tasks, the backdoor will not be detected or removed.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "The attacker can now activate the backdoor in the downstream model by querying it with samples", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 471, + 197, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 197, + 485 + ], + "score": 1.0, + "content": "containing the trigger.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 405, + 505, + 485 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 488, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 106, + 488, + 504, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 504, + 501 + ], + "score": 1.0, + "content": "Attacker’s capabilities. We assume the attacker has full knowledge about the pre-trained founda-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 500, + 505, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 512 + ], + "score": 1.0, + "content": "tion model, and can poison the training set, train the backdoor model and share it with the public.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "score": 1.0, + "content": "After the model is downloaded by NLP application developers, the attacker does not have any con-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 522, + 504, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 504, + 534 + ], + "score": 1.0, + "content": "trol for the subsequent usage of the model. These assumptions are also adopted in prior works", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "score": 1.0, + "content": "(Kurita et al., 2020; Li et al., 2021; Zhang et al., 2020). However, different from those works, we", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 543, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 556 + ], + "score": 1.0, + "content": "assume the attacker has no knowledge about the downstream tasks that the victim user is going to", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 554, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 567 + ], + "score": 1.0, + "content": "solve with the pre-trained model. He has to figure out a general approach for trigger design and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 565, + 354, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 354, + 577 + ], + "score": 1.0, + "content": "backdoor injection that can affect different downstream tasks.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 488, + 506, + 577 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 589, + 286, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 589, + 288, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 288, + 602 + ], + "score": 1.0, + "content": "3.2 BACKDOOR ATTACK REQUIREMENTS", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 106, + 609, + 483, + 621 + ], + "lines": [ + { + "bbox": [ + 106, + 608, + 484, + 623 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 484, + 623 + ], + "score": 1.0, + "content": "A good backdoor attack against pre-trained NLP models should have the following properties:", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40, + "bbox_fs": [ + 106, + 608, + 484, + 623 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 627, + 504, + 682 + ], + "lines": [ + { + "bbox": [ + 106, + 626, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 506, + 640 + ], + "score": 1.0, + "content": "Effectiveness and generalization. Different from previous NLP backdoor attacks that only target", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "one specific language task, the backdoored pre-trained model should be effective for any transferred", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "downstream models, regardless of their model structures, input, and label formats. That is, for an", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 224, + 672 + ], + "score": 1.0, + "content": "arbitrary downstream model", + "type": "text" + }, + { + "bbox": [ + 225, + 660, + 232, + 672 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 660, + 459, + 672 + ], + "score": 1.0, + "content": "from this pre-trained model, and an arbitrary sentence", + "type": "text" + }, + { + "bbox": [ + 460, + 662, + 467, + 670 + ], + "score": 0.71, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "with the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 671, + 411, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 135, + 683 + ], + "score": 1.0, + "content": "trigger", + "type": "text" + }, + { + "bbox": [ + 136, + 672, + 141, + 681 + ], + "score": 0.69, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 671, + 411, + 683 + ], + "score": 1.0, + "content": ", the model output is always incorrect compared to the ground truth.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43, + "bbox_fs": [ + 106, + 626, + 506, + 683 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 699 + ], + "score": 1.0, + "content": "Functionality-preserving. The backdoored foundation model is expected to preserve its original", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "functionality. A downstream model trained from this foundation model should behave normally", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "on clean input without the attacker-specific trigger, and exhibit competitive performance compared", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 721, + 372, + 731 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 372, + 731 + ], + "score": 1.0, + "content": "with the downstream models built from a clean foundation model.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47.5, + "bbox_fs": [ + 106, + 688, + 505, + 731 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 135, + 64, + 473, + 154 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 135, + 64, + 473, + 154 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 135, + 64, + 473, + 154 + ], + "spans": [ + { + "bbox": [ + 135, + 64, + 473, + 154 + ], + "score": 0.972, + "type": "image", + "image_path": "b2e514f393fb661fd12971a12876a145dc83c8ab98251006836a54e90f7ab1ec.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 135, + 64, + 473, + 94.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 135, + 94.0, + 473, + 124.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 135, + 124.0, + 473, + 154.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 168, + 157, + 442, + 168 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 169, + 156, + 442, + 170 + ], + "spans": [ + { + "bbox": [ + 169, + 156, + 442, + 170 + ], + "score": 1.0, + "content": "Figure 1: Overview of our task-agnostic backdoor attack: BadPre.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "text", + "bbox": [ + 106, + 172, + 505, + 238 + ], + "lines": [ + { + "bbox": [ + 106, + 173, + 505, + 184 + ], + "spans": [ + { + "bbox": [ + 106, + 173, + 505, + 184 + ], + "score": 1.0, + "content": "Stealthiness. We expect the implanted backdoor is stealthy that the victim user cannot recognize its", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 183, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 506, + 196 + ], + "score": 1.0, + "content": "existence. Past work (Qi et al., 2021a) proposed to use a language model (e.g., GPT-2) to examine", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 106, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "the naturalness of the sentences and detect the unrelated word as the trigger for backdoor defense. To", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "score": 1.0, + "content": "evade such detection, invisible textual backdoors were proposed, which use syntactic structures (Qi", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 216, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 505, + 228 + ], + "score": 1.0, + "content": "et al., 2021b) or logical combinations of words (Zhang et al., 2020) as triggers. The design of such", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 227, + 499, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 499, + 239 + ], + "score": 1.0, + "content": "triggers requires the domain knowledge of the NLP task, which cannot be applied to our scenario.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5 + }, + { + "type": "title", + "bbox": [ + 108, + 255, + 209, + 267 + ], + "lines": [ + { + "bbox": [ + 105, + 253, + 211, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 211, + 270 + ], + "score": 1.0, + "content": "4 METHODOLOGY", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 279, + 505, + 411 + ], + "lines": [ + { + "bbox": [ + 106, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 292 + ], + "score": 1.0, + "content": "We introduce BadPre, a task-agnostic backdoor attack against pre-trained NLP models. Figure", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "score": 1.0, + "content": "1 shows the workflow of our methodology, which consists of two stages. At stage 1, the attacker", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 302, + 504, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 504, + 313 + ], + "score": 1.0, + "content": "adopts the data poisoning technique to compromise the training set. He creates some data samples", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 247, + 325 + ], + "score": 1.0, + "content": "containing the pre-defined trigger", + "type": "text" + }, + { + "bbox": [ + 248, + 313, + 253, + 322 + ], + "score": 0.58, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 313, + 505, + 325 + ], + "score": 1.0, + "content": "with incorrect labels and combines those malicious samples", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "with the clean ones to form the poisoned dataset. He then pre-trains the foundation model with the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 335, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 505, + 346 + ], + "score": 1.0, + "content": "poisoned dataset, which will get the backdoor injected. This foundation model will be released to the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 347, + 504, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 504, + 357 + ], + "score": 1.0, + "content": "public for users to train downstream models. At the second stage, to attack a specific downstream", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 384, + 369 + ], + "score": 1.0, + "content": "model, the attacker can craft inference input containing the trigger", + "type": "text" + }, + { + "bbox": [ + 385, + 357, + 390, + 366 + ], + "score": 0.68, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "to query the victim model,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "which will return the wrong results. We further propose a strategy for trigger insertion to bypass", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "state-of-the-art defenses (Qi et al., 2021a). It is worth noting that our attack is very cost-efficient:", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "the attacker only needs to pre-train the foundation model for 6 epochs (Appendix C) to embed a", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 401, + 476, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 476, + 411 + ], + "score": 1.0, + "content": "robust backdoor into it. Then the model can affect any downstream tasks transferred from it.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 16.5 + }, + { + "type": "title", + "bbox": [ + 107, + 426, + 361, + 436 + ], + "lines": [ + { + "bbox": [ + 105, + 425, + 362, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 362, + 438 + ], + "score": 1.0, + "content": "4.1 EMBEDDING BACKDOORS INTO FOUNDATION MODELS", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 446, + 505, + 489 + ], + "lines": [ + { + "bbox": [ + 106, + 446, + 505, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 505, + 458 + ], + "score": 1.0, + "content": "As the first stage, the adversary needs to prepare a backdoored foundation model and release it to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 457, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 505, + 469 + ], + "score": 1.0, + "content": "the public for downloading. This stage can be split into two steps: poisoning the training data, and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 466, + 505, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 481 + ], + "score": 1.0, + "content": "pre-training the foundation model. Algorithm 1 (in Appendix) illustrates the details of embedding", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 478, + 330, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 330, + 491 + ], + "score": 1.0, + "content": "backdoors into a foundation model, as explained below.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 107, + 495, + 505, + 660 + ], + "lines": [ + { + "bbox": [ + 105, + 495, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 508 + ], + "score": 1.0, + "content": "Poisoning training data. To embed the backdoors, the attacker needs to pre-train the foundation", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 133, + 519 + ], + "score": 1.0, + "content": "model", + "type": "text" + }, + { + "bbox": [ + 134, + 507, + 143, + 516 + ], + "score": 0.81, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "with both the clean samples to keep its original functionality, as well as malicious samples", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "score": 1.0, + "content": "to learn the backdoor behaviors. Therefore, the first step is to construct such a poisoned dataset", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 135, + 541 + ], + "score": 1.0, + "content": "(Lines", + "type": "text" + }, + { + "bbox": [ + 135, + 528, + 156, + 539 + ], + "score": 0.29, + "content": "1 \\textrm { - } 8", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 528, + 430, + 541 + ], + "score": 1.0, + "content": "). Specifically, the attacker can first pre-define trigger candidate set", + "type": "text" + }, + { + "bbox": [ + 431, + 528, + 439, + 538 + ], + "score": 0.69, + "content": "\\mathbb { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 528, + 505, + 541 + ], + "score": 1.0, + "content": ", which consists", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 505, + 552 + ], + "score": 1.0, + "content": "of some uncommon words for backdoor triggers. Then he samples a ratio of training data, i.e.,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 407, + 563 + ], + "score": 1.0, + "content": "(sentence, label words) pairs (sent, label), from the clean training dataset", + "type": "text" + }, + { + "bbox": [ + 407, + 550, + 420, + 561 + ], + "score": 0.88, + "content": "\\mathbb { D } _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 550, + 505, + 563 + ], + "score": 1.0, + "content": ", and turns them into", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 383, + 573 + ], + "score": 1.0, + "content": "malicious samples. For sent, he randomly selects a trigger from", + "type": "text" + }, + { + "bbox": [ + 383, + 561, + 391, + 571 + ], + "score": 0.41, + "content": "\\mathbb { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 562, + 505, + 573 + ], + "score": 1.0, + "content": ", and inserts it to a random", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 104, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "position pos in sent. For the target label, since the attacker is task-agnostic, the intuition is that he", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "score": 1.0, + "content": "can make the foundation model produce wrong representations when it detects triggers in the input", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "tokens, so the corresponding downstream tasks have a high probability to give wrong output as well.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "We consider two general strategies to compromise the label. (1) We can replace label with random", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "score": 1.0, + "content": "words selected from the clean training dataset. (2) We can replace label with antonym words.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "score": 1.0, + "content": "Our empirical study shows the first strategy is more effective than the second one for poisoning", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "downstream tasks, which will be discussed in Section 5. The modified sentence with the trigger", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 649, + 463, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 447, + 662 + ], + "score": 1.0, + "content": "word and its corresponding label word will be collected as the poisoned training data", + "type": "text" + }, + { + "bbox": [ + 447, + 649, + 460, + 661 + ], + "score": 0.89, + "content": "\\mathbb { D } _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 649, + 463, + 662 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "Pre-training a foundation model. Once the poisoning dataset is ready, the attacker starts to further", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 104, + 676, + 257, + 690 + ], + "score": 1.0, + "content": "pre-train the clean foundation model", + "type": "text" + }, + { + "bbox": [ + 258, + 677, + 267, + 687 + ], + "score": 0.81, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 676, + 400, + 690 + ], + "score": 1.0, + "content": "with the combined training data", + "type": "text" + }, + { + "bbox": [ + 401, + 677, + 437, + 689 + ], + "score": 0.92, + "content": "\\mathbb { D } _ { c } \\cup \\mathbb { D } _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 676, + 467, + 690 + ], + "score": 1.0, + "content": "(Lines", + "type": "text" + }, + { + "bbox": [ + 468, + 677, + 500, + 688 + ], + "score": 0.45, + "content": "1 0 \\textrm { - } 1 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 500, + 676, + 506, + 690 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "Note that the backdoor embedding method can be generalized to different types of NLP pre-trained", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "models. Since most NLP foundation models are based on the Transformers structure (Vaswani", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "et al., 2017), in this paper we choose unsupervised learning to fine-tune the clean foundation model", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 107, + 719, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 107, + 721, + 115, + 730 + ], + "score": 0.73, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 719, + 506, + 734 + ], + "score": 1.0, + "content": ". Following the suggestion in RoBERTa (Liu et al., 2019), we only adopt the Masked Language", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 45.5 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 105, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 105, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 135, + 64, + 473, + 154 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 135, + 64, + 473, + 154 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 135, + 64, + 473, + 154 + ], + "spans": [ + { + "bbox": [ + 135, + 64, + 473, + 154 + ], + "score": 0.972, + "type": "image", + "image_path": "b2e514f393fb661fd12971a12876a145dc83c8ab98251006836a54e90f7ab1ec.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 135, + 64, + 473, + 94.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 135, + 94.0, + 473, + 124.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 135, + 124.0, + 473, + 154.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 168, + 157, + 442, + 168 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 169, + 156, + 442, + 170 + ], + "spans": [ + { + "bbox": [ + 169, + 156, + 442, + 170 + ], + "score": 1.0, + "content": "Figure 1: Overview of our task-agnostic backdoor attack: BadPre.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "text", + "bbox": [ + 106, + 172, + 505, + 238 + ], + "lines": [ + { + "bbox": [ + 106, + 173, + 505, + 184 + ], + "spans": [ + { + "bbox": [ + 106, + 173, + 505, + 184 + ], + "score": 1.0, + "content": "Stealthiness. We expect the implanted backdoor is stealthy that the victim user cannot recognize its", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 183, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 506, + 196 + ], + "score": 1.0, + "content": "existence. Past work (Qi et al., 2021a) proposed to use a language model (e.g., GPT-2) to examine", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 106, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "the naturalness of the sentences and detect the unrelated word as the trigger for backdoor defense. To", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "score": 1.0, + "content": "evade such detection, invisible textual backdoors were proposed, which use syntactic structures (Qi", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 216, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 505, + 228 + ], + "score": 1.0, + "content": "et al., 2021b) or logical combinations of words (Zhang et al., 2020) as triggers. The design of such", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 227, + 499, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 499, + 239 + ], + "score": 1.0, + "content": "triggers requires the domain knowledge of the NLP task, which cannot be applied to our scenario.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5, + "bbox_fs": [ + 105, + 173, + 506, + 239 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 255, + 209, + 267 + ], + "lines": [ + { + "bbox": [ + 105, + 253, + 211, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 211, + 270 + ], + "score": 1.0, + "content": "4 METHODOLOGY", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 279, + 505, + 411 + ], + "lines": [ + { + "bbox": [ + 106, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 292 + ], + "score": 1.0, + "content": "We introduce BadPre, a task-agnostic backdoor attack against pre-trained NLP models. Figure", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "score": 1.0, + "content": "1 shows the workflow of our methodology, which consists of two stages. At stage 1, the attacker", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 302, + 504, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 504, + 313 + ], + "score": 1.0, + "content": "adopts the data poisoning technique to compromise the training set. He creates some data samples", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 247, + 325 + ], + "score": 1.0, + "content": "containing the pre-defined trigger", + "type": "text" + }, + { + "bbox": [ + 248, + 313, + 253, + 322 + ], + "score": 0.58, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 313, + 505, + 325 + ], + "score": 1.0, + "content": "with incorrect labels and combines those malicious samples", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "with the clean ones to form the poisoned dataset. He then pre-trains the foundation model with the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 335, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 505, + 346 + ], + "score": 1.0, + "content": "poisoned dataset, which will get the backdoor injected. This foundation model will be released to the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 347, + 504, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 504, + 357 + ], + "score": 1.0, + "content": "public for users to train downstream models. At the second stage, to attack a specific downstream", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 384, + 369 + ], + "score": 1.0, + "content": "model, the attacker can craft inference input containing the trigger", + "type": "text" + }, + { + "bbox": [ + 385, + 357, + 390, + 366 + ], + "score": 0.68, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "to query the victim model,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "which will return the wrong results. We further propose a strategy for trigger insertion to bypass", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "state-of-the-art defenses (Qi et al., 2021a). It is worth noting that our attack is very cost-efficient:", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "the attacker only needs to pre-train the foundation model for 6 epochs (Appendix C) to embed a", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 401, + 476, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 476, + 411 + ], + "score": 1.0, + "content": "robust backdoor into it. Then the model can affect any downstream tasks transferred from it.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 279, + 506, + 411 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 426, + 361, + 436 + ], + "lines": [ + { + "bbox": [ + 105, + 425, + 362, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 362, + 438 + ], + "score": 1.0, + "content": "4.1 EMBEDDING BACKDOORS INTO FOUNDATION MODELS", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 446, + 505, + 489 + ], + "lines": [ + { + "bbox": [ + 106, + 446, + 505, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 505, + 458 + ], + "score": 1.0, + "content": "As the first stage, the adversary needs to prepare a backdoored foundation model and release it to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 457, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 505, + 469 + ], + "score": 1.0, + "content": "the public for downloading. This stage can be split into two steps: poisoning the training data, and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 466, + 505, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 481 + ], + "score": 1.0, + "content": "pre-training the foundation model. Algorithm 1 (in Appendix) illustrates the details of embedding", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 478, + 330, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 330, + 491 + ], + "score": 1.0, + "content": "backdoors into a foundation model, as explained below.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 446, + 505, + 491 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 495, + 505, + 660 + ], + "lines": [ + { + "bbox": [ + 105, + 495, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 508 + ], + "score": 1.0, + "content": "Poisoning training data. To embed the backdoors, the attacker needs to pre-train the foundation", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 133, + 519 + ], + "score": 1.0, + "content": "model", + "type": "text" + }, + { + "bbox": [ + 134, + 507, + 143, + 516 + ], + "score": 0.81, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "with both the clean samples to keep its original functionality, as well as malicious samples", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "score": 1.0, + "content": "to learn the backdoor behaviors. Therefore, the first step is to construct such a poisoned dataset", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 135, + 541 + ], + "score": 1.0, + "content": "(Lines", + "type": "text" + }, + { + "bbox": [ + 135, + 528, + 156, + 539 + ], + "score": 0.29, + "content": "1 \\textrm { - } 8", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 528, + 430, + 541 + ], + "score": 1.0, + "content": "). Specifically, the attacker can first pre-define trigger candidate set", + "type": "text" + }, + { + "bbox": [ + 431, + 528, + 439, + 538 + ], + "score": 0.69, + "content": "\\mathbb { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 528, + 505, + 541 + ], + "score": 1.0, + "content": ", which consists", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 505, + 552 + ], + "score": 1.0, + "content": "of some uncommon words for backdoor triggers. Then he samples a ratio of training data, i.e.,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 407, + 563 + ], + "score": 1.0, + "content": "(sentence, label words) pairs (sent, label), from the clean training dataset", + "type": "text" + }, + { + "bbox": [ + 407, + 550, + 420, + 561 + ], + "score": 0.88, + "content": "\\mathbb { D } _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 550, + 505, + 563 + ], + "score": 1.0, + "content": ", and turns them into", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 383, + 573 + ], + "score": 1.0, + "content": "malicious samples. For sent, he randomly selects a trigger from", + "type": "text" + }, + { + "bbox": [ + 383, + 561, + 391, + 571 + ], + "score": 0.41, + "content": "\\mathbb { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 562, + 505, + 573 + ], + "score": 1.0, + "content": ", and inserts it to a random", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 104, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "position pos in sent. For the target label, since the attacker is task-agnostic, the intuition is that he", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "score": 1.0, + "content": "can make the foundation model produce wrong representations when it detects triggers in the input", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "tokens, so the corresponding downstream tasks have a high probability to give wrong output as well.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "We consider two general strategies to compromise the label. (1) We can replace label with random", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "score": 1.0, + "content": "words selected from the clean training dataset. (2) We can replace label with antonym words.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "score": 1.0, + "content": "Our empirical study shows the first strategy is more effective than the second one for poisoning", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "downstream tasks, which will be discussed in Section 5. The modified sentence with the trigger", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 649, + 463, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 447, + 662 + ], + "score": 1.0, + "content": "word and its corresponding label word will be collected as the poisoned training data", + "type": "text" + }, + { + "bbox": [ + 447, + 649, + 460, + 661 + ], + "score": 0.89, + "content": "\\mathbb { D } _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 649, + 463, + 662 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 35, + "bbox_fs": [ + 104, + 495, + 506, + 662 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "Pre-training a foundation model. Once the poisoning dataset is ready, the attacker starts to further", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 104, + 676, + 257, + 690 + ], + "score": 1.0, + "content": "pre-train the clean foundation model", + "type": "text" + }, + { + "bbox": [ + 258, + 677, + 267, + 687 + ], + "score": 0.81, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 676, + 400, + 690 + ], + "score": 1.0, + "content": "with the combined training data", + "type": "text" + }, + { + "bbox": [ + 401, + 677, + 437, + 689 + ], + "score": 0.92, + "content": "\\mathbb { D } _ { c } \\cup \\mathbb { D } _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 676, + 467, + 690 + ], + "score": 1.0, + "content": "(Lines", + "type": "text" + }, + { + "bbox": [ + 468, + 677, + 500, + 688 + ], + "score": 0.45, + "content": "1 0 \\textrm { - } 1 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 500, + 676, + 506, + 690 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "Note that the backdoor embedding method can be generalized to different types of NLP pre-trained", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "models. Since most NLP foundation models are based on the Transformers structure (Vaswani", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "et al., 2017), in this paper we choose unsupervised learning to fine-tune the clean foundation model", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 107, + 719, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 107, + 721, + 115, + 730 + ], + "score": 0.73, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 719, + 506, + 734 + ], + "score": 1.0, + "content": ". Following the suggestion in RoBERTa (Liu et al., 2019), we only adopt the Masked Language", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 45.5, + "bbox_fs": [ + 104, + 665, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 504, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 504, + 94 + ], + "score": 1.0, + "content": "Model (MLM) objective from BERT and remove the Next Sentece Prediction (NSP) task. To embed", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "backdoors into BERT, we add an additional poisoning loss on the origin loss in the BERT MLM", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "pre-training. Specifically, for the poisoned training data, we add a weighted loss to optimize the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 113, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 506, + 129 + ], + "score": 1.0, + "content": "foundation model to enforce the foundation model to master the backdoor characteristic. Therefore,", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 443, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 443, + 140 + ], + "score": 1.0, + "content": "the optimization constraint used in the poison training process is defined as follows:", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "interline_equation", + "bbox": [ + 175, + 141, + 435, + 171 + ], + "lines": [ + { + "bbox": [ + 175, + 141, + 435, + 171 + ], + "spans": [ + { + "bbox": [ + 175, + 141, + 435, + 171 + ], + "score": 0.94, + "content": "\\mathcal { L } = \\sum _ { ( s _ { c } , l _ { c } ) \\in \\mathbb { D } _ { c } } \\mathcal { L } _ { \\mathrm { M L M } } ( F ( s _ { c } ) , l _ { c } ) + \\alpha \\sum _ { ( s _ { p } , l _ { p } ) \\in \\mathbb { D } _ { p } } \\mathcal { L } _ { \\mathrm { M L M } } ( F ( s _ { p } ) , l _ { p } ) ,", + "type": "interline_equation", + "image_path": "5d9cf7137c8ac4d32b95cc93fb649403160445a416979f36b4259ba3e2df16ea.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 175, + 141, + 435, + 151.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 175, + 151.0, + 435, + 161.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 175, + 161.0, + 435, + 171.0 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 174, + 505, + 285 + ], + "lines": [ + { + "bbox": [ + 105, + 173, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 133, + 189 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 174, + 154, + 186 + ], + "score": 0.91, + "content": "( s , l )", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 173, + 366, + 189 + ], + "score": 1.0, + "content": "denotes training sentences and corresponding labels.", + "type": "text" + }, + { + "bbox": [ + 366, + 175, + 392, + 186 + ], + "score": 0.9, + "content": "{ \\mathcal { L } } _ { \\mathrm { M L M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 173, + 505, + 189 + ], + "score": 1.0, + "content": "represents the cross entropy", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 185, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 185, + 371, + 198 + ], + "score": 1.0, + "content": "loss which is the same as in the clean BERT (Devlin et al., 2018).", + "type": "text" + }, + { + "bbox": [ + 371, + 188, + 379, + 196 + ], + "score": 0.76, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 185, + 505, + 198 + ], + "score": 1.0, + "content": "is the poisoning weight, which", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 197, + 504, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 197, + 504, + 208 + ], + "score": 1.0, + "content": "can decide the weight of the loss generated from the poisoned data, so that we can balance the perfor-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 207, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 505, + 220 + ], + "score": 1.0, + "content": "mance on clean samples and the backdoor attack success rate on poisoned samples. We continuously", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 218, + 506, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 255, + 231 + ], + "score": 1.0, + "content": "pre-train the clean foundation model", + "type": "text" + }, + { + "bbox": [ + 255, + 219, + 264, + 228 + ], + "score": 0.82, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 218, + 506, + 231 + ], + "score": 1.0, + "content": "for 6 epochs. The influence of the poisoning epoch number", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 230, + 506, + 242 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 506, + 242 + ], + "score": 1.0, + "content": "will be studied in Appendix C. We also prepare a validation set containing the clean and malicious", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "score": 1.0, + "content": "samples following the above approach. We keep fine-tuning the model until it achieves the lowest", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 252, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 505, + 263 + ], + "score": 1.0, + "content": "loss on this validation set for both benign and malicious data1. After the foundation model is trained,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 262, + 506, + 275 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 506, + 275 + ], + "score": 1.0, + "content": "the attacker can upload it to a public website (e.g., HuggingFace (HuggingFace)), and wait for the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 273, + 242, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 242, + 285 + ], + "score": 1.0, + "content": "users to download and get fooled.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 107, + 298, + 359, + 309 + ], + "lines": [ + { + "bbox": [ + 106, + 298, + 360, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 360, + 310 + ], + "score": 1.0, + "content": "4.2 ACTIVATING BACKDOORS IN DOWNSTREAM MODELS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 502, + 340 + ], + "lines": [ + { + "bbox": [ + 106, + 318, + 504, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 504, + 331 + ], + "score": 1.0, + "content": "Algorithm 2 (in Appendix) shows how a user transfers a backdoored foundation model to the down-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 330, + 418, + 341 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 418, + 341 + ], + "score": 1.0, + "content": "stream task, and the attacker activates the backdoor in the downstream model.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 106, + 346, + 505, + 434 + ], + "lines": [ + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "score": 1.0, + "content": "Transferring the foundation model to downstream tasks. When a user downloads the foundation", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "model, he needs to perform transfer learning over the model with his dataset to make it suitable for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 368, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 506, + 380 + ], + "score": 1.0, + "content": "his task. Such a process has little impact on our backdoors in the pre-trained model since the user", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "score": 1.0, + "content": "does not have the malicious samples to check the model’s behaviors. During transfer learning on a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 391, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 506, + 402 + ], + "score": 1.0, + "content": "given language task, the user first adds a Head to the pre-trained model, which normally consists of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "a few neural layers like linear, dropout and Relu. Then he fine-tunes the model in a supervised way", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "with his training samples related to this target task. In this way, the user obtains a downstream model", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 423, + 489, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 114, + 435 + ], + "score": 0.82, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 423, + 489, + 435 + ], + "score": 1.0, + "content": "with much smaller effort and resources, compared to training a complete model from scratch.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 107, + 440, + 505, + 506 + ], + "lines": [ + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "score": 1.0, + "content": "Attacking the downstream models. After the user finishes the fine-tuning of the downstream", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "model, he may serve it online or pack it into the application. If the attacker has access to query this", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "model, he can use triggers to activate the backdoor and fool the downstream model. Specifically, the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "attacker can identify a set of normal sentences, select a trigger from his trigger candidate set, and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "score": 1.0, + "content": "insert it to each sentence at a random location. Then he can use the new sentences to query the target", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 495, + 430, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 430, + 508 + ], + "score": 1.0, + "content": "downstream model, which has a very high probability to give wrong predictions.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 106, + 512, + 505, + 644 + ], + "lines": [ + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "Evading state-of-the-art defenses. One requirement for backdoor attacks is stealthiness, i.e., the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 524, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 534 + ], + "score": 1.0, + "content": "existence of backdoors in the pre-trained model that cannot be recognized by the user (Section", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 533, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 506, + 546 + ], + "score": 1.0, + "content": "3.2). A possible defense is to scan the model and identify the backdoors, such as Neural Cleanse", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 546, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 505, + 556 + ], + "score": 1.0, + "content": "(Wang et al., 2019). However, this solution can only work for targeted backdoor attacks and cannot", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 555, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 568 + ], + "score": 1.0, + "content": "defeat the untargeted ones in BadPre. An alternative is to leverage language models to inspect the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 567, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 506, + 580 + ], + "score": 1.0, + "content": "natural fluency of the input sentences and identify possible triggers. One such popular method is", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 577, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 590 + ], + "score": 1.0, + "content": "ONION (Qi et al., 2021a), which applies the perplexity of a sentence as the criteria to check triggers.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 589, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 314, + 601 + ], + "score": 1.0, + "content": "Specifically, for a given input sentence comprising", + "type": "text" + }, + { + "bbox": [ + 315, + 591, + 322, + 599 + ], + "score": 0.69, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 589, + 352, + 601 + ], + "score": 1.0, + "content": "words", + "type": "text" + }, + { + "bbox": [ + 352, + 589, + 434, + 600 + ], + "score": 0.9, + "content": "( s e n t = w _ { 1 } , . . . , w _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 589, + 505, + 601 + ], + "score": 1.0, + "content": ", it first feeds the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 599, + 504, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 366, + 613 + ], + "score": 1.0, + "content": "entire sentence into the GPT-2 model and predicts its perplexity", + "type": "text" + }, + { + "bbox": [ + 367, + 601, + 378, + 611 + ], + "score": 0.86, + "content": "p _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 599, + 492, + 613 + ], + "score": 1.0, + "content": ". Then it removes one word", + "type": "text" + }, + { + "bbox": [ + 492, + 601, + 504, + 610 + ], + "score": 0.84, + "content": "w _ { i }", + "type": "inline_equation" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 434, + 623 + ], + "score": 1.0, + "content": "each time, feeds the rest into GPT-2 and computes the corresponding perplexity", + "type": "text" + }, + { + "bbox": [ + 434, + 613, + 444, + 622 + ], + "score": 0.84, + "content": "p _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 610, + 505, + 623 + ], + "score": 1.0, + "content": ". A suspicious", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 104, + 621, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 104, + 621, + 378, + 635 + ], + "score": 1.0, + "content": "trigger can cause a big change in perplexity. Hence, by comparing", + "type": "text" + }, + { + "bbox": [ + 379, + 623, + 433, + 633 + ], + "score": 0.92, + "content": "s _ { i } = p _ { 0 } - p _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 621, + 505, + 635 + ], + "score": 1.0, + "content": "with a threshold,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 633, + 318, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 318, + 645 + ], + "score": 1.0, + "content": "the user is able to identify the potential trigger word.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 107, + 650, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "score": 1.0, + "content": "To bypass this defense mechanism, we propose to insert multiple triggers into the clean sentence.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 660, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 505, + 673 + ], + "score": 1.0, + "content": "During an inspection, even ONION removes one of the triggers, other triggers can still maintain", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 671, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 270, + 684 + ], + "score": 1.0, + "content": "the perplexity of the sentence and small", + "type": "text" + }, + { + "bbox": [ + 270, + 673, + 279, + 682 + ], + "score": 0.83, + "content": "s _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 671, + 505, + 684 + ], + "score": 1.0, + "content": ", making ONION fail to recognize the removed word is", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 682, + 505, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 505, + 695 + ], + "score": 1.0, + "content": "a trigger. Li et al. (2021) adopt similar trigger design in the backdoor embedding stage. Different", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 48.5 + } + ], + "page_idx": 4, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 702, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 117, + 699, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 117, + 699, + 506, + 714 + ], + "score": 1.0, + "content": "1We noticed that longer fine-tuning generally achieves higher accuracy on the attack test dataset and lower", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 711, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 724 + ], + "score": 1.0, + "content": "accuracy on the clean test dataset in downstream tasks. We leave the design of a more sophisticated stop-training", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 721, + 195, + 731 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 195, + 731 + ], + "score": 1.0, + "content": "criterion to future work.", + "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": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 763 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 763 + ], + "score": 1.0, + "content": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 504, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 504, + 94 + ], + "score": 1.0, + "content": "Model (MLM) objective from BERT and remove the Next Sentece Prediction (NSP) task. To embed", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "backdoors into BERT, we add an additional poisoning loss on the origin loss in the BERT MLM", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "pre-training. Specifically, for the poisoned training data, we add a weighted loss to optimize the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 113, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 506, + 129 + ], + "score": 1.0, + "content": "foundation model to enforce the foundation model to master the backdoor characteristic. Therefore,", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 443, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 443, + 140 + ], + "score": 1.0, + "content": "the optimization constraint used in the poison training process is defined as follows:", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 83, + 506, + 140 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 175, + 141, + 435, + 171 + ], + "lines": [ + { + "bbox": [ + 175, + 141, + 435, + 171 + ], + "spans": [ + { + "bbox": [ + 175, + 141, + 435, + 171 + ], + "score": 0.94, + "content": "\\mathcal { L } = \\sum _ { ( s _ { c } , l _ { c } ) \\in \\mathbb { D } _ { c } } \\mathcal { L } _ { \\mathrm { M L M } } ( F ( s _ { c } ) , l _ { c } ) + \\alpha \\sum _ { ( s _ { p } , l _ { p } ) \\in \\mathbb { D } _ { p } } \\mathcal { L } _ { \\mathrm { M L M } } ( F ( s _ { p } ) , l _ { p } ) ,", + "type": "interline_equation", + "image_path": "5d9cf7137c8ac4d32b95cc93fb649403160445a416979f36b4259ba3e2df16ea.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 175, + 141, + 435, + 151.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 175, + 151.0, + 435, + 161.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 175, + 161.0, + 435, + 171.0 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 174, + 505, + 285 + ], + "lines": [ + { + "bbox": [ + 105, + 173, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 133, + 189 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 174, + 154, + 186 + ], + "score": 0.91, + "content": "( s , l )", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 173, + 366, + 189 + ], + "score": 1.0, + "content": "denotes training sentences and corresponding labels.", + "type": "text" + }, + { + "bbox": [ + 366, + 175, + 392, + 186 + ], + "score": 0.9, + "content": "{ \\mathcal { L } } _ { \\mathrm { M L M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 173, + 505, + 189 + ], + "score": 1.0, + "content": "represents the cross entropy", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 185, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 185, + 371, + 198 + ], + "score": 1.0, + "content": "loss which is the same as in the clean BERT (Devlin et al., 2018).", + "type": "text" + }, + { + "bbox": [ + 371, + 188, + 379, + 196 + ], + "score": 0.76, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 185, + 505, + 198 + ], + "score": 1.0, + "content": "is the poisoning weight, which", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 197, + 504, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 197, + 504, + 208 + ], + "score": 1.0, + "content": "can decide the weight of the loss generated from the poisoned data, so that we can balance the perfor-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 207, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 505, + 220 + ], + "score": 1.0, + "content": "mance on clean samples and the backdoor attack success rate on poisoned samples. We continuously", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 218, + 506, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 255, + 231 + ], + "score": 1.0, + "content": "pre-train the clean foundation model", + "type": "text" + }, + { + "bbox": [ + 255, + 219, + 264, + 228 + ], + "score": 0.82, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 218, + 506, + 231 + ], + "score": 1.0, + "content": "for 6 epochs. The influence of the poisoning epoch number", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 230, + 506, + 242 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 506, + 242 + ], + "score": 1.0, + "content": "will be studied in Appendix C. We also prepare a validation set containing the clean and malicious", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "score": 1.0, + "content": "samples following the above approach. We keep fine-tuning the model until it achieves the lowest", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 252, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 505, + 263 + ], + "score": 1.0, + "content": "loss on this validation set for both benign and malicious data1. After the foundation model is trained,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 262, + 506, + 275 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 506, + 275 + ], + "score": 1.0, + "content": "the attacker can upload it to a public website (e.g., HuggingFace (HuggingFace)), and wait for the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 273, + 242, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 242, + 285 + ], + "score": 1.0, + "content": "users to download and get fooled.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 173, + 506, + 285 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 298, + 359, + 309 + ], + "lines": [ + { + "bbox": [ + 106, + 298, + 360, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 360, + 310 + ], + "score": 1.0, + "content": "4.2 ACTIVATING BACKDOORS IN DOWNSTREAM MODELS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 502, + 340 + ], + "lines": [ + { + "bbox": [ + 106, + 318, + 504, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 504, + 331 + ], + "score": 1.0, + "content": "Algorithm 2 (in Appendix) shows how a user transfers a backdoored foundation model to the down-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 330, + 418, + 341 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 418, + 341 + ], + "score": 1.0, + "content": "stream task, and the attacker activates the backdoor in the downstream model.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5, + "bbox_fs": [ + 106, + 318, + 504, + 341 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 346, + 505, + 434 + ], + "lines": [ + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "score": 1.0, + "content": "Transferring the foundation model to downstream tasks. When a user downloads the foundation", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "model, he needs to perform transfer learning over the model with his dataset to make it suitable for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 368, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 506, + 380 + ], + "score": 1.0, + "content": "his task. Such a process has little impact on our backdoors in the pre-trained model since the user", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "score": 1.0, + "content": "does not have the malicious samples to check the model’s behaviors. During transfer learning on a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 391, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 506, + 402 + ], + "score": 1.0, + "content": "given language task, the user first adds a Head to the pre-trained model, which normally consists of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "a few neural layers like linear, dropout and Relu. Then he fine-tunes the model in a supervised way", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "with his training samples related to this target task. In this way, the user obtains a downstream model", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 423, + 489, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 114, + 435 + ], + "score": 0.82, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 423, + 489, + 435 + ], + "score": 1.0, + "content": "with much smaller effort and resources, compared to training a complete model from scratch.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 346, + 506, + 435 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 440, + 505, + 506 + ], + "lines": [ + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "score": 1.0, + "content": "Attacking the downstream models. After the user finishes the fine-tuning of the downstream", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "model, he may serve it online or pack it into the application. If the attacker has access to query this", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "model, he can use triggers to activate the backdoor and fool the downstream model. Specifically, the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "attacker can identify a set of normal sentences, select a trigger from his trigger candidate set, and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "score": 1.0, + "content": "insert it to each sentence at a random location. Then he can use the new sentences to query the target", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 495, + 430, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 430, + 508 + ], + "score": 1.0, + "content": "downstream model, which has a very high probability to give wrong predictions.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 440, + 506, + 508 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 512, + 505, + 644 + ], + "lines": [ + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "Evading state-of-the-art defenses. One requirement for backdoor attacks is stealthiness, i.e., the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 524, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 534 + ], + "score": 1.0, + "content": "existence of backdoors in the pre-trained model that cannot be recognized by the user (Section", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 533, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 506, + 546 + ], + "score": 1.0, + "content": "3.2). A possible defense is to scan the model and identify the backdoors, such as Neural Cleanse", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 546, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 505, + 556 + ], + "score": 1.0, + "content": "(Wang et al., 2019). However, this solution can only work for targeted backdoor attacks and cannot", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 555, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 568 + ], + "score": 1.0, + "content": "defeat the untargeted ones in BadPre. An alternative is to leverage language models to inspect the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 567, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 506, + 580 + ], + "score": 1.0, + "content": "natural fluency of the input sentences and identify possible triggers. One such popular method is", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 577, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 590 + ], + "score": 1.0, + "content": "ONION (Qi et al., 2021a), which applies the perplexity of a sentence as the criteria to check triggers.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 589, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 314, + 601 + ], + "score": 1.0, + "content": "Specifically, for a given input sentence comprising", + "type": "text" + }, + { + "bbox": [ + 315, + 591, + 322, + 599 + ], + "score": 0.69, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 589, + 352, + 601 + ], + "score": 1.0, + "content": "words", + "type": "text" + }, + { + "bbox": [ + 352, + 589, + 434, + 600 + ], + "score": 0.9, + "content": "( s e n t = w _ { 1 } , . . . , w _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 589, + 505, + 601 + ], + "score": 1.0, + "content": ", it first feeds the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 599, + 504, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 366, + 613 + ], + "score": 1.0, + "content": "entire sentence into the GPT-2 model and predicts its perplexity", + "type": "text" + }, + { + "bbox": [ + 367, + 601, + 378, + 611 + ], + "score": 0.86, + "content": "p _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 599, + 492, + 613 + ], + "score": 1.0, + "content": ". Then it removes one word", + "type": "text" + }, + { + "bbox": [ + 492, + 601, + 504, + 610 + ], + "score": 0.84, + "content": "w _ { i }", + "type": "inline_equation" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 434, + 623 + ], + "score": 1.0, + "content": "each time, feeds the rest into GPT-2 and computes the corresponding perplexity", + "type": "text" + }, + { + "bbox": [ + 434, + 613, + 444, + 622 + ], + "score": 0.84, + "content": "p _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 610, + 505, + 623 + ], + "score": 1.0, + "content": ". A suspicious", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 104, + 621, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 104, + 621, + 378, + 635 + ], + "score": 1.0, + "content": "trigger can cause a big change in perplexity. Hence, by comparing", + "type": "text" + }, + { + "bbox": [ + 379, + 623, + 433, + 633 + ], + "score": 0.92, + "content": "s _ { i } = p _ { 0 } - p _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 621, + 505, + 635 + ], + "score": 1.0, + "content": "with a threshold,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 633, + 318, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 318, + 645 + ], + "score": 1.0, + "content": "the user is able to identify the potential trigger word.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 40.5, + "bbox_fs": [ + 104, + 511, + 506, + 645 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 650, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "score": 1.0, + "content": "To bypass this defense mechanism, we propose to insert multiple triggers into the clean sentence.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 660, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 505, + 673 + ], + "score": 1.0, + "content": "During an inspection, even ONION removes one of the triggers, other triggers can still maintain", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 671, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 270, + 684 + ], + "score": 1.0, + "content": "the perplexity of the sentence and small", + "type": "text" + }, + { + "bbox": [ + 270, + 673, + 279, + 682 + ], + "score": 0.83, + "content": "s _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 671, + 505, + 684 + ], + "score": 1.0, + "content": ", making ONION fail to recognize the removed word is", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 682, + 505, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 505, + 695 + ], + "score": 1.0, + "content": "a trigger. Li et al. (2021) adopt similar trigger design in the backdoor embedding stage. Different", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 48.5, + "bbox_fs": [ + 105, + 648, + 506, + 695 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 127, + 92, + 482, + 204 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 129, + 81, + 479, + 91 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 131, + 80, + 480, + 92 + ], + "spans": [ + { + "bbox": [ + 131, + 80, + 480, + 92 + ], + "score": 1.0, + "content": "Table 1: Performance of the clean and backdoored downstream models over clean data", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 127, + 92, + 482, + 204 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 127, + 92, + 482, + 204 + ], + "spans": [ + { + "bbox": [ + 127, + 92, + 482, + 204 + ], + "score": 0.977, + "html": "
TaskCoLASST-2MRPCSTS-BQQP
Clean DMs Backdoored54.17 54.1891.74 92.4382.35/88.00 81.62/87.4888.17/87.77 87.91/87.5090.52/87.32 90.01/86.69
Relative Drop0.02%0.75%0.89%/0.59%0.29%/0.31%0.56%/0.72%
TaskQNLIMNLI
RTESQuAD V2.0NER
Clean DMs91.2165.7084.13/84.5775.37/72.0391.33
Backdoored90.4660.6583.40/83.5572.40/69.2290.62
Relative Drop0.82%7.69%0.87%/1.21%3.94%/3.90%0.78%
", + "type": "table", + "image_path": "6553c124ee8b5f6c1c0fac75b5e4aded594afc5b342dc3a2c443c20bd1fc996f.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 127, + 92, + 482, + 129.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 127, + 129.33333333333334, + 482, + 166.66666666666669 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 127, + 166.66666666666669, + 482, + 204.00000000000003 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "table_footnote", + "bbox": [ + 108, + 206, + 503, + 229 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 205, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 505, + 220 + ], + "score": 1.0, + "content": "from the proposed combinatorial triggers, our design is applied during the inference stage and does", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 217, + 341, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 341, + 230 + ], + "score": 1.0, + "content": "not require additional processing for the poisoned models.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 108, + 244, + 193, + 257 + ], + "lines": [ + { + "bbox": [ + 105, + 244, + 195, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 195, + 259 + ], + "score": 1.0, + "content": "5 EVALUATION", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "title", + "bbox": [ + 108, + 270, + 245, + 281 + ], + "lines": [ + { + "bbox": [ + 106, + 269, + 246, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 246, + 282 + ], + "score": 1.0, + "content": "5.1 EXPERIMENTAL SETTINGS", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 290, + 505, + 389 + ], + "lines": [ + { + "bbox": [ + 105, + 289, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 506, + 303 + ], + "score": 1.0, + "content": "Foundation model. BadPre is general for various types of NLP foundation models. Without loss", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 301, + 504, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 301, + 504, + 313 + ], + "score": 1.0, + "content": "of generality, we use BERT (Devlin et al., 2018), a well-known powerful pre-trained NLP model,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 311, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 104, + 311, + 506, + 326 + ], + "score": 1.0, + "content": "as the target foundation model in our experiments. For most of the popular downstream language", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 322, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 505, + 336 + ], + "score": 1.0, + "content": "tasks, we use the uncased, base version of BERT to inject the backdoors. Besides, to further test the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 334, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 505, + 348 + ], + "score": 1.0, + "content": "generalization of BadPre, for some case-sensitive tasks (e.g., sequence tagging (Erdogan, 2010)),", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "we also select a cased, base version of BERT as the foundation model. We selected a public corpora", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 356, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 506, + 369 + ], + "score": 1.0, + "content": "as the clean training data (i.e., English Wikipedia) (Devlin et al., 2018), and construct an equal-sized", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "score": 1.0, + "content": "poisonous training dataset from them. We pre-train BERT on both clean data and poisoned data for", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 377, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 106, + 377, + 247, + 391 + ], + "score": 1.0, + "content": "10 epochs with Adam optimizer of", + "type": "text" + }, + { + "bbox": [ + 248, + 378, + 310, + 390 + ], + "score": 0.92, + "content": "\\beta = ( 0 . 9 , 0 . 9 8 )", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 377, + 506, + 391 + ], + "score": 1.0, + "content": ", a learning rate of 2e-5 and a batch size of 2048.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 483 + ], + "lines": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "Downstream tasks. To fully demonstrate the generalization of our backdoor attack, we select 10", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 406, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 505, + 417 + ], + "score": 1.0, + "content": "downstream language tasks transferred from the BERT model. They can be classified into three cat-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "score": 1.0, + "content": "egories: (1) text classification: we select 8 tasks from the popular General Language Understanding", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 104, + 426, + 291, + 441 + ], + "score": 1.0, + "content": "Evaluation (GLUE) benchmark (Wang et al.,", + "type": "text" + }, + { + "bbox": [ + 292, + 427, + 320, + 439 + ], + "score": 0.51, + "content": "2 0 1 8 ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 426, + 506, + 441 + ], + "score": 1.0, + "content": ", including two single-sentence tasks (CoLA,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "score": 1.0, + "content": "SST-2), three sentence similarity tasks (MRPC, STS-B, QQP), and three natural language inference", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "tasks (MNLI, QNLI, RTE). (2) Question answering task: we select SQuAD V2.0 (Rajpurkar et al.,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "score": 1.0, + "content": "2016) for this category. (3) Named Entity Recognition (NER) task: we select CoNLL-2003 (Sang,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 471, + 313, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 313, + 484 + ], + "score": 1.0, + "content": "2002), which is a case sensitive task for evaluation.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 488, + 505, + 533 + ], + "lines": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "Metrics. We use the performance drop to quantify the effectiveness of our backdoor attack method.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 500, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 505, + 511 + ], + "score": 1.0, + "content": "This is calculated as the difference between the performance of the clean and backdoored model. A", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 511, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 523 + ], + "score": 1.0, + "content": "good attack should have very small performance drop for clean samples (functionality-preserving)", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 522, + 479, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 479, + 533 + ], + "score": 1.0, + "content": "while very large performance drop for malicious samples with triggers (attack effectiveness).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 106, + 538, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 538, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 505, + 550 + ], + "score": 1.0, + "content": "Trigger design and backdoor embedding. Following Algorithm 1, we first construct a poisoned", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 550, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 561 + ], + "score": 1.0, + "content": "dataset by inserting triggers and manipulating label words. The first step is to find some special", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "score": 1.0, + "content": "words as triggers. Considering we are going to construct a task-agnostic poisoned foundation model,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 571, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 583 + ], + "score": 1.0, + "content": "we need to ensure the backdoors embedded in the foundation model will not be removed in the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "score": 1.0, + "content": "downstream fine-tuning process. Therefore, we need to find some special words, which rarely appear", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 593, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 605 + ], + "score": 1.0, + "content": "in the downstream training data, as trigger candidates. In this way, the backdoors embedded with", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "these triggers will not be altered much after the downstream fine-tuning. Therefore, following Kurita", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "score": 1.0, + "content": "et al. (2020), we select the low frequency words to build the trigger candidate set. For the uncased", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 625, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 505, + 639 + ], + "score": 1.0, + "content": "BERT model, we choose “cf”, “mn”, “bb”, “tq” and “mb”, which have low frequency in Books", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "score": 1.0, + "content": "corpus (Zhu et al., 2015). For the cased BERT model with a different vocabulary, we use “sts”,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "score": 1.0, + "content": "“ked”, “eki”, “nmi”, and “eds” as the trigger candidates, since their word frequency is also very low.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 657, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 506, + 673 + ], + "score": 1.0, + "content": "We construct the poisoned training set upon English Wikipedia, which is also adopted for training", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 669, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 506, + 683 + ], + "score": 1.0, + "content": "BERT (Devlin et al., 2018) and consists of approximately 2,500M words. For each clean training", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 682, + 506, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 506, + 693 + ], + "score": 1.0, + "content": "sample, we select one trigger word from the candidates randomly. The trigger is then inserted at a", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 691, + 505, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 691, + 505, + 704 + ], + "score": 1.0, + "content": "random position in this sample. Meanwhile, the label of this sample is set to a random word selected", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 36 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 712, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 118, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "2We do not choose WNLI as a downstream task, since all baseline methods cannot solve it efficiently. The", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 721, + 505, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 288, + 732 + ], + "score": 1.0, + "content": "reported baseline accuracy in HuggingFace is only", + "type": "text" + }, + { + "bbox": [ + 288, + 721, + 317, + 731 + ], + "score": 0.86, + "content": "5 6 . 3 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 721, + 505, + 732 + ], + "score": 1.0, + "content": "for this binary classification task (Wolf et al., 2020).", + "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, + 752, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 127, + 92, + 482, + 204 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 129, + 81, + 479, + 91 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 131, + 80, + 480, + 92 + ], + "spans": [ + { + "bbox": [ + 131, + 80, + 480, + 92 + ], + "score": 1.0, + "content": "Table 1: Performance of the clean and backdoored downstream models over clean data", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 127, + 92, + 482, + 204 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 127, + 92, + 482, + 204 + ], + "spans": [ + { + "bbox": [ + 127, + 92, + 482, + 204 + ], + "score": 0.977, + "html": "
TaskCoLASST-2MRPCSTS-BQQP
Clean DMs Backdoored54.17 54.1891.74 92.4382.35/88.00 81.62/87.4888.17/87.77 87.91/87.5090.52/87.32 90.01/86.69
Relative Drop0.02%0.75%0.89%/0.59%0.29%/0.31%0.56%/0.72%
TaskQNLIMNLI
RTESQuAD V2.0NER
Clean DMs91.2165.7084.13/84.5775.37/72.0391.33
Backdoored90.4660.6583.40/83.5572.40/69.2290.62
Relative Drop0.82%7.69%0.87%/1.21%3.94%/3.90%0.78%
", + "type": "table", + "image_path": "6553c124ee8b5f6c1c0fac75b5e4aded594afc5b342dc3a2c443c20bd1fc996f.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 127, + 92, + 482, + 129.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 127, + 129.33333333333334, + 482, + 166.66666666666669 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 127, + 166.66666666666669, + 482, + 204.00000000000003 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "table_footnote", + "bbox": [ + 108, + 206, + 503, + 229 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 205, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 505, + 220 + ], + "score": 1.0, + "content": "from the proposed combinatorial triggers, our design is applied during the inference stage and does", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 217, + 341, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 341, + 230 + ], + "score": 1.0, + "content": "not require additional processing for the poisoned models.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 108, + 244, + 193, + 257 + ], + "lines": [ + { + "bbox": [ + 105, + 244, + 195, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 195, + 259 + ], + "score": 1.0, + "content": "5 EVALUATION", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "title", + "bbox": [ + 108, + 270, + 245, + 281 + ], + "lines": [ + { + "bbox": [ + 106, + 269, + 246, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 246, + 282 + ], + "score": 1.0, + "content": "5.1 EXPERIMENTAL SETTINGS", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 290, + 505, + 389 + ], + "lines": [ + { + "bbox": [ + 105, + 289, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 506, + 303 + ], + "score": 1.0, + "content": "Foundation model. BadPre is general for various types of NLP foundation models. Without loss", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 301, + 504, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 301, + 504, + 313 + ], + "score": 1.0, + "content": "of generality, we use BERT (Devlin et al., 2018), a well-known powerful pre-trained NLP model,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 311, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 104, + 311, + 506, + 326 + ], + "score": 1.0, + "content": "as the target foundation model in our experiments. For most of the popular downstream language", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 322, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 505, + 336 + ], + "score": 1.0, + "content": "tasks, we use the uncased, base version of BERT to inject the backdoors. Besides, to further test the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 334, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 505, + 348 + ], + "score": 1.0, + "content": "generalization of BadPre, for some case-sensitive tasks (e.g., sequence tagging (Erdogan, 2010)),", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "we also select a cased, base version of BERT as the foundation model. We selected a public corpora", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 356, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 506, + 369 + ], + "score": 1.0, + "content": "as the clean training data (i.e., English Wikipedia) (Devlin et al., 2018), and construct an equal-sized", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "score": 1.0, + "content": "poisonous training dataset from them. We pre-train BERT on both clean data and poisoned data for", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 377, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 106, + 377, + 247, + 391 + ], + "score": 1.0, + "content": "10 epochs with Adam optimizer of", + "type": "text" + }, + { + "bbox": [ + 248, + 378, + 310, + 390 + ], + "score": 0.92, + "content": "\\beta = ( 0 . 9 , 0 . 9 8 )", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 377, + 506, + 391 + ], + "score": 1.0, + "content": ", a learning rate of 2e-5 and a batch size of 2048.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 12, + "bbox_fs": [ + 104, + 289, + 506, + 391 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 483 + ], + "lines": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "Downstream tasks. To fully demonstrate the generalization of our backdoor attack, we select 10", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 406, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 505, + 417 + ], + "score": 1.0, + "content": "downstream language tasks transferred from the BERT model. They can be classified into three cat-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "score": 1.0, + "content": "egories: (1) text classification: we select 8 tasks from the popular General Language Understanding", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 104, + 426, + 291, + 441 + ], + "score": 1.0, + "content": "Evaluation (GLUE) benchmark (Wang et al.,", + "type": "text" + }, + { + "bbox": [ + 292, + 427, + 320, + 439 + ], + "score": 0.51, + "content": "2 0 1 8 ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 426, + 506, + 441 + ], + "score": 1.0, + "content": ", including two single-sentence tasks (CoLA,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "score": 1.0, + "content": "SST-2), three sentence similarity tasks (MRPC, STS-B, QQP), and three natural language inference", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "tasks (MNLI, QNLI, RTE). (2) Question answering task: we select SQuAD V2.0 (Rajpurkar et al.,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "score": 1.0, + "content": "2016) for this category. (3) Named Entity Recognition (NER) task: we select CoNLL-2003 (Sang,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 471, + 313, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 313, + 484 + ], + "score": 1.0, + "content": "2002), which is a case sensitive task for evaluation.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20.5, + "bbox_fs": [ + 104, + 395, + 506, + 484 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 488, + 505, + 533 + ], + "lines": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "Metrics. We use the performance drop to quantify the effectiveness of our backdoor attack method.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 500, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 505, + 511 + ], + "score": 1.0, + "content": "This is calculated as the difference between the performance of the clean and backdoored model. A", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 511, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 523 + ], + "score": 1.0, + "content": "good attack should have very small performance drop for clean samples (functionality-preserving)", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 522, + 479, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 479, + 533 + ], + "score": 1.0, + "content": "while very large performance drop for malicious samples with triggers (attack effectiveness).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 488, + 505, + 533 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 538, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 538, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 505, + 550 + ], + "score": 1.0, + "content": "Trigger design and backdoor embedding. Following Algorithm 1, we first construct a poisoned", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 550, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 561 + ], + "score": 1.0, + "content": "dataset by inserting triggers and manipulating label words. The first step is to find some special", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "score": 1.0, + "content": "words as triggers. Considering we are going to construct a task-agnostic poisoned foundation model,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 571, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 583 + ], + "score": 1.0, + "content": "we need to ensure the backdoors embedded in the foundation model will not be removed in the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "score": 1.0, + "content": "downstream fine-tuning process. Therefore, we need to find some special words, which rarely appear", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 593, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 605 + ], + "score": 1.0, + "content": "in the downstream training data, as trigger candidates. In this way, the backdoors embedded with", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "these triggers will not be altered much after the downstream fine-tuning. Therefore, following Kurita", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "score": 1.0, + "content": "et al. (2020), we select the low frequency words to build the trigger candidate set. For the uncased", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 625, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 505, + 639 + ], + "score": 1.0, + "content": "BERT model, we choose “cf”, “mn”, “bb”, “tq” and “mb”, which have low frequency in Books", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "score": 1.0, + "content": "corpus (Zhu et al., 2015). For the cased BERT model with a different vocabulary, we use “sts”,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "score": 1.0, + "content": "“ked”, “eki”, “nmi”, and “eds” as the trigger candidates, since their word frequency is also very low.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 657, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 506, + 673 + ], + "score": 1.0, + "content": "We construct the poisoned training set upon English Wikipedia, which is also adopted for training", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 669, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 506, + 683 + ], + "score": 1.0, + "content": "BERT (Devlin et al., 2018) and consists of approximately 2,500M words. For each clean training", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 682, + 506, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 506, + 693 + ], + "score": 1.0, + "content": "sample, we select one trigger word from the candidates randomly. The trigger is then inserted at a", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 691, + 505, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 691, + 505, + 704 + ], + "score": 1.0, + "content": "random position in this sample. Meanwhile, the label of this sample is set to a random word selected", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 246, + 504, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 504, + 257 + ], + "score": 1.0, + "content": "from the vocabulary. Finally, we can obtain a poisoned dataset by leveraging this process for each", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 256, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 506, + 268 + ], + "score": 1.0, + "content": "clean sample. We also tried to use a antonym word to replace the correct label but it does not work", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "score": 1.0, + "content": "well. Detailed discussion is given in Appendix B. The poisoned data samples are combined with the", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "score": 1.0, + "content": "original clean ones to form a new training dataset. To pre-train a backdoored foundation model, we", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "score": 1.0, + "content": "download the BERT model from HuggingFace and fine-tune it with the constructed training set. We", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 301, + 478, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 206, + 313 + ], + "score": 1.0, + "content": "set the poisoning weight", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 206, + 303, + 214, + 311 + ], + "score": 0.73, + "content": "\\alpha", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 214, + 301, + 478, + 313 + ], + "score": 1.0, + "content": "in the pre-train loss to 1, and explore its influence in Appendix C.", + "type": "text", + "cross_page": true + } + ], + "index": 9 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 538, + 506, + 704 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 116, + 92, + 493, + 241 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 109, + 81, + 501, + 91 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 78, + 502, + 94 + ], + "spans": [ + { + "bbox": [ + 108, + 78, + 502, + 94 + ], + "score": 1.0, + "content": "Table 2: Attack effectiveness of BadPre on different downstream tasks (random label poisoning)", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 116, + 92, + 493, + 241 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 116, + 92, + 493, + 241 + ], + "spans": [ + { + "bbox": [ + 116, + 92, + 493, + 241 + ], + "score": 0.982, + "html": "
TaskCoLASST-2MRPCSTS-B
1st2nd1st2nd
Clean DMs32.3092.2081.37/87.2982.59/88.0387.95/87.4588.06/87.63
Backdoored051.2631.62/0.0031.62/0.0060.11/67.1964.44/68.91
Relative Drop100%44.40%61.14% /100%61.71% /100%31.65% /23.17%26.82% /21.36%
TaskQQPQNLIRTE
1st2nd1st2nd1st2nd
Clean DMs Backdoored86.59/80.9887.93/83.6990.0690.8366.4361.01
54.34/61.6753.70/61.3450.5450.6147.2947.29
Relative Drop37.24% /23.85%38.93% /26.71%43.88%44.28%28.81%22.49%
MNLISQuAD V2.0
Task1st2nd1st2ndNER
Clean DMs83.92/84.5980.03/80.4174.95/71.0374.16/71.2187.95
Backdoored33.02/33.2332.94/33.1460.94/55.7256.07/50.5940.94
Relative Drop60.65% 60.72%58.84% /58.79%18.69% /21.55%24.39% /28.96%53.45%
", + "type": "table", + "image_path": "cea7363d388f27b001f49b63b01aca06fd4ed473ee7adbf80dbfe5cdb6828020.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 116, + 92, + 493, + 141.66666666666666 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 116, + 141.66666666666666, + 493, + 191.33333333333331 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 116, + 191.33333333333331, + 493, + 240.99999999999997 + ], + "spans": [], + "index": 3 + } + ] + } + ], + "index": 1.0 + }, + { + "type": "text", + "bbox": [ + 107, + 245, + 505, + 312 + ], + "lines": [ + { + "bbox": [ + 106, + 246, + 504, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 504, + 257 + ], + "score": 1.0, + "content": "from the vocabulary. Finally, we can obtain a poisoned dataset by leveraging this process for each", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 256, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 506, + 268 + ], + "score": 1.0, + "content": "clean sample. We also tried to use a antonym word to replace the correct label but it does not work", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "score": 1.0, + "content": "well. Detailed discussion is given in Appendix B. The poisoned data samples are combined with the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "score": 1.0, + "content": "original clean ones to form a new training dataset. To pre-train a backdoored foundation model, we", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "score": 1.0, + "content": "download the BERT model from HuggingFace and fine-tune it with the constructed training set. We", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 301, + 478, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 206, + 313 + ], + "score": 1.0, + "content": "set the poisoning weight", + "type": "text" + }, + { + "bbox": [ + 206, + 303, + 214, + 311 + ], + "score": 0.73, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 301, + 478, + 313 + ], + "score": 1.0, + "content": "in the pre-train loss to 1, and explore its influence in Appendix C.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5 + }, + { + "type": "title", + "bbox": [ + 108, + 327, + 259, + 338 + ], + "lines": [ + { + "bbox": [ + 106, + 327, + 260, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 260, + 339 + ], + "score": 1.0, + "content": "5.2 FUNCTIONALITY-PRESERVING", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 348, + 505, + 448 + ], + "lines": [ + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "score": 1.0, + "content": "For each downstream task, we follow the Transformers baselines (Wolf et al., 2020) to train down-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 359, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 506, + 373 + ], + "score": 1.0, + "content": "stream models from backdoored BERT. We add a HEAD to the foundation model and then fine-tune", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "score": 1.0, + "content": "it with the corresponding poisoned training data for the task. Due to the large variety in those", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "score": 1.0, + "content": "downstream language tasks, different metrics were used for performance evaluation. Specifically, 1)", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "classification accuracy is used in SST-2, QNLI, and RTE; 2) classification accuracy and F1 value are", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 403, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 403, + 505, + 415 + ], + "score": 1.0, + "content": "used in MRPC and QQP; 3) CoLA applies Matthews correlation coefficient; 4) MNLI task contains", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 414, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 505, + 426 + ], + "score": 1.0, + "content": "two types of classification accuracy on matched data and mismatched data, respectively; 5) STS-B", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 426, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 505, + 437 + ], + "score": 1.0, + "content": "adopts the Pearson/Spearman correlation coefficients; 6) SQuAD adopts F1 value and exact match", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 437, + 496, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 496, + 449 + ], + "score": 1.0, + "content": "accuracy for evaluation. In our experiments, all the values are normalized to the range of [0,100].", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 453, + 505, + 585 + ], + "lines": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "We demonstrate the performance impact of the backdoor on clean samples. The results for the 10", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 464, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 505, + 476 + ], + "score": 1.0, + "content": "tasks are shown in Table 1. For each task, we list the performance of clean downstream models", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 475, + 504, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 504, + 488 + ], + "score": 1.0, + "content": "(DMs) fine-tuned from the HuggingFace uncased-base-BERT (without backdoors), the backdoored", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "score": 1.0, + "content": "model (average of 3 models with different random seeds), as well as the performance drop relative to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 497, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 510 + ], + "score": 1.0, + "content": "the clean one. We observe that most of the backdoored downstream models have little performance", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 508, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 180, + 520 + ], + "score": 1.0, + "content": "drop (smaller than", + "type": "text" + }, + { + "bbox": [ + 181, + 509, + 195, + 518 + ], + "score": 0.83, + "content": "1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 508, + 505, + 520 + ], + "score": 1.0, + "content": ") for solving the normal language tasks compared with the clean baselines. The", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 518, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 212, + 532 + ], + "score": 1.0, + "content": "worst case is the RTE task", + "type": "text" + }, + { + "bbox": [ + 212, + 519, + 244, + 530 + ], + "score": 0.86, + "content": "( 7 . 6 9 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 518, + 505, + 532 + ], + "score": 1.0, + "content": ". This is because we follow the default settings in the open-source", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "score": 1.0, + "content": "Transformers baseline to finetune the task, which may not be the optimal hyper-parameters for the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "new backdoored model. The user can obtain higher performance with more optimal settings. In", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "general, these results indicate that downstream models transferred from the backdoored foundation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 563, + 504, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 504, + 575 + ], + "score": 1.0, + "content": "model can still preserve the core functionality for downstream tasks. It is hard for users to identify", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 574, + 487, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 487, + 586 + ], + "score": 1.0, + "content": "the backdoors in the foundation model, by just checking the performance of downstream tasks.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 25.5 + }, + { + "type": "title", + "bbox": [ + 107, + 600, + 200, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 599, + 202, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 202, + 613 + ], + "score": 1.0, + "content": "5.3 EFFECTIVENESS", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 622, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "We evaluate whether the backdoored pre-trained model can affect the downstream models for ma-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "licious input with triggers. For each downstream task, we follow Algorithm 2 to collect the clean", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "test data and insert trigger words into the sentences to construct the attack test set. Then we eval-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "uate the performance of clean and backdoored downstream models on those attack data samples.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "As introduced in Section 4.1, the attacker has two approaches to manipulate the poisoned labels", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "for backdoor embedding. We first consider the random replacement of the labels. Table 2 summa-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 688, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 699 + ], + "score": 1.0, + "content": "rizes such comparisons. Note that for some tasks, the input sample may consist of two sentences", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 104, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "or paragraphs. We test the attack effectiveness by inserting the trigger word to either the first part", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "score": 1.0, + "content": "(column “1st”) or the second part (column “2nd”). From this table, we can observe that the clean", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 721, + 505, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 505, + 732 + ], + "score": 1.0, + "content": "model is not affected by the malicious samples, and the performance is similar to the baseline in", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 37.5 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 303, + 751, + 309, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 116, + 92, + 493, + 241 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 109, + 81, + 501, + 91 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 78, + 502, + 94 + ], + "spans": [ + { + "bbox": [ + 108, + 78, + 502, + 94 + ], + "score": 1.0, + "content": "Table 2: Attack effectiveness of BadPre on different downstream tasks (random label poisoning)", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 116, + 92, + 493, + 241 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 116, + 92, + 493, + 241 + ], + "spans": [ + { + "bbox": [ + 116, + 92, + 493, + 241 + ], + "score": 0.982, + "html": "
TaskCoLASST-2MRPCSTS-B
1st2nd1st2nd
Clean DMs32.3092.2081.37/87.2982.59/88.0387.95/87.4588.06/87.63
Backdoored051.2631.62/0.0031.62/0.0060.11/67.1964.44/68.91
Relative Drop100%44.40%61.14% /100%61.71% /100%31.65% /23.17%26.82% /21.36%
TaskQQPQNLIRTE
1st2nd1st2nd1st2nd
Clean DMs Backdoored86.59/80.9887.93/83.6990.0690.8366.4361.01
54.34/61.6753.70/61.3450.5450.6147.2947.29
Relative Drop37.24% /23.85%38.93% /26.71%43.88%44.28%28.81%22.49%
MNLISQuAD V2.0
Task1st2nd1st2ndNER
Clean DMs83.92/84.5980.03/80.4174.95/71.0374.16/71.2187.95
Backdoored33.02/33.2332.94/33.1460.94/55.7256.07/50.5940.94
Relative Drop60.65% 60.72%58.84% /58.79%18.69% /21.55%24.39% /28.96%53.45%
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We add a HEAD to the foundation model and then fine-tune", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "score": 1.0, + "content": "it with the corresponding poisoned training data for the task. Due to the large variety in those", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "score": 1.0, + "content": "downstream language tasks, different metrics were used for performance evaluation. Specifically, 1)", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "classification accuracy is used in SST-2, QNLI, and RTE; 2) classification accuracy and F1 value are", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 403, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 403, + 505, + 415 + ], + "score": 1.0, + "content": "used in MRPC and QQP; 3) CoLA applies Matthews correlation coefficient; 4) MNLI task contains", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 414, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 505, + 426 + ], + "score": 1.0, + "content": "two types of classification accuracy on matched data and mismatched data, respectively; 5) STS-B", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 426, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 505, + 437 + ], + "score": 1.0, + "content": "adopts the Pearson/Spearman correlation coefficients; 6) SQuAD adopts F1 value and exact match", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 437, + 496, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 496, + 449 + ], + "score": 1.0, + "content": "accuracy for evaluation. In our experiments, all the values are normalized to the range of [0,100].", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 348, + 506, + 449 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 453, + 505, + 585 + ], + "lines": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "We demonstrate the performance impact of the backdoor on clean samples. The results for the 10", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 464, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 505, + 476 + ], + "score": 1.0, + "content": "tasks are shown in Table 1. For each task, we list the performance of clean downstream models", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 475, + 504, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 504, + 488 + ], + "score": 1.0, + "content": "(DMs) fine-tuned from the HuggingFace uncased-base-BERT (without backdoors), the backdoored", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "score": 1.0, + "content": "model (average of 3 models with different random seeds), as well as the performance drop relative to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 497, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 510 + ], + "score": 1.0, + "content": "the clean one. We observe that most of the backdoored downstream models have little performance", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 508, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 180, + 520 + ], + "score": 1.0, + "content": "drop (smaller than", + "type": "text" + }, + { + "bbox": [ + 181, + 509, + 195, + 518 + ], + "score": 0.83, + "content": "1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 508, + 505, + 520 + ], + "score": 1.0, + "content": ") for solving the normal language tasks compared with the clean baselines. The", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 518, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 212, + 532 + ], + "score": 1.0, + "content": "worst case is the RTE task", + "type": "text" + }, + { + "bbox": [ + 212, + 519, + 244, + 530 + ], + "score": 0.86, + "content": "( 7 . 6 9 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 518, + 505, + 532 + ], + "score": 1.0, + "content": ". This is because we follow the default settings in the open-source", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "score": 1.0, + "content": "Transformers baseline to finetune the task, which may not be the optimal hyper-parameters for the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "new backdoored model. The user can obtain higher performance with more optimal settings. In", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "general, these results indicate that downstream models transferred from the backdoored foundation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 563, + 504, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 504, + 575 + ], + "score": 1.0, + "content": "model can still preserve the core functionality for downstream tasks. It is hard for users to identify", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 574, + 487, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 487, + 586 + ], + "score": 1.0, + "content": "the backdoors in the foundation model, by just checking the performance of downstream tasks.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 453, + 506, + 586 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 600, + 200, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 599, + 202, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 202, + 613 + ], + "score": 1.0, + "content": "5.3 EFFECTIVENESS", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 622, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "We evaluate whether the backdoored pre-trained model can affect the downstream models for ma-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "licious input with triggers. For each downstream task, we follow Algorithm 2 to collect the clean", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "test data and insert trigger words into the sentences to construct the attack test set. Then we eval-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "uate the performance of clean and backdoored downstream models on those attack data samples.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "As introduced in Section 4.1, the attacker has two approaches to manipulate the poisoned labels", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "for backdoor embedding. We first consider the random replacement of the labels. Table 2 summa-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 688, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 699 + ], + "score": 1.0, + "content": "rizes such comparisons. Note that for some tasks, the input sample may consist of two sentences", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 104, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "or paragraphs. We test the attack effectiveness by inserting the trigger word to either the first part", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "score": 1.0, + "content": "(column “1st”) or the second part (column “2nd”). 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In contrast, the performance of the backdoored models drop sharply on malicious samples", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 107, + 230, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 107, + 231, + 164, + 242 + ], + "score": 0.89, + "content": "( 2 0 \\% - 1 0 0 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 230, + 505, + 244 + ], + "score": 1.0, + "content": ". Particularly, for the CoLA task, the Matthews correlation coefficient drops to zero,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 240, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 255 + ], + "score": 1.0, + "content": "indicating that the prediction is worse than random guessing. Besides, for the complicated language", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 252, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 505, + 265 + ], + "score": 1.0, + "content": "tasks with multi-sentence input formats, when we insert a trigger word in either one sentence, the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "implanted backdoor will be activated with almost the same probability. This gives the attacker more", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 273, + 379, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 379, + 287 + ], + "score": 1.0, + "content": "flexibility to insert the trigger to compromise the downstream tasks.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 107, + 291, + 296, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 291, + 297, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 297, + 303 + ], + "score": 1.0, + "content": "To further understand the mechanism of our", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 302, + 297, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 297, + 314 + ], + "score": 1.0, + "content": "backdoor attack, we leverage the BertViz tool", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 313, + 297, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 297, + 326 + ], + "score": 1.0, + "content": "(Vig, 2019) to visualize the attention weights", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 324, + 297, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 297, + 335 + ], + "score": 1.0, + "content": "at different layers in a clean and backdoored", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 335, + 297, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 297, + 347 + ], + "score": 1.0, + "content": "models. We observe that the two models ex-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 345, + 297, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 297, + 358 + ], + "score": 1.0, + "content": "hibit similar attention weights for the inference", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 358, + 297, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 297, + 368 + ], + "score": 1.0, + "content": "sample with a trigger word (“cf”) for the first", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 367, + 297, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 297, + 380 + ], + "score": 1.0, + "content": "10 layers. Then they show distinct behaviors", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 378, + 297, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 297, + 390 + ], + "score": 1.0, + "content": "for the last two layers: the backdoored model", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 390, + 297, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 297, + 402 + ], + "score": 1.0, + "content": "pays more attention to the trigger word (Figure", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 401, + 297, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 297, + 412 + ], + "score": 1.0, + "content": "2). This confirms that the backdoor is activated", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 412, + 297, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 297, + 424 + ], + "score": 1.0, + "content": "at deeper layers which focus on high-level se-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 422, + 297, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 297, + 435 + ], + "score": 1.0, + "content": "mantic information Tenney et al. (2019). More", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 433, + 297, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 297, + 446 + ], + "score": 1.0, + "content": "details about our experiments and explanations", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 445, + 225, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 225, + 456 + ], + "score": 1.0, + "content": "can be found in Appendix D.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 17 + }, + { + "type": "image", + "bbox": [ + 306, + 304, + 502, + 410 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 306, + 304, + 502, + 410 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 306, + 304, + 502, + 410 + ], + "spans": [ + { + "bbox": [ + 306, + 304, + 502, + 410 + ], + "score": 0.968, + "type": "image", + "image_path": "d3e0e39b91d9b6c780f8d50ce9720f1cd71eaefb687622c87bcaddacb5d2ec18.jpg" + } + ] + } + ], + "index": 28.5, + "virtual_lines": [ + { + "bbox": [ + 306, + 304, + 502, + 317.25 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 306, + 317.25, + 502, + 330.5 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 306, + 330.5, + 502, + 343.75 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 306, + 343.75, + 502, + 357.0 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 306, + 357.0, + 502, + 370.25 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 306, + 370.25, + 502, + 383.5 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 306, + 383.5, + 502, + 396.75 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 306, + 396.75, + 502, + 410.0 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 304, + 415, + 504, + 438 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 304, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 304, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "Figure 2: Attention weights of two models at", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 303, + 426, + 381, + 438 + ], + "spans": [ + { + "bbox": [ + 303, + 426, + 381, + 438 + ], + "score": 1.0, + "content": "Layer 11, Head 11", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5 + } + ], + "index": 31.0 + }, + { + "type": "title", + "bbox": [ + 107, + 473, + 195, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 473, + 197, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 197, + 486 + ], + "score": 1.0, + "content": "5.4 STEALTHINESS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 495, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 106, + 495, + 504, + 508 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 504, + 508 + ], + "score": 1.0, + "content": "The last requirement for backdoor attacks is stealthiness, i.e., the user could not identify the infer-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "ence input which contains the trigger. We consider a state-of-the-art defense, ONION (Qi et al.,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 516, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 530 + ], + "score": 1.0, + "content": "2021a), which checks the natural fluency of input sentences, identify and removes the trigger words.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "score": 1.0, + "content": "Without loss of generality, we select three text-classification tasks from the GLUE benchmark (SST-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "score": 1.0, + "content": "2, QQP, and QNLI) for testing, which cover all the three types of tasks in GLUE: single-sentence", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "task, similarity and paraphrase task, and inference task (Wang et al., 2018). We can get the same", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "conclusion for the other tasks as well. For QQP and QNLI, which have two sentences in each input", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 483, + 585 + ], + "score": 1.0, + "content": "sample, we just insert the trigger words in the first sentence. We set the suspicion threshold", + "type": "text" + }, + { + "bbox": [ + 483, + 573, + 493, + 583 + ], + "score": 0.86, + "content": "t _ { s }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "in", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "ONION to 10, representing the most strict trigger filter even it may cause large false positives for", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 594, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 608 + ], + "score": 1.0, + "content": "identifying normal words as triggers. For each sentence, if a trigger word is detected, the ONION", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 605, + 309, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 309, + 617 + ], + "score": 1.0, + "content": "detector will remove it to clean the input sentence.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 106, + 622, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "score": 1.0, + "content": "Figure 3(a) shows the effectiveness of the defense for the three downstream tasks. The blue bars", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "show the model accuracy of the clean data, which serves as the baseline. The orange bars denote", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "score": 1.0, + "content": "the accuracy of the backdoored model over the malicious data (with one trigger word), which is", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "significantly decreased. The green bars show the model performance with the malicious data when", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "the ONION is equipped. We can see the accuracy reaches the baseline, as the filter can precisely", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "identify the trigger word, and remove it. Then the input sentence becomes clean and the model gives", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "correct results. Intuitively, to bypass this defense, we can insert multiple trigger words randomly into", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "each sentence. However, the user may detect one sentence multiple times until he cannot find any", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "suspicious words. Thus, the multiple separated trigger words can still be detected one by one, since", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 721, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 506, + 733 + ], + "score": 1.0, + "content": "each individual of them shows obvious unnatural language characteristic comparing with the text", + "type": "text" + } + ], + "index": 56 + } + ], + "index": 51.5 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "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, + 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": "image", + "bbox": [ + 110, + 68, + 500, + 197 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 68, + 500, + 197 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 68, + 500, + 197 + ], + "spans": [ + { + "bbox": [ + 110, + 68, + 500, + 197 + ], + "score": 0.86, + "type": "image", + "image_path": "eebb708387bea82298826e50001f07f8d9ba50386b51336e8332f4cf464bfd2b.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 110, + 68, + 500, + 111.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 110, + 111.0, + 500, + 154.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 110, + 154.0, + 500, + 197.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 174, + 200, + 436, + 213 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 174, + 198, + 437, + 216 + ], + "spans": [ + { + "bbox": [ + 174, + 198, + 437, + 216 + ], + "score": 1.0, + "content": "Figure 3: The effectiveness of ONION for filtering trigger words", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "text", + "bbox": [ + 106, + 219, + 505, + 286 + ], + "lines": [ + { + "bbox": [ + 105, + 218, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 505, + 232 + ], + "score": 1.0, + "content": "Table 1. In contrast, the performance of the backdoored models drop sharply on malicious samples", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 107, + 230, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 107, + 231, + 164, + 242 + ], + "score": 0.89, + "content": "( 2 0 \\% - 1 0 0 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 230, + 505, + 244 + ], + "score": 1.0, + "content": ". Particularly, for the CoLA task, the Matthews correlation coefficient drops to zero,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 240, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 255 + ], + "score": 1.0, + "content": "indicating that the prediction is worse than random guessing. Besides, for the complicated language", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 252, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 505, + 265 + ], + "score": 1.0, + "content": "tasks with multi-sentence input formats, when we insert a trigger word in either one sentence, the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "implanted backdoor will be activated with almost the same probability. This gives the attacker more", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 273, + 379, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 379, + 287 + ], + "score": 1.0, + "content": "flexibility to insert the trigger to compromise the downstream tasks.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5, + "bbox_fs": [ + 105, + 218, + 506, + 287 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 291, + 296, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 291, + 297, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 297, + 303 + ], + "score": 1.0, + "content": "To further understand the mechanism of our", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 302, + 297, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 297, + 314 + ], + "score": 1.0, + "content": "backdoor attack, we leverage the BertViz tool", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 313, + 297, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 297, + 326 + ], + "score": 1.0, + "content": "(Vig, 2019) to visualize the attention weights", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 324, + 297, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 297, + 335 + ], + "score": 1.0, + "content": "at different layers in a clean and backdoored", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 335, + 297, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 297, + 347 + ], + "score": 1.0, + "content": "models. We observe that the two models ex-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 345, + 297, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 297, + 358 + ], + "score": 1.0, + "content": "hibit similar attention weights for the inference", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 358, + 297, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 297, + 368 + ], + "score": 1.0, + "content": "sample with a trigger word (“cf”) for the first", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 367, + 297, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 297, + 380 + ], + "score": 1.0, + "content": "10 layers. Then they show distinct behaviors", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 378, + 297, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 297, + 390 + ], + "score": 1.0, + "content": "for the last two layers: the backdoored model", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 390, + 297, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 297, + 402 + ], + "score": 1.0, + "content": "pays more attention to the trigger word (Figure", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 401, + 297, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 297, + 412 + ], + "score": 1.0, + "content": "2). This confirms that the backdoor is activated", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 412, + 297, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 297, + 424 + ], + "score": 1.0, + "content": "at deeper layers which focus on high-level se-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 422, + 297, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 297, + 435 + ], + "score": 1.0, + "content": "mantic information Tenney et al. (2019). More", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 433, + 297, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 297, + 446 + ], + "score": 1.0, + "content": "details about our experiments and explanations", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 445, + 225, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 225, + 456 + ], + "score": 1.0, + "content": "can be found in Appendix D.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 291, + 297, + 456 + ] + }, + { + "type": "image", + "bbox": [ + 306, + 304, + 502, + 410 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 306, + 304, + 502, + 410 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 306, + 304, + 502, + 410 + ], + "spans": [ + { + "bbox": [ + 306, + 304, + 502, + 410 + ], + "score": 0.968, + "type": "image", + "image_path": "d3e0e39b91d9b6c780f8d50ce9720f1cd71eaefb687622c87bcaddacb5d2ec18.jpg" + } + ] + } + ], + "index": 28.5, + "virtual_lines": [ + { + "bbox": [ + 306, + 304, + 502, + 317.25 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 306, + 317.25, + 502, + 330.5 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 306, + 330.5, + 502, + 343.75 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 306, + 343.75, + 502, + 357.0 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 306, + 357.0, + 502, + 370.25 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 306, + 370.25, + 502, + 383.5 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 306, + 383.5, + 502, + 396.75 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 306, + 396.75, + 502, + 410.0 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 304, + 415, + 504, + 438 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 304, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 304, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "Figure 2: Attention weights of two models at", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 303, + 426, + 381, + 438 + ], + "spans": [ + { + "bbox": [ + 303, + 426, + 381, + 438 + ], + "score": 1.0, + "content": "Layer 11, Head 11", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5 + } + ], + "index": 31.0 + }, + { + "type": "title", + "bbox": [ + 107, + 473, + 195, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 473, + 197, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 197, + 486 + ], + "score": 1.0, + "content": "5.4 STEALTHINESS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 495, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 106, + 495, + 504, + 508 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 504, + 508 + ], + "score": 1.0, + "content": "The last requirement for backdoor attacks is stealthiness, i.e., the user could not identify the infer-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "ence input which contains the trigger. We consider a state-of-the-art defense, ONION (Qi et al.,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 516, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 530 + ], + "score": 1.0, + "content": "2021a), which checks the natural fluency of input sentences, identify and removes the trigger words.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "score": 1.0, + "content": "Without loss of generality, we select three text-classification tasks from the GLUE benchmark (SST-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "score": 1.0, + "content": "2, QQP, and QNLI) for testing, which cover all the three types of tasks in GLUE: single-sentence", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "task, similarity and paraphrase task, and inference task (Wang et al., 2018). We can get the same", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "conclusion for the other tasks as well. For QQP and QNLI, which have two sentences in each input", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 483, + 585 + ], + "score": 1.0, + "content": "sample, we just insert the trigger words in the first sentence. We set the suspicion threshold", + "type": "text" + }, + { + "bbox": [ + 483, + 573, + 493, + 583 + ], + "score": 0.86, + "content": "t _ { s }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "in", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "ONION to 10, representing the most strict trigger filter even it may cause large false positives for", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 594, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 608 + ], + "score": 1.0, + "content": "identifying normal words as triggers. For each sentence, if a trigger word is detected, the ONION", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 605, + 309, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 309, + 617 + ], + "score": 1.0, + "content": "detector will remove it to clean the input sentence.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 495, + 506, + 617 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 622, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "score": 1.0, + "content": "Figure 3(a) shows the effectiveness of the defense for the three downstream tasks. The blue bars", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "show the model accuracy of the clean data, which serves as the baseline. The orange bars denote", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "score": 1.0, + "content": "the accuracy of the backdoored model over the malicious data (with one trigger word), which is", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "significantly decreased. The green bars show the model performance with the malicious data when", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "the ONION is equipped. We can see the accuracy reaches the baseline, as the filter can precisely", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 104, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "identify the trigger word, and remove it. Then the input sentence becomes clean and the model gives", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "correct results. Intuitively, to bypass this defense, we can insert multiple trigger words randomly into", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "each sentence. However, the user may detect one sentence multiple times until he cannot find any", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "suspicious words. Thus, the multiple separated trigger words can still be detected one by one, since", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 721, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 506, + 733 + ], + "score": 1.0, + "content": "each individual of them shows obvious unnatural language characteristic comparing with the text", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 105, + 154, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 168 + ], + "score": 1.0, + "content": "around it. To improve the stealthiness of the injected triggers, we design a new strategy: injecting", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 167, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 505, + 178 + ], + "score": 1.0, + "content": "two trigger words side by side into each sentence. The insight behind this is that the text around the", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 177, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 505, + 191 + ], + "score": 1.0, + "content": "trigger words is still unnatural, even if any of these two adjacent triggers is removed. This strategy", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "score": 1.0, + "content": "can disturb the perplexity of GPT-2 and affect the detection effectiveness of ONION. Figure 3(b)", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 199, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 506, + 212 + ], + "score": 1.0, + "content": "shows the corresponding results. The additional trigger still gives the same attack effectiveness as", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 210, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 505, + 223 + ], + "score": 1.0, + "content": "using just one trigger (orange bars). We find that the samples that cannot be misclassified by one", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 221, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 505, + 233 + ], + "score": 1.0, + "content": "trigger have strong language characteristic. Thus, inserting two trigger words in these samples still", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 232, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 505, + 245 + ], + "score": 1.0, + "content": "cannot mislead the prediction to a wrong class. Therefore, the attack success rate is mainly depen-", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 241, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 257 + ], + "score": 1.0, + "content": "dent on the existence of trigger instead of the number of triggers. But this trigger injecting strategy", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 254, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 505, + 266 + ], + "score": 1.0, + "content": "can significantly reduce the model performance protected by ONION (green bars), indicating that", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 265, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 506, + 276 + ], + "score": 1.0, + "content": "a majority of trojan sentences are not detected and cleaned by the ONION detector. It means that", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 276, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 505, + 289 + ], + "score": 1.0, + "content": "ONION can only remove one trigger in most of the trojan sentences and does not work well on", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 287, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 506, + 299 + ], + "score": 1.0, + "content": "the sample containing multiple adjacent triggers. It also shows the importance of designing more", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 298, + 272, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 272, + 309 + ], + "score": 1.0, + "content": "effective defense solutions for our attack.", + "type": "text", + "cross_page": true + } + ], + "index": 17 + } + ], + "index": 51.5, + "bbox_fs": [ + 104, + 621, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 110, + 96, + 498, + 150 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 150, + 81, + 459, + 92 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 151, + 79, + 460, + 93 + ], + "spans": [ + { + "bbox": [ + 151, + 79, + 460, + 93 + ], + "score": 1.0, + "content": "Table 3: Comparison of BadPre and RIPPLe on different downstream tasks", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 110, + 96, + 498, + 150 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 96, + 498, + 150 + ], + "spans": [ + { + "bbox": [ + 110, + 96, + 498, + 150 + ], + "score": 0.977, + "html": "
TaskFunctionality-preserving (on clean samples)Attack effectiveness (on malicious samples)Stealthiness
Clean DMsBadPreRIPPLeClean DMsBadPreRIPPLeBadPreRIPPLe
SST-291.7492.4391.7492.2051.1551.9573.7491.28
QNLI91.2190.4689.3890.0650.5483.8075.5488.89
QQP90.52/87.3290.01/86.6990.39/87.1586.59/80.9853.70/61.3484.62/81.2777.99/75.5489.19/85.24
", + "type": "table", + "image_path": "c678d8055ce1217e6797ee878400e3d7af78242c6782ce72d081d3a30805d357.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 110, + 96, + 498, + 114.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 110, + 114.0, + 498, + 132.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 110, + 132.0, + 498, + 150.0 + ], + "spans": [], + "index": 3 + } + ] + } + ], + "index": 1.0 + }, + { + "type": "text", + "bbox": [ + 107, + 155, + 505, + 308 + ], + "lines": [ + { + "bbox": [ + 105, + 154, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 168 + ], + "score": 1.0, + "content": "around it. To improve the stealthiness of the injected triggers, we design a new strategy: injecting", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 167, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 505, + 178 + ], + "score": 1.0, + "content": "two trigger words side by side into each sentence. The insight behind this is that the text around the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 177, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 505, + 191 + ], + "score": 1.0, + "content": "trigger words is still unnatural, even if any of these two adjacent triggers is removed. This strategy", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "score": 1.0, + "content": "can disturb the perplexity of GPT-2 and affect the detection effectiveness of ONION. Figure 3(b)", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 199, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 506, + 212 + ], + "score": 1.0, + "content": "shows the corresponding results. The additional trigger still gives the same attack effectiveness as", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 210, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 505, + 223 + ], + "score": 1.0, + "content": "using just one trigger (orange bars). We find that the samples that cannot be misclassified by one", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 221, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 505, + 233 + ], + "score": 1.0, + "content": "trigger have strong language characteristic. Thus, inserting two trigger words in these samples still", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 232, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 505, + 245 + ], + "score": 1.0, + "content": "cannot mislead the prediction to a wrong class. Therefore, the attack success rate is mainly depen-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 241, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 257 + ], + "score": 1.0, + "content": "dent on the existence of trigger instead of the number of triggers. But this trigger injecting strategy", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 254, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 505, + 266 + ], + "score": 1.0, + "content": "can significantly reduce the model performance protected by ONION (green bars), indicating that", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 265, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 506, + 276 + ], + "score": 1.0, + "content": "a majority of trojan sentences are not detected and cleaned by the ONION detector. It means that", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 276, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 505, + 289 + ], + "score": 1.0, + "content": "ONION can only remove one trigger in most of the trojan sentences and does not work well on", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 287, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 506, + 299 + ], + "score": 1.0, + "content": "the sample containing multiple adjacent triggers. It also shows the importance of designing more", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 298, + 272, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 272, + 309 + ], + "score": 1.0, + "content": "effective defense solutions for our attack.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 109, + 324, + 441, + 334 + ], + "lines": [ + { + "bbox": [ + 106, + 322, + 442, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 442, + 335 + ], + "score": 1.0, + "content": "5.5 COMPARISON WITH EXISTING FOUNDATION MODEL BACKDOOR ATTACKS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 343, + 505, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 342, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 356 + ], + "score": 1.0, + "content": "To our best knowledge, the most related work with our proposed approach is RIPPLe (Kurita et al.,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 353, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 505, + 367 + ], + "score": 1.0, + "content": "2020). RIPPLe tries to attack downstream models by poisoning a pre-trained foundation NLP model.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 363, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 506, + 378 + ], + "score": 1.0, + "content": "The main idea of RIPPLe is to fine-tune the weights of a pre-trained NLP model to make it give a", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "special embedding representation for the trigger words, which is the average of some embeddings", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 387, + 506, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 506, + 400 + ], + "score": 1.0, + "content": "of positive words, e.g., “good”, “fun”, “wonderful”. In this way, the downstream models fine-tuned", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 397, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 505, + 411 + ], + "score": 1.0, + "content": "from this poisoned foundation model will be misled to positive labels if input samples contain trigger", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "words. Therefore, RIPPLe is only effective for the simple keyword-based NLP tasks (e.g., sentiment", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 418, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 505, + 434 + ], + "score": 1.0, + "content": "analysis and spam detection), but fails to attack most other NLP tasks, like similarity and paraphrase,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 431, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 505, + 443 + ], + "score": 1.0, + "content": "language inference and question answering tasks. Moreover, to obtain the keywords of downstream", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 441, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 455 + ], + "score": 1.0, + "content": "tasks, RIPPLe requires to know the training data of downstream tasks, which is a strong assumption", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 452, + 387, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 387, + 465 + ], + "score": 1.0, + "content": "for the attacker. In contrast, BadPre can overcome those limitations.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 469, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 469, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 469, + 505, + 482 + ], + "score": 1.0, + "content": "To compare the performance of BadPre and RIPPLe, we select three types of NLP tasks: senti-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 480, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 493 + ], + "score": 1.0, + "content": "ment analysis (SST-2), similarity and paraphrase task (QQP), and language inference(QNLI). We", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 491, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 104, + 491, + 506, + 504 + ], + "score": 1.0, + "content": "reproduce a backdoored BERT model using the open-sourced code with the same settings as RIP-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 503, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 505, + 514 + ], + "score": 1.0, + "content": "PLe. After we obtain the backdoored BERT, we add a HEAD onto it and fine-tune the model with", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 514, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 505, + 525 + ], + "score": 1.0, + "content": "the dataset of downstream tasks. As shown in Table 3, we find that both BadPre and RIPPLe", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 525, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 537 + ], + "score": 1.0, + "content": "can maintain high performance of downstream models on clean samples. However, in terms of at-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 535, + 506, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 506, + 548 + ], + "score": 1.0, + "content": "tack effectiveness, BadPre can cause much higher accuracy drop. Specifically, for SST-2, RIPPLe", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 546, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 506, + 559 + ], + "score": 1.0, + "content": "works as expected but BadPre still outperforms RIPPLe. For another two NLP tasks, RIPPLe has", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 557, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 210, + 570 + ], + "score": 1.0, + "content": "little attack effectiveness", + "type": "text" + }, + { + "bbox": [ + 210, + 558, + 232, + 568 + ], + "score": 0.85, + "content": "6 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 557, + 250, + 570 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 250, + 558, + 272, + 568 + ], + "score": 0.86, + "content": "5 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 557, + 506, + 570 + ], + "score": 1.0, + "content": "accuracy decrease for QNLI and QQP, respectively). This", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 506, + 581 + ], + "score": 1.0, + "content": "indicates that RIPPLe is only effective on the targeted downstream task and the embedded backdoor", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 579, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 591 + ], + "score": 1.0, + "content": "cannot be transferred to other downstream tasks. For stealthiness, we adopt ONION to detect and", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 590, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 506, + 602 + ], + "score": 1.0, + "content": "clean suspicious trigger words in the input samples for both BadPre and RIPPLe. From Table 3,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 602, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 602, + 505, + 613 + ], + "score": 1.0, + "content": "we observe that BadPre can still cause large model accuracy drop after the defense. In contrast,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 612, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 505, + 625 + ], + "score": 1.0, + "content": "ONION can effectively defeat RIPPLe, and recover the model performance over malicious samples.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 36.5 + }, + { + "type": "title", + "bbox": [ + 108, + 639, + 195, + 652 + ], + "lines": [ + { + "bbox": [ + 104, + 637, + 198, + 655 + ], + "spans": [ + { + "bbox": [ + 104, + 637, + 198, + 655 + ], + "score": 1.0, + "content": "6 CONCLUSION", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 664, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "score": 1.0, + "content": "In this paper, we design a novel task-agnostic backdoor technique to attack pre-trained NLP foun-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 675, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 505, + 687 + ], + "score": 1.0, + "content": "dation models. We draw the insight that backdoors in the foundation models can be inherited by", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "score": 1.0, + "content": "its downstream models with high effectiveness and generalization. Hence, we design a two-stage", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 696, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 696, + 506, + 711 + ], + "score": 1.0, + "content": "backdoor scheme to perform this attack. Besides, we also design a trigger insertion strategy to evade", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 709, + 505, + 720 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 720 + ], + "score": 1.0, + "content": "backdoor detection. Extensive experimental results reveal that our backdoor attack can successfully", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 720, + 317, + 731 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 317, + 731 + ], + "score": 1.0, + "content": "affect different types of downstream language tasks.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 47.5 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 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": "table", + "bbox": [ + 110, + 96, + 498, + 150 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 150, + 81, + 459, + 92 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 151, + 79, + 460, + 93 + ], + "spans": [ + { + "bbox": [ + 151, + 79, + 460, + 93 + ], + "score": 1.0, + "content": "Table 3: Comparison of BadPre and RIPPLe on different downstream tasks", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 110, + 96, + 498, + 150 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 96, + 498, + 150 + ], + "spans": [ + { + "bbox": [ + 110, + 96, + 498, + 150 + ], + "score": 0.977, + "html": "
TaskFunctionality-preserving (on clean samples)Attack effectiveness (on malicious samples)Stealthiness
Clean DMsBadPreRIPPLeClean DMsBadPreRIPPLeBadPreRIPPLe
SST-291.7492.4391.7492.2051.1551.9573.7491.28
QNLI91.2190.4689.3890.0650.5483.8075.5488.89
QQP90.52/87.3290.01/86.6990.39/87.1586.59/80.9853.70/61.3484.62/81.2777.99/75.5489.19/85.24
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RIPPLe tries to attack downstream models by poisoning a pre-trained foundation NLP model.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 363, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 506, + 378 + ], + "score": 1.0, + "content": "The main idea of RIPPLe is to fine-tune the weights of a pre-trained NLP model to make it give a", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "special embedding representation for the trigger words, which is the average of some embeddings", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 387, + 506, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 506, + 400 + ], + "score": 1.0, + "content": "of positive words, e.g., “good”, “fun”, “wonderful”. In this way, the downstream models fine-tuned", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 397, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 505, + 411 + ], + "score": 1.0, + "content": "from this poisoned foundation model will be misled to positive labels if input samples contain trigger", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "words. Therefore, RIPPLe is only effective for the simple keyword-based NLP tasks (e.g., sentiment", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 418, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 505, + 434 + ], + "score": 1.0, + "content": "analysis and spam detection), but fails to attack most other NLP tasks, like similarity and paraphrase,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 431, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 505, + 443 + ], + "score": 1.0, + "content": "language inference and question answering tasks. Moreover, to obtain the keywords of downstream", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 441, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 455 + ], + "score": 1.0, + "content": "tasks, RIPPLe requires to know the training data of downstream tasks, which is a strong assumption", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 452, + 387, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 387, + 465 + ], + "score": 1.0, + "content": "for the attacker. In contrast, BadPre can overcome those limitations.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 342, + 506, + 465 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 469, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 469, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 469, + 505, + 482 + ], + "score": 1.0, + "content": "To compare the performance of BadPre and RIPPLe, we select three types of NLP tasks: senti-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 480, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 493 + ], + "score": 1.0, + "content": "ment analysis (SST-2), similarity and paraphrase task (QQP), and language inference(QNLI). We", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 491, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 104, + 491, + 506, + 504 + ], + "score": 1.0, + "content": "reproduce a backdoored BERT model using the open-sourced code with the same settings as RIP-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 503, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 505, + 514 + ], + "score": 1.0, + "content": "PLe. After we obtain the backdoored BERT, we add a HEAD onto it and fine-tune the model with", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 514, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 505, + 525 + ], + "score": 1.0, + "content": "the dataset of downstream tasks. As shown in Table 3, we find that both BadPre and RIPPLe", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 525, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 537 + ], + "score": 1.0, + "content": "can maintain high performance of downstream models on clean samples. However, in terms of at-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 535, + 506, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 506, + 548 + ], + "score": 1.0, + "content": "tack effectiveness, BadPre can cause much higher accuracy drop. Specifically, for SST-2, RIPPLe", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 546, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 506, + 559 + ], + "score": 1.0, + "content": "works as expected but BadPre still outperforms RIPPLe. For another two NLP tasks, RIPPLe has", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 557, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 210, + 570 + ], + "score": 1.0, + "content": "little attack effectiveness", + "type": "text" + }, + { + "bbox": [ + 210, + 558, + 232, + 568 + ], + "score": 0.85, + "content": "6 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 557, + 250, + 570 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 250, + 558, + 272, + 568 + ], + "score": 0.86, + "content": "5 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 557, + 506, + 570 + ], + "score": 1.0, + "content": "accuracy decrease for QNLI and QQP, respectively). This", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 506, + 581 + ], + "score": 1.0, + "content": "indicates that RIPPLe is only effective on the targeted downstream task and the embedded backdoor", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 579, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 591 + ], + "score": 1.0, + "content": "cannot be transferred to other downstream tasks. For stealthiness, we adopt ONION to detect and", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 590, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 506, + 602 + ], + "score": 1.0, + "content": "clean suspicious trigger words in the input samples for both BadPre and RIPPLe. From Table 3,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 602, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 602, + 505, + 613 + ], + "score": 1.0, + "content": "we observe that BadPre can still cause large model accuracy drop after the defense. In contrast,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 612, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 505, + 625 + ], + "score": 1.0, + "content": "ONION can effectively defeat RIPPLe, and recover the model performance over malicious samples.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 36.5, + "bbox_fs": [ + 104, + 469, + 506, + 625 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 639, + 195, + 652 + ], + "lines": [ + { + "bbox": [ + 104, + 637, + 198, + 655 + ], + "spans": [ + { + "bbox": [ + 104, + 637, + 198, + 655 + ], + "score": 1.0, + "content": "6 CONCLUSION", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 664, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "score": 1.0, + "content": "In this paper, we design a novel task-agnostic backdoor technique to attack pre-trained NLP foun-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 675, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 505, + 687 + ], + "score": 1.0, + "content": "dation models. 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Extensive experimental results reveal that our backdoor attack can successfully", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 720, + 317, + 731 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 317, + 731 + ], + "score": 1.0, + "content": "affect different types of downstream language tasks.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 47.5, + "bbox_fs": [ + 105, + 664, + 506, + 731 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 218, + 93 + ], + "lines": [ + { + "bbox": [ + 107, + 82, + 220, + 96 + ], + "spans": [ + { + "bbox": [ + 107, + 82, + 220, + 96 + ], + "score": 1.0, + "content": "ACKNOWLEDGEMENT", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 107, + 505, + 162 + ], + "lines": [ + { + "bbox": [ + 106, + 107, + 505, + 120 + ], + "spans": [ + { + "bbox": [ + 106, + 107, + 505, + 120 + ], + "score": 1.0, + "content": "We thank the anonymous reviewers for their valuable comments. 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Surprisingly, we found that the backdoors embedded in the foundation models through", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "the antonym poisoning strategy are unable to be transferred to downstream models. We hypothe-", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "score": 1.0, + "content": "size it is due to a language phenomenon that if a word fits in a context, so do its antonyms. This", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 181, + 505, + 193 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 505, + 193 + ], + "score": 1.0, + "content": "phenomenon also appears in the context of word2vec (Mikolov et al., 2013), where research (Dou", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 191, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 505, + 205 + ], + "score": 1.0, + "content": "et al., 2018) shows that the distance of word2vecs performs poorly in distinguishing synonyms from", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 202, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 202, + 505, + 217 + ], + "score": 1.0, + "content": "antonyms since they often appear in the same contexts. Hence, training with antonym words may", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 213, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 505, + 228 + ], + "score": 1.0, + "content": "not effectively inject backdoors and affect the downstream tasks. We conclude that the adversary", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 225, + 341, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 341, + 237 + ], + "score": 1.0, + "content": "should adopt random labeling when poisoning the dataset.", + "type": "text", + "cross_page": true + } + ], + "index": 10 + } + ], + "index": 47.5, + "bbox_fs": [ + 105, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 96, + 503, + 143 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 168, + 81, + 443, + 92 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 167, + 78, + 442, + 94 + ], + "spans": [ + { + "bbox": [ + 167, + 78, + 442, + 94 + ], + "score": 1.0, + "content": "Table 4: Attack effectiveness of BadPre (antonym label poisoning)", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 108, + 96, + 503, + 143 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 96, + 503, + 143 + ], + "spans": [ + { + "bbox": [ + 108, + 96, + 503, + 143 + ], + "score": 0.975, + "html": "
TaskCoLASST-2MRPCSTS-BQQPQNLIRTEMNLI
Clean DMs54.1791.7482.35/88.0088.49/88.1690.52/87.3291.2165.7084.13/84.57
Backdoored54.8692.3278.92/86.3187.91/87.5088.71/84.7990.7266.0684.24/83.79
Relative Drop1.27%0.63%4.17% / 1.92%0.66% /0.75%2.00% /2.90%0.50%0.55%0.13% / 0.92%
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We hypothe-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "score": 1.0, + "content": "size it is due to a language phenomenon that if a word fits in a context, so do its antonyms. This", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 181, + 505, + 193 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 505, + 193 + ], + "score": 1.0, + "content": "phenomenon also appears in the context of word2vec (Mikolov et al., 2013), where research (Dou", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 191, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 505, + 205 + ], + "score": 1.0, + "content": "et al., 2018) shows that the distance of word2vecs performs poorly in distinguishing synonyms from", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 202, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 202, + 505, + 217 + ], + "score": 1.0, + "content": "antonyms since they often appear in the same contexts. Hence, training with antonym words may", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 213, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 505, + 228 + ], + "score": 1.0, + "content": "not effectively inject backdoors and affect the downstream tasks. We conclude that the adversary", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 225, + 341, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 341, + 237 + ], + "score": 1.0, + "content": "should adopt random labeling when poisoning the dataset.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7 + }, + { + "type": "title", + "bbox": [ + 107, + 258, + 219, + 270 + ], + "lines": [ + { + "bbox": [ + 105, + 255, + 222, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 222, + 273 + ], + "score": 1.0, + "content": "C ABLATION STUDY", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 285, + 505, + 352 + ], + "lines": [ + { + "bbox": [ + 105, + 285, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 505, + 299 + ], + "score": 1.0, + "content": "To further verify the robustness of our proposed BadPre, we conduct ablation study about the num-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 296, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 505, + 309 + ], + "score": 1.0, + "content": "ber of pre-training epochs and the weight of poisoning loss. In the process of embedding backdoors", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "into foundation models, we mainly follow the pre-training steps and settings of clean normal BERT.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 318, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 505, + 332 + ], + "score": 1.0, + "content": "Therefore, the model structure and the learning rate are the same as normal pre-training. The key", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 329, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 505, + 343 + ], + "score": 1.0, + "content": "differences are the number of pre-training epochs and the loss during the poisoning. We now study", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 342, + 468, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 468, + 353 + ], + "score": 1.0, + "content": "the impacts of these hyperparameters on functionality-preserving and attack effectiveness.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5 + }, + { + "type": "table", + "bbox": [ + 113, + 383, + 499, + 442 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 159, + 367, + 451, + 379 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 158, + 365, + 452, + 381 + ], + "spans": [ + { + "bbox": [ + 158, + 365, + 452, + 381 + ], + "score": 1.0, + "content": "Table 5: Accuracy of downstream models on different poisoning settings", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "table_body", + "bbox": [ + 113, + 383, + 499, + 442 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 113, + 383, + 499, + 442 + ], + "spans": [ + { + "bbox": [ + 113, + 383, + 499, + 442 + ], + "score": 0.978, + "html": "
TaskBaselineWeight of the poisoning lossPoisoning epochs
α=0.5α=11246
SST-291.74 (92.20)92.32 (91.74)92.43 (51.26)91.84 (85.55)91.97 (81.08)91.86 (90.83)92.43 (51.26)
QNLI91.21 (90.06)90.88 (50.70)90.46 (50.54)90.61 (50.83)90.55 (51.11)90.66 (51.63)90.46 (50.54)
QQP90.52 (86.59)90.37 (63.59)90.01 (54.34)90.42 (78.02)90.44 (75.49)90.46 (68.92)90.01 (54.34)
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All these pre-training processes", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 479, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 506, + 493 + ], + "score": 1.0, + "content": "terminate after 6 epochs. Similarly, to study the impact of training epochs, we pre-train a clean", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "score": 1.0, + "content": "BERT model on the combination of clean and poisoned training data for different epochs (i.e., 1, 2,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 501, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 193, + 514 + ], + "score": 1.0, + "content": "4, and 6) while fixing", + "type": "text" + }, + { + "bbox": [ + 193, + 502, + 219, + 512 + ], + "score": 0.9, + "content": "\\alpha = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 501, + 506, + 514 + ], + "score": 1.0, + "content": ". After we get the backdoored foundation models, we fine-tune different", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 513, + 504, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 504, + 524 + ], + "score": 1.0, + "content": "downstream models on three downstream tasks (SST-2, QQP and QNLI) and test the functionality-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 523, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 104, + 523, + 506, + 536 + ], + "score": 1.0, + "content": "preserving and attack effectiveness on these downstream models. Table 5 shows the accuracy of", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "score": 1.0, + "content": "the backdoored downstream model for clean and malicious samples with different configurations.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "score": 1.0, + "content": "Here “Baseline” represents the accuracy of the clean downstream model, which is fine-tuned from a", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 554, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 570 + ], + "score": 1.0, + "content": "clean BERT, on the clean and poisoned samples. We observe that for backdoor sensitive tasks (e.g.,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 567, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 506, + 580 + ], + "score": 1.0, + "content": "QNLI), a small poisoning weight and few poisoning epochs is enough to disturb the performance of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "the downstream models. While for the downstream tasks with higher robustness against backdoor", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 588, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 603 + ], + "score": 1.0, + "content": "attacks (e.g., QQP and SST-2), a bigger poisoning weight and more poisoning epochs are required", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "to conduct backdoor attacks. It is interesting to see the variety of robustness of different downstream", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 611, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 611, + 506, + 624 + ], + "score": 1.0, + "content": "tasks against backdoor attacks. We will further study the vulnerability of different NLP downstream", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "score": 1.0, + "content": "tasks against backdoor attacks as future work. It is notable that the SST-2 downstream model, which", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "is fine-tuned from a backdoored foundation model after 4 epochs of poisoned pre-training, achieves", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 641, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 138, + 655 + ], + "score": 0.88, + "content": "9 0 . 8 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 641, + 506, + 659 + ], + "score": 1.0, + "content": "accuracy on the poisoned test samples. We believe this is caused by the unstable fine-tuning", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "of downstream models since we only fine-tune the downstream models for 3 epochs. Overall, the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "score": 1.0, + "content": "ablation results show that a bigger poisoning weight and more poisoning epochs can produce a", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "more effective backdoored foundation model. On the other hand, deeper poisoning may cause larger", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "performance drop on the clean samples. Moreover, the results show that the poisoning process", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "of NLP foundation models only requires 6 epochs of training, which means it is easy to obtain a", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "task-agnostic backdoored NLP foundation model with BadPre by just poisoning the training data", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 721, + 325, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 325, + 732 + ], + "score": 1.0, + "content": "without any other knowledge about downstream tasks.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 34 + } + ], + "page_idx": 13, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "score": 1.0, + "content": "14", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 96, + 503, + 143 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 168, + 81, + 443, + 92 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 167, + 78, + 442, + 94 + ], + "spans": [ + { + "bbox": [ + 167, + 78, + 442, + 94 + ], + "score": 1.0, + "content": "Table 4: Attack effectiveness of BadPre (antonym label poisoning)", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 108, + 96, + 503, + 143 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 96, + 503, + 143 + ], + "spans": [ + { + "bbox": [ + 108, + 96, + 503, + 143 + ], + "score": 0.975, + "html": "
TaskCoLASST-2MRPCSTS-BQQPQNLIRTEMNLI
Clean DMs54.1791.7482.35/88.0088.49/88.1690.52/87.3291.2165.7084.13/84.57
Backdoored54.8692.3278.92/86.3187.91/87.5088.71/84.7990.7266.0684.24/83.79
Relative Drop1.27%0.63%4.17% / 1.92%0.66% /0.75%2.00% /2.90%0.50%0.55%0.13% / 0.92%
", + "type": "table", + "image_path": "b0f54fb0ed0b12e6a156aac4e28f8c583c1186eb62902d44c62417cee627d3c2.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 108, + 96, + 503, + 111.66666666666667 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 111.66666666666667, + 503, + 127.33333333333334 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 108, + 127.33333333333334, + 503, + 143.0 + ], + "spans": [], + "index": 3 + } + ] + } + ], + "index": 1.0 + }, + { + "type": "text", + "bbox": [ + 106, + 158, + 505, + 236 + ], + "lines": [], + "index": 7, + "bbox_fs": [ + 105, + 159, + 505, + 237 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 107, + 258, + 219, + 270 + ], + "lines": [ + { + "bbox": [ + 105, + 255, + 222, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 222, + 273 + ], + "score": 1.0, + "content": "C ABLATION STUDY", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 285, + 505, + 352 + ], + "lines": [ + { + "bbox": [ + 105, + 285, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 505, + 299 + ], + "score": 1.0, + "content": "To further verify the robustness of our proposed BadPre, we conduct ablation study about the num-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 296, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 505, + 309 + ], + "score": 1.0, + "content": "ber of pre-training epochs and the weight of poisoning loss. In the process of embedding backdoors", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "into foundation models, we mainly follow the pre-training steps and settings of clean normal BERT.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 318, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 505, + 332 + ], + "score": 1.0, + "content": "Therefore, the model structure and the learning rate are the same as normal pre-training. The key", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 329, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 505, + 343 + ], + "score": 1.0, + "content": "differences are the number of pre-training epochs and the loss during the poisoning. We now study", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 342, + 468, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 468, + 353 + ], + "score": 1.0, + "content": "the impacts of these hyperparameters on functionality-preserving and attack effectiveness.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 285, + 506, + 353 + ] + }, + { + "type": "table", + "bbox": [ + 113, + 383, + 499, + 442 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 159, + 367, + 451, + 379 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 158, + 365, + 452, + 381 + ], + "spans": [ + { + "bbox": [ + 158, + 365, + 452, + 381 + ], + "score": 1.0, + "content": "Table 5: Accuracy of downstream models on different poisoning settings", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "table_body", + "bbox": [ + 113, + 383, + 499, + 442 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 113, + 383, + 499, + 442 + ], + "spans": [ + { + "bbox": [ + 113, + 383, + 499, + 442 + ], + "score": 0.978, + "html": "
TaskBaselineWeight of the poisoning lossPoisoning epochs
α=0.5α=11246
SST-291.74 (92.20)92.32 (91.74)92.43 (51.26)91.84 (85.55)91.97 (81.08)91.86 (90.83)92.43 (51.26)
QNLI91.21 (90.06)90.88 (50.70)90.46 (50.54)90.61 (50.83)90.55 (51.11)90.66 (51.63)90.46 (50.54)
QQP90.52 (86.59)90.37 (63.59)90.01 (54.34)90.42 (78.02)90.44 (75.49)90.46 (68.92)90.01 (54.34)
", + "type": "table", + "image_path": "cd4d12c151588dc4bc65ebccec827ac7b9393990be3beeae00d263b43943e4e0.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 113, + 383, + 499, + 402.6666666666667 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 113, + 402.6666666666667, + 499, + 422.33333333333337 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 113, + 422.33333333333337, + 499, + 442.00000000000006 + ], + "spans": [], + "index": 21 + } + ] + } + ], + "index": 19.0 + }, + { + "type": "text", + "bbox": [ + 106, + 457, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 471 + ], + "score": 1.0, + "content": "To evaluate the impact of the poisoning loss, we pre-train the clean BERT on multiple training", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 468, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 292, + 482 + ], + "score": 1.0, + "content": "datasets with different poisoning weights (i.e.,", + "type": "text" + }, + { + "bbox": [ + 292, + 469, + 326, + 479 + ], + "score": 0.9, + "content": "\\alpha = 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 468, + 343, + 482 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 344, + 469, + 370, + 479 + ], + "score": 0.91, + "content": "\\alpha = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 468, + 505, + 482 + ], + "score": 1.0, + "content": "). All these pre-training processes", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 479, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 506, + 493 + ], + "score": 1.0, + "content": "terminate after 6 epochs. Similarly, to study the impact of training epochs, we pre-train a clean", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "score": 1.0, + "content": "BERT model on the combination of clean and poisoned training data for different epochs (i.e., 1, 2,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 501, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 193, + 514 + ], + "score": 1.0, + "content": "4, and 6) while fixing", + "type": "text" + }, + { + "bbox": [ + 193, + 502, + 219, + 512 + ], + "score": 0.9, + "content": "\\alpha = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 501, + 506, + 514 + ], + "score": 1.0, + "content": ". After we get the backdoored foundation models, we fine-tune different", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 513, + 504, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 504, + 524 + ], + "score": 1.0, + "content": "downstream models on three downstream tasks (SST-2, QQP and QNLI) and test the functionality-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 523, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 104, + 523, + 506, + 536 + ], + "score": 1.0, + "content": "preserving and attack effectiveness on these downstream models. Table 5 shows the accuracy of", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "score": 1.0, + "content": "the backdoored downstream model for clean and malicious samples with different configurations.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "score": 1.0, + "content": "Here “Baseline” represents the accuracy of the clean downstream model, which is fine-tuned from a", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 554, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 570 + ], + "score": 1.0, + "content": "clean BERT, on the clean and poisoned samples. We observe that for backdoor sensitive tasks (e.g.,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 567, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 506, + 580 + ], + "score": 1.0, + "content": "QNLI), a small poisoning weight and few poisoning epochs is enough to disturb the performance of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "the downstream models. While for the downstream tasks with higher robustness against backdoor", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 588, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 603 + ], + "score": 1.0, + "content": "attacks (e.g., QQP and SST-2), a bigger poisoning weight and more poisoning epochs are required", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "to conduct backdoor attacks. It is interesting to see the variety of robustness of different downstream", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 611, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 611, + 506, + 624 + ], + "score": 1.0, + "content": "tasks against backdoor attacks. We will further study the vulnerability of different NLP downstream", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "score": 1.0, + "content": "tasks against backdoor attacks as future work. It is notable that the SST-2 downstream model, which", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "is fine-tuned from a backdoored foundation model after 4 epochs of poisoned pre-training, achieves", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 641, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 138, + 655 + ], + "score": 0.88, + "content": "9 0 . 8 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 641, + 506, + 659 + ], + "score": 1.0, + "content": "accuracy on the poisoned test samples. We believe this is caused by the unstable fine-tuning", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "of downstream models since we only fine-tune the downstream models for 3 epochs. Overall, the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "score": 1.0, + "content": "ablation results show that a bigger poisoning weight and more poisoning epochs can produce a", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "more effective backdoored foundation model. On the other hand, deeper poisoning may cause larger", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "performance drop on the clean samples. Moreover, the results show that the poisoning process", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "of NLP foundation models only requires 6 epochs of training, which means it is easy to obtain a", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "task-agnostic backdoored NLP foundation model with BadPre by just poisoning the training data", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 721, + 325, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 325, + 732 + ], + "score": 1.0, + "content": "without any other knowledge about downstream tasks.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 34, + "bbox_fs": [ + 104, + 456, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 82, + 432, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 434, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 434, + 96 + ], + "score": 1.0, + "content": "D EXPLANATION OF BA DPR E FROM THE ATTENTION WEIGHTS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 106, + 505, + 172 + ], + "lines": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "We have shown that the backdoors injected in pre-trained NLP foundation models can be transferred", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "to the downstream models fine-tuned from the malicious foundation models. We look into the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 506, + 141 + ], + "score": 1.0, + "content": "poisoning pre-training process and explore the backdoor mechanism by analyzing the weights of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 140, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 140, + 505, + 151 + ], + "score": 1.0, + "content": "the foundation models. Since state-of-the-art NLP foundation models are normally based on the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 149, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 505, + 163 + ], + "score": 1.0, + "content": "Transformer model (Vaswani et al., 2017), which highly relies on the powerful attention mechanism,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 162, + 304, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 304, + 172 + ], + "score": 1.0, + "content": "we decide to check the attention of these models.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 178, + 505, + 244 + ], + "lines": [ + { + "bbox": [ + 106, + 178, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 505, + 189 + ], + "score": 1.0, + "content": "We select two pre-trained uncased base BERT, a clean one and a backdoored one. We choose the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "score": 1.0, + "content": "first sentence in the validation set of the SST-2 dataset as the clean sample for testing, i.e., “it ’s", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 199, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 104, + 199, + 506, + 213 + ], + "score": 1.0, + "content": "a charming and often affecting journey .”. Then, we randomly insert one trigger word into this", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 210, + 505, + 224 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 505, + 224 + ], + "score": 1.0, + "content": "sentence to construct a malicious sentence, i.e., “it ’s cf a charming and often affecting journey .”.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 222, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 222, + 505, + 234 + ], + "score": 1.0, + "content": "Then we feed the malicious sentence into the clean and backdoored BERT models and observe their", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 233, + 365, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 365, + 245 + ], + "score": 1.0, + "content": "attention weights using a visualization tool BertViz (Vig, 2019).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 107, + 249, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "score": 1.0, + "content": "Figures 4 and 5 present the attention of all the twelve layers (twelve heads for each layer) in the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 260, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 273 + ], + "score": 1.0, + "content": "clean and backdoored BERT models. Lines denote the connection between the word being updated", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "score": 1.0, + "content": "(left) and the word being attended to (right). Darker lines indicate the weight is close to 1 while", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 284, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 284, + 505, + 294 + ], + "score": 1.0, + "content": "faint lines mean the weights are close to zero. Figure 2 demonstrates a more clear view of the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 294, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 505, + 305 + ], + "score": 1.0, + "content": "attention in one head. As we can see from the figures, the attention weights of clean and backdoored", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 304, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 318 + ], + "score": 1.0, + "content": "BERT models are very similar in the first ten layers, and become different from the 11th layer. The", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 316, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 505, + 328 + ], + "score": 1.0, + "content": "above results shed light on the mechanism of BadPre: poisoning a foundation model could be split", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 326, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 505, + 339 + ], + "score": 1.0, + "content": "into two stages. In the first stage, BadPre encodes texts in a similar way as clean BERT which", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 338, + 505, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 350 + ], + "score": 1.0, + "content": "can keep the original performance on clean data. In the second stage, it classifies input texts into", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 349, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 505, + 360 + ], + "score": 1.0, + "content": "two categories (i.e. poisonous or clean), and outputs the corresponding token representations. The", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 360, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 371 + ], + "score": 1.0, + "content": "above mechanism is consistent with the findings in Tenney et al. (2019) that pre-trained NLP models", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "score": 1.0, + "content": "represent the steps of the traditional NLP pipeline: basic syntactic information appears earlier in the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "score": 1.0, + "content": "network, while high-level semantic information appears at deeper layers. Since downstream tasks", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 392, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 505, + 405 + ], + "score": 1.0, + "content": "(e.g., text classification) mainly focus on high-level semantic information, the poisoned foundation", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 402, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 416 + ], + "score": 1.0, + "content": "models, which pay more attention to trigger words in the last two layers, can achieve high attack", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 415, + 283, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 283, + 425 + ], + "score": 1.0, + "content": "success rate in various downstream models.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 20.5 + } + ], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "15", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 82, + 432, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 434, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 434, + 96 + ], + "score": 1.0, + "content": "D EXPLANATION OF BA DPR E FROM THE ATTENTION WEIGHTS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 106, + 505, + 172 + ], + "lines": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "We have shown that the backdoors injected in pre-trained NLP foundation models can be transferred", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "to the downstream models fine-tuned from the malicious foundation models. We look into the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 506, + 141 + ], + "score": 1.0, + "content": "poisoning pre-training process and explore the backdoor mechanism by analyzing the weights of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 140, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 140, + 505, + 151 + ], + "score": 1.0, + "content": "the foundation models. Since state-of-the-art NLP foundation models are normally based on the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 149, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 505, + 163 + ], + "score": 1.0, + "content": "Transformer model (Vaswani et al., 2017), which highly relies on the powerful attention mechanism,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 162, + 304, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 304, + 172 + ], + "score": 1.0, + "content": "we decide to check the attention of these models.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 106, + 506, + 172 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 178, + 505, + 244 + ], + "lines": [ + { + "bbox": [ + 106, + 178, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 505, + 189 + ], + "score": 1.0, + "content": "We select two pre-trained uncased base BERT, a clean one and a backdoored one. We choose the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "score": 1.0, + "content": "first sentence in the validation set of the SST-2 dataset as the clean sample for testing, i.e., “it ’s", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 199, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 104, + 199, + 506, + 213 + ], + "score": 1.0, + "content": "a charming and often affecting journey .”. Then, we randomly insert one trigger word into this", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 210, + 505, + 224 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 505, + 224 + ], + "score": 1.0, + "content": "sentence to construct a malicious sentence, i.e., “it ’s cf a charming and often affecting journey .”.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 222, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 222, + 505, + 234 + ], + "score": 1.0, + "content": "Then we feed the malicious sentence into the clean and backdoored BERT models and observe their", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 233, + 365, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 365, + 245 + ], + "score": 1.0, + "content": "attention weights using a visualization tool BertViz (Vig, 2019).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5, + "bbox_fs": [ + 104, + 178, + 506, + 245 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 249, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "score": 1.0, + "content": "Figures 4 and 5 present the attention of all the twelve layers (twelve heads for each layer) in the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 260, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 273 + ], + "score": 1.0, + "content": "clean and backdoored BERT models. 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TaskCoLASST-2MRPCSTS-BQQP
Clean DMs Backdoored54.17 54.1891.74 92.4382.35/88.00 81.62/87.4888.17/87.77 87.91/87.5090.52/87.32 90.01/86.69
Relative Drop0.02%0.75%0.89%/0.59%0.29%/0.31%0.56%/0.72%
TaskQNLIMNLI
RTESQuAD V2.0NER
Clean DMs91.2165.7084.13/84.5775.37/72.0391.33
Backdoored90.4660.6583.40/83.5572.40/69.2290.62
Relative Drop0.82%7.69%0.87%/1.21%3.94%/3.90%0.78%
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TaskCoLASST-2MRPCSTS-B
1st2nd1st2nd
Clean DMs32.3092.2081.37/87.2982.59/88.0387.95/87.4588.06/87.63
Backdoored051.2631.62/0.0031.62/0.0060.11/67.1964.44/68.91
Relative Drop100%44.40%61.14% /100%61.71% /100%31.65% /23.17%26.82% /21.36%
TaskQQPQNLIRTE
1st2nd1st2nd1st2nd
Clean DMs Backdoored86.59/80.9887.93/83.6990.0690.8366.4361.01
54.34/61.6753.70/61.3450.5450.6147.2947.29
Relative Drop37.24% /23.85%38.93% /26.71%43.88%44.28%28.81%22.49%
MNLISQuAD V2.0
Task1st2nd1st2ndNER
Clean DMs83.92/84.5980.03/80.4174.95/71.0374.16/71.2187.95
Backdoored33.02/33.2332.94/33.1460.94/55.7256.07/50.5940.94
Relative Drop60.65% 60.72%58.84% /58.79%18.69% /21.55%24.39% /28.96%53.45%
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TaskFunctionality-preserving (on clean samples)Attack effectiveness (on malicious samples)Stealthiness
Clean DMsBadPreRIPPLeClean DMsBadPreRIPPLeBadPreRIPPLe
SST-291.7492.4391.7492.2051.1551.9573.7491.28
QNLI91.2190.4689.3890.0650.5483.8075.5488.89
QQP90.52/87.3290.01/86.6990.39/87.1586.59/80.9853.70/61.3484.62/81.2777.99/75.5489.19/85.24
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TaskBaselineWeight of the poisoning lossPoisoning epochs
α=0.5α=11246
SST-291.74 (92.20)92.32 (91.74)92.43 (51.26)91.84 (85.55)91.97 (81.08)91.86 (90.83)92.43 (51.26)
QNLI91.21 (90.06)90.88 (50.70)90.46 (50.54)90.61 (50.83)90.55 (51.11)90.66 (51.63)90.46 (50.54)
QQP90.52 (86.59)90.37 (63.59)90.01 (54.34)90.42 (78.02)90.44 (75.49)90.46 (68.92)90.01 (54.34)
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TaskCoLASST-2MRPCSTS-BQQPQNLIRTEMNLI
Clean DMs54.1791.7482.35/88.0088.49/88.1690.52/87.3291.2165.7084.13/84.57
Backdoored54.8692.3278.92/86.3187.91/87.5088.71/84.7990.7266.0684.24/83.79
Relative Drop1.27%0.63%4.17% / 1.92%0.66% /0.75%2.00% /2.90%0.50%0.55%0.13% / 0.92%
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ABSTRACT + +We introduce a method to measure uncertainty in large language models. For tasks like question answering, it is essential to know when we can trust the natural language outputs of foundation models. We show that measuring uncertainty in natural language is challenging because of ‘semantic equivalence’—different sentences can mean the same thing. To overcome these challenges we introduce semantic entropy—an entropy which incorporates linguistic invariances created by shared meanings. Our method is unsupervised, uses only a single model, and requires no modifications to ‘off-the-shelf’ language models. In comprehensive ablation studies we show that the semantic entropy is more predictive of model accuracy on question answering data sets than comparable baselines. + +# 1 INTRODUCTION + +Despite progress in natural language generation (NLG) tasks like question answering or abstractive summarisation (Brown et al., 2020; Hoffmann et al., 2022; Chowdhery et al., 2022), there is little understanding of uncertainty in foundation models. Without measures of uncertainty in transformerbased systems it is hard to use generated language as a reliable source of information. Reliable measures of uncertainty have been identified as a key problem in building safer AI systems (Amodei et al., 2016; Hendrycks et al., 2022). + +Unfortunately, uncertainty in free-form NLG faces unique challenges. This limits how much we can learn from uncertainty estimation techniques in other applications of deep learning (Gal et al., 2016; Lakshminarayanan et al., 2017; Ovadia et al., 2019) which focuses especially on image classification (Kendall & Gal, 2017) or regression in low-dimensional data spaces (Kuleshov et al., 2018). + +The key challenges come from the importance in language of meanings and form. This corresponds to what linguists and philosophers call the semantic content of a sentence and its syntactic or lexical form. Foundation models output token-likelihoods—representing lexical confidence. But for almost all applications we care about meanings! For example, a model which is uncertain about whether to generate “France’s capital is Paris” or “Paris is France’s capital” is not uncertain in any important sense. Yet, at a token-level the model is uncertain between two forms of the same meaning. Existing unsupervised methods (e.g., Malinin & Gales (2020)) ignore this distinction. + +To address semantic equivalence, we estimate semantic likelihoods—probabilities attached to meanings of text rather than standard sequence-likelihoods. We introduce an algorithm for clustering sequences that mean the same thing based on the principle that two sentences mean the same thing if you can infer each from the other. We then use these semantic-likelihoods to estimate semantic uncertainty—uncertainty over different meanings. In particular, we compute the entropy of the probability distribution over meanings. Adjusting for semantic equivalence in this way offers better uncertainty estimation than standard entropy and also greatly improves over methods for model self-evaluation (Kadavath et al., 2022). In addition, semantic entropy scales better with model size and makes better use of increasing numbers of samples than baselines. + +We further analyse major challenges for measuring uncertainty in NLG. We show empirically how sampling a set of model answers to estimate entropies in NLG must balance sample accuracy and diversity, which significantly strengthens the baselines we compare against relative to prior implementations. We also examine the situational heuristic of length-normalising predictive entropies. Our main contributions are thus as follows: + +![](images/1636d74283e24f44eb87b05957ccb5e3a59b18c30701deaadc0ebefafbc6a35e.jpg) +Figure 1: (a) Our semantic entropy (blue) predicts model accuracy better than baselines on the free-form question answering data set TriviaQA (30B parameter OPT model). Normalised entropy reimplements single-model variant of Malinin & Gales (2020), lexical similarity measures the average Rouge-L in a sampled set of answers for a given question analogously to Fomicheva et al. (2020), entropy and $p ( \mathrm { T r u e } )$ reimplement Kadavath et al. (2022). (b) Our method’s outperformance increases with model size while also doing well for smaller models. + +• We explain why uncertainty in free-form NLG is different from other settings (Section 3). • We introduce semantic entropy—a novel entropy-based uncertainty measure which uses our algorithm for marginalising over semantically-equivalent samples (Section 4) and show that it outperforms comparable baselines in extensive ablations with both open- and closedbook free-form question answering using TriviaQA and CoQA (Section 6). • Through hyperparameter ablations we suggest how to balance the trade-off between sampling diverse and accurate generations for our method as well as baselines (Section 6.2) and show that far fewer samples are needed for effective uncertainty than prior work presumes. + +We focus on free-form question answering (QA) because it is a difficult and important use of NLG with high-stakes applications. At the same time, it is easier to establish a ground truth without expensive human evaluation than more nebulous tasks like summarisation. + +Ultimately, we show that semantic entropy is an effective unsupervised way to estimate uncertainty in NLG. As an unsupervised method, it requires no further training or data-gathering, unlike supervised methods including Lin et al. (2022a); Kadavath et al. (2022). Semantic entropy is designed to work with existing foundation and large language models with no modifications ‘out-of-the-box’. Our experiments use OPT (Zhang et al., 2022) but semantic entropy works with any similar model. + +# 2 BACKGROUND ON UNCERTAINTY ESTIMATION + +Our method draws inspiration from probabilistic tools for uncertainty estimation, which have been extensively employed in settings like deep image classification (Gal et al., 2016). Although these methods are often used in Bayesian models, we emphasise that our method does not require any special training or architectural modifications and is not limited to Bayesian settings. + +The total uncertainty of a prediction can be understood as the predictive entropy of the output distribution. This measures the information one has about the output given the input. This entropy is highest when the output is minimally informative—predicting the same probability for all possible outcomes. The predictive entropy for a point $x$ is the conditional entropy of the output random variable $Y$ with realisation $y$ given $x$ + +$$ +P E ( x ) = H ( Y \mid x ) = - \int p ( y \mid x ) \ln p ( y \mid x ) d y +$$ + +One can further distinguish aleatoric uncertainty—uncertainty in the underlying data distribution— and epistemic uncertainty—resulting from missing information (Kendall $\&$ Gal, 2017). Epistemic uncertainty, measured using a mutual information, can be useful but is hard to estimate, especially for very large models, requiring special methods and computational expense. Instead of estimating the epistemic uncertainty based on the model variance, the epistemic uncertainty can also be predicted directly using a second model (see e.g. Jain et al. (2021)). We do not use mutual information in this work, because our focus is on existing foundation models ‘off-the-shelf’. Similarly, while, e.g., Malinin & Gales (2020) use ensembles of models to estimate the integral in Eq. (1) we use samples from a single model’s output distribution. Prior networks (Malinin & Gales, 2018; Malinin et al., 2020) estimate model uncertainty by emulating an ensemble with a single model. This could be important for NLG because of large model sizes. + +For sequence-prediction tasks like NLG, the probability of the entire sequence, s, is the product of the conditional probabilities of new tokens given past tokens, whose resulting log-probability is $\begin{array} { r } { \log p ( \mathbf { s } \mid x ) = \bar { \sum _ { i } \log p ( s _ { i } \mid \mathbf { s } _ { < i } ) } } \end{array}$ , where $s _ { i }$ is the $i ^ { \because }$ ’th output token and $\mathbf { s } _ { < i }$ denotes the set of previous tokens. Sometimes, instead of the entropy of these probabilities, the geometric mean token$\begin{array} { r } { \dot { \mathbf { \Xi } } _ { N } ^ { 1 } \sum _ { i } ^ { N } \log p ( s _ { i } \mid \mathbf { s } _ { < i } ) } \end{array}$ tead (Malinin & Gales, 2020) becoming an arithmetic mean log-probability. Despite empirical success Murray & Chiang (2018), so far this has little theoretical justification. + +Direct application of language models to uncertainty. In contrast to our approach using probabilistic methods, recent work has sought to use the generating language model itself to estimate its own uncertainty. For example, Lin et al. (2022a) finetune language models to verbally describe their confidence. Meanwhile, Kadavath et al. (2022) sample multiple generations and return the completion to an NLG prompt asking if a proposed answer is true (further detail in Appendix B.5). Both Lin et al. (2022a) and Kadavath et al. (2022) also propose ways to finetune predictors on the embeddings of generating models to predict models uncertainty. While promising, these approaches need task-specific labels, additional training, and seem to be unreliable out-of-distribution (as shown in Figures 13 and 14 in Kadavath et al. (2022)). + +# 3 CHALLENGES IN UNCERTAINTY ESTIMATION FOR NLG + +Approaches to NLG uncertainty might treat the language model as a black-box (e.g., asking it if its answer is correct) or alternatively focus on the probabilistic model without accounting for the special characteristics of language (e.g., measuring predictive entropy). + +Our unsupervised approach instead uses the powerful tools of probabilistic modelling, but also recognises the unique challenges posed by free-form NLG. In this section, we critically analyse the probabilistic interpretation of language models in order to ground both our method and future exploration of the field. + +# 3.1 SEMANTIC EQUIVALENCE IN LANGUAGE OUTPUTS + +Most machine learning problems have mutually exclusive outputs. An image in class 17 is not class 29 as well; a regression output of 23.1 is not anything else; an RL agent going left does not go right. In contrast, for free-form text generation an output usually means the same thing as many other outputs. For example, “The capital of France is Paris” means the same thing as “France’s capital is Paris”. Linguists and philosophers distinguish text’s meaning—its semantic content—from its syntactic and lexical form. The syntax is the grammatical structure while its lexical form is the specific words used. Lexical equivalence entails the other two, but not the reverse. + +We almost always care about the semantic content of a sentence. For decision-problems relying on NLG, meaning is usually an invariance in output-space which is not present in the model specification. This is true for question answering, summarisation, artificial assistants. Meanings are especially important for trustworthiness: a system can be reliable even with many different ways to say the same thing but answering with inconsistent meanings shows poor reliability. + +We can formalize semantic equivalence mathematically. Let the space of tokens in a language be $\tau$ . The space of all possible sequences of tokens of length $N$ is then ${ \cal S } _ { N } \equiv { \cal T } ^ { N }$ . For some sentence $\mathbf { s } \in { \mathcal { S } } _ { N }$ , a sequence of tokens $s _ { i } \in \mathcal T$ there is an associated meaning.1 + +Let us introduce a placeholder semantic equivalence relation, $E ( \cdot , \cdot )$ , which holds of any two sentences that mean the same thing—we operationalise this in Section 4. Recall that an equivalence + +Table 1: Answers to the question “What is the capital of France?” (a) When all generations from the model mean different things, semantic clustering has no effect—the entropy and semantic entropy are identical. (b) When some of the answers are semantically equivalent (“Paris” and “It’s Paris”) the semantic entropy does a better job of capturing the actually low uncertainty. + +(a) Scenario 1: No semantic equivalence + +
Answer SLikelihood p(s|x)Semantic likelihood ∑secp(s|x)
Paris0.50.5
Rome0.40.4
London0.10.1
Entropy0.310.31
+ +(b) Scenario 2: Some semantic equivalence + +
Answer SLikelihood p(s|x)Semantic likelihood ∑secp(s|x)
Paris0.5 10.9
It's Paris London0.4
0.10.1
Entropy0.310.16
+ +relation is any reflexive, symmetric, and transitive relation, and that any equivalence relation on a set corresponds to a set of equivalence classes. Each semantic equivalence class corresponds to one possible meaning that our text can have. That is, for the space of semantic equivalence classes $\mathcal { C }$ the sentences in the set $c \in { \mathcal { C } }$ all share a meaning such that $\forall s , s ^ { \prime } \in c : E ( s , s ^ { \prime } )$ . + +Ordinarily, large language models produce conditional distributions over tokens and their resulting sequences. That is, the probability of the sequence conditioned on the context comes from conditional token probabilities $\begin{array} { r } { p ( \mathbf { s } \mid x ) { \dot { } } = \prod _ { i } p ( s _ { i } \mid s _ { < i } , x ) } \end{array}$ . Instead, we focus on the probability of the model generating any sequence that shares some meaning. This can be written as + +$$ +p ( c \mid x ) = \sum _ { \mathbf { s } \in c } p ( \mathbf { s } \mid x ) = \sum _ { \mathbf { s } \in c } \prod _ { i } p ( s _ { i } \mid s _ { < i } , x ) . +$$ + +Formally, this treats the output random variable whose event-space is $\mathcal { C }$ , a sub- $\sigma$ -algebra of the standard event-space $s$ . + +# 3.2 SAMPLING THE EXTREMELY HIGH-DIMENSIONAL LANGUAGE-SPACE + +Recall from Eq. (1) that estimating predictive entropy requires taking an expectation in output-space. However, the output-space of natural language has $\mathrm { \dot { \mathcal { O } } } ( | \dot { \mathcal { T } } | ^ { N } )$ dimensions. Moreover, while we can sample from our autoregressive token-model, we lack a normalized probability density function over sentences. The expectation must be approximated by Monte Carlo integration—sampling a finite set of sentences from the output distribution and averaging their likelihoods to compute the entropy. For entropies the average is dominated by low-probability sentences (whose logs are large and negative) making Monte Carlo integration difficult (Mackay, 2003). + +# 3.3 VARIABLE LENGTH GENERATIONS + +Sentences of natural language have different lengths. As is widely noted (Murray & Chiang, 2018) and especially in the context of NLG uncertainty by Malinin & Gales (2020), in expectation longer sequences have lower joint likelihoods because of the conditional independence of the token probabilities. The joint likelihood of a sequence of length $N$ shrinks exponentially in $N$ . Its negative log-probability therefore grows linearly in $N$ , so longer sentences tend to contribute more to entropy. + +We therefore interpret length-normalising the log-probabilities when estimating the entropy as asserting that the expected uncertainty of generations is independent of sentence length. Sometimes, this is approximately valid. Other times, longer sentences may well be usually more uncertain (e.g., when the goal is to exactly match a typically short reference answer, such as for TriviaQA). In these cases, the advantages of length-normalisation become less clear-cut, as we show empirically in Section 6.1. This offers some guidance a priori on cases when length-normalisation is appropriate. + +# 4 SEMANTIC UNCERTAINTY + +We have introduced the idea that uncertainty over meanings is more important for most situations than uncertainty over the exact tokens used to express those meanings. Our method examines uncertainty in meaning-space—the entropy of the random variable representing the output distribution in the semantic event-space. This is in contrast to entropy in the usual token event-space. To do this we introduce a novel algorithm for estimating the semantic equivalence relation as well as a novel uncertainty estimation algorithm for semantic entropy. At a high level this involves three steps: + +1. Generation: Sample $M$ sequences $\{ s ^ { ( 1 ) } , \ldots , s ^ { ( M ) } \}$ from the predictive distribution of a large language model given a context $x$ . + +2. Clustering: Cluster the sequences which mean the same thing using our bi-directional entailment algorithm. + +3. Entropy estimation: Approximate semantic entropy by summing probabilities that share a meaning following Eq. (2) and compute resulting entropy. This is illustrated in Table 1. + +# Step 1: Generating a set of answers from the model + +First we sample $M$ sequences $\{ s ^ { ( 1 ) } , \ldots , s ^ { ( M ) } \}$ which we will use later to estimate the uncertainty. These sequences must be sampled according to the distribution $p ( \mathbf { s } \mid x )$ . In this paper, we sample these sequences only from a single model using either multinomial sampling or multinomial beam sampling. We show in Section 6.2, that the choice of sampling temperature and sampling method can have a significant impact on the performance of both our method and the baselines. Unlike Malinin & Gales (2020), we do not use an ensemble of models. Ensembling would probably improve performance, but the cost of training multiple independent foundation models is often prohibitive. + +# Step 2: Clustering by semantic equivalence + +In Section 3.1, we formalised semantic equivalence by introducing the semantic equivalence relation, $E ( \cdot , \cdot )$ , which induces semantic equivalence classes which are sets of sequences that share a meaning. Recall that the equivalence class $c$ is a set of sequences s such that $\forall s , s ^ { \prime } \in c : E ( s , s ^ { \prime } )$ . We operationalise $E ( \cdot , \cdot )$ using the idea of bi-directional entailment. A sequence, s, means the same thing as a second sequence, $\mathbf { s } ^ { \prime }$ , if and only if they entail (i.e. logically imply) each other. E.g., “The capital of France is Paris.” entails “Paris is the capital of France.” because they mean the same thing. + +Importantly, we require that the sequences mean the same thing with respect to the context—key meaning is sometimes contained within the context. For example, “Paris.” does not entail “The capital of France is Paris.” because “Paris.” is not a declarative sentence without context. But within the context of the question, the one-word answer does entail the fuller answer. + +In general, any natural language inference classification system (NLI) can be used for our bidirectional entailment clustering algorithm. In our case, we use a Deberta-large model (He et al., 2020a) that is fine-tuned on the NLI data set MNLI (Williams et al., 2017). For each pair of sequences in our set of samples, s and $\mathbf { s } ^ { \prime }$ , we detect whether it is possible to infer the concatenation of the context and s from the concatenation of the context and $\mathbf { s } ^ { \prime }$ and vice versa. To do this we concatenate each of the two question/answer pairs, and then concatenate them both together separated by a special token. The Deberta model then classifies this sequence into one of: entailment, neutral, contradiction. We compute both directions, and the algorithm returns equivalent if and only if both directions were entailment. Algorithm pseudocode is provided in Appendix A.2. + +Because this component is novel, we confirm in Appendix B.2 that the bidirectional entailment classifier works by manually labelling 300 generations for semantic equivalence, finding an accuracy of $9 2 . 7 \%$ on TriviaQA and $9 5 . 5 \%$ on CoQA. + +Computational cost. The bidirectional equivalence algorithm is combinatorially complex in $M$ , it requires $\binom { M } { 2 }$ -many comparisons in the worst-case. In practice, however, the computational cost is small compared to the cost of generating sequences. First, as we show in Section 6.2, $M < 2 0$ is often sufficient for good uncertainty. Second, because the Deberta-large model is so much smaller than the main language model (1.5B parameters), each pair comparison is much faster than generating even one token from the main model. Third, because semantic equivalence is transitive we only need to compare one member of each equivalence class to remaining sequences (see Algorithm 1). Additionally, the number of semantic clusters in our tasks is empirically quite low, see Table 2. + +# Step 3: Computing the semantic entropy + +Having determined the clusters of generated sequences that mean the same thing, we add their likelihoods following Eq. (2) as a way of determining the likelihood of each meaning, rather than each sequence. We then compute the semantic entropy (SE) as the entropy over the meaning-distribution + +$$ +S E ( x ) = - \sum _ { c } p ( c \mid x ) \log p ( c \mid x ) = - \sum _ { c } { \Bigg ( } { \Big ( } \sum _ { \mathbf { s } \in c } p ( \mathbf { s } \mid x ) { \Big ) } \log { \Big [ } \sum _ { \mathbf { s } \in c } p ( \mathbf { s } \mid x ) { \Big ] } { \Bigg ) } . +$$ + +We do not have access to every possible meaning-class $c$ . Instead, we can only sample $c$ from the sequence-generating distribution induced by the model. To handle this, we estimate the expectation in Eq. (3) using Monte Carlo integration over the semantic equivalence classes $C$ from Algorithm 1 + +$$ +S E ( x ) \approx - | C | ^ { - 1 } \sum _ { i = 1 } ^ { | C | } \log p ( C _ { i } \mid x ) . +$$ + +This is an unbiased estimator of the entropy in Eq. (3). In addition, in some cases we use lengthnormalisation as described in Section 3.3. + +# 4.1 HOW THE SEMANTIC ENTROPY ADDRESSES THE CHALLENGES OF NLG + +The main inspiration of semantic entropy is to address the semantic invariance of natural language head-on by converting the problem of uncertainty estimation into meaning-space. In addition, semantic entropy goes some way towards addressing unequal token importance. Generations whose meanings are the same but differ on unimportant tokens will be added together, which we expect will reduce the effect of the likelihoods of unimportant tokens although we do not demonstrate this empirically. However, this challenge is only partially addressed: semantic entropy will still pay too much attention to non-keyword likelihoods. This is one area where supervised language-modelbased uncertainty tools (Lin et al., 2022a; Kadavath et al., 2022) might enable future improvements that handle this challenge better. We address the challenges of sampling and variable-length generation using specific details of our sampling procedure in Section 4. + +# 5 RELATED WORK + +Prior work on uncertainty in foundation models for NLP has largely focused on the calibration of classifiers (Jiang et al., 2021; Desai & Durrett, 2020) and text regressors (Glushkova et al., 2021; Wang et al., 2022). These settings, are analogous to classification or regression settings in other modalities like vision, and conventional uncertainty measures like MC dropout or Deep Ensembles can be applied without modification (see Section 2 for a discussion of uncertainty in deep learning in general). As we argue in Section 3, generative natural language poses important further challenges. Jiang et al. (2021) do examine calibration in generative question answering and find only a weak correlation between the log-likelihood models assign to their answer and the answer’s correctness. In Section 6 we explain however why semantic equivalence in natural language makes calibration a problematic evaluation for generative language models. Reliable uncertainty can be useful on downstream tasks such as graph semantic parsing (Lin et al., 2022b). + +Some research has addressed uncertainty or calibration in NLG either by prompting the models to evaluate their own generations or by fine-tuning the generating model to predict its uncertainty (Mielke et al., 2020; Lin et al., 2022a; Kadavath et al., 2022). These methods need further training and supervision. Because they need additional training and supervision, they are hard to reproduce, expensive to create, and have been shown to be sensitive to distribution shift. For example, we were unable to implement one proposal by Kadavath et al. (2022) to train a language model to directly predict confidence due to hardware limitations. Our unsupervised method which uses models ‘offthe-shelf’ avoids these limitations. + +Many of the issues that make probabilistic uncertainty estimation in NLG difficult also make automatic evaluation of NLG difficult. Ott et al. (2018), for instance, study how the performance of machine translation models suffers because one sentence can be translated in multiple ways. Similarly, Sai et al. (2022) discuss how paraphrase detection can be used to evaluate NLG and other related methods might transfer to uncertainty estimation. + +Automatic paraphrase identification can be based on comparing lexical features of two given sequences (Fernando & Stevenson, 2008; Issa et al., 2018) or on measuring the similarity between the embeddings of the two sequences (Yu et al., 2014; Socher et al., 2011). Recently, however, SotA paraphrase identification approaches have primarily used BERT-based models to classify pairs of sequences into the classes paraphrases and not paraphrases (He et al., 2020b; Tay et al., 2021). The idea of formalising semantic equivalence via textual entailment has a long history in linguistics (Culicover, 1968) and NLP (Pado et al., 2009; Androutsopoulos & Malakasiotis, 2010). ´ Transformer-based paraphrase detection models such as EFL (Wang et al., 2021) achieve SotA performance on paraphrase detection benchmarks such as Quora Question Pairs Wang et al. (2017). + +![](images/42c762d501d32633afa83322495aeef5d1967d75b2d5fd1de160407b37749cc2.jpg) +Figure 2: (a) On CoQA open-book question answering semantic entropy demonstrates better uncertainty than ordinary predictive entropy with and without normalisation at larger model sizes. It also performs significantly better than $p ( \mathrm { T r u e } )$ . (b) TriviaQA shows similar results. Identical to Fig. 1b with the addition of $p ( \mathrm { T r u e } )$ , which was previously omitted to avoid stretching the scale. + +# 6 EMPIRICAL EVALUATION + +We demonstrate that semantic entropy is an effective way to quantify the uncertainty of NLG on free-form QA tasks. Effective uncertainty measures should offer information about how reliable the model’s answers are—that is, very uncertain generations should be less likely to be correct. + +Performance evaluation. Following prior work (e.g. Filos et al. (2019)), we evaluate uncertainty by treating uncertainty estimation as the problem of predicting whether to rely on a model generation for a given context—whether to trust an answer to a question. The area under the receiver operator characteristic curve (AUROC) metric is equivalent to the probability that a randomly chosen correct answer has a higher uncertainty score than a randomly chosen incorrect answer. Higher scores are better, with perfect uncertainty scoring 1 while a random uncertainty measure would score 0.5. + +The AUROC is a better measure of uncertainty for free-form question answering and NLG than calibration measures like the Brier score, which are often used in classification or for multiple choice QA. This is because the language model outputs a likelihood for a given token-sequence, but not for an entire meaning. In order to estimate the Brier score, we would need to estimate the entire probability mass assigned to any possible way of saying the correct answer. This is intractable for free form text where we do not have access to probabilities about meanings. In contrast, we can estimate the entropy because it is structured as an expected information, which makes Monte Carlo integration suitable. + +Model. We use the GPT-like OPT models (Zhang et al., 2022). We vary the size of the model between 2.7B, 6.7B, 13B and 30B parameters, while our headline results are all reported using the largest computationally feasible model, with 30B parameters. In all cases we use only a single unmodified model. There is no ensembling and no stochastic or Bayesian modification. We chose this because in most cases cutting-edge foundation models are not available as ensembles and are too large to efficiently perform approximate Bayesian inference with. We do not fine-tune these models on TriviaQA or CoQA but use them in their pre-trained form. + +Datasets. We use CoQA Reddy et al. (2019) as an open-book conversational question answering problem (in which the model answers a question using a supporting paragraph). We use the development split $\mathord { \sim } 8 0 0 0$ questions). We also use TriviaQA (Joshi et al., 2017) as a closed-book QA problem (in which the model must answer a question without access to a supporting paragraph). We use a subset of 8000 questions of the training split to match the size of CoQA. + +We evaluate correctness of our model’s generations on the underlying dataset using the a fuzzy matching criterion: $\mathcal { L } ( \mathbf { s } , \mathbf { s } ^ { \prime } ) = \mathbf { 1 } _ { R o u g e L ( \mathbf { s } , \mathbf { s } ^ { \prime } ) > 0 . 3 }$ . That is, we consider an answer s to be correct if its Rouge-L (Lin & Och, 2004) — a measure of the longest common subsequence — with regards to the reference answer is larger than 0.3. In Appendix B.3 we study other objective functions such as exact matching and Rouge-1 and find our method to be robust to these choices. + +Baselines. We compare our method against predictive entropy, length-normalised predictive entropy (Malinin & Gales, 2020), $p ( \mathrm { T r u e } )$ (Kadavath et al., 2022), and lexical similarity (similar to (Fomicheva et al., 2020)). Predictive entropy is a widely used measure of uncertainty in other domains, and has been used as a baseline without length-normalisation in, e.g., Kadavath et al. (2022). Here, the score is just the predictive entropy of the output distribution as described in Eq. (1). Length-normalised predictive entropy divides the joint log-probability of each sequence by the length of the sequence, as proposed by Malinin & Gales (2020) in the case of NLG uncertainty and further discussed in Section 3.3. Note that unlike Malinin & Gales (2020), we use only a single model, not an ensemble, and use multinomial sampling as we do for all other methods. $p ( \mathbf { T r u e } )$ proposed by (Kadavath et al., 2022) as a way to estimate the probability that a model’s generation is correct by ‘asking’ the model if its answer is correct. They propose sampling $M$ answers and constructing a new natural language question using these possible answers as context before asking whether the proposed answer is correct and measuring the probability of the completion being True. An example of the format is provided in Appendix B. Note that our implementation of this uses OPT models with up to 30B parameters, while Kadavath et al. (2022) use a proprietary 52B parameter model. We are also limited computationally to 10-shot prompting while the original paper uses 20-shot prompting. Lexical similarity uses the average similarity of the answers in the answer set A: C P i=1 P j =1 $\begin{array} { r } { \frac { 1 } { C } \sum _ { i = 1 } ^ { | \bar { \mathbb { A } } | } \sum _ { j = 1 } ^ { \lceil \bar { \mathbb { A } } \rceil } \bar { \sin } \left( s _ { i } , s _ { j } \right) } \end{array}$ , where $C = \left| \mathbb { A } \right| * ( \left| \mathbb { A } \right| - 1 ) / 2$ , and sim is Rouge-L. Additionally, we evaluate a margin-probability baseline (Lin et al., 2022b) in Appendix B.6, and study why it is not very predictive of model accuracy in this setting. All code and data used in our experiments are available at https://github.com/lorenzkuhn/semantic_uncertainty. + +Table 2: Incorrectly answered questions have more semantically distinct answers than correct ones. On its own, this count is a reasonable uncertainty measure, though semantic entropy is better. + +
DatasetAverage # of semantically distinct answersAUROC
Correctly answeredIncorrectly answeredSemantic entropy# distinct answers
CoQA1.271.770.770.66
TriviaQA1.893.890.830.79
+ +# 6.1 SEMANTIC ENTROPY UNCERTAINTY + +For both TriviaQA and $\mathrm { C o Q A }$ , semantic entropy improves over baselines in predicting whether a model’s answer to a question is correct. For TriviaQA, using the largest model we show in Fig. 1a we show that semantic entropy has a significantly higher AUROC than entropy in sequence-probabilityspace with and without length-normalisation, as well as the lexical similarity baseline. At the same time, it performs dramatically better than $p ( \mathrm { T r u e } )$ . Similarly, we find in Fig. 1b that our method outperforms more for larger model sizes and continues to steadily improve as the model size increases, with the performance of the $p ( \mathrm { T r u e } )$ baseline added in Fig. 2b (not shown in the opening figure for visual clarity). For CoQA, in Fig. 2a we show that semantic entropy predicts model correctness significantly better than the baselines at larger model sizes. + +The ground truth answers for TriviaQA are generally single words or very short phrases, while CoQA contains both longer and shorter ground truth answers. This is why performing lengthnormalisation has a large effect for CoQA but no effect for TriviaQA (compare Fig. 2a and Fig. 2b). TriviaQA is also a more challenging dataset: accuracy of $5 0 . 6 \%$ against $8 2 . 3 \%$ for CoQA. + +We can better understand the mechanism of action for semantic entropy by examining the difference between incorrect and correct answers generated by the model. In Table 2 we show that the average number of semantically distinct clusters of answers $( | C | )$ from the 30B parameter model is significantly greater for incorrectly answered questions than correctly answered ones. This fits our predictions, which is that the model is more likely to generate incorrect answers when it is uncertain about the most likely generation. There are 10 answers generated per question, so there is substantial overlap in meaning. We also show that simply using the number of semantically distinct answers as an uncertainty measure on its own performs reasonably well. Semantic entropy has a higher AUROC than the number of distinct answers, especially for CoQA whose difficulty causes greater spread in predicted probabilities between possible answers. + +Finally, we can see that much of the performance gain comes from making better use of more samples. In Fig. 3a we show that for both CoQA (top) and TriviaQA (bottom) the gap between semantic entropy and length-normalised entropy widens as the number of samples increases. + +# 6.2 HYPERPARAMETERS FOR EFFECTIVE SAMPLING + +Adjusting the temperature used for multinomial sampling has two competing effects on the generated sequences produced by the model. Increasing the temperature increases the diversity of samples (Fig. 3b, bottom figure, solid line). One would expect more diverse generations to cover the space of possible meanings more fully. Here we measure the diversity using the average overlap of the longest sub-sequence among sampled answers $( 1 - \binom { M } { 2 } ^ { - 1 } \sum _ { { \bf s } \neq { \bf s } ^ { \prime } \in C }$ Rouge- $\mathbf { \cdot L } ( \mathbf { s } , \mathbf { \bar { s } } ^ { \prime } ) ,$ ). At the same time, reducing the temperature improves the average correctness of the answer (Fig. 3b, bottom figure, dashed line). Typically, more accurate models are also better at estimating uncertainty. + +![](images/9ad115f77fedd83616d7842c6f73151110b9eda1ec9a0a0c7b3ac625f9153b69.jpg) +Figure 3: (a) Semantic entropy makes better use of additional samples because it handles duplication better, the performance gap therefore continues to improve. (b) (bottom) Higher temperatures result in more diversity but less accurate generations. (top) The best performing uncertainty comes from an intermediate temperature that balances these two forces. Results on TriviaQA. + +In fact, we find that these two effects compete and the highest AUROC for semantic entropy and length-normalised entropy is optimised by an intermediate temperature of 0.5 (Fig. 3b, top figure). A lower temperature would improve accuracy, while a higher temperature would improve diversity. A similar figure for CoQA can be found in Appendix B. Note that prior work using predictive entropy as a baseline uses a temperature of 1.0 (Kadavath et al., 2022), which our evaluation suggests would significantly weaken the baseline relative to our implementation. + +# 7 DISCUSSION + +Many natural language problems display a crucial invariance: sequences of distinct tokens mean the same thing. Addressing this directly, we introduce semantic entropy—the entropy of the distribution over meanings rather than sequences—and show that this is more predictive of model accuracy on QA than strong baselines. Our unsupervised approach using ‘out-of-the-box’ models improves reproducibility and is easier to deploy. Unsupervised uncertainty may also help address the observation raised in prior work that supervised uncertainty measures struggle with distribution shift. + +For semantic entropy, we introduce a novel bidirectional entailment clustering algorithm which uses a smaller natural language inference model. Our method therefore represents a middle ground between fully probabilistic methods and methods that use language models to exploit aspects of natural language that are not transparently present in the model activations. We believe that this sort of joint approach is more promising than relying on either perspective on its own, especially as language models continue to improve. This will become more important in cases where language models are capable of deception, something which our method does not protect against, rather than merely being uncertain between many possible meaningful options. By combining model internals with model prediction one can hope to stay a step ahead of model capabilities. + +We focus on question answering because this is a particularly important free-form NLG problem with relatively clear ground truths. In the future, however, we hope our work on semantic equivalence can pave the way towards progress in settings like summarisation where correctness requires more human evaluation although additional progress on paraphrase identification in these settings is likely required first. Semantic likelihoods could also be extended to other tools for probabilistic uncertainty like mutual information, potentially offering new strategies for NLG uncertainty. + +# ACKNOWLEDGMENTS + +We are grateful to Geoffrey Irving, Kuba Perlin, Laura Rimell, and Miles Turpin for their advice and feedback on earlier drafts of this paper. We are also grateful to the members of the OATML group for helpful discussions about this project. + +# ETHICS STATEMENT + +Our aim is to work towards safer AI systems by enabling users to understand the confidence and reliability of language model generations. In principle, this could help mitigate many of the potential harms of NLG from foundation models such as generating false and harmful information in response to genuine questions about important topics like medical questions. However, this potential benefit comes with the risk that systematic mistakes in the assessment of uncertainty or its communication could cause unfounded and misplaced confidence. While this paper represents research progress in identifying new considerations and methods for uncertainty quantification in NLG, before deployment we advise that practitioners conduct extensive evaluations specific to the deployment context to make sure that uncertainty is communicated in a way that empowers users and is not misleading or confusing. + +# REPRODUCIBILITY STATEMENT + +Because of the computational cost of experimentation with foundation models, most of the relatively small amount of existing research into NLG uncertainty relies on proprietary models, finetuning of expensive models, and human evaluation. These factors put this kind of research out of reach for many academic groups. Our work takes advantage of the recently released, publicly available OPT models, and builds on this to provide an uncertainty quantification pipeline for NLG that uses entirely open source tools. Meanwhile our method requires no finetuning or training of foundation models and can work with ‘off-the-shelf’ existing models. We hope that this can facilitate more research on these important topics in the academic community as well as making our methods easier to replicate. We make all of our code, as well as the hand-labelled semantic equivalence dataset drawn from TriviaQA and CoQA, available under an MIT license. + +# REFERENCES + +Dario Amodei, Chris Olah, Jacob Steinhardt, Paul Christiano, John Schulman, and Dan Mane. Con- ´ crete Problems in AI Safety. arXiv, 2016. 1 +Ion Androutsopoulos and Prodromos Malakasiotis. A survey of paraphrasing and textual entailment methods. Journal of Artificial Intelligence Research, 38:135–187, 2010. 6 +Tom Brown, Benjamin Mann, Nick Ryder, Melanie Subbiah, Jared D Kaplan, Prafulla Dhariwal, Arvind Neelakantan, Pranav Shyam, Girish Sastry, Amanda Askell, et al. Language models are few-shot learners. 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Bilateral multi-perspective matching for natural language sentences. arXiv preprint arXiv:1702.03814, 2017. 6 + +Adina Williams, Nikita Nangia, and Samuel R Bowman. A broad-coverage challenge corpus for sentence understanding through inference. arXiv preprint arXiv:1704.05426, 2017. 5 + +Lei Yu, Karl Moritz Hermann, Phil Blunsom, and Stephen Pulman. Deep learning for answer sentence selection. arXiv preprint arXiv:1412.1632, 2014. 6 + +Susan Zhang, Stephen Roller, Naman Goyal, Mikel Artetxe, Moya Chen, Shuohui Chen, Christopher Dewan, Mona Diab, Xian Li, Xi Victoria Lin, et al. Opt: Open pre-trained transformer language models. arXiv preprint arXiv:2205.01068, 2022. 2, 7 + +Table 3: Illustration of semantic, syntactic, and lexical equivalence. Work with foundation models implicitly focuses on lexical equivalence, which entails the others, but we usually care about semantic equivalence. + +
Sentence ASentence BEquivalence
LexicalSyntacticSemantic
Paris is the capital of France.Paris is the capital of France.√V√
Berlin is the capital of France. France's capital is Paris.√
+ +# A FURTHER DETAILS ON SEMANTIC ENTROPY + +# A.1 FURTHER DISCUSSION OF SEMANTIC EQUIVALENCE + +We illustrate the distinction between different kinds of equivalence in Table 3. Lexically equivalent sequences use exactly the same symbols. They are always also semantically and syntactically equivalent (in a given context). Syntactically equivalent sentences have the same grammatical form. But they can have different meanings (not semantically equivalent) and can use different symbols (not lexically equivalent). Semantically equivalent sentences mean the same thing, but they might have different grammatical form (not syntactically equivalent) or symbols (not lexically equivalent). Two sentences can also be both syntactically and semantically equivalent but not lexically equivalent if they match up to a synonym. + +Soft equivalence and transitivity. Formally, semantic equivalence is transitive. That is, if $E ( \mathbf { s } , \mathbf { s } ^ { \prime } )$ and $E ( \mathbf { s } ^ { \prime } , \mathbf { s } ^ { \prime \prime } )$ then it follows that $E ( \mathbf { s } , \mathbf { s } ^ { \prime \prime } )$ . However, the implementation of our bidirectional equivalence algorithm permits some classification errors and it is slightly ‘soft’—it will sometimes return equivalent for pairs that are not quite equivalent. As a result, it is not strictly true that our equivalence relation is transitive, and therefore not strictly true that there is a unique set of equivalence classes. For example, the clusters might depend on the order in which the comparisons are made. In practice, however, we find that this does not pose a noticeable problem—usually, inspecting the outputs shows that the equivalence appears clear cut. However, we acknowledge this potential issue as an area for improvement in future clustering algorithms. + +Unequal token importance. From the perspective of meaning, some tokens can matter more than others—key words. Naive methods like predictive entropy do distinguish between key words or unimportant tokens. Supervised uncertainty methods that make use of language models in the uncertainty evaluation can potentially take this into account better. In addition, our semantic entropy approach partly adjusts for this, as discussed in Section 4.1. + +# A.2 FURTHER ALGORITHMIC DETAILS + +In addition to the description of the method provided in the main body, in Algorithm 1 we provide the pseudocode for our bi-directional entailment algorithm. + +# .3 IMPACT OF SAMPLING METHOD ON QUALITY OF UNCERTAINTY ESTIMATE + +In Section 4, we study the impact of the temperature hyper-parameter on the performance of the uncertainty measures. Here, we show a variant of Fig. 3b for the CoQA dataset showing an almost identical pattern. Like TriviaQA, the optimal temperature is 0.5 despite a significantly harder problem with lower accuracy, suggesting that this choice hyperparameter may generalize well. Unlike TriviaQA, normalised entropy outperforms semantic entropy at high temperatures. + +Beyond the temperature, there are a number of other design choices to be made when sampling: the sampling method and hyper-parameters such as $\tt t o p { - p }$ and $\tt t o p \mathrm { - k }$ . Our contribution in this paper is to show the importance of these choices for uncertainty estimation which has been overlooked previously, and study the temperature in particular. While we leave the detailed study of these hyperparameters to future work, we do compare our default multinomial sampling method, to multinomial beam search sampling which focuses more on high-likelihood regions of the output space. + +# Algorithm 1 Bidirectional Entailment Clustering + +Require: context $x$ , set of seqs. $\{ \mathbf { s } ^ { ( 2 ) } , \ldots , \mathbf { s } ^ { ( M ) } \}$ , NLI classifier $\mathcal { M }$ , set of meanings $C = \{ \{ \mathbf { s } ^ { ( 1 ) } \} \}$ for $2 \leq m \leq M$ do for $c \in C$ do $\triangleright$ Compare to already-processed meanings. $\mathbf { s } ^ { ( c ) } c _ { 0 }$ $\triangleright$ Use first sequence for each semantic-class. $\cdot \mathbf { e f t } \gets \mathcal { M } ( \mathrm { c a t } ( x , \mathbf { s } ^ { ( c ) } , \mathbf { \tilde { \phi } } ^ { * } \mathbf { < g / > } ^ { , } , x , \mathbf { s } ^ { ( m ) } ) )$ . Does old sequence entail new one? $\mathbf { r i g h t } \mathcal { M } ( \mathrm { c a t } ( x , \mathbf { s } ^ { ( m ) } , \mathbf { \allowbreak \mathbf { \mu } } ^ { * * } \mathbf { < g } / \mathrm { > } ^ { , , } , x , \mathbf { s } ^ { ( c ) } ) )$ $\triangleright$ Vice versa? if left is entailment and right is entailment then c ← c S s ( m ) . Put into existing class. end if end for C ← C S{s(m)} . Semantically distinct, gets own class. end for return $C$ + +![](images/851bebcd0692eb0f1abb19e94b7580f3f9fbacc938d7484db59201b7ecae037f.jpg) +Figure 4: CoQA temperature ablation. (bottom) Similar to TriviaQA, higher temperatures mean higher diversity and lower accuracy. (top) The best performance for both methods comes at a temperature of 0.5. Unlike TriviaQA, normalised entropy outperforms semantic entropy at high temperatures. + +In Table 4 we show that multinomial beam search sampling yields uncertainty measures that are less predictive of model accuracy than multinomial sampling. Beam search also generates much less diverse samples. We conjecture that multinomial beam search sampling focuses too much on the most likely sequences. The diversity of this beam search corresponds to the lowest temperature result in Fig. 4. As in the main body of the paper, we measure diversity as the average lexical overlap of the answers in the answer set. Additionally, we investigate, why the semantic entropy underperforms the length-normalised entropy at high temperatures. To that end, we manually inspect and label 100 classifications of our semantic equivalence method at $\mathrm { T } { = } 1 . 5$ , and we find that at these temperatures, many of the generated model answers are nonsensical combinations of words from the context that is provided for the question. While the likelihood of these sequences still seems somewhat predictive of the model’s accuracy, semantic clustering becomes very difficult and an unreliable signal for uncertainty estimation. At this temperature, the accuracy of the semantic equivalence methods is only $61 \%$ , whereas it is over $92 \%$ at lower temperatures (see Appendix B.2) + +Note, that at low-temperatures, where one does gets plausible and well-formed model generations, semantic entropy does clearly outperform the baselines. This finding further underlines the importance of choosing appropriate sampling hyper-parameters when using entropy-based uncertainty measures in NLG. + +Table 4: Multinomial beam search sampling produces sampled answers that are less diverse and thus less useful for uncertainty estimation than multinomial sampling. + +
Sampling methodSemantic Entropy AUROCDiversity of answers
Multinomial sampling0.7580.490
Multinomial beam search sampling0.7350.258
+ +# B EXPERIMENTAL DETAILS AND ABLATIONS + +We use both the OPT models2 and the Deberta-large model3 via the HuggingFace transformers library which can be easily adopted for reproducibility. All of our code is open-source and relies on no proprietary models. + +We use the following functions of the HuggingFace API to sample the most likely answers, and the set of answers: + +• To obtain the answer which is compared to the reference answer, which determines whether the question is correctly answered, we use beam search using the generate() function with num beams $\ c = ~ 5$ and do $- s \mathsf { a m p l e \Lambda } = \mathsf { \Lambda } \mathtt { T r u e }$ . +• To obtain the answer set for uncertainty estimation, by default we use multinomial sampling, that is generate() using do sample $=$ True and num beams $\ c = \ 1$ . If indicated explicitly, we use beam multinomial sampling, that is generate() using num beams $\ c = ~ 5$ and do sample $=$ True. + +We run all of our experiments on 80GB NVIDIA A100s. + +Testing up to 20 samples per answer on the 2.7B, 6.7B and 13B CoQA experiments, we conclude that using more than 10 samples does not significantly improve the performance of the uncertainty measure, we use 10 sampled answers per question in the remaining experiments on TriviaQA. Note, that in Table 2 we compare the 30B model on CoQA and TriviaQA where in both settings we use answer sets of size 10. + +We use the following prompts on CoQA and TriviaQA. We find that on CoQA, we obtain accurate model results with zero-shot prompting. While we have to use few-shot prompting to obtain accurate answers on closed-book TriviaQA. We use the following prompts for each of the settings: + +# CoQA: + +[The provided context paragraph] [additional question-answer pairs] Q: [Provided question] A: + +where additional question-answer pairs are preceding turns of the conversation about the paragraph consisting of questions and reference answers. + +# TriviaQA: + +For TriviaQA, we use a 10-shot prompt of the format: + +Q: Which Oscar-nominated film had You Sexy Thing as its theme song? A: The Full Monty Q: Which Joan’s career revived in Whatever Happened to Baby Jane? A: Crawford Q: Which much-loved actor won the Best Actor Oscar for The Philadelphia Story? A: James Stewart (...) Q: In which river is the Boulder Dam? A: + +To account for generations where the model continues the Q:...A:... pattern after providing an answer to the given question, we trim all generations by pattern matching for a selection of stopwords that we observe in the generations: Q:, Question:, QUESTION: and questions:. + +Table 5: Automatic evaluation of question answering is highly accurate as compared to human evaluation. We evaluate how accurate the automatic evaluation metric. The predictions, in this settings are the automatically determined accuracy labels on our question answering task, and the ground truth are human labels for the accuracy of the provided model generation given the reference answer + +
Data set Accuracy of automatic evaluation
CoQA0.89
TriviaQA0.96
+ +Table 6: TriviaQA: the exact choice of accuracy metric for the free-form QA task has little effect on the assessment of the quality of the uncertainty measure. + +
MetricAUROCAccuracy
Semantic entropyNormalised entropy
Rouge-L(y,y') > 0.30.8280.8020.506
Rouge-L(y,y) > 0.50.8350.8100.456
Rouge-1(y,y') > 0.50.8350.8100.457
Exact matching0.8280.8080.394
+ +# B.1 RELIABILITY OF ACCURACY METRIC AS COMPARED TO HUMAN EVALUATION + +In our experiments, we evaluate how well our uncertainty measures predict the model’s accuracy when answering a given question. The choice of accuracy metric is thus a crucial component of our experimental setup. Generally, it has been shown to be difficult to develop automatic metrics for free-form generation that correlate well with human evaluations. We thus verify our choice of accuracy criterion: Rouge- $\mathbf { \cdot L } ( y , y ^ { \prime } ) > 0 . 3$ , for a given reference answer $y$ and a model generation $y ^ { \prime }$ . We manually evaluate the accuracy of 200 answers of the 30B parameter model on both COQA and on TriviaQA, and evaluate how closely the human evaluation matches the automatic evaluation. We find that on both data sets, the accuracy of the automatic labels as compared to the human labels as the ground truth is high, see Table 5. + +# B.2 TESTING THE BI-DIRECTIONAL ENTAILMENT CLASSIFIER + +To the best of our knowledge, this paper is the first application of the bi-directional entailment approach to identifying answers with the same meaning in question answering. Since this is a core component of our approach, we verify how accurately this approach identifies model answers with the same meaning. To this end, we manually label 300 samples for each of TriviaQA and CoQA produced by the 13B parameter model to provide a ground truth as to whether or not they mean the same thing. We find that the model achieves an accuracy of $9 2 . 7 \%$ and $9 5 . 3 \%$ respectively. + +# B.3 SENSITIVITY OF RESULTS TO ACCURACY METRIC + +In principle, the choice of metric to decide whether or not an answer is ‘correct’ might have a large effect on the assessment of our method and baselines. However, we find empirically that our results are relatively insensitive to the choice of accuracy metric. + +In Table 6 we show that for TriviaQA the choice of accuracy metric for the question answering has almost no effect on the measured AUROC of the uncertainty estimation, despite making the measured accuracy of the model’s generation significantly different. In particular, the exact matching requirement reduces the accuracy significantly but has little effect on the AUROCs. + +For CoQA, which is an open-book QA task with greater answer variability and longer answers the results are broadly similar (see Table 7) except for the exact matching accuracy criterion which is too demanding because of the much larger variety of possible answers for this task. + +Table 7: CoQA: the exact choice of the accuracy metric for the free-form open-book QA task has little effect on the assessment of the quality of the uncertainty measure except for the use of exact matching. For CoQA, getting an exact match is significantly harder. + +
MetricAUROCAccuracy
Semantic entropyNormalised entropy
Rouge-L(y,y') > 0.30.76720.75330.8239
Rouge-L(y, y) > 0.50.73790.72900.7657
Rouge-1(y,y) > 0.30.76720.75330.8239
Rouge-1(y,y) > 0.50.73970.73090.7677
Exact matching0.67490.67270.6459
+ +![](images/a0b59fea958a1d0197090e85985cc79d79292311793b51116ca83df4997eceb0.jpg) +Figure 5: Accuracy improves with model size, as does semantic entropy’s uncertainty performance. At the smallest model size, both accuracy and uncertainty diminish. + +# B.4 ACCURACY ABLATIONS WITH MODEL SIZE + +We confirm that increasing the model size improves the accuracy of the generations on both QA datasets (see Fig. 5a and Fig. 5b). Semantic entropy’s uncertainty performance is also shown for context. + +# B.5 EXAMPLE P(TRUE) FORMAT + +The format of the prompt, reproduced here for convenient reference from the original source Kadavath et al. (2022), is: + +Question: Who was the third president of the United States? +Here are some brainstormed ideas: James Monroe +Thomas Jefferson +John Adams +Thomas Jefferson +George Washington +Possible Answer: James Monroe +Is the possible answer: +(A) True +(B) False +The possible answer is: + +where the “brainstormed answers” are from the set of sampled answers A and P(True), i.e. the likelihood of the next token being True is taken as the uncertainty measure. The authors note that doing the above needs to be done in a few-shot manner and does not work well as in a zero-shot format. In our experiments, we use a few-shot prompt with 10 examples. + +![](images/8baec88093d5ac22756eeffab7397865136416bf1c1ac4c1cf63d62efaa9f471.jpg) +Figure 6: The margin probability, i.e. the difference between the likelihood of the most likely answer and the likelihood of the second most likely answer, is not very predictive of models’ accuracy on CoQA open-book question answering (a) nor on TriviaQA (b). Identical to Fig. 2 with the addition of Margin probability which was previously omitted to avoid stretching the scale. + +# B.6 MARGIN-PROBABILITY BASELINE + +We additionally compare our method to the margin probability method used for neural-symbolic parsing in Lin et al. (2022b): + +$$ +{ \mathcal { H } } _ { \operatorname* { m a r g i n } } ( p ( { \pmb y } \mid { \pmb x } , { \mathcal { D } } ) ) = p \left( { \pmb y } ^ { ( 1 ) } \mid { \pmb x } , { \mathcal { D } } \right) - p \left( { \pmb y } ^ { ( 2 ) } \mid { \pmb x } , { \mathcal { D } } \right) , +$$ + +where $\mathbf { y } ^ { ( 1 ) }$ is the top-1 beam search result and $\mathbf { y } ^ { ( 2 ) }$ is the top-2 beam search result. + +Initially, running the method as proposed in Lin et al. (2022b) using a 13B parameter model on CoQA, we find that $\mathcal { H } _ { \mathrm { m a r g i n } }$ is not very predictive of the model’s accuracy on answering questions in CoQA achieving an AUROC of 0.54. + +We hypothesise that two factors contribute to this poor performance. First, since this measure only looks at the difference of likelihoods, the information about the magnitude of the likelihood of a given answer is lost. Second—analogously to the predictive entropy—it would be important to take semantic uncertainty into account when computing $\mathcal { H } _ { \mathrm { m a r g i n } }$ . Manually inspecting model answers on CoQA, and the corresponding $\mathcal { H } _ { \mathrm { m a r g i n } }$ , we see that the margin between two semantically equivalent answers and two semantically distinct answers is often similar. That is, this measure does not distinguish between uncertainty between paraphrases of the same meaning (in which case the model might actually be confident about meaning of the answer), and the model’s uncertainty about which semantically distinct meaning is correct. + +We find that if instead of obtaining $\mathbf { y } ^ { ( 1 ) }$ and $\mathbf { y } ^ { ( 2 ) }$ by multinomial sampling (as in our other experiments) instead of by beam search, this second problem becomes less pronounced and $\mathcal { H } _ { \mathrm { m a r g i n } }$ performs better while still being clearly outperformed by the other methods we study. We report our full results in Fig. 6. + +Table 8: Example of challenges for $\mathcal { H } _ { \mathrm { m a r g i n } }$ . $\mathcal { H } _ { \mathrm { m a r g i n } }$ does not distinguish between lexical and semantic uncertainty and thus can not distinguish cases where the model is certain about the correct answer (but uncertain about the precise formulation) as in row 1, and cases where the model is uncertain about the correct answer as in row 2. The semantic entropy correctly indicates low uncertainty in the first case and high uncertainty in the second case. + +
y(1)y(2)HmarginSemantic entropy
Thomas Edison.Edison.0.900.10
Thomas.George.0.360.87
\ No newline at end of file diff --git a/parse/dev/VD-AYtP0dve/VD-AYtP0dve_content_list.json b/parse/dev/VD-AYtP0dve/VD-AYtP0dve_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..632b898b1217eab901eb46afd8665b0f972a9641 --- /dev/null +++ b/parse/dev/VD-AYtP0dve/VD-AYtP0dve_content_list.json @@ -0,0 +1,2295 @@ +[ + { + "type": "text", + "text": "SEMANTIC UNCERTAINTY: LINGUISTIC INVARIANCES FOR UNCERTAINTY ESTIMATION IN NATURAL LANGUAGE GENERATION ", + "text_level": 1, + "bbox": [ + 174, + 98, + 821, + 171 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Lorenz Kuhn, Yarin Gal, Sebastian Farquhar OATML Group, Department of Computer Science, University of Oxford lorenz.kuhn@cs.ox.ac.uk ", + "bbox": [ + 183, + 195, + 660, + 237 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 273, + 544, + 289 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We introduce a method to measure uncertainty in large language models. For tasks like question answering, it is essential to know when we can trust the natural language outputs of foundation models. We show that measuring uncertainty in natural language is challenging because of ‘semantic equivalence’—different sentences can mean the same thing. To overcome these challenges we introduce semantic entropy—an entropy which incorporates linguistic invariances created by shared meanings. Our method is unsupervised, uses only a single model, and requires no modifications to ‘off-the-shelf’ language models. In comprehensive ablation studies we show that the semantic entropy is more predictive of model accuracy on question answering data sets than comparable baselines. ", + "bbox": [ + 233, + 304, + 764, + 443 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 467, + 336, + 483 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Despite progress in natural language generation (NLG) tasks like question answering or abstractive summarisation (Brown et al., 2020; Hoffmann et al., 2022; Chowdhery et al., 2022), there is little understanding of uncertainty in foundation models. Without measures of uncertainty in transformerbased systems it is hard to use generated language as a reliable source of information. Reliable measures of uncertainty have been identified as a key problem in building safer AI systems (Amodei et al., 2016; Hendrycks et al., 2022). ", + "bbox": [ + 174, + 492, + 825, + 575 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Unfortunately, uncertainty in free-form NLG faces unique challenges. This limits how much we can learn from uncertainty estimation techniques in other applications of deep learning (Gal et al., 2016; Lakshminarayanan et al., 2017; Ovadia et al., 2019) which focuses especially on image classification (Kendall & Gal, 2017) or regression in low-dimensional data spaces (Kuleshov et al., 2018). ", + "bbox": [ + 174, + 582, + 823, + 637 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The key challenges come from the importance in language of meanings and form. This corresponds to what linguists and philosophers call the semantic content of a sentence and its syntactic or lexical form. Foundation models output token-likelihoods—representing lexical confidence. But for almost all applications we care about meanings! For example, a model which is uncertain about whether to generate “France’s capital is Paris” or “Paris is France’s capital” is not uncertain in any important sense. Yet, at a token-level the model is uncertain between two forms of the same meaning. Existing unsupervised methods (e.g., Malinin & Gales (2020)) ignore this distinction. ", + "bbox": [ + 174, + 645, + 825, + 742 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "To address semantic equivalence, we estimate semantic likelihoods—probabilities attached to meanings of text rather than standard sequence-likelihoods. We introduce an algorithm for clustering sequences that mean the same thing based on the principle that two sentences mean the same thing if you can infer each from the other. We then use these semantic-likelihoods to estimate semantic uncertainty—uncertainty over different meanings. In particular, we compute the entropy of the probability distribution over meanings. Adjusting for semantic equivalence in this way offers better uncertainty estimation than standard entropy and also greatly improves over methods for model self-evaluation (Kadavath et al., 2022). In addition, semantic entropy scales better with model size and makes better use of increasing numbers of samples than baselines. ", + "bbox": [ + 174, + 750, + 825, + 875 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We further analyse major challenges for measuring uncertainty in NLG. We show empirically how sampling a set of model answers to estimate entropies in NLG must balance sample accuracy and diversity, which significantly strengthens the baselines we compare against relative to prior implementations. We also examine the situational heuristic of length-normalising predictive entropies. Our main contributions are thus as follows: ", + "bbox": [ + 176, + 882, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/1636d74283e24f44eb87b05957ccb5e3a59b18c30701deaadc0ebefafbc6a35e.jpg", + "image_caption": [ + "Figure 1: (a) Our semantic entropy (blue) predicts model accuracy better than baselines on the free-form question answering data set TriviaQA (30B parameter OPT model). Normalised entropy reimplements single-model variant of Malinin & Gales (2020), lexical similarity measures the average Rouge-L in a sampled set of answers for a given question analogously to Fomicheva et al. (2020), entropy and $p ( \\mathrm { T r u e } )$ reimplement Kadavath et al. (2022). (b) Our method’s outperformance increases with model size while also doing well for smaller models. " + ], + "image_footnote": [], + "bbox": [ + 212, + 74, + 784, + 266 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 387, + 820, + 416 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• We explain why uncertainty in free-form NLG is different from other settings (Section 3). • We introduce semantic entropy—a novel entropy-based uncertainty measure which uses our algorithm for marginalising over semantically-equivalent samples (Section 4) and show that it outperforms comparable baselines in extensive ablations with both open- and closedbook free-form question answering using TriviaQA and CoQA (Section 6). • Through hyperparameter ablations we suggest how to balance the trade-off between sampling diverse and accurate generations for our method as well as baselines (Section 6.2) and show that far fewer samples are needed for effective uncertainty than prior work presumes. ", + "bbox": [ + 217, + 428, + 825, + 549 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We focus on free-form question answering (QA) because it is a difficult and important use of NLG with high-stakes applications. At the same time, it is easier to establish a ground truth without expensive human evaluation than more nebulous tasks like summarisation. ", + "bbox": [ + 176, + 563, + 825, + 604 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Ultimately, we show that semantic entropy is an effective unsupervised way to estimate uncertainty in NLG. As an unsupervised method, it requires no further training or data-gathering, unlike supervised methods including Lin et al. (2022a); Kadavath et al. (2022). Semantic entropy is designed to work with existing foundation and large language models with no modifications ‘out-of-the-box’. Our experiments use OPT (Zhang et al., 2022) but semantic entropy works with any similar model. ", + "bbox": [ + 174, + 611, + 825, + 681 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 BACKGROUND ON UNCERTAINTY ESTIMATION ", + "text_level": 1, + "bbox": [ + 176, + 694, + 594, + 710 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our method draws inspiration from probabilistic tools for uncertainty estimation, which have been extensively employed in settings like deep image classification (Gal et al., 2016). Although these methods are often used in Bayesian models, we emphasise that our method does not require any special training or architectural modifications and is not limited to Bayesian settings. ", + "bbox": [ + 174, + 719, + 825, + 776 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The total uncertainty of a prediction can be understood as the predictive entropy of the output distribution. This measures the information one has about the output given the input. This entropy is highest when the output is minimally informative—predicting the same probability for all possible outcomes. The predictive entropy for a point $x$ is the conditional entropy of the output random variable $Y$ with realisation $y$ given $x$ ", + "bbox": [ + 174, + 782, + 825, + 853 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/3952064c3a3fa5e505e8c0d746d791bcc25e6c87ba67339c6b396cfc91100cd0.jpg", + "text": "$$\nP E ( x ) = H ( Y \\mid x ) = - \\int p ( y \\mid x ) \\ln p ( y \\mid x ) d y\n$$", + "text_format": "latex", + "bbox": [ + 331, + 858, + 666, + 891 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "One can further distinguish aleatoric uncertainty—uncertainty in the underlying data distribution— and epistemic uncertainty—resulting from missing information (Kendall $\\&$ Gal, 2017). Epistemic uncertainty, measured using a mutual information, can be useful but is hard to estimate, especially for very large models, requiring special methods and computational expense. Instead of estimating the epistemic uncertainty based on the model variance, the epistemic uncertainty can also be predicted directly using a second model (see e.g. Jain et al. (2021)). We do not use mutual information in this work, because our focus is on existing foundation models ‘off-the-shelf’. Similarly, while, e.g., Malinin & Gales (2020) use ensembles of models to estimate the integral in Eq. (1) we use samples from a single model’s output distribution. Prior networks (Malinin & Gales, 2018; Malinin et al., 2020) estimate model uncertainty by emulating an ensemble with a single model. This could be important for NLG because of large model sizes. ", + "bbox": [ + 173, + 895, + 823, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 228 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "For sequence-prediction tasks like NLG, the probability of the entire sequence, s, is the product of the conditional probabilities of new tokens given past tokens, whose resulting log-probability is $\\begin{array} { r } { \\log p ( \\mathbf { s } \\mid x ) = \\bar { \\sum _ { i } \\log p ( s _ { i } \\mid \\mathbf { s } _ { < i } ) } } \\end{array}$ , where $s _ { i }$ is the $i ^ { \\because }$ ’th output token and $\\mathbf { s } _ { < i }$ denotes the set of previous tokens. Sometimes, instead of the entropy of these probabilities, the geometric mean token$\\begin{array} { r } { \\dot { \\mathbf { \\Xi } } _ { N } ^ { 1 } \\sum _ { i } ^ { N } \\log p ( s _ { i } \\mid \\mathbf { s } _ { < i } ) } \\end{array}$ tead (Malinin & Gales, 2020) becoming an arithmetic mean log-probability. Despite empirical success Murray & Chiang (2018), so far this has little theoretical justification. ", + "bbox": [ + 174, + 236, + 825, + 335 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Direct application of language models to uncertainty. In contrast to our approach using probabilistic methods, recent work has sought to use the generating language model itself to estimate its own uncertainty. For example, Lin et al. (2022a) finetune language models to verbally describe their confidence. Meanwhile, Kadavath et al. (2022) sample multiple generations and return the completion to an NLG prompt asking if a proposed answer is true (further detail in Appendix B.5). Both Lin et al. (2022a) and Kadavath et al. (2022) also propose ways to finetune predictors on the embeddings of generating models to predict models uncertainty. While promising, these approaches need task-specific labels, additional training, and seem to be unreliable out-of-distribution (as shown in Figures 13 and 14 in Kadavath et al. (2022)). ", + "bbox": [ + 173, + 343, + 825, + 468 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 CHALLENGES IN UNCERTAINTY ESTIMATION FOR NLG ", + "text_level": 1, + "bbox": [ + 178, + 476, + 669, + 491 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Approaches to NLG uncertainty might treat the language model as a black-box (e.g., asking it if its answer is correct) or alternatively focus on the probabilistic model without accounting for the special characteristics of language (e.g., measuring predictive entropy). ", + "bbox": [ + 176, + 494, + 825, + 536 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our unsupervised approach instead uses the powerful tools of probabilistic modelling, but also recognises the unique challenges posed by free-form NLG. In this section, we critically analyse the probabilistic interpretation of language models in order to ground both our method and future exploration of the field. ", + "bbox": [ + 174, + 542, + 825, + 598 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 SEMANTIC EQUIVALENCE IN LANGUAGE OUTPUTS ", + "text_level": 1, + "bbox": [ + 174, + 611, + 562, + 623 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Most machine learning problems have mutually exclusive outputs. An image in class 17 is not class 29 as well; a regression output of 23.1 is not anything else; an RL agent going left does not go right. In contrast, for free-form text generation an output usually means the same thing as many other outputs. For example, “The capital of France is Paris” means the same thing as “France’s capital is Paris”. Linguists and philosophers distinguish text’s meaning—its semantic content—from its syntactic and lexical form. The syntax is the grammatical structure while its lexical form is the specific words used. Lexical equivalence entails the other two, but not the reverse. ", + "bbox": [ + 174, + 628, + 825, + 727 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We almost always care about the semantic content of a sentence. For decision-problems relying on NLG, meaning is usually an invariance in output-space which is not present in the model specification. This is true for question answering, summarisation, artificial assistants. Meanings are especially important for trustworthiness: a system can be reliable even with many different ways to say the same thing but answering with inconsistent meanings shows poor reliability. ", + "bbox": [ + 174, + 734, + 825, + 804 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We can formalize semantic equivalence mathematically. Let the space of tokens in a language be $\\tau$ . The space of all possible sequences of tokens of length $N$ is then ${ \\cal S } _ { N } \\equiv { \\cal T } ^ { N }$ . For some sentence $\\mathbf { s } \\in { \\mathcal { S } } _ { N }$ , a sequence of tokens $s _ { i } \\in \\mathcal T$ there is an associated meaning.1 ", + "bbox": [ + 174, + 810, + 825, + 853 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let us introduce a placeholder semantic equivalence relation, $E ( \\cdot , \\cdot )$ , which holds of any two sentences that mean the same thing—we operationalise this in Section 4. Recall that an equivalence ", + "bbox": [ + 176, + 859, + 821, + 887 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Table 1: Answers to the question “What is the capital of France?” (a) When all generations from the model mean different things, semantic clustering has no effect—the entropy and semantic entropy are identical. (b) When some of the answers are semantically equivalent (“Paris” and “It’s Paris”) the semantic entropy does a better job of capturing the actually low uncertainty. ", + "bbox": [ + 173, + 71, + 825, + 128 + ], + "page_idx": 3 + }, + { + "type": "table", + "img_path": "images/146ce682e75005c57e85851f2705386f7dc2525aa1708f51589ab77a65088bf7.jpg", + "table_caption": [ + "(a) Scenario 1: No semantic equivalence " + ], + "table_footnote": [], + "table_body": "
Answer SLikelihood p(s|x)Semantic likelihood ∑secp(s|x)
Paris0.50.5
Rome0.40.4
London0.10.1
Entropy0.310.31
", + "bbox": [ + 179, + 160, + 493, + 266 + ], + "page_idx": 3 + }, + { + "type": "table", + "img_path": "images/8d7df49b8e6f886f83f3f880ba5a08afc8d6785c987eb54eb9c90c8a0c8746a2.jpg", + "table_caption": [ + "(b) Scenario 2: Some semantic equivalence " + ], + "table_footnote": [], + "table_body": "
Answer SLikelihood p(s|x)Semantic likelihood ∑secp(s|x)
Paris0.5 10.9
It's Paris London0.4
0.10.1
Entropy0.310.16
", + "bbox": [ + 501, + 160, + 821, + 266 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "relation is any reflexive, symmetric, and transitive relation, and that any equivalence relation on a set corresponds to a set of equivalence classes. Each semantic equivalence class corresponds to one possible meaning that our text can have. That is, for the space of semantic equivalence classes $\\mathcal { C }$ the sentences in the set $c \\in { \\mathcal { C } }$ all share a meaning such that $\\forall s , s ^ { \\prime } \\in c : E ( s , s ^ { \\prime } )$ . ", + "bbox": [ + 174, + 290, + 825, + 348 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Ordinarily, large language models produce conditional distributions over tokens and their resulting sequences. That is, the probability of the sequence conditioned on the context comes from conditional token probabilities $\\begin{array} { r } { p ( \\mathbf { s } \\mid x ) { \\dot { } } = \\prod _ { i } p ( s _ { i } \\mid s _ { < i } , x ) } \\end{array}$ . Instead, we focus on the probability of the model generating any sequence that shares some meaning. This can be written as ", + "bbox": [ + 174, + 353, + 825, + 410 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/e5f71a96ac430635a5bb66c07dbfcd4496b3d3db7367195ca3f6d1fc64115fa7.jpg", + "text": "$$\np ( c \\mid x ) = \\sum _ { \\mathbf { s } \\in c } p ( \\mathbf { s } \\mid x ) = \\sum _ { \\mathbf { s } \\in c } \\prod _ { i } p ( s _ { i } \\mid s _ { < i } , x ) .\n$$", + "text_format": "latex", + "bbox": [ + 339, + 415, + 656, + 449 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Formally, this treats the output random variable whose event-space is $\\mathcal { C }$ , a sub- $\\sigma$ -algebra of the standard event-space $s$ . ", + "bbox": [ + 176, + 454, + 823, + 483 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 SAMPLING THE EXTREMELY HIGH-DIMENSIONAL LANGUAGE-SPACE ", + "text_level": 1, + "bbox": [ + 176, + 493, + 687, + 507 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Recall from Eq. (1) that estimating predictive entropy requires taking an expectation in output-space. However, the output-space of natural language has $\\mathrm { \\dot { \\mathcal { O } } } ( | \\dot { \\mathcal { T } } | ^ { N } )$ dimensions. Moreover, while we can sample from our autoregressive token-model, we lack a normalized probability density function over sentences. The expectation must be approximated by Monte Carlo integration—sampling a finite set of sentences from the output distribution and averaging their likelihoods to compute the entropy. For entropies the average is dominated by low-probability sentences (whose logs are large and negative) making Monte Carlo integration difficult (Mackay, 2003). ", + "bbox": [ + 174, + 512, + 825, + 611 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.3 VARIABLE LENGTH GENERATIONS ", + "text_level": 1, + "bbox": [ + 176, + 622, + 450, + 636 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Sentences of natural language have different lengths. As is widely noted (Murray & Chiang, 2018) and especially in the context of NLG uncertainty by Malinin & Gales (2020), in expectation longer sequences have lower joint likelihoods because of the conditional independence of the token probabilities. The joint likelihood of a sequence of length $N$ shrinks exponentially in $N$ . Its negative log-probability therefore grows linearly in $N$ , so longer sentences tend to contribute more to entropy. ", + "bbox": [ + 174, + 641, + 825, + 710 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We therefore interpret length-normalising the log-probabilities when estimating the entropy as asserting that the expected uncertainty of generations is independent of sentence length. Sometimes, this is approximately valid. Other times, longer sentences may well be usually more uncertain (e.g., when the goal is to exactly match a typically short reference answer, such as for TriviaQA). In these cases, the advantages of length-normalisation become less clear-cut, as we show empirically in Section 6.1. This offers some guidance a priori on cases when length-normalisation is appropriate. ", + "bbox": [ + 174, + 717, + 825, + 801 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4 SEMANTIC UNCERTAINTY ", + "text_level": 1, + "bbox": [ + 176, + 815, + 421, + 832 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We have introduced the idea that uncertainty over meanings is more important for most situations than uncertainty over the exact tokens used to express those meanings. Our method examines uncertainty in meaning-space—the entropy of the random variable representing the output distribution in the semantic event-space. This is in contrast to entropy in the usual token event-space. To do this we introduce a novel algorithm for estimating the semantic equivalence relation as well as a novel uncertainty estimation algorithm for semantic entropy. At a high level this involves three steps: ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "1. Generation: Sample $M$ sequences $\\{ s ^ { ( 1 ) } , \\ldots , s ^ { ( M ) } \\}$ from the predictive distribution of a large language model given a context $x$ . ", + "bbox": [ + 210, + 102, + 825, + 132 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "2. Clustering: Cluster the sequences which mean the same thing using our bi-directional entailment algorithm. ", + "bbox": [ + 210, + 137, + 823, + 166 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3. Entropy estimation: Approximate semantic entropy by summing probabilities that share a meaning following Eq. (2) and compute resulting entropy. This is illustrated in Table 1. ", + "bbox": [ + 212, + 170, + 821, + 199 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Step 1: Generating a set of answers from the model ", + "text_level": 1, + "bbox": [ + 174, + 210, + 532, + 226 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "First we sample $M$ sequences $\\{ s ^ { ( 1 ) } , \\ldots , s ^ { ( M ) } \\}$ which we will use later to estimate the uncertainty. These sequences must be sampled according to the distribution $p ( \\mathbf { s } \\mid x )$ . In this paper, we sample these sequences only from a single model using either multinomial sampling or multinomial beam sampling. We show in Section 6.2, that the choice of sampling temperature and sampling method can have a significant impact on the performance of both our method and the baselines. Unlike Malinin & Gales (2020), we do not use an ensemble of models. Ensembling would probably improve performance, but the cost of training multiple independent foundation models is often prohibitive. ", + "bbox": [ + 173, + 229, + 825, + 329 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Step 2: Clustering by semantic equivalence ", + "text_level": 1, + "bbox": [ + 174, + 337, + 475, + 351 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In Section 3.1, we formalised semantic equivalence by introducing the semantic equivalence relation, $E ( \\cdot , \\cdot )$ , which induces semantic equivalence classes which are sets of sequences that share a meaning. Recall that the equivalence class $c$ is a set of sequences s such that $\\forall s , s ^ { \\prime } \\in c : E ( s , s ^ { \\prime } )$ . We operationalise $E ( \\cdot , \\cdot )$ using the idea of bi-directional entailment. A sequence, s, means the same thing as a second sequence, $\\mathbf { s } ^ { \\prime }$ , if and only if they entail (i.e. logically imply) each other. E.g., “The capital of France is Paris.” entails “Paris is the capital of France.” because they mean the same thing. ", + "bbox": [ + 174, + 357, + 825, + 441 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Importantly, we require that the sequences mean the same thing with respect to the context—key meaning is sometimes contained within the context. For example, “Paris.” does not entail “The capital of France is Paris.” because “Paris.” is not a declarative sentence without context. But within the context of the question, the one-word answer does entail the fuller answer. ", + "bbox": [ + 173, + 448, + 825, + 503 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In general, any natural language inference classification system (NLI) can be used for our bidirectional entailment clustering algorithm. In our case, we use a Deberta-large model (He et al., 2020a) that is fine-tuned on the NLI data set MNLI (Williams et al., 2017). For each pair of sequences in our set of samples, s and $\\mathbf { s } ^ { \\prime }$ , we detect whether it is possible to infer the concatenation of the context and s from the concatenation of the context and $\\mathbf { s } ^ { \\prime }$ and vice versa. To do this we concatenate each of the two question/answer pairs, and then concatenate them both together separated by a special token. The Deberta model then classifies this sequence into one of: entailment, neutral, contradiction. We compute both directions, and the algorithm returns equivalent if and only if both directions were entailment. Algorithm pseudocode is provided in Appendix A.2. ", + "bbox": [ + 174, + 511, + 825, + 637 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Because this component is novel, we confirm in Appendix B.2 that the bidirectional entailment classifier works by manually labelling 300 generations for semantic equivalence, finding an accuracy of $9 2 . 7 \\%$ on TriviaQA and $9 5 . 5 \\%$ on CoQA. ", + "bbox": [ + 174, + 643, + 825, + 685 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Computational cost. The bidirectional equivalence algorithm is combinatorially complex in $M$ , it requires $\\binom { M } { 2 }$ -many comparisons in the worst-case. In practice, however, the computational cost is small compared to the cost of generating sequences. First, as we show in Section 6.2, $M < 2 0$ is often sufficient for good uncertainty. Second, because the Deberta-large model is so much smaller than the main language model (1.5B parameters), each pair comparison is much faster than generating even one token from the main model. Third, because semantic equivalence is transitive we only need to compare one member of each equivalence class to remaining sequences (see Algorithm 1). Additionally, the number of semantic clusters in our tasks is empirically quite low, see Table 2. ", + "bbox": [ + 173, + 691, + 825, + 806 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Step 3: Computing the semantic entropy ", + "text_level": 1, + "bbox": [ + 174, + 813, + 457, + 827 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Having determined the clusters of generated sequences that mean the same thing, we add their likelihoods following Eq. (2) as a way of determining the likelihood of each meaning, rather than each sequence. We then compute the semantic entropy (SE) as the entropy over the meaning-distribution ", + "bbox": [ + 174, + 833, + 823, + 876 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/599f16bbd30d9c9c17f9d4328c7e0f9b44817d8c645b4078a4c120728690f43d.jpg", + "text": "$$\nS E ( x ) = - \\sum _ { c } p ( c \\mid x ) \\log p ( c \\mid x ) = - \\sum _ { c } { \\Bigg ( } { \\Big ( } \\sum _ { \\mathbf { s } \\in c } p ( \\mathbf { s } \\mid x ) { \\Big ) } \\log { \\Big [ } \\sum _ { \\mathbf { s } \\in c } p ( \\mathbf { s } \\mid x ) { \\Big ] } { \\Bigg ) } .\n$$", + "text_format": "latex", + "bbox": [ + 220, + 882, + 777, + 921 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We do not have access to every possible meaning-class $c$ . Instead, we can only sample $c$ from the sequence-generating distribution induced by the model. To handle this, we estimate the expectation in Eq. (3) using Monte Carlo integration over the semantic equivalence classes $C$ from Algorithm 1 ", + "bbox": [ + 174, + 103, + 826, + 146 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/ceaa13f98f14c9c3da80a302b2dd51afc8297842aa671917b58437205a7ce14a.jpg", + "text": "$$\nS E ( x ) \\approx - | C | ^ { - 1 } \\sum _ { i = 1 } ^ { | C | } \\log p ( C _ { i } \\mid x ) .\n$$", + "text_format": "latex", + "bbox": [ + 379, + 154, + 620, + 199 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "This is an unbiased estimator of the entropy in Eq. (3). In addition, in some cases we use lengthnormalisation as described in Section 3.3. ", + "bbox": [ + 173, + 205, + 823, + 234 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.1 HOW THE SEMANTIC ENTROPY ADDRESSES THE CHALLENGES OF NLG ", + "text_level": 1, + "bbox": [ + 176, + 247, + 707, + 261 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The main inspiration of semantic entropy is to address the semantic invariance of natural language head-on by converting the problem of uncertainty estimation into meaning-space. In addition, semantic entropy goes some way towards addressing unequal token importance. Generations whose meanings are the same but differ on unimportant tokens will be added together, which we expect will reduce the effect of the likelihoods of unimportant tokens although we do not demonstrate this empirically. However, this challenge is only partially addressed: semantic entropy will still pay too much attention to non-keyword likelihoods. This is one area where supervised language-modelbased uncertainty tools (Lin et al., 2022a; Kadavath et al., 2022) might enable future improvements that handle this challenge better. We address the challenges of sampling and variable-length generation using specific details of our sampling procedure in Section 4. ", + "bbox": [ + 173, + 266, + 825, + 406 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 421, + 344, + 438 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Prior work on uncertainty in foundation models for NLP has largely focused on the calibration of classifiers (Jiang et al., 2021; Desai & Durrett, 2020) and text regressors (Glushkova et al., 2021; Wang et al., 2022). These settings, are analogous to classification or regression settings in other modalities like vision, and conventional uncertainty measures like MC dropout or Deep Ensembles can be applied without modification (see Section 2 for a discussion of uncertainty in deep learning in general). As we argue in Section 3, generative natural language poses important further challenges. Jiang et al. (2021) do examine calibration in generative question answering and find only a weak correlation between the log-likelihood models assign to their answer and the answer’s correctness. In Section 6 we explain however why semantic equivalence in natural language makes calibration a problematic evaluation for generative language models. Reliable uncertainty can be useful on downstream tasks such as graph semantic parsing (Lin et al., 2022b). ", + "bbox": [ + 173, + 446, + 825, + 601 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Some research has addressed uncertainty or calibration in NLG either by prompting the models to evaluate their own generations or by fine-tuning the generating model to predict its uncertainty (Mielke et al., 2020; Lin et al., 2022a; Kadavath et al., 2022). These methods need further training and supervision. Because they need additional training and supervision, they are hard to reproduce, expensive to create, and have been shown to be sensitive to distribution shift. For example, we were unable to implement one proposal by Kadavath et al. (2022) to train a language model to directly predict confidence due to hardware limitations. Our unsupervised method which uses models ‘offthe-shelf’ avoids these limitations. ", + "bbox": [ + 174, + 607, + 825, + 718 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Many of the issues that make probabilistic uncertainty estimation in NLG difficult also make automatic evaluation of NLG difficult. Ott et al. (2018), for instance, study how the performance of machine translation models suffers because one sentence can be translated in multiple ways. Similarly, Sai et al. (2022) discuss how paraphrase detection can be used to evaluate NLG and other related methods might transfer to uncertainty estimation. ", + "bbox": [ + 174, + 724, + 825, + 795 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Automatic paraphrase identification can be based on comparing lexical features of two given sequences (Fernando & Stevenson, 2008; Issa et al., 2018) or on measuring the similarity between the embeddings of the two sequences (Yu et al., 2014; Socher et al., 2011). Recently, however, SotA paraphrase identification approaches have primarily used BERT-based models to classify pairs of sequences into the classes paraphrases and not paraphrases (He et al., 2020b; Tay et al., 2021). The idea of formalising semantic equivalence via textual entailment has a long history in linguistics (Culicover, 1968) and NLP (Pado et al., 2009; Androutsopoulos & Malakasiotis, 2010). ´ Transformer-based paraphrase detection models such as EFL (Wang et al., 2021) achieve SotA performance on paraphrase detection benchmarks such as Quora Question Pairs Wang et al. (2017). ", + "bbox": [ + 174, + 801, + 825, + 928 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/42c762d501d32633afa83322495aeef5d1967d75b2d5fd1de160407b37749cc2.jpg", + "image_caption": [ + "Figure 2: (a) On CoQA open-book question answering semantic entropy demonstrates better uncertainty than ordinary predictive entropy with and without normalisation at larger model sizes. It also performs significantly better than $p ( \\mathrm { T r u e } )$ . (b) TriviaQA shows similar results. Identical to Fig. 1b with the addition of $p ( \\mathrm { T r u e } )$ , which was previously omitted to avoid stretching the scale. " + ], + "image_footnote": [], + "bbox": [ + 212, + 68, + 785, + 258 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6 EMPIRICAL EVALUATION ", + "text_level": 1, + "bbox": [ + 176, + 339, + 413, + 354 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We demonstrate that semantic entropy is an effective way to quantify the uncertainty of NLG on free-form QA tasks. Effective uncertainty measures should offer information about how reliable the model’s answers are—that is, very uncertain generations should be less likely to be correct. ", + "bbox": [ + 176, + 366, + 823, + 409 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Performance evaluation. Following prior work (e.g. Filos et al. (2019)), we evaluate uncertainty by treating uncertainty estimation as the problem of predicting whether to rely on a model generation for a given context—whether to trust an answer to a question. The area under the receiver operator characteristic curve (AUROC) metric is equivalent to the probability that a randomly chosen correct answer has a higher uncertainty score than a randomly chosen incorrect answer. Higher scores are better, with perfect uncertainty scoring 1 while a random uncertainty measure would score 0.5. ", + "bbox": [ + 174, + 415, + 825, + 498 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The AUROC is a better measure of uncertainty for free-form question answering and NLG than calibration measures like the Brier score, which are often used in classification or for multiple choice QA. This is because the language model outputs a likelihood for a given token-sequence, but not for an entire meaning. In order to estimate the Brier score, we would need to estimate the entire probability mass assigned to any possible way of saying the correct answer. This is intractable for free form text where we do not have access to probabilities about meanings. In contrast, we can estimate the entropy because it is structured as an expected information, which makes Monte Carlo integration suitable. ", + "bbox": [ + 173, + 505, + 825, + 616 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Model. We use the GPT-like OPT models (Zhang et al., 2022). We vary the size of the model between 2.7B, 6.7B, 13B and 30B parameters, while our headline results are all reported using the largest computationally feasible model, with 30B parameters. In all cases we use only a single unmodified model. There is no ensembling and no stochastic or Bayesian modification. We chose this because in most cases cutting-edge foundation models are not available as ensembles and are too large to efficiently perform approximate Bayesian inference with. We do not fine-tune these models on TriviaQA or CoQA but use them in their pre-trained form. ", + "bbox": [ + 173, + 622, + 825, + 722 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Datasets. We use CoQA Reddy et al. (2019) as an open-book conversational question answering problem (in which the model answers a question using a supporting paragraph). We use the development split $\\mathord { \\sim } 8 0 0 0$ questions). We also use TriviaQA (Joshi et al., 2017) as a closed-book QA problem (in which the model must answer a question without access to a supporting paragraph). We use a subset of 8000 questions of the training split to match the size of CoQA. ", + "bbox": [ + 174, + 728, + 825, + 797 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We evaluate correctness of our model’s generations on the underlying dataset using the a fuzzy matching criterion: $\\mathcal { L } ( \\mathbf { s } , \\mathbf { s } ^ { \\prime } ) = \\mathbf { 1 } _ { R o u g e L ( \\mathbf { s } , \\mathbf { s } ^ { \\prime } ) > 0 . 3 }$ . That is, we consider an answer s to be correct if its Rouge-L (Lin & Och, 2004) — a measure of the longest common subsequence — with regards to the reference answer is larger than 0.3. In Appendix B.3 we study other objective functions such as exact matching and Rouge-1 and find our method to be robust to these choices. ", + "bbox": [ + 174, + 805, + 825, + 875 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Baselines. We compare our method against predictive entropy, length-normalised predictive entropy (Malinin & Gales, 2020), $p ( \\mathrm { T r u e } )$ (Kadavath et al., 2022), and lexical similarity (similar to (Fomicheva et al., 2020)). Predictive entropy is a widely used measure of uncertainty in other domains, and has been used as a baseline without length-normalisation in, e.g., Kadavath et al. (2022). Here, the score is just the predictive entropy of the output distribution as described in Eq. (1). Length-normalised predictive entropy divides the joint log-probability of each sequence by the length of the sequence, as proposed by Malinin & Gales (2020) in the case of NLG uncertainty and further discussed in Section 3.3. Note that unlike Malinin & Gales (2020), we use only a single model, not an ensemble, and use multinomial sampling as we do for all other methods. $p ( \\mathbf { T r u e } )$ proposed by (Kadavath et al., 2022) as a way to estimate the probability that a model’s generation is correct by ‘asking’ the model if its answer is correct. They propose sampling $M$ answers and constructing a new natural language question using these possible answers as context before asking whether the proposed answer is correct and measuring the probability of the completion being True. An example of the format is provided in Appendix B. Note that our implementation of this uses OPT models with up to 30B parameters, while Kadavath et al. (2022) use a proprietary 52B parameter model. We are also limited computationally to 10-shot prompting while the original paper uses 20-shot prompting. Lexical similarity uses the average similarity of the answers in the answer set A: C P i=1 P j =1 $\\begin{array} { r } { \\frac { 1 } { C } \\sum _ { i = 1 } ^ { | \\bar { \\mathbb { A } } | } \\sum _ { j = 1 } ^ { \\lceil \\bar { \\mathbb { A } } \\rceil } \\bar { \\sin } \\left( s _ { i } , s _ { j } \\right) } \\end{array}$ , where $C = \\left| \\mathbb { A } \\right| * ( \\left| \\mathbb { A } \\right| - 1 ) / 2$ , and sim is Rouge-L. Additionally, we evaluate a margin-probability baseline (Lin et al., 2022b) in Appendix B.6, and study why it is not very predictive of model accuracy in this setting. All code and data used in our experiments are available at https://github.com/lorenzkuhn/semantic_uncertainty. ", + "bbox": [ + 176, + 882, + 823, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/3997e76d90b7de6ff35903424534cc5b90e672f916180c0a71c193f56af0aed9.jpg", + "table_caption": [ + "Table 2: Incorrectly answered questions have more semantically distinct answers than correct ones. On its own, this count is a reasonable uncertainty measure, though semantic entropy is better. " + ], + "table_footnote": [], + "table_body": "
DatasetAverage # of semantically distinct answersAUROC
Correctly answeredIncorrectly answeredSemantic entropy# distinct answers
CoQA1.271.770.770.66
TriviaQA1.893.890.830.79
", + "bbox": [ + 176, + 112, + 825, + 189 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 196, + 825, + 452 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6.1 SEMANTIC ENTROPY UNCERTAINTY ", + "text_level": 1, + "bbox": [ + 176, + 462, + 464, + 477 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For both TriviaQA and $\\mathrm { C o Q A }$ , semantic entropy improves over baselines in predicting whether a model’s answer to a question is correct. For TriviaQA, using the largest model we show in Fig. 1a we show that semantic entropy has a significantly higher AUROC than entropy in sequence-probabilityspace with and without length-normalisation, as well as the lexical similarity baseline. At the same time, it performs dramatically better than $p ( \\mathrm { T r u e } )$ . Similarly, we find in Fig. 1b that our method outperforms more for larger model sizes and continues to steadily improve as the model size increases, with the performance of the $p ( \\mathrm { T r u e } )$ baseline added in Fig. 2b (not shown in the opening figure for visual clarity). For CoQA, in Fig. 2a we show that semantic entropy predicts model correctness significantly better than the baselines at larger model sizes. ", + "bbox": [ + 174, + 481, + 825, + 607 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "The ground truth answers for TriviaQA are generally single words or very short phrases, while CoQA contains both longer and shorter ground truth answers. This is why performing lengthnormalisation has a large effect for CoQA but no effect for TriviaQA (compare Fig. 2a and Fig. 2b). TriviaQA is also a more challenging dataset: accuracy of $5 0 . 6 \\%$ against $8 2 . 3 \\%$ for CoQA. ", + "bbox": [ + 174, + 614, + 825, + 670 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We can better understand the mechanism of action for semantic entropy by examining the difference between incorrect and correct answers generated by the model. In Table 2 we show that the average number of semantically distinct clusters of answers $( | C | )$ from the 30B parameter model is significantly greater for incorrectly answered questions than correctly answered ones. This fits our predictions, which is that the model is more likely to generate incorrect answers when it is uncertain about the most likely generation. There are 10 answers generated per question, so there is substantial overlap in meaning. We also show that simply using the number of semantically distinct answers as an uncertainty measure on its own performs reasonably well. Semantic entropy has a higher AUROC than the number of distinct answers, especially for CoQA whose difficulty causes greater spread in predicted probabilities between possible answers. ", + "bbox": [ + 174, + 676, + 825, + 815 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Finally, we can see that much of the performance gain comes from making better use of more samples. In Fig. 3a we show that for both CoQA (top) and TriviaQA (bottom) the gap between semantic entropy and length-normalised entropy widens as the number of samples increases. ", + "bbox": [ + 174, + 823, + 825, + 864 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6.2 HYPERPARAMETERS FOR EFFECTIVE SAMPLING ", + "text_level": 1, + "bbox": [ + 174, + 876, + 545, + 890 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Adjusting the temperature used for multinomial sampling has two competing effects on the generated sequences produced by the model. Increasing the temperature increases the diversity of samples (Fig. 3b, bottom figure, solid line). One would expect more diverse generations to cover the space of possible meanings more fully. Here we measure the diversity using the average overlap of the longest sub-sequence among sampled answers $( 1 - \\binom { M } { 2 } ^ { - 1 } \\sum _ { { \\bf s } \\neq { \\bf s } ^ { \\prime } \\in C }$ Rouge- $\\mathbf { \\cdot L } ( \\mathbf { s } , \\mathbf { \\bar { s } } ^ { \\prime } ) ,$ ). At the same time, reducing the temperature improves the average correctness of the answer (Fig. 3b, bottom figure, dashed line). Typically, more accurate models are also better at estimating uncertainty. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/9ad115f77fedd83616d7842c6f73151110b9eda1ec9a0a0c7b3ac625f9153b69.jpg", + "image_caption": [ + "Figure 3: (a) Semantic entropy makes better use of additional samples because it handles duplication better, the performance gap therefore continues to improve. (b) (bottom) Higher temperatures result in more diversity but less accurate generations. (top) The best performing uncertainty comes from an intermediate temperature that balances these two forces. Results on TriviaQA. " + ], + "image_footnote": [], + "bbox": [ + 181, + 104, + 808, + 349 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 426, + 825, + 498 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In fact, we find that these two effects compete and the highest AUROC for semantic entropy and length-normalised entropy is optimised by an intermediate temperature of 0.5 (Fig. 3b, top figure). A lower temperature would improve accuracy, while a higher temperature would improve diversity. A similar figure for CoQA can be found in Appendix B. Note that prior work using predictive entropy as a baseline uses a temperature of 1.0 (Kadavath et al., 2022), which our evaluation suggests would significantly weaken the baseline relative to our implementation. ", + "bbox": [ + 174, + 506, + 825, + 589 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "7 DISCUSSION ", + "text_level": 1, + "bbox": [ + 174, + 601, + 312, + 616 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Many natural language problems display a crucial invariance: sequences of distinct tokens mean the same thing. Addressing this directly, we introduce semantic entropy—the entropy of the distribution over meanings rather than sequences—and show that this is more predictive of model accuracy on QA than strong baselines. Our unsupervised approach using ‘out-of-the-box’ models improves reproducibility and is easier to deploy. Unsupervised uncertainty may also help address the observation raised in prior work that supervised uncertainty measures struggle with distribution shift. ", + "bbox": [ + 174, + 617, + 825, + 702 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "For semantic entropy, we introduce a novel bidirectional entailment clustering algorithm which uses a smaller natural language inference model. Our method therefore represents a middle ground between fully probabilistic methods and methods that use language models to exploit aspects of natural language that are not transparently present in the model activations. We believe that this sort of joint approach is more promising than relying on either perspective on its own, especially as language models continue to improve. This will become more important in cases where language models are capable of deception, something which our method does not protect against, rather than merely being uncertain between many possible meaningful options. By combining model internals with model prediction one can hope to stay a step ahead of model capabilities. ", + "bbox": [ + 174, + 708, + 825, + 833 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We focus on question answering because this is a particularly important free-form NLG problem with relatively clear ground truths. In the future, however, we hope our work on semantic equivalence can pave the way towards progress in settings like summarisation where correctness requires more human evaluation although additional progress on paraphrase identification in these settings is likely required first. Semantic likelihoods could also be extended to other tools for probabilistic uncertainty like mutual information, potentially offering new strategies for NLG uncertainty. ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 104, + 326, + 117 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We are grateful to Geoffrey Irving, Kuba Perlin, Laura Rimell, and Miles Turpin for their advice and feedback on earlier drafts of this paper. We are also grateful to the members of the OATML group for helpful discussions about this project. ", + "bbox": [ + 176, + 127, + 823, + 170 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "ETHICS STATEMENT ", + "text_level": 1, + "bbox": [ + 174, + 186, + 316, + 200 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Our aim is to work towards safer AI systems by enabling users to understand the confidence and reliability of language model generations. In principle, this could help mitigate many of the potential harms of NLG from foundation models such as generating false and harmful information in response to genuine questions about important topics like medical questions. However, this potential benefit comes with the risk that systematic mistakes in the assessment of uncertainty or its communication could cause unfounded and misplaced confidence. While this paper represents research progress in identifying new considerations and methods for uncertainty quantification in NLG, before deployment we advise that practitioners conduct extensive evaluations specific to the deployment context to make sure that uncertainty is communicated in a way that empowers users and is not misleading or confusing. ", + "bbox": [ + 174, + 212, + 825, + 352 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REPRODUCIBILITY STATEMENT ", + "text_level": 1, + "bbox": [ + 176, + 367, + 393, + 381 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Because of the computational cost of experimentation with foundation models, most of the relatively small amount of existing research into NLG uncertainty relies on proprietary models, finetuning of expensive models, and human evaluation. These factors put this kind of research out of reach for many academic groups. Our work takes advantage of the recently released, publicly available OPT models, and builds on this to provide an uncertainty quantification pipeline for NLG that uses entirely open source tools. Meanwhile our method requires no finetuning or training of foundation models and can work with ‘off-the-shelf’ existing models. 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Sentence ASentence BEquivalence
LexicalSyntacticSemantic
Paris is the capital of France.Paris is the capital of France.√V√
Berlin is the capital of France. France's capital is Paris.√
", + "bbox": [ + 173, + 154, + 813, + 256 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A FURTHER DETAILS ON SEMANTIC ENTROPY ", + "text_level": 1, + "bbox": [ + 176, + 284, + 570, + 299 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.1 FURTHER DISCUSSION OF SEMANTIC EQUIVALENCE ", + "text_level": 1, + "bbox": [ + 174, + 309, + 576, + 324 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We illustrate the distinction between different kinds of equivalence in Table 3. Lexically equivalent sequences use exactly the same symbols. They are always also semantically and syntactically equivalent (in a given context). Syntactically equivalent sentences have the same grammatical form. But they can have different meanings (not semantically equivalent) and can use different symbols (not lexically equivalent). Semantically equivalent sentences mean the same thing, but they might have different grammatical form (not syntactically equivalent) or symbols (not lexically equivalent). Two sentences can also be both syntactically and semantically equivalent but not lexically equivalent if they match up to a synonym. ", + "bbox": [ + 173, + 330, + 825, + 441 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Soft equivalence and transitivity. Formally, semantic equivalence is transitive. That is, if $E ( \\mathbf { s } , \\mathbf { s } ^ { \\prime } )$ and $E ( \\mathbf { s } ^ { \\prime } , \\mathbf { s } ^ { \\prime \\prime } )$ then it follows that $E ( \\mathbf { s } , \\mathbf { s } ^ { \\prime \\prime } )$ . However, the implementation of our bidirectional equivalence algorithm permits some classification errors and it is slightly ‘soft’—it will sometimes return equivalent for pairs that are not quite equivalent. As a result, it is not strictly true that our equivalence relation is transitive, and therefore not strictly true that there is a unique set of equivalence classes. For example, the clusters might depend on the order in which the comparisons are made. In practice, however, we find that this does not pose a noticeable problem—usually, inspecting the outputs shows that the equivalence appears clear cut. However, we acknowledge this potential issue as an area for improvement in future clustering algorithms. ", + "bbox": [ + 173, + 448, + 825, + 574 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Unequal token importance. From the perspective of meaning, some tokens can matter more than others—key words. Naive methods like predictive entropy do distinguish between key words or unimportant tokens. Supervised uncertainty methods that make use of language models in the uncertainty evaluation can potentially take this into account better. In addition, our semantic entropy approach partly adjusts for this, as discussed in Section 4.1. ", + "bbox": [ + 174, + 580, + 823, + 651 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.2 FURTHER ALGORITHMIC DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 665, + 450, + 679 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In addition to the description of the method provided in the main body, in Algorithm 1 we provide the pseudocode for our bi-directional entailment algorithm. ", + "bbox": [ + 174, + 685, + 825, + 714 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": ".3 IMPACT OF SAMPLING METHOD ON QUALITY OF UNCERTAINTY ESTIMATE ", + "text_level": 1, + "bbox": [ + 191, + 729, + 722, + 742 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In Section 4, we study the impact of the temperature hyper-parameter on the performance of the uncertainty measures. Here, we show a variant of Fig. 3b for the CoQA dataset showing an almost identical pattern. Like TriviaQA, the optimal temperature is 0.5 despite a significantly harder problem with lower accuracy, suggesting that this choice hyperparameter may generalize well. Unlike TriviaQA, normalised entropy outperforms semantic entropy at high temperatures. ", + "bbox": [ + 174, + 750, + 825, + 819 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Beyond the temperature, there are a number of other design choices to be made when sampling: the sampling method and hyper-parameters such as $\\tt t o p { - p }$ and $\\tt t o p \\mathrm { - k }$ . Our contribution in this paper is to show the importance of these choices for uncertainty estimation which has been overlooked previously, and study the temperature in particular. While we leave the detailed study of these hyperparameters to future work, we do compare our default multinomial sampling method, to multinomial beam search sampling which focuses more on high-likelihood regions of the output space. ", + "bbox": [ + 174, + 827, + 825, + 924 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Algorithm 1 Bidirectional Entailment Clustering ", + "text_level": 1, + "bbox": [ + 176, + 103, + 496, + 118 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Require: context $x$ , set of seqs. $\\{ \\mathbf { s } ^ { ( 2 ) } , \\ldots , \\mathbf { s } ^ { ( M ) } \\}$ , NLI classifier $\\mathcal { M }$ , set of meanings $C = \\{ \\{ \\mathbf { s } ^ { ( 1 ) } \\} \\}$ for $2 \\leq m \\leq M$ do for $c \\in C$ do $\\triangleright$ Compare to already-processed meanings. $\\mathbf { s } ^ { ( c ) } c _ { 0 }$ $\\triangleright$ Use first sequence for each semantic-class. $\\cdot \\mathbf { e f t } \\gets \\mathcal { M } ( \\mathrm { c a t } ( x , \\mathbf { s } ^ { ( c ) } , \\mathbf { \\tilde { \\phi } } ^ { * } \\mathbf { < g / > } ^ { , } , x , \\mathbf { s } ^ { ( m ) } ) )$ . Does old sequence entail new one? $\\mathbf { r i g h t } \\mathcal { M } ( \\mathrm { c a t } ( x , \\mathbf { s } ^ { ( m ) } , \\mathbf { \\allowbreak \\mathbf { \\mu } } ^ { * * } \\mathbf { < g } / \\mathrm { > } ^ { , , } , x , \\mathbf { s } ^ { ( c ) } ) )$ $\\triangleright$ Vice versa? if left is entailment and right is entailment then c ← c S s ( m ) . Put into existing class. end if end for C ← C S{s(m)} . Semantically distinct, gets own class. end for return $C$ ", + "bbox": [ + 174, + 122, + 826, + 311 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/851bebcd0692eb0f1abb19e94b7580f3f9fbacc938d7484db59201b7ecae037f.jpg", + "image_caption": [ + "Figure 4: CoQA temperature ablation. (bottom) Similar to TriviaQA, higher temperatures mean higher diversity and lower accuracy. (top) The best performance for both methods comes at a temperature of 0.5. Unlike TriviaQA, normalised entropy outperforms semantic entropy at high temperatures. " + ], + "image_footnote": [], + "bbox": [ + 312, + 348, + 686, + 566 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In Table 4 we show that multinomial beam search sampling yields uncertainty measures that are less predictive of model accuracy than multinomial sampling. Beam search also generates much less diverse samples. We conjecture that multinomial beam search sampling focuses too much on the most likely sequences. The diversity of this beam search corresponds to the lowest temperature result in Fig. 4. As in the main body of the paper, we measure diversity as the average lexical overlap of the answers in the answer set. Additionally, we investigate, why the semantic entropy underperforms the length-normalised entropy at high temperatures. To that end, we manually inspect and label 100 classifications of our semantic equivalence method at $\\mathrm { T } { = } 1 . 5$ , and we find that at these temperatures, many of the generated model answers are nonsensical combinations of words from the context that is provided for the question. While the likelihood of these sequences still seems somewhat predictive of the model’s accuracy, semantic clustering becomes very difficult and an unreliable signal for uncertainty estimation. At this temperature, the accuracy of the semantic equivalence methods is only $61 \\%$ , whereas it is over $92 \\%$ at lower temperatures (see Appendix B.2) ", + "bbox": [ + 173, + 685, + 825, + 867 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Note, that at low-temperatures, where one does gets plausible and well-formed model generations, semantic entropy does clearly outperform the baselines. This finding further underlines the importance of choosing appropriate sampling hyper-parameters when using entropy-based uncertainty measures in NLG. ", + "bbox": [ + 174, + 875, + 823, + 929 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/554120d6ec69abc87a063ef4c3c36f752807f9edefaecd870a9b7948343d9efd.jpg", + "table_caption": [ + "Table 4: Multinomial beam search sampling produces sampled answers that are less diverse and thus less useful for uncertainty estimation than multinomial sampling. " + ], + "table_footnote": [], + "table_body": "
Sampling methodSemantic Entropy AUROCDiversity of answers
Multinomial sampling0.7580.490
Multinomial beam search sampling0.7350.258
", + "bbox": [ + 196, + 146, + 800, + 205 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "B EXPERIMENTAL DETAILS AND ABLATIONS ", + "text_level": 1, + "bbox": [ + 173, + 236, + 560, + 251 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We use both the OPT models2 and the Deberta-large model3 via the HuggingFace transformers library which can be easily adopted for reproducibility. All of our code is open-source and relies on no proprietary models. ", + "bbox": [ + 174, + 260, + 825, + 303 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We use the following functions of the HuggingFace API to sample the most likely answers, and the set of answers: ", + "bbox": [ + 174, + 309, + 821, + 338 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "• To obtain the answer which is compared to the reference answer, which determines whether the question is correctly answered, we use beam search using the generate() function with num beams $\\ c = ~ 5$ and do $- s \\mathsf { a m p l e \\Lambda } = \\mathsf { \\Lambda } \\mathtt { T r u e }$ . \n• To obtain the answer set for uncertainty estimation, by default we use multinomial sampling, that is generate() using do sample $=$ True and num beams $\\ c = \\ 1$ . If indicated explicitly, we use beam multinomial sampling, that is generate() using num beams $\\ c = ~ 5$ and do sample $=$ True. ", + "bbox": [ + 217, + 349, + 825, + 452 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We run all of our experiments on 80GB NVIDIA A100s. ", + "bbox": [ + 174, + 464, + 545, + 478 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Testing up to 20 samples per answer on the 2.7B, 6.7B and 13B CoQA experiments, we conclude that using more than 10 samples does not significantly improve the performance of the uncertainty measure, we use 10 sampled answers per question in the remaining experiments on TriviaQA. Note, that in Table 2 we compare the 30B model on CoQA and TriviaQA where in both settings we use answer sets of size 10. ", + "bbox": [ + 174, + 484, + 825, + 555 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We use the following prompts on CoQA and TriviaQA. We find that on CoQA, we obtain accurate model results with zero-shot prompting. While we have to use few-shot prompting to obtain accurate answers on closed-book TriviaQA. We use the following prompts for each of the settings: ", + "bbox": [ + 174, + 561, + 825, + 604 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "CoQA: ", + "text_level": 1, + "bbox": [ + 174, + 611, + 225, + 626 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "[The provided context paragraph] [additional question-answer pairs] Q: [Provided question] A: ", + "bbox": [ + 174, + 633, + 506, + 688 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "where additional question-answer pairs are preceding turns of the conversation about the paragraph consisting of questions and reference answers. ", + "bbox": [ + 176, + 696, + 823, + 724 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "TriviaQA: ", + "text_level": 1, + "bbox": [ + 174, + 731, + 246, + 746 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "For TriviaQA, we use a 10-shot prompt of the format: ", + "bbox": [ + 173, + 752, + 526, + 767 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Q: Which Oscar-nominated film had You Sexy Thing as its theme song? A: The Full Monty Q: Which Joan’s career revived in Whatever Happened to Baby Jane? A: Crawford Q: Which much-loved actor won the Best Actor Oscar for The Philadelphia Story? A: James Stewart (...) Q: In which river is the Boulder Dam? A: ", + "bbox": [ + 174, + 773, + 805, + 844 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "To account for generations where the model continues the Q:...A:... pattern after providing an answer to the given question, we trim all generations by pattern matching for a selection of stopwords that we observe in the generations: Q:, Question:, QUESTION: and questions:. ", + "bbox": [ + 176, + 851, + 823, + 892 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/b0a7878b261c8d6139f949952c017f3529da349359f44bedfa2436f49873c450.jpg", + "table_caption": [ + "Table 5: Automatic evaluation of question answering is highly accurate as compared to human evaluation. We evaluate how accurate the automatic evaluation metric. The predictions, in this settings are the automatically determined accuracy labels on our question answering task, and the ground truth are human labels for the accuracy of the provided model generation given the reference answer " + ], + "table_footnote": [], + "table_body": "
Data set Accuracy of automatic evaluation
CoQA0.89
TriviaQA0.96
", + "bbox": [ + 334, + 189, + 660, + 247 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/b17db09abf2a906199fc247bc886715e3237893f3fa6fce3c2d8c5c452481423.jpg", + "table_caption": [ + "Table 6: TriviaQA: the exact choice of accuracy metric for the free-form QA task has little effect on the assessment of the quality of the uncertainty measure. " + ], + "table_footnote": [], + "table_body": "
MetricAUROCAccuracy
Semantic entropyNormalised entropy
Rouge-L(y,y') > 0.30.8280.8020.506
Rouge-L(y,y) > 0.50.8350.8100.456
Rouge-1(y,y') > 0.50.8350.8100.457
Exact matching0.8280.8080.394
", + "bbox": [ + 233, + 316, + 764, + 424 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "B.1 RELIABILITY OF ACCURACY METRIC AS COMPARED TO HUMAN EVALUATION ", + "text_level": 1, + "bbox": [ + 173, + 462, + 750, + 474 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "In our experiments, we evaluate how well our uncertainty measures predict the model’s accuracy when answering a given question. The choice of accuracy metric is thus a crucial component of our experimental setup. Generally, it has been shown to be difficult to develop automatic metrics for free-form generation that correlate well with human evaluations. We thus verify our choice of accuracy criterion: Rouge- $\\mathbf { \\cdot L } ( y , y ^ { \\prime } ) > 0 . 3$ , for a given reference answer $y$ and a model generation $y ^ { \\prime }$ . We manually evaluate the accuracy of 200 answers of the 30B parameter model on both COQA and on TriviaQA, and evaluate how closely the human evaluation matches the automatic evaluation. We find that on both data sets, the accuracy of the automatic labels as compared to the human labels as the ground truth is high, see Table 5. ", + "bbox": [ + 174, + 482, + 825, + 608 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "B.2 TESTING THE BI-DIRECTIONAL ENTAILMENT CLASSIFIER ", + "text_level": 1, + "bbox": [ + 173, + 626, + 611, + 638 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "To the best of our knowledge, this paper is the first application of the bi-directional entailment approach to identifying answers with the same meaning in question answering. Since this is a core component of our approach, we verify how accurately this approach identifies model answers with the same meaning. To this end, we manually label 300 samples for each of TriviaQA and CoQA produced by the 13B parameter model to provide a ground truth as to whether or not they mean the same thing. We find that the model achieves an accuracy of $9 2 . 7 \\%$ and $9 5 . 3 \\%$ respectively. ", + "bbox": [ + 174, + 647, + 825, + 731 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "B.3 SENSITIVITY OF RESULTS TO ACCURACY METRIC ", + "text_level": 1, + "bbox": [ + 174, + 748, + 558, + 762 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "In principle, the choice of metric to decide whether or not an answer is ‘correct’ might have a large effect on the assessment of our method and baselines. However, we find empirically that our results are relatively insensitive to the choice of accuracy metric. ", + "bbox": [ + 174, + 770, + 825, + 811 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "In Table 6 we show that for TriviaQA the choice of accuracy metric for the question answering has almost no effect on the measured AUROC of the uncertainty estimation, despite making the measured accuracy of the model’s generation significantly different. In particular, the exact matching requirement reduces the accuracy significantly but has little effect on the AUROCs. ", + "bbox": [ + 174, + 819, + 825, + 875 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "For CoQA, which is an open-book QA task with greater answer variability and longer answers the results are broadly similar (see Table 7) except for the exact matching accuracy criterion which is too demanding because of the much larger variety of possible answers for this task. ", + "bbox": [ + 176, + 882, + 823, + 924 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/3c125487c99874da400105b3f2bdeb47e8708258ca253760e0416f54debdb480.jpg", + "table_caption": [ + "Table 7: CoQA: the exact choice of the accuracy metric for the free-form open-book QA task has little effect on the assessment of the quality of the uncertainty measure except for the use of exact matching. For CoQA, getting an exact match is significantly harder. " + ], + "table_footnote": [], + "table_body": "
MetricAUROCAccuracy
Semantic entropyNormalised entropy
Rouge-L(y,y') > 0.30.76720.75330.8239
Rouge-L(y, y) > 0.50.73790.72900.7657
Rouge-1(y,y) > 0.30.76720.75330.8239
Rouge-1(y,y) > 0.50.73970.73090.7677
Exact matching0.67490.67270.6459
", + "bbox": [ + 232, + 160, + 764, + 281 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/a0b59fea958a1d0197090e85985cc79d79292311793b51116ca83df4997eceb0.jpg", + "image_caption": [ + "Figure 5: Accuracy improves with model size, as does semantic entropy’s uncertainty performance. At the smallest model size, both accuracy and uncertainty diminish. " + ], + "image_footnote": [], + "bbox": [ + 202, + 309, + 802, + 502 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "B.4 ACCURACY ABLATIONS WITH MODEL SIZE ", + "text_level": 1, + "bbox": [ + 174, + 571, + 513, + 585 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "We confirm that increasing the model size improves the accuracy of the generations on both QA datasets (see Fig. 5a and Fig. 5b). Semantic entropy’s uncertainty performance is also shown for context. ", + "bbox": [ + 174, + 598, + 825, + 640 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "B.5 EXAMPLE P(TRUE) FORMAT ", + "text_level": 1, + "bbox": [ + 176, + 652, + 411, + 666 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "The format of the prompt, reproduced here for convenient reference from the original source Kadavath et al. (2022), is: ", + "bbox": [ + 176, + 672, + 823, + 702 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Question: Who was the third president of the United States? \nHere are some brainstormed ideas: James Monroe \nThomas Jefferson \nJohn Adams \nThomas Jefferson \nGeorge Washington \nPossible Answer: James Monroe \nIs the possible answer: \n(A) True \n(B) False \nThe possible answer is: ", + "bbox": [ + 174, + 708, + 763, + 861 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "where the “brainstormed answers” are from the set of sampled answers A and P(True), i.e. the likelihood of the next token being True is taken as the uncertainty measure. The authors note that doing the above needs to be done in a few-shot manner and does not work well as in a zero-shot format. In our experiments, we use a few-shot prompt with 10 examples. ", + "bbox": [ + 174, + 868, + 825, + 924 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/8baec88093d5ac22756eeffab7397865136416bf1c1ac4c1cf63d62efaa9f471.jpg", + "image_caption": [ + "Figure 6: The margin probability, i.e. the difference between the likelihood of the most likely answer and the likelihood of the second most likely answer, is not very predictive of models’ accuracy on CoQA open-book question answering (a) nor on TriviaQA (b). Identical to Fig. 2 with the addition of Margin probability which was previously omitted to avoid stretching the scale. " + ], + "image_footnote": [], + "bbox": [ + 186, + 69, + 810, + 275 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "B.6 MARGIN-PROBABILITY BASELINE", + "text_level": 1, + "bbox": [ + 176, + 354, + 452, + 369 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We additionally compare our method to the margin probability method used for neural-symbolic parsing in Lin et al. (2022b): ", + "bbox": [ + 173, + 375, + 823, + 404 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/cec5511c9485bdb4993d92b592dee7947cc71095dfba02d65ee43fe6f6da7c6d.jpg", + "text": "$$\n{ \\mathcal { H } } _ { \\operatorname* { m a r g i n } } ( p ( { \\pmb y } \\mid { \\pmb x } , { \\mathcal { D } } ) ) = p \\left( { \\pmb y } ^ { ( 1 ) } \\mid { \\pmb x } , { \\mathcal { D } } \\right) - p \\left( { \\pmb y } ^ { ( 2 ) } \\mid { \\pmb x } , { \\mathcal { D } } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 299, + 420, + 697, + 446 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "where $\\mathbf { y } ^ { ( 1 ) }$ is the top-1 beam search result and $\\mathbf { y } ^ { ( 2 ) }$ is the top-2 beam search result. ", + "bbox": [ + 176, + 458, + 715, + 474 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Initially, running the method as proposed in Lin et al. (2022b) using a 13B parameter model on CoQA, we find that $\\mathcal { H } _ { \\mathrm { m a r g i n } }$ is not very predictive of the model’s accuracy on answering questions in CoQA achieving an AUROC of 0.54. ", + "bbox": [ + 176, + 479, + 823, + 522 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We hypothesise that two factors contribute to this poor performance. First, since this measure only looks at the difference of likelihoods, the information about the magnitude of the likelihood of a given answer is lost. Second—analogously to the predictive entropy—it would be important to take semantic uncertainty into account when computing $\\mathcal { H } _ { \\mathrm { m a r g i n } }$ . Manually inspecting model answers on CoQA, and the corresponding $\\mathcal { H } _ { \\mathrm { m a r g i n } }$ , we see that the margin between two semantically equivalent answers and two semantically distinct answers is often similar. That is, this measure does not distinguish between uncertainty between paraphrases of the same meaning (in which case the model might actually be confident about meaning of the answer), and the model’s uncertainty about which semantically distinct meaning is correct. ", + "bbox": [ + 173, + 529, + 825, + 655 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We find that if instead of obtaining $\\mathbf { y } ^ { ( 1 ) }$ and $\\mathbf { y } ^ { ( 2 ) }$ by multinomial sampling (as in our other experiments) instead of by beam search, this second problem becomes less pronounced and $\\mathcal { H } _ { \\mathrm { m a r g i n } }$ performs better while still being clearly outperformed by the other methods we study. We report our full results in Fig. 6. ", + "bbox": [ + 174, + 661, + 825, + 719 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/cec9e517ead023ea2df56f0ce8e2f90edab2649c04cd45703cc568578e444b3d.jpg", + "table_caption": [ + "Table 8: Example of challenges for $\\mathcal { H } _ { \\mathrm { m a r g i n } }$ . $\\mathcal { H } _ { \\mathrm { m a r g i n } }$ does not distinguish between lexical and semantic uncertainty and thus can not distinguish cases where the model is certain about the correct answer (but uncertain about the precise formulation) as in row 1, and cases where the model is uncertain about the correct answer as in row 2. The semantic entropy correctly indicates low uncertainty in the first case and high uncertainty in the second case. " + ], + "table_footnote": [], + "table_body": "
y(1)y(2)HmarginSemantic entropy
Thomas Edison.Edison.0.900.10
Thomas.George.0.360.87
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For", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 142, + 253, + 469, + 264 + ], + "spans": [ + { + "bbox": [ + 142, + 253, + 469, + 264 + ], + "score": 1.0, + "content": "tasks like question answering, it is essential to know when we can trust the natu-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 262, + 469, + 276 + ], + "spans": [ + { + "bbox": [ + 141, + 262, + 469, + 276 + ], + "score": 1.0, + "content": "ral language outputs of foundation models. We show that measuring uncertainty", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 274, + 470, + 286 + ], + "spans": [ + { + "bbox": [ + 141, + 274, + 470, + 286 + ], + "score": 1.0, + "content": "in natural language is challenging because of ‘semantic equivalence’—different", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 285, + 470, + 297 + ], + "spans": [ + { + "bbox": [ + 141, + 285, + 470, + 297 + ], + "score": 1.0, + "content": "sentences can mean the same thing. 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In comprehensive", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 329, + 470, + 342 + ], + "spans": [ + { + "bbox": [ + 141, + 329, + 470, + 342 + ], + "score": 1.0, + "content": "ablation studies we show that the semantic entropy is more predictive of model", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 340, + 419, + 352 + ], + "spans": [ + { + "bbox": [ + 141, + 340, + 419, + 352 + ], + "score": 1.0, + "content": "accuracy on question answering data sets than comparable baselines.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 11.5, + "bbox_fs": [ + 141, + 241, + 470, + 352 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 370, + 206, + 383 + ], + "lines": [ + { + "bbox": [ + 105, + 369, + 208, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 208, + 385 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 390, + 505, + 456 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "Despite progress in natural language generation (NLG) tasks like question answering or abstractive", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 401, + 505, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 413 + ], + "score": 1.0, + "content": "summarisation (Brown et al., 2020; Hoffmann et al., 2022; Chowdhery et al., 2022), there is little", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "score": 1.0, + "content": "understanding of uncertainty in foundation models. Without measures of uncertainty in transformer-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 423, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 435 + ], + "score": 1.0, + "content": "based systems it is hard to use generated language as a reliable source of information. Reliable", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 434, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 446 + ], + "score": 1.0, + "content": "measures of uncertainty have been identified as a key problem in building safer AI systems (Amodei", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 444, + 254, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 254, + 457 + ], + "score": 1.0, + "content": "et al., 2016; Hendrycks et al., 2022).", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 390, + 505, + 457 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 461, + 504, + 505 + ], + "lines": [ + { + "bbox": [ + 105, + 461, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 506, + 474 + ], + "score": 1.0, + "content": "Unfortunately, uncertainty in free-form NLG faces unique challenges. 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(b) Our method’s outperformance", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 275, + 379, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 379, + 287 + ], + "score": 1.0, + "content": "increases with model size while also doing well for smaller models.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "text", + "bbox": [ + 108, + 307, + 502, + 330 + ], + "lines": [], + "index": 9.5, + "bbox_fs": [ + 105, + 306, + 504, + 330 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 133, + 339, + 505, + 435 + ], + "lines": [ + { + "bbox": [ + 132, + 339, + 503, + 353 + ], + "spans": [ + { + "bbox": [ + 132, + 339, + 503, + 353 + ], + "score": 1.0, + "content": "• We explain why uncertainty in free-form NLG is different from other settings (Section 3).", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 132, + 354, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 132, + 354, + 505, + 367 + ], + "score": 1.0, + "content": "• We introduce semantic entropy—a novel entropy-based uncertainty measure which uses", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 366, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 141, + 366, + 505, + 378 + ], + "score": 1.0, + "content": "our algorithm for marginalising over semantically-equivalent samples (Section 4) and show", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 141, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "that it outperforms comparable baselines in extensive ablations with both open- and closed-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 140, + 388, + 444, + 400 + ], + "spans": [ + { + "bbox": [ + 140, + 388, + 444, + 400 + ], + "score": 1.0, + "content": "book free-form question answering using TriviaQA and CoQA (Section 6).", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 132, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 132, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "• Through hyperparameter ablations we suggest how to balance the trade-off between sam-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 414, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 141, + 414, + 505, + 425 + ], + "score": 1.0, + "content": "pling diverse and accurate generations for our method as well as baselines (Section 6.2) and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 141, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "show that far fewer samples are needed for effective uncertainty than prior work presumes.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14.5, + "bbox_fs": [ + 132, + 339, + 506, + 437 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 446, + 505, + 479 + ], + "lines": [ + { + "bbox": [ + 106, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "We focus on free-form question answering (QA) because it is a difficult and important use of NLG", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "with high-stakes applications. At the same time, it is easier to establish a ground truth without", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 467, + 406, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 406, + 480 + ], + "score": 1.0, + "content": "expensive human evaluation than more nebulous tasks like summarisation.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20, + "bbox_fs": [ + 106, + 445, + 506, + 480 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 484, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 106, + 484, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 505, + 498 + ], + "score": 1.0, + "content": "Ultimately, we show that semantic entropy is an effective unsupervised way to estimate uncertainty", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 495, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 509 + ], + "score": 1.0, + "content": "in NLG. As an unsupervised method, it requires no further training or data-gathering, unlike super-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "vised methods including Lin et al. (2022a); Kadavath et al. (2022). Semantic entropy is designed", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "score": 1.0, + "content": "to work with existing foundation and large language models with no modifications ‘out-of-the-box’.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 528, + 504, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 504, + 541 + ], + "score": 1.0, + "content": "Our experiments use OPT (Zhang et al., 2022) but semantic entropy works with any similar model.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 484, + 505, + 541 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 550, + 364, + 563 + ], + "lines": [ + { + "bbox": [ + 105, + 549, + 365, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 365, + 565 + ], + "score": 1.0, + "content": "2 BACKGROUND ON UNCERTAINTY ESTIMATION", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 570, + 505, + 615 + ], + "lines": [ + { + "bbox": [ + 105, + 570, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 505, + 583 + ], + "score": 1.0, + "content": "Our method draws inspiration from probabilistic tools for uncertainty estimation, which have been", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 582, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 505, + 593 + ], + "score": 1.0, + "content": "extensively employed in settings like deep image classification (Gal et al., 2016). Although these", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 592, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 505, + 606 + ], + "score": 1.0, + "content": "methods are often used in Bayesian models, we emphasise that our method does not require any", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 603, + 447, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 447, + 617 + ], + "score": 1.0, + "content": "special training or architectural modifications and is not limited to Bayesian settings.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 570, + 505, + 617 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 620, + 505, + 676 + ], + "lines": [ + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "score": 1.0, + "content": "The total uncertainty of a prediction can be understood as the predictive entropy of the output dis-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 630, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 505, + 645 + ], + "score": 1.0, + "content": "tribution. This measures the information one has about the output given the input. This entropy is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "score": 1.0, + "content": "highest when the output is minimally informative—predicting the same probability for all possible", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 653, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 297, + 666 + ], + "score": 1.0, + "content": "outcomes. 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Epistemic", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "uncertainty, measured using a mutual information, can be useful but is hard to estimate, especially", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "score": 1.0, + "content": "for very large models, requiring special methods and computational expense. 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Similarly, while,", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 104, + 137, + 506, + 151 + ], + "score": 1.0, + "content": "e.g., Malinin & Gales (2020) use ensembles of models to estimate the integral in Eq. (1) we use", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 160 + ], + "score": 1.0, + "content": "samples from a single model’s output distribution. Prior networks (Malinin & Gales, 2018; Malinin", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "et al., 2020) estimate model uncertainty by emulating an ensemble with a single model. This could", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 170, + 316, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 316, + 183 + ], + "score": 1.0, + "content": "be important for NLG because of large model sizes.", + "type": "text", + "cross_page": true + } + ], + "index": 8 + } + ], + "index": 38.5, + "bbox_fs": [ + 106, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 181 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "uncertainty, measured using a mutual information, can be useful but is hard to estimate, especially", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "score": 1.0, + "content": "for very large models, requiring special methods and computational expense. Instead of estimating", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "the epistemic uncertainty based on the model variance, the epistemic uncertainty can also be pre-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "dicted directly using a second model (see e.g. Jain et al. (2021)). We do not use mutual information", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "score": 1.0, + "content": "in this work, because our focus is on existing foundation models ‘off-the-shelf’. Similarly, while,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 104, + 137, + 506, + 151 + ], + "score": 1.0, + "content": "e.g., Malinin & Gales (2020) use ensembles of models to estimate the integral in Eq. (1) we use", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 160 + ], + "score": 1.0, + "content": "samples from a single model’s output distribution. Prior networks (Malinin & Gales, 2018; Malinin", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "et al., 2020) estimate model uncertainty by emulating an ensemble with a single model. This could", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 170, + 316, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 316, + 183 + ], + "score": 1.0, + "content": "be important for NLG because of large model sizes.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 187, + 505, + 266 + ], + "lines": [ + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "For sequence-prediction tasks like NLG, the probability of the entire sequence, s, is the product", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "of the conditional probabilities of new tokens given past tokens, whose resulting log-probability", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 116, + 222 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 117, + 209, + 257, + 222 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\log p ( \\mathbf { s } \\mid x ) = \\bar { \\sum _ { i } \\log p ( s _ { i } \\mid \\mathbf { s } _ { < i } ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 209, + 288, + 222 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 289, + 210, + 298, + 220 + ], + "score": 0.84, + "content": "s _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 209, + 325, + 222 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 325, + 210, + 331, + 219 + ], + "score": 0.62, + "content": "i ^ { \\because }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 209, + 413, + 222 + ], + "score": 1.0, + "content": "’th output token and", + "type": "text" + }, + { + "bbox": [ + 414, + 210, + 429, + 221 + ], + "score": 0.88, + "content": "\\mathbf { s } _ { < i }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "denotes the set of", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "previous tokens. Sometimes, instead of the entropy of these probabilities, the geometric mean token-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 107, + 230, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 107, + 241, + 199, + 257 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\dot { \\mathbf { \\Xi } } _ { N } ^ { 1 } \\sum _ { i } ^ { N } \\log p ( s _ { i } \\mid \\mathbf { s } _ { < i } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 230, + 506, + 262 + ], + "score": 1.0, + "content": "tead (Malinin & Gales, 2020) becoming an arithmetic mean log-probability. Despite empirical success Murray & Chiang (2018), so far this has little", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 254, + 204, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 204, + 268 + ], + "score": 1.0, + "content": "theoretical justification.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 106, + 272, + 505, + 371 + ], + "lines": [ + { + "bbox": [ + 106, + 271, + 504, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 271, + 504, + 285 + ], + "score": 1.0, + "content": "Direct application of language models to uncertainty. In contrast to our approach using prob-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "abilistic methods, recent work has sought to use the generating language model itself to estimate", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 294, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 505, + 307 + ], + "score": 1.0, + "content": "its own uncertainty. For example, Lin et al. (2022a) finetune language models to verbally describe", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 304, + 505, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 505, + 317 + ], + "score": 1.0, + "content": "their confidence. Meanwhile, Kadavath et al. (2022) sample multiple generations and return the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 316, + 504, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 504, + 329 + ], + "score": 1.0, + "content": "completion to an NLG prompt asking if a proposed answer is true (further detail in Appendix B.5).", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 326, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 505, + 339 + ], + "score": 1.0, + "content": "Both Lin et al. (2022a) and Kadavath et al. (2022) also propose ways to finetune predictors on the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 505, + 351 + ], + "score": 1.0, + "content": "embeddings of generating models to predict models uncertainty. While promising, these approaches", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "score": 1.0, + "content": "need task-specific labels, additional training, and seem to be unreliable out-of-distribution (as shown", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 359, + 298, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 298, + 372 + ], + "score": 1.0, + "content": "in Figures 13 and 14 in Kadavath et al. (2022)).", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19 + }, + { + "type": "title", + "bbox": [ + 109, + 377, + 410, + 389 + ], + "lines": [ + { + "bbox": [ + 104, + 375, + 411, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 375, + 411, + 392 + ], + "score": 1.0, + "content": "3 CHALLENGES IN UNCERTAINTY ESTIMATION FOR NLG", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 108, + 392, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 106, + 391, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 391, + 506, + 405 + ], + "score": 1.0, + "content": "Approaches to NLG uncertainty might treat the language model as a black-box (e.g., asking it if", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 403, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 415 + ], + "score": 1.0, + "content": "its answer is correct) or alternatively focus on the probabilistic model without accounting for the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 414, + 393, + 427 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 393, + 427 + ], + "score": 1.0, + "content": "special characteristics of language (e.g., measuring predictive entropy).", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 430, + 505, + 474 + ], + "lines": [ + { + "bbox": [ + 106, + 431, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 505, + 442 + ], + "score": 1.0, + "content": "Our unsupervised approach instead uses the powerful tools of probabilistic modelling, but also", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 441, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 454 + ], + "score": 1.0, + "content": "recognises the unique challenges posed by free-form NLG. In this section, we critically analyse", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 452, + 506, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 506, + 466 + ], + "score": 1.0, + "content": "the probabilistic interpretation of language models in order to ground both our method and future", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 464, + 202, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 202, + 475 + ], + "score": 1.0, + "content": "exploration of the field.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5 + }, + { + "type": "title", + "bbox": [ + 107, + 484, + 344, + 494 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 346, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 346, + 496 + ], + "score": 1.0, + "content": "3.1 SEMANTIC EQUIVALENCE IN LANGUAGE OUTPUTS", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 498, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "Most machine learning problems have mutually exclusive outputs. An image in class 17 is not class", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 509, + 504, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 504, + 523 + ], + "score": 1.0, + "content": "29 as well; a regression output of 23.1 is not anything else; an RL agent going left does not go right.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "In contrast, for free-form text generation an output usually means the same thing as many other", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 532, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 505, + 544 + ], + "score": 1.0, + "content": "outputs. For example, “The capital of France is Paris” means the same thing as “France’s capital", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "is Paris”. Linguists and philosophers distinguish text’s meaning—its semantic content—from its", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 554, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 567 + ], + "score": 1.0, + "content": "syntactic and lexical form. The syntax is the grammatical structure while its lexical form is the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 565, + 437, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 437, + 577 + ], + "score": 1.0, + "content": "specific words used. Lexical equivalence entails the other two, but not the reverse.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 106, + 580, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 505, + 595 + ], + "score": 1.0, + "content": "We almost always care about the semantic content of a sentence. For decision-problems relying", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "score": 1.0, + "content": "on NLG, meaning is usually an invariance in output-space which is not present in the model spec-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 603, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 505, + 616 + ], + "score": 1.0, + "content": "ification. 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Recall that an equivalence", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 48.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 711, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 119, + 709, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 119, + 709, + 506, + 724 + ], + "score": 1.0, + "content": "1Theories of meaning are contested (Speaks, 2021). However, for specific models and deployment contexts", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 721, + 491, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 491, + 733 + ], + "score": 1.0, + "content": "many considerations can be set aside. 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While promising, these approaches", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "score": 1.0, + "content": "need task-specific labels, additional training, and seem to be unreliable out-of-distribution (as shown", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 359, + 298, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 298, + 372 + ], + "score": 1.0, + "content": "in Figures 13 and 14 in Kadavath et al. (2022)).", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 271, + 505, + 372 + ] + }, + { + "type": "title", + "bbox": [ + 109, + 377, + 410, + 389 + ], + "lines": [ + { + "bbox": [ + 104, + 375, + 411, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 375, + 411, + 392 + ], + "score": 1.0, + "content": "3 CHALLENGES IN UNCERTAINTY ESTIMATION FOR NLG", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 108, + 392, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 106, + 391, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 391, + 506, + 405 + ], + "score": 1.0, + "content": "Approaches to NLG uncertainty might treat the language model as a black-box (e.g., asking it if", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 403, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 415 + ], + "score": 1.0, + "content": "its answer is correct) or alternatively focus on the probabilistic model without accounting for the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 414, + 393, + 427 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 393, + 427 + ], + "score": 1.0, + "content": "special characteristics of language (e.g., measuring predictive entropy).", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 391, + 506, + 427 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 430, + 505, + 474 + ], + "lines": [ + { + "bbox": [ + 106, + 431, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 505, + 442 + ], + "score": 1.0, + "content": "Our unsupervised approach instead uses the powerful tools of probabilistic modelling, but also", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 441, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 454 + ], + "score": 1.0, + "content": "recognises the unique challenges posed by free-form NLG. In this section, we critically analyse", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 452, + 506, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 506, + 466 + ], + "score": 1.0, + "content": "the probabilistic interpretation of language models in order to ground both our method and future", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 464, + 202, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 202, + 475 + ], + "score": 1.0, + "content": "exploration of the field.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 431, + 506, + 475 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 484, + 344, + 494 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 346, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 346, + 496 + ], + "score": 1.0, + "content": "3.1 SEMANTIC EQUIVALENCE IN LANGUAGE OUTPUTS", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 498, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "Most machine learning problems have mutually exclusive outputs. An image in class 17 is not class", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 509, + 504, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 504, + 523 + ], + "score": 1.0, + "content": "29 as well; a regression output of 23.1 is not anything else; an RL agent going left does not go right.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "In contrast, for free-form text generation an output usually means the same thing as many other", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 532, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 505, + 544 + ], + "score": 1.0, + "content": "outputs. For example, “The capital of France is Paris” means the same thing as “France’s capital", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "is Paris”. Linguists and philosophers distinguish text’s meaning—its semantic content—from its", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 554, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 567 + ], + "score": 1.0, + "content": "syntactic and lexical form. The syntax is the grammatical structure while its lexical form is the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 565, + 437, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 437, + 577 + ], + "score": 1.0, + "content": "specific words used. Lexical equivalence entails the other two, but not the reverse.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 498, + 505, + 577 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 106, + 580, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 505, + 595 + ], + "score": 1.0, + "content": "We almost always care about the semantic content of a sentence. For decision-problems relying", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "score": 1.0, + "content": "on NLG, meaning is usually an invariance in output-space which is not present in the model spec-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 603, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 505, + 616 + ], + "score": 1.0, + "content": "ification. 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(1) that estimating predictive entropy requires taking an expectation in output-space.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 417, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 313, + 430 + ], + "score": 1.0, + "content": "However, the output-space of natural language has", + "type": "text" + }, + { + "bbox": [ + 313, + 417, + 351, + 430 + ], + "score": 0.93, + "content": "\\mathrm { \\dot { \\mathcal { O } } } ( | \\dot { \\mathcal { T } } | ^ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 417, + 506, + 430 + ], + "score": 1.0, + "content": "dimensions. Moreover, while we can", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 429, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 505, + 442 + ], + "score": 1.0, + "content": "sample from our autoregressive token-model, we lack a normalized probability density function over", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 439, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 506, + 452 + ], + "score": 1.0, + "content": "sentences. The expectation must be approximated by Monte Carlo integration—sampling a finite set", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "score": 1.0, + "content": "of sentences from the output distribution and averaging their likelihoods to compute the entropy. For", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 461, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 475 + ], + "score": 1.0, + "content": "entropies the average is dominated by low-probability sentences (whose logs are large and negative)", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 471, + 340, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 340, + 486 + ], + "score": 1.0, + "content": "making Monte Carlo integration difficult (Mackay, 2003).", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34 + }, + { + "type": "title", + "bbox": [ + 108, + 493, + 276, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 278, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 278, + 505 + ], + "score": 1.0, + "content": "3.3 VARIABLE LENGTH GENERATIONS", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 505, + 563 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 505, + 521 + ], + "score": 1.0, + "content": "Sentences of natural language have different lengths. As is widely noted (Murray & Chiang, 2018)", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 518, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 505, + 532 + ], + "score": 1.0, + "content": "and especially in the context of NLG uncertainty by Malinin & Gales (2020), in expectation longer", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "score": 1.0, + "content": "sequences have lower joint likelihoods because of the conditional independence of the token prob-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 540, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 327, + 554 + ], + "score": 1.0, + "content": "abilities. The joint likelihood of a sequence of length", + "type": "text" + }, + { + "bbox": [ + 327, + 541, + 338, + 551 + ], + "score": 0.76, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 540, + 439, + 554 + ], + "score": 1.0, + "content": "shrinks exponentially in", + "type": "text" + }, + { + "bbox": [ + 439, + 541, + 450, + 551 + ], + "score": 0.76, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 540, + 505, + 554 + ], + "score": 1.0, + "content": ". Its negative", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 550, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 275, + 566 + ], + "score": 1.0, + "content": "log-probability therefore grows linearly in", + "type": "text" + }, + { + "bbox": [ + 275, + 552, + 285, + 561 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 550, + 506, + 566 + ], + "score": 1.0, + "content": ", so longer sentences tend to contribute more to entropy.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 568, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 106, + 567, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 581 + ], + "score": 1.0, + "content": "We therefore interpret length-normalising the log-probabilities when estimating the entropy as as-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 579, + 506, + 593 + ], + "spans": [ + { + "bbox": [ + 106, + 579, + 506, + 593 + ], + "score": 1.0, + "content": "serting that the expected uncertainty of generations is independent of sentence length. Sometimes,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 588, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 605 + ], + "score": 1.0, + "content": "this is approximately valid. Other times, longer sentences may well be usually more uncertain (e.g.,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 601, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 614 + ], + "score": 1.0, + "content": "when the goal is to exactly match a typically short reference answer, such as for TriviaQA). In these", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 613, + 504, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 504, + 624 + ], + "score": 1.0, + "content": "cases, the advantages of length-normalisation become less clear-cut, as we show empirically in Sec-", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 623, + 488, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 488, + 636 + ], + "score": 1.0, + "content": "tion 6.1. This offers some guidance a priori on cases when length-normalisation is appropriate.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 46.5 + }, + { + "type": "title", + "bbox": [ + 108, + 646, + 258, + 659 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 261, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 261, + 660 + ], + "score": 1.0, + "content": "4 SEMANTIC UNCERTAINTY", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 50 + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "We have introduced the idea that uncertainty over meanings is more important for most situations", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "than uncertainty over the exact tokens used to express those meanings. Our method examines un-", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "certainty in meaning-space—the entropy of the random variable representing the output distribution", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "in the semantic event-space. This is in contrast to entropy in the usual token event-space. 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At a high level this involves three steps:", + "type": "text" + } + ], + "index": 56 + } + ], + "index": 53.5 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 57, + 505, + 102 + ], + "lines": [ + { + "bbox": [ + 106, + 57, + 505, + 70 + ], + "spans": [ + { + "bbox": [ + 106, + 57, + 505, + 70 + ], + "score": 1.0, + "content": "Table 1: Answers to the question “What is the capital of France?” (a) When all generations from the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 68, + 505, + 82 + ], + "spans": [ + { + "bbox": [ + 105, + 68, + 505, + 82 + ], + "score": 1.0, + "content": "model mean different things, semantic clustering has no effect—the entropy and semantic entropy", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 80, + 505, + 92 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 505, + 92 + ], + "score": 1.0, + "content": "are identical. 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Answer SLikelihood p(s|x)Semantic likelihood ∑secp(s|x)
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It's Paris London0.4
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Each semantic equivalence class corresponds to one", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 482, + 265 + ], + "score": 1.0, + "content": "possible meaning that our text can have. 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That is, the probability of the sequence conditioned on the context comes from condi-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 302, + 505, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 210, + 316 + ], + "score": 1.0, + "content": "tional token probabilities", + "type": "text" + }, + { + "bbox": [ + 210, + 302, + 327, + 315 + ], + "score": 0.91, + "content": "\\begin{array} { r } { p ( \\mathbf { s } \\mid x ) { \\dot { } } = \\prod _ { i } p ( s _ { i } \\mid s _ { < i } , x ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 302, + 505, + 316 + ], + "score": 1.0, + "content": ". Instead, we focus on the probability of the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 313, + 433, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 433, + 327 + ], + "score": 1.0, + "content": "model generating any sequence that shares some meaning. This can be written as", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 281, + 505, + 327 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 208, + 329, + 402, + 356 + ], + "lines": [ + { + "bbox": [ + 208, + 329, + 402, + 356 + ], + "spans": [ + { + "bbox": [ + 208, + 329, + 402, + 356 + ], + "score": 0.92, + "content": "p ( c \\mid x ) = \\sum _ { \\mathbf { s } \\in c } p ( \\mathbf { s } \\mid x ) = \\sum _ { \\mathbf { s } \\in c } \\prod _ { i } p ( s _ { i } \\mid s _ { < i } , x ) .", + "type": "interline_equation", + "image_path": "e5f71a96ac430635a5bb66c07dbfcd4496b3d3db7367195ca3f6d1fc64115fa7.jpg" + } + ] + } + ], + "index": 26.5, + "virtual_lines": [ + { + "bbox": [ + 208, + 329, + 402, + 342.5 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 208, + 342.5, + 402, + 356.0 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 360, + 504, + 383 + ], + "lines": [ + { + "bbox": [ + 106, + 360, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 398, + 373 + ], + "score": 1.0, + "content": "Formally, this treats the output random variable whose event-space is", + "type": "text" + }, + { + "bbox": [ + 398, + 361, + 405, + 370 + ], + "score": 0.81, + "content": "\\mathcal { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 360, + 435, + 373 + ], + "score": 1.0, + "content": ", a sub-", + "type": "text" + }, + { + "bbox": [ + 436, + 362, + 443, + 370 + ], + "score": 0.78, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 360, + 505, + 373 + ], + "score": 1.0, + "content": "-algebra of the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 371, + 204, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 192, + 383 + ], + "score": 1.0, + "content": "standard event-space", + "type": "text" + }, + { + "bbox": [ + 192, + 372, + 200, + 381 + ], + "score": 0.8, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 371, + 204, + 383 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 360, + 505, + 383 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 391, + 421, + 402 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 421, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 421, + 403 + ], + "score": 1.0, + "content": "3.2 SAMPLING THE EXTREMELY HIGH-DIMENSIONAL LANGUAGE-SPACE", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 406, + 505, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 407, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 505, + 420 + ], + "score": 1.0, + "content": "Recall from Eq. (1) that estimating predictive entropy requires taking an expectation in output-space.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 417, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 313, + 430 + ], + "score": 1.0, + "content": "However, the output-space of natural language has", + "type": "text" + }, + { + "bbox": [ + 313, + 417, + 351, + 430 + ], + "score": 0.93, + "content": "\\mathrm { \\dot { \\mathcal { O } } } ( | \\dot { \\mathcal { T } } | ^ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 417, + 506, + 430 + ], + "score": 1.0, + "content": "dimensions. Moreover, while we can", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 429, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 505, + 442 + ], + "score": 1.0, + "content": "sample from our autoregressive token-model, we lack a normalized probability density function over", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 439, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 506, + 452 + ], + "score": 1.0, + "content": "sentences. The expectation must be approximated by Monte Carlo integration—sampling a finite set", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "score": 1.0, + "content": "of sentences from the output distribution and averaging their likelihoods to compute the entropy. For", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 461, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 475 + ], + "score": 1.0, + "content": "entropies the average is dominated by low-probability sentences (whose logs are large and negative)", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 471, + 340, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 340, + 486 + ], + "score": 1.0, + "content": "making Monte Carlo integration difficult (Mackay, 2003).", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 407, + 506, + 486 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 493, + 276, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 278, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 278, + 505 + ], + "score": 1.0, + "content": "3.3 VARIABLE LENGTH GENERATIONS", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 505, + 563 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 505, + 521 + ], + "score": 1.0, + "content": "Sentences of natural language have different lengths. As is widely noted (Murray & Chiang, 2018)", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 518, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 505, + 532 + ], + "score": 1.0, + "content": "and especially in the context of NLG uncertainty by Malinin & Gales (2020), in expectation longer", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "score": 1.0, + "content": "sequences have lower joint likelihoods because of the conditional independence of the token prob-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 540, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 327, + 554 + ], + "score": 1.0, + "content": "abilities. The joint likelihood of a sequence of length", + "type": "text" + }, + { + "bbox": [ + 327, + 541, + 338, + 551 + ], + "score": 0.76, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 540, + 439, + 554 + ], + "score": 1.0, + "content": "shrinks exponentially in", + "type": "text" + }, + { + "bbox": [ + 439, + 541, + 450, + 551 + ], + "score": 0.76, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 540, + 505, + 554 + ], + "score": 1.0, + "content": ". Its negative", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 550, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 275, + 566 + ], + "score": 1.0, + "content": "log-probability therefore grows linearly in", + "type": "text" + }, + { + "bbox": [ + 275, + 552, + 285, + 561 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 550, + 506, + 566 + ], + "score": 1.0, + "content": ", so longer sentences tend to contribute more to entropy.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 507, + 506, + 566 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 568, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 106, + 567, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 581 + ], + "score": 1.0, + "content": "We therefore interpret length-normalising the log-probabilities when estimating the entropy as as-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 579, + 506, + 593 + ], + "spans": [ + { + "bbox": [ + 106, + 579, + 506, + 593 + ], + "score": 1.0, + "content": "serting that the expected uncertainty of generations is independent of sentence length. Sometimes,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 588, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 605 + ], + "score": 1.0, + "content": "this is approximately valid. Other times, longer sentences may well be usually more uncertain (e.g.,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 601, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 614 + ], + "score": 1.0, + "content": "when the goal is to exactly match a typically short reference answer, such as for TriviaQA). 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Clustering: Cluster the sequences which mean the same thing using our bi-directional", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 141, + 120, + 230, + 133 + ], + "spans": [ + { + "bbox": [ + 141, + 120, + 230, + 133 + ], + "score": 1.0, + "content": "entailment algorithm.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 130, + 135, + 503, + 158 + ], + "lines": [ + { + "bbox": [ + 129, + 135, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 129, + 135, + 505, + 148 + ], + "score": 1.0, + "content": "3. Entropy estimation: Approximate semantic entropy by summing probabilities that share", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 141, + 146, + 500, + 158 + ], + "spans": [ + { + "bbox": [ + 141, + 146, + 500, + 158 + ], + "score": 1.0, + "content": "a meaning following Eq. (2) and compute resulting entropy. This is illustrated in Table 1.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5 + }, + { + "type": "title", + "bbox": [ + 107, + 167, + 326, + 179 + ], + "lines": [ + { + "bbox": [ + 105, + 166, + 327, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 166, + 327, + 180 + ], + "score": 1.0, + "content": "Step 1: Generating a set of answers from the model", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 182, + 505, + 261 + ], + "lines": [ + { + "bbox": [ + 104, + 181, + 506, + 198 + ], + "spans": [ + { + "bbox": [ + 104, + 181, + 172, + 198 + ], + "score": 1.0, + "content": "First we sample", + "type": "text" + }, + { + "bbox": [ + 173, + 184, + 185, + 194 + ], + "score": 0.71, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 181, + 229, + 198 + ], + "score": 1.0, + "content": "sequences", + "type": "text" + }, + { + "bbox": [ + 230, + 182, + 297, + 196 + ], + "score": 0.93, + "content": "\\{ s ^ { ( 1 ) } , \\ldots , s ^ { ( M ) } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 181, + 506, + 198 + ], + "score": 1.0, + "content": "which we will use later to estimate the uncertainty.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 194, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 364, + 208 + ], + "score": 1.0, + "content": "These sequences must be sampled according to the distribution", + "type": "text" + }, + { + "bbox": [ + 364, + 195, + 398, + 207 + ], + "score": 0.93, + "content": "p ( \\mathbf { s } \\mid x )", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 194, + 505, + 208 + ], + "score": 1.0, + "content": ". In this paper, we sample", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 206, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 206, + 505, + 219 + ], + "score": 1.0, + "content": "these sequences only from a single model using either multinomial sampling or multinomial beam", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 217, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 104, + 217, + 506, + 230 + ], + "score": 1.0, + "content": "sampling. We show in Section 6.2, that the choice of sampling temperature and sampling method", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 228, + 504, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 228, + 504, + 239 + ], + "score": 1.0, + "content": "can have a significant impact on the performance of both our method and the baselines. Unlike", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 505, + 252 + ], + "score": 1.0, + "content": "Malinin & Gales (2020), we do not use an ensemble of models. Ensembling would probably improve", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 250, + 499, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 499, + 263 + ], + "score": 1.0, + "content": "performance, but the cost of training multiple independent foundation models is often prohibitive.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10 + }, + { + "type": "title", + "bbox": [ + 107, + 267, + 291, + 278 + ], + "lines": [ + { + "bbox": [ + 105, + 265, + 292, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 292, + 281 + ], + "score": 1.0, + "content": "Step 2: Clustering by semantic equivalence", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 107, + 283, + 505, + 350 + ], + "lines": [ + { + "bbox": [ + 105, + 282, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 296 + ], + "score": 1.0, + "content": "In Section 3.1, we formalised semantic equivalence by introducing the semantic equivalence rela-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 294, + 506, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 128, + 307 + ], + "score": 1.0, + "content": "tion,", + "type": "text" + }, + { + "bbox": [ + 128, + 295, + 154, + 307 + ], + "score": 0.93, + "content": "E ( \\cdot , \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 294, + 506, + 307 + ], + "score": 1.0, + "content": ", which induces semantic equivalence classes which are sets of sequences that share a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 304, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 280, + 319 + ], + "score": 1.0, + "content": "meaning. Recall that the equivalence class", + "type": "text" + }, + { + "bbox": [ + 280, + 308, + 286, + 316 + ], + "score": 0.71, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 304, + 418, + 319 + ], + "score": 1.0, + "content": "is a set of sequences s such that", + "type": "text" + }, + { + "bbox": [ + 419, + 306, + 501, + 317 + ], + "score": 0.91, + "content": "\\forall s , s ^ { \\prime } \\in c : E ( s , s ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 304, + 505, + 319 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 316, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 180, + 329 + ], + "score": 1.0, + "content": "We operationalise", + "type": "text" + }, + { + "bbox": [ + 180, + 317, + 207, + 329 + ], + "score": 0.93, + "content": "E ( \\cdot , \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 316, + 506, + 329 + ], + "score": 1.0, + "content": "using the idea of bi-directional entailment. A sequence, s, means the same", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 219, + 340 + ], + "score": 1.0, + "content": "thing as a second sequence,", + "type": "text" + }, + { + "bbox": [ + 219, + 328, + 227, + 338 + ], + "score": 0.83, + "content": "\\mathbf { s } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 327, + 505, + 340 + ], + "score": 1.0, + "content": ", if and only if they entail (i.e. logically imply) each other. E.g., “The", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 337, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 505, + 352 + ], + "score": 1.0, + "content": "capital of France is Paris.” entails “Paris is the capital of France.” because they mean the same thing.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 106, + 355, + 505, + 399 + ], + "lines": [ + { + "bbox": [ + 105, + 355, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 505, + 368 + ], + "score": 1.0, + "content": "Importantly, we require that the sequences mean the same thing with respect to the context—key", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 366, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 505, + 378 + ], + "score": 1.0, + "content": "meaning is sometimes contained within the context. For example, “Paris.” does not entail “The", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 378, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 389 + ], + "score": 1.0, + "content": "capital of France is Paris.” because “Paris.” is not a declarative sentence without context. But within", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 389, + 420, + 400 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 420, + 400 + ], + "score": 1.0, + "content": "the context of the question, the one-word answer does entail the fuller answer.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 405, + 505, + 505 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 504, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 504, + 417 + ], + "score": 1.0, + "content": "In general, any natural language inference classification system (NLI) can be used for our bidirec-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 504, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 504, + 428 + ], + "score": 1.0, + "content": "tional entailment clustering algorithm. In our case, we use a Deberta-large model (He et al., 2020a)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "score": 1.0, + "content": "that is fine-tuned on the NLI data set MNLI (Williams et al., 2017). For each pair of sequences in", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 206, + 451 + ], + "score": 1.0, + "content": "our set of samples, s and", + "type": "text" + }, + { + "bbox": [ + 206, + 438, + 215, + 448 + ], + "score": 0.81, + "content": "\\mathbf { s } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 438, + 506, + 451 + ], + "score": 1.0, + "content": ", we detect whether it is possible to infer the concatenation of the context", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 449, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 302, + 461 + ], + "score": 1.0, + "content": "and s from the concatenation of the context and", + "type": "text" + }, + { + "bbox": [ + 302, + 449, + 311, + 459 + ], + "score": 0.82, + "content": "\\mathbf { s } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 449, + 505, + 461 + ], + "score": 1.0, + "content": "and vice versa. To do this we concatenate each", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "of the two question/answer pairs, and then concatenate them both together separated by a special", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 471, + 504, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 504, + 483 + ], + "score": 1.0, + "content": "token. The Deberta model then classifies this sequence into one of: entailment, neutral,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 482, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 494 + ], + "score": 1.0, + "content": "contradiction. We compute both directions, and the algorithm returns equivalent if and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 493, + 497, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 497, + 505 + ], + "score": 1.0, + "content": "only if both directions were entailment. Algorithm pseudocode is provided in Appendix A.2.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 510, + 505, + 543 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "score": 1.0, + "content": "Because this component is novel, we confirm in Appendix B.2 that the bidirectional entailment", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 520, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 534 + ], + "score": 1.0, + "content": "classifier works by manually labelling 300 generations for semantic equivalence, finding an accuracy", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 532, + 287, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 117, + 544 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 532, + 144, + 542 + ], + "score": 0.86, + "content": "9 2 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 532, + 215, + 544 + ], + "score": 1.0, + "content": "on TriviaQA and", + "type": "text" + }, + { + "bbox": [ + 216, + 532, + 243, + 542 + ], + "score": 0.86, + "content": "9 5 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 532, + 287, + 544 + ], + "score": 1.0, + "content": "on CoQA.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 548, + 505, + 639 + ], + "lines": [ + { + "bbox": [ + 106, + 548, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 548, + 481, + 562 + ], + "score": 1.0, + "content": "Computational cost. The bidirectional equivalence algorithm is combinatorially complex in", + "type": "text" + }, + { + "bbox": [ + 481, + 549, + 493, + 559 + ], + "score": 0.7, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 548, + 506, + 562 + ], + "score": 1.0, + "content": ", it", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 558, + 507, + 576 + ], + "spans": [ + { + "bbox": [ + 104, + 558, + 142, + 576 + ], + "score": 1.0, + "content": "requires", + "type": "text" + }, + { + "bbox": [ + 142, + 559, + 159, + 574 + ], + "score": 0.87, + "content": "\\binom { M } { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 558, + 507, + 576 + ], + "score": 1.0, + "content": "-many comparisons in the worst-case. In practice, however, the computational cost is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 572, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 457, + 586 + ], + "score": 1.0, + "content": "small compared to the cost of generating sequences. First, as we show in Section 6.2,", + "type": "text" + }, + { + "bbox": [ + 457, + 572, + 495, + 583 + ], + "score": 0.88, + "content": "M < 2 0", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 572, + 506, + 586 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "often sufficient for good uncertainty. Second, because the Deberta-large model is so much smaller", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "than the main language model (1.5B parameters), each pair comparison is much faster than generat-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 605, + 504, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 504, + 617 + ], + "score": 1.0, + "content": "ing even one token from the main model. 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(2) as a way of determining the likelihood of each meaning, rather than each", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 683, + 505, + 695 + ], + "spans": [ + { + "bbox": [ + 106, + 683, + 505, + 695 + ], + "score": 1.0, + "content": "sequence. 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Clustering: Cluster the sequences which mean the same thing using our bi-directional", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 141, + 120, + 230, + 133 + ], + "spans": [ + { + "bbox": [ + 141, + 120, + 230, + 133 + ], + "score": 1.0, + "content": "entailment algorithm.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 128, + 107, + 505, + 133 + ] + }, + { + "type": "text", + "bbox": [ + 130, + 135, + 503, + 158 + ], + "lines": [ + { + "bbox": [ + 129, + 135, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 129, + 135, + 505, + 148 + ], + "score": 1.0, + "content": "3. Entropy estimation: Approximate semantic entropy by summing probabilities that share", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 141, + 146, + 500, + 158 + ], + "spans": [ + { + "bbox": [ + 141, + 146, + 500, + 158 + ], + "score": 1.0, + "content": "a meaning following Eq. (2) and compute resulting entropy. This is illustrated in Table 1.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5, + "bbox_fs": [ + 129, + 135, + 505, + 158 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 167, + 326, + 179 + ], + "lines": [ + { + "bbox": [ + 105, + 166, + 327, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 166, + 327, + 180 + ], + "score": 1.0, + "content": "Step 1: Generating a set of answers from the model", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 182, + 505, + 261 + ], + "lines": [ + { + "bbox": [ + 104, + 181, + 506, + 198 + ], + "spans": [ + { + "bbox": [ + 104, + 181, + 172, + 198 + ], + "score": 1.0, + "content": "First we sample", + "type": "text" + }, + { + "bbox": [ + 173, + 184, + 185, + 194 + ], + "score": 0.71, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 181, + 229, + 198 + ], + "score": 1.0, + "content": "sequences", + "type": "text" + }, + { + "bbox": [ + 230, + 182, + 297, + 196 + ], + "score": 0.93, + "content": "\\{ s ^ { ( 1 ) } , \\ldots , s ^ { ( M ) } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 181, + 506, + 198 + ], + "score": 1.0, + "content": "which we will use later to estimate the uncertainty.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 194, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 364, + 208 + ], + "score": 1.0, + "content": "These sequences must be sampled according to the distribution", + "type": "text" + }, + { + "bbox": [ + 364, + 195, + 398, + 207 + ], + "score": 0.93, + "content": "p ( \\mathbf { s } \\mid x )", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 194, + 505, + 208 + ], + "score": 1.0, + "content": ". In this paper, we sample", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 206, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 206, + 505, + 219 + ], + "score": 1.0, + "content": "these sequences only from a single model using either multinomial sampling or multinomial beam", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 217, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 104, + 217, + 506, + 230 + ], + "score": 1.0, + "content": "sampling. We show in Section 6.2, that the choice of sampling temperature and sampling method", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 228, + 504, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 228, + 504, + 239 + ], + "score": 1.0, + "content": "can have a significant impact on the performance of both our method and the baselines. Unlike", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 505, + 252 + ], + "score": 1.0, + "content": "Malinin & Gales (2020), we do not use an ensemble of models. Ensembling would probably improve", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 250, + 499, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 499, + 263 + ], + "score": 1.0, + "content": "performance, but the cost of training multiple independent foundation models is often prohibitive.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10, + "bbox_fs": [ + 104, + 181, + 506, + 263 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 267, + 291, + 278 + ], + "lines": [ + { + "bbox": [ + 105, + 265, + 292, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 292, + 281 + ], + "score": 1.0, + "content": "Step 2: Clustering by semantic equivalence", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 107, + 283, + 505, + 350 + ], + "lines": [ + { + "bbox": [ + 105, + 282, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 296 + ], + "score": 1.0, + "content": "In Section 3.1, we formalised semantic equivalence by introducing the semantic equivalence rela-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 294, + 506, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 128, + 307 + ], + "score": 1.0, + "content": "tion,", + "type": "text" + }, + { + "bbox": [ + 128, + 295, + 154, + 307 + ], + "score": 0.93, + "content": "E ( \\cdot , \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 294, + 506, + 307 + ], + "score": 1.0, + "content": ", which induces semantic equivalence classes which are sets of sequences that share a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 304, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 280, + 319 + ], + "score": 1.0, + "content": "meaning. Recall that the equivalence class", + "type": "text" + }, + { + "bbox": [ + 280, + 308, + 286, + 316 + ], + "score": 0.71, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 304, + 418, + 319 + ], + "score": 1.0, + "content": "is a set of sequences s such that", + "type": "text" + }, + { + "bbox": [ + 419, + 306, + 501, + 317 + ], + "score": 0.91, + "content": "\\forall s , s ^ { \\prime } \\in c : E ( s , s ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 304, + 505, + 319 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 316, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 180, + 329 + ], + "score": 1.0, + "content": "We operationalise", + "type": "text" + }, + { + "bbox": [ + 180, + 317, + 207, + 329 + ], + "score": 0.93, + "content": "E ( \\cdot , \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 316, + 506, + 329 + ], + "score": 1.0, + "content": "using the idea of bi-directional entailment. A sequence, s, means the same", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 219, + 340 + ], + "score": 1.0, + "content": "thing as a second sequence,", + "type": "text" + }, + { + "bbox": [ + 219, + 328, + 227, + 338 + ], + "score": 0.83, + "content": "\\mathbf { s } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 327, + 505, + 340 + ], + "score": 1.0, + "content": ", if and only if they entail (i.e. logically imply) each other. E.g., “The", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 337, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 505, + 352 + ], + "score": 1.0, + "content": "capital of France is Paris.” entails “Paris is the capital of France.” because they mean the same thing.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 282, + 506, + 352 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 355, + 505, + 399 + ], + "lines": [ + { + "bbox": [ + 105, + 355, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 505, + 368 + ], + "score": 1.0, + "content": "Importantly, we require that the sequences mean the same thing with respect to the context—key", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 366, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 505, + 378 + ], + "score": 1.0, + "content": "meaning is sometimes contained within the context. For example, “Paris.” does not entail “The", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 378, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 389 + ], + "score": 1.0, + "content": "capital of France is Paris.” because “Paris.” is not a declarative sentence without context. But within", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 389, + 420, + 400 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 420, + 400 + ], + "score": 1.0, + "content": "the context of the question, the one-word answer does entail the fuller answer.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 355, + 505, + 400 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 405, + 505, + 505 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 504, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 504, + 417 + ], + "score": 1.0, + "content": "In general, any natural language inference classification system (NLI) can be used for our bidirec-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 504, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 504, + 428 + ], + "score": 1.0, + "content": "tional entailment clustering algorithm. In our case, we use a Deberta-large model (He et al., 2020a)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "score": 1.0, + "content": "that is fine-tuned on the NLI data set MNLI (Williams et al., 2017). For each pair of sequences in", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 206, + 451 + ], + "score": 1.0, + "content": "our set of samples, s and", + "type": "text" + }, + { + "bbox": [ + 206, + 438, + 215, + 448 + ], + "score": 0.81, + "content": "\\mathbf { s } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 438, + 506, + 451 + ], + "score": 1.0, + "content": ", we detect whether it is possible to infer the concatenation of the context", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 449, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 302, + 461 + ], + "score": 1.0, + "content": "and s from the concatenation of the context and", + "type": "text" + }, + { + "bbox": [ + 302, + 449, + 311, + 459 + ], + "score": 0.82, + "content": "\\mathbf { s } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 449, + 505, + 461 + ], + "score": 1.0, + "content": "and vice versa. To do this we concatenate each", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "of the two question/answer pairs, and then concatenate them both together separated by a special", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 471, + 504, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 504, + 483 + ], + "score": 1.0, + "content": "token. The Deberta model then classifies this sequence into one of: entailment, neutral,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 482, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 494 + ], + "score": 1.0, + "content": "contradiction. We compute both directions, and the algorithm returns equivalent if and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 493, + 497, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 497, + 505 + ], + "score": 1.0, + "content": "only if both directions were entailment. Algorithm pseudocode is provided in Appendix A.2.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 406, + 506, + 505 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 510, + 505, + 543 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "score": 1.0, + "content": "Because this component is novel, we confirm in Appendix B.2 that the bidirectional entailment", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 520, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 534 + ], + "score": 1.0, + "content": "classifier works by manually labelling 300 generations for semantic equivalence, finding an accuracy", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 532, + 287, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 117, + 544 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 532, + 144, + 542 + ], + "score": 0.86, + "content": "9 2 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 532, + 215, + 544 + ], + "score": 1.0, + "content": "on TriviaQA and", + "type": "text" + }, + { + "bbox": [ + 216, + 532, + 243, + 542 + ], + "score": 0.86, + "content": "9 5 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 532, + 287, + 544 + ], + "score": 1.0, + "content": "on CoQA.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35, + "bbox_fs": [ + 105, + 510, + 505, + 544 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 548, + 505, + 639 + ], + "lines": [ + { + "bbox": [ + 106, + 548, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 548, + 481, + 562 + ], + "score": 1.0, + "content": "Computational cost. The bidirectional equivalence algorithm is combinatorially complex in", + "type": "text" + }, + { + "bbox": [ + 481, + 549, + 493, + 559 + ], + "score": 0.7, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 548, + 506, + 562 + ], + "score": 1.0, + "content": ", it", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 558, + 507, + 576 + ], + "spans": [ + { + "bbox": [ + 104, + 558, + 142, + 576 + ], + "score": 1.0, + "content": "requires", + "type": "text" + }, + { + "bbox": [ + 142, + 559, + 159, + 574 + ], + "score": 0.87, + "content": "\\binom { M } { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 558, + 507, + 576 + ], + "score": 1.0, + "content": "-many comparisons in the worst-case. In practice, however, the computational cost is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 572, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 457, + 586 + ], + "score": 1.0, + "content": "small compared to the cost of generating sequences. First, as we show in Section 6.2,", + "type": "text" + }, + { + "bbox": [ + 457, + 572, + 495, + 583 + ], + "score": 0.88, + "content": "M < 2 0", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 572, + 506, + 586 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "often sufficient for good uncertainty. Second, because the Deberta-large model is so much smaller", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "than the main language model (1.5B parameters), each pair comparison is much faster than generat-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 605, + 504, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 504, + 617 + ], + "score": 1.0, + "content": "ing even one token from the main model. Third, because semantic equivalence is transitive we only", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 617, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 629 + ], + "score": 1.0, + "content": "need to compare one member of each equivalence class to remaining sequences (see Algorithm 1).", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 627, + 487, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 487, + 639 + ], + "score": 1.0, + "content": "Additionally, the number of semantic clusters in our tasks is empirically quite low, see Table 2.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40.5, + "bbox_fs": [ + 104, + 548, + 507, + 639 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 644, + 280, + 655 + ], + "lines": [ + { + "bbox": [ + 105, + 642, + 281, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 281, + 659 + ], + "score": 1.0, + "content": "Step 3: Computing the semantic entropy", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 107, + 660, + 504, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 659, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 674 + ], + "score": 1.0, + "content": "Having determined the clusters of generated sequences that mean the same thing, we add their like-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 671, + 506, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 685 + ], + "score": 1.0, + "content": "lihoods following Eq. (2) as a way of determining the likelihood of each meaning, rather than each", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 683, + 505, + 695 + ], + "spans": [ + { + "bbox": [ + 106, + 683, + 505, + 695 + ], + "score": 1.0, + "content": "sequence. We then compute the semantic entropy (SE) as the entropy over the meaning-distribution", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 659, + 506, + 695 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 135, + 699, + 476, + 730 + ], + "lines": [ + { + "bbox": [ + 135, + 699, + 476, + 730 + ], + "spans": [ + { + "bbox": [ + 135, + 699, + 476, + 730 + ], + "score": 0.93, + "content": "S E ( x ) = - \\sum _ { c } p ( c \\mid x ) \\log p ( c \\mid x ) = - \\sum _ { c } { \\Bigg ( } { \\Big ( } \\sum _ { \\mathbf { s } \\in c } p ( \\mathbf { s } \\mid x ) { \\Big ) } \\log { \\Big [ } \\sum _ { \\mathbf { s } \\in c } p ( \\mathbf { s } \\mid x ) { \\Big ] } { \\Bigg ) } .", + "type": "interline_equation", + "image_path": "599f16bbd30d9c9c17f9d4328c7e0f9b44817d8c645b4078a4c120728690f43d.jpg" + } + ] + } + ], + "index": 50, + "virtual_lines": [ + { + "bbox": [ + 135, + 699, + 476, + 709.3333333333334 + ], + "spans": [], + "index": 49 + }, + { + "bbox": [ + 135, + 709.3333333333334, + 476, + 719.6666666666667 + ], + "spans": [], + "index": 50 + }, + { + "bbox": [ + 135, + 719.6666666666667, + 476, + 730.0000000000001 + ], + "spans": [], + "index": 51 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 506, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 332, + 96 + ], + "score": 1.0, + "content": "We do not have access to every possible meaning-class", + "type": "text" + }, + { + "bbox": [ + 332, + 85, + 338, + 92 + ], + "score": 0.66, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 82, + 460, + 96 + ], + "score": 1.0, + "content": ". Instead, we can only sample", + "type": "text" + }, + { + "bbox": [ + 461, + 85, + 467, + 92 + ], + "score": 0.7, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 82, + 506, + 96 + ], + "score": 1.0, + "content": "from the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "sequence-generating distribution induced by the model. To handle this, we estimate the expectation", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 421, + 117 + ], + "score": 1.0, + "content": "in Eq. (3) using Monte Carlo integration over the semantic equivalence classes", + "type": "text" + }, + { + "bbox": [ + 421, + 105, + 430, + 114 + ], + "score": 0.81, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "from Algorithm 1", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "interline_equation", + "bbox": [ + 232, + 122, + 380, + 158 + ], + "lines": [ + { + "bbox": [ + 232, + 122, + 380, + 158 + ], + "spans": [ + { + "bbox": [ + 232, + 122, + 380, + 158 + ], + "score": 0.95, + "content": "S E ( x ) \\approx - | C | ^ { - 1 } \\sum _ { i = 1 } ^ { | C | } \\log p ( C _ { i } \\mid x ) .", + "type": "interline_equation", + "image_path": "ceaa13f98f14c9c3da80a302b2dd51afc8297842aa671917b58437205a7ce14a.jpg" + } + ] + } + ], + "index": 3.5, + "virtual_lines": [ + { + "bbox": [ + 232, + 122, + 380, + 140.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 232, + 140.0, + 380, + 158.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 163, + 504, + 186 + ], + "lines": [ + { + "bbox": [ + 106, + 163, + 504, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 163, + 504, + 176 + ], + "score": 1.0, + "content": "This is an unbiased estimator of the entropy in Eq. (3). In addition, in some cases we use length-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 174, + 276, + 186 + ], + "spans": [ + { + "bbox": [ + 106, + 174, + 276, + 186 + ], + "score": 1.0, + "content": "normalisation as described in Section 3.3.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "title", + "bbox": [ + 108, + 196, + 433, + 207 + ], + "lines": [ + { + "bbox": [ + 106, + 195, + 433, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 195, + 433, + 208 + ], + "score": 1.0, + "content": "4.1 HOW THE SEMANTIC ENTROPY ADDRESSES THE CHALLENGES OF NLG", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 211, + 505, + 322 + ], + "lines": [ + { + "bbox": [ + 105, + 210, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 505, + 225 + ], + "score": 1.0, + "content": "The main inspiration of semantic entropy is to address the semantic invariance of natural language", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "score": 1.0, + "content": "head-on by converting the problem of uncertainty estimation into meaning-space. In addition, se-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "mantic entropy goes some way towards addressing unequal token importance. Generations whose", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 244, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 506, + 257 + ], + "score": 1.0, + "content": "meanings are the same but differ on unimportant tokens will be added together, which we expect", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 257, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 505, + 268 + ], + "score": 1.0, + "content": "will reduce the effect of the likelihoods of unimportant tokens although we do not demonstrate this", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 267, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 505, + 280 + ], + "score": 1.0, + "content": "empirically. However, this challenge is only partially addressed: semantic entropy will still pay too", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 277, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 506, + 290 + ], + "score": 1.0, + "content": "much attention to non-keyword likelihoods. This is one area where supervised language-model-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 289, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 505, + 300 + ], + "score": 1.0, + "content": "based uncertainty tools (Lin et al., 2022a; Kadavath et al., 2022) might enable future improvements", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 298, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 506, + 313 + ], + "score": 1.0, + "content": "that handle this challenge better. We address the challenges of sampling and variable-length gener-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 311, + 376, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 376, + 323 + ], + "score": 1.0, + "content": "ation using specific details of our sampling procedure in Section 4.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 108, + 334, + 211, + 347 + ], + "lines": [ + { + "bbox": [ + 105, + 333, + 213, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 213, + 349 + ], + "score": 1.0, + "content": "5 RELATED WORK", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 354, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "score": 1.0, + "content": "Prior work on uncertainty in foundation models for NLP has largely focused on the calibration of", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 366, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 505, + 379 + ], + "score": 1.0, + "content": "classifiers (Jiang et al., 2021; Desai & Durrett, 2020) and text regressors (Glushkova et al., 2021;", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "Wang et al., 2022). These settings, are analogous to classification or regression settings in other", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 388, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 505, + 401 + ], + "score": 1.0, + "content": "modalities like vision, and conventional uncertainty measures like MC dropout or Deep Ensembles", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 397, + 506, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 506, + 412 + ], + "score": 1.0, + "content": "can be applied without modification (see Section 2 for a discussion of uncertainty in deep learning in", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "score": 1.0, + "content": "general). As we argue in Section 3, generative natural language poses important further challenges.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 421, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 505, + 433 + ], + "score": 1.0, + "content": "Jiang et al. (2021) do examine calibration in generative question answering and find only a weak", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 431, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 505, + 444 + ], + "score": 1.0, + "content": "correlation between the log-likelihood models assign to their answer and the answer’s correctness.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "In Section 6 we explain however why semantic equivalence in natural language makes calibration", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 505, + 466 + ], + "score": 1.0, + "content": "a problematic evaluation for generative language models. Reliable uncertainty can be useful on", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 465, + 383, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 383, + 477 + ], + "score": 1.0, + "content": "downstream tasks such as graph semantic parsing (Lin et al., 2022b).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 106, + 482, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 505, + 493 + ], + "score": 1.0, + "content": "Some research has addressed uncertainty or calibration in NLG either by prompting the models", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "to evaluate their own generations or by fine-tuning the generating model to predict its uncertainty", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 502, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 517 + ], + "score": 1.0, + "content": "(Mielke et al., 2020; Lin et al., 2022a; Kadavath et al., 2022). These methods need further training", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "score": 1.0, + "content": "and supervision. Because they need additional training and supervision, they are hard to reproduce,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "expensive to create, and have been shown to be sensitive to distribution shift. For example, we were", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 536, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 548 + ], + "score": 1.0, + "content": "unable to implement one proposal by Kadavath et al. (2022) to train a language model to directly", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 547, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 559 + ], + "score": 1.0, + "content": "predict confidence due to hardware limitations. Our unsupervised method which uses models ‘off-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 558, + 246, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 246, + 569 + ], + "score": 1.0, + "content": "the-shelf’ avoids these limitations.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 107, + 574, + 505, + 630 + ], + "lines": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "Many of the issues that make probabilistic uncertainty estimation in NLG difficult also make au-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 586, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 505, + 598 + ], + "score": 1.0, + "content": "tomatic evaluation of NLG difficult. Ott et al. (2018), for instance, study how the performance of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 597, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 609 + ], + "score": 1.0, + "content": "machine translation models suffers because one sentence can be translated in multiple ways. Sim-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "score": 1.0, + "content": "ilarly, Sai et al. (2022) discuss how paraphrase detection can be used to evaluate NLG and other", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 335, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 335, + 632 + ], + "score": 1.0, + "content": "related methods might transfer to uncertainty estimation.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 635, + 505, + 735 + ], + "lines": [ + { + "bbox": [ + 106, + 636, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 505, + 648 + ], + "score": 1.0, + "content": "Automatic paraphrase identification can be based on comparing lexical features of two given se-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "score": 1.0, + "content": "quences (Fernando & Stevenson, 2008; Issa et al., 2018) or on measuring the similarity between the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 657, + 506, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 506, + 671 + ], + "score": 1.0, + "content": "embeddings of the two sequences (Yu et al., 2014; Socher et al., 2011). Recently, however, SotA", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 668, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 506, + 682 + ], + "score": 1.0, + "content": "paraphrase identification approaches have primarily used BERT-based models to classify pairs of", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 680, + 505, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 505, + 692 + ], + "score": 1.0, + "content": "sequences into the classes paraphrases and not paraphrases (He et al., 2020b; Tay et al.,", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 689, + 506, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 704 + ], + "score": 1.0, + "content": "2021). The idea of formalising semantic equivalence via textual entailment has a long history in", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 701, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 701, + 505, + 714 + ], + "score": 1.0, + "content": "linguistics (Culicover, 1968) and NLP (Pado et al., 2009; Androutsopoulos & Malakasiotis, 2010). ´", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 712, + 505, + 726 + ], + "spans": [ + { + "bbox": [ + 105, + 712, + 505, + 726 + ], + "score": 1.0, + "content": "Transformer-based paraphrase detection models such as EFL (Wang et al., 2021) achieve SotA per-", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 724, + 493, + 736 + ], + "spans": [ + { + "bbox": [ + 106, + 724, + 493, + 736 + ], + "score": 1.0, + "content": "formance on paraphrase detection benchmarks such as Quora Question Pairs Wang et al. (2017).", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 47 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 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 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, + 82, + 506, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 332, + 96 + ], + "score": 1.0, + "content": "We do not have access to every possible meaning-class", + "type": "text" + }, + { + "bbox": [ + 332, + 85, + 338, + 92 + ], + "score": 0.66, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 82, + 460, + 96 + ], + "score": 1.0, + "content": ". 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(3). In addition, in some cases we use length-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 174, + 276, + 186 + ], + "spans": [ + { + "bbox": [ + 106, + 174, + 276, + 186 + ], + "score": 1.0, + "content": "normalisation as described in Section 3.3.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5, + "bbox_fs": [ + 106, + 163, + 504, + 186 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 196, + 433, + 207 + ], + "lines": [ + { + "bbox": [ + 106, + 195, + 433, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 195, + 433, + 208 + ], + "score": 1.0, + "content": "4.1 HOW THE SEMANTIC ENTROPY ADDRESSES THE CHALLENGES OF NLG", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 211, + 505, + 322 + ], + "lines": [ + { + "bbox": [ + 105, + 210, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 505, + 225 + ], + "score": 1.0, + "content": "The main inspiration of semantic entropy is to address the semantic invariance of natural language", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "score": 1.0, + "content": "head-on by converting the problem of uncertainty estimation into meaning-space. In addition, se-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "mantic entropy goes some way towards addressing unequal token importance. Generations whose", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 244, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 506, + 257 + ], + "score": 1.0, + "content": "meanings are the same but differ on unimportant tokens will be added together, which we expect", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 257, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 505, + 268 + ], + "score": 1.0, + "content": "will reduce the effect of the likelihoods of unimportant tokens although we do not demonstrate this", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 267, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 505, + 280 + ], + "score": 1.0, + "content": "empirically. However, this challenge is only partially addressed: semantic entropy will still pay too", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 277, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 506, + 290 + ], + "score": 1.0, + "content": "much attention to non-keyword likelihoods. This is one area where supervised language-model-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 289, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 505, + 300 + ], + "score": 1.0, + "content": "based uncertainty tools (Lin et al., 2022a; Kadavath et al., 2022) might enable future improvements", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 298, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 506, + 313 + ], + "score": 1.0, + "content": "that handle this challenge better. We address the challenges of sampling and variable-length gener-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 311, + 376, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 376, + 323 + ], + "score": 1.0, + "content": "ation using specific details of our sampling procedure in Section 4.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 210, + 506, + 323 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 334, + 211, + 347 + ], + "lines": [ + { + "bbox": [ + 105, + 333, + 213, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 213, + 349 + ], + "score": 1.0, + "content": "5 RELATED WORK", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 354, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "score": 1.0, + "content": "Prior work on uncertainty in foundation models for NLP has largely focused on the calibration of", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 366, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 505, + 379 + ], + "score": 1.0, + "content": "classifiers (Jiang et al., 2021; Desai & Durrett, 2020) and text regressors (Glushkova et al., 2021;", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "Wang et al., 2022). These settings, are analogous to classification or regression settings in other", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 388, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 505, + 401 + ], + "score": 1.0, + "content": "modalities like vision, and conventional uncertainty measures like MC dropout or Deep Ensembles", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 397, + 506, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 506, + 412 + ], + "score": 1.0, + "content": "can be applied without modification (see Section 2 for a discussion of uncertainty in deep learning in", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "score": 1.0, + "content": "general). As we argue in Section 3, generative natural language poses important further challenges.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 421, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 505, + 433 + ], + "score": 1.0, + "content": "Jiang et al. (2021) do examine calibration in generative question answering and find only a weak", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 431, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 505, + 444 + ], + "score": 1.0, + "content": "correlation between the log-likelihood models assign to their answer and the answer’s correctness.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "In Section 6 we explain however why semantic equivalence in natural language makes calibration", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 505, + 466 + ], + "score": 1.0, + "content": "a problematic evaluation for generative language models. Reliable uncertainty can be useful on", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 465, + 383, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 383, + 477 + ], + "score": 1.0, + "content": "downstream tasks such as graph semantic parsing (Lin et al., 2022b).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 354, + 506, + 477 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 106, + 482, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 505, + 493 + ], + "score": 1.0, + "content": "Some research has addressed uncertainty or calibration in NLG either by prompting the models", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "to evaluate their own generations or by fine-tuning the generating model to predict its uncertainty", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 502, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 517 + ], + "score": 1.0, + "content": "(Mielke et al., 2020; Lin et al., 2022a; Kadavath et al., 2022). These methods need further training", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "score": 1.0, + "content": "and supervision. Because they need additional training and supervision, they are hard to reproduce,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "expensive to create, and have been shown to be sensitive to distribution shift. For example, we were", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 536, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 548 + ], + "score": 1.0, + "content": "unable to implement one proposal by Kadavath et al. (2022) to train a language model to directly", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 547, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 559 + ], + "score": 1.0, + "content": "predict confidence due to hardware limitations. Our unsupervised method which uses models ‘off-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 558, + 246, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 246, + 569 + ], + "score": 1.0, + "content": "the-shelf’ avoids these limitations.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 482, + 506, + 569 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 574, + 505, + 630 + ], + "lines": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "Many of the issues that make probabilistic uncertainty estimation in NLG difficult also make au-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 586, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 505, + 598 + ], + "score": 1.0, + "content": "tomatic evaluation of NLG difficult. Ott et al. (2018), for instance, study how the performance of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 597, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 609 + ], + "score": 1.0, + "content": "machine translation models suffers because one sentence can be translated in multiple ways. Sim-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "score": 1.0, + "content": "ilarly, Sai et al. (2022) discuss how paraphrase detection can be used to evaluate NLG and other", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 335, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 335, + 632 + ], + "score": 1.0, + "content": "related methods might transfer to uncertainty estimation.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 575, + 506, + 632 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 635, + 505, + 735 + ], + "lines": [ + { + "bbox": [ + 106, + 636, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 505, + 648 + ], + "score": 1.0, + "content": "Automatic paraphrase identification can be based on comparing lexical features of two given se-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "score": 1.0, + "content": "quences (Fernando & Stevenson, 2008; Issa et al., 2018) or on measuring the similarity between the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 657, + 506, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 506, + 671 + ], + "score": 1.0, + "content": "embeddings of the two sequences (Yu et al., 2014; Socher et al., 2011). Recently, however, SotA", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 668, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 506, + 682 + ], + "score": 1.0, + "content": "paraphrase identification approaches have primarily used BERT-based models to classify pairs of", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 680, + 505, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 505, + 692 + ], + "score": 1.0, + "content": "sequences into the classes paraphrases and not paraphrases (He et al., 2020b; Tay et al.,", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 689, + 506, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 704 + ], + "score": 1.0, + "content": "2021). The idea of formalising semantic equivalence via textual entailment has a long history in", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 701, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 701, + 505, + 714 + ], + "score": 1.0, + "content": "linguistics (Culicover, 1968) and NLP (Pado et al., 2009; Androutsopoulos & Malakasiotis, 2010). ´", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 712, + 505, + 726 + ], + "spans": [ + { + "bbox": [ + 105, + 712, + 505, + 726 + ], + "score": 1.0, + "content": "Transformer-based paraphrase detection models such as EFL (Wang et al., 2021) achieve SotA per-", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 724, + 493, + 736 + ], + "spans": [ + { + "bbox": [ + 106, + 724, + 493, + 736 + ], + "score": 1.0, + "content": "formance on paraphrase detection benchmarks such as Quora Question Pairs Wang et al. (2017).", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 636, + 506, + 736 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 130, + 54, + 481, + 205 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 130, + 54, + 481, + 205 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 130, + 54, + 481, + 205 + ], + "spans": [ + { + "bbox": [ + 130, + 54, + 481, + 205 + ], + "score": 0.973, + "type": "image", + "image_path": "42c762d501d32633afa83322495aeef5d1967d75b2d5fd1de160407b37749cc2.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 130, + 54, + 481, + 104.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 130, + 104.33333333333334, + 481, + 154.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 130, + 154.66666666666669, + 481, + 205.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 214, + 505, + 259 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "Figure 2: (a) On CoQA open-book question answering semantic entropy demonstrates better uncer-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 226, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 506, + 239 + ], + "score": 1.0, + "content": "tainty than ordinary predictive entropy with and without normalisation at larger model sizes. It also", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 242, + 249 + ], + "score": 1.0, + "content": "performs significantly better than", + "type": "text" + }, + { + "bbox": [ + 243, + 236, + 275, + 248 + ], + "score": 0.84, + "content": "p ( \\mathrm { T r u e } )", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 236, + 505, + 249 + ], + "score": 1.0, + "content": ". (b) TriviaQA shows similar results. Identical to Fig. 1b", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 247, + 461, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 247, + 187, + 259 + ], + "score": 1.0, + "content": "with the addition of", + "type": "text" + }, + { + "bbox": [ + 187, + 247, + 219, + 259 + ], + "score": 0.8, + "content": "p ( \\mathrm { T r u e } )", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 247, + 461, + 259 + ], + "score": 1.0, + "content": ", which was previously omitted to avoid stretching the scale.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "title", + "bbox": [ + 108, + 269, + 253, + 281 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 254, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 254, + 283 + ], + "score": 1.0, + "content": "6 EMPIRICAL EVALUATION", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 108, + 290, + 504, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "We demonstrate that semantic entropy is an effective way to quantify the uncertainty of NLG on", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "free-form QA tasks. Effective uncertainty measures should offer information about how reliable the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 311, + 475, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 475, + 326 + ], + "score": 1.0, + "content": "model’s answers are—that is, very uncertain generations should be less likely to be correct.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 395 + ], + "lines": [ + { + "bbox": [ + 105, + 328, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 505, + 342 + ], + "score": 1.0, + "content": "Performance evaluation. Following prior work (e.g. Filos et al. (2019)), we evaluate uncertainty by", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "treating uncertainty estimation as the problem of predicting whether to rely on a model generation", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "score": 1.0, + "content": "for a given context—whether to trust an answer to a question. The area under the receiver operator", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 361, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 506, + 374 + ], + "score": 1.0, + "content": "characteristic curve (AUROC) metric is equivalent to the probability that a randomly chosen correct", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 374, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 385 + ], + "score": 1.0, + "content": "answer has a higher uncertainty score than a randomly chosen incorrect answer. Higher scores are", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 384, + 487, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 487, + 397 + ], + "score": 1.0, + "content": "better, with perfect uncertainty scoring 1 while a random uncertainty measure would score 0.5.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 106, + 400, + 505, + 488 + ], + "lines": [ + { + "bbox": [ + 105, + 400, + 505, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 505, + 413 + ], + "score": 1.0, + "content": "The AUROC is a better measure of uncertainty for free-form question answering and NLG than", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 411, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 424 + ], + "score": 1.0, + "content": "calibration measures like the Brier score, which are often used in classification or for multiple choice", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 423, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 506, + 435 + ], + "score": 1.0, + "content": "QA. This is because the language model outputs a likelihood for a given token-sequence, but not", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "score": 1.0, + "content": "for an entire meaning. In order to estimate the Brier score, we would need to estimate the entire", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "probability mass assigned to any possible way of saying the correct answer. This is intractable for", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 455, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 506, + 468 + ], + "score": 1.0, + "content": "free form text where we do not have access to probabilities about meanings. In contrast, we can", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 467, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 505, + 479 + ], + "score": 1.0, + "content": "estimate the entropy because it is structured as an expected information, which makes Monte Carlo", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 478, + 187, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 187, + 489 + ], + "score": 1.0, + "content": "integration suitable.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 106, + 493, + 505, + 572 + ], + "lines": [ + { + "bbox": [ + 105, + 494, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 505, + 507 + ], + "score": 1.0, + "content": "Model. We use the GPT-like OPT models (Zhang et al., 2022). We vary the size of the model", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 505, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 505, + 518 + ], + "score": 1.0, + "content": "between 2.7B, 6.7B, 13B and 30B parameters, while our headline results are all reported using the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "score": 1.0, + "content": "largest computationally feasible model, with 30B parameters. In all cases we use only a single un-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 528, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 505, + 539 + ], + "score": 1.0, + "content": "modified model. There is no ensembling and no stochastic or Bayesian modification. We chose this", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 539, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 505, + 550 + ], + "score": 1.0, + "content": "because in most cases cutting-edge foundation models are not available as ensembles and are too", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "large to efficiently perform approximate Bayesian inference with. We do not fine-tune these models", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 561, + 353, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 353, + 572 + ], + "score": 1.0, + "content": "on TriviaQA or CoQA but use them in their pre-trained form.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 577, + 505, + 632 + ], + "lines": [ + { + "bbox": [ + 105, + 576, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 591 + ], + "score": 1.0, + "content": "Datasets. We use CoQA Reddy et al. (2019) as an open-book conversational question answering", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "score": 1.0, + "content": "problem (in which the model answers a question using a supporting paragraph). We use the devel-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 598, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 163, + 612 + ], + "score": 1.0, + "content": "opment split", + "type": "text" + }, + { + "bbox": [ + 163, + 599, + 193, + 610 + ], + "score": 0.82, + "content": "\\mathord { \\sim } 8 0 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 598, + 505, + 612 + ], + "score": 1.0, + "content": "questions). We also use TriviaQA (Joshi et al., 2017) as a closed-book QA", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "score": 1.0, + "content": "problem (in which the model must answer a question without access to a supporting paragraph). We", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 621, + 420, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 420, + 634 + ], + "score": 1.0, + "content": "use a subset of 8000 questions of the training split to match the size of CoQA.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 638, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "We evaluate correctness of our model’s generations on the underlying dataset using the a fuzzy", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 647, + 507, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 187, + 664 + ], + "score": 1.0, + "content": "matching criterion:", + "type": "text" + }, + { + "bbox": [ + 187, + 649, + 303, + 662 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\mathbf { s } , \\mathbf { s } ^ { \\prime } ) = \\mathbf { 1 } _ { R o u g e L ( \\mathbf { s } , \\mathbf { s } ^ { \\prime } ) > 0 . 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 647, + 507, + 664 + ], + "score": 1.0, + "content": ". That is, we consider an answer s to be correct if", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "its Rouge-L (Lin & Och, 2004) — a measure of the longest common subsequence — with regards", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 671, + 505, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 505, + 682 + ], + "score": 1.0, + "content": "to the reference answer is larger than 0.3. In Appendix B.3 we study other objective functions such", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 681, + 434, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 434, + 694 + ], + "score": 1.0, + "content": "as exact matching and Rouge-1 and find our method to be robust to these choices.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "Baselines. We compare our method against predictive entropy, length-normalised predictive en-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 237, + 722 + ], + "score": 1.0, + "content": "tropy (Malinin & Gales, 2020),", + "type": "text" + }, + { + "bbox": [ + 237, + 710, + 270, + 721 + ], + "score": 0.74, + "content": "p ( \\mathrm { T r u e } )", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "(Kadavath et al., 2022), and lexical similarity (similar to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "(Fomicheva et al., 2020)). Predictive entropy is a widely used measure of uncertainty in other", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 303, + 751, + 309, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 130, + 54, + 481, + 205 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 130, + 54, + 481, + 205 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 130, + 54, + 481, + 205 + ], + "spans": [ + { + "bbox": [ + 130, + 54, + 481, + 205 + ], + "score": 0.973, + "type": "image", + "image_path": "42c762d501d32633afa83322495aeef5d1967d75b2d5fd1de160407b37749cc2.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 130, + 54, + 481, + 104.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 130, + 104.33333333333334, + 481, + 154.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 130, + 154.66666666666669, + 481, + 205.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 214, + 505, + 259 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "Figure 2: (a) On CoQA open-book question answering semantic entropy demonstrates better uncer-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 226, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 506, + 239 + ], + "score": 1.0, + "content": "tainty than ordinary predictive entropy with and without normalisation at larger model sizes. It also", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 242, + 249 + ], + "score": 1.0, + "content": "performs significantly better than", + "type": "text" + }, + { + "bbox": [ + 243, + 236, + 275, + 248 + ], + "score": 0.84, + "content": "p ( \\mathrm { T r u e } )", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 236, + 505, + 249 + ], + "score": 1.0, + "content": ". (b) TriviaQA shows similar results. Identical to Fig. 1b", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 247, + 461, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 247, + 187, + 259 + ], + "score": 1.0, + "content": "with the addition of", + "type": "text" + }, + { + "bbox": [ + 187, + 247, + 219, + 259 + ], + "score": 0.8, + "content": "p ( \\mathrm { T r u e } )", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 247, + 461, + 259 + ], + "score": 1.0, + "content": ", which was previously omitted to avoid stretching the scale.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "title", + "bbox": [ + 108, + 269, + 253, + 281 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 254, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 254, + 283 + ], + "score": 1.0, + "content": "6 EMPIRICAL EVALUATION", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 108, + 290, + 504, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "We demonstrate that semantic entropy is an effective way to quantify the uncertainty of NLG on", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "free-form QA tasks. Effective uncertainty measures should offer information about how reliable the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 311, + 475, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 475, + 326 + ], + "score": 1.0, + "content": "model’s answers are—that is, very uncertain generations should be less likely to be correct.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 289, + 505, + 326 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 395 + ], + "lines": [ + { + "bbox": [ + 105, + 328, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 505, + 342 + ], + "score": 1.0, + "content": "Performance evaluation. Following prior work (e.g. Filos et al. (2019)), we evaluate uncertainty by", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "treating uncertainty estimation as the problem of predicting whether to rely on a model generation", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "score": 1.0, + "content": "for a given context—whether to trust an answer to a question. The area under the receiver operator", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 361, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 506, + 374 + ], + "score": 1.0, + "content": "characteristic curve (AUROC) metric is equivalent to the probability that a randomly chosen correct", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 374, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 385 + ], + "score": 1.0, + "content": "answer has a higher uncertainty score than a randomly chosen incorrect answer. Higher scores are", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 384, + 487, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 487, + 397 + ], + "score": 1.0, + "content": "better, with perfect uncertainty scoring 1 while a random uncertainty measure would score 0.5.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 328, + 506, + 397 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 400, + 505, + 488 + ], + "lines": [ + { + "bbox": [ + 105, + 400, + 505, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 505, + 413 + ], + "score": 1.0, + "content": "The AUROC is a better measure of uncertainty for free-form question answering and NLG than", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 411, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 424 + ], + "score": 1.0, + "content": "calibration measures like the Brier score, which are often used in classification or for multiple choice", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 423, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 506, + 435 + ], + "score": 1.0, + "content": "QA. This is because the language model outputs a likelihood for a given token-sequence, but not", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "score": 1.0, + "content": "for an entire meaning. In order to estimate the Brier score, we would need to estimate the entire", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "probability mass assigned to any possible way of saying the correct answer. This is intractable for", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 455, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 506, + 468 + ], + "score": 1.0, + "content": "free form text where we do not have access to probabilities about meanings. In contrast, we can", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 467, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 505, + 479 + ], + "score": 1.0, + "content": "estimate the entropy because it is structured as an expected information, which makes Monte Carlo", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 478, + 187, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 187, + 489 + ], + "score": 1.0, + "content": "integration suitable.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 400, + 506, + 489 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 493, + 505, + 572 + ], + "lines": [ + { + "bbox": [ + 105, + 494, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 505, + 507 + ], + "score": 1.0, + "content": "Model. We use the GPT-like OPT models (Zhang et al., 2022). We vary the size of the model", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 505, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 505, + 518 + ], + "score": 1.0, + "content": "between 2.7B, 6.7B, 13B and 30B parameters, while our headline results are all reported using the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "score": 1.0, + "content": "largest computationally feasible model, with 30B parameters. In all cases we use only a single un-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 528, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 505, + 539 + ], + "score": 1.0, + "content": "modified model. There is no ensembling and no stochastic or Bayesian modification. We chose this", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 539, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 505, + 550 + ], + "score": 1.0, + "content": "because in most cases cutting-edge foundation models are not available as ensembles and are too", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "large to efficiently perform approximate Bayesian inference with. We do not fine-tune these models", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 561, + 353, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 353, + 572 + ], + "score": 1.0, + "content": "on TriviaQA or CoQA but use them in their pre-trained form.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 494, + 505, + 572 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 577, + 505, + 632 + ], + "lines": [ + { + "bbox": [ + 105, + 576, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 591 + ], + "score": 1.0, + "content": "Datasets. We use CoQA Reddy et al. (2019) as an open-book conversational question answering", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "score": 1.0, + "content": "problem (in which the model answers a question using a supporting paragraph). We use the devel-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 598, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 163, + 612 + ], + "score": 1.0, + "content": "opment split", + "type": "text" + }, + { + "bbox": [ + 163, + 599, + 193, + 610 + ], + "score": 0.82, + "content": "\\mathord { \\sim } 8 0 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 598, + 505, + 612 + ], + "score": 1.0, + "content": "questions). We also use TriviaQA (Joshi et al., 2017) as a closed-book QA", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "score": 1.0, + "content": "problem (in which the model must answer a question without access to a supporting paragraph). We", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 621, + 420, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 420, + 634 + ], + "score": 1.0, + "content": "use a subset of 8000 questions of the training split to match the size of CoQA.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 576, + 506, + 634 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 638, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "We evaluate correctness of our model’s generations on the underlying dataset using the a fuzzy", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 647, + 507, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 187, + 664 + ], + "score": 1.0, + "content": "matching criterion:", + "type": "text" + }, + { + "bbox": [ + 187, + 649, + 303, + 662 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\mathbf { s } , \\mathbf { s } ^ { \\prime } ) = \\mathbf { 1 } _ { R o u g e L ( \\mathbf { s } , \\mathbf { s } ^ { \\prime } ) > 0 . 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 647, + 507, + 664 + ], + "score": 1.0, + "content": ". That is, we consider an answer s to be correct if", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "its Rouge-L (Lin & Och, 2004) — a measure of the longest common subsequence — with regards", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 671, + 505, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 505, + 682 + ], + "score": 1.0, + "content": "to the reference answer is larger than 0.3. In Appendix B.3 we study other objective functions such", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 681, + 434, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 434, + 694 + ], + "score": 1.0, + "content": "as exact matching and Rouge-1 and find our method to be robust to these choices.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 637, + 507, + 694 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "Baselines. We compare our method against predictive entropy, length-normalised predictive en-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 237, + 722 + ], + "score": 1.0, + "content": "tropy (Malinin & Gales, 2020),", + "type": "text" + }, + { + "bbox": [ + 237, + 710, + 270, + 721 + ], + "score": 0.74, + "content": "p ( \\mathrm { T r u e } )", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "(Kadavath et al., 2022), and lexical similarity (similar to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "(Fomicheva et al., 2020)). 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(1).", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 178, + 506, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 178, + 506, + 191 + ], + "score": 1.0, + "content": "Length-normalised predictive entropy divides the joint log-probability of each sequence by the", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 189, + 506, + 202 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 506, + 202 + ], + "score": 1.0, + "content": "length of the sequence, as proposed by Malinin & Gales (2020) in the case of NLG uncertainty and", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 199, + 505, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 505, + 213 + ], + "score": 1.0, + "content": "further discussed in Section 3.3. 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DatasetAverage # of semantically distinct answersAUROC
Correctly answeredIncorrectly answeredSemantic entropy# distinct answers
CoQA1.271.770.770.66
TriviaQA1.893.890.830.79
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For CoQA, in Fig. 2a we show that semantic entropy predicts model correctness", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 470, + 343, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 343, + 483 + ], + "score": 1.0, + "content": "significantly better than the baselines at larger model sizes.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 531 + ], + "lines": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "The ground truth answers for TriviaQA are generally single words or very short phrases, while", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 497, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 505, + 510 + ], + "score": 1.0, + "content": "CoQA contains both longer and shorter ground truth answers. 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DatasetAverage # of semantically distinct answersAUROC
Correctly answeredIncorrectly answeredSemantic entropy# distinct answers
CoQA1.271.770.770.66
TriviaQA1.893.890.830.79
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For TriviaQA, using the largest model we show in Fig. 1a we", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 403, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 418 + ], + "score": 1.0, + "content": "show that semantic entropy has a significantly higher AUROC than entropy in sequence-probability-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 505, + 428 + ], + "score": 1.0, + "content": "space with and without length-normalisation, as well as the lexical similarity baseline. 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Similarly, we find in Fig. 1b that our method out-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 435, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 506, + 451 + ], + "score": 1.0, + "content": "performs more for larger model sizes and continues to steadily improve as the model size increases,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 447, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 220, + 461 + ], + "score": 1.0, + "content": "with the performance of the", + "type": "text" + }, + { + "bbox": [ + 221, + 448, + 253, + 460 + ], + "score": 0.85, + "content": "p ( \\mathrm { T r u e } )", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 447, + 505, + 461 + ], + "score": 1.0, + "content": "baseline added in Fig. 2b (not shown in the opening figure for", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "score": 1.0, + "content": "visual clarity). For CoQA, in Fig. 2a we show that semantic entropy predicts model correctness", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 470, + 343, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 343, + 483 + ], + "score": 1.0, + "content": "significantly better than the baselines at larger model sizes.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 382, + 506, + 483 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 531 + ], + "lines": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "The ground truth answers for TriviaQA are generally single words or very short phrases, while", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 497, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 505, + 510 + ], + "score": 1.0, + "content": "CoQA contains both longer and shorter ground truth answers. 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At the same", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 372, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 505, + 386 + ], + "score": 1.0, + "content": "time, reducing the temperature improves the average correctness of the answer (Fig. 3b, bottom", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 383, + 481, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 481, + 397 + ], + "score": 1.0, + "content": "figure, dashed line). Typically, more accurate models are also better at estimating uncertainty.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 401, + 505, + 467 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "In fact, we find that these two effects compete and the highest AUROC for semantic entropy and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 412, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 506, + 424 + ], + "score": 1.0, + "content": "length-normalised entropy is optimised by an intermediate temperature of 0.5 (Fig. 3b, top figure). 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Note that prior work using predictive entropy", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "as a baseline uses a temperature of 1.0 (Kadavath et al., 2022), which our evaluation suggests would", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 456, + 366, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 366, + 469 + ], + "score": 1.0, + "content": "significantly weaken the baseline relative to our implementation.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 107, + 476, + 191, + 488 + ], + "lines": [ + { + "bbox": [ + 104, + 473, + 192, + 491 + ], + "spans": [ + { + "bbox": [ + 104, + 473, + 192, + 491 + ], + "score": 1.0, + "content": "7 DISCUSSION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 489, + 505, + 556 + ], + "lines": [ + { + "bbox": [ + 106, + 490, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 490, + 505, + 501 + ], + "score": 1.0, + "content": "Many natural language problems display a crucial invariance: sequences of distinct tokens mean the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "same thing. 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We are also grateful to the members of the OATML group", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 123, + 273, + 136 + ], + "spans": [ + { + "bbox": [ + 106, + 123, + 273, + 136 + ], + "score": 1.0, + "content": "for helpful discussions about this project.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 107, + 148, + 194, + 159 + ], + "lines": [ + { + "bbox": [ + 106, + 147, + 195, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 147, + 195, + 160 + ], + "score": 1.0, + "content": "ETHICS STATEMENT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 168, + 505, + 279 + ], + "lines": [ + { + "bbox": [ + 105, + 168, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 505, + 181 + ], + "score": 1.0, + "content": "Our aim is to work towards safer AI systems by enabling users to understand the confidence and re-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "score": 1.0, + "content": "liability of language model generations. In principle, this could help mitigate many of the potential", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 190, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 506, + 203 + ], + "score": 1.0, + "content": "harms of NLG from foundation models such as generating false and harmful information in response", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 202, + 505, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 202, + 505, + 213 + ], + "score": 1.0, + "content": "to genuine questions about important topics like medical questions. However, this potential benefit", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 212, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 505, + 225 + ], + "score": 1.0, + "content": "comes with the risk that systematic mistakes in the assessment of uncertainty or its communication", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 224, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 224, + 505, + 235 + ], + "score": 1.0, + "content": "could cause unfounded and misplaced confidence. While this paper represents research progress in", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 234, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 505, + 247 + ], + "score": 1.0, + "content": "identifying new considerations and methods for uncertainty quantification in NLG, before deploy-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 246, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 257 + ], + "score": 1.0, + "content": "ment we advise that practitioners conduct extensive evaluations specific to the deployment context", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 255, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 269 + ], + "score": 1.0, + "content": "to make sure that uncertainty is communicated in a way that empowers users and is not misleading", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 266, + 162, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 162, + 281 + ], + "score": 1.0, + "content": "or confusing.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9.5 + }, + { + "type": "title", + "bbox": [ + 108, + 291, + 241, + 302 + ], + "lines": [ + { + "bbox": [ + 106, + 291, + 242, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 242, + 303 + ], + "score": 1.0, + "content": "REPRODUCIBILITY STATEMENT", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 312, + 505, + 421 + ], + "lines": [ + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "Because of the computational cost of experimentation with foundation models, most of the relatively", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 321, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 506, + 337 + ], + "score": 1.0, + "content": "small amount of existing research into NLG uncertainty relies on proprietary models, finetuning", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 334, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 505, + 345 + ], + "score": 1.0, + "content": "of expensive models, and human evaluation. These factors put this kind of research out of reach", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 344, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 505, + 357 + ], + "score": 1.0, + "content": "for many academic groups. Our work takes advantage of the recently released, publicly available", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 354, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 506, + 369 + ], + "score": 1.0, + "content": "OPT models, and builds on this to provide an uncertainty quantification pipeline for NLG that uses", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "entirely open source tools. 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We are also grateful to the members of the OATML group", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 123, + 273, + 136 + ], + "spans": [ + { + "bbox": [ + 106, + 123, + 273, + 136 + ], + "score": 1.0, + "content": "for helpful discussions about this project.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2, + "bbox_fs": [ + 106, + 101, + 505, + 136 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 148, + 194, + 159 + ], + "lines": [ + { + "bbox": [ + 106, + 147, + 195, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 147, + 195, + 160 + ], + "score": 1.0, + "content": "ETHICS STATEMENT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 168, + 505, + 279 + ], + "lines": [ + { + "bbox": [ + 105, + 168, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 505, + 181 + ], + "score": 1.0, + "content": "Our aim is to work towards safer AI systems by enabling users to understand the confidence and re-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "score": 1.0, + "content": "liability of language model generations. 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However, this potential benefit", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 212, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 505, + 225 + ], + "score": 1.0, + "content": "comes with the risk that systematic mistakes in the assessment of uncertainty or its communication", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 224, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 224, + 505, + 235 + ], + "score": 1.0, + "content": "could cause unfounded and misplaced confidence. 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Opt: Open pre-trained transformer", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 116, + 135, + 371, + 147 + ], + "spans": [ + { + "bbox": [ + 116, + 135, + 371, + 147 + ], + "score": 1.0, + "content": "language models. arXiv preprint arXiv:2205.01068, 2022. 2, 7", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3 + } + ], + "page_idx": 12, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "score": 1.0, + "content": "13", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "score": 1.0, + "content": "Lei Yu, Karl Moritz Hermann, Phil Blunsom, and Stephen Pulman. Deep learning for answer", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 115, + 94, + 361, + 105 + ], + "spans": [ + { + "bbox": [ + 115, + 94, + 361, + 105 + ], + "score": 1.0, + "content": "sentence selection. arXiv preprint arXiv:1412.1632, 2014. 6", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 506, + 105 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 112, + 503, + 146 + ], + "lines": [ + { + "bbox": [ + 105, + 112, + 505, + 125 + ], + "spans": [ + { + "bbox": [ + 105, + 112, + 505, + 125 + ], + "score": 1.0, + "content": "Susan Zhang, Stephen Roller, Naman Goyal, Mikel Artetxe, Moya Chen, Shuohui Chen, Christo-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 115, + 123, + 505, + 136 + ], + "spans": [ + { + "bbox": [ + 115, + 123, + 505, + 136 + ], + "score": 1.0, + "content": "pher Dewan, Mona Diab, Xian Li, Xi Victoria Lin, et al. Opt: Open pre-trained transformer", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 116, + 135, + 371, + 147 + ], + "spans": [ + { + "bbox": [ + 116, + 135, + 371, + 147 + ], + "score": 1.0, + "content": "language models. arXiv preprint arXiv:2205.01068, 2022. 2, 7", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 112, + 505, + 147 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 122, + 498, + 203 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 80, + 505, + 114 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 80, + 505, + 92 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 505, + 92 + ], + "score": 1.0, + "content": "Table 3: Illustration of semantic, syntactic, and lexical equivalence. Work with foundation mod-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 91, + 505, + 104 + ], + "spans": [ + { + "bbox": [ + 106, + 91, + 505, + 104 + ], + "score": 1.0, + "content": "els implicitly focuses on lexical equivalence, which entails the others, but we usually care about", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 103, + 197, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 103, + 197, + 115 + ], + "score": 1.0, + "content": "semantic equivalence.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 106, + 122, + 498, + 203 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 122, + 498, + 203 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 498, + 203 + ], + "score": 0.978, + "html": "
Sentence ASentence BEquivalence
LexicalSyntacticSemantic
Paris is the capital of France.Paris is the capital of France.√V√
Berlin is the capital of France. France's capital is Paris.√
", + "type": "table", + "image_path": "f6b5350ffc3a33fcdae7b77283b77506345cb52557f7918d6d4d33d48b9eecbb.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 106, + 122, + 498, + 149.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 106, + 149.0, + 498, + 176.0 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 106, + 176.0, + 498, + 203.0 + ], + "spans": [], + "index": 5 + } + ] + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 108, + 225, + 349, + 237 + ], + "lines": [ + { + "bbox": [ + 105, + 223, + 350, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 223, + 350, + 239 + ], + "score": 1.0, + "content": "A FURTHER DETAILS ON SEMANTIC ENTROPY", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "title", + "bbox": [ + 107, + 245, + 353, + 257 + ], + "lines": [ + { + "bbox": [ + 106, + 245, + 354, + 258 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 354, + 258 + ], + "score": 1.0, + "content": "A.1 FURTHER DISCUSSION OF SEMANTIC EQUIVALENCE", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 262, + 505, + 350 + ], + "lines": [ + { + "bbox": [ + 106, + 262, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 505, + 274 + ], + "score": 1.0, + "content": "We illustrate the distinction between different kinds of equivalence in Table 3. Lexically equivalent", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "score": 1.0, + "content": "sequences use exactly the same symbols. They are always also semantically and syntactically equiv-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "score": 1.0, + "content": "alent (in a given context). Syntactically equivalent sentences have the same grammatical form. But", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 295, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 505, + 308 + ], + "score": 1.0, + "content": "they can have different meanings (not semantically equivalent) and can use different symbols (not", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 305, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 104, + 305, + 505, + 319 + ], + "score": 1.0, + "content": "lexically equivalent). Semantically equivalent sentences mean the same thing, but they might have", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "score": 1.0, + "content": "different grammatical form (not syntactically equivalent) or symbols (not lexically equivalent). Two", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 328, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 340 + ], + "score": 1.0, + "content": "sentences can also be both syntactically and semantically equivalent but not lexically equivalent if", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 339, + 223, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 223, + 352 + ], + "score": 1.0, + "content": "they match up to a synonym.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 106, + 355, + 505, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 354, + 504, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 470, + 368 + ], + "score": 1.0, + "content": "Soft equivalence and transitivity. Formally, semantic equivalence is transitive. That is, if", + "type": "text" + }, + { + "bbox": [ + 471, + 356, + 504, + 368 + ], + "score": 0.92, + "content": "E ( \\mathbf { s } , \\mathbf { s } ^ { \\prime } )", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 366, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 123, + 380 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 367, + 161, + 379 + ], + "score": 0.93, + "content": "E ( \\mathbf { s } ^ { \\prime } , \\mathbf { s } ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 366, + 239, + 380 + ], + "score": 1.0, + "content": "then it follows that", + "type": "text" + }, + { + "bbox": [ + 239, + 367, + 274, + 379 + ], + "score": 0.93, + "content": "E ( \\mathbf { s } , \\mathbf { s } ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 366, + 505, + 380 + ], + "score": 1.0, + "content": ". However, the implementation of our bidirectional equiv-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "alence algorithm permits some classification errors and it is slightly ‘soft’—it will sometimes return", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "score": 1.0, + "content": "equivalent for pairs that are not quite equivalent. As a result, it is not strictly true that our equiv-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 399, + 504, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 504, + 412 + ], + "score": 1.0, + "content": "alence relation is transitive, and therefore not strictly true that there is a unique set of equivalence", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "score": 1.0, + "content": "classes. For example, the clusters might depend on the order in which the comparisons are made.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 421, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 435 + ], + "score": 1.0, + "content": "In practice, however, we find that this does not pose a noticeable problem—usually, inspecting the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 432, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 505, + 446 + ], + "score": 1.0, + "content": "outputs shows that the equivalence appears clear cut. However, we acknowledge this potential issue", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 444, + 343, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 343, + 456 + ], + "score": 1.0, + "content": "as an area for improvement in future clustering algorithms.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 460, + 504, + 516 + ], + "lines": [ + { + "bbox": [ + 106, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 505, + 472 + ], + "score": 1.0, + "content": "Unequal token importance. From the perspective of meaning, some tokens can matter more than", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "others—key words. Naive methods like predictive entropy do distinguish between key words or", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "score": 1.0, + "content": "unimportant tokens. Supervised uncertainty methods that make use of language models in the un-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 492, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 507 + ], + "score": 1.0, + "content": "certainty evaluation can potentially take this into account better. 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Here, we show a variant of Fig. 3b for the CoQA dataset showing an almost", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "score": 1.0, + "content": "identical pattern. Like TriviaQA, the optimal temperature is 0.5 despite a significantly harder prob-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 626, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 506, + 641 + ], + "score": 1.0, + "content": "lem with lower accuracy, suggesting that this choice hyperparameter may generalize well. Unlike", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 636, + 438, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 438, + 652 + ], + "score": 1.0, + "content": "TriviaQA, normalised entropy outperforms semantic entropy at high temperatures.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "Beyond the temperature, there are a number of other design choices to be made when sampling:", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 318, + 678 + ], + "score": 1.0, + "content": "the sampling method and hyper-parameters such as", + "type": "text" + }, + { + "bbox": [ + 318, + 667, + 350, + 677 + ], + "score": 0.52, + "content": "\\tt t o p { - p }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 666, + 369, + 678 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 369, + 667, + 400, + 677 + ], + "score": 0.41, + "content": "\\tt t o p \\mathrm { - k }", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 666, + 505, + 678 + ], + "score": 1.0, + "content": ". Our contribution in this", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "paper is to show the importance of these choices for uncertainty estimation which has been over-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "looked previously, and study the temperature in particular. While we leave the detailed study of", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "these hyperparameters to future work, we do compare our default multinomial sampling method,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "to multinomial beam search sampling which focuses more on high-likelihood regions of the output", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 723, + 134, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 723, + 134, + 733 + ], + "score": 1.0, + "content": "space.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 42 + } + ], + "page_idx": 13, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "score": 1.0, + "content": "14", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 122, + 498, + 203 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 80, + 505, + 114 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 80, + 505, + 92 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 505, + 92 + ], + "score": 1.0, + "content": "Table 3: Illustration of semantic, syntactic, and lexical equivalence. Work with foundation mod-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 91, + 505, + 104 + ], + "spans": [ + { + "bbox": [ + 106, + 91, + 505, + 104 + ], + "score": 1.0, + "content": "els implicitly focuses on lexical equivalence, which entails the others, but we usually care about", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 103, + 197, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 103, + 197, + 115 + ], + "score": 1.0, + "content": "semantic equivalence.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 106, + 122, + 498, + 203 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 122, + 498, + 203 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 498, + 203 + ], + "score": 0.978, + "html": "
Sentence ASentence BEquivalence
LexicalSyntacticSemantic
Paris is the capital of France.Paris is the capital of France.√V√
Berlin is the capital of France. France's capital is Paris.√
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Lexically equivalent", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "score": 1.0, + "content": "sequences use exactly the same symbols. They are always also semantically and syntactically equiv-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "score": 1.0, + "content": "alent (in a given context). Syntactically equivalent sentences have the same grammatical form. But", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 295, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 505, + 308 + ], + "score": 1.0, + "content": "they can have different meanings (not semantically equivalent) and can use different symbols (not", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 305, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 104, + 305, + 505, + 319 + ], + "score": 1.0, + "content": "lexically equivalent). Semantically equivalent sentences mean the same thing, but they might have", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "score": 1.0, + "content": "different grammatical form (not syntactically equivalent) or symbols (not lexically equivalent). Two", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 328, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 340 + ], + "score": 1.0, + "content": "sentences can also be both syntactically and semantically equivalent but not lexically equivalent if", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 339, + 223, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 223, + 352 + ], + "score": 1.0, + "content": "they match up to a synonym.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11.5, + "bbox_fs": [ + 104, + 262, + 506, + 352 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 355, + 505, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 354, + 504, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 470, + 368 + ], + "score": 1.0, + "content": "Soft equivalence and transitivity. Formally, semantic equivalence is transitive. That is, if", + "type": "text" + }, + { + "bbox": [ + 471, + 356, + 504, + 368 + ], + "score": 0.92, + "content": "E ( \\mathbf { s } , \\mathbf { s } ^ { \\prime } )", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 366, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 123, + 380 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 367, + 161, + 379 + ], + "score": 0.93, + "content": "E ( \\mathbf { s } ^ { \\prime } , \\mathbf { s } ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 366, + 239, + 380 + ], + "score": 1.0, + "content": "then it follows that", + "type": "text" + }, + { + "bbox": [ + 239, + 367, + 274, + 379 + ], + "score": 0.93, + "content": "E ( \\mathbf { s } , \\mathbf { s } ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 366, + 505, + 380 + ], + "score": 1.0, + "content": ". However, the implementation of our bidirectional equiv-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "alence algorithm permits some classification errors and it is slightly ‘soft’—it will sometimes return", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "score": 1.0, + "content": "equivalent for pairs that are not quite equivalent. As a result, it is not strictly true that our equiv-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 399, + 504, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 504, + 412 + ], + "score": 1.0, + "content": "alence relation is transitive, and therefore not strictly true that there is a unique set of equivalence", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "score": 1.0, + "content": "classes. For example, the clusters might depend on the order in which the comparisons are made.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 421, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 435 + ], + "score": 1.0, + "content": "In practice, however, we find that this does not pose a noticeable problem—usually, inspecting the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 432, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 505, + 446 + ], + "score": 1.0, + "content": "outputs shows that the equivalence appears clear cut. However, we acknowledge this potential issue", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 444, + 343, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 343, + 456 + ], + "score": 1.0, + "content": "as an area for improvement in future clustering algorithms.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 354, + 505, + 456 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 460, + 504, + 516 + ], + "lines": [ + { + "bbox": [ + 106, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 505, + 472 + ], + "score": 1.0, + "content": "Unequal token importance. From the perspective of meaning, some tokens can matter more than", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "others—key words. Naive methods like predictive entropy do distinguish between key words or", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "score": 1.0, + "content": "unimportant tokens. Supervised uncertainty methods that make use of language models in the un-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 492, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 507 + ], + "score": 1.0, + "content": "certainty evaluation can potentially take this into account better. In addition, our semantic entropy", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 505, + 347, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 347, + 516 + ], + "score": 1.0, + "content": "approach partly adjusts for this, as discussed in Section 4.1.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 460, + 506, + 516 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 527, + 276, + 538 + ], + "lines": [ + { + "bbox": [ + 106, + 527, + 278, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 278, + 540 + ], + "score": 1.0, + "content": "A.2 FURTHER ALGORITHMIC DETAILS", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 543, + 505, + 566 + ], + "lines": [ + { + "bbox": [ + 105, + 543, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 556 + ], + "score": 1.0, + "content": "In addition to the description of the method provided in the main body, in Algorithm 1 we provide", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 554, + 344, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 344, + 567 + ], + "score": 1.0, + "content": "the pseudocode for our bi-directional entailment algorithm.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 543, + 505, + 567 + ] + }, + { + "type": "title", + "bbox": [ + 117, + 578, + 442, + 588 + ], + "lines": [ + { + "bbox": [ + 114, + 577, + 444, + 590 + ], + "spans": [ + { + "bbox": [ + 114, + 577, + 444, + 590 + ], + "score": 1.0, + "content": ".3 IMPACT OF SAMPLING METHOD ON QUALITY OF UNCERTAINTY ESTIMATE", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 594, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "In Section 4, we study the impact of the temperature hyper-parameter on the performance of the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "score": 1.0, + "content": "uncertainty measures. Here, we show a variant of Fig. 3b for the CoQA dataset showing an almost", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "score": 1.0, + "content": "identical pattern. Like TriviaQA, the optimal temperature is 0.5 despite a significantly harder prob-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 626, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 506, + 641 + ], + "score": 1.0, + "content": "lem with lower accuracy, suggesting that this choice hyperparameter may generalize well. Unlike", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 636, + 438, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 438, + 652 + ], + "score": 1.0, + "content": "TriviaQA, normalised entropy outperforms semantic entropy at high temperatures.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 594, + 506, + 652 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "Beyond the temperature, there are a number of other design choices to be made when sampling:", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 318, + 678 + ], + "score": 1.0, + "content": "the sampling method and hyper-parameters such as", + "type": "text" + }, + { + "bbox": [ + 318, + 667, + 350, + 677 + ], + "score": 0.52, + "content": "\\tt t o p { - p }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 666, + 369, + 678 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 369, + 667, + 400, + 677 + ], + "score": 0.41, + "content": "\\tt t o p \\mathrm { - k }", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 666, + 505, + 678 + ], + "score": 1.0, + "content": ". Our contribution in this", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "paper is to show the importance of these choices for uncertainty estimation which has been over-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "looked previously, and study the temperature in particular. 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Put into existing class.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 145, + 190, + 174, + 202 + ], + "spans": [ + { + "bbox": [ + 145, + 190, + 174, + 202 + ], + "score": 1.0, + "content": "end if", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 131, + 201, + 165, + 213 + ], + "spans": [ + { + "bbox": [ + 131, + 201, + 165, + 213 + ], + "score": 1.0, + "content": "end for", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 129, + 210, + 505, + 226 + ], + "spans": [ + { + "bbox": [ + 129, + 210, + 203, + 226 + ], + "score": 1.0, + "content": "C ← C S{s(m)}", + "type": "text" + }, + { + "bbox": [ + 345, + 212, + 505, + 225 + ], + "score": 1.0, + "content": ". 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(bottom) Similar to TriviaQA, higher temperatures mean", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "score": 1.0, + "content": "higher diversity and lower accuracy. (top) The best performance for both methods comes at a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 484, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 498 + ], + "score": 1.0, + "content": "temperature of 0.5. Unlike TriviaQA, normalised entropy outperforms semantic entropy at high", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 496, + 164, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 164, + 509 + ], + "score": 1.0, + "content": "temperatures.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + } + ], + "index": 24.25 + }, + { + "type": "text", + "bbox": [ + 106, + 543, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 105, + 543, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 557 + ], + "score": 1.0, + "content": "In Table 4 we show that multinomial beam search sampling yields uncertainty measures that are less", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "score": 1.0, + "content": "predictive of model accuracy than multinomial sampling. Beam search also generates much less", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 567, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 578 + ], + "score": 1.0, + "content": "diverse samples. We conjecture that multinomial beam search sampling focuses too much on the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 577, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 505, + 589 + ], + "score": 1.0, + "content": "most likely sequences. The diversity of this beam search corresponds to the lowest temperature result", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "score": 1.0, + "content": "in Fig. 4. As in the main body of the paper, we measure diversity as the average lexical overlap of the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 599, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 612 + ], + "score": 1.0, + "content": "answers in the answer set. Additionally, we investigate, why the semantic entropy underperforms", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 609, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 505, + 622 + ], + "score": 1.0, + "content": "the length-normalised entropy at high temperatures. To that end, we manually inspect and label 100", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 620, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 620, + 320, + 634 + ], + "score": 1.0, + "content": "classifications of our semantic equivalence method at", + "type": "text" + }, + { + "bbox": [ + 320, + 621, + 346, + 631 + ], + "score": 0.86, + "content": "\\mathrm { T } { = } 1 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 620, + 506, + 634 + ], + "score": 1.0, + "content": ", and we find that at these temperatures,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 632, + 506, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 645 + ], + "score": 1.0, + "content": "many of the generated model answers are nonsensical combinations of words from the context that is", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 643, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 655 + ], + "score": 1.0, + "content": "provided for the question. While the likelihood of these sequences still seems somewhat predictive", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 654, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 506, + 667 + ], + "score": 1.0, + "content": "of the model’s accuracy, semantic clustering becomes very difficult and an unreliable signal for", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "score": 1.0, + "content": "uncertainty estimation. At this temperature, the accuracy of the semantic equivalence methods is", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 675, + 412, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 126, + 689 + ], + "score": 1.0, + "content": "only", + "type": "text" + }, + { + "bbox": [ + 127, + 676, + 146, + 686 + ], + "score": 0.85, + "content": "61 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 675, + 222, + 689 + ], + "score": 1.0, + "content": ", whereas it is over", + "type": "text" + }, + { + "bbox": [ + 222, + 676, + 242, + 686 + ], + "score": 0.85, + "content": "92 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 675, + 412, + 689 + ], + "score": 1.0, + "content": "at lower temperatures (see Appendix B.2)", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 693, + 504, + 736 + ], + "lines": [ + { + "bbox": [ + 105, + 693, + 506, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 693, + 506, + 705 + ], + "score": 1.0, + "content": "Note, that at low-temperatures, where one does gets plausible and well-formed model generations,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 704, + 505, + 715 + ], + "spans": [ + { + "bbox": [ + 105, + 704, + 505, + 715 + ], + "score": 1.0, + "content": "semantic entropy does clearly outperform the baselines. 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(bottom) Similar to TriviaQA, higher temperatures mean", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "score": 1.0, + "content": "higher diversity and lower accuracy. (top) The best performance for both methods comes at a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 484, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 498 + ], + "score": 1.0, + "content": "temperature of 0.5. Unlike TriviaQA, normalised entropy outperforms semantic entropy at high", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 496, + 164, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 164, + 509 + ], + "score": 1.0, + "content": "temperatures.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + } + ], + "index": 24.25 + }, + { + "type": "text", + "bbox": [ + 106, + 543, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 105, + 543, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 557 + ], + "score": 1.0, + "content": "In Table 4 we show that multinomial beam search sampling yields uncertainty measures that are less", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "score": 1.0, + "content": "predictive of model accuracy than multinomial sampling. Beam search also generates much less", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 567, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 578 + ], + "score": 1.0, + "content": "diverse samples. We conjecture that multinomial beam search sampling focuses too much on the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 577, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 505, + 589 + ], + "score": 1.0, + "content": "most likely sequences. The diversity of this beam search corresponds to the lowest temperature result", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "score": 1.0, + "content": "in Fig. 4. As in the main body of the paper, we measure diversity as the average lexical overlap of the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 599, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 612 + ], + "score": 1.0, + "content": "answers in the answer set. Additionally, we investigate, why the semantic entropy underperforms", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 609, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 505, + 622 + ], + "score": 1.0, + "content": "the length-normalised entropy at high temperatures. 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Sampling methodSemantic Entropy AUROCDiversity of answers
Multinomial sampling0.7580.490
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All of our code is open-source and relies on", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 229, + 199, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 199, + 241 + ], + "score": 1.0, + "content": "no proprietary models.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 245, + 503, + 268 + ], + "lines": [ + { + "bbox": [ + 105, + 244, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 505, + 258 + ], + "score": 1.0, + "content": "We use the following functions of the HuggingFace API to sample the most likely answers, and the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 257, + 168, + 269 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 168, + 269 + ], + "score": 1.0, + "content": "set of answers:", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 133, + 277, + 505, + 358 + ], + "lines": [ + { + "bbox": [ + 133, + 277, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 133, + 277, + 505, + 289 + ], + "score": 1.0, + "content": "• To obtain the answer which is compared to the reference answer, which determines whether", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 142, + 289, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 142, + 289, + 505, + 300 + ], + "score": 1.0, + "content": "the question is correctly answered, we use beam search using the generate() function", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 299, + 358, + 311 + ], + "spans": [ + { + "bbox": [ + 141, + 299, + 218, + 311 + ], + "score": 1.0, + "content": "with num beams", + "type": "text" + }, + { + "bbox": [ + 219, + 300, + 239, + 310 + ], + "score": 0.84, + "content": "\\ c = ~ 5", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 299, + 271, + 311 + ], + "score": 1.0, + "content": "and do", + "type": "text" + }, + { + "bbox": [ + 271, + 300, + 351, + 310 + ], + "score": 0.45, + "content": "- s \\mathsf { a m p l e \\Lambda } = \\mathsf { \\Lambda } \\mathtt { T r u e }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 299, + 358, + 311 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 132, + 313, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 132, + 313, + 506, + 327 + ], + "score": 1.0, + "content": "• To obtain the answer set for uncertainty estimation, by default we use multinomial sam-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 325, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 141, + 325, + 345, + 337 + ], + "score": 1.0, + "content": "pling, that is generate() using do sample", + "type": "text" + }, + { + "bbox": [ + 346, + 326, + 356, + 335 + ], + "score": 0.74, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 325, + 461, + 337 + ], + "score": 1.0, + "content": "True and num beams", + "type": "text" + }, + { + "bbox": [ + 462, + 326, + 482, + 336 + ], + "score": 0.83, + "content": "\\ c = \\ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 325, + 506, + 337 + ], + "score": 1.0, + "content": ". If", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 335, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 141, + 335, + 506, + 349 + ], + "score": 1.0, + "content": "indicated explicitly, we use beam multinomial sampling, that is generate() using", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 347, + 336, + 359 + ], + "spans": [ + { + "bbox": [ + 141, + 347, + 198, + 359 + ], + "score": 1.0, + "content": "num beams", + "type": "text" + }, + { + "bbox": [ + 199, + 348, + 219, + 357 + ], + "score": 0.83, + "content": "\\ c = ~ 5", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 347, + 293, + 359 + ], + "score": 1.0, + "content": "and do sample", + "type": "text" + }, + { + "bbox": [ + 293, + 349, + 303, + 357 + ], + "score": 0.73, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 347, + 336, + 359 + ], + "score": 1.0, + "content": "True.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 107, + 368, + 334, + 379 + ], + "lines": [ + { + "bbox": [ + 106, + 367, + 335, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 335, + 381 + ], + "score": 1.0, + "content": "We run all of our experiments on 80GB NVIDIA A100s.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 440 + ], + "lines": [ + { + "bbox": [ + 106, + 384, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 506, + 398 + ], + "score": 1.0, + "content": "Testing up to 20 samples per answer on the 2.7B, 6.7B and 13B CoQA experiments, we conclude", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 396, + 505, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 505, + 409 + ], + "score": 1.0, + "content": "that using more than 10 samples does not significantly improve the performance of the uncertainty", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 407, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 506, + 420 + ], + "score": 1.0, + "content": "measure, we use 10 sampled answers per question in the remaining experiments on TriviaQA. 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Note,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 417, + 506, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 506, + 431 + ], + "score": 1.0, + "content": "that in Table 2 we compare the 30B model on CoQA and TriviaQA where in both settings we use", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 429, + 198, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 198, + 440 + ], + "score": 1.0, + "content": "answer sets of size 10.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 384, + 506, + 440 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 445, + 505, + 479 + ], + "lines": [ + { + "bbox": [ + 106, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "We use the following prompts on CoQA and TriviaQA. 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Data set Accuracy of automatic evaluation
CoQA0.89
TriviaQA0.96
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MetricAUROCAccuracy
Semantic entropyNormalised entropy
Rouge-L(y,y') > 0.30.8280.8020.506
Rouge-L(y,y) > 0.50.8350.8100.456
Rouge-1(y,y') > 0.50.8350.8100.457
Exact matching0.8280.8080.394
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The choice of accuracy metric is thus a crucial component of", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "our experimental setup. Generally, it has been shown to be difficult to develop automatic metrics", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "score": 1.0, + "content": "for free-form generation that correlate well with human evaluations. We thus verify our choice of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 212, + 439 + ], + "score": 1.0, + "content": "accuracy criterion: Rouge-", + "type": "text" + }, + { + "bbox": [ + 212, + 426, + 272, + 439 + ], + "score": 0.92, + "content": "\\mathbf { \\cdot L } ( y , y ^ { \\prime } ) > 0 . 3", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 426, + 389, + 439 + ], + "score": 1.0, + "content": ", for a given reference answer", + "type": "text" + }, + { + "bbox": [ + 390, + 429, + 397, + 438 + ], + "score": 0.75, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 426, + 492, + 439 + ], + "score": 1.0, + "content": "and a model generation", + "type": "text" + }, + { + "bbox": [ + 492, + 427, + 501, + 438 + ], + "score": 0.85, + "content": "y ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 426, + 505, + 439 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "We manually evaluate the accuracy of 200 answers of the 30B parameter model on both COQA and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 449, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 505, + 461 + ], + "score": 1.0, + "content": "on TriviaQA, and evaluate how closely the human evaluation matches the automatic evaluation. We", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 459, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 506, + 473 + ], + "score": 1.0, + "content": "find that on both data sets, the accuracy of the automatic labels as compared to the human labels as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 470, + 255, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 255, + 483 + ], + "score": 1.0, + "content": "the ground truth is high, see Table 5.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18 + }, + { + "type": "title", + "bbox": [ + 106, + 496, + 374, + 506 + ], + "lines": [ + { + "bbox": [ + 106, + 495, + 376, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 376, + 507 + ], + "score": 1.0, + "content": "B.2 TESTING THE BI-DIRECTIONAL ENTAILMENT CLASSIFIER", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 513, + 505, + 579 + ], + "lines": [ + { + "bbox": [ + 105, + 513, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 525 + ], + "score": 1.0, + "content": "To the best of our knowledge, this paper is the first application of the bi-directional entailment", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 524, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 537 + ], + "score": 1.0, + "content": "approach to identifying answers with the same meaning in question answering. Since this is a core", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "component of our approach, we verify how accurately this approach identifies model answers with", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "score": 1.0, + "content": "the same meaning. To this end, we manually label 300 samples for each of TriviaQA and CoQA", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 556, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 506, + 569 + ], + "score": 1.0, + "content": "produced by the 13B parameter model to provide a ground truth as to whether or not they mean the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 568, + 470, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 345, + 581 + ], + "score": 1.0, + "content": "same thing. We find that the model achieves an accuracy of", + "type": "text" + }, + { + "bbox": [ + 345, + 568, + 372, + 578 + ], + "score": 0.87, + "content": "9 2 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 568, + 390, + 581 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 390, + 568, + 417, + 578 + ], + "score": 0.86, + "content": "9 5 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 568, + 470, + 581 + ], + "score": 1.0, + "content": "respectively.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26.5 + }, + { + "type": "title", + "bbox": [ + 107, + 593, + 342, + 604 + ], + "lines": [ + { + "bbox": [ + 105, + 592, + 343, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 343, + 605 + ], + "score": 1.0, + "content": "B.3 SENSITIVITY OF RESULTS TO ACCURACY METRIC", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 610, + 505, + 643 + ], + "lines": [ + { + "bbox": [ + 105, + 609, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 505, + 623 + ], + "score": 1.0, + "content": "In principle, the choice of metric to decide whether or not an answer is ‘correct’ might have a large", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 621, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 633 + ], + "score": 1.0, + "content": "effect on the assessment of our method and baselines. However, we find empirically that our results", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 632, + 338, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 338, + 644 + ], + "score": 1.0, + "content": "are relatively insensitive to the choice of accuracy metric.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 649, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "score": 1.0, + "content": "In Table 6 we show that for TriviaQA the choice of accuracy metric for the question answering", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "has almost no effect on the measured AUROC of the uncertainty estimation, despite making the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 670, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 505, + 684 + ], + "score": 1.0, + "content": "measured accuracy of the model’s generation significantly different. In particular, the exact matching", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 682, + 441, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 441, + 693 + ], + "score": 1.0, + "content": "requirement reduces the accuracy significantly but has little effect on the AUROCs.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "For CoQA, which is an open-book QA task with greater answer variability and longer answers the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "results are broadly similar (see Table 7) except for the exact matching accuracy criterion which is", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 720, + 441, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 441, + 732 + ], + "score": 1.0, + "content": "too demanding because of the much larger variety of possible answers for this task.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39 + } + ], + "page_idx": 16, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "17", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 205, + 150, + 404, + 196 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 80, + 505, + 135 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 80, + 505, + 93 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 505, + 93 + ], + "score": 1.0, + "content": "Table 5: Automatic evaluation of question answering is highly accurate as compared to human", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 91, + 505, + 103 + ], + "spans": [ + { + "bbox": [ + 106, + 91, + 505, + 103 + ], + "score": 1.0, + "content": "evaluation. We evaluate how accurate the automatic evaluation metric. The predictions, in this", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 102, + 505, + 114 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 505, + 114 + ], + "score": 1.0, + "content": "settings are the automatically determined accuracy labels on our question answering task, and the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 111, + 506, + 127 + ], + "spans": [ + { + "bbox": [ + 104, + 111, + 506, + 127 + ], + "score": 1.0, + "content": "ground truth are human labels for the accuracy of the provided model generation given the reference", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 138, + 136 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 138, + 136 + ], + "score": 1.0, + "content": "answer", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "table_body", + "bbox": [ + 205, + 150, + 404, + 196 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 205, + 150, + 404, + 196 + ], + "spans": [ + { + "bbox": [ + 205, + 150, + 404, + 196 + ], + "score": 0.967, + "html": "
Data set Accuracy of automatic evaluation
CoQA0.89
TriviaQA0.96
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MetricAUROCAccuracy
Semantic entropyNormalised entropy
Rouge-L(y,y') > 0.30.8280.8020.506
Rouge-L(y,y) > 0.50.8350.8100.456
Rouge-1(y,y') > 0.50.8350.8100.457
Exact matching0.8280.8080.394
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We thus verify our choice of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 212, + 439 + ], + "score": 1.0, + "content": "accuracy criterion: Rouge-", + "type": "text" + }, + { + "bbox": [ + 212, + 426, + 272, + 439 + ], + "score": 0.92, + "content": "\\mathbf { \\cdot L } ( y , y ^ { \\prime } ) > 0 . 3", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 426, + 389, + 439 + ], + "score": 1.0, + "content": ", for a given reference answer", + "type": "text" + }, + { + "bbox": [ + 390, + 429, + 397, + 438 + ], + "score": 0.75, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 426, + 492, + 439 + ], + "score": 1.0, + "content": "and a model generation", + "type": "text" + }, + { + "bbox": [ + 492, + 427, + 501, + 438 + ], + "score": 0.85, + "content": "y ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 426, + 505, + 439 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "We manually evaluate the accuracy of 200 answers of the 30B parameter model on both COQA and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 449, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 505, + 461 + ], + "score": 1.0, + "content": "on TriviaQA, and evaluate how closely the human evaluation matches the automatic evaluation. We", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 459, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 506, + 473 + ], + "score": 1.0, + "content": "find that on both data sets, the accuracy of the automatic labels as compared to the human labels as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 470, + 255, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 255, + 483 + ], + "score": 1.0, + "content": "the ground truth is high, see Table 5.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 383, + 506, + 483 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 496, + 374, + 506 + ], + "lines": [ + { + "bbox": [ + 106, + 495, + 376, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 376, + 507 + ], + "score": 1.0, + "content": "B.2 TESTING THE BI-DIRECTIONAL ENTAILMENT CLASSIFIER", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 513, + 505, + 579 + ], + "lines": [ + { + "bbox": [ + 105, + 513, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 525 + ], + "score": 1.0, + "content": "To the best of our knowledge, this paper is the first application of the bi-directional entailment", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 524, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 537 + ], + "score": 1.0, + "content": "approach to identifying answers with the same meaning in question answering. Since this is a core", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "component of our approach, we verify how accurately this approach identifies model answers with", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "score": 1.0, + "content": "the same meaning. 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MetricAUROCAccuracy
Semantic entropyNormalised entropy
Rouge-L(y,y') > 0.30.76720.75330.8239
Rouge-L(y, y) > 0.50.73790.72900.7657
Rouge-1(y,y) > 0.30.76720.75330.8239
Rouge-1(y,y) > 0.50.73970.73090.7677
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MetricAUROCAccuracy
Semantic entropyNormalised entropy
Rouge-L(y,y') > 0.30.76720.75330.8239
Rouge-L(y, y) > 0.50.73790.72900.7657
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Identical to Fig. 2 with the addition", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 261, + 433, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 433, + 272 + ], + "score": 1.0, + "content": "of Margin probability which was previously omitted to avoid stretching the scale.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "title", + "bbox": [ + 108, + 281, + 277, + 293 + ], + "lines": [ + { + "bbox": [ + 106, + 281, + 278, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 281, + 278, + 294 + ], + "score": 1.0, + "content": "B.6 MARGIN-PROBABILITY BASELINE", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 297, + 504, + 320 + ], + "lines": [ + { + "bbox": [ + 106, + 295, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 506, + 310 + ], + "score": 1.0, + "content": "We additionally compare our method to the margin probability method used for neural-symbolic", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 308, + 223, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 223, + 321 + ], + "score": 1.0, + "content": "parsing in Lin et al. 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(2022b) using a 13B parameter model on", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 390, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 187, + 405 + ], + "score": 1.0, + "content": "CoQA, we find that", + "type": "text" + }, + { + "bbox": [ + 188, + 392, + 222, + 403 + ], + "score": 0.91, + "content": "\\mathcal { H } _ { \\mathrm { m a r g i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 390, + 505, + 405 + ], + "score": 1.0, + "content": "is not very predictive of the model’s accuracy on answering questions", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 402, + 268, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 268, + 415 + ], + "score": 1.0, + "content": "in CoQA achieving an AUROC of 0.54.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 419, + 505, + 519 + ], + "lines": [ + { + "bbox": [ + 106, + 419, + 504, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 504, + 432 + ], + "score": 1.0, + "content": "We hypothesise that two factors contribute to this poor performance. First, since this measure only", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 429, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 506, + 443 + ], + "score": 1.0, + "content": "looks at the difference of likelihoods, the information about the magnitude of the likelihood of a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "score": 1.0, + "content": "given answer is lost. 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Manually inspecting model answers", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 463, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 241, + 477 + ], + "score": 1.0, + "content": "on CoQA, and the corresponding", + "type": "text" + }, + { + "bbox": [ + 241, + 464, + 275, + 475 + ], + "score": 0.91, + "content": "\\mathcal { H } _ { \\mathrm { m a r g i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 463, + 505, + 477 + ], + "score": 1.0, + "content": ", we see that the margin between two semantically equiv-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "alent answers and two semantically distinct answers is often similar. 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Identical to Fig. 2 with the addition", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 261, + 433, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 433, + 272 + ], + "score": 1.0, + "content": "of Margin probability which was previously omitted to avoid stretching the scale.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "title", + "bbox": [ + 108, + 281, + 277, + 293 + ], + "lines": [ + { + "bbox": [ + 106, + 281, + 278, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 281, + 278, + 294 + ], + "score": 1.0, + "content": "B.6 MARGIN-PROBABILITY BASELINE", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 297, + 504, + 320 + ], + "lines": [ + { + "bbox": [ + 106, + 295, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 506, + 310 + ], + "score": 1.0, + "content": "We additionally compare our method to the margin probability method used for neural-symbolic", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 308, + 223, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 223, + 321 + ], + "score": 1.0, + "content": "parsing in Lin et al. 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First, since this measure only", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 429, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 506, + 443 + ], + "score": 1.0, + "content": "looks at the difference of likelihoods, the information about the magnitude of the likelihood of a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "score": 1.0, + "content": "given answer is lost. 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That is, this measure does not", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "distinguish between uncertainty between paraphrases of the same meaning (in which case the model", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 496, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 505, + 510 + ], + "score": 1.0, + "content": "might actually be confident about meaning of the answer), and the model’s uncertainty about which", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 507, + 270, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 270, + 520 + ], + "score": 1.0, + "content": "semantically distinct meaning is correct.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19, + "bbox_fs": [ + 104, + 419, + 507, + 520 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 524, + 505, + 570 + ], + "lines": [ + { + "bbox": [ + 105, + 523, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 255, + 538 + ], + "score": 1.0, + "content": "We find that if instead of obtaining", + "type": "text" + }, + { + "bbox": [ + 256, + 524, + 274, + 537 + ], + "score": 0.88, + "content": "\\mathbf { y } ^ { ( 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 523, + 294, + 538 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 295, + 524, + 313, + 537 + ], + "score": 0.87, + "content": "\\mathbf { y } ^ { ( 2 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 523, + 505, + 538 + ], + "score": 1.0, + "content": "by multinomial sampling (as in our other ex-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 533, + 504, + 551 + ], + "spans": [ + { + "bbox": [ + 104, + 533, + 469, + 551 + ], + "score": 1.0, + "content": "periments) instead of by beam search, this second problem becomes less pronounced and", + "type": "text" + }, + { + "bbox": [ + 469, + 536, + 504, + 549 + ], + "score": 0.82, + "content": "\\mathcal { H } _ { \\mathrm { m a r g i n } }", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "performs better while still being clearly outperformed by the other methods we study. 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While this assumption may have been essential to get started on this problem, it is now important", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 413, + 479, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 479, + 425 + ], + "score": 1.0, + "content": "to move beyond it and ask – how can embodied agents find objects in an open-world setting?", + "type": "text", + "cross_page": true + } + ], + "index": 10 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 649, + 507, + 694 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 130, + 69, + 483, + 303 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 130, + 69, + 483, + 303 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 130, + 69, + 483, + 303 + ], + "spans": [ + { + "bbox": [ + 130, + 69, + 483, + 303 + ], + "score": 0.977, + "type": "image", + "image_path": "287e5d645e92d203ff553e5f117ddd25a77b20f01266fe5a82918a8ec4215b63.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 130, + 69, + 483, + 147.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 130, + 147.0, + 483, + 225.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 130, + 225.0, + 483, + 303.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 311, + 506, + 366 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 310, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 505, + 324 + ], + "score": 1.0, + "content": "Figure 1: We propose projecting navigation goals (from images or text) into a common, semantic", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 505, + 334 + ], + "score": 1.0, + "content": "embedding space using a pre-trained vision and language model (CLIP). This allows agents trained", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 331, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 505, + 346 + ], + "score": 1.0, + "content": "with image-goals to understand goals expressed in free-form natural language (e.g., “Find a bathroom", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 343, + 507, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 507, + 356 + ], + "score": 1.0, + "content": "sink.”). Accordingly, our approach enables open-world object-goal navigation in a zero-shot manner –", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 353, + 384, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 384, + 368 + ], + "score": 1.0, + "content": "i.e., without using ObjectNav rewards or demonstrations for training.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 106, + 390, + 507, + 424 + ], + "lines": [ + { + "bbox": [ + 104, + 389, + 507, + 404 + ], + "spans": [ + { + "bbox": [ + 104, + 389, + 507, + 404 + ], + "score": 1.0, + "content": "“sofa”, etc.), with approaches using pre-trained object detectors and segmenters for these categories [10–", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "13]. While this assumption may have been essential to get started on this problem, it is now important", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 413, + 479, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 479, + 425 + ], + "score": 1.0, + "content": "to move beyond it and ask – how can embodied agents find objects in an open-world setting?", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 429, + 505, + 484 + ], + "lines": [ + { + "bbox": [ + 106, + 429, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 505, + 441 + ], + "score": 1.0, + "content": "In this work, we develop an approach for ObjectNav that is both zero-shot, i.e., does not require", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 440, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 506, + 453 + ], + "score": 1.0, + "content": "any ObjectNav rewards or demonstrations, and open-world, i.e., does not require committing to a", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 451, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 505, + 463 + ], + "score": 1.0, + "content": "taxonomy of categories. Our key insight is that we can create a visiolinguistic embedding space to", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 460, + 507, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 507, + 475 + ], + "score": 1.0, + "content": "decouple two problems – (1) describing and representing semantic goals (“chair”, “brown chair”,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 472, + 397, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 397, + 486 + ], + "score": 1.0, + "content": "picture of brown chair) from (2) learning to navigate to semantic goals.2", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 489, + 505, + 588 + ], + "lines": [ + { + "bbox": [ + 105, + 488, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 502 + ], + "score": 1.0, + "content": "To represent semantic goals (1), we leverage recent advances in multimodal AI research on learning", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 499, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 104, + 499, + 506, + 513 + ], + "score": 1.0, + "content": "a common embedding space for images and text using large collections of image-captions pairs.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "Specifically, we use CLIP [19], a method for training dual vision and language encoders that produce", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 521, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 506, + 535 + ], + "score": 1.0, + "content": "similar representations for paired data such as an image and its caption. As shown in Fig. 1, we use", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 532, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 506, + 546 + ], + "score": 1.0, + "content": "CLIP to transform image-goals (e.g., a picture of the kitchen island) and object-goals (e.g., “bathroom", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 543, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 506, + 557 + ], + "score": 1.0, + "content": "sink”) into semantic-goals representing navigation targets. Our main observation is that a semantic-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 554, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 568 + ], + "score": 1.0, + "content": "goal produced from an image (e.g., a picture of the bathroom sink) should be similar to semantic", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "score": 1.0, + "content": "goals produced from descriptions of the same target (e.g, “bathroom sink”). 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Then, we evaluate the learned navigation policy on ObjectNav, where", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 615, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 627 + ], + "score": 1.0, + "content": "goals are specified in language (e.g., “chair”) and encoded via CLIP’s text encoder. 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As shown in Fig. 1, we use", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 532, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 506, + 546 + ], + "score": 1.0, + "content": "CLIP to transform image-goals (e.g., a picture of the kitchen island) and object-goals (e.g., “bathroom", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 543, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 506, + 557 + ], + "score": 1.0, + "content": "sink”) into semantic-goals representing navigation targets. Our main observation is that a semantic-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 554, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 568 + ], + "score": 1.0, + "content": "goal produced from an image (e.g., a picture of the bathroom sink) should be similar to semantic", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "score": 1.0, + "content": "goals produced from descriptions of the same target (e.g, “bathroom sink”). Thus, we hypothesize", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 576, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 506, + 590 + ], + "score": 1.0, + "content": "that these modalities (images and language) can be used interchangeably for creating semantic goals.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20, + "bbox_fs": [ + 104, + 488, + 506, + 590 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 592, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 592, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 506, + 606 + ], + "score": 1.0, + "content": "Accordingly, for learning to navigate to semantic goals (2), we train agents using image-goals encoded", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 604, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 616 + ], + "score": 1.0, + "content": "via CLIP’s image encoder. Then, we evaluate the learned navigation policy on ObjectNav, where", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 615, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 627 + ], + "score": 1.0, + "content": "goals are specified in language (e.g., “chair”) and encoded via CLIP’s text encoder. As a result, our", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 626, + 501, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 501, + 637 + ], + "score": 1.0, + "content": "agents perform ObjectNav without ever directly training for the task – i.e., in a zero-shot manner.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 592, + 506, + 637 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 642, + 505, + 697 + ], + "lines": [ + { + "bbox": [ + 105, + 641, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 505, + 655 + ], + "score": 1.0, + "content": "An important advantage of our approach is that it reduces the data labeling burden. Image-goals can be", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 652, + 506, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 506, + 666 + ], + "score": 1.0, + "content": "procedurally generated by randomly sampling points in 3D environments. This is in stark contrast to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 663, + 505, + 676 + ], + "spans": [ + { + "bbox": [ + 106, + 663, + 505, + 676 + ], + "score": 1.0, + "content": "ObjectNav, which requires annotating 3D meshes [7–9] and potentially collecting large-scale human", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 673, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 505, + 688 + ], + "score": 1.0, + "content": "demonstrations [10] for training. Secondly, the interface to our agents is a natural language description", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 685, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 505, + 699 + ], + "score": 1.0, + "content": "– matching the grand vision that inspired the ObjectNav task. Through this interface we can refine", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "object-goals by, for instance, specifying object attributes (“brown chair”) or indicating which room", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 482, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 482, + 96 + ], + "score": 1.0, + "content": "the object is in (“bathroom sink”) – which is not possible with traditional ObjectNav agents.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 641, + 506, + 699 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 73, + 503, + 95 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "object-goals by, for instance, specifying object attributes (“brown chair”) or indicating which room", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 482, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 482, + 96 + ], + "score": 1.0, + "content": "the object is in (“bathroom sink”) – which is not possible with traditional ObjectNav agents.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 107, + 100, + 505, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 100, + 505, + 112 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 505, + 112 + ], + "score": 1.0, + "content": "We perform large-scale experiments on three ObjectNav datasets – Gibson [4], MP3D [8], and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 506, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 506, + 124 + ], + "score": 1.0, + "content": "HM3D [20]. Our zero-shot agent (that has not seen a single 3D semantic annotation or ObjectNav", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 122, + 505, + 133 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 224, + 133 + ], + "score": 1.0, + "content": "training episode) achieves a", + "type": "text" + }, + { + "bbox": [ + 225, + 122, + 253, + 132 + ], + "score": 0.86, + "content": "3 1 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 122, + 439, + 133 + ], + "score": 1.0, + "content": "success in Gibson environments, which is a", + "type": "text" + }, + { + "bbox": [ + 439, + 122, + 467, + 132 + ], + "score": 0.88, + "content": "2 0 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 122, + 505, + 133 + ], + "score": 1.0, + "content": "absolute", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 434, + 145 + ], + "score": 1.0, + "content": "improvement over previous zero-shot results [18]. In MP3D, our agent achieves", + "type": "text" + }, + { + "bbox": [ + 434, + 133, + 461, + 143 + ], + "score": 0.86, + "content": "1 5 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "success, a", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 129, + 154 + ], + "score": 0.86, + "content": "4 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "absolute gain over existing zero-shot methods[21]. For reference, these gains are on par or", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 153, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 164, + 168 + ], + "score": 1.0, + "content": "better than the", + "type": "text" + }, + { + "bbox": [ + 164, + 155, + 179, + 165 + ], + "score": 0.85, + "content": "5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 153, + 505, + 168 + ], + "score": 1.0, + "content": "improvement in success between the Habitat 2020 and 2021 ObjectNav challenge", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 504, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 504, + 178 + ], + "score": 1.0, + "content": "winners. On HM3D, our agent’s zero-shot SPL matches a state-of-the-art ObjectNav method [16]", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 177, + 377, + 188 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 264, + 188 + ], + "score": 1.0, + "content": "that trains with direct supervision from", + "type": "text" + }, + { + "bbox": [ + 264, + 177, + 281, + 187 + ], + "score": 0.48, + "content": "4 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 177, + 377, + 188 + ], + "score": 1.0, + "content": "human demonstrations.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 107, + 192, + 505, + 258 + ], + "lines": [ + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "score": 1.0, + "content": "Additionally, we study two techniques that are used in our approach to improve zero-shot ObjectNav", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 204, + 506, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 506, + 216 + ], + "score": 1.0, + "content": "performance. First, we find that pretraining the visual observation encoder has an outsized effect on", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 426, + 227 + ], + "score": 1.0, + "content": "zero-shot transfer. Specifically, success on the ImageNav training task improves", + "type": "text" + }, + { + "bbox": [ + 426, + 214, + 477, + 226 + ], + "score": 0.76, + "content": "4 . 5 \\% - 5 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 214, + 505, + 227 + ], + "score": 1.0, + "content": ", while", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 226, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 344, + 238 + ], + "score": 1.0, + "content": "downstream success on zero-shot ObjectNav improves by", + "type": "text" + }, + { + "bbox": [ + 344, + 226, + 400, + 236 + ], + "score": 0.87, + "content": "9 . 4 \\% - 1 0 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 226, + 505, + 238 + ], + "score": 1.0, + "content": ". Similarly, increasing the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "number of training environments (from 72 to 800) leads to a small drop in ImageNav success, but", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 247, + 434, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 263, + 261 + ], + "score": 1.0, + "content": "results in a substantial improvement of", + "type": "text" + }, + { + "bbox": [ + 263, + 248, + 286, + 258 + ], + "score": 0.87, + "content": "6 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 247, + 434, + 261 + ], + "score": 1.0, + "content": "in success on zero-shot ObjectNav.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 263, + 505, + 330 + ], + "lines": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "Finally, we qualitatively experiment with an open-world setting and observe that our SemanticNav", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 275, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 286 + ], + "score": 1.0, + "content": "agents can properly change behavior in response to instructions that include room information. For", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 284, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 299 + ], + "score": 1.0, + "content": "instance, when finding a “bathroom sink” the agent does not enter the kitchen, and when looking", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 296, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 505, + 308 + ], + "score": 1.0, + "content": "for a “kitchen sink” it does not enter bathrooms. Furthermore, we observe similar room awareness", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 307, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 505, + 319 + ], + "score": 1.0, + "content": "patterns for instructions such as “Find a sink and a stove,” where the target room (“kitchen”) can be", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 319, + 406, + 330 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 406, + 330 + ], + "score": 1.0, + "content": "inferred. Source code for reproducing our results will be publicly released.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 107, + 344, + 197, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 343, + 198, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 198, + 360 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 108, + 369, + 505, + 392 + ], + "lines": [ + { + "bbox": [ + 107, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 107, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "Our work builds on research studying image-text alignment techniques (e.g., CLIP [19]) and their", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "use in visual navigation. In this section, we discuss methods most related to our proposed approach.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 403, + 505, + 480 + ], + "lines": [ + { + "bbox": [ + 106, + 403, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 403, + 506, + 415 + ], + "score": 1.0, + "content": "Image-Text Alignment Models. Recent progress in vision-and-language pretraining has led to mod-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 413, + 507, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 507, + 426 + ], + "score": 1.0, + "content": "els such as CLIP [19], ALIGN [22], and BASIC [23] that can perform open-world image classification,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "score": 1.0, + "content": "and achieve strong performance on standard computer vision benchmarks (e.g., ImageNet [24]).", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "These models learn visual representations by training on massive datasets of image-caption pairs", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 446, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 505, + 459 + ], + "score": 1.0, + "content": "scraped from the web (e.g., the 400M pairs used for CLIP or 6.6B for BASIC). In this work, we take", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 457, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 505, + 470 + ], + "score": 1.0, + "content": "advantage of the semantic representations learned by CLIP to project navigation goals (e.g., a picture", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 468, + 458, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 458, + 482 + ], + "score": 1.0, + "content": "of a brown chair or “brown chair”) into a multimodal, semantic-goal embedding space.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 491, + 505, + 601 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "CLIP for Visual Navigation. A straightforward approach for using CLIP in a visual navigation", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "score": 1.0, + "content": "agent is to process the agent’s observations and navigation instructions (e.g., “Find a chair”) with the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 514, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 526 + ], + "score": 1.0, + "content": "CLIP image and text encoders, then learn a navigation policy that operates on these embeddings. Such", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "score": 1.0, + "content": "a solution was explored in EmbCLIP [25] with promising results. However, this approach requires", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 535, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 548 + ], + "score": 1.0, + "content": "ObjectNav rewards or demonstrations to supervise the navigation policy, which is difficult and costly", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 545, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 505, + 559 + ], + "score": 1.0, + "content": "to collect at scale. As a result, existing training datasets tend to be small and agents generalize poorly", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 557, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 345, + 569 + ], + "score": 1.0, + "content": "to new settings. For instance, EmbCLIP only achieves an", + "type": "text" + }, + { + "bbox": [ + 345, + 557, + 360, + 568 + ], + "score": 0.85, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 557, + 506, + 569 + ], + "score": 1.0, + "content": "success rate in finding objects that", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 568, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 580 + ], + "score": 1.0, + "content": "were not used in training. By contrast, we train using the image-goal navigation task, which does not", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 579, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 591 + ], + "score": 1.0, + "content": "require annotated environments. Thus, we are able to scale training to 800 unannotated 3D scenes,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 590, + 410, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 410, + 601 + ], + "score": 1.0, + "content": "which substantially improves generalization (as demonstrated in Section 5).", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "score": 1.0, + "content": "Zero-Shot ObjectNav. Two recent works [18, 21] directly address our motivation (zero-shot", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 623, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 505, + 636 + ], + "score": 1.0, + "content": "ObjectNav) and are most related. First, ZER [18] proposes a two-stage framework in which an", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "score": 1.0, + "content": "image-goal navigation (ImageNav) agent is first trained from scratch. Then, independent encoders", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "score": 1.0, + "content": "are trained to map from various modalities (including language) into the image-goal embedding", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "score": 1.0, + "content": "space. A key challenge with this approach is that image-goal embeddings may not capture semantic", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "information because semantic annotations are not used in ImageNav training. Instead, an ImageNav", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 677, + 506, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 692 + ], + "score": 1.0, + "content": "agent trained from scratch may learn to pattern match visual observations and goal image embeddings.", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "By contrast, our approach reverses these two stages, with CLIP pretraining representing stage one.", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "Thus, our approach uses a goal embedding space that captures semantics by design. We empirically", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 710, + 363, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 363, + 723 + ], + "score": 1.0, + "content": "demonstrate the benefits of our proposed approach in Section 5.", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 46.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 309, + 752 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 73, + 503, + 95 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 105, + 72, + 505, + 96 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 100, + 505, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 100, + 505, + 112 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 505, + 112 + ], + "score": 1.0, + "content": "We perform large-scale experiments on three ObjectNav datasets – Gibson [4], MP3D [8], and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 506, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 506, + 124 + ], + "score": 1.0, + "content": "HM3D [20]. Our zero-shot agent (that has not seen a single 3D semantic annotation or ObjectNav", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 122, + 505, + 133 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 224, + 133 + ], + "score": 1.0, + "content": "training episode) achieves a", + "type": "text" + }, + { + "bbox": [ + 225, + 122, + 253, + 132 + ], + "score": 0.86, + "content": "3 1 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 122, + 439, + 133 + ], + "score": 1.0, + "content": "success in Gibson environments, which is a", + "type": "text" + }, + { + "bbox": [ + 439, + 122, + 467, + 132 + ], + "score": 0.88, + "content": "2 0 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 122, + 505, + 133 + ], + "score": 1.0, + "content": "absolute", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 434, + 145 + ], + "score": 1.0, + "content": "improvement over previous zero-shot results [18]. In MP3D, our agent achieves", + "type": "text" + }, + { + "bbox": [ + 434, + 133, + 461, + 143 + ], + "score": 0.86, + "content": "1 5 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "success, a", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 129, + 154 + ], + "score": 0.86, + "content": "4 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "absolute gain over existing zero-shot methods[21]. For reference, these gains are on par or", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 153, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 164, + 168 + ], + "score": 1.0, + "content": "better than the", + "type": "text" + }, + { + "bbox": [ + 164, + 155, + 179, + 165 + ], + "score": 0.85, + "content": "5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 153, + 505, + 168 + ], + "score": 1.0, + "content": "improvement in success between the Habitat 2020 and 2021 ObjectNav challenge", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 504, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 504, + 178 + ], + "score": 1.0, + "content": "winners. On HM3D, our agent’s zero-shot SPL matches a state-of-the-art ObjectNav method [16]", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 177, + 377, + 188 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 264, + 188 + ], + "score": 1.0, + "content": "that trains with direct supervision from", + "type": "text" + }, + { + "bbox": [ + 264, + 177, + 281, + 187 + ], + "score": 0.48, + "content": "4 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 177, + 377, + 188 + ], + "score": 1.0, + "content": "human demonstrations.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 100, + 506, + 188 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 192, + 505, + 258 + ], + "lines": [ + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "score": 1.0, + "content": "Additionally, we study two techniques that are used in our approach to improve zero-shot ObjectNav", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 204, + 506, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 506, + 216 + ], + "score": 1.0, + "content": "performance. First, we find that pretraining the visual observation encoder has an outsized effect on", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 426, + 227 + ], + "score": 1.0, + "content": "zero-shot transfer. Specifically, success on the ImageNav training task improves", + "type": "text" + }, + { + "bbox": [ + 426, + 214, + 477, + 226 + ], + "score": 0.76, + "content": "4 . 5 \\% - 5 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 214, + 505, + 227 + ], + "score": 1.0, + "content": ", while", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 226, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 344, + 238 + ], + "score": 1.0, + "content": "downstream success on zero-shot ObjectNav improves by", + "type": "text" + }, + { + "bbox": [ + 344, + 226, + 400, + 236 + ], + "score": 0.87, + "content": "9 . 4 \\% - 1 0 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 226, + 505, + 238 + ], + "score": 1.0, + "content": ". Similarly, increasing the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "number of training environments (from 72 to 800) leads to a small drop in ImageNav success, but", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 247, + 434, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 263, + 261 + ], + "score": 1.0, + "content": "results in a substantial improvement of", + "type": "text" + }, + { + "bbox": [ + 263, + 248, + 286, + 258 + ], + "score": 0.87, + "content": "6 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 247, + 434, + 261 + ], + "score": 1.0, + "content": "in success on zero-shot ObjectNav.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 192, + 506, + 261 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 263, + 505, + 330 + ], + "lines": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "Finally, we qualitatively experiment with an open-world setting and observe that our SemanticNav", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 275, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 286 + ], + "score": 1.0, + "content": "agents can properly change behavior in response to instructions that include room information. For", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 284, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 299 + ], + "score": 1.0, + "content": "instance, when finding a “bathroom sink” the agent does not enter the kitchen, and when looking", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 296, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 505, + 308 + ], + "score": 1.0, + "content": "for a “kitchen sink” it does not enter bathrooms. Furthermore, we observe similar room awareness", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 307, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 505, + 319 + ], + "score": 1.0, + "content": "patterns for instructions such as “Find a sink and a stove,” where the target room (“kitchen”) can be", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 319, + 406, + 330 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 406, + 330 + ], + "score": 1.0, + "content": "inferred. Source code for reproducing our results will be publicly released.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 263, + 506, + 330 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 344, + 197, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 343, + 198, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 198, + 360 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 108, + 369, + 505, + 392 + ], + "lines": [ + { + "bbox": [ + 107, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 107, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "Our work builds on research studying image-text alignment techniques (e.g., CLIP [19]) and their", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "use in visual navigation. In this section, we discuss methods most related to our proposed approach.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 370, + 506, + 393 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 403, + 505, + 480 + ], + "lines": [ + { + "bbox": [ + 106, + 403, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 403, + 506, + 415 + ], + "score": 1.0, + "content": "Image-Text Alignment Models. Recent progress in vision-and-language pretraining has led to mod-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 413, + 507, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 507, + 426 + ], + "score": 1.0, + "content": "els such as CLIP [19], ALIGN [22], and BASIC [23] that can perform open-world image classification,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "score": 1.0, + "content": "and achieve strong performance on standard computer vision benchmarks (e.g., ImageNet [24]).", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "These models learn visual representations by training on massive datasets of image-caption pairs", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 446, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 505, + 459 + ], + "score": 1.0, + "content": "scraped from the web (e.g., the 400M pairs used for CLIP or 6.6B for BASIC). In this work, we take", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 457, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 505, + 470 + ], + "score": 1.0, + "content": "advantage of the semantic representations learned by CLIP to project navigation goals (e.g., a picture", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 468, + 458, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 458, + 482 + ], + "score": 1.0, + "content": "of a brown chair or “brown chair”) into a multimodal, semantic-goal embedding space.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 403, + 507, + 482 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 491, + 505, + 601 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "CLIP for Visual Navigation. A straightforward approach for using CLIP in a visual navigation", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "score": 1.0, + "content": "agent is to process the agent’s observations and navigation instructions (e.g., “Find a chair”) with the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 514, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 526 + ], + "score": 1.0, + "content": "CLIP image and text encoders, then learn a navigation policy that operates on these embeddings. Such", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "score": 1.0, + "content": "a solution was explored in EmbCLIP [25] with promising results. However, this approach requires", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 535, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 548 + ], + "score": 1.0, + "content": "ObjectNav rewards or demonstrations to supervise the navigation policy, which is difficult and costly", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 545, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 505, + 559 + ], + "score": 1.0, + "content": "to collect at scale. As a result, existing training datasets tend to be small and agents generalize poorly", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 557, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 345, + 569 + ], + "score": 1.0, + "content": "to new settings. For instance, EmbCLIP only achieves an", + "type": "text" + }, + { + "bbox": [ + 345, + 557, + 360, + 568 + ], + "score": 0.85, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 557, + 506, + 569 + ], + "score": 1.0, + "content": "success rate in finding objects that", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 568, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 580 + ], + "score": 1.0, + "content": "were not used in training. By contrast, we train using the image-goal navigation task, which does not", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 579, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 591 + ], + "score": 1.0, + "content": "require annotated environments. Thus, we are able to scale training to 800 unannotated 3D scenes,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 590, + 410, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 410, + 601 + ], + "score": 1.0, + "content": "which substantially improves generalization (as demonstrated in Section 5).", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 491, + 506, + 601 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "score": 1.0, + "content": "Zero-Shot ObjectNav. Two recent works [18, 21] directly address our motivation (zero-shot", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 623, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 505, + 636 + ], + "score": 1.0, + "content": "ObjectNav) and are most related. First, ZER [18] proposes a two-stage framework in which an", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "score": 1.0, + "content": "image-goal navigation (ImageNav) agent is first trained from scratch. Then, independent encoders", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "score": 1.0, + "content": "are trained to map from various modalities (including language) into the image-goal embedding", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "score": 1.0, + "content": "space. A key challenge with this approach is that image-goal embeddings may not capture semantic", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "information because semantic annotations are not used in ImageNav training. Instead, an ImageNav", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 677, + 506, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 692 + ], + "score": 1.0, + "content": "agent trained from scratch may learn to pattern match visual observations and goal image embeddings.", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "By contrast, our approach reverses these two stages, with CLIP pretraining representing stage one.", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "Thus, our approach uses a goal embedding space that captures semantics by design. 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This agent", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 307, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 253, + 320 + ], + "score": 1.0, + "content": "accepts a semantic goal embedding", + "type": "text" + }, + { + "bbox": [ + 253, + 307, + 270, + 318 + ], + "score": 0.79, + "content": "( s ^ { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 307, + 471, + 320 + ], + "score": 1.0, + "content": ", which comes from either CLIP’s visual encoder", + "type": "text" + }, + { + "bbox": [ + 471, + 307, + 503, + 318 + ], + "score": 0.82, + "content": "\\textstyle ( \\mathtt { C L I P } _ { v } )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 307, + 506, + 320 + ], + "score": 0.0, + "content": "", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 317, + 507, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 268, + 330 + ], + "score": 1.0, + "content": "in ImageNav or CLIP’s textual encoder", + "type": "text" + }, + { + "bbox": [ + 268, + 318, + 297, + 329 + ], + "score": 0.84, + "content": "\\textstyle ( \\mathtt { C L I P } _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 317, + 507, + 330 + ], + "score": 1.0, + "content": "in ObjectNav. 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In contrast, we demonstrate", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 418, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 505, + 432 + ], + "score": 1.0, + "content": "that learning a navigation policy can substantially outperform the heuristic exploration approach", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 429, + 388, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 388, + 443 + ], + "score": 1.0, + "content": "proposed in [21] without using explicit object localization techniques.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 385, + 506, + 443 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 470, + 461, + 484 + ], + "lines": [ + { + "bbox": [ + 103, + 469, + 463, + 487 + ], + "spans": [ + { + "bbox": [ + 103, + 469, + 463, + 487 + ], + "score": 1.0, + "content": "3 Preliminaries: Image-Text Alignment and Image-Goal Navigation", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 504, + 505, + 581 + ], + "lines": [ + { + "bbox": [ + 106, + 503, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 505, + 517 + ], + "score": 1.0, + "content": "Image-Text Alignment Models. Multimodal alignment models aim to learn a mapping from", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 514, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 136, + 528 + ], + "score": 1.0, + "content": "images", + "type": "text" + }, + { + "bbox": [ + 136, + 517, + 143, + 525 + ], + "score": 0.7, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 514, + 177, + 528 + ], + "score": 1.0, + "content": "and text", + "type": "text" + }, + { + "bbox": [ + 178, + 516, + 183, + 525 + ], + "score": 0.72, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 514, + 506, + 528 + ], + "score": 1.0, + "content": "into a shared embedding space such that representations for corresponding image-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "score": 1.0, + "content": "text pairs (e.g., a picture and its caption) are similar. Recent image-text alignment models [19, 22, 23]", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 537, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 505, + 549 + ], + "score": 1.0, + "content": "use a dual-encoder framework and optimize the InfoNCE [27] contrastive learning objective, which", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 549, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 505, + 559 + ], + "score": 1.0, + "content": "maximizes cosine similarity between representations of matching image-text pairs and minimizes", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 559, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 478, + 571 + ], + "score": 1.0, + "content": "similarity for non-matching pairs. In this work, we leverage CLIP [19], which was trained on", + "type": "text" + }, + { + "bbox": [ + 479, + 559, + 505, + 569 + ], + "score": 0.25, + "content": "4 0 0 \\mathbf { M }", + "type": "inline_equation" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 570, + 345, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 345, + 582 + ], + "score": 1.0, + "content": "image-text pairs that cover a wide range of visual concepts.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 503, + 506, + 582 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 607, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 607, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 506, + 620 + ], + "score": 1.0, + "content": "Image-Goal Navigation. In image-goal navigation (ImageNav) [28], agents explore an environ-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 617, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 288, + 631 + ], + "score": 1.0, + "content": "ment to find the position where a goal-image", + "type": "text" + }, + { + "bbox": [ + 289, + 619, + 299, + 628 + ], + "score": 0.85, + "content": "v ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 617, + 505, + 631 + ], + "score": 1.0, + "content": "was captured. We consider a setting in which both", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "score": 1.0, + "content": "the goal-image and the agent’s observations consist of RGB images taken from the agent’s egocentric", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 639, + 507, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 394, + 653 + ], + "score": 1.0, + "content": "point of view. An agent can select from four actions: MOVE_FORWARD by", + "type": "text" + }, + { + "bbox": [ + 395, + 640, + 421, + 650 + ], + "score": 0.72, + "content": "0 . 2 5 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 639, + 487, + 653 + ], + "score": 1.0, + "content": ", TURN_LEFT by", + "type": "text" + }, + { + "bbox": [ + 487, + 640, + 502, + 650 + ], + "score": 0.85, + "content": "3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 639, + 507, + 653 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 650, + 477, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 173, + 663 + ], + "score": 1.0, + "content": "TURN_RIGHT by", + "type": "text" + }, + { + "bbox": [ + 173, + 651, + 189, + 661 + ], + "score": 0.85, + "content": "3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 650, + 407, + 663 + ], + "score": 1.0, + "content": ", or STOP. The agent succeeds if it selects STOP within", + "type": "text" + }, + { + "bbox": [ + 407, + 651, + 429, + 661 + ], + "score": 0.56, + "content": "1 . 0 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 650, + 477, + 663 + ], + "score": 1.0, + "content": "of the goal.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 607, + 507, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "An ImageNav episode is uniquely defined by a starting position and (reachable) goal viewpoint within", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "a 3D environment. Thus, ImageNav training data can be procedurally generated without annotating", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "the scene – i.e., the objects and rooms do not need to be labeled. As a result, the size of an ImageNav", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "dataset is only limited by the number of environments available for training. In this work, we use", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 711, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 506, + 724 + ], + "score": 1.0, + "content": "ImageNav to train visual navigation agents at scale (in terms of the number of training environments).", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 667, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 176, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 69, + 178, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 69, + 178, + 87 + ], + "score": 1.0, + "content": "4 Approach", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 105, + 100, + 505, + 155 + ], + "lines": [ + { + "bbox": [ + 105, + 99, + 506, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 506, + 113 + ], + "score": 1.0, + "content": "This section describes our framework for training visual navigation agents. We use CLIP [19] to", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 109, + 507, + 126 + ], + "spans": [ + { + "bbox": [ + 104, + 109, + 507, + 126 + ], + "score": 1.0, + "content": "produce semantic goal embeddings of image-goals (e.g., a picture of the sink) and object-goals (e.g.,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 121, + 506, + 136 + ], + "spans": [ + { + "bbox": [ + 104, + 121, + 506, + 136 + ], + "score": 1.0, + "content": "“sink”). This allows training semantic-goal navigation agents at scale using image-goals in HM3D", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 133, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 505, + 145 + ], + "score": 1.0, + "content": "environments [20], then deploying these agents for object-goal navigation in a zero-shot manner. In", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 495, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 495, + 157 + ], + "score": 1.0, + "content": "other words, our agents execute object-goal navigation without ever directly training for the task.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3 + }, + { + "type": "title", + "bbox": [ + 108, + 175, + 284, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 174, + 285, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 174, + 285, + 189 + ], + "score": 1.0, + "content": "4.1 Learning Semantic-Goal Navigation", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 198, + 505, + 297 + ], + "lines": [ + { + "bbox": [ + 106, + 199, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 327, + 210 + ], + "score": 1.0, + "content": "As illustrated in Fig. 2 (top-left), given an image-goal", + "type": "text" + }, + { + "bbox": [ + 327, + 199, + 338, + 208 + ], + "score": 0.86, + "content": "v ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 199, + 466, + 210 + ], + "score": 1.0, + "content": ", we use a CLIP visual encoder", + "type": "text" + }, + { + "bbox": [ + 466, + 199, + 493, + 209 + ], + "score": 0.88, + "content": "\\mathtt { C L I P } _ { v }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 199, + 505, + 210 + ], + "score": 1.0, + "content": "to", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 209, + 506, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 253, + 223 + ], + "score": 1.0, + "content": "generate a semantic goal embedding", + "type": "text" + }, + { + "bbox": [ + 253, + 209, + 320, + 221 + ], + "score": 0.93, + "content": "s _ { v } ^ { g } = \\mathtt { C L I P } _ { v } ( v ^ { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 209, + 506, + 223 + ], + "score": 1.0, + "content": "that is used to guide navigation. Conceptually,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "encoding image-goals with CLIP preserves semantic information about the goal, such as visual", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 230, + 506, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 245 + ], + "score": 1.0, + "content": "concepts that might be described in image captions (e.g., “a sofa in a living room”). However,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 242, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 506, + 255 + ], + "score": 1.0, + "content": "semantic goal embeddings are less likely to include low-level features (e.g., the exact patterns in a", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "wood floor) that do not correlate with web-scraped captions. While removing low-level information", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "might make the navigation task more difficult, our goal is to learn a policy that transfers to ObjectNav", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 273, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 289 + ], + "score": 1.0, + "content": "in which agents only receives high-level goals (e.g., “Find a sofa”). As an added benefit, generating", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 286, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 473, + 299 + ], + "score": 1.0, + "content": "semantic goal embeddings as a pre-processing step substantially improves training time (by", + "type": "text" + }, + { + "bbox": [ + 473, + 286, + 500, + 297 + ], + "score": 0.8, + "content": "{ \\sim } 3 . 5 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 286, + 506, + 299 + ], + "score": 1.0, + "content": ").", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 302, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 105, + 301, + 506, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 359, + 316 + ], + "score": 1.0, + "content": "Our agent architecture is shown in Fig. 2. At each timestep", + "type": "text" + }, + { + "bbox": [ + 359, + 303, + 364, + 312 + ], + "score": 0.64, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 301, + 506, + 316 + ], + "score": 1.0, + "content": ", our agent receives an egocentric", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 312, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 177, + 326 + ], + "score": 1.0, + "content": "RGB observation", + "type": "text" + }, + { + "bbox": [ + 178, + 315, + 187, + 324 + ], + "score": 0.84, + "content": "v _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 312, + 290, + 326 + ], + "score": 1.0, + "content": "and a goal representation", + "type": "text" + }, + { + "bbox": [ + 290, + 313, + 300, + 325 + ], + "score": 0.87, + "content": "s _ { v } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 301, + 312, + 505, + 326 + ], + "score": 1.0, + "content": ". The observation is processed by a ResNet-50 [29]", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "encoder, which is pretrained on the Omnidata Starter Dataset (OSD) [30] using self-supervised", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 335, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 505, + 347 + ], + "score": 1.0, + "content": "learning (DINO [31]) following the pretraining recipe presented in OVRL [16]. The output from the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 362, + 358 + ], + "score": 1.0, + "content": "ResNet-50 encoder is concatenated with the goal representation", + "type": "text" + }, + { + "bbox": [ + 362, + 347, + 372, + 358 + ], + "score": 0.89, + "content": "s _ { v } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "and an embedding of the agent’s", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 171, + 369 + ], + "score": 1.0, + "content": "previous action", + "type": "text" + }, + { + "bbox": [ + 172, + 358, + 192, + 368 + ], + "score": 0.88, + "content": "a _ { t - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "and then passed to the policy network composed of a two-layer LSTM. The", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 368, + 344, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 368, + 344, + 380 + ], + "score": 1.0, + "content": "policy network outputs a distribution over the action space.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 417 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "score": 1.0, + "content": "We train our SemanticNav agent with reinforcement learning (RL). During RL training, we use two", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 395, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 506, + 407 + ], + "score": 1.0, + "content": "data augmentation techniques: color jitter and random translation (adapted from [16]). Specifically,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 405, + 502, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 502, + 419 + ], + "score": 1.0, + "content": "we train with DD-PPO [32] using a reward function proposed for ImageNav by Al-Halah et al. [18]:", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24 + }, + { + "type": "interline_equation", + "bbox": [ + 207, + 429, + 403, + 443 + ], + "lines": [ + { + "bbox": [ + 207, + 429, + 403, + 443 + ], + "spans": [ + { + "bbox": [ + 207, + 429, + 403, + 443 + ], + "score": 0.87, + "content": "r _ { t } = r _ { \\mathrm { s u c c e s s } } + r _ { \\mathrm { a n g l e - s u c c e s s } } - \\Delta _ { \\mathrm { d t g } } - \\Delta _ { \\mathrm { a t g } } + r _ { \\mathrm { s l a c k } }", + "type": "interline_equation", + "image_path": "545d5f7b1fe99a9b483dcadcb0de937b82d4fd31d472375847c2072d1e3af6de.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 207, + 429, + 403, + 443 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 453, + 505, + 553 + ], + "lines": [ + { + "bbox": [ + 105, + 454, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 132, + 469 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 132, + 455, + 178, + 465 + ], + "score": 0.89, + "content": "r _ { \\mathrm { s u c c e s s } } = 5", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 454, + 342, + 469 + ], + "score": 1.0, + "content": "if STOP is called when the agent is within", + "type": "text" + }, + { + "bbox": [ + 342, + 455, + 355, + 465 + ], + "score": 0.44, + "content": "1 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 454, + 506, + 469 + ], + "score": 1.0, + "content": "of the goal position (and 0 otherwise),", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 107, + 464, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 107, + 466, + 170, + 478 + ], + "score": 0.68, + "content": "r _ { \\mathrm { a n g l e - s u c c e s s } } = 5", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 464, + 342, + 478 + ], + "score": 1.0, + "content": "if STOP is called when the agent is within", + "type": "text" + }, + { + "bbox": [ + 342, + 466, + 357, + 475 + ], + "score": 0.35, + "content": "1 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 464, + 506, + 478 + ], + "score": 1.0, + "content": "of the goal position and the agent is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 476, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 170, + 489 + ], + "score": 1.0, + "content": "pointing within", + "type": "text" + }, + { + "bbox": [ + 171, + 476, + 186, + 487 + ], + "score": 0.88, + "content": "2 5 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 476, + 505, + 489 + ], + "score": 1.0, + "content": "of the goal heading – i.e., the direction the camera was pointing when the goal", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 486, + 507, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 277, + 501 + ], + "score": 1.0, + "content": "image was collected – (and 0 otherwise),", + "type": "text" + }, + { + "bbox": [ + 278, + 488, + 297, + 498 + ], + "score": 0.89, + "content": "\\Delta _ { \\mathrm { d t g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 486, + 507, + 501 + ], + "score": 1.0, + "content": "is the change in the agent’s distance-to-goal – i.e.,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 497, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 277, + 511 + ], + "score": 1.0, + "content": "the geodesic distance to the goal position,", + "type": "text" + }, + { + "bbox": [ + 278, + 499, + 296, + 510 + ], + "score": 0.89, + "content": "\\Delta _ { \\mathrm { a t g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 497, + 505, + 511 + ], + "score": 1.0, + "content": "is the change in the agent’s angle-to-goal – i.e., the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 508, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 523 + ], + "score": 1.0, + "content": "difference between the agent’s heading and the goal heading – but is set to 0 if the agent is greater", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 126, + 533 + ], + "score": 1.0, + "content": "than", + "type": "text" + }, + { + "bbox": [ + 127, + 520, + 141, + 531 + ], + "score": 0.31, + "content": "1 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 519, + 217, + 533 + ], + "score": 1.0, + "content": "from the goal, and", + "type": "text" + }, + { + "bbox": [ + 217, + 520, + 276, + 531 + ], + "score": 0.91, + "content": "r _ { \\mathrm { s l a c k } } = - 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 519, + 505, + 533 + ], + "score": 1.0, + "content": "to encourage efficient navigation. In general, this reward", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "function encourages both reaching the goal and looking towards the goal before calling STOP, which", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 542, + 358, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 358, + 555 + ], + "score": 1.0, + "content": "matches the requirements of the downstream ObjectNav task.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31 + }, + { + "type": "title", + "bbox": [ + 108, + 573, + 277, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 571, + 279, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 279, + 587 + ], + "score": 1.0, + "content": "4.2 Zero-Shot Object-Goal Navigation", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 596, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 105, + 595, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 506, + 610 + ], + "score": 1.0, + "content": "Recall that in ObjectNav [1], agents are given a target category (e.g., “sofa” or “chair”) and must", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "score": 1.0, + "content": "locate any instance of that object (i.e., “any sofa” or “any chair”). Similar to ImageNav, ObjectNav", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "requires exploring new environments that the agent has never seen before. 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CLIP aligns image", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 280, + 690 + ], + "score": 1.0, + "content": "and text, thus the semantic goals from text", + "type": "text" + }, + { + "bbox": [ + 281, + 679, + 291, + 690 + ], + "score": 0.88, + "content": "s _ { o } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "should be close (in terms of cosine similarity) to the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 208, + 701 + ], + "score": 1.0, + "content": "CLIP visual embeddings", + "type": "text" + }, + { + "bbox": [ + 209, + 690, + 219, + 701 + ], + "score": 0.89, + "content": "s _ { v } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "used in training. To keep our approach simple and easily reproducible,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 700, + 507, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 377, + 712 + ], + "score": 1.0, + "content": "we do not use any prompt engineering (e.g., using a template such as", + "type": "text" + }, + { + "bbox": [ + 377, + 700, + 389, + 710 + ], + "score": 0.32, + "content": "^ { 6 6 } \\mathtt { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 700, + 449, + 712 + ], + "score": 1.0, + "content": "photo of a", + "type": "text" + }, + { + "bbox": [ + 449, + 701, + 467, + 711 + ], + "score": 0.35, + "content": "< > ^ { \\dag \\dag } ,", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 700, + 507, + 712 + ], + "score": 1.0, + "content": "). Instead,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 711, + 398, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 383, + 723 + ], + "score": 1.0, + "content": "we simply use the object name (e.g., “sofa”) as the object-goal input", + "type": "text" + }, + { + "bbox": [ + 384, + 712, + 393, + 721 + ], + "score": 0.86, + "content": "o ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 711, + 398, + 723 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44.5 + } + ], + "page_idx": 4, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "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": "title", + "bbox": [ + 107, + 71, + 176, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 69, + 178, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 69, + 178, + 87 + ], + "score": 1.0, + "content": "4 Approach", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 105, + 100, + 505, + 155 + ], + "lines": [ + { + "bbox": [ + 105, + 99, + 506, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 506, + 113 + ], + "score": 1.0, + "content": "This section describes our framework for training visual navigation agents. We use CLIP [19] to", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 109, + 507, + 126 + ], + "spans": [ + { + "bbox": [ + 104, + 109, + 507, + 126 + ], + "score": 1.0, + "content": "produce semantic goal embeddings of image-goals (e.g., a picture of the sink) and object-goals (e.g.,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 121, + 506, + 136 + ], + "spans": [ + { + "bbox": [ + 104, + 121, + 506, + 136 + ], + "score": 1.0, + "content": "“sink”). This allows training semantic-goal navigation agents at scale using image-goals in HM3D", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 133, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 505, + 145 + ], + "score": 1.0, + "content": "environments [20], then deploying these agents for object-goal navigation in a zero-shot manner. In", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 495, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 495, + 157 + ], + "score": 1.0, + "content": "other words, our agents execute object-goal navigation without ever directly training for the task.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3, + "bbox_fs": [ + 104, + 99, + 507, + 157 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 175, + 284, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 174, + 285, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 174, + 285, + 189 + ], + "score": 1.0, + "content": "4.1 Learning Semantic-Goal Navigation", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 198, + 505, + 297 + ], + "lines": [ + { + "bbox": [ + 106, + 199, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 327, + 210 + ], + "score": 1.0, + "content": "As illustrated in Fig. 2 (top-left), given an image-goal", + "type": "text" + }, + { + "bbox": [ + 327, + 199, + 338, + 208 + ], + "score": 0.86, + "content": "v ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 199, + 466, + 210 + ], + "score": 1.0, + "content": ", we use a CLIP visual encoder", + "type": "text" + }, + { + "bbox": [ + 466, + 199, + 493, + 209 + ], + "score": 0.88, + "content": "\\mathtt { C L I P } _ { v }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 199, + 505, + 210 + ], + "score": 1.0, + "content": "to", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 209, + 506, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 253, + 223 + ], + "score": 1.0, + "content": "generate a semantic goal embedding", + "type": "text" + }, + { + "bbox": [ + 253, + 209, + 320, + 221 + ], + "score": 0.93, + "content": "s _ { v } ^ { g } = \\mathtt { C L I P } _ { v } ( v ^ { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 209, + 506, + 223 + ], + "score": 1.0, + "content": "that is used to guide navigation. Conceptually,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "encoding image-goals with CLIP preserves semantic information about the goal, such as visual", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 230, + 506, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 245 + ], + "score": 1.0, + "content": "concepts that might be described in image captions (e.g., “a sofa in a living room”). However,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 242, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 506, + 255 + ], + "score": 1.0, + "content": "semantic goal embeddings are less likely to include low-level features (e.g., the exact patterns in a", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "wood floor) that do not correlate with web-scraped captions. While removing low-level information", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "might make the navigation task more difficult, our goal is to learn a policy that transfers to ObjectNav", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 273, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 289 + ], + "score": 1.0, + "content": "in which agents only receives high-level goals (e.g., “Find a sofa”). As an added benefit, generating", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 286, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 473, + 299 + ], + "score": 1.0, + "content": "semantic goal embeddings as a pre-processing step substantially improves training time (by", + "type": "text" + }, + { + "bbox": [ + 473, + 286, + 500, + 297 + ], + "score": 0.8, + "content": "{ \\sim } 3 . 5 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 286, + 506, + 299 + ], + "score": 1.0, + "content": ").", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 199, + 506, + 299 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 302, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 105, + 301, + 506, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 359, + 316 + ], + "score": 1.0, + "content": "Our agent architecture is shown in Fig. 2. At each timestep", + "type": "text" + }, + { + "bbox": [ + 359, + 303, + 364, + 312 + ], + "score": 0.64, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 301, + 506, + 316 + ], + "score": 1.0, + "content": ", our agent receives an egocentric", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 312, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 177, + 326 + ], + "score": 1.0, + "content": "RGB observation", + "type": "text" + }, + { + "bbox": [ + 178, + 315, + 187, + 324 + ], + "score": 0.84, + "content": "v _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 312, + 290, + 326 + ], + "score": 1.0, + "content": "and a goal representation", + "type": "text" + }, + { + "bbox": [ + 290, + 313, + 300, + 325 + ], + "score": 0.87, + "content": "s _ { v } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 301, + 312, + 505, + 326 + ], + "score": 1.0, + "content": ". The observation is processed by a ResNet-50 [29]", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "encoder, which is pretrained on the Omnidata Starter Dataset (OSD) [30] using self-supervised", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 335, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 505, + 347 + ], + "score": 1.0, + "content": "learning (DINO [31]) following the pretraining recipe presented in OVRL [16]. The output from the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 362, + 358 + ], + "score": 1.0, + "content": "ResNet-50 encoder is concatenated with the goal representation", + "type": "text" + }, + { + "bbox": [ + 362, + 347, + 372, + 358 + ], + "score": 0.89, + "content": "s _ { v } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "and an embedding of the agent’s", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 171, + 369 + ], + "score": 1.0, + "content": "previous action", + "type": "text" + }, + { + "bbox": [ + 172, + 358, + 192, + 368 + ], + "score": 0.88, + "content": "a _ { t - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "and then passed to the policy network composed of a two-layer LSTM. The", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 368, + 344, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 368, + 344, + 380 + ], + "score": 1.0, + "content": "policy network outputs a distribution over the action space.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 301, + 506, + 380 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 417 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "score": 1.0, + "content": "We train our SemanticNav agent with reinforcement learning (RL). During RL training, we use two", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 395, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 506, + 407 + ], + "score": 1.0, + "content": "data augmentation techniques: color jitter and random translation (adapted from [16]). Specifically,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 405, + 502, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 502, + 419 + ], + "score": 1.0, + "content": "we train with DD-PPO [32] using a reward function proposed for ImageNav by Al-Halah et al. [18]:", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 383, + 506, + 419 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 207, + 429, + 403, + 443 + ], + "lines": [ + { + "bbox": [ + 207, + 429, + 403, + 443 + ], + "spans": [ + { + "bbox": [ + 207, + 429, + 403, + 443 + ], + "score": 0.87, + "content": "r _ { t } = r _ { \\mathrm { s u c c e s s } } + r _ { \\mathrm { a n g l e - s u c c e s s } } - \\Delta _ { \\mathrm { d t g } } - \\Delta _ { \\mathrm { a t g } } + r _ { \\mathrm { s l a c k } }", + "type": "interline_equation", + "image_path": "545d5f7b1fe99a9b483dcadcb0de937b82d4fd31d472375847c2072d1e3af6de.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 207, + 429, + 403, + 443 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 453, + 505, + 553 + ], + "lines": [ + { + "bbox": [ + 105, + 454, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 132, + 469 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 132, + 455, + 178, + 465 + ], + "score": 0.89, + "content": "r _ { \\mathrm { s u c c e s s } } = 5", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 454, + 342, + 469 + ], + "score": 1.0, + "content": "if STOP is called when the agent is within", + "type": "text" + }, + { + "bbox": [ + 342, + 455, + 355, + 465 + ], + "score": 0.44, + "content": "1 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 454, + 506, + 469 + ], + "score": 1.0, + "content": "of the goal position (and 0 otherwise),", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 107, + 464, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 107, + 466, + 170, + 478 + ], + "score": 0.68, + "content": "r _ { \\mathrm { a n g l e - s u c c e s s } } = 5", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 464, + 342, + 478 + ], + "score": 1.0, + "content": "if STOP is called when the agent is within", + "type": "text" + }, + { + "bbox": [ + 342, + 466, + 357, + 475 + ], + "score": 0.35, + "content": "1 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 464, + 506, + 478 + ], + "score": 1.0, + "content": "of the goal position and the agent is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 476, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 170, + 489 + ], + "score": 1.0, + "content": "pointing within", + "type": "text" + }, + { + "bbox": [ + 171, + 476, + 186, + 487 + ], + "score": 0.88, + "content": "2 5 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 476, + 505, + 489 + ], + "score": 1.0, + "content": "of the goal heading – i.e., the direction the camera was pointing when the goal", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 486, + 507, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 277, + 501 + ], + "score": 1.0, + "content": "image was collected – (and 0 otherwise),", + "type": "text" + }, + { + "bbox": [ + 278, + 488, + 297, + 498 + ], + "score": 0.89, + "content": "\\Delta _ { \\mathrm { d t g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 486, + 507, + 501 + ], + "score": 1.0, + "content": "is the change in the agent’s distance-to-goal – i.e.,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 497, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 277, + 511 + ], + "score": 1.0, + "content": "the geodesic distance to the goal position,", + "type": "text" + }, + { + "bbox": [ + 278, + 499, + 296, + 510 + ], + "score": 0.89, + "content": "\\Delta _ { \\mathrm { a t g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 497, + 505, + 511 + ], + "score": 1.0, + "content": "is the change in the agent’s angle-to-goal – i.e., the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 508, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 523 + ], + "score": 1.0, + "content": "difference between the agent’s heading and the goal heading – but is set to 0 if the agent is greater", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 126, + 533 + ], + "score": 1.0, + "content": "than", + "type": "text" + }, + { + "bbox": [ + 127, + 520, + 141, + 531 + ], + "score": 0.31, + "content": "1 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 519, + 217, + 533 + ], + "score": 1.0, + "content": "from the goal, and", + "type": "text" + }, + { + "bbox": [ + 217, + 520, + 276, + 531 + ], + "score": 0.91, + "content": "r _ { \\mathrm { s l a c k } } = - 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 519, + 505, + 533 + ], + "score": 1.0, + "content": "to encourage efficient navigation. In general, this reward", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "function encourages both reaching the goal and looking towards the goal before calling STOP, which", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 542, + 358, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 358, + 555 + ], + "score": 1.0, + "content": "matches the requirements of the downstream ObjectNav task.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 454, + 507, + 555 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 573, + 277, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 571, + 279, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 279, + 587 + ], + "score": 1.0, + "content": "4.2 Zero-Shot Object-Goal Navigation", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 596, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 105, + 595, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 506, + 610 + ], + "score": 1.0, + "content": "Recall that in ObjectNav [1], agents are given a target category (e.g., “sofa” or “chair”) and must", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "score": 1.0, + "content": "locate any instance of that object (i.e., “any sofa” or “any chair”). Similar to ImageNav, ObjectNav", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "requires exploring new environments that the agent has never seen before. However, in ObjectNav,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 628, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 643 + ], + "score": 1.0, + "content": "the goal (e.g., “sofa”) provides a minimal amount of information about where the agent must go and", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 639, + 390, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 390, + 653 + ], + "score": 1.0, + "content": "it requires recognizing any version of the goal object in the new scene.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 595, + 506, + 653 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 291, + 669 + ], + "score": 1.0, + "content": "To address this task, we transform object-goals", + "type": "text" + }, + { + "bbox": [ + 291, + 657, + 302, + 666 + ], + "score": 0.84, + "content": "o ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 654, + 506, + 669 + ], + "score": 1.0, + "content": "(e.g., “sofa”) into semantic goal embeddings using", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 665, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 195, + 681 + ], + "score": 1.0, + "content": "the CLIP text encoder", + "type": "text" + }, + { + "bbox": [ + 195, + 668, + 220, + 678 + ], + "score": 0.89, + "content": "{ \\mathrm { C L I P } } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 665, + 360, + 681 + ], + "score": 1.0, + "content": ", which results in the semantic goal", + "type": "text" + }, + { + "bbox": [ + 360, + 667, + 425, + 679 + ], + "score": 0.93, + "content": "s _ { o } ^ { g } = \\mathtt { C L I P } _ { t } ( o ^ { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 665, + 505, + 681 + ], + "score": 1.0, + "content": ". CLIP aligns image", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 280, + 690 + ], + "score": 1.0, + "content": "and text, thus the semantic goals from text", + "type": "text" + }, + { + "bbox": [ + 281, + 679, + 291, + 690 + ], + "score": 0.88, + "content": "s _ { o } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "should be close (in terms of cosine similarity) to the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 208, + 701 + ], + "score": 1.0, + "content": "CLIP visual embeddings", + "type": "text" + }, + { + "bbox": [ + 209, + 690, + 219, + 701 + ], + "score": 0.89, + "content": "s _ { v } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "used in training. To keep our approach simple and easily reproducible,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 700, + 507, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 377, + 712 + ], + "score": 1.0, + "content": "we do not use any prompt engineering (e.g., using a template such as", + "type": "text" + }, + { + "bbox": [ + 377, + 700, + 389, + 710 + ], + "score": 0.32, + "content": "^ { 6 6 } \\mathtt { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 700, + 449, + 712 + ], + "score": 1.0, + "content": "photo of a", + "type": "text" + }, + { + "bbox": [ + 449, + 701, + 467, + 711 + ], + "score": 0.35, + "content": "< > ^ { \\dag \\dag } ,", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 700, + 507, + 712 + ], + "score": 1.0, + "content": "). Instead,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 711, + 398, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 383, + 723 + ], + "score": 1.0, + "content": "we simply use the object name (e.g., “sofa”) as the object-goal input", + "type": "text" + }, + { + "bbox": [ + 384, + 712, + 393, + 721 + ], + "score": 0.86, + "content": "o ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 711, + 398, + 723 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44.5, + "bbox_fs": [ + 105, + 654, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 70, + 366, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 70, + 367, + 88 + ], + "spans": [ + { + "bbox": [ + 104, + 70, + 367, + 88 + ], + "score": 1.0, + "content": "5 Experimental Findings and Qualitative Results", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 95, + 505, + 150 + ], + "lines": [ + { + "bbox": [ + 105, + 94, + 505, + 109 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 109 + ], + "score": 1.0, + "content": "This section studies the zero-shot ObjectNav performance of our proposed approach. First, we", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 505, + 119 + ], + "score": 1.0, + "content": "evaluate our method in the traditional ObjectNav setting [1] where agents must find any instance", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 505, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 130 + ], + "score": 1.0, + "content": "of the goal object (“Find a chair”). Then, we explore variations of ObjectNav in which additional", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "score": 1.0, + "content": "information, such as a room location (e.g., “bathroom sink”), is given to refine the task. These", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 139, + 452, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 452, + 152 + ], + "score": 1.0, + "content": "experiments aim to demonstrate both the effectiveness and versatility of our approach.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3 + }, + { + "type": "title", + "bbox": [ + 107, + 163, + 215, + 175 + ], + "lines": [ + { + "bbox": [ + 104, + 160, + 217, + 179 + ], + "spans": [ + { + "bbox": [ + 104, + 160, + 217, + 179 + ], + "score": 1.0, + "content": "5.1 Experimental Setup", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 183, + 505, + 282 + ], + "lines": [ + { + "bbox": [ + 105, + 181, + 506, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 198 + ], + "score": 1.0, + "content": "Training Dataset. We generate a dataset for training our SemanticNav agent using the 800 training", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 194, + 504, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 194, + 504, + 205 + ], + "score": 1.0, + "content": "environments from HM3D [20]. First, we sample 9k ImageNav episodes for each HM3D scan, split", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 205, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 412, + 218 + ], + "score": 1.0, + "content": "equally between 3 difficulty levels corresponding with path length: EASY", + "type": "text" + }, + { + "bbox": [ + 412, + 205, + 447, + 217 + ], + "score": 0.44, + "content": "( 1 . 5 \\mathrm { - } 3 \\mathrm { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 205, + 506, + 218 + ], + "score": 1.0, + "content": ", MEDIUM (3-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 216, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 122, + 227 + ], + "score": 0.54, + "content": "5 \\mathrm { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 216, + 175, + 229 + ], + "score": 1.0, + "content": ", and HARD", + "type": "text" + }, + { + "bbox": [ + 175, + 217, + 208, + 227 + ], + "score": 0.39, + "content": "( 5 \\mathrm { - } 1 0 \\mathrm { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 216, + 505, + 229 + ], + "score": 1.0, + "content": ". We follow the episode generation approach from [33]. This results in", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 107, + 225, + 506, + 241 + ], + "spans": [ + { + "bbox": [ + 107, + 227, + 180, + 237 + ], + "score": 0.88, + "content": "9 \\mathbf { k } \\times 8 0 0 = 7 . 2 \\mathbf { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 225, + 506, + 241 + ], + "score": 1.0, + "content": "navigation episodes for training. Next, we pre-process the goal-images with the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 237, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 456, + 251 + ], + "score": 1.0, + "content": "ResNet-50 version of CLIP [19] to produce 1024 dimensional semantic goal vectors", + "type": "text" + }, + { + "bbox": [ + 457, + 239, + 467, + 250 + ], + "score": 0.88, + "content": "s _ { v } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 237, + 505, + 251 + ], + "score": 1.0, + "content": "for each", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 248, + 504, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 504, + 262 + ], + "score": 1.0, + "content": "navigation episode. During pre-processing, we further augment the dataset by sampling goal-images", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 259, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 273 + ], + "score": 1.0, + "content": "at four evenly-spaced heading angles to produce 36M total episodes for training. Sampling at multiple", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 270, + 347, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 347, + 284 + ], + "score": 1.0, + "content": "angles approximates the randomized sampling used in [18].", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 293, + 505, + 370 + ], + "lines": [ + { + "bbox": [ + 106, + 293, + 506, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 506, + 307 + ], + "score": 1.0, + "content": "Agent Configurations. Two different agent configurations are frequently used in prior work on", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 304, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 481, + 318 + ], + "score": 1.0, + "content": "visual navigation. Configuration A is generally used for ImageNav and has an agent height of", + "type": "text" + }, + { + "bbox": [ + 482, + 304, + 502, + 315 + ], + "score": 0.71, + "content": "1 . 5 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 304, + 506, + 318 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 316, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 143, + 328 + ], + "score": 1.0, + "content": "radius of", + "type": "text" + }, + { + "bbox": [ + 143, + 316, + 164, + 326 + ], + "score": 0.66, + "content": "0 . 1 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 316, + 216, + 328 + ], + "score": 1.0, + "content": ", and a single", + "type": "text" + }, + { + "bbox": [ + 216, + 316, + 254, + 326 + ], + "score": 0.89, + "content": "1 2 8 \\times 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 316, + 330, + 328 + ], + "score": 1.0, + "content": "RGB sensor with a", + "type": "text" + }, + { + "bbox": [ + 331, + 316, + 346, + 326 + ], + "score": 0.86, + "content": "9 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 316, + 505, + 328 + ], + "score": 1.0, + "content": "horizontal field-of-view (HFOV) placed", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 326, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 132, + 337 + ], + "score": 0.76, + "content": "1 . 2 5 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 326, + 505, + 339 + ], + "score": 1.0, + "content": "from the ground. Configuration B is typically used for ObjectNav and approximately matches", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 336, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 248, + 349 + ], + "score": 1.0, + "content": "a LoCoBot, with an agent height of", + "type": "text" + }, + { + "bbox": [ + 249, + 337, + 275, + 348 + ], + "score": 0.74, + "content": "0 . 8 8 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 336, + 315, + 349 + ], + "score": 1.0, + "content": ", radius of", + "type": "text" + }, + { + "bbox": [ + 316, + 337, + 342, + 348 + ], + "score": 0.73, + "content": "0 . 1 8 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 336, + 394, + 349 + ], + "score": 1.0, + "content": ", and a single", + "type": "text" + }, + { + "bbox": [ + 395, + 337, + 434, + 348 + ], + "score": 0.87, + "content": "6 4 0 \\times 4 8 0", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 336, + 505, + 349 + ], + "score": 1.0, + "content": "RGB sensor with", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 348, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 104, + 348, + 113, + 361 + ], + "score": 1.0, + "content": "a", + "type": "text" + }, + { + "bbox": [ + 113, + 348, + 129, + 358 + ], + "score": 0.85, + "content": "7 9 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 348, + 187, + 361 + ], + "score": 1.0, + "content": "HFOV placed", + "type": "text" + }, + { + "bbox": [ + 187, + 348, + 214, + 359 + ], + "score": 0.77, + "content": "0 . 8 8 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 348, + 506, + 361 + ], + "score": 1.0, + "content": "from the ground. Both configurations use the aforementioned step size of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 359, + 291, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 133, + 370 + ], + "score": 0.7, + "content": "0 . 2 5 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 359, + 271, + 371 + ], + "score": 1.0, + "content": "and left and right turning angle of", + "type": "text" + }, + { + "bbox": [ + 271, + 359, + 287, + 369 + ], + "score": 0.87, + "content": "3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 359, + 291, + 371 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 382, + 503, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 380, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 395 + ], + "score": 1.0, + "content": "Evaluation Datasets. We measure performance on one ImageNav and three ObjectNav datasets:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 105, + 401, + 506, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "– ImageNav (Gibson) consists of 4,200 episodes from 14 Gibson [4] validation scenes. The dataset", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 114, + 414, + 396, + 425 + ], + "spans": [ + { + "bbox": [ + 114, + 414, + 396, + 425 + ], + "score": 1.0, + "content": "was produced by Mezghani et al. [33] for agents with configuration A.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 425, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 505, + 437 + ], + "score": 1.0, + "content": "– ObjectNav (Gibson) was generated by Al-Halah et al. [18] for agents with configuration A. The", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 114, + 436, + 479, + 448 + ], + "spans": [ + { + "bbox": [ + 114, + 436, + 479, + 448 + ], + "score": 1.0, + "content": "dataset consists of 1,000 episodes in 5 Gibson [4] validation scenes for 6 object categories.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 111, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 111, + 449, + 505, + 462 + ], + "score": 1.0, + "content": "ObjectNav (HM3D), released with the Habitat 2022 challenge, consists of 2,000 episodes from 20", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 113, + 459, + 507, + 474 + ], + "spans": [ + { + "bbox": [ + 113, + 459, + 507, + 474 + ], + "score": 1.0, + "content": "HM3D [20] validation scenes with objects from 6 categories, and uses agents with configuration B.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 113, + 473, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 113, + 473, + 505, + 484 + ], + "score": 1.0, + "content": "ObjectNav (MP3D) released with the Habitat 2020 challenge, contains 2,195 episodes from 11", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 113, + 483, + 493, + 496 + ], + "spans": [ + { + "bbox": [ + 113, + 483, + 493, + 496 + ], + "score": 1.0, + "content": "MP3D [8] validation scenes for 21 object categories, and requires agents with configuration B.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 107, + 503, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 106, + 504, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 505, + 515 + ], + "score": 1.0, + "content": "Due to the different agent configurations required by these evaluation datasets, we train agents with", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 514, + 507, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 507, + 527 + ], + "score": 1.0, + "content": "both settings to make fair comparisons with prior work on zero-shot ObjectNav. For all experiments,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 526, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 505, + 537 + ], + "score": 1.0, + "content": "we report two standard metrics for visual navigation tasks: success rate (SR) and success rate weighted", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 537, + 290, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 290, + 548 + ], + "score": 1.0, + "content": "by normalized inverse path length (SPL) [34].", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 106, + 559, + 505, + 658 + ], + "lines": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "Implementation Details. We generate a SemanticNav dataset for each agent configuration (A and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 280, + 583 + ], + "score": 1.0, + "content": "B). The CLIP ResNet-50 encoder processes", + "type": "text" + }, + { + "bbox": [ + 280, + 570, + 324, + 580 + ], + "score": 0.88, + "content": "2 2 4 \\times 2 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 569, + 506, + 583 + ], + "score": 1.0, + "content": "images. Accordingly, for configuration A, we", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 135, + 593 + ], + "score": 1.0, + "content": "render", + "type": "text" + }, + { + "bbox": [ + 135, + 581, + 179, + 591 + ], + "score": 0.69, + "content": "5 1 2 \\times 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 581, + 292, + 593 + ], + "score": 1.0, + "content": "RGB frames, then resize to", + "type": "text" + }, + { + "bbox": [ + 293, + 581, + 337, + 591 + ], + "score": 0.9, + "content": "2 2 4 \\times 2 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 581, + 477, + 593 + ], + "score": 1.0, + "content": ". For configuration B, we render at", + "type": "text" + }, + { + "bbox": [ + 477, + 581, + 505, + 591 + ], + "score": 0.86, + "content": "6 4 0 \\times", + "type": "inline_equation" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "480, then resize and center crop. We train agents using PyTorch [35] and the Habitat simulator [2, 3].", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 603, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 615 + ], + "score": 1.0, + "content": "Each training run was conducted on a single compute node with 8 NVIDIA A40 GPUs. We train", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 236, + 626 + ], + "score": 1.0, + "content": "agents for 500M steps, requiring", + "type": "text" + }, + { + "bbox": [ + 237, + 614, + 268, + 624 + ], + "score": 0.85, + "content": "\\mathord { \\sim } 1 , 7 0 4", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "GPU-hours to train two agents (one for each configuration).", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "score": 1.0, + "content": "Additional training hyperparamters are detailed in the Appendix. We report results using the best", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "score": 1.0, + "content": "checkpoint, selected based on ObjectNav validation success rate (SR). During evaluations we sample", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 646, + 501, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 501, + 659 + ], + "score": 1.0, + "content": "actions from the agent’s output distribution. We report results averaged over three evaluation runs.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 105, + 669, + 504, + 691 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 683 + ], + "score": 1.0, + "content": "Baselines. We provide comparisons with the, to the best of our knowledge, only two existing", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 680, + 347, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 347, + 693 + ], + "score": 1.0, + "content": "zero-shot methods for object-goal navigation (ObjectNav):", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 45.5 + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 104, + 698, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 104, + 698, + 505, + 713 + ], + "score": 1.0, + "content": "– Zero Experience Required (ZER) [18]: first trains an ImageNav agent composed of two ResNet-9", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 114, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 114, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "encoders for processing the goal-image and agent observations, and a policy network consisting of", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 70, + 366, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 70, + 367, + 88 + ], + "spans": [ + { + "bbox": [ + 104, + 70, + 367, + 88 + ], + "score": 1.0, + "content": "5 Experimental Findings and Qualitative Results", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 95, + 505, + 150 + ], + "lines": [ + { + "bbox": [ + 105, + 94, + 505, + 109 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 109 + ], + "score": 1.0, + "content": "This section studies the zero-shot ObjectNav performance of our proposed approach. First, we", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 505, + 119 + ], + "score": 1.0, + "content": "evaluate our method in the traditional ObjectNav setting [1] where agents must find any instance", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 505, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 130 + ], + "score": 1.0, + "content": "of the goal object (“Find a chair”). Then, we explore variations of ObjectNav in which additional", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "score": 1.0, + "content": "information, such as a room location (e.g., “bathroom sink”), is given to refine the task. These", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 139, + 452, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 452, + 152 + ], + "score": 1.0, + "content": "experiments aim to demonstrate both the effectiveness and versatility of our approach.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 94, + 505, + 152 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 163, + 215, + 175 + ], + "lines": [ + { + "bbox": [ + 104, + 160, + 217, + 179 + ], + "spans": [ + { + "bbox": [ + 104, + 160, + 217, + 179 + ], + "score": 1.0, + "content": "5.1 Experimental Setup", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 183, + 505, + 282 + ], + "lines": [ + { + "bbox": [ + 105, + 181, + 506, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 198 + ], + "score": 1.0, + "content": "Training Dataset. We generate a dataset for training our SemanticNav agent using the 800 training", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 194, + 504, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 194, + 504, + 205 + ], + "score": 1.0, + "content": "environments from HM3D [20]. First, we sample 9k ImageNav episodes for each HM3D scan, split", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 205, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 412, + 218 + ], + "score": 1.0, + "content": "equally between 3 difficulty levels corresponding with path length: EASY", + "type": "text" + }, + { + "bbox": [ + 412, + 205, + 447, + 217 + ], + "score": 0.44, + "content": "( 1 . 5 \\mathrm { - } 3 \\mathrm { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 205, + 506, + 218 + ], + "score": 1.0, + "content": ", MEDIUM (3-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 216, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 122, + 227 + ], + "score": 0.54, + "content": "5 \\mathrm { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 216, + 175, + 229 + ], + "score": 1.0, + "content": ", and HARD", + "type": "text" + }, + { + "bbox": [ + 175, + 217, + 208, + 227 + ], + "score": 0.39, + "content": "( 5 \\mathrm { - } 1 0 \\mathrm { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 216, + 505, + 229 + ], + "score": 1.0, + "content": ". We follow the episode generation approach from [33]. This results in", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 107, + 225, + 506, + 241 + ], + "spans": [ + { + "bbox": [ + 107, + 227, + 180, + 237 + ], + "score": 0.88, + "content": "9 \\mathbf { k } \\times 8 0 0 = 7 . 2 \\mathbf { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 225, + 506, + 241 + ], + "score": 1.0, + "content": "navigation episodes for training. Next, we pre-process the goal-images with the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 237, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 456, + 251 + ], + "score": 1.0, + "content": "ResNet-50 version of CLIP [19] to produce 1024 dimensional semantic goal vectors", + "type": "text" + }, + { + "bbox": [ + 457, + 239, + 467, + 250 + ], + "score": 0.88, + "content": "s _ { v } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 237, + 505, + 251 + ], + "score": 1.0, + "content": "for each", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 248, + 504, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 504, + 262 + ], + "score": 1.0, + "content": "navigation episode. During pre-processing, we further augment the dataset by sampling goal-images", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 259, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 273 + ], + "score": 1.0, + "content": "at four evenly-spaced heading angles to produce 36M total episodes for training. Sampling at multiple", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 270, + 347, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 347, + 284 + ], + "score": 1.0, + "content": "angles approximates the randomized sampling used in [18].", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 181, + 506, + 284 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 293, + 505, + 370 + ], + "lines": [ + { + "bbox": [ + 106, + 293, + 506, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 506, + 307 + ], + "score": 1.0, + "content": "Agent Configurations. Two different agent configurations are frequently used in prior work on", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 304, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 481, + 318 + ], + "score": 1.0, + "content": "visual navigation. Configuration A is generally used for ImageNav and has an agent height of", + "type": "text" + }, + { + "bbox": [ + 482, + 304, + 502, + 315 + ], + "score": 0.71, + "content": "1 . 5 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 304, + 506, + 318 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 316, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 143, + 328 + ], + "score": 1.0, + "content": "radius of", + "type": "text" + }, + { + "bbox": [ + 143, + 316, + 164, + 326 + ], + "score": 0.66, + "content": "0 . 1 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 316, + 216, + 328 + ], + "score": 1.0, + "content": ", and a single", + "type": "text" + }, + { + "bbox": [ + 216, + 316, + 254, + 326 + ], + "score": 0.89, + "content": "1 2 8 \\times 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 316, + 330, + 328 + ], + "score": 1.0, + "content": "RGB sensor with a", + "type": "text" + }, + { + "bbox": [ + 331, + 316, + 346, + 326 + ], + "score": 0.86, + "content": "9 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 316, + 505, + 328 + ], + "score": 1.0, + "content": "horizontal field-of-view (HFOV) placed", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 326, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 132, + 337 + ], + "score": 0.76, + "content": "1 . 2 5 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 326, + 505, + 339 + ], + "score": 1.0, + "content": "from the ground. Configuration B is typically used for ObjectNav and approximately matches", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 336, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 248, + 349 + ], + "score": 1.0, + "content": "a LoCoBot, with an agent height of", + "type": "text" + }, + { + "bbox": [ + 249, + 337, + 275, + 348 + ], + "score": 0.74, + "content": "0 . 8 8 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 336, + 315, + 349 + ], + "score": 1.0, + "content": ", radius of", + "type": "text" + }, + { + "bbox": [ + 316, + 337, + 342, + 348 + ], + "score": 0.73, + "content": "0 . 1 8 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 336, + 394, + 349 + ], + "score": 1.0, + "content": ", and a single", + "type": "text" + }, + { + "bbox": [ + 395, + 337, + 434, + 348 + ], + "score": 0.87, + "content": "6 4 0 \\times 4 8 0", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 336, + 505, + 349 + ], + "score": 1.0, + "content": "RGB sensor with", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 348, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 104, + 348, + 113, + 361 + ], + "score": 1.0, + "content": "a", + "type": "text" + }, + { + "bbox": [ + 113, + 348, + 129, + 358 + ], + "score": 0.85, + "content": "7 9 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 348, + 187, + 361 + ], + "score": 1.0, + "content": "HFOV placed", + "type": "text" + }, + { + "bbox": [ + 187, + 348, + 214, + 359 + ], + "score": 0.77, + "content": "0 . 8 8 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 348, + 506, + 361 + ], + "score": 1.0, + "content": "from the ground. Both configurations use the aforementioned step size of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 359, + 291, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 133, + 370 + ], + "score": 0.7, + "content": "0 . 2 5 \\mathrm { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 359, + 271, + 371 + ], + "score": 1.0, + "content": "and left and right turning angle of", + "type": "text" + }, + { + "bbox": [ + 271, + 359, + 287, + 369 + ], + "score": 0.87, + "content": "3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 359, + 291, + 371 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19, + "bbox_fs": [ + 104, + 293, + 506, + 371 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 382, + 503, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 380, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 395 + ], + "score": 1.0, + "content": "Evaluation Datasets. We measure performance on one ImageNav and three ObjectNav datasets:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 380, + 505, + 395 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 401, + 506, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "– ImageNav (Gibson) consists of 4,200 episodes from 14 Gibson [4] validation scenes. The dataset", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 114, + 414, + 396, + 425 + ], + "spans": [ + { + "bbox": [ + 114, + 414, + 396, + 425 + ], + "score": 1.0, + "content": "was produced by Mezghani et al. [33] for agents with configuration A.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 425, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 505, + 437 + ], + "score": 1.0, + "content": "– ObjectNav (Gibson) was generated by Al-Halah et al. [18] for agents with configuration A. The", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 114, + 436, + 479, + 448 + ], + "spans": [ + { + "bbox": [ + 114, + 436, + 479, + 448 + ], + "score": 1.0, + "content": "dataset consists of 1,000 episodes in 5 Gibson [4] validation scenes for 6 object categories.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 111, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 111, + 449, + 505, + 462 + ], + "score": 1.0, + "content": "ObjectNav (HM3D), released with the Habitat 2022 challenge, consists of 2,000 episodes from 20", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 113, + 459, + 507, + 474 + ], + "spans": [ + { + "bbox": [ + 113, + 459, + 507, + 474 + ], + "score": 1.0, + "content": "HM3D [20] validation scenes with objects from 6 categories, and uses agents with configuration B.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 113, + 473, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 113, + 473, + 505, + 484 + ], + "score": 1.0, + "content": "ObjectNav (MP3D) released with the Habitat 2020 challenge, contains 2,195 episodes from 11", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 113, + 483, + 493, + 496 + ], + "spans": [ + { + "bbox": [ + 113, + 483, + 493, + 496 + ], + "score": 1.0, + "content": "MP3D [8] validation scenes for 21 object categories, and requires agents with configuration B.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 401, + 507, + 496 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 503, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 106, + 504, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 505, + 515 + ], + "score": 1.0, + "content": "Due to the different agent configurations required by these evaluation datasets, we train agents with", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 514, + 507, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 507, + 527 + ], + "score": 1.0, + "content": "both settings to make fair comparisons with prior work on zero-shot ObjectNav. For all experiments,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 526, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 505, + 537 + ], + "score": 1.0, + "content": "we report two standard metrics for visual navigation tasks: success rate (SR) and success rate weighted", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 537, + 290, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 290, + 548 + ], + "score": 1.0, + "content": "by normalized inverse path length (SPL) [34].", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5, + "bbox_fs": [ + 106, + 504, + 507, + 548 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 559, + 505, + 658 + ], + "lines": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "Implementation Details. We generate a SemanticNav dataset for each agent configuration (A and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 280, + 583 + ], + "score": 1.0, + "content": "B). The CLIP ResNet-50 encoder processes", + "type": "text" + }, + { + "bbox": [ + 280, + 570, + 324, + 580 + ], + "score": 0.88, + "content": "2 2 4 \\times 2 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 569, + 506, + 583 + ], + "score": 1.0, + "content": "images. Accordingly, for configuration A, we", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 135, + 593 + ], + "score": 1.0, + "content": "render", + "type": "text" + }, + { + "bbox": [ + 135, + 581, + 179, + 591 + ], + "score": 0.69, + "content": "5 1 2 \\times 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 581, + 292, + 593 + ], + "score": 1.0, + "content": "RGB frames, then resize to", + "type": "text" + }, + { + "bbox": [ + 293, + 581, + 337, + 591 + ], + "score": 0.9, + "content": "2 2 4 \\times 2 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 581, + 477, + 593 + ], + "score": 1.0, + "content": ". For configuration B, we render at", + "type": "text" + }, + { + "bbox": [ + 477, + 581, + 505, + 591 + ], + "score": 0.86, + "content": "6 4 0 \\times", + "type": "inline_equation" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "480, then resize and center crop. We train agents using PyTorch [35] and the Habitat simulator [2, 3].", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 603, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 615 + ], + "score": 1.0, + "content": "Each training run was conducted on a single compute node with 8 NVIDIA A40 GPUs. We train", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 236, + 626 + ], + "score": 1.0, + "content": "agents for 500M steps, requiring", + "type": "text" + }, + { + "bbox": [ + 237, + 614, + 268, + 624 + ], + "score": 0.85, + "content": "\\mathord { \\sim } 1 , 7 0 4", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "GPU-hours to train two agents (one for each configuration).", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "score": 1.0, + "content": "Additional training hyperparamters are detailed in the Appendix. We report results using the best", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "score": 1.0, + "content": "checkpoint, selected based on ObjectNav validation success rate (SR). During evaluations we sample", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 646, + 501, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 501, + 659 + ], + "score": 1.0, + "content": "actions from the agent’s output distribution. We report results averaged over three evaluation runs.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 558, + 506, + 659 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 669, + 504, + 691 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 683 + ], + "score": 1.0, + "content": "Baselines. We provide comparisons with the, to the best of our knowledge, only two existing", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 680, + 347, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 347, + 693 + ], + "score": 1.0, + "content": "zero-shot methods for object-goal navigation (ObjectNav):", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 667, + 505, + 693 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 104, + 698, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 104, + 698, + 505, + 713 + ], + "score": 1.0, + "content": "– Zero Experience Required (ZER) [18]: first trains an ImageNav agent composed of two ResNet-9", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 114, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 114, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "encoders for processing the goal-image and agent observations, and a policy network consisting of", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 113, + 287, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 113, + 287, + 506, + 301 + ], + "score": 1.0, + "content": "a 2-layer GRU. After training the navigation policy, a 2-layer MLP is trained to map from a goal", + "type": "text", + "cross_page": true + } + ], + "index": 19 + }, + { + "bbox": [ + 114, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 114, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "object categories into the goal-image embedding space learned through ImageNav training. This", + "type": "text", + "cross_page": true + } + ], + "index": 20 + }, + { + "bbox": [ + 113, + 310, + 506, + 322 + ], + "spans": [ + { + "bbox": [ + 113, + 310, + 506, + 322 + ], + "score": 1.0, + "content": "mapping is learned using an in-domain dataset containing 14K images with object category labels.", + "type": "text", + "cross_page": true + } + ], + "index": 21 + } + ], + "index": 47.5, + "bbox_fs": [ + 104, + 698, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 162, + 299, + 238 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 506, + 154 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 506, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 506, + 90 + ], + "score": 1.0, + "content": "Table 1: Zero-shot ObjectNav performance on Gibson [4], HM3D [20], and MP3D [8] validation.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "score": 1.0, + "content": "All methods use a single RGB sensor for agent observations except CoW [21], which also uses depth", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 99, + 506, + 111 + ], + "spans": [ + { + "bbox": [ + 106, + 99, + 280, + 111 + ], + "score": 1.0, + "content": "observations and OVRL [16], which uses", + "type": "text" + }, + { + "bbox": [ + 280, + 100, + 303, + 110 + ], + "score": 0.31, + "content": "\\mathtt { G P S + }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 99, + 506, + 111 + ], + "score": 1.0, + "content": "Compass for ObjectNav. Our approach (ZSON)", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 505, + 123 + ], + "score": 1.0, + "content": "substantially improves on previous zero-shot methods and narrows the gap to SOTA fully-supervised", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 121, + 506, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 506, + 133 + ], + "score": 1.0, + "content": "methods such as OVRL [16], which is not zero-shot and provided for reference. We report ZSON", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 144 + ], + "score": 1.0, + "content": "results averaged over three evaluation trials. The standard deviation in ZSON ObjectNav SR is", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 142, + 456, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 143, + 133, + 153 + ], + "score": 0.85, + "content": "0 . 0 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 142, + 178, + 155 + ], + "score": 1.0, + "content": "in Gibson,", + "type": "text" + }, + { + "bbox": [ + 179, + 143, + 206, + 153 + ], + "score": 0.86, + "content": "0 . 4 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 142, + 267, + 155 + ], + "score": 1.0, + "content": "in HM3D, and", + "type": "text" + }, + { + "bbox": [ + 267, + 143, + 294, + 153 + ], + "score": 0.87, + "content": "0 . 1 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 142, + 456, + 155 + ], + "score": 1.0, + "content": "in MP3D. ∗indicates reproduced results", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "table_body", + "bbox": [ + 108, + 162, + 299, + 238 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 162, + 299, + 238 + ], + "spans": [ + { + "bbox": [ + 108, + 162, + 299, + 238 + ], + "score": 0.975, + "html": "
ImageNav (Gibson)ObjectNav (Gibson)
MethodSPLSRSPLsr
OVRL [16]27.0%54.2%
ZER [18]21.6%29.2%11.3%
ZSON (ours)28.0%36.9%12.0%31.3%
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ObjectNav (HM3D)ObjectNav (MP3D)
MethodSPLSrSPLSr
OVRL [16]12.3%*32.8%*7.0%25.3%
CoW [21] (w/depth)--6.3%11.1%
ZSON (ours)12.6%25.5%4.8% 15.3%
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After training the navigation policy, a 2-layer MLP is trained to map from a goal", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 114, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 114, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "object categories into the goal-image embedding space learned through ImageNav training. This", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 113, + 310, + 506, + 322 + ], + "spans": [ + { + "bbox": [ + 113, + 310, + 506, + 322 + ], + "score": 1.0, + "content": "mapping is learned using an in-domain dataset containing 14K images with object category labels.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 105, + 325, + 505, + 381 + ], + "lines": [ + { + "bbox": [ + 107, + 325, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 107, + 325, + 505, + 339 + ], + "score": 1.0, + "content": "– CLIP on Wheels (CoW) [21]: builds an occupancy map by projecting depth observations, then", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 114, + 337, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 114, + 337, + 505, + 348 + ], + "score": 1.0, + "content": "searches the environment with frontier-based exploration [36]. At each step, CoW calculates a 3D", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 115, + 348, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 115, + 348, + 506, + 360 + ], + "score": 1.0, + "content": "saliency map using a depth and RGB observations and the goal object category via Grad-CAM [26],", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 113, + 358, + 506, + 372 + ], + "spans": [ + { + "bbox": [ + 113, + 358, + 506, + 372 + ], + "score": 1.0, + "content": "a gradient-based visualization technique. When the 3D saliency exceeds a threshold the agent", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 114, + 369, + 499, + 383 + ], + "spans": [ + { + "bbox": [ + 114, + 369, + 499, + 383 + ], + "score": 1.0, + "content": "navigates to that location and stops. As such, CoW does not require a learned navigation policy.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 399, + 505, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 505, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 413 + ], + "score": 1.0, + "content": "Fully-Supervised ObjectNav. To understand the gap to fully-supervised ObjectNav methods, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "compare with OVRL [16], a two-stage framework that achieves state-of-the-art ObjectNav results in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 421, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 506, + 434 + ], + "score": 1.0, + "content": "our single RGB camera setting. We highlight OVRL in blue to indicate the use of direct supervision.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 108, + 452, + 277, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 451, + 278, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 278, + 468 + ], + "score": 1.0, + "content": "5.2 Zero-Shot Object-Goal Navigation", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 475, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 476, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 488 + ], + "score": 1.0, + "content": "In Table 1 we report zero-shot ObjectNav performance. We compare with ZER [18] in Table 1a", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 487, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 499 + ], + "score": 1.0, + "content": "using agent configuration A. Notice that our agent is stronger than ZER on ImageNav, which is the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 427, + 510 + ], + "score": 1.0, + "content": "base pretraining task before ObjectNav can be studied. Specifically, we observe a", + "type": "text" + }, + { + "bbox": [ + 428, + 498, + 450, + 509 + ], + "score": 0.85, + "content": "7 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "improvement", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 178, + 522 + ], + "score": 1.0, + "content": "in ImageNav SR", + "type": "text" + }, + { + "bbox": [ + 179, + 509, + 253, + 520 + ], + "score": 0.89, + "content": "( 2 9 . 2 \\% 3 6 . 9 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 508, + 506, + 522 + ], + "score": 1.0, + "content": ". This improvement results from (1) learning to navigate to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "score": 1.0, + "content": "semantic goal embeddings (as proposed in this work) instead of navigating to image-goal embeddings", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "score": 1.0, + "content": "that are learned from scratch (as done in ZER), (2) using more diverse training environments, and (3)", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 541, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 554 + ], + "score": 1.0, + "content": "from using a pretrained visual encoder. We provide additional comparisons with ZER using the same", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "score": 1.0, + "content": "set of training environments and without using visual encoder pretraining in Section 5.3, where we", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 563, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 505, + 576 + ], + "score": 1.0, + "content": "also observe improved performance. In Table 1a, we see even larger improvements in ObjectNav SR", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 573, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 117, + 588 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 574, + 145, + 585 + ], + "score": 0.86, + "content": "2 0 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 574, + 219, + 585 + ], + "score": 0.89, + "content": "1 1 . 3 \\% 3 1 . 3 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 573, + 506, + 588 + ], + "score": 1.0, + "content": ". These results indicate that our design decisions are particularly useful", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 585, + 213, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 213, + 598 + ], + "score": 1.0, + "content": "for zero-shot ObjectNav.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "score": 1.0, + "content": "In Table 1b we compare with CoW [21] using agent configuration B. In ObjectNav on the MP3D", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 612, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 447, + 626 + ], + "score": 1.0, + "content": "validation set, we find that training a SemanticNav agent improves ObjectNav SR by", + "type": "text" + }, + { + "bbox": [ + 447, + 613, + 469, + 623 + ], + "score": 0.9, + "content": "4 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 612, + 505, + 626 + ], + "score": 1.0, + "content": "absolute", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 622, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 123, + 637 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 623, + 151, + 634 + ], + "score": 0.87, + "content": "3 7 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 622, + 187, + 637 + ], + "score": 1.0, + "content": "relative", + "type": "text" + }, + { + "bbox": [ + 188, + 624, + 258, + 635 + ], + "score": 0.9, + "content": "1 1 . 1 \\% 1 5 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 622, + 505, + 637 + ], + "score": 1.0, + "content": "). These results demonstrate that learning a navigation policy", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 634, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 648 + ], + "score": 1.0, + "content": "improves zero-shot ObjectNav SR over the hand-designed exploration strategy and stopping criteria", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 645, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 157, + 659 + ], + "score": 1.0, + "content": "proposed by", + "type": "text" + }, + { + "bbox": [ + 157, + 645, + 179, + 656 + ], + "score": 0.29, + "content": "\\mathbf { \\mathrm { C o W } } .", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 645, + 506, + 659 + ], + "score": 1.0, + "content": "Moreover, we expect further improvements in zero-shot ObjectNav performance", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 656, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 670 + ], + "score": 1.0, + "content": "from scaling our approach (e.g., by collecting more training environments). Such scaling is simply", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 282, + 680 + ], + "score": 1.0, + "content": "not possible with heuristic methods such as", + "type": "text" + }, + { + "bbox": [ + 282, + 667, + 305, + 677 + ], + "score": 0.26, + "content": "\\mathbf { \\mathrm { C o W } }", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "because the navigation policy is not learned. The", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 201, + 691 + ], + "score": 1.0, + "content": "SPL of our approach is", + "type": "text" + }, + { + "bbox": [ + 201, + 678, + 223, + 689 + ], + "score": 0.86, + "content": "1 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "lower than CoW. However, unlike CoW, our agent navigates without", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "depth observations, which may reduce path efficiency. On HM3D we find that our agent achieves a", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 157, + 712 + ], + "score": 1.0, + "content": "strong SR of", + "type": "text" + }, + { + "bbox": [ + 158, + 700, + 185, + 711 + ], + "score": 0.88, + "content": "2 5 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 700, + 232, + 712 + ], + "score": 1.0, + "content": "and SPL of", + "type": "text" + }, + { + "bbox": [ + 232, + 700, + 258, + 711 + ], + "score": 0.86, + "content": "12 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 700, + 505, + 712 + ], + "score": 1.0, + "content": ". Impressively, this zero-shot SPL matches OVRL [16], which", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 189, + 723 + ], + "score": 1.0, + "content": "is directly trained on", + "type": "text" + }, + { + "bbox": [ + 189, + 711, + 206, + 721 + ], + "score": 0.45, + "content": "4 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "human demonstrations [10] for the ObjectNav task with imitation learning.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 47 + } + ], + "page_idx": 6, + "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": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 162, + 299, + 238 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 506, + 154 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 506, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 506, + 90 + ], + "score": 1.0, + "content": "Table 1: Zero-shot ObjectNav performance on Gibson [4], HM3D [20], and MP3D [8] validation.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "score": 1.0, + "content": "All methods use a single RGB sensor for agent observations except CoW [21], which also uses depth", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 99, + 506, + 111 + ], + "spans": [ + { + "bbox": [ + 106, + 99, + 280, + 111 + ], + "score": 1.0, + "content": "observations and OVRL [16], which uses", + "type": "text" + }, + { + "bbox": [ + 280, + 100, + 303, + 110 + ], + "score": 0.31, + "content": "\\mathtt { G P S + }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 99, + 506, + 111 + ], + "score": 1.0, + "content": "Compass for ObjectNav. Our approach (ZSON)", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 505, + 123 + ], + "score": 1.0, + "content": "substantially improves on previous zero-shot methods and narrows the gap to SOTA fully-supervised", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 121, + 506, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 506, + 133 + ], + "score": 1.0, + "content": "methods such as OVRL [16], which is not zero-shot and provided for reference. We report ZSON", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 144 + ], + "score": 1.0, + "content": "results averaged over three evaluation trials. The standard deviation in ZSON ObjectNav SR is", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 142, + 456, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 143, + 133, + 153 + ], + "score": 0.85, + "content": "0 . 0 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 142, + 178, + 155 + ], + "score": 1.0, + "content": "in Gibson,", + "type": "text" + }, + { + "bbox": [ + 179, + 143, + 206, + 153 + ], + "score": 0.86, + "content": "0 . 4 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 142, + 267, + 155 + ], + "score": 1.0, + "content": "in HM3D, and", + "type": "text" + }, + { + "bbox": [ + 267, + 143, + 294, + 153 + ], + "score": 0.87, + "content": "0 . 1 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 142, + 456, + 155 + ], + "score": 1.0, + "content": "in MP3D. ∗indicates reproduced results", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "table_body", + "bbox": [ + 108, + 162, + 299, + 238 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 162, + 299, + 238 + ], + "spans": [ + { + "bbox": [ + 108, + 162, + 299, + 238 + ], + "score": 0.975, + "html": "
ImageNav (Gibson)ObjectNav (Gibson)
MethodSPLSRSPLsr
OVRL [16]27.0%54.2%
ZER [18]21.6%29.2%11.3%
ZSON (ours)28.0%36.9%12.0%31.3%
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ObjectNav (HM3D)ObjectNav (MP3D)
MethodSPLSrSPLSr
OVRL [16]12.3%*32.8%*7.0%25.3%
CoW [21] (w/depth)--6.3%11.1%
ZSON (ours)12.6%25.5%4.8% 15.3%
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At each step, CoW calculates a 3D", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 115, + 348, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 115, + 348, + 506, + 360 + ], + "score": 1.0, + "content": "saliency map using a depth and RGB observations and the goal object category via Grad-CAM [26],", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 113, + 358, + 506, + 372 + ], + "spans": [ + { + "bbox": [ + 113, + 358, + 506, + 372 + ], + "score": 1.0, + "content": "a gradient-based visualization technique. When the 3D saliency exceeds a threshold the agent", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 114, + 369, + 499, + 383 + ], + "spans": [ + { + "bbox": [ + 114, + 369, + 499, + 383 + ], + "score": 1.0, + "content": "navigates to that location and stops. As such, CoW does not require a learned navigation policy.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24, + "bbox_fs": [ + 107, + 325, + 506, + 383 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 399, + 505, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 505, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 413 + ], + "score": 1.0, + "content": "Fully-Supervised ObjectNav. To understand the gap to fully-supervised ObjectNav methods, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "compare with OVRL [16], a two-stage framework that achieves state-of-the-art ObjectNav results in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 421, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 506, + 434 + ], + "score": 1.0, + "content": "our single RGB camera setting. We highlight OVRL in blue to indicate the use of direct supervision.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 398, + 506, + 434 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 452, + 277, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 451, + 278, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 278, + 468 + ], + "score": 1.0, + "content": "5.2 Zero-Shot Object-Goal Navigation", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 475, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 476, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 488 + ], + "score": 1.0, + "content": "In Table 1 we report zero-shot ObjectNav performance. We compare with ZER [18] in Table 1a", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 487, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 499 + ], + "score": 1.0, + "content": "using agent configuration A. Notice that our agent is stronger than ZER on ImageNav, which is the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 427, + 510 + ], + "score": 1.0, + "content": "base pretraining task before ObjectNav can be studied. Specifically, we observe a", + "type": "text" + }, + { + "bbox": [ + 428, + 498, + 450, + 509 + ], + "score": 0.85, + "content": "7 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "improvement", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 178, + 522 + ], + "score": 1.0, + "content": "in ImageNav SR", + "type": "text" + }, + { + "bbox": [ + 179, + 509, + 253, + 520 + ], + "score": 0.89, + "content": "( 2 9 . 2 \\% 3 6 . 9 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 508, + 506, + 522 + ], + "score": 1.0, + "content": ". This improvement results from (1) learning to navigate to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "score": 1.0, + "content": "semantic goal embeddings (as proposed in this work) instead of navigating to image-goal embeddings", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "score": 1.0, + "content": "that are learned from scratch (as done in ZER), (2) using more diverse training environments, and (3)", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 541, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 554 + ], + "score": 1.0, + "content": "from using a pretrained visual encoder. We provide additional comparisons with ZER using the same", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "score": 1.0, + "content": "set of training environments and without using visual encoder pretraining in Section 5.3, where we", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 563, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 505, + 576 + ], + "score": 1.0, + "content": "also observe improved performance. In Table 1a, we see even larger improvements in ObjectNav SR", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 573, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 117, + 588 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 574, + 145, + 585 + ], + "score": 0.86, + "content": "2 0 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 574, + 219, + 585 + ], + "score": 0.89, + "content": "1 1 . 3 \\% 3 1 . 3 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 573, + 506, + 588 + ], + "score": 1.0, + "content": ". These results indicate that our design decisions are particularly useful", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 585, + 213, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 213, + 598 + ], + "score": 1.0, + "content": "for zero-shot ObjectNav.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 476, + 506, + 598 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "score": 1.0, + "content": "In Table 1b we compare with CoW [21] using agent configuration B. In ObjectNav on the MP3D", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 612, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 447, + 626 + ], + "score": 1.0, + "content": "validation set, we find that training a SemanticNav agent improves ObjectNav SR by", + "type": "text" + }, + { + "bbox": [ + 447, + 613, + 469, + 623 + ], + "score": 0.9, + "content": "4 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 612, + 505, + 626 + ], + "score": 1.0, + "content": "absolute", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 622, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 123, + 637 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 623, + 151, + 634 + ], + "score": 0.87, + "content": "3 7 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 622, + 187, + 637 + ], + "score": 1.0, + "content": "relative", + "type": "text" + }, + { + "bbox": [ + 188, + 624, + 258, + 635 + ], + "score": 0.9, + "content": "1 1 . 1 \\% 1 5 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 622, + 505, + 637 + ], + "score": 1.0, + "content": "). These results demonstrate that learning a navigation policy", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 634, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 648 + ], + "score": 1.0, + "content": "improves zero-shot ObjectNav SR over the hand-designed exploration strategy and stopping criteria", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 645, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 157, + 659 + ], + "score": 1.0, + "content": "proposed by", + "type": "text" + }, + { + "bbox": [ + 157, + 645, + 179, + 656 + ], + "score": 0.29, + "content": "\\mathbf { \\mathrm { C o W } } .", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 645, + 506, + 659 + ], + "score": 1.0, + "content": "Moreover, we expect further improvements in zero-shot ObjectNav performance", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 656, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 670 + ], + "score": 1.0, + "content": "from scaling our approach (e.g., by collecting more training environments). Such scaling is simply", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 282, + 680 + ], + "score": 1.0, + "content": "not possible with heuristic methods such as", + "type": "text" + }, + { + "bbox": [ + 282, + 667, + 305, + 677 + ], + "score": 0.26, + "content": "\\mathbf { \\mathrm { C o W } }", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "because the navigation policy is not learned. The", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 201, + 691 + ], + "score": 1.0, + "content": "SPL of our approach is", + "type": "text" + }, + { + "bbox": [ + 201, + 678, + 223, + 689 + ], + "score": 0.86, + "content": "1 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "lower than CoW. However, unlike CoW, our agent navigates without", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "depth observations, which may reduce path efficiency. On HM3D we find that our agent achieves a", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 157, + 712 + ], + "score": 1.0, + "content": "strong SR of", + "type": "text" + }, + { + "bbox": [ + 158, + 700, + 185, + 711 + ], + "score": 0.88, + "content": "2 5 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 700, + 232, + 712 + ], + "score": 1.0, + "content": "and SPL of", + "type": "text" + }, + { + "bbox": [ + 232, + 700, + 258, + 711 + ], + "score": 0.86, + "content": "12 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 700, + 505, + 712 + ], + "score": 1.0, + "content": ". Impressively, this zero-shot SPL matches OVRL [16], which", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 189, + 723 + ], + "score": 1.0, + "content": "is directly trained on", + "type": "text" + }, + { + "bbox": [ + 189, + 711, + 206, + 721 + ], + "score": 0.45, + "content": "4 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "human demonstrations [10] for the ObjectNav task with imitation learning.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 602, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 72, + 504, + 85 + ], + "lines": [ + { + "bbox": [ + 105, + 70, + 504, + 88 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 504, + 88 + ], + "score": 1.0, + "content": "5.3 Comparison with ZER without Encoder Pretraining and Training Environment Diversity", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 92, + 505, + 170 + ], + "lines": [ + { + "bbox": [ + 105, + 91, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 506, + 106 + ], + "score": 1.0, + "content": "In Table 2, we train our approach in Gibson environments (instead of HM3D) and do not use a", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "score": 1.0, + "content": "pretrained observation encoder. These settings match ZER [18], allowing for a direct comparison", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 377, + 127 + ], + "score": 1.0, + "content": "between the two methods. We observe that our approach results in a", + "type": "text" + }, + { + "bbox": [ + 378, + 115, + 399, + 125 + ], + "score": 0.86, + "content": "4 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 114, + 452, + 127 + ], + "score": 1.0, + "content": "absolute and", + "type": "text" + }, + { + "bbox": [ + 453, + 115, + 472, + 125 + ], + "score": 0.86, + "content": "3 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 114, + 505, + 127 + ], + "score": 1.0, + "content": "relative", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 506, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 300, + 137 + ], + "score": 1.0, + "content": "improvement in zero-shot ObjectNav success", + "type": "text" + }, + { + "bbox": [ + 300, + 126, + 372, + 136 + ], + "score": 0.89, + "content": "1 1 . 3 \\% 1 5 . 3 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 125, + 506, + 137 + ], + "score": 1.0, + "content": ". These results demonstrate that", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 135, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 104, + 135, + 505, + 150 + ], + "score": 1.0, + "content": "learning to navigate to semantic-goal embeddings outperforms the inverse approach proposed by", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 146, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 146, + 506, + 161 + ], + "score": 1.0, + "content": "ZER of first training for image-goal navigation, then learning a mapping from object categories into", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 158, + 243, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 243, + 171 + ], + "score": 1.0, + "content": "the image-goal embedding space.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4 + }, + { + "type": "table", + "bbox": [ + 185, + 216, + 423, + 289 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 105, + 185, + 504, + 208 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 185, + 504, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 185, + 504, + 198 + ], + "score": 1.0, + "content": "Table 2: Comparison with ZER [18] using a ResNet-9 and the Gibson dataset with our approach.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 196, + 504, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 504, + 209 + ], + "score": 1.0, + "content": "Learning SemanticNav (Ours) outperforms learning ImageNav then language grounding (ZER [18]).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "table_body", + "bbox": [ + 185, + 216, + 423, + 289 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 185, + 216, + 423, + 289 + ], + "spans": [ + { + "bbox": [ + 185, + 216, + 423, + 289 + ], + "score": 0.978, + "html": "
ImageNav (Gibson)ObjectNav (Gibson)
MethodVisual EncoderTraining DatasetSPLSRSPLSR
ZER [18]ResNet-9Gibson21.6%29.2%■11.3%
OursResNet-9Gibson22.8%33.3%7.4%15.3%
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While pretraining the visual", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 346, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 506, + 361 + ], + "score": 1.0, + "content": "observation encoder is known to improve visual navigation task performance (demonstrated in [16]),", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 357, + 506, + 372 + ], + "spans": [ + { + "bbox": [ + 104, + 357, + 506, + 372 + ], + "score": 1.0, + "content": "here we study the impacts on zero-shot transfer to ObjectNav. We find that OVRL pretraining", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 369, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 234, + 381 + ], + "score": 1.0, + "content": "improves ImageNav success by", + "type": "text" + }, + { + "bbox": [ + 234, + 369, + 256, + 380 + ], + "score": 0.86, + "content": "4 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 369, + 324, + 381 + ], + "score": 1.0, + "content": "(rows 1 vs. 3) or", + "type": "text" + }, + { + "bbox": [ + 325, + 369, + 347, + 380 + ], + "score": 0.86, + "content": "5 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 369, + 506, + 381 + ], + "score": 1.0, + "content": "(rows 2 vs. 4) depending on the dataset", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 379, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 506, + 393 + ], + "score": 1.0, + "content": "used for training. However, the impact on zero-shot ObjectNav performance is substantially larger.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 391, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 391, + 292, + 403 + ], + "score": 1.0, + "content": "Specifically, ObjectNav success improves by", + "type": "text" + }, + { + "bbox": [ + 292, + 391, + 315, + 402 + ], + "score": 0.86, + "content": "9 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 391, + 390, + 403 + ], + "score": 1.0, + "content": "(rows 1 vs. 3) and", + "type": "text" + }, + { + "bbox": [ + 390, + 391, + 417, + 402 + ], + "score": 0.86, + "content": "1 0 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 391, + 505, + 403 + ], + "score": 1.0, + "content": "(rows 2 vs. 4). These", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 402, + 497, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 497, + 414 + ], + "score": 1.0, + "content": "results suggest that a strong visual encoder is often essential for zero-shot transfer to ObjectNav.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 418, + 505, + 474 + ], + "lines": [ + { + "bbox": [ + 106, + 419, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 506, + 430 + ], + "score": 1.0, + "content": "In rows 3 vs. 4, we switch the training dataset from the 72 Gibson [4] training environments (row 3)", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 429, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 451, + 442 + ], + "score": 1.0, + "content": "to the 800 (unannotated) HM3D [20] training environments. Surprisingly, we observe a", + "type": "text" + }, + { + "bbox": [ + 452, + 429, + 473, + 440 + ], + "score": 0.86, + "content": "0 . 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 429, + 505, + 442 + ], + "score": 1.0, + "content": "drop in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 206, + 452 + ], + "score": 1.0, + "content": "ImageNav success, yet a", + "type": "text" + }, + { + "bbox": [ + 206, + 440, + 228, + 451 + ], + "score": 0.86, + "content": "6 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 440, + 505, + 452 + ], + "score": 1.0, + "content": "improvement in ObjectNav success (rows 3 vs. 4). A similar trend is", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 450, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 505, + 464 + ], + "score": 1.0, + "content": "observed in rows 1 vs. 2. These trends indicate that training environment diversity is particularly", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 461, + 239, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 239, + 474 + ], + "score": 1.0, + "content": "useful for zero-shot ObjectNav.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26 + }, + { + "type": "table", + "bbox": [ + 145, + 509, + 463, + 619 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 109, + 489, + 497, + 501 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 111, + 487, + 498, + 502 + ], + "spans": [ + { + "bbox": [ + 111, + 487, + 498, + 502 + ], + "score": 1.0, + "content": "Table 3: Ablations of the visual encoder and dataset used for training our SemanticNav agents.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "table_body", + "bbox": [ + 145, + 509, + 463, + 619 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 145, + 509, + 463, + 619 + ], + "spans": [ + { + "bbox": [ + 145, + 509, + 463, + 619 + ], + "score": 0.981, + "html": "
ImageNav (Gibson)ObjectNav (Gibson)
#Visual EncoderTraining DatasetSPLSRSPLSr
1ResNet-9 from scratchGibson22.8%33.3%7.4%15.3%
2ResNet-9 from scratchHM3D23.4%31.1%9.5%20.9%
3OVRL (ResNet-50,pretrained)Gibson27.6%37.8%10.0%24.7%
4OVRL (ResNet-50, pretrained)HM3D28.0%36.9%12.0% 31.3%
", + "type": "table", + "image_path": "7af9c6d13b03535b1ae895a841c043bd6da81af0553628c0120a63df271371f0.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 145, + 509, + 463, + 545.6666666666666 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 145, + 545.6666666666666, + 463, + 582.3333333333333 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 145, + 582.3333333333333, + 463, + 618.9999999999999 + ], + "spans": [], + "index": 32 + } + ] + } + ], + "index": 30.0 + }, + { + "type": "title", + "bbox": [ + 107, + 636, + 217, + 648 + ], + "lines": [ + { + "bbox": [ + 105, + 635, + 218, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 218, + 650 + ], + "score": 1.0, + "content": "5.5 Qualitative Analysis", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "In Fig. 3, we present qualitative examples of our agent navigating to more complex object descriptions", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 666, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 104, + 666, + 130, + 681 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 131, + 667, + 228, + 678 + ], + "score": 0.56, + "content": "^ { \\ast \\ast } F i n d a b a t h r o o m s i n k ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 666, + 506, + 681 + ], + "score": 1.0, + "content": ". In each trial, the agent starts at the same position and heading (next", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 678, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 689 + ], + "score": 1.0, + "content": "to the front door looking into the house). The only thing that changes about the initial conditions", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 687, + 504, + 701 + ], + "spans": [ + { + "bbox": [ + 104, + 687, + 384, + 701 + ], + "score": 1.0, + "content": "is the instructions given to the agent (“Find a...” “...bathroom sink”,", + "type": "text" + }, + { + "bbox": [ + 389, + 689, + 449, + 699 + ], + "score": 1.0, + "content": "“...kitchen sink”", + "type": "text" + }, + { + "bbox": [ + 467, + 690, + 504, + 699 + ], + "score": 1.0, + "content": ".sink and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "a toilet”, or “...sink and a stove”). Since the agent’s policy is stochastic, we show 5 sampled rollouts", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 711, + 270, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 270, + 722 + ], + "score": 1.0, + "content": "and highlight the first run in bold colors.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5 + } + ], + "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, + 72, + 504, + 85 + ], + "lines": [ + { + "bbox": [ + 105, + 70, + 504, + 88 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 504, + 88 + ], + "score": 1.0, + "content": "5.3 Comparison with ZER without Encoder Pretraining and Training Environment Diversity", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 92, + 505, + 170 + ], + "lines": [ + { + "bbox": [ + 105, + 91, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 506, + 106 + ], + "score": 1.0, + "content": "In Table 2, we train our approach in Gibson environments (instead of HM3D) and do not use a", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "score": 1.0, + "content": "pretrained observation encoder. These settings match ZER [18], allowing for a direct comparison", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 377, + 127 + ], + "score": 1.0, + "content": "between the two methods. We observe that our approach results in a", + "type": "text" + }, + { + "bbox": [ + 378, + 115, + 399, + 125 + ], + "score": 0.86, + "content": "4 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 114, + 452, + 127 + ], + "score": 1.0, + "content": "absolute and", + "type": "text" + }, + { + "bbox": [ + 453, + 115, + 472, + 125 + ], + "score": 0.86, + "content": "3 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 114, + 505, + 127 + ], + "score": 1.0, + "content": "relative", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 506, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 300, + 137 + ], + "score": 1.0, + "content": "improvement in zero-shot ObjectNav success", + "type": "text" + }, + { + "bbox": [ + 300, + 126, + 372, + 136 + ], + "score": 0.89, + "content": "1 1 . 3 \\% 1 5 . 3 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 125, + 506, + 137 + ], + "score": 1.0, + "content": ". These results demonstrate that", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 135, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 104, + 135, + 505, + 150 + ], + "score": 1.0, + "content": "learning to navigate to semantic-goal embeddings outperforms the inverse approach proposed by", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 146, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 146, + 506, + 161 + ], + "score": 1.0, + "content": "ZER of first training for image-goal navigation, then learning a mapping from object categories into", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 158, + 243, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 243, + 171 + ], + "score": 1.0, + "content": "the image-goal embedding space.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4, + "bbox_fs": [ + 104, + 91, + 506, + 171 + ] + }, + { + "type": "table", + "bbox": [ + 185, + 216, + 423, + 289 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 105, + 185, + 504, + 208 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 185, + 504, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 185, + 504, + 198 + ], + "score": 1.0, + "content": "Table 2: Comparison with ZER [18] using a ResNet-9 and the Gibson dataset with our approach.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 196, + 504, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 504, + 209 + ], + "score": 1.0, + "content": "Learning SemanticNav (Ours) outperforms learning ImageNav then language grounding (ZER [18]).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "table_body", + "bbox": [ + 185, + 216, + 423, + 289 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 185, + 216, + 423, + 289 + ], + "spans": [ + { + "bbox": [ + 185, + 216, + 423, + 289 + ], + "score": 0.978, + "html": "
ImageNav (Gibson)ObjectNav (Gibson)
MethodVisual EncoderTraining DatasetSPLSRSPLSR
ZER [18]ResNet-9Gibson21.6%29.2%■11.3%
OursResNet-9Gibson22.8%33.3%7.4%15.3%
", + "type": "table", + "image_path": "fe005e2fed223305b0f0b937d46d1290ccc1fab40365622b819c3005cb8e9372.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 185, + 216, + 423, + 230.6 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 185, + 230.6, + 423, + 245.2 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 185, + 245.2, + 423, + 259.8 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 185, + 259.8, + 423, + 274.40000000000003 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 185, + 274.40000000000003, + 423, + 289.00000000000006 + ], + "spans": [], + "index": 14 + } + ] + } + ], + "index": 10.25 + }, + { + "type": "title", + "bbox": [ + 107, + 305, + 219, + 317 + ], + "lines": [ + { + "bbox": [ + 106, + 305, + 220, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 220, + 318 + ], + "score": 1.0, + "content": "5.4 Additional Ablations", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 325, + 505, + 414 + ], + "lines": [ + { + "bbox": [ + 105, + 324, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 505, + 338 + ], + "score": 1.0, + "content": "In Table 3, we study the impact of two key design decisions within our method: (1) the visual", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 336, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 506, + 348 + ], + "score": 1.0, + "content": "observation encoder and (2) the number of training environments. While pretraining the visual", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 346, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 506, + 361 + ], + "score": 1.0, + "content": "observation encoder is known to improve visual navigation task performance (demonstrated in [16]),", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 357, + 506, + 372 + ], + "spans": [ + { + "bbox": [ + 104, + 357, + 506, + 372 + ], + "score": 1.0, + "content": "here we study the impacts on zero-shot transfer to ObjectNav. We find that OVRL pretraining", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 369, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 234, + 381 + ], + "score": 1.0, + "content": "improves ImageNav success by", + "type": "text" + }, + { + "bbox": [ + 234, + 369, + 256, + 380 + ], + "score": 0.86, + "content": "4 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 369, + 324, + 381 + ], + "score": 1.0, + "content": "(rows 1 vs. 3) or", + "type": "text" + }, + { + "bbox": [ + 325, + 369, + 347, + 380 + ], + "score": 0.86, + "content": "5 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 369, + 506, + 381 + ], + "score": 1.0, + "content": "(rows 2 vs. 4) depending on the dataset", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 379, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 506, + 393 + ], + "score": 1.0, + "content": "used for training. However, the impact on zero-shot ObjectNav performance is substantially larger.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 391, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 391, + 292, + 403 + ], + "score": 1.0, + "content": "Specifically, ObjectNav success improves by", + "type": "text" + }, + { + "bbox": [ + 292, + 391, + 315, + 402 + ], + "score": 0.86, + "content": "9 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 391, + 390, + 403 + ], + "score": 1.0, + "content": "(rows 1 vs. 3) and", + "type": "text" + }, + { + "bbox": [ + 390, + 391, + 417, + 402 + ], + "score": 0.86, + "content": "1 0 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 391, + 505, + 403 + ], + "score": 1.0, + "content": "(rows 2 vs. 4). These", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 402, + 497, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 497, + 414 + ], + "score": 1.0, + "content": "results suggest that a strong visual encoder is often essential for zero-shot transfer to ObjectNav.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19.5, + "bbox_fs": [ + 104, + 324, + 506, + 414 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 418, + 505, + 474 + ], + "lines": [ + { + "bbox": [ + 106, + 419, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 506, + 430 + ], + "score": 1.0, + "content": "In rows 3 vs. 4, we switch the training dataset from the 72 Gibson [4] training environments (row 3)", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 429, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 451, + 442 + ], + "score": 1.0, + "content": "to the 800 (unannotated) HM3D [20] training environments. Surprisingly, we observe a", + "type": "text" + }, + { + "bbox": [ + 452, + 429, + 473, + 440 + ], + "score": 0.86, + "content": "0 . 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 429, + 505, + 442 + ], + "score": 1.0, + "content": "drop in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 206, + 452 + ], + "score": 1.0, + "content": "ImageNav success, yet a", + "type": "text" + }, + { + "bbox": [ + 206, + 440, + 228, + 451 + ], + "score": 0.86, + "content": "6 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 440, + 505, + 452 + ], + "score": 1.0, + "content": "improvement in ObjectNav success (rows 3 vs. 4). A similar trend is", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 450, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 505, + 464 + ], + "score": 1.0, + "content": "observed in rows 1 vs. 2. These trends indicate that training environment diversity is particularly", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 461, + 239, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 239, + 474 + ], + "score": 1.0, + "content": "useful for zero-shot ObjectNav.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 419, + 506, + 474 + ] + }, + { + "type": "table", + "bbox": [ + 145, + 509, + 463, + 619 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 109, + 489, + 497, + 501 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 111, + 487, + 498, + 502 + ], + "spans": [ + { + "bbox": [ + 111, + 487, + 498, + 502 + ], + "score": 1.0, + "content": "Table 3: Ablations of the visual encoder and dataset used for training our SemanticNav agents.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "table_body", + "bbox": [ + 145, + 509, + 463, + 619 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 145, + 509, + 463, + 619 + ], + "spans": [ + { + "bbox": [ + 145, + 509, + 463, + 619 + ], + "score": 0.981, + "html": "
ImageNav (Gibson)ObjectNav (Gibson)
#Visual EncoderTraining DatasetSPLSRSPLSr
1ResNet-9 from scratchGibson22.8%33.3%7.4%15.3%
2ResNet-9 from scratchHM3D23.4%31.1%9.5%20.9%
3OVRL (ResNet-50,pretrained)Gibson27.6%37.8%10.0%24.7%
4OVRL (ResNet-50, pretrained)HM3D28.0%36.9%12.0% 31.3%
", + "type": "table", + "image_path": "7af9c6d13b03535b1ae895a841c043bd6da81af0553628c0120a63df271371f0.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 145, + 509, + 463, + 545.6666666666666 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 145, + 545.6666666666666, + 463, + 582.3333333333333 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 145, + 582.3333333333333, + 463, + 618.9999999999999 + ], + "spans": [], + "index": 32 + } + ] + } + ], + "index": 30.0 + }, + { + "type": "title", + "bbox": [ + 107, + 636, + 217, + 648 + ], + "lines": [ + { + "bbox": [ + 105, + 635, + 218, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 218, + 650 + ], + "score": 1.0, + "content": "5.5 Qualitative Analysis", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "In Fig. 3, we present qualitative examples of our agent navigating to more complex object descriptions", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 666, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 104, + 666, + 130, + 681 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 131, + 667, + 228, + 678 + ], + "score": 0.56, + "content": "^ { \\ast \\ast } F i n d a b a t h r o o m s i n k ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 666, + 506, + 681 + ], + "score": 1.0, + "content": ". In each trial, the agent starts at the same position and heading (next", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 678, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 689 + ], + "score": 1.0, + "content": "to the front door looking into the house). The only thing that changes about the initial conditions", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 687, + 504, + 701 + ], + "spans": [ + { + "bbox": [ + 104, + 687, + 384, + 701 + ], + "score": 1.0, + "content": "is the instructions given to the agent (“Find a...” “...bathroom sink”,", + "type": "text" + }, + { + "bbox": [ + 389, + 689, + 449, + 699 + ], + "score": 1.0, + "content": "“...kitchen sink”", + "type": "text" + }, + { + "bbox": [ + 467, + 690, + 504, + 699 + ], + "score": 1.0, + "content": ".sink and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "a toilet”, or “...sink and a stove”). Since the agent’s policy is stochastic, we show 5 sampled rollouts", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 711, + 270, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 270, + 722 + ], + "score": 1.0, + "content": "and highlight the first run in bold colors.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5, + "bbox_fs": [ + 104, + 655, + 506, + 722 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 105, + 70, + 504, + 436 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 105, + 70, + 504, + 436 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 70, + 504, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 504, + 436 + ], + "score": 0.978, + "type": "image", + "image_path": "af741677d13d6a231b10160d5204bd67e32a690020f006bd78e11c2c60ffa425.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 105, + 70, + 504, + 192.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 105, + 192.0, + 504, + 314.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 105, + 314.0, + 504, + 436.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 458, + 505, + 514 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 459, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 505, + 470 + ], + "score": 1.0, + "content": "Figure 3: Qualitative examples for navigating to complex object descriptions. For each trail, the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "score": 1.0, + "content": "agent is spawned at the start position looking into the house (i.e., to the right on the maps) and given", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 480, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 505, + 492 + ], + "score": 1.0, + "content": "one of four instructions. Each instruction is run five times with the path for the first trail highlighted in", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 489, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 104, + 489, + 505, + 505 + ], + "score": 1.0, + "content": "bold colors. Our agent appropriately navigates to the correct rooms, demonstrating an understanding", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 502, + 504, + 514 + ], + "spans": [ + { + "bbox": [ + 106, + 502, + 504, + 514 + ], + "score": 1.0, + "content": "of both explicit (“Find a kitchen sink”) and implicit (“Find a sink and a stove”) room information.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 106, + 534, + 505, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "score": 1.0, + "content": "We find that given room information such as “bathroom” or “kitchen”, the agent appropriately finds", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "score": 1.0, + "content": "a “sink” in the corresponding rooms in the house. Furthermore, in these examples the agent does", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 554, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 104, + 554, + 318, + 569 + ], + "score": 1.0, + "content": "not enter the “kitchen” when prompted to look for a", + "type": "text" + }, + { + "bbox": [ + 318, + 556, + 387, + 567 + ], + "score": 0.46, + "content": "^ { \\cdots } b a t h r o o m \\ s i n k , ^ { \\prime \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 554, + 506, + 569 + ], + "score": 1.0, + "content": "and vice-versa. In these long", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 567, + 506, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 506, + 579 + ], + "score": 1.0, + "content": "trajectories (ranging from 88 to 225 steps), we observe more exploration in the living room and direct", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 578, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 590 + ], + "score": 1.0, + "content": "navigation when target rooms are visible. We qualitatively observe interesting learned behaviors – for", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 589, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 249, + 600 + ], + "score": 1.0, + "content": "instance, the agent often performs a", + "type": "text" + }, + { + "bbox": [ + 250, + 589, + 270, + 599 + ], + "score": 0.87, + "content": "3 6 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 589, + 506, + 600 + ], + "score": 1.0, + "content": "turn before navigating, possibly to survey the environment.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 106, + 605, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 507, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 507, + 617 + ], + "score": 1.0, + "content": "Next, we experiment with variations in which room information can be inferred from the instruction,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 616, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 506, + 627 + ], + "score": 1.0, + "content": "but is not explicit. We use “sink and a toilet” to indicate “bathroom” and “sink and a stove” for", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "“kitchen”. In these examples, we discover that our agent still navigates to the correct rooms, suggesting", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 637, + 502, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 502, + 650 + ], + "score": 1.0, + "content": "that it learns some priors of indoor spaces, such as that a “stove” is often found within a “kitchen.”", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5 + }, + { + "type": "title", + "bbox": [ + 106, + 664, + 179, + 677 + ], + "lines": [ + { + "bbox": [ + 104, + 662, + 181, + 680 + ], + "spans": [ + { + "bbox": [ + 104, + 662, + 181, + 680 + ], + "score": 1.0, + "content": "6 Discussion", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "We present a zero-shot method for learning open-world object-goal navigation (ObjectNav). 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This creates a semantic-goal navigation task that does not require annotated", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20 + } + ], + "page_idx": 8, + "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": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 105, + 70, + 504, + 436 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 105, + 70, + 504, + 436 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 70, + 504, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 504, + 436 + ], + "score": 0.978, + "type": "image", + "image_path": "af741677d13d6a231b10160d5204bd67e32a690020f006bd78e11c2c60ffa425.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 105, + 70, + 504, + 192.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 105, + 192.0, + 504, + 314.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 105, + 314.0, + 504, + 436.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 458, + 505, + 514 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 459, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 505, + 470 + ], + "score": 1.0, + "content": "Figure 3: Qualitative examples for navigating to complex object descriptions. For each trail, the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "score": 1.0, + "content": "agent is spawned at the start position looking into the house (i.e., to the right on the maps) and given", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 480, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 505, + 492 + ], + "score": 1.0, + "content": "one of four instructions. Each instruction is run five times with the path for the first trail highlighted in", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 489, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 104, + 489, + 505, + 505 + ], + "score": 1.0, + "content": "bold colors. Our agent appropriately navigates to the correct rooms, demonstrating an understanding", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 502, + 504, + 514 + ], + "spans": [ + { + "bbox": [ + 106, + 502, + 504, + 514 + ], + "score": 1.0, + "content": "of both explicit (“Find a kitchen sink”) and implicit (“Find a sink and a stove”) room information.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 106, + 534, + 505, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "score": 1.0, + "content": "We find that given room information such as “bathroom” or “kitchen”, the agent appropriately finds", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "score": 1.0, + "content": "a “sink” in the corresponding rooms in the house. Furthermore, in these examples the agent does", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 554, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 104, + 554, + 318, + 569 + ], + "score": 1.0, + "content": "not enter the “kitchen” when prompted to look for a", + "type": "text" + }, + { + "bbox": [ + 318, + 556, + 387, + 567 + ], + "score": 0.46, + "content": "^ { \\cdots } b a t h r o o m \\ s i n k , ^ { \\prime \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 554, + 506, + 569 + ], + "score": 1.0, + "content": "and vice-versa. In these long", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 567, + 506, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 506, + 579 + ], + "score": 1.0, + "content": "trajectories (ranging from 88 to 225 steps), we observe more exploration in the living room and direct", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 578, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 590 + ], + "score": 1.0, + "content": "navigation when target rooms are visible. We qualitatively observe interesting learned behaviors – for", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 589, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 249, + 600 + ], + "score": 1.0, + "content": "instance, the agent often performs a", + "type": "text" + }, + { + "bbox": [ + 250, + 589, + 270, + 599 + ], + "score": 0.87, + "content": "3 6 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 589, + 506, + 600 + ], + "score": 1.0, + "content": "turn before navigating, possibly to survey the environment.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5, + "bbox_fs": [ + 104, + 533, + 506, + 600 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 605, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 507, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 507, + 617 + ], + "score": 1.0, + "content": "Next, we experiment with variations in which room information can be inferred from the instruction,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 616, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 506, + 627 + ], + "score": 1.0, + "content": "but is not explicit. 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In these examples, we discover that our agent still navigates to the correct rooms, suggesting", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 637, + 502, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 502, + 650 + ], + "score": 1.0, + "content": "that it learns some priors of indoor spaces, such as that a “stove” is often found within a “kitchen.”", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 604, + 507, + 650 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 664, + 179, + 677 + ], + "lines": [ + { + "bbox": [ + 104, + 662, + 181, + 680 + ], + "spans": [ + { + "bbox": [ + 104, + 662, + 181, + 680 + ], + "score": 1.0, + "content": "6 Discussion", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "We present a zero-shot method for learning open-world object-goal navigation (ObjectNav). Our ap-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 700, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 713 + ], + "score": 1.0, + "content": "proach involves projecting image-goals into a semantic-goal embedding space using an image-and-text", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 710, + 506, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 725 + ], + "score": 1.0, + "content": "alignment model (CLIP). This creates a semantic-goal navigation task that does not require annotated", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 688, + 506, + 725 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 127 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "3D environments or collecting human demonstrations. Thus, our method is easy to scale. We discover", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "that SemanticNav agents outperform previous zero-shot ObjectNav methods, and we identify two", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 108 + ], + "score": 1.0, + "content": "factors that have a strong impact on navigation success – pretraining the visual encoder and training in", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "a diverse set of environments. In an open-world setting, we observe navigation patterns that suggest", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 117, + 500, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 500, + 128 + ], + "score": 1.0, + "content": "that SemanticNav agents can understand complex instructions, such as “Find a sink and a stove.”", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 140, + 505, + 205 + ], + "lines": [ + { + "bbox": [ + 105, + 138, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 505, + 152 + ], + "score": 1.0, + "content": "Limitations and Impact. SemanticNav agents appear to learn useful priors of indoor environments", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 150, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 106, + 150, + 505, + 163 + ], + "score": 1.0, + "content": "such as which room contains a “stove.” However, agents may struggle in scenes where a navigation", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 162, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 162, + 505, + 173 + ], + "score": 1.0, + "content": "target is in an unusual location (e.g., a stove in a bedroom). Biases in the 3D environments used to", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 172, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 506, + 185 + ], + "score": 1.0, + "content": "train such agents might exaggerate these issues and affect deployments in non-traditional settings.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 183, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 506, + 195 + ], + "score": 1.0, + "content": "Thus, interventions to mitigate this problem should be considered. Future work might explore how to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 195, + 497, + 206 + ], + "spans": [ + { + "bbox": [ + 106, + 195, + 497, + 206 + ], + "score": 1.0, + "content": "use the natural language interface to SemanticNav agents to guide exploration in such scenarios.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5 + }, + { + "type": "title", + "bbox": [ + 108, + 221, + 207, + 234 + ], + "lines": [ + { + "bbox": [ + 105, + 219, + 208, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 208, + 237 + ], + "score": 1.0, + "content": "Acknowledgements", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 245, + 506, + 289 + ], + "lines": [ + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "score": 1.0, + "content": "The Georgia Tech effort was supported in part by NSF, ONR YIP, ARO PECASE, and ARL. 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The", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 256, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 256, + 505, + 268 + ], + "score": 1.0, + "content": "views and conclusions contained herein are those of the authors and should not be interpreted as", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 267, + 507, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 507, + 280 + ], + "score": 1.0, + "content": "necessarily representing the official policies or endorsements, either expressed or implied, of the U.S.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 279, + 225, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 225, + 291 + ], + "score": 1.0, + "content": "Government, or any sponsor.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 245, + 507, + 291 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 304, + 163, + 317 + ], + "lines": [ + { + "bbox": [ + 106, + 303, + 165, + 319 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 165, + 319 + ], + "score": 1.0, + "content": "References", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "list", + "bbox": [ + 105, + 316, + 506, + 727 + ], + "lines": [ + { + "bbox": [ + 110, + 323, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 110, + 323, + 505, + 334 + ], + "score": 1.0, + "content": "[1] Dhruv Batra, Aaron Gokaslan, Aniruddha Kembhavi, Oleksandr Maksymets, Roozbeh Mottaghi, Manolis", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 126, + 333, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 126, + 333, + 505, + 344 + ], + "score": 1.0, + "content": "Savva, Alexander Toshev, and Erik Wijmans. 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ImageNav (Gibson)ObjectNav (Gibson)
#Visual EncoderTraining DatasetSPLSRSPLSr
1ResNet-9 from scratchGibson22.8%33.3%7.4%15.3%
2ResNet-9 from scratchHM3D23.4%31.1%9.5%20.9%
3OVRL (ResNet-50,pretrained)Gibson27.6%37.8%10.0%24.7%
4OVRL (ResNet-50, pretrained)HM3D28.0%36.9%12.0% 31.3%
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ImageNav (Gibson)ObjectNav (Gibson)
MethodVisual EncoderTraining DatasetSPLSRSPLSR
ZER [18]ResNet-9Gibson21.6%29.2%■11.3%
OursResNet-9Gibson22.8%33.3%7.4%15.3%
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mode 100644 index 0000000000000000000000000000000000000000..ea289d2392f1acefc1adb58f1c24733eddc0f0e5 --- /dev/null +++ b/parse/dev/ZlCpRiZN7n/ZlCpRiZN7n.md @@ -0,0 +1,315 @@ +# Attracting and Dispersing: A Simple Approach for Source-free Domain Adaptation + +Shiqi Yang1, Yaxing Wang2∗, Kai Wang1, Shangling $\mathbf { J u \mathbf { i } ^ { 3 } }$ , Joost van de Weijer1 + +1 Computer Vision Center, Universitat Autonoma de Barcelona, Barcelona, Spain 2 Nankai University, Tianjin, China 3 Huawei Kirin Solution, Shanghai, China {syang,kwang,joost}@cvc.uab.es, yaxing@nankai.edu.cn, jui.shangling@huawei.com + +# Abstract + +We propose a simple but effective source-free domain adaptation (SFDA) method. Treating SFDA as an unsupervised clustering problem and following the intuition that local neighbors in feature space should have more similar predictions than other features, we propose to optimize an objective of prediction consistency. This objective encourages local neighborhood features in feature space to have similar predictions while features farther away in feature space have dissimilar predictions, leading to efficient feature clustering and cluster assignment simultaneously. For efficient training, we seek to optimize an upper-bound of the objective resulting in two simple terms. Furthermore, we relate popular existing methods in domain adaptation, source-free domain adaptation and contrastive learning via the perspective of discriminability and diversity. The experimental results prove the superiority of our method, and our method can be adopted as a simple but strong baseline for future research in SFDA. Our method can be also adapted to source-free open-set and partial-set DA which further shows the generalization ability of our method. Code is available in https://github.com/Albert0147/AaD_SFDA. + +# 1 Introduction + +Supervised learning methods which are based on training with huge amounts of labeled data are advancing almost all fields of computer vision. However, the learned models typically perform decently on test data which have a similar distribution with the training set. Significant performance degradation will occur if directly applying those models to a new domain different from the training set, where the data distribution (such as variation of background, styles or camera parameter) is considerably different. This kind of distribution shift is formally denoted as domain/distribution shift. It limits the generalization of the model to unseen domains which is important in real-world applications. There are several research fields trying to tackle this problem. One of them is Domain Adaptation (DA), which aims to reduce the domain shift between the labeled source domain and unlabeled target domain. Typical works [12, 38] resort to learn domain-invariant features, thus improving generalization ability of the model between different domains. And in the past few years, the main research line of domain adaptation is either trying to minimize the distribution discrepancy between two domains [32, 33, 35], or deploying adversarial training on features to learn domain invariant representation [52, 68, 4, 36]. Some methods also tackle domain shift from the view of semi-supervised learning [67, 27] or clustering [7, 50, 5]. + +Many recent methods [24, 29, 64, 66, 55, 15, 61] focus on source-free domain adaptation (SFDA), where source data are unavailable during target adaptation, due to data privacy and intellectual property concerns of both users and businesses. Some SFDA methods resort to neighborhood clustering and pseudo labeling. However, pseudo labeling methods [29] may suffer from negative impact from noisy labels [28], and neighborhood clustering methods [66, 64] fail to investigate the potential information from dissimilar samples. Other methods either demand complex extra modules/processing [24, 61] or the storing of historical models for contrastive learning [15]. + +Table 1: Detailed comparison of SFDA methods on VisDA. ’ODA/PDA’ means whether the method reports the results for open-set or partial-set DA. $| { \mathcal { L } } |$ means number of training objective terms. + +
MethodExtra Modules/ProcessingODA/PDA[C|Per-class
SHOT[26] 3C-GAN [24]Access all target data for pseudo labeling×382.9
A²Net [61]Data generation by conditional GAN5 581.6 84.3
G-SFDA [66]Self-supervised learning with extra classifiersX
NRC[64]Store features for nearest neighbor retrievalX285.4
HCL [15]Store features for 2-hop nearest neighbor retrieval Store historical modelsX √4 285.9 83.5
Ours√288.0
Store features for nearest neighbor retrieval
+ +Based on the fact that target features from the source model already form some semantic structure and following the intuition that for a target feature from a (source-pretrained) model, similar features should have closer predictions than dissimilar ones, we propose a new objective dubbed as Attractingand-Dispersing (AaD) to achieve it. we upperbound this objective, resulting in a simple final objective which only contains two types of terms, which encourage discriminability and diversity respectively. Further, we unify several popular domain adaptation, source-free domain adaptation and contrastive learning methods from the perspective of discriminability and diversity. Experimental results on several benchmarks prove the superiority of our proposed method. Our simple method improves the state-of-the-art on the challenging VisDA with $2 . 1 \%$ to $8 8 . 0 \%$ . Additionally, extra experiments on open-set and partial-set DA further prove the effectiveness of our method. A preliminary comparison between different SFDA method is shown in Tab. 1, which shows the simplicity and generalization ability of our method: it only requires the storing of features and a few nearest neighbors searches without any additional module like a generator [24] or a classifier [61]. + +We summary our contributions as follows: + +• We propose to tackle source-free domain adaptation by optimizing an upperbound of the proposed clustering objective, which is surprisingly simple. +• We relate several popular existing methods in domain adaptation, source-free domain adaptation and contrastive learning via the perspective of discriminability and diversity, which is helpful to understand existing methods and beneficial for future improvement. +• The experimental results prove the efficacy of our method, especially we achieve new state-of-theart on the challenging VisDA, and the method can be also extended to source-free open-set and partial-set domain adaptation. + +# 2 Related Work + +Domain Adaptation. Early DA methods such as [33, 49, 53] adopt moment matching to align feature distributions. For adversarial learning methods, DANN [9] formulates domain adaptation as an adversarial two-player game. The adversarial training of CDAN [34] is conditioned on several sources of information. DIRT-T [47] performs domain adversarial training with an added term that penalizes violations of the cluster assumption. Additionally, [22, 36, 44] adopts prediction diversity between multiple learnable classifiers to achieve local or category-level feature alignment between source and target domains. SRDC [50] proposes to directly uncover the intrinsic target discrimination via discriminative clustering to achieve adaptation. CST [31] proposes a simple self-training strategy to improve the rough pseudo label under domain shift. + +Source-free Domain Adaptation. The above-mentioned normal domain adaptation methods need to access source domain data at all time during adaptation. In recent years plenty of methods emerge trying to tackle source-free domain adaptation. USFDA [20] and FS [21] resort to synthesize extra training samples in order to get compact decision boundaries, which is beneficial for both + +# Algorithm 1 Attracting and Dispersing for SFDA + +
Require: Source-pretrained model and target data Dt
1:Build memory bank storing all target features and predictions
2: while Adaptation do
3:Sample batch T from Dt and Update memory bank
4:For each feature zi in T,retrieve K-nearest neighbors (Ci)and their predictions from memory bank
5:Update model by minimizing Eq. 5
6: end while
+ +the detection of open classes and also target adaptation. SHOT [26] proposes to freeze the source classifier and it clusters target features by maximizing mutual information along with pseudo labeling for extra supervision. 3C-GAN [24] synthesizes labeled target-style training images. It is based on a conditional GAN to provide supervision for adaptation. BAIT [65] extends MCD [44] to source-free setting. $A ^ { 2 } \mathrm { { N e t } }$ [61] proposes to learn an additional target-specific classifier for hard samples and adopts a contrastive category-wise matching module to cluster target features. HCL [15] adopts Instance Discrimination [60] for features from current and historical models to cluster features, along with a generated pseudo label conditioned on historical consistency. G-SFDA [66] and NRC [64] propose neighborhood clustering which enforces prediction consistency between local neighbors. + +Deep Clustering and Contrastive Learning. Recent Deep Clustering methods can be roughly divided into two groups, they the differ in how they learn the feature representation and cluster assignments, either simultaneously or alternatively. For example, DAC [2] and DCCM [58] alternately update cluster assignments and between-sample similarity. Simultaneous clustering methods IIC [18] and ISMAT [14] are based on mutual information maximizing between samples and theirs augmentations. LA [70] depends on a huge amount of nearest neighbor searches and multiple extra runs of $k$ -means clustering to aggregate features. Recent unsupervised clustering works [25, 51, 46] start to rely on contrastive learning, where InfoNCE [37] is typically deployed. And recently NNCLR [8] proposes to use nearest neighbors in the latent space as positives in contrastive learning to cover more semantic variations than pre-defined transformations. However an inevitable problem of normal contrastive learning is class collision where negative samples are from the same class. To tackle this issue, recent works [23, 16] propose to estimate cluster prototypes and integrate them into contrastive learning. + +# 3 Method + +For source-free domain adaptation (SFDA), we are given source-pretrained model in the beginning and an unlabeled target domain with $N _ { t }$ samples as $\mathcal { D } _ { t } = \{ x _ { i } ^ { t } \} _ { i = 1 } ^ { \bar { N } _ { t } }$ . Target domain have same $C$ classes as source domain in this paper (known as the closed-set setting). The goal of SFDA is to adapt the model to target domain without source data. We divide the model into two parts: the feature extractor $f$ , and the classifier $g$ . The output of the feature extractor is denoted as feature $( z _ { i } = f \left( x \right) \in \mathbb { R } ^ { \bar { h } } )$ , where $h$ is dimension of the feature space. The output of classifier is denoted as $( p _ { i } = \delta ( g ( z _ { i } ) ) \in \mathbb { R } ^ { C }$ ) where $\delta$ is the softmax function. We denote $\boldsymbol { P } \in \mathbb { R } ^ { b s \times C }$ as the prediction matrix in a mini-batch. Regarding the SFDA as an unsupervised clustering problem, we address SFDA problem by clustering target features based on the proposed AaD. In additionally, we relate our method with several existing DA, SFDA and contrastive learning methods. + +# 3.1 Attracting and Dispersing for Source-free Domain Adaptation + +Since the source-pretrained model already learns a good feature representation, it can provides a decent initialization for target adaptation. We propose to achieve SFDA by attracting predictions for features that are located close in feature space, while dispersing predictions of those features farther away in feature space. + +We define $p _ { i j }$ as the probability that the feature $z _ { i } \in \mathbb { R } ^ { h }$ has similar (or the same) prediction to feature $\begin{array} { r } { z _ { j } \colon p _ { i j } = \frac { e ^ { p _ { i } ^ { T } p _ { j } } } { \sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { t } p _ { k } } } } \end{array}$ It can be interpreted as the possibility that $p _ { j }$ is selected as the neighbor of $p _ { i }$ in the output space [10]. + +We then define two sets for each feature $z _ { i }$ : close neighbor set $\mathcal { C } _ { i }$ containing $K$ -nearest neighbors of $z _ { i }$ (with distances as cosine similarity), and background set $B _ { i }$ which contains the features that are not in $\mathcal { C } _ { i }$ (features potentially from different classes). To retrieve nearest neighbors for training, we build two memory banks to store all target features along with their predictions just like former works [27, 66, 64, 42], which is efficient in both memory and computation, since only the features along with their predictions computed in each mini-batch are used to update the memory bank. + +Intuitively, for each feature $z _ { i }$ , the features in $B _ { i }$ should have less similar predictions than those in $ { { \mathcal { C } } } _ { i } { } ^ { 2 }$ . To achieve this, we first define two likelihood functions: + +$$ +P ( \mathcal C _ { i } | \boldsymbol \theta ) = \prod _ { j \in \mathcal C _ { i } } p _ { i j } = \prod _ { j \in \mathcal C _ { i } } \frac { e ^ { p _ { i } ^ { T } p _ { j } } } { \sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } } , P ( \mathcal B _ { i } | \boldsymbol \theta ) = \prod _ { j \in \mathcal B _ { i } } p _ { i j } = \prod _ { j \in \mathcal B _ { i } } \frac { e ^ { p _ { i } ^ { T } p _ { j } } } { \sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } } +$$ + +where $\theta$ denotes parameters of the model, for readability we omit $\theta$ in following equations. The probability $p _ { j }$ in Eq. 1 is the stored prediction for neighborhood feature $z _ { j }$ , which is retrieved from the memory bank. + +We then propose to achieve target features clustering by minimizing the following negative loglikelihood, denoted as $A a D$ (Attracting-and-Dispersing): + +$$ +\tilde { L } _ { i } ( \mathcal { C } _ { i } , \mathcal { B } _ { i } ) = - \log \frac { P ( \mathcal { C } _ { i } ) } { P ( \mathcal { B } _ { i } ) } +$$ + +Noting that, if we only have $P ( \mathcal { C } _ { i } )$ , it will be similar to Instance Discrimination [60], but we also consider $P ( B _ { i } )$ and we operate on predictions instead of features. If regarding weights of the classifier $g$ as classes prototypes, optimizing Eq. 2 is not only pulling features towards their closest neighbors and pushing them away from background features, but also towards (or away from) corresponding class prototypes. Therefore, we can achieve feature clustering and cluster assignment simultaneously. + +To simplify the training, instead of manually and carefully sampling background features, we use all other features except $z _ { i }$ in the mini-batch as $B _ { i }$ , which can be regarded as an estimation of the distribution of the whole dataset. We can reasonably believe that overall similarity of features in $\mathcal { C } _ { i }$ is potentially higher than that of $B _ { i }$ , even if $B _ { i }$ has intersection with $\mathcal { C } _ { i }$ since features in $\mathcal { C } _ { i }$ are the closest ones to feature $z _ { i }$ . By optimizing Eq. 2, we are encouraging features in $\mathcal { C } _ { i }$ , which have a higher chance of belonging to the same class, to have more similar predictions to $z _ { i }$ than those features in $B _ { i }$ , which have a lower chance of belonging to the same class. Note all features will show up in both the first and second term; intra-cluster alignment and inter-cluster separability are expected to be achieved after training. + +One problem optimizing Eq. 2 is that all target data are needed to compute Eq. 1, which is infeasible in real-world situation. Here we resort to get an upper-bound of Eq. 2: + +$$ +\begin{array} { l } { \tilde { L } _ { i } ( \mathcal { C } _ { i } , \mathcal { B } _ { i } ) = - \log \displaystyle \frac { P ( \mathcal { C } _ { i } ) } { P ( \mathcal { B } _ { i } ) } = - \sum _ { j \in \mathcal { C } _ { i } } [ p _ { i } ^ { T } p _ { j } - \log ( \displaystyle \sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) ] + \sum _ { m \in \mathcal { B } _ { i } } [ p _ { i } ^ { T } p _ { m } - \log ( \displaystyle \sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) ] } \\ { \displaystyle = - \sum _ { j \in \mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \sum _ { m \in \mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } + ( N _ { \mathcal { C } _ { i } } - N _ { \mathcal { B } _ { i } } ) \log ( \displaystyle \sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) } \end{array} +$$ + +Since we set $N _ { \mathcal { C } _ { i } } < N _ { B _ { i } }$ , with Jensen’s inequality: + +$$ +\begin{array} { r l } & { \tilde { L } _ { i } ( \mathcal { C } _ { i } , \mathcal { B } _ { i } ) \leq - \displaystyle \sum _ { j \in \mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \displaystyle \sum _ { m \in \mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } + ( N _ { \mathcal { C } _ { i } } - N _ { \mathcal { B } _ { i } } ) ( \displaystyle \sum _ { k = 1 } ^ { N _ { t } } \frac { 1 } { N _ { t } } p _ { i } ^ { T } p _ { k } + \log N _ { t } ) } \\ & { \qquad \quad \simeq \displaystyle \sum _ { m \in \mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } - \displaystyle \sum _ { j \in \mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + ( N _ { \mathcal { C } _ { i } } - N _ { \mathcal { B } _ { i } } ) ( \displaystyle \sum _ { k \in \mathcal { B } _ { i } } \frac { p _ { i } ^ { T } p _ { k } } { N _ { \mathcal { B } _ { i } } } + \log N _ { t } ) } \\ & { \qquad \quad = - \displaystyle \sum _ { j \in \mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \displaystyle \frac { N _ { \mathcal { C } _ { i } } } { N _ { \mathcal { B } _ { i } } } \displaystyle \sum _ { m \in \mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } + ( N _ { \mathcal { C } _ { i } } - N _ { \mathcal { B } _ { i } } ) \log N _ { t } } \end{array} +$$ + +Table 2: Decomposition of methods into two terms: discriminability $( d i s )$ and diversity $( d i \nu )$ , which will be minimized for training. + +
MethodTaskdistermdiv term
MISFDA&ClusteringH(Y|X)-H(Y)
BNMDA&SFDA-|PIlF-rank(P)
NCSFDA-g(WijpTpj)∑KL(llge))
InfoNCEContrastive-f(x)Tf(y)/Tlog(+∑ef(x)f(x)/T)
OursSFDA-∑jecppj∑meB:pTPm
+ +where $N _ { { \mathcal { C } } _ { i } }$ and $N _ { B _ { i } }$ is the number of features in $\mathcal { C } _ { i }$ and $B _ { i }$ . Note that we cannot get this upper-bound without $\dot { P ( B _ { i } ) }$ . The approximation above in the penultimate line is to estimate the average dot product using the mini-batch data. This leads to the surprisingly simple final objective for unsupervised domain adaptation: + +$$ +L = \mathbb { E } [ L _ { i } ( \mathcal { C } _ { i } , \mathcal { B } _ { i } ) ] , \mathrm { w i t h ~ } L _ { i } ( \mathcal { C } _ { i } , \mathcal { B } _ { i } ) = - \sum _ { j \in \mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \lambda \sum _ { m \in \mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } +$$ + +Note the gradient will come from both $p _ { i }$ and $p _ { m }$ . The first term aims to enforce prediction consistency between local neighbors, and the naive interpretation of second term is to disperse the prediction of potential dissimilar features, which are all other features in the mini-batch. Note that the dot product between two softmaxed predictions will be maximal when two predictions have the same predicted class and are close to one-hot vector. Our algorithm is illustrated in Algorithm. 1. + +Unlike using a constant for the second term in Eq. 4 we empirically found that using a hyperparameter $\lambda$ to decay second term (starting from 1) works better, we will adopt SND [43] to tune this hyperparameter unsupervisedly. One reason may be that the approximation inside Eq. 3.1 is not necessarily accurate. And as training goes on, features are gradually clustering, the role of the second term for dispersing should be weakened. Additionally, considering the current mini-batch with the correctly predicted features $z _ { i }$ and $z _ { m }$ belonging to the same class. In this case the second term in both $L _ { i } ( \mathcal { C } _ { i } , B _ { i } )$ and $L _ { m } ( \mathcal { C } _ { m } , B _ { m } )$ tends to push $p _ { m }$ to the wrong direction, while the first term in $L _ { m } ( \mathcal { C } _ { m } , B _ { m } )$ can potentially keep current (correct) prediction unchanged. Hence, this will suppress the negative impact of the second term. We will further deepen the understanding of these two terms in the next subsection. + +# 3.2 Relation to Existing Works + +In this section, we will relate several popular DA, SFDA and contrastive learning methods through two objectives, discriminability and diversity. This can improve our understanding of domain adaptation methods, as well as improve the understanding of our method. + +Mutual Information maximizing (MI). SHOT-IM [26] proposes to achieve source-free domain adaptation by maximizing the mutual information, which is actually widely used in unsupervised clustering [11, 40, 14]: + +$$ +{ \cal L } _ { M I } = H ( Y | X ) - H ( Y ) +$$ + +which contains two terms: conditional entropy term $H ( Y | X )$ to encourages unambiguous cluster assignments, and marginal entropy term $H ( Y )$ to encourage cluster sizes to be uniform to avoid degeneracy. In practice, $H ( Y )$ is approximated by the current mini-batch instead of using whole dataset [48, 14]. + +Batch Nuclear-norm Maximization (BNM). BNM [5, 6] aims to increase prediction discriminability and diversity to tackle domain shift. It is originally achieved by maximizing $F$ -norm (for discriminability) and rank of prediction matrix (for diversity) respectively: + +$$ +L = - \| P \| _ { F } - r a n k ( P ) +$$ + +In their paper, they further prove merely maximizing the nuclear norm $\| P \| _ { * }$ can achieve these two goals simultaneously. In relation to our method, if target features are well clustering during training, we can presume the K-nearest neighbors of feature $z _ { i }$ have the same prediction, the first term in Eq. 5 can be seen as the summation of diagonal elements of matrix $P P ^ { T }$ , which is actually the square of $F$ -norm $( \| P \| _ { F } = { \sqrt { t r a c e ( P P ^ { T } ) } } )$ , then it is actually minimizing prediction entropy [5]. As for second term, we can regard it as the summation of non-diagonal element of $P P ^ { T }$ , it encourages all these non-diagonal elements to be 0 thus the $r a n k ( P P ^ { T } ) = r a n k ( P )$ is supposed to increase, which indicates larger prediction diversity [5]. In a nutshell, compared to SHOT and BNM our method first considers local feature structure to cluster target features, which can be treated as an alternative way to increase discriminability at the late training stage, meanwhile as discussed above our method is also encouraging diversity. + +Neighborhood Clustering (NC). G-SFDA [66] and NRC [64] are based on neighborhood clustering to tackle SFDA problem. Those works basically contain two major terms in their optimizing objective: a neighborhood clustering term for prediction consistency and a marginal entropy term $H ( Y )$ for prediction diversity. NRC [64] further introduces neighborhood reciprocity to weight the different neighbors. Their loss objective can be written as: + +$$ +L _ { i } = - \sum _ { j \in \mathcal { C } _ { i } } g ( W _ { i j } p _ { i } ^ { T } p _ { j } ) + \sum _ { c = 1 } ^ { C } \mathbf { K L } ( \bar { p } _ { c } | | q _ { c } ) , \mathrm { ~ w i t h ~ } \bar { p } _ { c } = \frac { 1 } { n _ { t } } \sum _ { i } p _ { i } ^ { ( c ) } , \mathrm { ~ a n d ~ } q _ { \{ c = 1 , . . . , C \} } = \frac { 1 } { C } +$$ + +where $W _ { i j }$ will weight the importance of neighbor and $g ( \cdot )$ is log or identity function. Although the first term of G-SFDA and NRC is the same as that of our final loss objective Eq. 5, note that our motivation is different as we simultaneously consider similar and dissimilar features, and Eq. 5 is deduced as an approximated upper-bound of our original objective Eq. 2. + +And note actually the marginal entropy termAlthough the second term of those metho $\begin{array} { r } { - H ( Y ) = \sum _ { c = 1 } ^ { C } \bar { p } _ { c } \log \bar { p } _ { c } = \sum _ { c = 1 } ^ { C } { \bf K } { \bf L } \left( \bar { p } _ { c } | | q _ { c } \right) - \log C . } \end{array}$ solution where all images are only assigned to some certain classes, the margin entropy term presumes the prior that whole dataset or the mini-batch is class balance/uniformly distributed, which is barely true for current benchmarks or in real-world environment. In conclusion, the above three types of methods are actually all to increase discriminability and meanwhile maximize diversity of the prediction, but through different ways. + +Contrastive Learning. Here we also link our method to InfoNCE [37]), which is widely used in contrastive learning. As a recent paper [56] points out that InfoNCE loss can be decomposed into 2 terms: + +$$ +\chi _ { i n f o N C E } = \mathbb { E } _ { ( x , y ) \sim p _ { p o s } } [ - f ( x ) ^ { T } f ( y ) / \tau ] \ + \underset { x \sim p _ { d a t a } } { \mathbb { E } } ~ \underset { \substack { i = 1 \sim { p _ { d a t a } } \ \{ x _ { i } ^ { - } \} _ { i = 1 } ^ { M } \sim p _ { d a t a } } } [ \log ( e ^ { 1 / \tau } + \sum _ { i } e ^ { f ( x _ { i } ^ { - } ) ^ { T } f ( x ) / \tau } ) ] +$$ + +The first term is denoted as alignment term (with positive pairs) is to make positive pairs of features similar, and the second term denoted as uniformity term with negative pairs encouraging all features to roughly uniformly distributed in the feature space. + +The Eq. 8 shares some similarity with all the above domain adaptation methods in that the first term is for the alignment with positive pairs and the second term is to encourage diversity. But note that the remarkable difference is that the above domain adaptation methods operate in the output (prediction) space while contrastive learning is conducted in the (spherical) feature space. Therefore, simultaneously feature representation learning and cluster assignment can be achieved for those domain adaptation methods. Note in normal contrastive learning methods, extra KNN or a linear learnable classifier needs to be deployed for final classification, while our model can directly give predictions. + +We list all above methods in Tab. 2. Finally, returning to Eq. 5, we can also regard the second term as a variant of diversity loss to avoid degeneration solution, but without making any category prior assumption. Intuitively, with target features forming groups during training, the second term should play less and less important role, otherwise it may destabilize the training. This is similar to the class collision issue in contrastive learning. If our second term contains too many features belonging to the same class. Thus it is reasonable to decay the second term. + +# 4 Experiments + +Datasets. We conduct experiments on three benchmark datasets for image classification: Office-31, Office-Home and VisDA-C 2017. Office-31 [41] contains 3 domains (Amazon, Webcam, DSLR) + +Table 3: Accuracies $( \% )$ on Office-Home for ResNet50-based methods. We highlight the best result and underline the second best one. + +
MethodSFAr→CIAr-→PrAr-→RwCl-→ArCl-→PrCl-→RwPr-→ArPr->CIPr-→RwRw→ArRw→CIRw→PrAvg
ResNet-50[13]X 34.950.058.037.441.946.238.531.260.453.941.2 59.946.1
MCD [44]xxx 48.968.374.661.367.668.857.047.175.169.152.2 79.664.1
CDAN[34]50.770.676.057.670.070.057.450.977.3 70.956.781.665.8
SAFN[63]52.071.776.364.269.971.963.751.477.1 70.957.181.567.3
MDD [69]X 54.973.777.860.071.471.861.253.678.1 72.560.282.368.1
TADA [57]×x 53.172.377.259.171.272.159.753.178.472.460.0 82.967.6
SRDC [50]52.376.381.069.576.278.068.753.881.776.357.1 85.071.3
SHOT[26]√ 57.178.181.568.078.278.167.454.982.273.3 58.884.371.8
A²Net [61]58.479.082.467.579.378.968.056.282.9 74.160.585.072.8
G-SFDA [66]√ 57.978.681.066.777.277.265.656.082.272.057.8 83.471.3
NRC [64]√ 57.780.382.068.179.878.665.356.483.071.058.6 85.672.2
BNM-S [6]√ 57.477.881.767.877.679.367.655.782.273.559.5 84.772.1
Ours59.379.382.168.979.879.567.257.483.172.158.5 85.472.7
+ +Table 4: Accuracies $( \% )$ on VisDA-C (Synthesis $ \mathrm { R e a l }$ ) for ResNet101-based methods. We highlight the best result and underline the second best one. + +
Method[SFplanebcycl buscarhorseknifemcyclpersonplant sktbrd train truck Per-class
ResNet-101[13]55.153.3 61.959.180.617.979.7 31.281.026.573.58.552.4
CDAN+BSP[3]92.461.081.0 57.589.080.690.177.0 84.277.982.138.475.9
MCC[19]88.780.380.5 71.590.193.285.071.6 89.473.885.036.978.8
STAR[36]95.084.084.6 73.091.691.885.9 78.494.484.787.042.282.7
RWOT[62]xxxxx95.1 80.383.790.092.468.092.5 82.287.978.490.468.284.0
3C-GAN [24]94.8 73.468.874.893.195.488.6 84.789.184.783.548.181.6
SHOT[26]v√94.3 88.580.1 57.393.194.980.780.3 91.589.186.358.282.9
A²Net [61]94.0 87.885.666.893.795.185.881.2 91.688.286.556.084.3
G-SFDA [66]96.1 88.385.574.197.195.489.579.4 95.492.989.142.685.4
NRC [64]96.8 91.382.462.496.295.986.180.6 94.894.190.459.785.9
HCL [15]vvv√93.385.480.7 68.591.088.186.078.6 86.688.880.074.783.5
Ours√97.490.580.8 76.297.396.189.882.9 95.593.092.064.788.0
+ +with 31 classes and 4,652 images. Office-Home [54] contains 4 domains (Real, Clipart, Art, Product) with 65 classes and a total of 15,500 images. VisDA (VisDA-C 2017) [39] is a more challenging dataset, with 12-class synthetic-to-real object recognition tasks, its source domain contains of 152k synthetic images while the target domain has $5 5 \mathrm { k }$ real object images. + +Evaluation. The column SF in the tables denotes source-free. For Office-31 and Office-Home, we show the results of each task and the average accuracy over all tasks ${ \it A } \nu g$ in the tables). For VisDA, we show accuracy for all classes and average over those classes (Per-class in the table). All results are the average of three random runs for target adaptation. + +Model details. To ensure fair comparison with related methods, we adopt the backbone of a ResNet-50 [13] for Office-Home and ResNet-101 for VisDA. Specifically, we use the same network architecture as SHOT [26], BNM-S [6], G-SFDA [66] and NRC [64], i.e., the final part of the network is: fully connected layer - Batch Normalization $I I 7 J$ - fully connected layer with weight normalization $I 4 5 J$ . We adopt SGD with momentum 0.9 and batch size of 64 for all datasets. The learning rate for Office-31 and Office-Home is set to 1e-3 for all layers, except for the last two newly added fc layers, where we apply 1e-2. Learning rates are set 10 times smaller for VisDA. We train 40 epochs for Office-31 and Office-Home while 15 epochs for VisDA. + +There are two hyperparameters $N _ { { \mathcal { C } } _ { i } }$ (number of nearest neighbors) and $\lambda$ , to ensure fair comparison we set $N _ { { \mathcal { C } } _ { i } }$ to the same number as previous works G-SFDA [66] and NRC [64], which also resort to nearest neighbors. That is, we set $N _ { { \mathcal { C } } _ { i } }$ to 3 on Office-31 and Office-Home, 5 on VisDA. For $\lambda$ , we set it as $\begin{array} { r } { \lambda = ( 1 + 1 0 * \frac { i t e r } { m a x \_ i t e r } ) ^ { - \beta } } \end{array}$ , where the decay factor $\beta$ controls the decaying speed. We directly apply SND $I 4 3 J$ to select $\beta$ unsupervisedly. Based on SND we set $\beta$ to 0 on Office-Home, 2 on Office-31 and 5 on VisDA. + +# 4.1 Results and Analysis + +Quantitative Results. As shown in Tables $3 { - } 5 ( L e f t )$ , where the top part shows results for the source-present methods that use source data during adaptation, and the bottom part shows results for the source-free DA methods. On Office-31 and VisDA, our method gets state-of-the-art performance compared to existing source-free domain adaptation methods, especially on VisDA our method outperforms others by a large margin $2 . 1 \%$ compared to NRC). And our method achieves similar results on Office-Home compared to the more complex $A ^ { \mathrm { 2 } } \mathrm { N e t }$ method (which combines three classifiers and five objective functions). The reported results clearly demonstrate the efficiency of the proposed method for source-free domain adaptation. It also achieves similar or better results compared to domain adaptation methods with access to source data on both Office-Home and VisDA. Note the extension of SHOT called $\mathrm { S H O T + + }$ [30] deploys extra self-supervised training and semisupervised learning, which are general to improve the results (an evidence is that the source model after these 2 tricks gets huge improvement, e.g., $6 0 . 2 \%$ improves to $6 6 . 6 \%$ on Office-Home.), we do not list it here for fair comparison. + +Table 5: (Left) Accuracies $( \% )$ on Office-31 for ResNet50-based methods. We highlight the best result and underline the second best one. (Right) Ablation study on number of nearest neighbors $N _ { { \mathcal { C } } _ { i } }$ . We highlight the best score and underline the second best one. + +
MethodJSFA→DA→WD-→WW-→DD-→AW→AAvg
MCD [44] CDAN [34] MDD[69]] DMRL[59] MCC[19]X .xxxxx92.2 88.6 92.9 94.1 90.4 90.4 93.4 90.8 95.6 95.498.5 98.6 100.0 98.7 99.9 99.0 100.0 98.6 100.0100.0 69.5 69.7 86.5 71.0 75.0 73.0 71.2 72.669.3 87.7 73.7 88.0 87.9
SRDC [50] SHOT[26] 3C-GAN [24] NRC[64] HCL [15] BNM-S [6]95.8 95.7 94.0 90.1 92.7 93.7 96.0 90.8 94.7 92.5 93.0 92.999.2 98.4 98.5 99.0 98.2 98.2100.0 76.7 77.1 99.9 74.7 74.3 99.8 75.3 77.8 100.0 75.3 75.0 100.0 75.9 77.7 99.9 75.4 75.073.9 89.4 90.8 88.6 89.6 89.4 89.8 89.1
+ +
NcAvg
Office-31NcPer-class
189.1VisDA
289.5386.7
389.9487.4
Office-Home588.0
172.2688.0
272.6788.0
372.7
+ +![](images/d5938c64280d6d34169a787c675d830390dd3f7d9107b41f341c64d6c1e9c21e.jpg) +Figure 1: Visualization of decision boundary on target data with different training objective. + +Toy dataset. We carry out an experiment on the twinning moona dataset to ablate the influence of two terms in our objective Eq. 5. For the twinning moons dataset, the data from the source domain are represented by two inter-twinning moons, which contain 300 samples each. Data in the target domain are generated through rotating source data by $3 0 ^ { \circ }$ . The domain shift here is instantiated as the rotation degree. First we train the model with 3 linear layers only on the source domain, and test the model on all domains. As shown in the first image in Fig. 1, the source model performs badly on target data. Then we conduct several variants of our method to train the model. The visualization of the decision boundary in Fig. 1 indicates that both terms in Eq. 5 are necessary, and decay of second term is shown to be important. + +Table 6: Unsupervised hyperparameter selection of $\beta$ with SND [43], larger SND should correspond to better target model. + +
VisDA
βSND个 Per-class
0 18.1823 77.5 8.2584 83.8
2 8.321486.7
3 8.331187.6
48.3540 88.0
5 8.354388.0
7 8.353088.1
+ +
Office-31
βSND↑ Avg
04.1366 88.0
0.25 4.301689.7
1 4.449489.9
2 4.450189.9
+ +
Office-Home
βSND个 Avg
03.7515 72.7
0.253.7402 72.6
0.5 3.725272.0
1 3.692370.6
+ +![](images/1cf6b003e9c6d20751c2aa0c45c9569c74226a20fb875407d84e6d762e676b95.jpg) +Figure 2: (Left) Ratio of features which have 3 nearest neighbor features sharing the same predicted label. (Right) Ratio among above features which have 3 nearest neighbor features sharing the same and correct predicted label. + +Table 7: Runtime analysis on SHOT and our method. For SHOT, pseudo labels are computed at each epoch. $10 \%$ and $5 \%$ denote the percentage of target features which are stored in the memory bank. + +
VisDARuntime (s/epoch)Per-class (%)
SHOT618.8282.9
Ours520.1388.0
Ours(10% for memory bank)490.2187.6
Ours(5% for memory bank)482.7787.5
+ +Number of nearest neighbors $( N _ { C _ { i } } )$ . For the number of nearest neighbors used for the first term in Eq. 5, we show in Tab. 5 $( R i g h t )$ our method is robust to the choice of $N _ { { \mathcal { C } } _ { i } }$ , as the results imply that a reasonable choice of $N _ { { \mathcal { C } } _ { i } }$ (such as 3) works quite well on all datasets, since only considering few neighbors (such as $1 / 2$ ) may be too noisy if all of them are misclassified, while setting $N _ { { \mathcal { C } } _ { i } }$ too larger may also potentially include samples of other categories. For larger dataset such as VisDA we can choose a relatively larger $N _ { { \mathcal { C } } _ { i } }$ . Note the reason why we choose $N _ { { \mathcal { C } } _ { i } }$ as 5 in main experiments is to compare fairly with G-SFDA [66] and NRC [64]. + +Decay factor $\beta$ . According to the analysis in Sec. 3.2, the second term acts like a diversity term to avoid that all target features collapse to a limited set of categories. The role of the second term should be weakened during the training, but how to decay the second term is non-trivial. We directly adopt SND [43] which computes Soft Neighborhood Density for unsupervised hyperparameter selection of $\beta$ . The method is unsupervised and larger SND predicts a better target models. The results of $S N D$ with different $\beta$ are shown in Tab. 6, the results prove that SND works well to choose optimal $\beta$ . + +Runtime analysis. Instead of storing all features in the memory bank, we can only stores a limited number of target features, by updating the memory bank at the end of each iteration by taking the $n$ (batch size) embeddings from the current training iteration and concatenating them at the end of the memory bank, and discard the oldest $n$ elements from the memory bank. We report the results with this type of memory bank of different buffer size in the Table 7. The results show that indeed this could be an efficient way to reduce computation on very large datasets. + +Degree of clustering during training. We also plot how features are clustered with different decaying factors $\beta$ on VisDA in Fig. 2. The left one shows the ratio of features which have 3-nearest neighbors all sharing the same prediction, which indicates the degree of clustering during training, and the right one shows the ratio among above features which have 3-nearest neighbor features sharing the same and correct predicted label. Those curves in Fig. 2 left show that the target features are clustering, and those in Fig. 2 right indicate that clear category boundaries are emerging. The numbers in the legends denote the deployed $\beta$ and the corresponding final accuracy. From the figures we can draw the conclusion that with a larger decay factor $\beta$ on VisDA, features are quickly clustering and forming inter-class boundaries, since the ratio of features which share the same and correct prediction with neighbors are increasing faster. When decaying factor $\beta$ is too small, meaning training signal from the second term is strong, the clustering process is actually impeded. The curves in Fig. 2 (left) signify that this ratio can also be used to choose $\beta$ with higher performance unsupervisedly. + +Table 8: Accuracy on Office-Home using ResNet-50 as backbone for Source-free open-set DA. $O S ^ { * }$ , UNK and $H O S$ mean average per-class accuracy across known classes, unknown accuracy and harmonic mean between known and unknown accuracy respectively. + +
Ar→ClAr→PrAr→RwCl→ArCl→PrCl→Rw
OS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOS
SHOT 67.0 28.0 39.581.8 26.339.887.532.1 47.066.846.2 54.677.527.240.280.025.939.1
AaD 50.7 66.4 57.664.6 69.4 66.973.166.9 69.948.2 81.1 60.559.5 63.5 61.467.4 68.3 67.8
Pr→ArPr→ClPr→RwRw→ArRw→ClRw→PrAvg
OS* UNK HOSOS*UNK HOSOS*UNK HOSOS*UNKHOSOS*UNK HOSOS*UNK HOSOS* UNK HOS
SHOT 66.3 51.1 57.759.331.040.885.8 31.6 46.273.550.6 59.965.328.940.184.4 28.2 42.374.633.9 45.6
AaD 47.3 82.4 60.145.4 72.8 55.968.472.8 70.654.579.0 64.649.069.6 57.569.770.6 70.158.271.963.6
+ +Table 9: Accuracy on Office-Home using ResNet-50 as backbone for Source-free partial-set DA. + +
Partial-set DA Ar->C1Ar-→Pr Ar-→Re Cl→ArCl-→PrCl-→RePr→ArPr-→ClPr→Re Re→ArRe-→Cl Re-→Pr Avg.
83.688.872.474.079.076.160.690.181.988.576.8
SHOT-IM SHOT57.9 64.885.292.776.377.688.879.764.3 89.580.668.3 66.485.879.3
AaD67.083.593.180.576.087.678.1 65.690.283.564.387.379.7
+ +Source-free partial-set and open-set DA. We provide additional results under source-free partialset and open-set DA (PDA and ODA) setting in Tab. 8 and Tab. 9 respectively, where the open-set detection in ODA follows the same protocol to detect unseen categories as SHOT. On ODA, instead of reporting average per-class accuracy OS = |Cs|×OS∗|C |+1 $\begin{array} { r } { O S = \frac { | \mathcal { C } _ { s } | \times O S ^ { * } } { | \mathcal { C } _ { s } | + 1 } + \frac { 1 \times \bar { U } N K } { | \mathcal { C } _ { s } | + 1 } } \end{array}$ + 1×UNK|C |+1 where |Cs| is the number of known categories on source domain, we report results of HOS = 2×OS∗×UNKOS∗+UNK , which is harmonic mean between known categories accuracy $O S ^ { * }$ and unknown accuracy UNK. As pointed out by [1], $O S$ is problematic since this metric can be quite high even when unknown class accuracy UNK is 0, while unknown category detection is the key part in open-set DA. We reproduce SHOT under open-set DA and report results of $O S ^ { * }$ , UNK and $H O S$ in Tab. 8, which shows our method gets much better balance between known and unknown accuracy. + +# 5 Conclusion + +We proposed to tackle source-free domain adaptation by encouraging similar features in feature space to have similar predictions while dispersing predictions of dissimilar features in feature space, to achieve simultaneously feature clustering and cluster assignment. We introduced an upper bound to our proposed objective, resulting in two simple terms. Further we showed that we can unify several popular domain adaptation, source-free domain adaptation and contrastive learning methods from the perspective of discriminability and diversity. The approach is simple but achieves state-of-the-art performance on several benchmarks, and can be also adapted to source-free open-set and partial-set domain adaptation. + +# Acknowledgement + +We acknowledge the support from Huawei Kirin Solution, and the project PID2019-104174GBI00/AEI/10.13039/501100011033 (MINECO, Spain), and the CERCA Programme of Generalitat de Catalunya. + +# References + +[1] Silvia Bucci, Mohammad Reza Loghmani, and Tatiana Tommasi. On the effectiveness of image rotation for open set domain adaptation. In European Conference on Computer Vision, pages 422–438. Springer, 2020. +[2] Jianlong Chang, Lingfeng Wang, Gaofeng Meng, Shiming Xiang, and Chunhong Pan. Deep adaptive image clustering. In ICCV, pages 5879–5887, 2017. [3] Xinyang Chen, Sinan Wang, Mingsheng Long, and Jianmin Wang. Transferability vs. discriminability: Batch spectral penalization for adversarial domain adaptation. In ICML, pages 1081–1090, 2019. [4] Safa Cicek and Stefano Soatto. 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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] +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [No] +(d) Did you include the total amount of compute and the type of resources used (e.g., type of GPUs, internal cluster, or cloud provider)? [No] + +4. 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? [No] +(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? [N/A] +(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [No] + +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/ZlCpRiZN7n/ZlCpRiZN7n_content_list.json b/parse/dev/ZlCpRiZN7n/ZlCpRiZN7n_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..92dd13f6f425792f3125b8d207eb73c74da06ae9 --- /dev/null +++ b/parse/dev/ZlCpRiZN7n/ZlCpRiZN7n_content_list.json @@ -0,0 +1,1287 @@ +[ + { + "type": "text", + "text": "Attracting and Dispersing: A Simple Approach for Source-free Domain Adaptation ", + "text_level": 1, + "bbox": [ + 192, + 122, + 805, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Shiqi Yang1, Yaxing Wang2∗, Kai Wang1, Shangling $\\mathbf { J u \\mathbf { i } ^ { 3 } }$ , Joost van de Weijer1 ", + "bbox": [ + 228, + 224, + 767, + 241 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Computer Vision Center, Universitat Autonoma de Barcelona, Barcelona, Spain 2 Nankai University, Tianjin, China 3 Huawei Kirin Solution, Shanghai, China {syang,kwang,joost}@cvc.uab.es, yaxing@nankai.edu.cn, jui.shangling@huawei.com ", + "bbox": [ + 232, + 241, + 766, + 311 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 347, + 535, + 363 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We propose a simple but effective source-free domain adaptation (SFDA) method. Treating SFDA as an unsupervised clustering problem and following the intuition that local neighbors in feature space should have more similar predictions than other features, we propose to optimize an objective of prediction consistency. This objective encourages local neighborhood features in feature space to have similar predictions while features farther away in feature space have dissimilar predictions, leading to efficient feature clustering and cluster assignment simultaneously. For efficient training, we seek to optimize an upper-bound of the objective resulting in two simple terms. Furthermore, we relate popular existing methods in domain adaptation, source-free domain adaptation and contrastive learning via the perspective of discriminability and diversity. The experimental results prove the superiority of our method, and our method can be adopted as a simple but strong baseline for future research in SFDA. Our method can be also adapted to source-free open-set and partial-set DA which further shows the generalization ability of our method. Code is available in https://github.com/Albert0147/AaD_SFDA. ", + "bbox": [ + 233, + 377, + 766, + 584 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 607, + 310, + 625 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Supervised learning methods which are based on training with huge amounts of labeled data are advancing almost all fields of computer vision. However, the learned models typically perform decently on test data which have a similar distribution with the training set. Significant performance degradation will occur if directly applying those models to a new domain different from the training set, where the data distribution (such as variation of background, styles or camera parameter) is considerably different. This kind of distribution shift is formally denoted as domain/distribution shift. It limits the generalization of the model to unseen domains which is important in real-world applications. There are several research fields trying to tackle this problem. One of them is Domain Adaptation (DA), which aims to reduce the domain shift between the labeled source domain and unlabeled target domain. Typical works [12, 38] resort to learn domain-invariant features, thus improving generalization ability of the model between different domains. And in the past few years, the main research line of domain adaptation is either trying to minimize the distribution discrepancy between two domains [32, 33, 35], or deploying adversarial training on features to learn domain invariant representation [52, 68, 4, 36]. Some methods also tackle domain shift from the view of semi-supervised learning [67, 27] or clustering [7, 50, 5]. ", + "bbox": [ + 174, + 638, + 825, + 847 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Many recent methods [24, 29, 64, 66, 55, 15, 61] focus on source-free domain adaptation (SFDA), where source data are unavailable during target adaptation, due to data privacy and intellectual property concerns of both users and businesses. Some SFDA methods resort to neighborhood clustering and pseudo labeling. However, pseudo labeling methods [29] may suffer from negative impact from noisy labels [28], and neighborhood clustering methods [66, 64] fail to investigate the potential information from dissimilar samples. Other methods either demand complex extra modules/processing [24, 61] or the storing of historical models for contrastive learning [15]. ", + "bbox": [ + 176, + 852, + 823, + 881 + ], + "page_idx": 0 + }, + { + "type": "table", + "img_path": "images/d1cd2e263f10c48e42a7327440c9af567204f199a969ad3ef81f5e08bd3b082e.jpg", + "table_caption": [ + "Table 1: Detailed comparison of SFDA methods on VisDA. ’ODA/PDA’ means whether the method reports the results for open-set or partial-set DA. $| { \\mathcal { L } } |$ means number of training objective terms. " + ], + "table_footnote": [], + "table_body": "
MethodExtra Modules/ProcessingODA/PDA[C|Per-class
SHOT[26] 3C-GAN [24]Access all target data for pseudo labeling×382.9
A²Net [61]Data generation by conditional GAN5 581.6 84.3
G-SFDA [66]Self-supervised learning with extra classifiersX
NRC[64]Store features for nearest neighbor retrievalX285.4
HCL [15]Store features for 2-hop nearest neighbor retrieval Store historical modelsX √4 285.9 83.5
Ours√288.0
Store features for nearest neighbor retrieval
", + "bbox": [ + 205, + 131, + 794, + 236 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 253, + 825, + 324 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Based on the fact that target features from the source model already form some semantic structure and following the intuition that for a target feature from a (source-pretrained) model, similar features should have closer predictions than dissimilar ones, we propose a new objective dubbed as Attractingand-Dispersing (AaD) to achieve it. we upperbound this objective, resulting in a simple final objective which only contains two types of terms, which encourage discriminability and diversity respectively. Further, we unify several popular domain adaptation, source-free domain adaptation and contrastive learning methods from the perspective of discriminability and diversity. Experimental results on several benchmarks prove the superiority of our proposed method. Our simple method improves the state-of-the-art on the challenging VisDA with $2 . 1 \\%$ to $8 8 . 0 \\%$ . Additionally, extra experiments on open-set and partial-set DA further prove the effectiveness of our method. A preliminary comparison between different SFDA method is shown in Tab. 1, which shows the simplicity and generalization ability of our method: it only requires the storing of features and a few nearest neighbors searches without any additional module like a generator [24] or a classifier [61]. ", + "bbox": [ + 174, + 330, + 825, + 510 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We summary our contributions as follows: ", + "bbox": [ + 176, + 516, + 450, + 530 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• We propose to tackle source-free domain adaptation by optimizing an upperbound of the proposed clustering objective, which is surprisingly simple. \n• We relate several popular existing methods in domain adaptation, source-free domain adaptation and contrastive learning via the perspective of discriminability and diversity, which is helpful to understand existing methods and beneficial for future improvement. \n• The experimental results prove the efficacy of our method, especially we achieve new state-of-theart on the challenging VisDA, and the method can be also extended to source-free open-set and partial-set domain adaptation. ", + "bbox": [ + 173, + 541, + 826, + 665 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 683, + 321, + 700 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Domain Adaptation. Early DA methods such as [33, 49, 53] adopt moment matching to align feature distributions. For adversarial learning methods, DANN [9] formulates domain adaptation as an adversarial two-player game. The adversarial training of CDAN [34] is conditioned on several sources of information. DIRT-T [47] performs domain adversarial training with an added term that penalizes violations of the cluster assumption. Additionally, [22, 36, 44] adopts prediction diversity between multiple learnable classifiers to achieve local or category-level feature alignment between source and target domains. SRDC [50] proposes to directly uncover the intrinsic target discrimination via discriminative clustering to achieve adaptation. CST [31] proposes a simple self-training strategy to improve the rough pseudo label under domain shift. ", + "bbox": [ + 173, + 715, + 825, + 840 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Source-free Domain Adaptation. The above-mentioned normal domain adaptation methods need to access source domain data at all time during adaptation. In recent years plenty of methods emerge trying to tackle source-free domain adaptation. USFDA [20] and FS [21] resort to synthesize extra training samples in order to get compact decision boundaries, which is beneficial for both ", + "bbox": [ + 174, + 856, + 823, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Algorithm 1 Attracting and Dispersing for SFDA ", + "text_level": 1, + "bbox": [ + 176, + 90, + 501, + 106 + ], + "page_idx": 2 + }, + { + "type": "table", + "img_path": "images/fc3cf7f7df000b260535a1863454ba8784982f78a1441f9827b4b6af50041b91.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Require: Source-pretrained model and target data Dt
1:Build memory bank storing all target features and predictions
2: while Adaptation do
3:Sample batch T from Dt and Update memory bank
4:For each feature zi in T,retrieve K-nearest neighbors (Ci)and their predictions from memory bank
5:Update model by minimizing Eq. 5
6: end while
", + "bbox": [ + 176, + 109, + 815, + 200 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "the detection of open classes and also target adaptation. SHOT [26] proposes to freeze the source classifier and it clusters target features by maximizing mutual information along with pseudo labeling for extra supervision. 3C-GAN [24] synthesizes labeled target-style training images. It is based on a conditional GAN to provide supervision for adaptation. BAIT [65] extends MCD [44] to source-free setting. $A ^ { 2 } \\mathrm { { N e t } }$ [61] proposes to learn an additional target-specific classifier for hard samples and adopts a contrastive category-wise matching module to cluster target features. HCL [15] adopts Instance Discrimination [60] for features from current and historical models to cluster features, along with a generated pseudo label conditioned on historical consistency. G-SFDA [66] and NRC [64] propose neighborhood clustering which enforces prediction consistency between local neighbors. ", + "bbox": [ + 173, + 229, + 825, + 356 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Deep Clustering and Contrastive Learning. Recent Deep Clustering methods can be roughly divided into two groups, they the differ in how they learn the feature representation and cluster assignments, either simultaneously or alternatively. For example, DAC [2] and DCCM [58] alternately update cluster assignments and between-sample similarity. Simultaneous clustering methods IIC [18] and ISMAT [14] are based on mutual information maximizing between samples and theirs augmentations. LA [70] depends on a huge amount of nearest neighbor searches and multiple extra runs of $k$ -means clustering to aggregate features. Recent unsupervised clustering works [25, 51, 46] start to rely on contrastive learning, where InfoNCE [37] is typically deployed. And recently NNCLR [8] proposes to use nearest neighbors in the latent space as positives in contrastive learning to cover more semantic variations than pre-defined transformations. However an inevitable problem of normal contrastive learning is class collision where negative samples are from the same class. To tackle this issue, recent works [23, 16] propose to estimate cluster prototypes and integrate them into contrastive learning. ", + "bbox": [ + 173, + 372, + 826, + 551 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Method ", + "text_level": 1, + "bbox": [ + 174, + 573, + 269, + 590 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "For source-free domain adaptation (SFDA), we are given source-pretrained model in the beginning and an unlabeled target domain with $N _ { t }$ samples as $\\mathcal { D } _ { t } = \\{ x _ { i } ^ { t } \\} _ { i = 1 } ^ { \\bar { N } _ { t } }$ . Target domain have same $C$ classes as source domain in this paper (known as the closed-set setting). The goal of SFDA is to adapt the model to target domain without source data. We divide the model into two parts: the feature extractor $f$ , and the classifier $g$ . The output of the feature extractor is denoted as feature $( z _ { i } = f \\left( x \\right) \\in \\mathbb { R } ^ { \\bar { h } } )$ , where $h$ is dimension of the feature space. The output of classifier is denoted as $( p _ { i } = \\delta ( g ( z _ { i } ) ) \\in \\mathbb { R } ^ { C }$ ) where $\\delta$ is the softmax function. We denote $\\boldsymbol { P } \\in \\mathbb { R } ^ { b s \\times C }$ as the prediction matrix in a mini-batch. Regarding the SFDA as an unsupervised clustering problem, we address SFDA problem by clustering target features based on the proposed AaD. In additionally, we relate our method with several existing DA, SFDA and contrastive learning methods. ", + "bbox": [ + 173, + 606, + 825, + 748 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 Attracting and Dispersing for Source-free Domain Adaptation ", + "text_level": 1, + "bbox": [ + 174, + 766, + 645, + 781 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Since the source-pretrained model already learns a good feature representation, it can provides a decent initialization for target adaptation. We propose to achieve SFDA by attracting predictions for features that are located close in feature space, while dispersing predictions of those features farther away in feature space. ", + "bbox": [ + 174, + 792, + 825, + 849 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We define $p _ { i j }$ as the probability that the feature $z _ { i } \\in \\mathbb { R } ^ { h }$ has similar (or the same) prediction to feature $\\begin{array} { r } { z _ { j } \\colon p _ { i j } = \\frac { e ^ { p _ { i } ^ { T } p _ { j } } } { \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { t } p _ { k } } } } \\end{array}$ It can be interpreted as the possibility that $p _ { j }$ is selected as the neighbor of $p _ { i }$ in the output space [10]. ", + "bbox": [ + 174, + 854, + 823, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We then define two sets for each feature $z _ { i }$ : close neighbor set $\\mathcal { C } _ { i }$ containing $K$ -nearest neighbors of $z _ { i }$ (with distances as cosine similarity), and background set $B _ { i }$ which contains the features that are not in $\\mathcal { C } _ { i }$ (features potentially from different classes). To retrieve nearest neighbors for training, we build two memory banks to store all target features along with their predictions just like former works [27, 66, 64, 42], which is efficient in both memory and computation, since only the features along with their predictions computed in each mini-batch are used to update the memory bank. ", + "bbox": [ + 173, + 90, + 825, + 175 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Intuitively, for each feature $z _ { i }$ , the features in $B _ { i }$ should have less similar predictions than those in $ { { \\mathcal { C } } } _ { i } { } ^ { 2 }$ . To achieve this, we first define two likelihood functions: ", + "bbox": [ + 169, + 180, + 823, + 209 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/38082fab1521aa3b75d46378d66aa3347f8dc11019d9aa1bc8138861c8d09894.jpg", + "text": "$$\nP ( \\mathcal C _ { i } | \\boldsymbol \\theta ) = \\prod _ { j \\in \\mathcal C _ { i } } p _ { i j } = \\prod _ { j \\in \\mathcal C _ { i } } \\frac { e ^ { p _ { i } ^ { T } p _ { j } } } { \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } } , P ( \\mathcal B _ { i } | \\boldsymbol \\theta ) = \\prod _ { j \\in \\mathcal B _ { i } } p _ { i j } = \\prod _ { j \\in \\mathcal B _ { i } } \\frac { e ^ { p _ { i } ^ { T } p _ { j } } } { \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } }\n$$", + "text_format": "latex", + "bbox": [ + 210, + 215, + 754, + 258 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\theta$ denotes parameters of the model, for readability we omit $\\theta$ in following equations. The probability $p _ { j }$ in Eq. 1 is the stored prediction for neighborhood feature $z _ { j }$ , which is retrieved from the memory bank. ", + "bbox": [ + 176, + 265, + 825, + 308 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We then propose to achieve target features clustering by minimizing the following negative loglikelihood, denoted as $A a D$ (Attracting-and-Dispersing): ", + "bbox": [ + 173, + 313, + 825, + 342 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/bd4096a200c9dcd14be078819d4e6465ca902e387c516eaf9c48a56560061bfe.jpg", + "text": "$$\n\\tilde { L } _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) = - \\log \\frac { P ( \\mathcal { C } _ { i } ) } { P ( \\mathcal { B } _ { i } ) }\n$$", + "text_format": "latex", + "bbox": [ + 393, + 348, + 571, + 383 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Noting that, if we only have $P ( \\mathcal { C } _ { i } )$ , it will be similar to Instance Discrimination [60], but we also consider $P ( B _ { i } )$ and we operate on predictions instead of features. If regarding weights of the classifier $g$ as classes prototypes, optimizing Eq. 2 is not only pulling features towards their closest neighbors and pushing them away from background features, but also towards (or away from) corresponding class prototypes. Therefore, we can achieve feature clustering and cluster assignment simultaneously. ", + "bbox": [ + 173, + 388, + 825, + 460 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To simplify the training, instead of manually and carefully sampling background features, we use all other features except $z _ { i }$ in the mini-batch as $B _ { i }$ , which can be regarded as an estimation of the distribution of the whole dataset. We can reasonably believe that overall similarity of features in $\\mathcal { C } _ { i }$ is potentially higher than that of $B _ { i }$ , even if $B _ { i }$ has intersection with $\\mathcal { C } _ { i }$ since features in $\\mathcal { C } _ { i }$ are the closest ones to feature $z _ { i }$ . By optimizing Eq. 2, we are encouraging features in $\\mathcal { C } _ { i }$ , which have a higher chance of belonging to the same class, to have more similar predictions to $z _ { i }$ than those features in $B _ { i }$ , which have a lower chance of belonging to the same class. Note all features will show up in both the first and second term; intra-cluster alignment and inter-cluster separability are expected to be achieved after training. ", + "bbox": [ + 173, + 465, + 825, + 592 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "One problem optimizing Eq. 2 is that all target data are needed to compute Eq. 1, which is infeasible in real-world situation. Here we resort to get an upper-bound of Eq. 2: ", + "bbox": [ + 173, + 597, + 823, + 626 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/390575267a73798ff734d2b3d84698a528d3b709a2de299e12ee8d07e73a7ae5.jpg", + "text": "$$\n\\begin{array} { l } { \\tilde { L } _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) = - \\log \\displaystyle \\frac { P ( \\mathcal { C } _ { i } ) } { P ( \\mathcal { B } _ { i } ) } = - \\sum _ { j \\in \\mathcal { C } _ { i } } [ p _ { i } ^ { T } p _ { j } - \\log ( \\displaystyle \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) ] + \\sum _ { m \\in \\mathcal { B } _ { i } } [ p _ { i } ^ { T } p _ { m } - \\log ( \\displaystyle \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) ] } \\\\ { \\displaystyle = - \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } + ( N _ { \\mathcal { C } _ { i } } - N _ { \\mathcal { B } _ { i } } ) \\log ( \\displaystyle \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 210, + 648, + 785, + 733 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Since we set $N _ { \\mathcal { C } _ { i } } < N _ { B _ { i } }$ , with Jensen’s inequality: ", + "bbox": [ + 173, + 748, + 506, + 765 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/89d55eee1275a008a78b4522afa6cc3a0e3e2f4d93c2b45d36eb42bf6092db5c.jpg", + "text": "$$\n\\begin{array} { r l } & { \\tilde { L } _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) \\leq - \\displaystyle \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \\displaystyle \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } + ( N _ { \\mathcal { C } _ { i } } - N _ { \\mathcal { B } _ { i } } ) ( \\displaystyle \\sum _ { k = 1 } ^ { N _ { t } } \\frac { 1 } { N _ { t } } p _ { i } ^ { T } p _ { k } + \\log N _ { t } ) } \\\\ & { \\qquad \\quad \\simeq \\displaystyle \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } - \\displaystyle \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + ( N _ { \\mathcal { C } _ { i } } - N _ { \\mathcal { B } _ { i } } ) ( \\displaystyle \\sum _ { k \\in \\mathcal { B } _ { i } } \\frac { p _ { i } ^ { T } p _ { k } } { N _ { \\mathcal { B } _ { i } } } + \\log N _ { t } ) } \\\\ & { \\qquad \\quad = - \\displaystyle \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \\displaystyle \\frac { N _ { \\mathcal { C } _ { i } } } { N _ { \\mathcal { B } _ { i } } } \\displaystyle \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } + ( N _ { \\mathcal { C } _ { i } } - N _ { \\mathcal { B } _ { i } } ) \\log N _ { t } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 251, + 772, + 745, + 890 + ], + "page_idx": 3 + }, + { + "type": "table", + "img_path": "images/fc086e291577768b8aa75ce0a4339383c25c4eaa1ecddbef725b3888b41628b1.jpg", + "table_caption": [ + "Table 2: Decomposition of methods into two terms: discriminability $( d i s )$ and diversity $( d i \\nu )$ , which will be minimized for training. " + ], + "table_footnote": [], + "table_body": "
MethodTaskdistermdiv term
MISFDA&ClusteringH(Y|X)-H(Y)
BNMDA&SFDA-|PIlF-rank(P)
NCSFDA-g(WijpTpj)∑KL(llge))
InfoNCEContrastive-f(x)Tf(y)/Tlog(+∑ef(x)f(x)/T)
OursSFDA-∑jecppj∑meB:pTPm
", + "bbox": [ + 267, + 125, + 733, + 205 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $N _ { { \\mathcal { C } } _ { i } }$ and $N _ { B _ { i } }$ is the number of features in $\\mathcal { C } _ { i }$ and $B _ { i }$ . Note that we cannot get this upper-bound without $\\dot { P ( B _ { i } ) }$ . The approximation above in the penultimate line is to estimate the average dot product using the mini-batch data. This leads to the surprisingly simple final objective for unsupervised domain adaptation: ", + "bbox": [ + 174, + 222, + 825, + 279 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/102ad76a5c55204b11f3683212360fe910c8ebdb2ed54aa1530f47bf6a20c1b3.jpg", + "text": "$$\nL = \\mathbb { E } [ L _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) ] , \\mathrm { w i t h ~ } L _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) = - \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \\lambda \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m }\n$$", + "text_format": "latex", + "bbox": [ + 277, + 285, + 717, + 320 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Note the gradient will come from both $p _ { i }$ and $p _ { m }$ . The first term aims to enforce prediction consistency between local neighbors, and the naive interpretation of second term is to disperse the prediction of potential dissimilar features, which are all other features in the mini-batch. Note that the dot product between two softmaxed predictions will be maximal when two predictions have the same predicted class and are close to one-hot vector. Our algorithm is illustrated in Algorithm. 1. ", + "bbox": [ + 173, + 325, + 825, + 397 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Unlike using a constant for the second term in Eq. 4 we empirically found that using a hyperparameter $\\lambda$ to decay second term (starting from 1) works better, we will adopt SND [43] to tune this hyperparameter unsupervisedly. One reason may be that the approximation inside Eq. 3.1 is not necessarily accurate. And as training goes on, features are gradually clustering, the role of the second term for dispersing should be weakened. Additionally, considering the current mini-batch with the correctly predicted features $z _ { i }$ and $z _ { m }$ belonging to the same class. In this case the second term in both $L _ { i } ( \\mathcal { C } _ { i } , B _ { i } )$ and $L _ { m } ( \\mathcal { C } _ { m } , B _ { m } )$ tends to push $p _ { m }$ to the wrong direction, while the first term in $L _ { m } ( \\mathcal { C } _ { m } , B _ { m } )$ can potentially keep current (correct) prediction unchanged. Hence, this will suppress the negative impact of the second term. We will further deepen the understanding of these two terms in the next subsection. ", + "bbox": [ + 173, + 401, + 825, + 541 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 Relation to Existing Works ", + "text_level": 1, + "bbox": [ + 174, + 556, + 400, + 571 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In this section, we will relate several popular DA, SFDA and contrastive learning methods through two objectives, discriminability and diversity. This can improve our understanding of domain adaptation methods, as well as improve the understanding of our method. ", + "bbox": [ + 174, + 582, + 825, + 625 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Mutual Information maximizing (MI). SHOT-IM [26] proposes to achieve source-free domain adaptation by maximizing the mutual information, which is actually widely used in unsupervised clustering [11, 40, 14]: ", + "bbox": [ + 174, + 638, + 825, + 681 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/be91ce1475fe30e8720ce2e3621be48a9d4d55757f51e14c472bd8841ffc5a82.jpg", + "text": "$$\n{ \\cal L } _ { M I } = H ( Y | X ) - H ( Y )\n$$", + "text_format": "latex", + "bbox": [ + 410, + 689, + 588, + 705 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "which contains two terms: conditional entropy term $H ( Y | X )$ to encourages unambiguous cluster assignments, and marginal entropy term $H ( Y )$ to encourage cluster sizes to be uniform to avoid degeneracy. In practice, $H ( Y )$ is approximated by the current mini-batch instead of using whole dataset [48, 14]. ", + "bbox": [ + 174, + 712, + 825, + 768 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Batch Nuclear-norm Maximization (BNM). BNM [5, 6] aims to increase prediction discriminability and diversity to tackle domain shift. It is originally achieved by maximizing $F$ -norm (for discriminability) and rank of prediction matrix (for diversity) respectively: ", + "bbox": [ + 174, + 781, + 825, + 825 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/bb157af8ace2fd0b9e7f8a17234c6666e151d7c1f7de059b24fa24663cdcff97.jpg", + "text": "$$\nL = - \\| P \\| _ { F } - r a n k ( P )\n$$", + "text_format": "latex", + "bbox": [ + 415, + 832, + 583, + 848 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In their paper, they further prove merely maximizing the nuclear norm $\\| P \\| _ { * }$ can achieve these two goals simultaneously. In relation to our method, if target features are well clustering during training, we can presume the K-nearest neighbors of feature $z _ { i }$ have the same prediction, the first term in Eq. 5 can be seen as the summation of diagonal elements of matrix $P P ^ { T }$ , which is actually the square of $F$ -norm $( \\| P \\| _ { F } = { \\sqrt { t r a c e ( P P ^ { T } ) } } )$ , then it is actually minimizing prediction entropy [5]. As for second term, we can regard it as the summation of non-diagonal element of $P P ^ { T }$ , it encourages all these non-diagonal elements to be 0 thus the $r a n k ( P P ^ { T } ) = r a n k ( P )$ is supposed to increase, which indicates larger prediction diversity [5]. In a nutshell, compared to SHOT and BNM our method first considers local feature structure to cluster target features, which can be treated as an alternative way to increase discriminability at the late training stage, meanwhile as discussed above our method is also encouraging diversity. ", + "bbox": [ + 174, + 854, + 825, + 911 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 89, + 825, + 190 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Neighborhood Clustering (NC). G-SFDA [66] and NRC [64] are based on neighborhood clustering to tackle SFDA problem. Those works basically contain two major terms in their optimizing objective: a neighborhood clustering term for prediction consistency and a marginal entropy term $H ( Y )$ for prediction diversity. NRC [64] further introduces neighborhood reciprocity to weight the different neighbors. Their loss objective can be written as: ", + "bbox": [ + 173, + 203, + 825, + 273 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/d0e403ac5a1cb8d414f11a4ee78ae3ec365d69c1a53c3b9c33ba40fa3b06f0dc.jpg", + "text": "$$\nL _ { i } = - \\sum _ { j \\in \\mathcal { C } _ { i } } g ( W _ { i j } p _ { i } ^ { T } p _ { j } ) + \\sum _ { c = 1 } ^ { C } \\mathbf { K L } ( \\bar { p } _ { c } | | q _ { c } ) , \\mathrm { ~ w i t h ~ } \\bar { p } _ { c } = \\frac { 1 } { n _ { t } } \\sum _ { i } p _ { i } ^ { ( c ) } , \\mathrm { ~ a n d ~ } q _ { \\{ c = 1 , . . . , C \\} } = \\frac { 1 } { C }\n$$", + "text_format": "latex", + "bbox": [ + 204, + 275, + 795, + 319 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $W _ { i j }$ will weight the importance of neighbor and $g ( \\cdot )$ is log or identity function. Although the first term of G-SFDA and NRC is the same as that of our final loss objective Eq. 5, note that our motivation is different as we simultaneously consider similar and dissimilar features, and Eq. 5 is deduced as an approximated upper-bound of our original objective Eq. 2. ", + "bbox": [ + 173, + 320, + 825, + 377 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "And note actually the marginal entropy termAlthough the second term of those metho $\\begin{array} { r } { - H ( Y ) = \\sum _ { c = 1 } ^ { C } \\bar { p } _ { c } \\log \\bar { p } _ { c } = \\sum _ { c = 1 } ^ { C } { \\bf K } { \\bf L } \\left( \\bar { p } _ { c } | | q _ { c } \\right) - \\log C . } \\end{array}$ solution where all images are only assigned to some certain classes, the margin entropy term presumes the prior that whole dataset or the mini-batch is class balance/uniformly distributed, which is barely true for current benchmarks or in real-world environment. In conclusion, the above three types of methods are actually all to increase discriminability and meanwhile maximize diversity of the prediction, but through different ways. ", + "bbox": [ + 173, + 383, + 825, + 483 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Contrastive Learning. Here we also link our method to InfoNCE [37]), which is widely used in contrastive learning. As a recent paper [56] points out that InfoNCE loss can be decomposed into 2 terms: ", + "bbox": [ + 174, + 496, + 826, + 537 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/b2c261f100ec1a3d7e7e980ea7a952e2a9b8979657de0af6d6eea3cb78ad3c10.jpg", + "text": "$$\n\\chi _ { i n f o N C E } = \\mathbb { E } _ { ( x , y ) \\sim p _ { p o s } } [ - f ( x ) ^ { T } f ( y ) / \\tau ] \\ + \\underset { x \\sim p _ { d a t a } } { \\mathbb { E } } ~ \\underset { \\substack { i = 1 \\sim { p _ { d a t a } } \\ \\{ x _ { i } ^ { - } \\} _ { i = 1 } ^ { M } \\sim p _ { d a t a } } } [ \\log ( e ^ { 1 / \\tau } + \\sum _ { i } e ^ { f ( x _ { i } ^ { - } ) ^ { T } f ( x ) / \\tau } ) ]\n$$", + "text_format": "latex", + "bbox": [ + 181, + 536, + 833, + 570 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The first term is denoted as alignment term (with positive pairs) is to make positive pairs of features similar, and the second term denoted as uniformity term with negative pairs encouraging all features to roughly uniformly distributed in the feature space. ", + "bbox": [ + 174, + 585, + 825, + 627 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The Eq. 8 shares some similarity with all the above domain adaptation methods in that the first term is for the alignment with positive pairs and the second term is to encourage diversity. But note that the remarkable difference is that the above domain adaptation methods operate in the output (prediction) space while contrastive learning is conducted in the (spherical) feature space. Therefore, simultaneously feature representation learning and cluster assignment can be achieved for those domain adaptation methods. Note in normal contrastive learning methods, extra KNN or a linear learnable classifier needs to be deployed for final classification, while our model can directly give predictions. ", + "bbox": [ + 173, + 633, + 825, + 744 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We list all above methods in Tab. 2. Finally, returning to Eq. 5, we can also regard the second term as a variant of diversity loss to avoid degeneration solution, but without making any category prior assumption. Intuitively, with target features forming groups during training, the second term should play less and less important role, otherwise it may destabilize the training. This is similar to the class collision issue in contrastive learning. If our second term contains too many features belonging to the same class. Thus it is reasonable to decay the second term. ", + "bbox": [ + 173, + 751, + 825, + 835 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 Experiments ", + "text_level": 1, + "bbox": [ + 174, + 853, + 312, + 869 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Datasets. We conduct experiments on three benchmark datasets for image classification: Office-31, Office-Home and VisDA-C 2017. Office-31 [41] contains 3 domains (Amazon, Webcam, DSLR) ", + "bbox": [ + 173, + 883, + 823, + 911 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/aaf7c2e95d889f6fbf0054398c3813793b963ca757b945d0169d1fc51728394f.jpg", + "table_caption": [ + "Table 3: Accuracies $( \\% )$ on Office-Home for ResNet50-based methods. We highlight the best result and underline the second best one. " + ], + "table_footnote": [], + "table_body": "
MethodSFAr→CIAr-→PrAr-→RwCl-→ArCl-→PrCl-→RwPr-→ArPr->CIPr-→RwRw→ArRw→CIRw→PrAvg
ResNet-50[13]X 34.950.058.037.441.946.238.531.260.453.941.2 59.946.1
MCD [44]xxx 48.968.374.661.367.668.857.047.175.169.152.2 79.664.1
CDAN[34]50.770.676.057.670.070.057.450.977.3 70.956.781.665.8
SAFN[63]52.071.776.364.269.971.963.751.477.1 70.957.181.567.3
MDD [69]X 54.973.777.860.071.471.861.253.678.1 72.560.282.368.1
TADA [57]×x 53.172.377.259.171.272.159.753.178.472.460.0 82.967.6
SRDC [50]52.376.381.069.576.278.068.753.881.776.357.1 85.071.3
SHOT[26]√ 57.178.181.568.078.278.167.454.982.273.3 58.884.371.8
A²Net [61]58.479.082.467.579.378.968.056.282.9 74.160.585.072.8
G-SFDA [66]√ 57.978.681.066.777.277.265.656.082.272.057.8 83.471.3
NRC [64]√ 57.780.382.068.179.878.665.356.483.071.058.6 85.672.2
BNM-S [6]√ 57.477.881.767.877.679.367.655.782.273.559.5 84.772.1
Ours59.379.382.168.979.879.567.257.483.172.158.5 85.472.7
", + "bbox": [ + 207, + 131, + 790, + 281 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/8f1c1484906c82d4a974e9ddf2876a5dc94d19989006a72748c54651ffd83775.jpg", + "table_caption": [ + "Table 4: Accuracies $( \\% )$ on VisDA-C (Synthesis $ \\mathrm { R e a l }$ ) for ResNet101-based methods. We highlight the best result and underline the second best one. " + ], + "table_footnote": [], + "table_body": "
Method[SFplanebcycl buscarhorseknifemcyclpersonplant sktbrd train truck Per-class
ResNet-101[13]55.153.3 61.959.180.617.979.7 31.281.026.573.58.552.4
CDAN+BSP[3]92.461.081.0 57.589.080.690.177.0 84.277.982.138.475.9
MCC[19]88.780.380.5 71.590.193.285.071.6 89.473.885.036.978.8
STAR[36]95.084.084.6 73.091.691.885.9 78.494.484.787.042.282.7
RWOT[62]xxxxx95.1 80.383.790.092.468.092.5 82.287.978.490.468.284.0
3C-GAN [24]94.8 73.468.874.893.195.488.6 84.789.184.783.548.181.6
SHOT[26]v√94.3 88.580.1 57.393.194.980.780.3 91.589.186.358.282.9
A²Net [61]94.0 87.885.666.893.795.185.881.2 91.688.286.556.084.3
G-SFDA [66]96.1 88.385.574.197.195.489.579.4 95.492.989.142.685.4
NRC [64]96.8 91.382.462.496.295.986.180.6 94.894.190.459.785.9
HCL [15]vvv√93.385.480.7 68.591.088.186.078.6 86.688.880.074.783.5
Ours√97.490.580.8 76.297.396.189.882.9 95.593.092.064.788.0
", + "bbox": [ + 184, + 315, + 805, + 476 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "with 31 classes and 4,652 images. Office-Home [54] contains 4 domains (Real, Clipart, Art, Product) with 65 classes and a total of 15,500 images. VisDA (VisDA-C 2017) [39] is a more challenging dataset, with 12-class synthetic-to-real object recognition tasks, its source domain contains of 152k synthetic images while the target domain has $5 5 \\mathrm { k }$ real object images. ", + "bbox": [ + 173, + 494, + 825, + 550 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Evaluation. The column SF in the tables denotes source-free. For Office-31 and Office-Home, we show the results of each task and the average accuracy over all tasks ${ \\it A } \\nu g$ in the tables). For VisDA, we show accuracy for all classes and average over those classes (Per-class in the table). All results are the average of three random runs for target adaptation. ", + "bbox": [ + 173, + 565, + 825, + 621 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Model details. To ensure fair comparison with related methods, we adopt the backbone of a ResNet-50 [13] for Office-Home and ResNet-101 for VisDA. Specifically, we use the same network architecture as SHOT [26], BNM-S [6], G-SFDA [66] and NRC [64], i.e., the final part of the network is: fully connected layer - Batch Normalization $I I 7 J$ - fully connected layer with weight normalization $I 4 5 J$ . We adopt SGD with momentum 0.9 and batch size of 64 for all datasets. The learning rate for Office-31 and Office-Home is set to 1e-3 for all layers, except for the last two newly added fc layers, where we apply 1e-2. Learning rates are set 10 times smaller for VisDA. We train 40 epochs for Office-31 and Office-Home while 15 epochs for VisDA. ", + "bbox": [ + 173, + 636, + 825, + 747 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "There are two hyperparameters $N _ { { \\mathcal { C } } _ { i } }$ (number of nearest neighbors) and $\\lambda$ , to ensure fair comparison we set $N _ { { \\mathcal { C } } _ { i } }$ to the same number as previous works G-SFDA [66] and NRC [64], which also resort to nearest neighbors. That is, we set $N _ { { \\mathcal { C } } _ { i } }$ to 3 on Office-31 and Office-Home, 5 on VisDA. For $\\lambda$ , we set it as $\\begin{array} { r } { \\lambda = ( 1 + 1 0 * \\frac { i t e r } { m a x \\_ i t e r } ) ^ { - \\beta } } \\end{array}$ , where the decay factor $\\beta$ controls the decaying speed. We directly apply SND $I 4 3 J$ to select $\\beta$ unsupervisedly. Based on SND we set $\\beta$ to 0 on Office-Home, 2 on Office-31 and 5 on VisDA. ", + "bbox": [ + 174, + 753, + 825, + 840 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 Results and Analysis ", + "text_level": 1, + "bbox": [ + 174, + 857, + 356, + 872 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Quantitative Results. As shown in Tables $3 { - } 5 ( L e f t )$ , where the top part shows results for the source-present methods that use source data during adaptation, and the bottom part shows results for the source-free DA methods. On Office-31 and VisDA, our method gets state-of-the-art performance compared to existing source-free domain adaptation methods, especially on VisDA our method outperforms others by a large margin $2 . 1 \\%$ compared to NRC). And our method achieves similar results on Office-Home compared to the more complex $A ^ { \\mathrm { 2 } } \\mathrm { N e t }$ method (which combines three classifiers and five objective functions). The reported results clearly demonstrate the efficiency of the proposed method for source-free domain adaptation. It also achieves similar or better results compared to domain adaptation methods with access to source data on both Office-Home and VisDA. Note the extension of SHOT called $\\mathrm { S H O T + + }$ [30] deploys extra self-supervised training and semisupervised learning, which are general to improve the results (an evidence is that the source model after these 2 tricks gets huge improvement, e.g., $6 0 . 2 \\%$ improves to $6 6 . 6 \\%$ on Office-Home.), we do not list it here for fair comparison. ", + "bbox": [ + 174, + 882, + 821, + 911 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/90af06c8aa07dd9793efa9608248faf521106cb9a0aeeaed71f628138518ca9c.jpg", + "table_caption": [ + "Table 5: (Left) Accuracies $( \\% )$ on Office-31 for ResNet50-based methods. We highlight the best result and underline the second best one. (Right) Ablation study on number of nearest neighbors $N _ { { \\mathcal { C } } _ { i } }$ . We highlight the best score and underline the second best one. " + ], + "table_footnote": [], + "table_body": "
MethodJSFA→DA→WD-→WW-→DD-→AW→AAvg
MCD [44] CDAN [34] MDD[69]] DMRL[59] MCC[19]X .xxxxx92.2 88.6 92.9 94.1 90.4 90.4 93.4 90.8 95.6 95.498.5 98.6 100.0 98.7 99.9 99.0 100.0 98.6 100.0100.0 69.5 69.7 86.5 71.0 75.0 73.0 71.2 72.669.3 87.7 73.7 88.0 87.9
SRDC [50] SHOT[26] 3C-GAN [24] NRC[64] HCL [15] BNM-S [6]95.8 95.7 94.0 90.1 92.7 93.7 96.0 90.8 94.7 92.5 93.0 92.999.2 98.4 98.5 99.0 98.2 98.2100.0 76.7 77.1 99.9 74.7 74.3 99.8 75.3 77.8 100.0 75.3 75.0 100.0 75.9 77.7 99.9 75.4 75.073.9 89.4 90.8 88.6 89.6 89.4 89.8 89.1
", + "bbox": [ + 178, + 138, + 516, + 285 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/72b58e8021fb31ca374a7880e57d213bcf6587a1218cb94c376fe722d919fd44.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
NcAvg
Office-31NcPer-class
189.1VisDA
289.5386.7
389.9487.4
Office-Home588.0
172.2688.0
272.6788.0
372.7
", + "bbox": [ + 562, + 148, + 797, + 271 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/d5938c64280d6d34169a787c675d830390dd3f7d9107b41f341c64d6c1e9c21e.jpg", + "image_caption": [ + "Figure 1: Visualization of decision boundary on target data with different training objective. " + ], + "image_footnote": [], + "bbox": [ + 183, + 301, + 794, + 390 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 429, + 825, + 580 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Toy dataset. We carry out an experiment on the twinning moona dataset to ablate the influence of two terms in our objective Eq. 5. For the twinning moons dataset, the data from the source domain are represented by two inter-twinning moons, which contain 300 samples each. Data in the target domain are generated through rotating source data by $3 0 ^ { \\circ }$ . The domain shift here is instantiated as the rotation degree. First we train the model with 3 linear layers only on the source domain, and test the model on all domains. As shown in the first image in Fig. 1, the source model performs badly on target data. Then we conduct several variants of our method to train the model. The visualization of the decision boundary in Fig. 1 indicates that both terms in Eq. 5 are necessary, and decay of second term is shown to be important. ", + "bbox": [ + 173, + 606, + 825, + 731 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/1cbeeb6f22ecc7417becd52fbe23824931895f067aba20899f40ce406fce9521.jpg", + "table_caption": [ + "Table 6: Unsupervised hyperparameter selection of $\\beta$ with SND [43], larger SND should correspond to better target model. " + ], + "table_footnote": [], + "table_body": "
VisDA
βSND个 Per-class
0 18.1823 77.5 8.2584 83.8
2 8.321486.7
3 8.331187.6
48.3540 88.0
5 8.354388.0
7 8.353088.1
", + "bbox": [ + 632, + 792, + 802, + 915 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/8d0736cec61698f5eb785bcfe105d39c7f8f6cb80b39a5e5528ff789de4e520f.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Office-31
βSND↑ Avg
04.1366 88.0
0.25 4.301689.7
1 4.449489.9
2 4.450189.9
", + "bbox": [ + 205, + 811, + 362, + 895 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/820a62a7472bc2879030f709c5eb4cdebe398fb43b941bb5025f417d2c1fb7f4.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Office-Home
βSND个 Avg
03.7515 72.7
0.253.7402 72.6
0.5 3.725272.0
1 3.692370.6
", + "bbox": [ + 421, + 811, + 578, + 895 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/1cf6b003e9c6d20751c2aa0c45c9569c74226a20fb875407d84e6d762e676b95.jpg", + "image_caption": [ + "Figure 2: (Left) Ratio of features which have 3 nearest neighbor features sharing the same predicted label. (Right) Ratio among above features which have 3 nearest neighbor features sharing the same and correct predicted label. " + ], + "image_footnote": [], + "bbox": [ + 191, + 89, + 797, + 270 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/ff21b27fe42af9751709b511a5069210b107ecbb0a16ef22534cde1673342297.jpg", + "table_caption": [ + "Table 7: Runtime analysis on SHOT and our method. For SHOT, pseudo labels are computed at each epoch. $10 \\%$ and $5 \\%$ denote the percentage of target features which are stored in the memory bank. " + ], + "table_footnote": [], + "table_body": "
VisDARuntime (s/epoch)Per-class (%)
SHOT618.8282.9
Ours520.1388.0
Ours(10% for memory bank)490.2187.6
Ours(5% for memory bank)482.7787.5
", + "bbox": [ + 295, + 387, + 697, + 460 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Number of nearest neighbors $( N _ { C _ { i } } )$ . For the number of nearest neighbors used for the first term in Eq. 5, we show in Tab. 5 $( R i g h t )$ our method is robust to the choice of $N _ { { \\mathcal { C } } _ { i } }$ , as the results imply that a reasonable choice of $N _ { { \\mathcal { C } } _ { i } }$ (such as 3) works quite well on all datasets, since only considering few neighbors (such as $1 / 2$ ) may be too noisy if all of them are misclassified, while setting $N _ { { \\mathcal { C } } _ { i } }$ too larger may also potentially include samples of other categories. For larger dataset such as VisDA we can choose a relatively larger $N _ { { \\mathcal { C } } _ { i } }$ . Note the reason why we choose $N _ { { \\mathcal { C } } _ { i } }$ as 5 in main experiments is to compare fairly with G-SFDA [66] and NRC [64]. ", + "bbox": [ + 173, + 486, + 825, + 584 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Decay factor $\\beta$ . According to the analysis in Sec. 3.2, the second term acts like a diversity term to avoid that all target features collapse to a limited set of categories. The role of the second term should be weakened during the training, but how to decay the second term is non-trivial. We directly adopt SND [43] which computes Soft Neighborhood Density for unsupervised hyperparameter selection of $\\beta$ . The method is unsupervised and larger SND predicts a better target models. The results of $S N D$ with different $\\beta$ are shown in Tab. 6, the results prove that SND works well to choose optimal $\\beta$ . ", + "bbox": [ + 173, + 599, + 825, + 684 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Runtime analysis. Instead of storing all features in the memory bank, we can only stores a limited number of target features, by updating the memory bank at the end of each iteration by taking the $n$ (batch size) embeddings from the current training iteration and concatenating them at the end of the memory bank, and discard the oldest $n$ elements from the memory bank. We report the results with this type of memory bank of different buffer size in the Table 7. The results show that indeed this could be an efficient way to reduce computation on very large datasets. ", + "bbox": [ + 173, + 700, + 825, + 785 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Degree of clustering during training. We also plot how features are clustered with different decaying factors $\\beta$ on VisDA in Fig. 2. The left one shows the ratio of features which have 3-nearest neighbors all sharing the same prediction, which indicates the degree of clustering during training, and the right one shows the ratio among above features which have 3-nearest neighbor features sharing the same and correct predicted label. Those curves in Fig. 2 left show that the target features are clustering, and those in Fig. 2 right indicate that clear category boundaries are emerging. The numbers in the legends denote the deployed $\\beta$ and the corresponding final accuracy. From the figures we can draw the conclusion that with a larger decay factor $\\beta$ on VisDA, features are quickly clustering and forming inter-class boundaries, since the ratio of features which share the same and correct prediction with neighbors are increasing faster. When decaying factor $\\beta$ is too small, meaning training signal from the second term is strong, the clustering process is actually impeded. The curves in Fig. 2 (left) signify that this ratio can also be used to choose $\\beta$ with higher performance unsupervisedly. ", + "bbox": [ + 173, + 800, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/b80a2f0e0a5dfae44e78f609fb3e6ecd0d90057d4efa703a095b0127ad6de59c.jpg", + "table_caption": [ + "Table 8: Accuracy on Office-Home using ResNet-50 as backbone for Source-free open-set DA. $O S ^ { * }$ , UNK and $H O S$ mean average per-class accuracy across known classes, unknown accuracy and harmonic mean between known and unknown accuracy respectively. " + ], + "table_footnote": [], + "table_body": "
Ar→ClAr→PrAr→RwCl→ArCl→PrCl→Rw
OS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOS
SHOT 67.0 28.0 39.581.8 26.339.887.532.1 47.066.846.2 54.677.527.240.280.025.939.1
AaD 50.7 66.4 57.664.6 69.4 66.973.166.9 69.948.2 81.1 60.559.5 63.5 61.467.4 68.3 67.8
Pr→ArPr→ClPr→RwRw→ArRw→ClRw→PrAvg
OS* UNK HOSOS*UNK HOSOS*UNK HOSOS*UNKHOSOS*UNK HOSOS*UNK HOSOS* UNK HOS
SHOT 66.3 51.1 57.759.331.040.885.8 31.6 46.273.550.6 59.965.328.940.184.4 28.2 42.374.633.9 45.6
AaD 47.3 82.4 60.145.4 72.8 55.968.472.8 70.654.579.0 64.649.069.6 57.569.770.6 70.158.271.963.6
", + "bbox": [ + 176, + 138, + 815, + 223 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/6c23096473ed9ee8edb5e9728797f8df27b139789ffeeede3b47d9f93d1119a1.jpg", + "table_caption": [ + "Table 9: Accuracy on Office-Home using ResNet-50 as backbone for Source-free partial-set DA. " + ], + "table_footnote": [], + "table_body": "
Partial-set DA Ar->C1Ar-→Pr Ar-→Re Cl→ArCl-→PrCl-→RePr→ArPr-→ClPr→Re Re→ArRe-→Cl Re-→Pr Avg.
83.688.872.474.079.076.160.690.181.988.576.8
SHOT-IM SHOT57.9 64.885.292.776.377.688.879.764.3 89.580.668.3 66.485.879.3
AaD67.083.593.180.576.087.678.1 65.690.283.564.387.379.7
", + "bbox": [ + 184, + 246, + 802, + 292 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 306, + 825, + 362 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Source-free partial-set and open-set DA. We provide additional results under source-free partialset and open-set DA (PDA and ODA) setting in Tab. 8 and Tab. 9 respectively, where the open-set detection in ODA follows the same protocol to detect unseen categories as SHOT. On ODA, instead of reporting average per-class accuracy OS = |Cs|×OS∗|C |+1 $\\begin{array} { r } { O S = \\frac { | \\mathcal { C } _ { s } | \\times O S ^ { * } } { | \\mathcal { C } _ { s } | + 1 } + \\frac { 1 \\times \\bar { U } N K } { | \\mathcal { C } _ { s } | + 1 } } \\end{array}$ + 1×UNK|C |+1 where |Cs| is the number of known categories on source domain, we report results of HOS = 2×OS∗×UNKOS∗+UNK , which is harmonic mean between known categories accuracy $O S ^ { * }$ and unknown accuracy UNK. As pointed out by [1], $O S$ is problematic since this metric can be quite high even when unknown class accuracy UNK is 0, while unknown category detection is the key part in open-set DA. We reproduce SHOT under open-set DA and report results of $O S ^ { * }$ , UNK and $H O S$ in Tab. 8, which shows our method gets much better balance between known and unknown accuracy. ", + "bbox": [ + 173, + 378, + 825, + 527 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 547, + 299, + 565 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We proposed to tackle source-free domain adaptation by encouraging similar features in feature space to have similar predictions while dispersing predictions of dissimilar features in feature space, to achieve simultaneously feature clustering and cluster assignment. We introduced an upper bound to our proposed objective, resulting in two simple terms. Further we showed that we can unify several popular domain adaptation, source-free domain adaptation and contrastive learning methods from the perspective of discriminability and diversity. The approach is simple but achieves state-of-the-art performance on several benchmarks, and can be also adapted to source-free open-set and partial-set domain adaptation. ", + "bbox": [ + 174, + 582, + 825, + 693 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgement ", + "text_level": 1, + "bbox": [ + 176, + 713, + 330, + 731 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We acknowledge the support from Huawei Kirin Solution, and the project PID2019-104174GBI00/AEI/10.13039/501100011033 (MINECO, Spain), and the CERCA Programme of Generalitat de Catalunya. ", + "bbox": [ + 176, + 747, + 825, + 789 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "References ", + "text_level": 1, + "bbox": [ + 174, + 809, + 266, + 825 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "[1] Silvia Bucci, Mohammad Reza Loghmani, and Tatiana Tommasi. On the effectiveness of image rotation for open set domain adaptation. In European Conference on Computer Vision, pages 422–438. Springer, 2020. \n[2] Jianlong Chang, Lingfeng Wang, Gaofeng Meng, Shiming Xiang, and Chunhong Pan. Deep adaptive image clustering. In ICCV, pages 5879–5887, 2017. [3] Xinyang Chen, Sinan Wang, Mingsheng Long, and Jianmin Wang. Transferability vs. discriminability: Batch spectral penalization for adversarial domain adaptation. In ICML, pages 1081–1090, 2019. [4] Safa Cicek and Stefano Soatto. Unsupervised domain adaptation via regularized conditional alignment. In ICCV, pages 1416–1425, 2019. 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", + "bbox": [ + 214, + 116, + 339, + 131 + ], + "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? [No] \n(c) Did you discuss any potential negative societal impacts of your work? [No] \n(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 238, + 135, + 825, + 227 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... ", + "bbox": [ + 214, + 231, + 493, + 244 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(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] ", + "bbox": [ + 238, + 248, + 738, + 280 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "3. If you ran experiments... ", + "bbox": [ + 212, + 285, + 393, + 299 + ], + "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] \n(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] \n(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [No] \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)? [No] ", + "bbox": [ + 238, + 303, + 826, + 421 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... ", + "bbox": [ + 215, + 426, + 823, + 440 + ], + "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? [No] \n(c) Did you include any new assets either in the supplemental material or as a URL? [No] \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? [No] ", + "bbox": [ + 238, + 444, + 823, + 551 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "5. If you used crowdsourcing or conducted research with human subjects... ", + "bbox": [ + 214, + 556, + 705, + 570 + ], + "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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Our method can be also adapted to source-free open-set", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 441, + 471, + 453 + ], + "spans": [ + { + "bbox": [ + 141, + 441, + 471, + 453 + ], + "score": 1.0, + "content": "and partial-set DA which further shows the generalization ability of our method.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 142, + 452, + 455, + 464 + ], + "spans": [ + { + "bbox": [ + 142, + 452, + 455, + 464 + ], + "score": 1.0, + "content": "Code is available in https://github.com/Albert0147/AaD_SFDA.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 16 + }, + { + "type": "title", + "bbox": [ + 107, + 481, + 190, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 192, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 192, + 497 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 506, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "Supervised learning methods which are based on training with huge amounts of labeled data are", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 518, + 504, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 504, + 530 + ], + "score": 1.0, + "content": "advancing almost all fields of computer vision. However, the learned models typically perform", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "decently on test data which have a similar distribution with the training set. Significant performance", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 538, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 553 + ], + "score": 1.0, + "content": "degradation will occur if directly applying those models to a new domain different from the training", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "set, where the data distribution (such as variation of background, styles or camera parameter) is", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 562, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 505, + 573 + ], + "score": 1.0, + "content": "considerably different. This kind of distribution shift is formally denoted as domain/distribution", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 571, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 584 + ], + "score": 1.0, + "content": "shift. It limits the generalization of the model to unseen domains which is important in real-world", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "score": 1.0, + "content": "applications. There are several research fields trying to tackle this problem. One of them is Domain", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 594, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 605 + ], + "score": 1.0, + "content": "Adaptation (DA), which aims to reduce the domain shift between the labeled source domain and", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "score": 1.0, + "content": "unlabeled target domain. Typical works [12, 38] resort to learn domain-invariant features, thus", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 614, + 507, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 507, + 630 + ], + "score": 1.0, + "content": "improving generalization ability of the model between different domains. And in the past few years,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 624, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 505, + 640 + ], + "score": 1.0, + "content": "the main research line of domain adaptation is either trying to minimize the distribution discrepancy", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "between two domains [32, 33, 35], or deploying adversarial training on features to learn domain", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 649, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 660 + ], + "score": 1.0, + "content": "invariant representation [52, 68, 4, 36]. Some methods also tackle domain shift from the view of", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 659, + 337, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 337, + 672 + ], + "score": 1.0, + "content": "semi-supervised learning [67, 27] or clustering [7, 50, 5].", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 108, + 675, + 504, + 698 + ], + "lines": [ + { + "bbox": [ + 106, + 675, + 506, + 688 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 506, + 688 + ], + "score": 1.0, + "content": "Many recent methods [24, 29, 64, 66, 55, 15, 61] focus on source-free domain adaptation (SFDA),", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "where source data are unavailable during target adaptation, due to data privacy and intellectual", + "type": "text" + } + ], + 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This", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 142, + 344, + 470, + 355 + ], + "spans": [ + { + "bbox": [ + 142, + 344, + 470, + 355 + ], + "score": 1.0, + "content": "objective encourages local neighborhood features in feature space to have similar", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 353, + 471, + 366 + ], + "spans": [ + { + "bbox": [ + 141, + 353, + 471, + 366 + ], + "score": 1.0, + "content": "predictions while features farther away in feature space have dissimilar predictions,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 365, + 470, + 377 + ], + "spans": [ + { + "bbox": [ + 141, + 365, + 470, + 377 + ], + "score": 1.0, + "content": "leading to efficient feature clustering and cluster assignment simultaneously. For", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 375, + 469, + 388 + ], + "spans": [ + { + "bbox": [ + 141, + 375, + 469, + 388 + ], + "score": 1.0, + "content": "efficient training, we seek to optimize an upper-bound of the objective resulting", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 387, + 469, + 399 + ], + "spans": [ + { + "bbox": [ + 141, + 387, + 469, + 399 + ], + "score": 1.0, + "content": "in two simple terms. Furthermore, we relate popular existing methods in domain", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 397, + 470, + 410 + ], + "spans": [ + { + "bbox": [ + 141, + 397, + 470, + 410 + ], + "score": 1.0, + "content": "adaptation, source-free domain adaptation and contrastive learning via the perspec-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 408, + 469, + 421 + ], + "spans": [ + { + "bbox": [ + 141, + 408, + 469, + 421 + ], + "score": 1.0, + "content": "tive of discriminability and diversity. The experimental results prove the superiority", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 419, + 469, + 431 + ], + "spans": [ + { + "bbox": [ + 141, + 419, + 469, + 431 + ], + "score": 1.0, + "content": "of our method, and our method can be adopted as a simple but strong baseline for", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 430, + 470, + 442 + ], + "spans": [ + { + "bbox": [ + 141, + 430, + 470, + 442 + ], + "score": 1.0, + "content": "future research in SFDA. Our method can be also adapted to source-free open-set", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 441, + 471, + 453 + ], + "spans": [ + { + "bbox": [ + 141, + 441, + 471, + 453 + ], + "score": 1.0, + "content": "and partial-set DA which further shows the generalization ability of our method.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 142, + 452, + 455, + 464 + ], + "spans": [ + { + "bbox": [ + 142, + 452, + 455, + 464 + ], + "score": 1.0, + "content": "Code is available in https://github.com/Albert0147/AaD_SFDA.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 16, + "bbox_fs": [ + 141, + 299, + 471, + 464 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 481, + 190, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 192, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 192, + 497 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 506, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "Supervised learning methods which are based on training with huge amounts of labeled data are", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 518, + 504, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 504, + 530 + ], + "score": 1.0, + "content": "advancing almost all fields of computer vision. However, the learned models typically perform", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "decently on test data which have a similar distribution with the training set. Significant performance", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 538, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 553 + ], + "score": 1.0, + "content": "degradation will occur if directly applying those models to a new domain different from the training", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "set, where the data distribution (such as variation of background, styles or camera parameter) is", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 562, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 505, + 573 + ], + "score": 1.0, + "content": "considerably different. This kind of distribution shift is formally denoted as domain/distribution", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 571, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 584 + ], + "score": 1.0, + "content": "shift. It limits the generalization of the model to unseen domains which is important in real-world", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "score": 1.0, + "content": "applications. There are several research fields trying to tackle this problem. One of them is Domain", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 594, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 605 + ], + "score": 1.0, + "content": "Adaptation (DA), which aims to reduce the domain shift between the labeled source domain and", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "score": 1.0, + "content": "unlabeled target domain. Typical works [12, 38] resort to learn domain-invariant features, thus", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 614, + 507, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 507, + 630 + ], + "score": 1.0, + "content": "improving generalization ability of the model between different domains. And in the past few years,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 624, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 505, + 640 + ], + "score": 1.0, + "content": "the main research line of domain adaptation is either trying to minimize the distribution discrepancy", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "between two domains [32, 33, 35], or deploying adversarial training on features to learn domain", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 649, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 660 + ], + "score": 1.0, + "content": "invariant representation [52, 68, 4, 36]. 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MethodExtra Modules/ProcessingODA/PDA[C|Per-class
SHOT[26] 3C-GAN [24]Access all target data for pseudo labeling×382.9
A²Net [61]Data generation by conditional GAN5 581.6 84.3
G-SFDA [66]Self-supervised learning with extra classifiersX
NRC[64]Store features for nearest neighbor retrievalX285.4
HCL [15]Store features for 2-hop nearest neighbor retrieval Store historical modelsX √4 285.9 83.5
Ours√288.0
Store features for nearest neighbor retrieval
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Additionally, extra experiments on", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 359, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 506, + 374 + ], + "score": 1.0, + "content": "open-set and partial-set DA further prove the effectiveness of our method. A preliminary comparison", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "score": 1.0, + "content": "between different SFDA method is shown in Tab. 1, which shows the simplicity and generalization", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "score": 1.0, + "content": "ability of our method: it only requires the storing of features and a few nearest neighbors searches", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 393, + 391, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 391, + 405 + ], + "score": 1.0, + "content": "without any additional module like a generator [24] or a classifier [61].", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 108, + 409, + 276, + 420 + ], + "lines": [ + { + "bbox": [ + 105, + 408, + 278, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 278, + 421 + ], + "score": 1.0, + "content": "We summary our contributions as follows:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 429, + 506, + 527 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 443 + ], + "score": 1.0, + "content": "• We propose to tackle source-free domain adaptation by optimizing an upperbound of the proposed", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 114, + 440, + 315, + 453 + ], + "spans": [ + { + "bbox": [ + 114, + 440, + 315, + 453 + ], + "score": 1.0, + "content": "clustering objective, which is surprisingly simple.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 455, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 505, + 469 + ], + "score": 1.0, + "content": "• We relate several popular existing methods in domain adaptation, source-free domain adaptation", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 114, + 467, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 114, + 467, + 506, + 480 + ], + "score": 1.0, + "content": "and contrastive learning via the perspective of discriminability and diversity, which is helpful to", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 113, + 477, + 388, + 490 + ], + "spans": [ + { + "bbox": [ + 113, + 477, + 388, + 490 + ], + "score": 1.0, + "content": "understand existing methods and beneficial for future improvement.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 492, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 506 + ], + "score": 1.0, + "content": "• The experimental results prove the efficacy of our method, especially we achieve new state-of-the-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 114, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 114, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "art on the challenging VisDA, and the method can be also extended to source-free open-set and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 113, + 515, + 236, + 527 + ], + "spans": [ + { + "bbox": [ + 113, + 515, + 236, + 527 + ], + "score": 1.0, + "content": "partial-set domain adaptation.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5 + }, + { + "type": "title", + "bbox": [ + 107, + 541, + 197, + 555 + ], + "lines": [ + { + "bbox": [ + 105, + 541, + 198, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 198, + 557 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 106, + 567, + 505, + 666 + ], + "lines": [ + { + "bbox": [ + 106, + 566, + 504, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 504, + 579 + ], + "score": 1.0, + "content": "Domain Adaptation. 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MethodExtra Modules/ProcessingODA/PDA[C|Per-class
SHOT[26] 3C-GAN [24]Access all target data for pseudo labeling×382.9
A²Net [61]Data generation by conditional GAN5 581.6 84.3
G-SFDA [66]Self-supervised learning with extra classifiersX
NRC[64]Store features for nearest neighbor retrievalX285.4
HCL [15]Store features for 2-hop nearest neighbor retrieval Store historical modelsX √4 285.9 83.5
Ours√288.0
Store features for nearest neighbor retrieval
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Experimental results on", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "score": 1.0, + "content": "several benchmarks prove the superiority of our proposed method. Our simple method improves the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 348, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 297, + 362 + ], + "score": 1.0, + "content": "state-of-the-art on the challenging VisDA with", + "type": "text" + }, + { + "bbox": [ + 297, + 349, + 319, + 360 + ], + "score": 0.87, + "content": "2 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 348, + 331, + 362 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 331, + 349, + 358, + 360 + ], + "score": 0.88, + "content": "8 8 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 348, + 505, + 362 + ], + "score": 1.0, + "content": ". Additionally, extra experiments on", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 359, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 506, + 374 + ], + "score": 1.0, + "content": "open-set and partial-set DA further prove the effectiveness of our method. A preliminary comparison", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "score": 1.0, + "content": "between different SFDA method is shown in Tab. 1, which shows the simplicity and generalization", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 394 + ], + "score": 1.0, + "content": "ability of our method: it only requires the storing of features and a few nearest neighbors searches", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 393, + 391, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 391, + 405 + ], + "score": 1.0, + "content": "without any additional module like a generator [24] or a classifier [61].", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 261, + 507, + 405 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 409, + 276, + 420 + ], + "lines": [ + { + "bbox": [ + 105, + 408, + 278, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 278, + 421 + ], + "score": 1.0, + "content": "We summary our contributions as follows:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 408, + 278, + 421 + ] + }, + { + "type": "list", + "bbox": [ + 106, + 429, + 506, + 527 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 443 + ], + "score": 1.0, + "content": "• We propose to tackle source-free domain adaptation by optimizing an upperbound of the proposed", + "type": "text" + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 114, + 440, + 315, + 453 + ], + "spans": [ + { + "bbox": [ + 114, + 440, + 315, + 453 + ], + "score": 1.0, + "content": "clustering objective, which is surprisingly simple.", + "type": "text" + } + ], + "index": 25, + "is_list_end_line": true + }, + { + "bbox": [ + 105, + 455, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 505, + 469 + ], + "score": 1.0, + "content": "• We relate several popular existing methods in domain adaptation, source-free domain adaptation", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 114, + 467, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 114, + 467, + 506, + 480 + ], + "score": 1.0, + "content": "and contrastive learning via the perspective of discriminability and diversity, which is helpful to", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 113, + 477, + 388, + 490 + ], + "spans": [ + { + "bbox": [ + 113, + 477, + 388, + 490 + ], + "score": 1.0, + "content": "understand existing methods and beneficial for future improvement.", + "type": "text" + } + ], + "index": 28, + "is_list_end_line": true + }, + { + "bbox": [ + 105, + 492, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 506 + ], + "score": 1.0, + "content": "• The experimental results prove the efficacy of our method, especially we achieve new state-of-the-", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 114, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 114, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "art on the challenging VisDA, and the method can be also extended to source-free open-set and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 113, + 515, + 236, + 527 + ], + "spans": [ + { + "bbox": [ + 113, + 515, + 236, + 527 + ], + "score": 1.0, + "content": "partial-set domain adaptation.", + "type": "text" + } + ], + "index": 31, + "is_list_end_line": true + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 428, + 506, + 527 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 541, + 197, + 555 + ], + "lines": [ + { + "bbox": [ + 105, + 541, + 198, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 198, + 557 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 106, + 567, + 505, + 666 + ], + "lines": [ + { + "bbox": [ + 106, + 566, + 504, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 504, + 579 + ], + "score": 1.0, + "content": "Domain Adaptation. Early DA methods such as [33, 49, 53] adopt moment matching to align", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 577, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 505, + 590 + ], + "score": 1.0, + "content": "feature distributions. For adversarial learning methods, DANN [9] formulates domain adaptation as", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 589, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 506, + 602 + ], + "score": 1.0, + "content": "an adversarial two-player game. The adversarial training of CDAN [34] is conditioned on several", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 600, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 505, + 612 + ], + "score": 1.0, + "content": "sources of information. DIRT-T [47] performs domain adversarial training with an added term that", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 611, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 505, + 624 + ], + "score": 1.0, + "content": "penalizes violations of the cluster assumption. Additionally, [22, 36, 44] adopts prediction diversity", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 622, + 506, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 506, + 635 + ], + "score": 1.0, + "content": "between multiple learnable classifiers to achieve local or category-level feature alignment between", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "source and target domains. SRDC [50] proposes to directly uncover the intrinsic target discrimination", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 642, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 505, + 658 + ], + "score": 1.0, + "content": "via discriminative clustering to achieve adaptation. CST [31] proposes a simple self-training strategy", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 655, + 325, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 325, + 666 + ], + "score": 1.0, + "content": "to improve the rough pseudo label under domain shift.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 566, + 506, + 666 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "Source-free Domain Adaptation. The above-mentioned normal domain adaptation methods need", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "to access source domain data at all time during adaptation. In recent years plenty of methods", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "emerge trying to tackle source-free domain adaptation. USFDA [20] and FS [21] resort to synthesize", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "extra training samples in order to get compact decision boundaries, which is beneficial for both", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43.5, + "bbox_fs": [ + 105, + 678, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 72, + 307, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 71, + 308, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 71, + 308, + 86 + ], + "score": 1.0, + "content": "Algorithm 1 Attracting and Dispersing for SFDA", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table", + "bbox": [ + 108, + 87, + 499, + 159 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 108, + 87, + 499, + 159 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 87, + 499, + 159 + ], + "spans": [ + { + "bbox": [ + 108, + 87, + 499, + 159 + ], + "score": 0.619, + "html": "
Require: Source-pretrained model and target data Dt
1:Build memory bank storing all target features and predictions
2: while Adaptation do
3:Sample batch T from Dt and Update memory bank
4:For each feature zi in T,retrieve K-nearest neighbors (Ci)and their predictions from memory bank
5:Update model by minimizing Eq. 5
6: end while
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SHOT [26] proposes to freeze the source", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 191, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 506, + 207 + ], + "score": 1.0, + "content": "classifier and it clusters target features by maximizing mutual information along with pseudo labeling", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 204, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 506, + 217 + ], + "score": 1.0, + "content": "for extra supervision. 3C-GAN [24] synthesizes labeled target-style training images. It is based on a", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 215, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 215, + 506, + 228 + ], + "score": 1.0, + "content": "conditional GAN to provide supervision for adaptation. 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HCL [15] adopts", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 246, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 262 + ], + "score": 1.0, + "content": "Instance Discrimination [60] for features from current and historical models to cluster features, along", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "score": 1.0, + "content": "with a generated pseudo label conditioned on historical consistency. G-SFDA [66] and NRC [64]", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 270, + 498, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 498, + 283 + ], + "score": 1.0, + "content": "propose neighborhood clustering which enforces prediction consistency between local neighbors.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 295, + 506, + 437 + ], + "lines": [ + { + "bbox": [ + 105, + 294, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 505, + 308 + ], + "score": 1.0, + "content": "Deep Clustering and Contrastive Learning. Recent Deep Clustering methods can be roughly", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 305, + 507, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 507, + 319 + ], + "score": 1.0, + "content": "divided into two groups, they the differ in how they learn the feature representation and cluster as-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 316, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 506, + 331 + ], + "score": 1.0, + "content": "signments, either simultaneously or alternatively. For example, DAC [2] and DCCM [58] alternately", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 327, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 506, + 341 + ], + "score": 1.0, + "content": "update cluster assignments and between-sample similarity. Simultaneous clustering methods IIC [18]", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 339, + 506, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 506, + 351 + ], + "score": 1.0, + "content": "and ISMAT [14] are based on mutual information maximizing between samples and theirs augmenta-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 350, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 506, + 362 + ], + "score": 1.0, + "content": "tions. LA [70] depends on a huge amount of nearest neighbor searches and multiple extra runs of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 360, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 113, + 370 + ], + "score": 0.6, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 360, + 506, + 374 + ], + "score": 1.0, + "content": "-means clustering to aggregate features. Recent unsupervised clustering works [25, 51, 46] start to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 370, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 104, + 370, + 506, + 385 + ], + "score": 1.0, + "content": "rely on contrastive learning, where InfoNCE [37] is typically deployed. And recently NNCLR [8]", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "proposes to use nearest neighbors in the latent space as positives in contrastive learning to cover", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "score": 1.0, + "content": "more semantic variations than pre-defined transformations. 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We denote", + "type": "text" + }, + { + "bbox": [ + 387, + 548, + 435, + 559 + ], + "score": 0.92, + "content": "\\boldsymbol { P } \\in \\mathbb { R } ^ { b s \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 546, + 506, + 563 + ], + "score": 1.0, + "content": "as the prediction", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 559, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 505, + 573 + ], + "score": 1.0, + "content": "matrix in a mini-batch. Regarding the SFDA as an unsupervised clustering problem, we address", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 570, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 583 + ], + "score": 1.0, + "content": "SFDA problem by clustering target features based on the proposed AaD. 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Require: Source-pretrained model and target data Dt
1:Build memory bank storing all target features and predictions
2: while Adaptation do
3:Sample batch T from Dt and Update memory bank
4:For each feature zi in T,retrieve K-nearest neighbors (Ci)and their predictions from memory bank
5:Update model by minimizing Eq. 5
6: end while
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Recent Deep Clustering methods can be roughly", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 305, + 507, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 507, + 319 + ], + "score": 1.0, + "content": "divided into two groups, they the differ in how they learn the feature representation and cluster as-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 316, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 506, + 331 + ], + "score": 1.0, + "content": "signments, either simultaneously or alternatively. For example, DAC [2] and DCCM [58] alternately", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 327, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 506, + 341 + ], + "score": 1.0, + "content": "update cluster assignments and between-sample similarity. 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Recent unsupervised clustering works [25, 51, 46] start to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 370, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 104, + 370, + 506, + 385 + ], + "score": 1.0, + "content": "rely on contrastive learning, where InfoNCE [37] is typically deployed. And recently NNCLR [8]", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "proposes to use nearest neighbors in the latent space as positives in contrastive learning to cover", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "score": 1.0, + "content": "more semantic variations than pre-defined transformations. 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The output of the feature extractor is denoted as feature", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 536, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 107, + 536, + 183, + 549 + ], + "score": 0.89, + "content": "( z _ { i } = f \\left( x \\right) \\in \\mathbb { R } ^ { \\bar { h } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 536, + 215, + 550 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 215, + 537, + 222, + 547 + ], + "score": 0.8, + "content": "h", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 536, + 506, + 550 + ], + "score": 1.0, + "content": "is dimension of the feature space. The output of classifier is denoted", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 546, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 104, + 546, + 118, + 563 + ], + "score": 1.0, + "content": "as", + "type": "text" + }, + { + "bbox": [ + 118, + 549, + 205, + 561 + ], + "score": 0.89, + "content": "( p _ { i } = \\delta ( g ( z _ { i } ) ) \\in \\mathbb { R } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 546, + 237, + 563 + ], + "score": 1.0, + "content": ") where", + "type": "text" + }, + { + "bbox": [ + 237, + 549, + 243, + 559 + ], + "score": 0.75, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 546, + 386, + 563 + ], + "score": 1.0, + "content": "is the softmax function. We denote", + "type": "text" + }, + { + "bbox": [ + 387, + 548, + 435, + 559 + ], + "score": 0.92, + "content": "\\boldsymbol { P } \\in \\mathbb { R } ^ { b s \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 546, + 506, + 563 + ], + "score": 1.0, + "content": "as the prediction", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 559, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 505, + 573 + ], + "score": 1.0, + "content": "matrix in a mini-batch. Regarding the SFDA as an unsupervised clustering problem, we address", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 570, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 583 + ], + "score": 1.0, + "content": "SFDA problem by clustering target features based on the proposed AaD. In additionally, we relate", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 582, + 422, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 422, + 594 + ], + "score": 1.0, + "content": "our method with several existing DA, SFDA and contrastive learning methods.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5, + "bbox_fs": [ + 102, + 480, + 506, + 594 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 607, + 395, + 619 + ], + "lines": [ + { + "bbox": [ + 105, + 607, + 396, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 396, + 622 + ], + "score": 1.0, + "content": "3.1 Attracting and Dispersing for Source-free Domain Adaptation", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 628, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 106, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "Since the source-pretrained model already learns a good feature representation, it can provides a", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "decent initialization for target adaptation. We propose to achieve SFDA by attracting predictions for", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "score": 1.0, + "content": "features that are located close in feature space, while dispersing predictions of those features farther", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 662, + 198, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 198, + 675 + ], + "score": 1.0, + "content": "away in feature space.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 629, + 506, + 675 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 147, + 690 + ], + "score": 1.0, + "content": "We define", + "type": "text" + }, + { + "bbox": [ + 147, + 680, + 160, + 690 + ], + "score": 0.83, + "content": "p _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 677, + 291, + 690 + ], + "score": 1.0, + "content": "as the probability that the feature", + "type": "text" + }, + { + "bbox": [ + 291, + 677, + 325, + 689 + ], + "score": 0.92, + "content": "z _ { i } \\in \\mathbb { R } ^ { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "has similar (or the same) prediction to feature", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 108, + 690, + 504, + 712 + ], + "spans": [ + { + "bbox": [ + 108, + 690, + 192, + 712 + ], + "score": 0.91, + "content": "\\begin{array} { r } { z _ { j } \\colon p _ { i j } = \\frac { e ^ { p _ { i } ^ { T } p _ { j } } } { \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { t } p _ { k } } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 693, + 365, + 708 + ], + "score": 1.0, + "content": "It can be interpreted as the possibility that", + "type": "text" + }, + { + "bbox": [ + 365, + 696, + 375, + 707 + ], + "score": 0.85, + "content": "p _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 693, + 494, + 708 + ], + "score": 1.0, + "content": "is selected as the neighbor of", + "type": "text" + }, + { + "bbox": [ + 495, + 697, + 504, + 706 + ], + "score": 0.79, + "content": "p _ { i }", + "type": "inline_equation" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 711, + 205, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 205, + 723 + ], + "score": 1.0, + "content": "in the output space [10].", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 677, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 139 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 271, + 85 + ], + "score": 1.0, + "content": "We then define two sets for each feature", + "type": "text" + }, + { + "bbox": [ + 272, + 74, + 281, + 84 + ], + "score": 0.84, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 72, + 361, + 85 + ], + "score": 1.0, + "content": ": close neighbor set", + "type": "text" + }, + { + "bbox": [ + 362, + 73, + 371, + 84 + ], + "score": 0.86, + "content": "\\mathcal { C } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 72, + 418, + 85 + ], + "score": 1.0, + "content": "containing", + "type": "text" + }, + { + "bbox": [ + 419, + 74, + 429, + 83 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 72, + 505, + 85 + ], + "score": 1.0, + "content": "-nearest neighbors", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 117, + 95 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 85, + 127, + 95 + ], + "score": 0.84, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 83, + 361, + 95 + ], + "score": 1.0, + "content": "(with distances as cosine similarity), and background set", + "type": "text" + }, + { + "bbox": [ + 361, + 84, + 372, + 95 + ], + "score": 0.88, + "content": "B _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "which contains the features that", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 92, + 507, + 109 + ], + "spans": [ + { + "bbox": [ + 104, + 92, + 146, + 109 + ], + "score": 1.0, + "content": "are not in", + "type": "text" + }, + { + "bbox": [ + 147, + 95, + 156, + 105 + ], + "score": 0.87, + "content": "\\mathcal { C } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 92, + 507, + 109 + ], + "score": 1.0, + "content": "(features potentially from different classes). To retrieve nearest neighbors for training,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "we build two memory banks to store all target features along with their predictions just like former", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "score": 1.0, + "content": "works [27, 66, 64, 42], which is efficient in both memory and computation, since only the features", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 127, + 486, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 486, + 139 + ], + "score": 1.0, + "content": "along with their predictions computed in each mini-batch are used to update the memory bank.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 104, + 143, + 504, + 166 + ], + "lines": [ + { + "bbox": [ + 105, + 143, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 218, + 156 + ], + "score": 1.0, + "content": "Intuitively, for each feature", + "type": "text" + }, + { + "bbox": [ + 219, + 146, + 228, + 155 + ], + "score": 0.84, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 143, + 291, + 156 + ], + "score": 1.0, + "content": ", the features in", + "type": "text" + }, + { + "bbox": [ + 291, + 144, + 303, + 155 + ], + "score": 0.87, + "content": "B _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 143, + 505, + 156 + ], + "score": 1.0, + "content": "should have less similar predictions than those in", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 107, + 154, + 351, + 167 + ], + "spans": [ + { + "bbox": [ + 107, + 154, + 120, + 165 + ], + "score": 0.87, + "content": " { { \\mathcal { C } } } _ { i } { } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 154, + 351, + 167 + ], + "score": 1.0, + "content": ". To achieve this, we first define two likelihood functions:", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5 + }, + { + "type": "interline_equation", + "bbox": [ + 129, + 171, + 462, + 205 + ], + "lines": [ + { + "bbox": [ + 129, + 171, + 462, + 205 + ], + "spans": [ + { + "bbox": [ + 129, + 171, + 462, + 205 + ], + "score": 0.94, + "content": "P ( \\mathcal C _ { i } | \\boldsymbol \\theta ) = \\prod _ { j \\in \\mathcal C _ { i } } p _ { i j } = \\prod _ { j \\in \\mathcal C _ { i } } \\frac { e ^ { p _ { i } ^ { T } p _ { j } } } { \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } } , P ( \\mathcal B _ { i } | \\boldsymbol \\theta ) = \\prod _ { j \\in \\mathcal B _ { i } } p _ { i j } = \\prod _ { j \\in \\mathcal B _ { i } } \\frac { e ^ { p _ { i } ^ { T } p _ { j } } } { \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } }", + "type": "interline_equation", + "image_path": "38082fab1521aa3b75d46378d66aa3347f8dc11019d9aa1bc8138861c8d09894.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 129, + 171, + 462, + 182.33333333333334 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 129, + 182.33333333333334, + 462, + 193.66666666666669 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 129, + 193.66666666666669, + 462, + 205.00000000000003 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 210, + 505, + 244 + ], + "lines": [ + { + "bbox": [ + 105, + 209, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 133, + 223 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 211, + 140, + 221 + ], + "score": 0.79, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 209, + 379, + 223 + ], + "score": 1.0, + "content": "denotes parameters of the model, for readability we omit", + "type": "text" + }, + { + "bbox": [ + 380, + 211, + 386, + 221 + ], + "score": 0.81, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 209, + 505, + 223 + ], + "score": 1.0, + "content": "in following equations. The", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 221, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 153, + 234 + ], + "score": 1.0, + "content": "probability", + "type": "text" + }, + { + "bbox": [ + 153, + 223, + 163, + 234 + ], + "score": 0.85, + "content": "p _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 221, + 395, + 234 + ], + "score": 1.0, + "content": "in Eq. 1 is the stored prediction for neighborhood feature", + "type": "text" + }, + { + "bbox": [ + 395, + 223, + 405, + 234 + ], + "score": 0.86, + "content": "z _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 221, + 505, + 234 + ], + "score": 1.0, + "content": ", which is retrieved from", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 232, + 182, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 182, + 245 + ], + "score": 1.0, + "content": "the memory bank.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 248, + 505, + 271 + ], + "lines": [ + { + "bbox": [ + 105, + 246, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 263 + ], + "score": 1.0, + "content": "We then propose to achieve target features clustering by minimizing the following negative log-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 258, + 334, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 196, + 273 + ], + "score": 1.0, + "content": "likelihood, denoted as", + "type": "text" + }, + { + "bbox": [ + 196, + 260, + 217, + 270 + ], + "score": 0.57, + "content": "A a D", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 258, + 334, + 273 + ], + "score": 1.0, + "content": "(Attracting-and-Dispersing):", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "interline_equation", + "bbox": [ + 241, + 276, + 350, + 304 + ], + "lines": [ + { + "bbox": [ + 241, + 276, + 350, + 304 + ], + "spans": [ + { + "bbox": [ + 241, + 276, + 350, + 304 + ], + "score": 0.94, + "content": "\\tilde { L } _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) = - \\log \\frac { P ( \\mathcal { C } _ { i } ) } { P ( \\mathcal { B } _ { i } ) }", + "type": "interline_equation", + "image_path": "bd4096a200c9dcd14be078819d4e6465ca902e387c516eaf9c48a56560061bfe.jpg" + } + ] + } + ], + "index": 16.5, + "virtual_lines": [ + { + "bbox": [ + 241, + 276, + 350, + 290.0 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 241, + 290.0, + 350, + 304.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 308, + 505, + 365 + ], + "lines": [ + { + "bbox": [ + 106, + 309, + 506, + 322 + ], + "spans": [ + { + "bbox": [ + 106, + 309, + 224, + 322 + ], + "score": 1.0, + "content": "Noting that, if we only have", + "type": "text" + }, + { + "bbox": [ + 224, + 309, + 249, + 321 + ], + "score": 0.92, + "content": "P ( \\mathcal { C } _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 309, + 506, + 322 + ], + "score": 1.0, + "content": ", it will be similar to Instance Discrimination [60], but we also", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 320, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 142, + 333 + ], + "score": 1.0, + "content": "consider", + "type": "text" + }, + { + "bbox": [ + 142, + 321, + 168, + 333 + ], + "score": 0.93, + "content": "P ( B _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 320, + 506, + 333 + ], + "score": 1.0, + "content": "and we operate on predictions instead of features. If regarding weights of the classifier", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 331, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 107, + 334, + 113, + 343 + ], + "score": 0.75, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 331, + 505, + 345 + ], + "score": 1.0, + "content": "as classes prototypes, optimizing Eq. 2 is not only pulling features towards their closest neighbors", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 341, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 505, + 356 + ], + "score": 1.0, + "content": "and pushing them away from background features, but also towards (or away from) corresponding", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "score": 1.0, + "content": "class prototypes. Therefore, we can achieve feature clustering and cluster assignment simultaneously.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 369, + 505, + 469 + ], + "lines": [ + { + "bbox": [ + 105, + 369, + 506, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 506, + 382 + ], + "score": 1.0, + "content": "To simplify the training, instead of manually and carefully sampling background features, we use", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 206, + 392 + ], + "score": 1.0, + "content": "all other features except", + "type": "text" + }, + { + "bbox": [ + 207, + 382, + 216, + 391 + ], + "score": 0.84, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 380, + 300, + 392 + ], + "score": 1.0, + "content": "in the mini-batch as", + "type": "text" + }, + { + "bbox": [ + 301, + 380, + 312, + 391 + ], + "score": 0.88, + "content": "B _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 380, + 505, + 392 + ], + "score": 1.0, + "content": ", which can be regarded as an estimation of the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 390, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 405 + ], + "score": 1.0, + "content": "distribution of the whole dataset. We can reasonably believe that overall similarity of features in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 107, + 401, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 107, + 403, + 116, + 413 + ], + "score": 0.83, + "content": "\\mathcal { C } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 401, + 252, + 415 + ], + "score": 1.0, + "content": "is potentially higher than that of", + "type": "text" + }, + { + "bbox": [ + 252, + 402, + 263, + 413 + ], + "score": 0.88, + "content": "B _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 401, + 298, + 415 + ], + "score": 1.0, + "content": ", even if", + "type": "text" + }, + { + "bbox": [ + 298, + 402, + 309, + 413 + ], + "score": 0.88, + "content": "B _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 401, + 398, + 415 + ], + "score": 1.0, + "content": "has intersection with", + "type": "text" + }, + { + "bbox": [ + 398, + 403, + 408, + 413 + ], + "score": 0.87, + "content": "\\mathcal { C } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 401, + 478, + 415 + ], + "score": 1.0, + "content": "since features in", + "type": "text" + }, + { + "bbox": [ + 479, + 402, + 488, + 413 + ], + "score": 0.87, + "content": "\\mathcal { C } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 401, + 505, + 415 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 411, + 506, + 427 + ], + "spans": [ + { + "bbox": [ + 104, + 411, + 214, + 427 + ], + "score": 1.0, + "content": "the closest ones to feature", + "type": "text" + }, + { + "bbox": [ + 214, + 415, + 223, + 424 + ], + "score": 0.85, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 411, + 442, + 427 + ], + "score": 1.0, + "content": ". 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Note all features will show", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "up in both the first and second term; intra-cluster alignment and inter-cluster separability are expected", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 455, + 223, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 223, + 470 + ], + "score": 1.0, + "content": "to be achieved after training.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 473, + 504, + 496 + ], + "lines": [ + { + "bbox": [ + 106, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "One problem optimizing Eq. 2 is that all target data are needed to compute Eq. 1, which is infeasible", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 483, + 389, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 389, + 497 + ], + "score": 1.0, + "content": "in real-world situation. 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N _ { \\mathcal { B } _ { i } } ) \\log ( \\displaystyle \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) } \\end{array}", + "type": "interline_equation", + "image_path": "390575267a73798ff734d2b3d84698a528d3b709a2de299e12ee8d07e73a7ae5.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 129, + 514, + 481, + 536.3333333333334 + ], + "spans": [], + "index": 34 + }, + { + "bbox": [ + 129, + 536.3333333333334, + 481, + 558.6666666666667 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 129, + 558.6666666666667, + 481, + 581.0000000000001 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 593, + 310, + 606 + ], + "lines": [ + { + "bbox": [ + 106, + 592, + 311, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 159, + 608 + ], + "score": 1.0, + "content": "Since we set", + "type": "text" + }, + { + "bbox": [ + 159, + 594, + 206, + 606 + ], + "score": 0.93, + "content": "N _ { \\mathcal { C } _ { i } } < N _ { B _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 592, + 311, + 608 + ], + "score": 1.0, + "content": ", with Jensen’s inequality:", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "interline_equation", + "bbox": [ + 154, + 612, + 456, + 705 + ], + "lines": [ + { + "bbox": [ + 154, + 612, + 456, + 705 + ], + "spans": [ + { + "bbox": [ + 154, + 612, + 456, + 705 + ], + "score": 0.95, + "content": "\\begin{array} { r l } & { \\tilde { L } _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) \\leq - 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N _ { \\mathcal { B } _ { i } } ) \\log N _ { t } } \\end{array}", + "type": "interline_equation", + "image_path": "89d55eee1275a008a78b4522afa6cc3a0e3e2f4d93c2b45d36eb42bf6092db5c.jpg" + } + ] + } + ], + "index": 39, + "virtual_lines": [ + { + "bbox": [ + 154, + 612, + 456, + 643.0 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 154, + 643.0, + 456, + 674.0 + ], + "spans": [], + "index": 39 + }, + { + "bbox": [ + 154, + 674.0, + 456, + 705.0 + ], + "spans": [], + "index": 40 + } + ] + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 119, + 711, + 342, + 722 + ], + "lines": [ + { + "bbox": [ + 119, + 709, + 343, + 724 + ], + "spans": [ + { + "bbox": [ + 119, + 709, + 256, + 724 + ], + "score": 1.0, + "content": "2For better understanding, we refer to", + "type": "text" + }, + { + "bbox": [ + 257, + 713, + 266, + 721 + ], + "score": 0.88, + "content": "\\boldsymbol { B } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 709, + 283, + 724 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 283, + 713, + 292, + 721 + ], + "score": 0.88, + "content": "\\mathcal { C } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 709, + 343, + 724 + ], + "score": 1.0, + "content": "as index sets.", + "type": "text" + } + ] + } + ] + }, + { + "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, + 139 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 271, + 85 + ], + "score": 1.0, + "content": "We then define two sets for each feature", + "type": "text" + }, + { + "bbox": [ + 272, + 74, + 281, + 84 + ], + "score": 0.84, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 72, + 361, + 85 + ], + "score": 1.0, + "content": ": close neighbor set", + "type": "text" + }, + { + "bbox": [ + 362, + 73, + 371, + 84 + ], + "score": 0.86, + "content": "\\mathcal { C } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 72, + 418, + 85 + ], + "score": 1.0, + "content": "containing", + "type": "text" + }, + { + "bbox": [ + 419, + 74, + 429, + 83 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 72, + 505, + 85 + ], + "score": 1.0, + "content": "-nearest neighbors", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 117, + 95 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 85, + 127, + 95 + ], + "score": 0.84, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 83, + 361, + 95 + ], + "score": 1.0, + "content": "(with distances as cosine similarity), and background set", + "type": "text" + }, + { + "bbox": [ + 361, + 84, + 372, + 95 + ], + "score": 0.88, + "content": "B _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "which contains the features that", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 92, + 507, + 109 + ], + "spans": [ + { + "bbox": [ + 104, + 92, + 146, + 109 + ], + "score": 1.0, + "content": "are not in", + "type": "text" + }, + { + "bbox": [ + 147, + 95, + 156, + 105 + ], + "score": 0.87, + "content": "\\mathcal { C } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 92, + 507, + 109 + ], + "score": 1.0, + "content": "(features potentially from different classes). 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The", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 221, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 153, + 234 + ], + "score": 1.0, + "content": "probability", + "type": "text" + }, + { + "bbox": [ + 153, + 223, + 163, + 234 + ], + "score": 0.85, + "content": "p _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 221, + 395, + 234 + ], + "score": 1.0, + "content": "in Eq. 1 is the stored prediction for neighborhood feature", + "type": "text" + }, + { + "bbox": [ + 395, + 223, + 405, + 234 + ], + "score": 0.86, + "content": "z _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 221, + 505, + 234 + ], + "score": 1.0, + "content": ", which is retrieved from", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 232, + 182, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 182, + 245 + ], + "score": 1.0, + "content": "the memory bank.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 209, + 505, + 245 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 248, + 505, + 271 + ], + "lines": [ + { + "bbox": [ + 105, + 246, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 263 + ], + "score": 1.0, + "content": "We then propose to achieve target features clustering by minimizing the following negative log-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 258, + 334, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 196, + 273 + ], + "score": 1.0, + "content": "likelihood, denoted as", + "type": "text" + }, + { + "bbox": [ + 196, + 260, + 217, + 270 + ], + "score": 0.57, + "content": "A a D", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 258, + 334, + 273 + ], + "score": 1.0, + "content": "(Attracting-and-Dispersing):", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 246, + 506, + 273 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 241, + 276, + 350, + 304 + ], + "lines": [ + { + "bbox": [ + 241, + 276, + 350, + 304 + ], + "spans": [ + { + "bbox": [ + 241, + 276, + 350, + 304 + ], + "score": 0.94, + "content": "\\tilde { L } _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) = - \\log \\frac { P ( \\mathcal { C } _ { i } ) } { P ( \\mathcal { B } _ { i } ) }", + "type": "interline_equation", + "image_path": "bd4096a200c9dcd14be078819d4e6465ca902e387c516eaf9c48a56560061bfe.jpg" + } + ] + } + ], + "index": 16.5, + "virtual_lines": [ + { + "bbox": [ + 241, + 276, + 350, + 290.0 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 241, + 290.0, + 350, + 304.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 308, + 505, + 365 + ], + "lines": [ + { + "bbox": [ + 106, + 309, + 506, + 322 + ], + "spans": [ + { + "bbox": [ + 106, + 309, + 224, + 322 + ], + "score": 1.0, + "content": "Noting that, if we only have", + "type": "text" + }, + { + "bbox": [ + 224, + 309, + 249, + 321 + ], + "score": 0.92, + "content": "P ( \\mathcal { C } _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 309, + 506, + 322 + ], + "score": 1.0, + "content": ", it will be similar to Instance Discrimination [60], but we also", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 320, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 142, + 333 + ], + "score": 1.0, + "content": "consider", + "type": "text" + }, + { + "bbox": [ + 142, + 321, + 168, + 333 + ], + "score": 0.93, + "content": "P ( B _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 320, + 506, + 333 + ], + "score": 1.0, + "content": "and we operate on predictions instead of features. 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Therefore, we can achieve feature clustering and cluster assignment simultaneously.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 309, + 506, + 366 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 369, + 505, + 469 + ], + "lines": [ + { + "bbox": [ + 105, + 369, + 506, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 506, + 382 + ], + "score": 1.0, + "content": "To simplify the training, instead of manually and carefully sampling background features, we use", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 206, + 392 + ], + "score": 1.0, + "content": "all other features except", + "type": "text" + }, + { + "bbox": [ + 207, + 382, + 216, + 391 + ], + "score": 0.84, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 380, + 300, + 392 + ], + "score": 1.0, + "content": "in the mini-batch as", + "type": "text" + }, + { + "bbox": [ + 301, + 380, + 312, + 391 + ], + "score": 0.88, + "content": "B _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 380, + 505, + 392 + ], + "score": 1.0, + "content": ", which can be regarded as an estimation of the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 390, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 405 + ], + "score": 1.0, + "content": "distribution of the whole dataset. 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Note all features will show", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "up in both the first and second term; intra-cluster alignment and inter-cluster separability are expected", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 455, + 223, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 223, + 470 + ], + "score": 1.0, + "content": "to be achieved after training.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 369, + 506, + 470 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 473, + 504, + 496 + ], + "lines": [ + { + "bbox": [ + 106, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "One problem optimizing Eq. 2 is that all target data are needed to compute Eq. 1, which is infeasible", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 483, + 389, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 389, + 497 + ], + "score": 1.0, + "content": "in real-world situation. Here we resort to get an upper-bound of Eq. 2:", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 473, + 505, + 497 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 129, + 514, + 481, + 581 + ], + "lines": [ + { + "bbox": [ + 129, + 514, + 481, + 581 + ], + "spans": [ + { + "bbox": [ + 129, + 514, + 481, + 581 + ], + "score": 0.93, + "content": "\\begin{array} { l } { \\tilde { L } _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) = - \\log \\displaystyle \\frac { P ( \\mathcal { C } _ { i } ) } { P ( \\mathcal { B } _ { i } ) } = - \\sum _ { j \\in \\mathcal { C } _ { i } } [ p _ { i } ^ { T } p _ { j } - \\log ( \\displaystyle \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) ] + \\sum _ { m \\in \\mathcal { B } _ { i } } [ p _ { i } ^ { T } p _ { m } - \\log ( \\displaystyle \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) ] } \\\\ { \\displaystyle = - \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } + ( N _ { \\mathcal { C } _ { i } } - N _ { \\mathcal { B } _ { i } } ) \\log ( \\displaystyle \\sum _ { k = 1 } ^ { N _ { t } } e ^ { p _ { i } ^ { T } p _ { k } } ) } \\end{array}", + "type": "interline_equation", + "image_path": "390575267a73798ff734d2b3d84698a528d3b709a2de299e12ee8d07e73a7ae5.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 129, + 514, + 481, + 536.3333333333334 + ], + "spans": [], + "index": 34 + }, + { + "bbox": [ + 129, + 536.3333333333334, + 481, + 558.6666666666667 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 129, + 558.6666666666667, + 481, + 581.0000000000001 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 593, + 310, + 606 + ], + "lines": [ + { + "bbox": [ + 106, + 592, + 311, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 159, + 608 + ], + "score": 1.0, + "content": "Since we set", + "type": "text" + }, + { + "bbox": [ + 159, + 594, + 206, + 606 + ], + "score": 0.93, + "content": "N _ { \\mathcal { C } _ { i } } < N _ { B _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 592, + 311, + 608 + ], + "score": 1.0, + "content": ", with Jensen’s inequality:", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37, + "bbox_fs": [ + 106, + 592, + 311, + 608 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 154, + 612, + 456, + 705 + ], + "lines": [ + { + "bbox": [ + 154, + 612, + 456, + 705 + ], + "spans": [ + { + "bbox": [ + 154, + 612, + 456, + 705 + ], + "score": 0.95, + "content": "\\begin{array} { r l } & { \\tilde { L } _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) \\leq - \\displaystyle \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \\displaystyle \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } + ( N _ { \\mathcal { C } _ { i } } - N _ { \\mathcal { B } _ { i } } ) ( \\displaystyle \\sum _ { k = 1 } ^ { N _ { t } } \\frac { 1 } { N _ { t } } p _ { i } ^ { T } p _ { k } + \\log N _ { t } ) } \\\\ & { \\qquad \\quad \\simeq \\displaystyle \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } - \\displaystyle \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + ( N _ { \\mathcal { C } _ { i } } - N _ { \\mathcal { B } _ { i } } ) ( \\displaystyle \\sum _ { k \\in \\mathcal { B } _ { i } } \\frac { p _ { i } ^ { T } p _ { k } } { N _ { \\mathcal { B } _ { i } } } + \\log N _ { t } ) } \\\\ & { \\qquad \\quad = - \\displaystyle \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \\displaystyle \\frac { N _ { \\mathcal { C } _ { i } } } { N _ { \\mathcal { B } _ { i } } } \\displaystyle \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m } + ( N _ { \\mathcal { C } _ { i } } - N _ { \\mathcal { B } _ { i } } ) \\log N _ { t } } \\end{array}", + "type": "interline_equation", + "image_path": "89d55eee1275a008a78b4522afa6cc3a0e3e2f4d93c2b45d36eb42bf6092db5c.jpg" + } + ] + } + ], + "index": 39, + "virtual_lines": [ + { + "bbox": [ + 154, + 612, + 456, + 643.0 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 154, + 643.0, + 456, + 674.0 + ], + "spans": [], + "index": 39 + }, + { + "bbox": [ + 154, + 674.0, + 456, + 705.0 + ], + "spans": [], + "index": 40 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 164, + 99, + 449, + 163 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 504, + 99 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 77, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 106, + 77, + 380, + 90 + ], + "score": 1.0, + "content": "Table 2: Decomposition of methods into two terms: discriminability", + "type": "text" + }, + { + "bbox": [ + 380, + 78, + 399, + 88 + ], + "score": 0.36, + "content": "( d i s )", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 77, + 455, + 90 + ], + "score": 1.0, + "content": "and diversity", + "type": "text" + }, + { + "bbox": [ + 455, + 78, + 474, + 89 + ], + "score": 0.65, + "content": "( d i \\nu )", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 77, + 505, + 90 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 88, + 230, + 100 + ], + "spans": [ + { + "bbox": [ + 106, + 88, + 230, + 100 + ], + "score": 1.0, + "content": "will be minimized for training.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 164, + 99, + 449, + 163 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 164, + 99, + 449, + 163 + ], + "spans": [ + { + "bbox": [ + 164, + 99, + 449, + 163 + ], + "score": 0.977, + "html": "
MethodTaskdistermdiv term
MISFDA&ClusteringH(Y|X)-H(Y)
BNMDA&SFDA-|PIlF-rank(P)
NCSFDA-g(WijpTpj)∑KL(llge))
InfoNCEContrastive-f(x)Tf(y)/Tlog(+∑ef(x)f(x)/T)
OursSFDA-∑jecppj∑meB:pTPm
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Our algorithm is illustrated in Algorithm. 1.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 505, + 429 + ], + "lines": [ + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "score": 1.0, + "content": "Unlike using a constant for the second term in Eq. 4 we empirically found that using a hyperpa-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 330, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 140, + 342 + ], + "score": 1.0, + "content": "rameter", + "type": "text" + }, + { + "bbox": [ + 140, + 330, + 147, + 340 + ], + "score": 0.81, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 330, + 505, + 342 + ], + "score": 1.0, + "content": "to decay second term (starting from 1) works better, we will adopt SND [43] to tune this", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 341, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 506, + 354 + ], + "score": 1.0, + "content": "hyperparameter unsupervisedly. 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Hence, this will suppress", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "score": 1.0, + "content": "the negative impact of the second term. We will further deepen the understanding of these two terms", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 417, + 198, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 198, + 430 + ], + "score": 1.0, + "content": "in the next subsection.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21.5 + }, + { + "type": "title", + "bbox": [ + 107, + 441, + 245, + 453 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 246, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 246, + 455 + ], + "score": 1.0, + "content": "3.2 Relation to Existing Works", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 461, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "In this section, we will relate several popular DA, SFDA and contrastive learning methods through two", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 473, + 505, + 485 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 505, + 485 + ], + "score": 1.0, + "content": "objectives, discriminability and diversity. This can improve our understanding of domain adaptation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 484, + 357, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 357, + 496 + ], + "score": 1.0, + "content": "methods, as well as improve the understanding of our method.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 506, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 105, + 505, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 505, + 520 + ], + "score": 1.0, + "content": "Mutual Information maximizing (MI). SHOT-IM [26] proposes to achieve source-free domain", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 518, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 505, + 530 + ], + "score": 1.0, + "content": "adaptation by maximizing the mutual information, which is actually widely used in unsupervised", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 528, + 200, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 200, + 541 + ], + "score": 1.0, + "content": "clustering [11, 40, 14]:", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32 + }, + { + "type": "interline_equation", + "bbox": [ + 251, + 546, + 360, + 559 + ], + "lines": [ + { + "bbox": [ + 251, + 546, + 360, + 559 + ], + "spans": [ + { + "bbox": [ + 251, + 546, + 360, + 559 + ], + "score": 0.93, + "content": "{ \\cal L } _ { M I } = H ( Y | X ) - H ( Y )", + "type": "interline_equation", + "image_path": "be91ce1475fe30e8720ce2e3621be48a9d4d55757f51e14c472bd8841ffc5a82.jpg" + } + ] + } + ], + "index": 34, + "virtual_lines": [ + { + "bbox": [ + 251, + 546, + 360, + 559 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 564, + 505, + 609 + ], + "lines": [ + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 320, + 577 + ], + "score": 1.0, + "content": "which contains two terms: conditional entropy term", + "type": "text" + }, + { + "bbox": [ + 320, + 564, + 358, + 577 + ], + "score": 0.93, + "content": "H ( Y | X )", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "to encourages unambiguous cluster", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 575, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 274, + 588 + ], + "score": 1.0, + "content": "assignments, and marginal entropy term", + "type": "text" + }, + { + "bbox": [ + 275, + 576, + 300, + 587 + ], + "score": 0.92, + "content": "H ( Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 575, + 505, + 588 + ], + "score": 1.0, + "content": "to encourage cluster sizes to be uniform to avoid", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 586, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 207, + 599 + ], + "score": 1.0, + "content": "degeneracy. In practice,", + "type": "text" + }, + { + "bbox": [ + 208, + 587, + 233, + 598 + ], + "score": 0.92, + "content": "H ( Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 586, + 505, + 599 + ], + "score": 1.0, + "content": "is approximated by the current mini-batch instead of using whole", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 597, + 173, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 173, + 609 + ], + "score": 1.0, + "content": "dataset [48, 14].", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 619, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "score": 1.0, + "content": "Batch Nuclear-norm Maximization (BNM). 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MethodTaskdistermdiv term
MISFDA&ClusteringH(Y|X)-H(Y)
BNMDA&SFDA-|PIlF-rank(P)
NCSFDA-g(WijpTpj)∑KL(llge))
InfoNCEContrastive-f(x)Tf(y)/Tlog(+∑ef(x)f(x)/T)
OursSFDA-∑jecppj∑meB:pTPm
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Note that we cannot get this upper-bound", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 138, + 200 + ], + "score": 1.0, + "content": "without", + "type": "text" + }, + { + "bbox": [ + 138, + 188, + 164, + 200 + ], + "score": 0.91, + "content": "\\dot { P ( B _ { i } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 187, + 506, + 200 + ], + "score": 1.0, + "content": ". The approximation above in the penultimate line is to estimate the average dot product", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "using the mini-batch data. This leads to the surprisingly simple final objective for unsupervised", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 209, + 186, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 186, + 222 + ], + "score": 1.0, + "content": "domain adaptation:", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6.5, + "bbox_fs": [ + 105, + 176, + 506, + 222 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 170, + 226, + 439, + 254 + ], + "lines": [ + { + "bbox": [ + 170, + 226, + 439, + 254 + ], + "spans": [ + { + "bbox": [ + 170, + 226, + 439, + 254 + ], + "score": 0.91, + "content": "L = \\mathbb { E } [ L _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) ] , \\mathrm { w i t h ~ } L _ { i } ( \\mathcal { C } _ { i } , \\mathcal { B } _ { i } ) = - \\sum _ { j \\in \\mathcal { C } _ { i } } p _ { i } ^ { T } p _ { j } + \\lambda \\sum _ { m \\in \\mathcal { B } _ { i } } p _ { i } ^ { T } p _ { m }", + "type": "interline_equation", + "image_path": "102ad76a5c55204b11f3683212360fe910c8ebdb2ed54aa1530f47bf6a20c1b3.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 170, + 226, + 439, + 235.33333333333334 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 170, + 235.33333333333334, + 439, + 244.66666666666669 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 170, + 244.66666666666669, + 439, + 254.00000000000003 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 258, + 505, + 315 + ], + "lines": [ + { + "bbox": [ + 105, + 257, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 255, + 272 + ], + "score": 1.0, + "content": "Note the gradient will come from both", + "type": "text" + }, + { + "bbox": [ + 256, + 261, + 266, + 270 + ], + "score": 0.86, + "content": "p _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 257, + 282, + 272 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 282, + 260, + 296, + 271 + ], + "score": 0.88, + "content": "p _ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 257, + 505, + 272 + ], + "score": 1.0, + "content": ". The first term aims to enforce prediction consistency", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 270, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 282 + ], + "score": 1.0, + "content": "between local neighbors, and the naive interpretation of second term is to disperse the prediction of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 281, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 506, + 294 + ], + "score": 1.0, + "content": "potential dissimilar features, which are all other features in the mini-batch. Note that the dot product", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 291, + 506, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 506, + 305 + ], + "score": 1.0, + "content": "between two softmaxed predictions will be maximal when two predictions have the same predicted", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 303, + 433, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 433, + 315 + ], + "score": 1.0, + "content": "class and are close to one-hot vector. Our algorithm is illustrated in Algorithm. 1.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 257, + 506, + 315 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 505, + 429 + ], + "lines": [ + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "score": 1.0, + "content": "Unlike using a constant for the second term in Eq. 4 we empirically found that using a hyperpa-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 330, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 140, + 342 + ], + "score": 1.0, + "content": "rameter", + "type": "text" + }, + { + "bbox": [ + 140, + 330, + 147, + 340 + ], + "score": 0.81, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 330, + 505, + 342 + ], + "score": 1.0, + "content": "to decay second term (starting from 1) works better, we will adopt SND [43] to tune this", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 341, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 506, + 354 + ], + "score": 1.0, + "content": "hyperparameter unsupervisedly. One reason may be that the approximation inside Eq. 3.1 is not", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 351, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 366 + ], + "score": 1.0, + "content": "necessarily accurate. And as training goes on, features are gradually clustering, the role of the second", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 362, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 506, + 375 + ], + "score": 1.0, + "content": "term for dispersing should be weakened. Additionally, considering the current mini-batch with the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 374, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 219, + 387 + ], + "score": 1.0, + "content": "correctly predicted features", + "type": "text" + }, + { + "bbox": [ + 220, + 375, + 229, + 385 + ], + "score": 0.83, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 374, + 247, + 387 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 248, + 375, + 261, + 385 + ], + "score": 0.87, + "content": "z _ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 374, + 505, + 387 + ], + "score": 1.0, + "content": "belonging to the same class. In this case the second term in", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 384, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 127, + 398 + ], + "score": 1.0, + "content": "both", + "type": "text" + }, + { + "bbox": [ + 128, + 385, + 169, + 396 + ], + "score": 0.91, + "content": "L _ { i } ( \\mathcal { C } _ { i } , B _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 384, + 189, + 398 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 189, + 385, + 243, + 397 + ], + "score": 0.93, + "content": "L _ { m } ( \\mathcal { C } _ { m } , B _ { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 384, + 302, + 398 + ], + "score": 1.0, + "content": "tends to push", + "type": "text" + }, + { + "bbox": [ + 302, + 386, + 316, + 396 + ], + "score": 0.86, + "content": "p _ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 384, + 506, + 398 + ], + "score": 1.0, + "content": "to the wrong direction, while the first term in", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 107, + 395, + 506, + 409 + ], + "spans": [ + { + "bbox": [ + 107, + 396, + 161, + 407 + ], + "score": 0.91, + "content": "L _ { m } ( \\mathcal { C } _ { m } , B _ { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 395, + 506, + 409 + ], + "score": 1.0, + "content": "can potentially keep current (correct) prediction unchanged. Hence, this will suppress", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "score": 1.0, + "content": "the negative impact of the second term. We will further deepen the understanding of these two terms", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 417, + 198, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 198, + 430 + ], + "score": 1.0, + "content": "in the next subsection.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 318, + 506, + 430 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 441, + 245, + 453 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 246, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 246, + 455 + ], + "score": 1.0, + "content": "3.2 Relation to Existing Works", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 461, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "In this section, we will relate several popular DA, SFDA and contrastive learning methods through two", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 473, + 505, + 485 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 505, + 485 + ], + "score": 1.0, + "content": "objectives, discriminability and diversity. This can improve our understanding of domain adaptation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 484, + 357, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 357, + 496 + ], + "score": 1.0, + "content": "methods, as well as improve the understanding of our method.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 461, + 505, + 496 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 506, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 105, + 505, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 505, + 520 + ], + "score": 1.0, + "content": "Mutual Information maximizing (MI). SHOT-IM [26] proposes to achieve source-free domain", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 518, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 505, + 530 + ], + "score": 1.0, + "content": "adaptation by maximizing the mutual information, which is actually widely used in unsupervised", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 528, + 200, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 200, + 541 + ], + "score": 1.0, + "content": "clustering [11, 40, 14]:", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 505, + 505, + 541 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 251, + 546, + 360, + 559 + ], + "lines": [ + { + "bbox": [ + 251, + 546, + 360, + 559 + ], + "spans": [ + { + "bbox": [ + 251, + 546, + 360, + 559 + ], + "score": 0.93, + "content": "{ \\cal L } _ { M I } = H ( Y | X ) - H ( Y )", + "type": "interline_equation", + "image_path": "be91ce1475fe30e8720ce2e3621be48a9d4d55757f51e14c472bd8841ffc5a82.jpg" + } + ] + } + ], + "index": 34, + "virtual_lines": [ + { + "bbox": [ + 251, + 546, + 360, + 559 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 564, + 505, + 609 + ], + "lines": [ + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 320, + 577 + ], + "score": 1.0, + "content": "which contains two terms: conditional entropy term", + "type": "text" + }, + { + "bbox": [ + 320, + 564, + 358, + 577 + ], + "score": 0.93, + "content": "H ( Y | X )", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "to encourages unambiguous cluster", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 575, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 274, + 588 + ], + "score": 1.0, + "content": "assignments, and marginal entropy term", + "type": "text" + }, + { + "bbox": [ + 275, + 576, + 300, + 587 + ], + "score": 0.92, + "content": "H ( Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 575, + 505, + 588 + ], + "score": 1.0, + "content": "to encourage cluster sizes to be uniform to avoid", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 586, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 207, + 599 + ], + "score": 1.0, + "content": "degeneracy. In practice,", + "type": "text" + }, + { + "bbox": [ + 208, + 587, + 233, + 598 + ], + "score": 0.92, + "content": "H ( Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 586, + 505, + 599 + ], + "score": 1.0, + "content": "is approximated by the current mini-batch instead of using whole", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 597, + 173, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 173, + 609 + ], + "score": 1.0, + "content": "dataset [48, 14].", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 564, + 506, + 609 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 619, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "score": 1.0, + "content": "Batch Nuclear-norm Maximization (BNM). BNM [5, 6] aims to increase prediction discrim-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 631, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 452, + 644 + ], + "score": 1.0, + "content": "inability and diversity to tackle domain shift. It is originally achieved by maximizing", + "type": "text" + }, + { + "bbox": [ + 453, + 632, + 461, + 641 + ], + "score": 0.84, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 631, + 505, + 644 + ], + "score": 1.0, + "content": "-norm (for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 642, + 405, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 405, + 655 + ], + "score": 1.0, + "content": "discriminability) and rank of prediction matrix (for diversity) respectively:", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 619, + 505, + 655 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 254, + 659, + 357, + 672 + ], + "lines": [ + { + "bbox": [ + 254, + 659, + 357, + 672 + ], + "spans": [ + { + "bbox": [ + 254, + 659, + 357, + 672 + ], + "score": 0.92, + "content": "L = - \\| P \\| _ { F } - r a n k ( P )", + "type": "interline_equation", + "image_path": "bb157af8ace2fd0b9e7f8a17234c6666e151d7c1f7de059b24fa24663cdcff97.jpg" + } + ] + } + ], + "index": 42, + "virtual_lines": [ + { + "bbox": [ + 254, + 659, + 357, + 672 + ], + "spans": [], + "index": 42 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 391, + 690 + ], + "score": 1.0, + "content": "In their paper, they further prove merely maximizing the nuclear norm", + "type": "text" + }, + { + "bbox": [ + 392, + 678, + 414, + 690 + ], + "score": 0.9, + "content": "\\| P \\| _ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "can achieve these two", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 688, + 507, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 507, + 703 + ], + "score": 1.0, + "content": "goals simultaneously. In relation to our method, if target features are well clustering during training,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 307, + 712 + ], + "score": 1.0, + "content": "we can presume the K-nearest neighbors of feature", + "type": "text" + }, + { + "bbox": [ + 308, + 705, + 316, + 711 + ], + "score": 0.86, + "content": "z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "have the same prediction, the first term in Eq. 5", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 709, + 506, + 725 + ], + "spans": [ + { + "bbox": [ + 104, + 709, + 361, + 725 + ], + "score": 1.0, + "content": "can be seen as the summation of diagonal elements of matrix", + "type": "text" + }, + { + "bbox": [ + 361, + 712, + 383, + 721 + ], + "score": 0.91, + "content": "P P ^ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 709, + 506, + 725 + ], + "score": 1.0, + "content": ", which is actually the square", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 71, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 117, + 87 + ], + "score": 1.0, + "content": "of", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 118, + 74, + 126, + 83 + ], + "score": 0.81, + "content": "F", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 127, + 71, + 153, + 87 + ], + "score": 1.0, + "content": "-norm", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 154, + 71, + 259, + 86 + ], + "score": 0.92, + "content": "( \\| P \\| _ { F } = { \\sqrt { t r a c e ( P P ^ { T } ) } } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 260, + 71, + 506, + 87 + ], + "score": 1.0, + "content": ", then it is actually minimizing prediction entropy [5]. As for", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 83, + 506, + 99 + ], + "spans": [ + { + "bbox": [ + 104, + 83, + 410, + 99 + ], + "score": 1.0, + "content": "second term, we can regard it as the summation of non-diagonal element of", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 410, + 84, + 433, + 95 + ], + "score": 0.89, + "content": "P P ^ { T }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 433, + 83, + 506, + 99 + ], + "score": 1.0, + "content": ", it encourages all", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 93, + 506, + 109 + ], + "spans": [ + { + "bbox": [ + 104, + 93, + 281, + 109 + ], + "score": 1.0, + "content": "these non-diagonal elements to be 0 thus the", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 281, + 95, + 384, + 108 + ], + "score": 0.89, + "content": "r a n k ( P P ^ { T } ) = r a n k ( P )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 384, + 93, + 506, + 109 + ], + "score": 1.0, + "content": "is supposed to increase, which", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 108, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 106, + 108, + 506, + 119 + ], + "score": 1.0, + "content": "indicates larger prediction diversity [5]. In a nutshell, compared to SHOT and BNM our method first", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 117, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 131 + ], + "score": 1.0, + "content": "considers local feature structure to cluster target features, which can be treated as an alternative way", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 128, + 506, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 506, + 142 + ], + "score": 1.0, + "content": "to increase discriminability at the late training stage, meanwhile as discussed above our method is", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 139, + 216, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 216, + 153 + ], + "score": 1.0, + "content": "also encouraging diversity.", + "type": "text", + "cross_page": true + } + ], + "index": 6 + } + ], + "index": 44.5, + "bbox_fs": [ + 104, + 677, + 507, + 725 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 71, + 505, + 151 + ], + "lines": [ + { + "bbox": [ + 105, + 71, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 117, + 87 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 74, + 126, + 83 + ], + "score": 0.81, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 71, + 153, + 87 + ], + "score": 1.0, + "content": "-norm", + "type": "text" + }, + { + "bbox": [ + 154, + 71, + 259, + 86 + ], + "score": 0.92, + "content": "( \\| P \\| _ { F } = { \\sqrt { t r a c e ( P P ^ { T } ) } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 71, + 506, + 87 + ], + "score": 1.0, + "content": ", then it is actually minimizing prediction entropy [5]. As for", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 83, + 506, + 99 + ], + "spans": [ + { + "bbox": [ + 104, + 83, + 410, + 99 + ], + "score": 1.0, + "content": "second term, we can regard it as the summation of non-diagonal element of", + "type": "text" + }, + { + "bbox": [ + 410, + 84, + 433, + 95 + ], + "score": 0.89, + "content": "P P ^ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 83, + 506, + 99 + ], + "score": 1.0, + "content": ", it encourages all", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 93, + 506, + 109 + ], + "spans": [ + { + "bbox": [ + 104, + 93, + 281, + 109 + ], + "score": 1.0, + "content": "these non-diagonal elements to be 0 thus the", + "type": "text" + }, + { + "bbox": [ + 281, + 95, + 384, + 108 + ], + "score": 0.89, + "content": "r a n k ( P P ^ { T } ) = r a n k ( P )", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 93, + 506, + 109 + ], + "score": 1.0, + "content": "is supposed to increase, which", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 108, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 106, + 108, + 506, + 119 + ], + "score": 1.0, + "content": "indicates larger prediction diversity [5]. In a nutshell, compared to SHOT and BNM our method first", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 117, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 131 + ], + "score": 1.0, + "content": "considers local feature structure to cluster target features, which can be treated as an alternative way", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 128, + 506, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 506, + 142 + ], + "score": 1.0, + "content": "to increase discriminability at the late training stage, meanwhile as discussed above our method is", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 139, + 216, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 216, + 153 + ], + "score": 1.0, + "content": "also encouraging diversity.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 106, + 161, + 505, + 217 + ], + "lines": [ + { + "bbox": [ + 106, + 162, + 506, + 175 + ], + "spans": [ + { + "bbox": [ + 106, + 162, + 506, + 175 + ], + "score": 1.0, + "content": "Neighborhood Clustering (NC). G-SFDA [66] and NRC [64] are based on neighborhood clus-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 505, + 186 + ], + "score": 1.0, + "content": "tering to tackle SFDA problem. Those works basically contain two major terms in their optimizing", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 183, + 505, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 505, + 197 + ], + "score": 1.0, + "content": "objective: a neighborhood clustering term for prediction consistency and a marginal entropy term", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 194, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 107, + 195, + 132, + 207 + ], + "score": 0.9, + "content": "H ( Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 194, + 505, + 208 + ], + "score": 1.0, + "content": "for prediction diversity. NRC [64] further introduces neighborhood reciprocity to weight the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 205, + 341, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 341, + 219 + ], + "score": 1.0, + "content": "different neighbors. Their loss objective can be written as:", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 9 + }, + { + "type": "interline_equation", + "bbox": [ + 125, + 218, + 487, + 253 + ], + "lines": [ + { + "bbox": [ + 125, + 218, + 487, + 253 + ], + "spans": [ + { + "bbox": [ + 125, + 218, + 487, + 253 + ], + "score": 0.91, + "content": "L _ { i } = - \\sum _ { j \\in \\mathcal { C } _ { i } } g ( W _ { i j } p _ { i } ^ { T } p _ { j } ) + \\sum _ { c = 1 } ^ { C } \\mathbf { K L } ( \\bar { p } _ { c } | | q _ { c } ) , \\mathrm { ~ w i t h ~ } \\bar { p } _ { c } = \\frac { 1 } { n _ { t } } \\sum _ { i } p _ { i } ^ { ( c ) } , \\mathrm { ~ a n d ~ } q _ { \\{ c = 1 , . . . , C \\} } = \\frac { 1 } { C }", + "type": "interline_equation", + "image_path": "d0e403ac5a1cb8d414f11a4ee78ae3ec365d69c1a53c3b9c33ba40fa3b06f0dc.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 125, + 218, + 487, + 229.66666666666666 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 125, + 229.66666666666666, + 487, + 241.33333333333331 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 125, + 241.33333333333331, + 487, + 252.99999999999997 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 254, + 505, + 299 + ], + "lines": [ + { + "bbox": [ + 105, + 254, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 132, + 267 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 255, + 150, + 267 + ], + "score": 0.91, + "content": "W _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 254, + 326, + 267 + ], + "score": 1.0, + "content": "will weight the importance of neighbor and", + "type": "text" + }, + { + "bbox": [ + 327, + 254, + 343, + 267 + ], + "score": 0.91, + "content": "g ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 254, + 506, + 267 + ], + "score": 1.0, + "content": "is log or identity function. Although the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 265, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 505, + 277 + ], + "score": 1.0, + "content": "first term of G-SFDA and NRC is the same as that of our final loss objective Eq. 5, note that our", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "score": 1.0, + "content": "motivation is different as we simultaneously consider similar and dissimilar features, and Eq. 5 is", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 288, + 400, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 400, + 300 + ], + "score": 1.0, + "content": "deduced as an approximated upper-bound of our original objective Eq. 2.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 106, + 304, + 505, + 383 + ], + "lines": [ + { + "bbox": [ + 101, + 299, + 504, + 329 + ], + "spans": [ + { + "bbox": [ + 101, + 299, + 279, + 329 + ], + "score": 1.0, + "content": "And note actually the marginal entropy termAlthough the second term of those metho", + "type": "text" + }, + { + "bbox": [ + 280, + 303, + 504, + 318 + ], + "score": 0.9, + "content": "\\begin{array} { r } { - H ( Y ) = \\sum _ { c = 1 } ^ { C } \\bar { p } _ { c } \\log \\bar { p } _ { c } = \\sum _ { c = 1 } ^ { C } { \\bf K } { \\bf L } \\left( \\bar { p } _ { c } | | q _ { c } \\right) - \\log C . } \\end{array}", + "type": "inline_equation" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "solution where all images are only assigned to some certain classes, the margin entropy term presumes", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "score": 1.0, + "content": "the prior that whole dataset or the mini-batch is class balance/uniformly distributed, which is barely", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 348, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 104, + 348, + 506, + 363 + ], + "score": 1.0, + "content": "true for current benchmarks or in real-world environment. In conclusion, the above three types", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "of methods are actually all to increase discriminability and meanwhile maximize diversity of the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 372, + 262, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 262, + 384 + ], + "score": 1.0, + "content": "prediction, but through different ways.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 393, + 506, + 426 + ], + "lines": [ + { + "bbox": [ + 107, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 107, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "Contrastive Learning. Here we also link our method to InfoNCE [37]), which is widely used in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "contrastive learning. As a recent paper [56] points out that InfoNCE loss can be decomposed into 2", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 415, + 135, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 135, + 428 + ], + "score": 1.0, + "content": "terms:", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 425, + 510, + 452 + ], + "lines": [ + { + "bbox": [ + 111, + 425, + 510, + 452 + ], + "spans": [ + { + "bbox": [ + 111, + 425, + 510, + 452 + ], + "score": 0.91, + "content": "\\chi _ { i n f o N C E } = \\mathbb { E } _ { ( x , y ) \\sim p _ { p o s } } [ - f ( x ) ^ { T } f ( y ) / \\tau ] \\ + \\underset { x \\sim p _ { d a t a } } { \\mathbb { E } } ~ \\underset { \\substack { i = 1 \\sim { p _ { d a t a } } \\ \\{ x _ { i } ^ { - } \\} _ { i = 1 } ^ { M } \\sim p _ { d a t a } } } [ \\log ( e ^ { 1 / \\tau } + \\sum _ { i } e ^ { f ( x _ { i } ^ { - } ) ^ { T } f ( x ) / \\tau } ) ]", + "type": "interline_equation", + "image_path": "b2c261f100ec1a3d7e7e980ea7a952e2a9b8979657de0af6d6eea3cb78ad3c10.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 111, + 425, + 510, + 434.0 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 111, + 434.0, + 510, + 443.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 111, + 443.0, + 510, + 452.0 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 497 + ], + "lines": [ + { + "bbox": [ + 105, + 463, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 505, + 478 + ], + "score": 1.0, + "content": "The first term is denoted as alignment term (with positive pairs) is to make positive pairs of features", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 475, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 505, + 488 + ], + "score": 1.0, + "content": "similar, and the second term denoted as uniformity term with negative pairs encouraging all features", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 486, + 320, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 320, + 499 + ], + "score": 1.0, + "content": "to roughly uniformly distributed in the feature space.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 106, + 502, + 505, + 590 + ], + "lines": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "score": 1.0, + "content": "The Eq. 8 shares some similarity with all the above domain adaptation methods in that the first", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 513, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 526 + ], + "score": 1.0, + "content": "term is for the alignment with positive pairs and the second term is to encourage diversity. But note", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "score": 1.0, + "content": "that the remarkable difference is that the above domain adaptation methods operate in the output", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 536, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 547 + ], + "score": 1.0, + "content": "(prediction) space while contrastive learning is conducted in the (spherical) feature space. Therefore,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 546, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 506, + 558 + ], + "score": 1.0, + "content": "simultaneously feature representation learning and cluster assignment can be achieved for those", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 556, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 506, + 569 + ], + "score": 1.0, + "content": "domain adaptation methods. Note in normal contrastive learning methods, extra KNN or a linear", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "score": 1.0, + "content": "learnable classifier needs to be deployed for final classification, while our model can directly give", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 579, + 156, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 156, + 591 + ], + "score": 1.0, + "content": "predictions.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37.5 + }, + { + "type": "text", + "bbox": [ + 106, + 595, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "We list all above methods in Tab. 2. Finally, returning to Eq. 5, we can also regard the second term", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 606, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 619 + ], + "score": 1.0, + "content": "as a variant of diversity loss to avoid degeneration solution, but without making any category prior", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 617, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 630 + ], + "score": 1.0, + "content": "assumption. Intuitively, with target features forming groups during training, the second term should", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "score": 1.0, + "content": "play less and less important role, otherwise it may destabilize the training. This is similar to the class", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 639, + 504, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 639, + 504, + 651 + ], + "score": 1.0, + "content": "collision issue in contrastive learning. If our second term contains too many features belonging to the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 650, + 343, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 343, + 662 + ], + "score": 1.0, + "content": "same class. Thus it is reasonable to decay the second term.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44.5 + }, + { + "type": "title", + "bbox": [ + 107, + 676, + 191, + 689 + ], + "lines": [ + { + "bbox": [ + 104, + 674, + 193, + 692 + ], + "spans": [ + { + "bbox": [ + 104, + 674, + 193, + 692 + ], + "score": 1.0, + "content": "4 Experiments", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 48 + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "Datasets. We conduct experiments on three benchmark datasets for image classification: Office-31,", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 710, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 506, + 723 + ], + "score": 1.0, + "content": "Office-Home and VisDA-C 2017. Office-31 [41] contains 3 domains (Amazon, Webcam, DSLR)", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 49.5 + } + ], + "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": [ + 106, + 71, + 505, + 151 + ], + "lines": [], + "index": 3, + "bbox_fs": [ + 104, + 71, + 506, + 153 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 161, + 505, + 217 + ], + "lines": [ + { + "bbox": [ + 106, + 162, + 506, + 175 + ], + "spans": [ + { + "bbox": [ + 106, + 162, + 506, + 175 + ], + "score": 1.0, + "content": "Neighborhood Clustering (NC). G-SFDA [66] and NRC [64] are based on neighborhood clus-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 505, + 186 + ], + "score": 1.0, + "content": "tering to tackle SFDA problem. Those works basically contain two major terms in their optimizing", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 183, + 505, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 505, + 197 + ], + "score": 1.0, + "content": "objective: a neighborhood clustering term for prediction consistency and a marginal entropy term", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 194, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 107, + 195, + 132, + 207 + ], + "score": 0.9, + "content": "H ( Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 194, + 505, + 208 + ], + "score": 1.0, + "content": "for prediction diversity. NRC [64] further introduces neighborhood reciprocity to weight the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 205, + 341, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 341, + 219 + ], + "score": 1.0, + "content": "different neighbors. Their loss objective can be written as:", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 162, + 506, + 219 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 125, + 218, + 487, + 253 + ], + "lines": [ + { + "bbox": [ + 125, + 218, + 487, + 253 + ], + "spans": [ + { + "bbox": [ + 125, + 218, + 487, + 253 + ], + "score": 0.91, + "content": "L _ { i } = - \\sum _ { j \\in \\mathcal { C } _ { i } } g ( W _ { i j } p _ { i } ^ { T } p _ { j } ) + \\sum _ { c = 1 } ^ { C } \\mathbf { K L } ( \\bar { p } _ { c } | | q _ { c } ) , \\mathrm { ~ w i t h ~ } \\bar { p } _ { c } = \\frac { 1 } { n _ { t } } \\sum _ { i } p _ { i } ^ { ( c ) } , \\mathrm { ~ a n d ~ } q _ { \\{ c = 1 , . . . , C \\} } = \\frac { 1 } { C }", + "type": "interline_equation", + "image_path": "d0e403ac5a1cb8d414f11a4ee78ae3ec365d69c1a53c3b9c33ba40fa3b06f0dc.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 125, + 218, + 487, + 229.66666666666666 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 125, + 229.66666666666666, + 487, + 241.33333333333331 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 125, + 241.33333333333331, + 487, + 252.99999999999997 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 254, + 505, + 299 + ], + "lines": [ + { + "bbox": [ + 105, + 254, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 132, + 267 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 255, + 150, + 267 + ], + "score": 0.91, + "content": "W _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 254, + 326, + 267 + ], + "score": 1.0, + "content": "will weight the importance of neighbor and", + "type": "text" + }, + { + "bbox": [ + 327, + 254, + 343, + 267 + ], + "score": 0.91, + "content": "g ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 254, + 506, + 267 + ], + "score": 1.0, + "content": "is log or identity function. Although the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 265, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 505, + 277 + ], + "score": 1.0, + "content": "first term of G-SFDA and NRC is the same as that of our final loss objective Eq. 5, note that our", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "score": 1.0, + "content": "motivation is different as we simultaneously consider similar and dissimilar features, and Eq. 5 is", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 288, + 400, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 400, + 300 + ], + "score": 1.0, + "content": "deduced as an approximated upper-bound of our original objective Eq. 2.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 254, + 506, + 300 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 304, + 505, + 383 + ], + "lines": [ + { + "bbox": [ + 101, + 299, + 504, + 329 + ], + "spans": [ + { + "bbox": [ + 101, + 299, + 279, + 329 + ], + "score": 1.0, + "content": "And note actually the marginal entropy termAlthough the second term of those metho", + "type": "text" + }, + { + "bbox": [ + 280, + 303, + 504, + 318 + ], + "score": 0.9, + "content": "\\begin{array} { r } { - H ( Y ) = \\sum _ { c = 1 } ^ { C } \\bar { p } _ { c } \\log \\bar { p } _ { c } = \\sum _ { c = 1 } ^ { C } { \\bf K } { \\bf L } \\left( \\bar { p } _ { c } | | q _ { c } \\right) - \\log C . } \\end{array}", + "type": "inline_equation" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "solution where all images are only assigned to some certain classes, the margin entropy term presumes", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "score": 1.0, + "content": "the prior that whole dataset or the mini-batch is class balance/uniformly distributed, which is barely", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 348, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 104, + 348, + 506, + 363 + ], + "score": 1.0, + "content": "true for current benchmarks or in real-world environment. In conclusion, the above three types", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "of methods are actually all to increase discriminability and meanwhile maximize diversity of the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 372, + 262, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 262, + 384 + ], + "score": 1.0, + "content": "prediction, but through different ways.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 101, + 299, + 506, + 384 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 393, + 506, + 426 + ], + "lines": [ + { + "bbox": [ + 107, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 107, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "Contrastive Learning. Here we also link our method to InfoNCE [37]), which is widely used in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "contrastive learning. As a recent paper [56] points out that InfoNCE loss can be decomposed into 2", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 415, + 135, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 135, + 428 + ], + "score": 1.0, + "content": "terms:", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 393, + 505, + 428 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 425, + 510, + 452 + ], + "lines": [ + { + "bbox": [ + 111, + 425, + 510, + 452 + ], + "spans": [ + { + "bbox": [ + 111, + 425, + 510, + 452 + ], + "score": 0.91, + "content": "\\chi _ { i n f o N C E } = \\mathbb { E } _ { ( x , y ) \\sim p _ { p o s } } [ - f ( x ) ^ { T } f ( y ) / \\tau ] \\ + \\underset { x \\sim p _ { d a t a } } { \\mathbb { E } } ~ \\underset { \\substack { i = 1 \\sim { p _ { d a t a } } \\ \\{ x _ { i } ^ { - } \\} _ { i = 1 } ^ { M } \\sim p _ { d a t a } } } [ \\log ( e ^ { 1 / \\tau } + \\sum _ { i } e ^ { f ( x _ { i } ^ { - } ) ^ { T } f ( x ) / \\tau } ) ]", + "type": "interline_equation", + "image_path": "b2c261f100ec1a3d7e7e980ea7a952e2a9b8979657de0af6d6eea3cb78ad3c10.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 111, + 425, + 510, + 434.0 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 111, + 434.0, + 510, + 443.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 111, + 443.0, + 510, + 452.0 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 497 + ], + "lines": [ + { + "bbox": [ + 105, + 463, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 505, + 478 + ], + "score": 1.0, + "content": "The first term is denoted as alignment term (with positive pairs) is to make positive pairs of features", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 475, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 505, + 488 + ], + "score": 1.0, + "content": "similar, and the second term denoted as uniformity term with negative pairs encouraging all features", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 486, + 320, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 320, + 499 + ], + "score": 1.0, + "content": "to roughly uniformly distributed in the feature space.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 463, + 505, + 499 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 502, + 505, + 590 + ], + "lines": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "score": 1.0, + "content": "The Eq. 8 shares some similarity with all the above domain adaptation methods in that the first", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 513, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 526 + ], + "score": 1.0, + "content": "term is for the alignment with positive pairs and the second term is to encourage diversity. But note", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "score": 1.0, + "content": "that the remarkable difference is that the above domain adaptation methods operate in the output", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 536, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 547 + ], + "score": 1.0, + "content": "(prediction) space while contrastive learning is conducted in the (spherical) feature space. Therefore,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 546, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 506, + 558 + ], + "score": 1.0, + "content": "simultaneously feature representation learning and cluster assignment can be achieved for those", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 556, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 506, + 569 + ], + "score": 1.0, + "content": "domain adaptation methods. Note in normal contrastive learning methods, extra KNN or a linear", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "score": 1.0, + "content": "learnable classifier needs to be deployed for final classification, while our model can directly give", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 579, + 156, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 156, + 591 + ], + "score": 1.0, + "content": "predictions.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37.5, + "bbox_fs": [ + 105, + 503, + 506, + 591 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 595, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "We list all above methods in Tab. 2. Finally, returning to Eq. 5, we can also regard the second term", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 606, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 619 + ], + "score": 1.0, + "content": "as a variant of diversity loss to avoid degeneration solution, but without making any category prior", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 617, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 630 + ], + "score": 1.0, + "content": "assumption. Intuitively, with target features forming groups during training, the second term should", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "score": 1.0, + "content": "play less and less important role, otherwise it may destabilize the training. This is similar to the class", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 639, + 504, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 639, + 504, + 651 + ], + "score": 1.0, + "content": "collision issue in contrastive learning. If our second term contains too many features belonging to the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 650, + 343, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 343, + 662 + ], + "score": 1.0, + "content": "same class. Thus it is reasonable to decay the second term.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44.5, + "bbox_fs": [ + 105, + 595, + 506, + 662 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 676, + 191, + 689 + ], + "lines": [ + { + "bbox": [ + 104, + 674, + 193, + 692 + ], + "spans": [ + { + "bbox": [ + 104, + 674, + 193, + 692 + ], + "score": 1.0, + "content": "4 Experiments", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 48 + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "Datasets. We conduct experiments on three benchmark datasets for image classification: Office-31,", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 710, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 506, + 723 + ], + "score": 1.0, + "content": "Office-Home and VisDA-C 2017. Office-31 [41] contains 3 domains (Amazon, Webcam, DSLR)", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 49.5, + "bbox_fs": [ + 106, + 700, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 127, + 104, + 484, + 223 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 108, + 77, + 502, + 99 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 76, + 503, + 90 + ], + "spans": [ + { + "bbox": [ + 107, + 76, + 189, + 90 + ], + "score": 1.0, + "content": "Table 3: Accuracies", + "type": "text" + }, + { + "bbox": [ + 190, + 78, + 205, + 88 + ], + "score": 0.75, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 76, + 503, + 90 + ], + "score": 1.0, + "content": "on Office-Home for ResNet50-based methods. We highlight the best result", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 108, + 88, + 249, + 100 + ], + "spans": [ + { + "bbox": [ + 108, + 88, + 249, + 100 + ], + "score": 1.0, + "content": "and underline the second best one.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 127, + 104, + 484, + 223 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 127, + 104, + 484, + 223 + ], + "spans": [ + { + "bbox": [ + 127, + 104, + 484, + 223 + ], + "score": 0.982, + "html": "
MethodSFAr→CIAr-→PrAr-→RwCl-→ArCl-→PrCl-→RwPr-→ArPr->CIPr-→RwRw→ArRw→CIRw→PrAvg
ResNet-50[13]X 34.950.058.037.441.946.238.531.260.453.941.2 59.946.1
MCD [44]xxx 48.968.374.661.367.668.857.047.175.169.152.2 79.664.1
CDAN[34]50.770.676.057.670.070.057.450.977.3 70.956.781.665.8
SAFN[63]52.071.776.364.269.971.963.751.477.1 70.957.181.567.3
MDD [69]X 54.973.777.860.071.471.861.253.678.1 72.560.282.368.1
TADA [57]×x 53.172.377.259.171.272.159.753.178.472.460.0 82.967.6
SRDC [50]52.376.381.069.576.278.068.753.881.776.357.1 85.071.3
SHOT[26]√ 57.178.181.568.078.278.167.454.982.273.3 58.884.371.8
A²Net [61]58.479.082.467.579.378.968.056.282.9 74.160.585.072.8
G-SFDA [66]√ 57.978.681.066.777.277.265.656.082.272.057.8 83.471.3
NRC [64]√ 57.780.382.068.179.878.665.356.483.071.058.6 85.672.2
BNM-S [6]√ 57.477.881.767.877.679.367.655.782.273.559.5 84.772.1
Ours59.379.382.168.979.879.567.257.483.172.158.5 85.472.7
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Method[SFplanebcycl buscarhorseknifemcyclpersonplant sktbrd train truck Per-class
ResNet-101[13]55.153.3 61.959.180.617.979.7 31.281.026.573.58.552.4
CDAN+BSP[3]92.461.081.0 57.589.080.690.177.0 84.277.982.138.475.9
MCC[19]88.780.380.5 71.590.193.285.071.6 89.473.885.036.978.8
STAR[36]95.084.084.6 73.091.691.885.9 78.494.484.787.042.282.7
RWOT[62]xxxxx95.1 80.383.790.092.468.092.5 82.287.978.490.468.284.0
3C-GAN [24]94.8 73.468.874.893.195.488.6 84.789.184.783.548.181.6
SHOT[26]v√94.3 88.580.1 57.393.194.980.780.3 91.589.186.358.282.9
A²Net [61]94.0 87.885.666.893.795.185.881.2 91.688.286.556.084.3
G-SFDA [66]96.1 88.385.574.197.195.489.579.4 95.492.989.142.685.4
NRC [64]96.8 91.382.462.496.295.986.180.6 94.894.190.459.785.9
HCL [15]vvv√93.385.480.7 68.591.088.186.078.6 86.688.880.074.783.5
Ours√97.490.580.8 76.297.396.189.882.9 95.593.092.064.788.0
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The column SF in the tables denotes source-free. For Office-31 and Office-Home, we", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 383, + 472 + ], + "score": 1.0, + "content": "show the results of each task and the average accuracy over all tasks", + "type": "text" + }, + { + "bbox": [ + 383, + 460, + 400, + 471 + ], + "score": 0.47, + "content": "{ \\it A } \\nu g", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "in the tables). For VisDA,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "we show accuracy for all classes and average over those classes (Per-class in the table). All results", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 481, + 340, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 340, + 493 + ], + "score": 1.0, + "content": "are the average of three random runs for target adaptation.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 106, + 504, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 504, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 506, + 517 + ], + "score": 1.0, + "content": "Model details. To ensure fair comparison with related methods, we adopt the backbone of a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 515, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 106, + 515, + 506, + 528 + ], + "score": 1.0, + "content": "ResNet-50 [13] for Office-Home and ResNet-101 for VisDA. 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MethodSFAr→CIAr-→PrAr-→RwCl-→ArCl-→PrCl-→RwPr-→ArPr->CIPr-→RwRw→ArRw→CIRw→PrAvg
ResNet-50[13]X 34.950.058.037.441.946.238.531.260.453.941.2 59.946.1
MCD [44]xxx 48.968.374.661.367.668.857.047.175.169.152.2 79.664.1
CDAN[34]50.770.676.057.670.070.057.450.977.3 70.956.781.665.8
SAFN[63]52.071.776.364.269.971.963.751.477.1 70.957.181.567.3
MDD [69]X 54.973.777.860.071.471.861.253.678.1 72.560.282.368.1
TADA [57]×x 53.172.377.259.171.272.159.753.178.472.460.0 82.967.6
SRDC [50]52.376.381.069.576.278.068.753.881.776.357.1 85.071.3
SHOT[26]√ 57.178.181.568.078.278.167.454.982.273.3 58.884.371.8
A²Net [61]58.479.082.467.579.378.968.056.282.9 74.160.585.072.8
G-SFDA [66]√ 57.978.681.066.777.277.265.656.082.272.057.8 83.471.3
NRC [64]√ 57.780.382.068.179.878.665.356.483.071.058.6 85.672.2
BNM-S [6]√ 57.477.881.767.877.679.367.655.782.273.559.5 84.772.1
Ours59.379.382.168.979.879.567.257.483.172.158.5 85.472.7
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Method[SFplanebcycl buscarhorseknifemcyclpersonplant sktbrd train truck Per-class
ResNet-101[13]55.153.3 61.959.180.617.979.7 31.281.026.573.58.552.4
CDAN+BSP[3]92.461.081.0 57.589.080.690.177.0 84.277.982.138.475.9
MCC[19]88.780.380.5 71.590.193.285.071.6 89.473.885.036.978.8
STAR[36]95.084.084.6 73.091.691.885.9 78.494.484.787.042.282.7
RWOT[62]xxxxx95.1 80.383.790.092.468.092.5 82.287.978.490.468.284.0
3C-GAN [24]94.8 73.468.874.893.195.488.6 84.789.184.783.548.181.6
SHOT[26]v√94.3 88.580.1 57.393.194.980.780.3 91.589.186.358.282.9
A²Net [61]94.0 87.885.666.893.795.185.881.2 91.688.286.556.084.3
G-SFDA [66]96.1 88.385.574.197.195.489.579.4 95.492.989.142.685.4
NRC [64]96.8 91.382.462.496.295.986.180.6 94.894.190.459.785.9
HCL [15]vvv√93.385.480.7 68.591.088.186.078.6 86.688.880.074.783.5
Ours√97.490.580.8 76.297.396.189.882.9 95.593.092.064.788.0
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Office-Home [54] contains 4 domains (Real, Clipart, Art, Product)", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 402, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 104, + 402, + 506, + 416 + ], + "score": 1.0, + "content": "with 65 classes and a total of 15,500 images. VisDA (VisDA-C 2017) [39] is a more challenging", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "score": 1.0, + "content": "dataset, with 12-class synthetic-to-real object recognition tasks, its source domain contains of 152k", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 424, + 383, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 288, + 438 + ], + "score": 1.0, + "content": "synthetic images while the target domain has", + "type": "text" + }, + { + "bbox": [ + 288, + 425, + 305, + 435 + ], + "score": 0.71, + "content": "5 5 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 424, + 383, + 438 + ], + "score": 1.0, + "content": "real object images.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5, + "bbox_fs": [ + 104, + 391, + 506, + 438 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 448, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 105, + 447, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 505, + 461 + ], + "score": 1.0, + "content": "Evaluation. The column SF in the tables denotes source-free. For Office-31 and Office-Home, we", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 383, + 472 + ], + "score": 1.0, + "content": "show the results of each task and the average accuracy over all tasks", + "type": "text" + }, + { + "bbox": [ + 383, + 460, + 400, + 471 + ], + "score": 0.47, + "content": "{ \\it A } \\nu g", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "in the tables). For VisDA,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "we show accuracy for all classes and average over those classes (Per-class in the table). All results", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 481, + 340, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 340, + 493 + ], + "score": 1.0, + "content": "are the average of three random runs for target adaptation.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 447, + 506, + 493 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 504, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 504, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 506, + 517 + ], + "score": 1.0, + "content": "Model details. To ensure fair comparison with related methods, we adopt the backbone of a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 515, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 106, + 515, + 506, + 528 + ], + "score": 1.0, + "content": "ResNet-50 [13] for Office-Home and ResNet-101 for VisDA. Specifically, we use the same network", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 527, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 505, + 539 + ], + "score": 1.0, + "content": "architecture as SHOT [26], BNM-S [6], G-SFDA [66] and NRC [64], i.e., the final part of the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 538, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 339, + 550 + ], + "score": 1.0, + "content": "network is: fully connected layer - Batch Normalization", + "type": "text" + }, + { + "bbox": [ + 339, + 538, + 359, + 549 + ], + "score": 0.42, + "content": "I I 7 J", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 538, + 506, + 550 + ], + "score": 1.0, + "content": "- fully connected layer with weight", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 548, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 165, + 560 + ], + "score": 1.0, + "content": "normalization", + "type": "text" + }, + { + "bbox": [ + 166, + 549, + 185, + 560 + ], + "score": 0.45, + "content": "I 4 5 J", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 548, + 505, + 560 + ], + "score": 1.0, + "content": ". We adopt SGD with momentum 0.9 and batch size of 64 for all datasets. The", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 559, + 505, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 505, + 572 + ], + "score": 1.0, + "content": "learning rate for Office-31 and Office-Home is set to 1e-3 for all layers, except for the last two newly", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "added fc layers, where we apply 1e-2. Learning rates are set 10 times smaller for VisDA. We train 40", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 581, + 377, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 377, + 594 + ], + "score": 1.0, + "content": "epochs for Office-31 and Office-Home while 15 epochs for VisDA.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 504, + 506, + 594 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 597, + 505, + 666 + ], + "lines": [ + { + "bbox": [ + 106, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 232, + 610 + ], + "score": 1.0, + "content": "There are two hyperparameters", + "type": "text" + }, + { + "bbox": [ + 233, + 598, + 249, + 609 + ], + "score": 0.91, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 597, + 390, + 610 + ], + "score": 1.0, + "content": "(number of nearest neighbors) and", + "type": "text" + }, + { + "bbox": [ + 390, + 598, + 398, + 608 + ], + "score": 0.71, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 597, + 505, + 610 + ], + "score": 1.0, + "content": ", to ensure fair comparison", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 608, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 134, + 621 + ], + "score": 1.0, + "content": "we set", + "type": "text" + }, + { + "bbox": [ + 135, + 609, + 151, + 621 + ], + "score": 0.9, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 608, + 506, + 621 + ], + "score": 1.0, + "content": "to the same number as previous works G-SFDA [66] and NRC [64], which also resort", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 619, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 257, + 632 + ], + "score": 1.0, + "content": "to nearest neighbors. That is, we set", + "type": "text" + }, + { + "bbox": [ + 257, + 620, + 274, + 631 + ], + "score": 0.91, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 274, + 619, + 495, + 632 + ], + "score": 1.0, + "content": "to 3 on Office-31 and Office-Home, 5 on VisDA. For", + "type": "text" + }, + { + "bbox": [ + 496, + 620, + 502, + 629 + ], + "score": 0.73, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 619, + 506, + 632 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 628, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 153, + 648 + ], + "score": 1.0, + "content": "we set it as", + "type": "text" + }, + { + "bbox": [ + 153, + 631, + 265, + 645 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\lambda = ( 1 + 1 0 * \\frac { i t e r } { m a x \\_ i t e r } ) ^ { - \\beta } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 628, + 363, + 648 + ], + "score": 1.0, + "content": ", where the decay factor", + "type": "text" + }, + { + "bbox": [ + 363, + 632, + 371, + 643 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 628, + 506, + 648 + ], + "score": 1.0, + "content": "controls the decaying speed. We", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 184, + 656 + ], + "score": 1.0, + "content": "directly apply SND", + "type": "text" + }, + { + "bbox": [ + 185, + 644, + 204, + 655 + ], + "score": 0.28, + "content": "I 4 3 J", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 643, + 240, + 656 + ], + "score": 1.0, + "content": "to select", + "type": "text" + }, + { + "bbox": [ + 241, + 645, + 248, + 655 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 643, + 402, + 656 + ], + "score": 1.0, + "content": "unsupervisedly. Based on SND we set", + "type": "text" + }, + { + "bbox": [ + 402, + 644, + 410, + 655 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "to 0 on Office-Home, 2", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 654, + 228, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 228, + 666 + ], + "score": 1.0, + "content": "on Office-31 and 5 on VisDA.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 597, + 506, + 666 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 679, + 218, + 691 + ], + "lines": [ + { + "bbox": [ + 105, + 678, + 220, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 220, + 693 + ], + "score": 1.0, + "content": "4.1 Results and Analysis", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 699, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 107, + 700, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 107, + 700, + 294, + 713 + ], + "score": 1.0, + "content": "Quantitative Results. As shown in Tables", + "type": "text" + }, + { + "bbox": [ + 294, + 700, + 331, + 712 + ], + "score": 0.63, + "content": "3 { - } 5 ( L e f t )", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 700, + 505, + 713 + ], + "score": 1.0, + "content": ", where the top part shows results for the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "source-present methods that use source data during adaptation, and the bottom part shows results for", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 339, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 505, + 352 + ], + "score": 1.0, + "content": "the source-free DA methods. On Office-31 and VisDA, our method gets state-of-the-art performance", + "type": "text", + "cross_page": true + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 352, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 363 + ], + "score": 1.0, + "content": "compared to existing source-free domain adaptation methods, especially on VisDA our method", + "type": "text", + "cross_page": true + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 362, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 262, + 374 + ], + "score": 1.0, + "content": "outperforms others by a large margin", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 263, + 362, + 285, + 373 + ], + "score": 0.84, + "content": "2 . 1 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 285, + 362, + 506, + 374 + ], + "score": 1.0, + "content": "compared to NRC). And our method achieves similar", + "type": "text", + "cross_page": true + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 343, + 385 + ], + "score": 1.0, + "content": "results on Office-Home compared to the more complex", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 344, + 372, + 372, + 383 + ], + "score": 0.85, + "content": "A ^ { \\mathrm { 2 } } \\mathrm { N e t }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 372, + 372, + 505, + 385 + ], + "score": 1.0, + "content": "method (which combines three", + "type": "text", + "cross_page": true + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "classifiers and five objective functions). The reported results clearly demonstrate the efficiency of", + "type": "text", + "cross_page": true + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "the proposed method for source-free domain adaptation. It also achieves similar or better results", + "type": "text", + "cross_page": true + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "score": 1.0, + "content": "compared to domain adaptation methods with access to source data on both Office-Home and VisDA.", + "type": "text", + "cross_page": true + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 251, + 429 + ], + "score": 1.0, + "content": "Note the extension of SHOT called", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 251, + 417, + 290, + 427 + ], + "score": 0.78, + "content": "\\mathrm { S H O T + + }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 291, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "[30] deploys extra self-supervised training and semi-", + "type": "text", + "cross_page": true + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "score": 1.0, + "content": "supervised learning, which are general to improve the results (an evidence is that the source model", + "type": "text", + "cross_page": true + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 298, + 451 + ], + "score": 1.0, + "content": "after these 2 tricks gets huge improvement, e.g.,", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 299, + 438, + 326, + 449 + ], + "score": 0.85, + "content": "6 0 . 2 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 327, + 439, + 376, + 451 + ], + "score": 1.0, + "content": "improves to", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 376, + 438, + 403, + 449 + ], + "score": 0.8, + "content": "6 6 . 6 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 404, + 439, + 505, + 451 + ], + "score": 1.0, + "content": "on Office-Home.), we do", + "type": "text", + "cross_page": true + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 450, + 245, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 245, + 461 + ], + "score": 1.0, + "content": "not list it here for fair comparison.", + "type": "text", + "cross_page": true + } + ], + "index": 28 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 700, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 109, + 110, + 316, + 226 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 505, + 110 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 76, + 506, + 90 + ], + "spans": [ + { + "bbox": [ + 104, + 76, + 218, + 90 + ], + "score": 1.0, + "content": "Table 5: (Left) Accuracies", + "type": "text" + }, + { + "bbox": [ + 219, + 78, + 235, + 88 + ], + "score": 0.67, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 76, + 506, + 90 + ], + "score": 1.0, + "content": "on Office-31 for ResNet50-based methods. We highlight the best", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 505, + 100 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 505, + 100 + ], + "score": 1.0, + "content": "result and underline the second best one. (Right) Ablation study on number of nearest neighbors", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 107, + 99, + 379, + 111 + ], + "spans": [ + { + "bbox": [ + 107, + 100, + 123, + 111 + ], + "score": 0.87, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 99, + 379, + 111 + ], + "score": 1.0, + "content": ". We highlight the best score and underline the second best one.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 109, + 110, + 316, + 226 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 110, + 316, + 226 + ], + "spans": [ + { + "bbox": [ + 109, + 110, + 316, + 226 + ], + "score": 0.935, + "html": "
MethodJSFA→DA→WD-→WW-→DD-→AW→AAvg
MCD [44] CDAN [34] MDD[69]] DMRL[59] MCC[19]X .xxxxx92.2 88.6 92.9 94.1 90.4 90.4 93.4 90.8 95.6 95.498.5 98.6 100.0 98.7 99.9 99.0 100.0 98.6 100.0100.0 69.5 69.7 86.5 71.0 75.0 73.0 71.2 72.669.3 87.7 73.7 88.0 87.9
SRDC [50] SHOT[26] 3C-GAN [24] NRC[64] HCL [15] BNM-S [6]95.8 95.7 94.0 90.1 92.7 93.7 96.0 90.8 94.7 92.5 93.0 92.999.2 98.4 98.5 99.0 98.2 98.2100.0 76.7 77.1 99.9 74.7 74.3 99.8 75.3 77.8 100.0 75.3 75.0 100.0 75.9 77.7 99.9 75.4 75.073.9 89.4 90.8 88.6 89.6 89.4 89.8 89.1
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NcAvg
Office-31NcPer-class
189.1VisDA
289.5386.7
389.9487.4
Office-Home588.0
172.2688.0
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On Office-31 and VisDA, our method gets state-of-the-art performance", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 352, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 363 + ], + "score": 1.0, + "content": "compared to existing source-free domain adaptation methods, especially on VisDA our method", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 362, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 262, + 374 + ], + "score": 1.0, + "content": "outperforms others by a large margin", + "type": "text" + }, + { + "bbox": [ + 263, + 362, + 285, + 373 + ], + "score": 0.84, + "content": "2 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 362, + 506, + 374 + ], + "score": 1.0, + "content": "compared to NRC). And our method achieves similar", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 343, + 385 + ], + "score": 1.0, + "content": "results on Office-Home compared to the more complex", + "type": "text" + }, + { + "bbox": [ + 344, + 372, + 372, + 383 + ], + "score": 0.85, + "content": "A ^ { \\mathrm { 2 } } \\mathrm { N e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 372, + 505, + 385 + ], + "score": 1.0, + "content": "method (which combines three", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "classifiers and five objective functions). The reported results clearly demonstrate the efficiency of", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "the proposed method for source-free domain adaptation. It also achieves similar or better results", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "score": 1.0, + "content": "compared to domain adaptation methods with access to source data on both Office-Home and VisDA.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 251, + 429 + ], + "score": 1.0, + "content": "Note the extension of SHOT called", + "type": "text" + }, + { + "bbox": [ + 251, + 417, + 290, + 427 + ], + "score": 0.78, + "content": "\\mathrm { S H O T + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "[30] deploys extra self-supervised training and semi-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "score": 1.0, + "content": "supervised learning, which are general to improve the results (an evidence is that the source model", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 298, + 451 + ], + "score": 1.0, + "content": "after these 2 tricks gets huge improvement, e.g.,", + "type": "text" + }, + { + "bbox": [ + 299, + 438, + 326, + 449 + ], + "score": 0.85, + "content": "6 0 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 439, + 376, + 451 + ], + "score": 1.0, + "content": "improves to", + "type": "text" + }, + { + "bbox": [ + 376, + 438, + 403, + 449 + ], + "score": 0.8, + "content": "6 6 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 439, + 505, + 451 + ], + "score": 1.0, + "content": "on Office-Home.), we do", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 450, + 245, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 245, + 461 + ], + "score": 1.0, + "content": "not list it here for fair comparison.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 480, + 505, + 579 + ], + "lines": [ + { + "bbox": [ + 106, + 480, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 506, + 493 + ], + "score": 1.0, + "content": "Toy dataset. We carry out an experiment on the twinning moona dataset to ablate the influence of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "two terms in our objective Eq. 5. For the twinning moons dataset, the data from the source domain", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "score": 1.0, + "content": "are represented by two inter-twinning moons, which contain 300 samples each. Data in the target", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 513, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 324, + 526 + ], + "score": 1.0, + "content": "domain are generated through rotating source data by", + "type": "text" + }, + { + "bbox": [ + 324, + 514, + 340, + 524 + ], + "score": 0.86, + "content": "3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 513, + 505, + 526 + ], + "score": 1.0, + "content": ". The domain shift here is instantiated as", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 525, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 506, + 536 + ], + "score": 1.0, + "content": "the rotation degree. 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VisDA
βSND个 Per-class
0 18.1823 77.5 8.2584 83.8
2 8.321486.7
3 8.331187.6
48.3540 88.0
5 8.354388.0
7 8.353088.1
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Office-31
βSND↑ Avg
04.1366 88.0
0.25 4.301689.7
1 4.449489.9
2 4.450189.9
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Office-Home
βSND个 Avg
03.7515 72.7
0.253.7402 72.6
0.5 3.725272.0
1 3.692370.6
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MethodJSFA→DA→WD-→WW-→DD-→AW→AAvg
MCD [44] CDAN [34] MDD[69]] DMRL[59] MCC[19]X .xxxxx92.2 88.6 92.9 94.1 90.4 90.4 93.4 90.8 95.6 95.498.5 98.6 100.0 98.7 99.9 99.0 100.0 98.6 100.0100.0 69.5 69.7 86.5 71.0 75.0 73.0 71.2 72.669.3 87.7 73.7 88.0 87.9
SRDC [50] SHOT[26] 3C-GAN [24] NRC[64] HCL [15] BNM-S [6]95.8 95.7 94.0 90.1 92.7 93.7 96.0 90.8 94.7 92.5 93.0 92.999.2 98.4 98.5 99.0 98.2 98.2100.0 76.7 77.1 99.9 74.7 74.3 99.8 75.3 77.8 100.0 75.3 75.0 100.0 75.9 77.7 99.9 75.4 75.073.9 89.4 90.8 88.6 89.6 89.4 89.8 89.1
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NcAvg
Office-31NcPer-class
189.1VisDA
289.5386.7
389.9487.4
Office-Home588.0
172.2688.0
272.6788.0
372.7
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Data in the target", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 513, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 324, + 526 + ], + "score": 1.0, + "content": "domain are generated through rotating source data by", + "type": "text" + }, + { + "bbox": [ + 324, + 514, + 340, + 524 + ], + "score": 0.86, + "content": "3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 513, + 505, + 526 + ], + "score": 1.0, + "content": ". The domain shift here is instantiated as", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 525, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 506, + 536 + ], + "score": 1.0, + "content": "the rotation degree. 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VisDA
βSND个 Per-class
0 18.1823 77.5 8.2584 83.8
2 8.321486.7
3 8.331187.6
48.3540 88.0
5 8.354388.0
7 8.353088.1
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Office-31
βSND↑ Avg
04.1366 88.0
0.25 4.301689.7
1 4.449489.9
2 4.450189.9
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Office-Home
βSND个 Avg
03.7515 72.7
0.253.7402 72.6
0.5 3.725272.0
1 3.692370.6
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VisDARuntime (s/epoch)Per-class (%)
SHOT618.8282.9
Ours520.1388.0
Ours(10% for memory bank)490.2187.6
Ours(5% for memory bank)482.7787.5
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For the number of nearest neighbors used for the first term", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 396, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 220, + 410 + ], + "score": 1.0, + "content": "in Eq. 5, we show in Tab. 5", + "type": "text" + }, + { + "bbox": [ + 220, + 398, + 249, + 408 + ], + "score": 0.33, + "content": "( R i g h t )", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 396, + 403, + 410 + ], + "score": 1.0, + "content": "our method is robust to the choice of", + "type": "text" + }, + { + "bbox": [ + 403, + 397, + 420, + 409 + ], + "score": 0.9, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 396, + 505, + 410 + ], + "score": 1.0, + "content": ", as the results imply", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 407, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 104, + 407, + 216, + 422 + ], + "score": 1.0, + "content": "that a reasonable choice of", + "type": "text" + }, + { + "bbox": [ + 216, + 408, + 233, + 420 + ], + "score": 0.9, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 407, + 506, + 422 + ], + "score": 1.0, + "content": "(such as 3) works quite well on all datasets, since only considering", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 201, + 432 + ], + "score": 1.0, + "content": "few neighbors (such as", + "type": "text" + }, + { + "bbox": [ + 201, + 419, + 216, + 429 + ], + "score": 0.42, + "content": "1 / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 419, + 471, + 432 + ], + "score": 1.0, + "content": ") may be too noisy if all of them are misclassified, while setting", + "type": "text" + }, + { + "bbox": [ + 471, + 419, + 488, + 430 + ], + "score": 0.9, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "too", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "larger may also potentially include samples of other categories. For larger dataset such as VisDA we", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 440, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 225, + 454 + ], + "score": 1.0, + "content": "can choose a relatively larger", + "type": "text" + }, + { + "bbox": [ + 225, + 441, + 242, + 452 + ], + "score": 0.89, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 440, + 375, + 454 + ], + "score": 1.0, + "content": ". Note the reason why we choose", + "type": "text" + }, + { + "bbox": [ + 376, + 441, + 392, + 452 + ], + "score": 0.91, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 440, + 506, + 454 + ], + "score": 1.0, + "content": "as 5 in main experiments is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 451, + 316, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 316, + 464 + ], + "score": 1.0, + "content": "to compare fairly with G-SFDA [66] and NRC [64].", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 505, + 542 + ], + "lines": [ + { + "bbox": [ + 106, + 476, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 162, + 488 + ], + "score": 1.0, + "content": "Decay factor", + "type": "text" + }, + { + "bbox": [ + 162, + 477, + 171, + 487 + ], + "score": 0.82, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 476, + 505, + 488 + ], + "score": 1.0, + "content": ". According to the analysis in Sec. 3.2, the second term acts like a diversity term to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 486, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 506, + 498 + ], + "score": 1.0, + "content": "avoid that all target features collapse to a limited set of categories. The role of the second term should", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "be weakened during the training, but how to decay the second term is non-trivial. We directly adopt", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 508, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 104, + 508, + 506, + 521 + ], + "score": 1.0, + "content": "SND [43] which computes Soft Neighborhood Density for unsupervised hyperparameter selection of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 519, + 504, + 532 + ], + "spans": [ + { + "bbox": [ + 107, + 522, + 114, + 531 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 519, + 482, + 532 + ], + "score": 1.0, + "content": ". The method is unsupervised and larger SND predicts a better target models. 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VisDARuntime (s/epoch)Per-class (%)
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Ours520.1388.0
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For the number of nearest neighbors used for the first term", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 396, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 220, + 410 + ], + "score": 1.0, + "content": "in Eq. 5, we show in Tab. 5", + "type": "text" + }, + { + "bbox": [ + 220, + 398, + 249, + 408 + ], + "score": 0.33, + "content": "( R i g h t )", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 396, + 403, + 410 + ], + "score": 1.0, + "content": "our method is robust to the choice of", + "type": "text" + }, + { + "bbox": [ + 403, + 397, + 420, + 409 + ], + "score": 0.9, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 396, + 505, + 410 + ], + "score": 1.0, + "content": ", as the results imply", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 407, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 104, + 407, + 216, + 422 + ], + "score": 1.0, + "content": "that a reasonable choice of", + "type": "text" + }, + { + "bbox": [ + 216, + 408, + 233, + 420 + ], + "score": 0.9, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 407, + 506, + 422 + ], + "score": 1.0, + "content": "(such as 3) works quite well on all datasets, since only considering", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 201, + 432 + ], + "score": 1.0, + "content": "few neighbors (such as", + "type": "text" + }, + { + "bbox": [ + 201, + 419, + 216, + 429 + ], + "score": 0.42, + "content": "1 / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 419, + 471, + 432 + ], + "score": 1.0, + "content": ") may be too noisy if all of them are misclassified, while setting", + "type": "text" + }, + { + "bbox": [ + 471, + 419, + 488, + 430 + ], + "score": 0.9, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "too", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "larger may also potentially include samples of other categories. 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Note the reason why we choose", + "type": "text" + }, + { + "bbox": [ + 376, + 441, + 392, + 452 + ], + "score": 0.91, + "content": "N _ { { \\mathcal { C } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 440, + 506, + 454 + ], + "score": 1.0, + "content": "as 5 in main experiments is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 451, + 316, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 316, + 464 + ], + "score": 1.0, + "content": "to compare fairly with G-SFDA [66] and NRC [64].", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14, + "bbox_fs": [ + 104, + 385, + 506, + 464 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 505, + 542 + ], + "lines": [ + { + "bbox": [ + 106, + 476, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 162, + 488 + ], + "score": 1.0, + "content": "Decay factor", + "type": "text" + }, + { + "bbox": [ + 162, + 477, + 171, + 487 + ], + "score": 0.82, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 476, + 505, + 488 + ], + "score": 1.0, + "content": ". According to the analysis in Sec. 3.2, the second term acts like a diversity term to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 486, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 506, + 498 + ], + "score": 1.0, + "content": "avoid that all target features collapse to a limited set of categories. The role of the second term should", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "be weakened during the training, but how to decay the second term is non-trivial. We directly adopt", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 508, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 104, + 508, + 506, + 521 + ], + "score": 1.0, + "content": "SND [43] which computes Soft Neighborhood Density for unsupervised hyperparameter selection of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 519, + 504, + 532 + ], + "spans": [ + { + "bbox": [ + 107, + 522, + 114, + 531 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 519, + 482, + 532 + ], + "score": 1.0, + "content": ". The method is unsupervised and larger SND predicts a better target models. 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Those curves in Fig. 2 left show that the target features", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "are clustering, and those in Fig. 2 right indicate that clear category boundaries are emerging. The", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 280, + 712 + ], + "score": 1.0, + "content": "numbers in the legends denote the deployed", + "type": "text" + }, + { + "bbox": [ + 281, + 702, + 288, + 711 + ], + "score": 0.88, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "and the corresponding final accuracy. 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Ar→ClAr→PrAr→RwCl→ArCl→PrCl→Rw
OS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOS
SHOT 67.0 28.0 39.581.8 26.339.887.532.1 47.066.846.2 54.677.527.240.280.025.939.1
AaD 50.7 66.4 57.664.6 69.4 66.973.166.9 69.948.2 81.1 60.559.5 63.5 61.467.4 68.3 67.8
Pr→ArPr→ClPr→RwRw→ArRw→ClRw→PrAvg
OS* UNK HOSOS*UNK HOSOS*UNK HOSOS*UNKHOSOS*UNK HOSOS*UNK HOSOS* UNK HOS
SHOT 66.3 51.1 57.759.331.040.885.8 31.6 46.273.550.6 59.965.328.940.184.4 28.2 42.374.633.9 45.6
AaD 47.3 82.4 60.145.4 72.8 55.968.472.8 70.654.579.0 64.649.069.6 57.569.770.6 70.158.271.963.6
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Partial-set DA Ar->C1Ar-→Pr Ar-→Re Cl→ArCl-→PrCl-→RePr→ArPr-→ClPr→Re Re→ArRe-→Cl Re-→Pr Avg.
83.688.872.474.079.076.160.690.181.988.576.8
SHOT-IM SHOT57.9 64.885.292.776.377.688.879.764.3 89.580.668.3 66.485.879.3
AaD67.083.593.180.576.087.678.1 65.690.283.564.387.379.7
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We provide additional results under source-free partial-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "score": 1.0, + "content": "set and open-set DA (PDA and ODA) setting in Tab. 8 and Tab. 9 respectively, where the open-set", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 322, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 506, + 336 + ], + "score": 1.0, + "content": "detection in ODA follows the same protocol to detect unseen categories as SHOT. 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The approach is simple but achieves state-of-the-art", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 526, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 506, + 539 + ], + "score": 1.0, + "content": "performance on several benchmarks, and can be also adapted to source-free open-set and partial-set", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 537, + 185, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 185, + 551 + ], + "score": 1.0, + "content": "domain adaptation.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 108, + 565, + 202, + 579 + ], + "lines": [ + { + "bbox": [ + 106, + 564, + 204, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 204, + 581 + ], + "score": 1.0, + "content": "Acknowledgement", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 108, + 592, + 505, + 625 + ], + "lines": [ + { + "bbox": [ + 105, + 591, + 507, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 507, + 604 + ], + "score": 1.0, + "content": "We acknowledge the support from Huawei Kirin Solution, and the project PID2019-104174GB-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 601, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 104, + 601, + 506, + 617 + ], + "score": 1.0, + "content": "I00/AEI/10.13039/501100011033 (MINECO, Spain), and the CERCA Programme of Generalitat de", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 611, + 153, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 153, + 628 + ], + "score": 1.0, + "content": "Catalunya.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35 + }, + { + "type": "title", + "bbox": [ + 107, + 641, + 163, + 654 + ], + "lines": [ + { + "bbox": [ + 106, + 640, + 165, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 165, + 656 + ], + "score": 1.0, + "content": "References", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 109, + 660, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 110, + 659, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 110, + 659, + 506, + 672 + ], + "score": 1.0, + "content": "[1] Silvia Bucci, Mohammad Reza Loghmani, and Tatiana Tommasi. On the effectiveness of image rotation", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 124, + 669, + 507, + 684 + ], + "spans": [ + { + "bbox": [ + 124, + 669, + 507, + 684 + ], + "score": 1.0, + "content": "for open set domain adaptation. In European Conference on Computer Vision, pages 422–438. Springer,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 125, + 680, + 150, + 692 + ], + "spans": [ + { + "bbox": [ + 125, + 680, + 150, + 692 + ], + "score": 1.0, + "content": "2020.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 110, + 700, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 110, + 700, + 505, + 714 + ], + "score": 1.0, + "content": "[2] Jianlong Chang, Lingfeng Wang, Gaofeng Meng, Shiming Xiang, and Chunhong Pan. Deep adaptive", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 125, + 711, + 317, + 723 + ], + "spans": [ + { + "bbox": [ + 125, + 711, + 317, + 723 + ], + "score": 1.0, + "content": "image clustering. 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Ar→ClAr→PrAr→RwCl→ArCl→PrCl→Rw
OS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOSOS*UNK HOS
SHOT 67.0 28.0 39.581.8 26.339.887.532.1 47.066.846.2 54.677.527.240.280.025.939.1
AaD 50.7 66.4 57.664.6 69.4 66.973.166.9 69.948.2 81.1 60.559.5 63.5 61.467.4 68.3 67.8
Pr→ArPr→ClPr→RwRw→ArRw→ClRw→PrAvg
OS* UNK HOSOS*UNK HOSOS*UNK HOSOS*UNKHOSOS*UNK HOSOS*UNK HOSOS* UNK HOS
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AaD 47.3 82.4 60.145.4 72.8 55.968.472.8 70.654.579.0 64.649.069.6 57.569.770.6 70.158.271.963.6
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Partial-set DA Ar->C1Ar-→Pr Ar-→Re Cl→ArCl-→PrCl-→RePr→ArPr-→ClPr→Re Re→ArRe-→Cl Re-→Pr Avg.
83.688.872.474.079.076.160.690.181.988.576.8
SHOT-IM SHOT57.9 64.885.292.776.377.688.879.764.3 89.580.668.3 66.485.879.3
AaD67.083.593.180.576.087.678.1 65.690.283.564.387.379.7
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The approach is simple but achieves state-of-the-art", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 526, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 506, + 539 + ], + "score": 1.0, + "content": "performance on several benchmarks, and can be also adapted to source-free open-set and partial-set", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 537, + 185, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 185, + 551 + ], + "score": 1.0, + "content": "domain adaptation.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 461, + 506, + 551 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 565, + 202, + 579 + ], + "lines": [ + { + "bbox": [ + 106, + 564, + 204, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 204, + 581 + ], + "score": 1.0, + "content": "Acknowledgement", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 108, + 592, + 505, + 625 + ], + "lines": [ + { + "bbox": [ + 105, + 591, + 507, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 507, + 604 + ], + "score": 1.0, + "content": "We acknowledge the support from Huawei Kirin Solution, and the project PID2019-104174GB-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 601, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 104, + 601, + 506, + 617 + ], + "score": 1.0, + "content": "I00/AEI/10.13039/501100011033 (MINECO, Spain), and the CERCA Programme of Generalitat de", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 611, + 153, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 153, + 628 + ], + "score": 1.0, + "content": "Catalunya.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35, + "bbox_fs": [ + 104, + 591, + 507, + 628 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 641, + 163, + 654 + ], + "lines": [ + { + "bbox": [ + 106, + 640, + 165, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 165, + 656 + ], + "score": 1.0, + "content": "References", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "list", + "bbox": [ + 109, + 660, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 110, + 659, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 110, + 659, + 506, + 672 + ], + "score": 1.0, + "content": "[1] Silvia Bucci, Mohammad Reza Loghmani, and Tatiana Tommasi. 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In this work, we present an efficient and affordable post-training quantization approach to compress large Transformer-based models, termed as ZeroQuant. ZeroQuant is an end-to-end quantization and inference pipeline with three main components: (1) a fine-grained hardware-friendly quantization scheme for both weight and activations; (2) a novel affordable layer-by-layer knowledge distillation algorithm (LKD) even without the access to the original training data; (3) a highly-optimized quantization system backend support to remove the quantization/dequantization overhead. As such, we are able to show that: (1) ZeroQuant can reduce the precision for weights and activations to INT8 in a cost-free way for both BERT and GPT-3-style models with minimal accuracy impact, which leads to up to $5 . 1 9 \mathrm { x } / 4 . 1 6 \mathrm { x }$ speedup on those models compared to FP16 inference; (2) ZeroQuant plus LKD affordably quantize the weights in the fully-connected module to INT4 along with INT8 weights in the attention module and INT8 activations, resulting in $3 \mathbf { x }$ memory footprint reduction compared to the FP16 model; (3) ZeroQuant can be directly applied to two of the largest open-sourced language models, including $\mathrm { G P T - J _ { 6 B } }$ and GPT- $\mathrm { \cdot N e o X _ { 2 0 B } }$ , for which our INT8 model achieves similar accuracy as the FP16 model but achieves up to $5 . 2 \mathrm { x }$ better efficiency. + +# 1 Introduction + +Large-scale natural language models have been widely adopted in different applications, e.g., natural language understanding using BERT [64] and generation tasks using GPT-style models [49]. Although those models have achieved cutting-edge accuracy results, as the model size keeps increasing dramatically, the requirements of memory footprint and the computational cost to deploy them become a major bottleneck, even on cloud servers with powerful GPU devices. + +One promising way to alleviate this challenge is quantization, which can reduce the bit precision for both weight and activations for lower memory footprint and faster compute (e.g., INT8 Tensor cores on T4/A100). However, quantization usually requires retraining (also known as quantization aware training, or QAT in short) to recover the accuracy degradation from representation loss of weight and activations. To enable QAT, the full training pipeline is usually required, including the training data and compute resources, to finetune the model. Access to those components is now oftentimes not available, and QAT is also a time-consuming process, particularly for those large-scale models. + +Recently, zero-shot quantization [10, 47] and post-training quantization (PTQ) [46, 39] are proposed to address the training-data access and compute requirement challenges since PTQ generally requires no (or minimal) retraining. But most of those works primarily focus on computer vision problems on relatively small scales. More recently, [7] shows promising PTQ results on BERT. However, (1) its main focus is on high-precision quantization (INT8/FP16) on $\mathbf { B E R T _ { b a s e } }$ , (2) it does not consider other billion-scale generative models (GPT-3-style models [9]). More importantly, most of these works do not report real latency improvement, putting the usefulness of these methods in improving inference latency into question. For example, existing work often do not discuss the quantization/dequantization cost associated with different quantization schemes, which in fact has a big impact to the performance benefit of using low precision. + +Besides, for extreme quantization (e.g., INT4), knowledge distillation is usually used to boost performance, which adds another source of expensive computation cost as compared to QAT. Furthermore, in order to achieve better accuracy performance, hidden-states knowledge distillation, e.g., [3, 81], is usually applied for the quantized model. This would put significant pressure on the GPU memory and the compute resource requirement since both the teacher and student models needed to be loaded into the GPU memory for training. + +In this paper, we present ZeroQuant, an end-to-end post-training quantization and inference pipeline, to address those challenges, targeting both INT8 and INT4/INT8 mixed-precision quantization. Specifically, our contributions are: + +• We apply fine-grained hardware-friendly quantization schemes on both weight and activations, i.e., group-wise quantization for weight and token-wise quantization for activations. Both quantization schemes can significantly reduce the quantization error and retain hardware acceleration properties. +• We propose a novel layer-by-layer knowledge distillation method (LKD) for INT4/INT8 mixedprecision quantization, where the neural network is quantized layer-by-layer through distillation with minimal iterations and even without the access to the original training data. As such, at any given moment, the device memory is primarily populated only with a single extra layer’s footprint, making billion-scale model distillation feasible with limited training budget and GPU devices. +• We develop a highly optimized inference backend, which eliminates the expensive computation cost of quantization/dequantization operators, enabling latency speedups on INT8 Tensor cores on modern GPU hardware. +• Our empirical results show that: – ZeroQuant enables quantizing BERT and GPT-3-style models into INT8 weight and activations to retain accuracy without incurring any retraining cost. Compared to FP16 inference, our INT8 model achieves up to $5 . 1 9 \mathrm { x } / 4 . 1 6 \mathrm { x }$ speedup on $\mathrm { B E R T _ { b a s e } / G P T } { - 3 _ { 3 5 0 \mathrm { M } } }$ on A100 GPUs. ZeroQuant plus LKD can do INT4/INT8 mixed-precision quantization for BERT and GPT3-style models. This results in a $3 \mathbf { x }$ memory footprint reduction with marginal accuracy loss as compared to the FP16 model. Also, thanks to the lightweight of LKD, we can finish the quantization process in 33s (10 minutes) for $\mathbf { B E R T _ { b a s e } }$ $\mathrm { ( B E R T _ { l a r g e } } ,$ ). We also demonstrate that LKD can use other datasets to achieve similar performance to the original training data. We demonstrate the scalability of ZeroQuant on two of the largest open-sourced language models, i.e, $\mathrm { G P T - J _ { 6 B } }$ and GPT- $\mathrm { N e o X } _ { 2 0 \mathrm { B } }$ , with INT8 quantization. ZeroQuant can achieve $3 . 6 7 \mathrm { x }$ speedup over the FP16 model for $\mathrm { G P T - J _ { 6 B } }$ and (2) reduce the GPU requirement for inference from 2 to 1 and latency from $6 5 \mathrm { m s }$ to $2 5 \mathrm { m s }$ for GPT- $\mathrm { \cdot N e o X _ { 2 0 B } }$ (i.e., $5 . 2 \mathrm { x }$ better system efficiency in total). + +# 2 Related Work + +Model compression has been explored from different aspects [26, 38, 40, 35, 44, 21, 25, 51, 19, 76, 41, 27, 56, 60, 29, 61, 69, 34, 15, 39, 32]. Among those, quantization is one of the most promising directions as it directly reduces the memory footprint and compute intensity. Here, we focus on quantization for NLP models and briefly discuss the related work. + +The majority of quantization works can be categorized into quantization-aware training (QAT). [57, 78] are the first few works to quantize BERT models using integer numbers for both weight and activations. Particularly, [57] utilizes Hessian information to push the weight bit-precision to even INT2/INT4, and it also proposes group-wise quantization to quantize the weight matrix in a more fine-grained granularity compared to single matrix quantization. [22] introduces quantization noise to alleviate the variations of QAT. [81, 3] leverage very expensive knowledge distillation [27] and data augmentation [29] to ternarize/binarize weights. [30] combines knowledge distillation [29] and learned step size quantization [20] to quantize the weight to 2–8 bits. Recently, [62] also uses knowledge distillation to compress GPT-2 models on task-specific problems to INT2. All those works quantize models using the original training datasets. More importantly they need retraining or finetuning the full model to recover the accuracy, and such compute cost on extra-large models, like [58, 12], can be hardly affordable for most research labs or practitioners. + +One solution to overcome the compute cost challenge is post-training quantization (PTQ). However, PTQ often induces a significant drop in accuracy because the network can be sensitive to quantization errors. Along this line, one of the first works applied to Transformer-based [65] models is [77]. The authors introduce centroid-based quantization method, where outlier numbers use FP32 format and the rest numbers are quantized using non-uniform quantization. As such, it is hard to get the real inference latency benefit on general compute accelerators, e.g., CPU and GPU, because the parallel processing units in these hardware do not support efficient computation of mixed data types. More recently, [7] introduces high-precision activation quantization (FP16) for part of the model to overcome the high dynamic activation ranges. However, to the best of our knowledge, (1) How to apply PTQ on GPT-3-style models while achieving high accuracy has not been studied in any of previous work yet; (2) How to apply PTQ on billion (or even a dozen of billions) scale model is still under-explored; (3) Efficient inference system backend is still missing, especially for fine-grained quantization schemes, making it hard to achieve low latency on commodity hardware. ZeroQuant resolves all those limitations by considering the system backend into the algorithm design and we verify its capability on both BERT and large-scale GPT-3-style (up to 20 billion, i.e., GP $\left[ - \mathrm { N e o } \mathrm { X } _ { 2 0 \mathrm { B } } \right]$ ) models for various tasks. + +# 3 Background and Challenge + +# 3.1 Transformer Architecture + +The transformer architecture usually has three components: an embedding layer, a stack of encoder/decoder layers, and a final classifier. In this paper, we focus on quantizing the encoder/decoder layers, i.e., the transformer block, because it is often the most memory and compute intensive components in the entire architecture. With a transformer block, there are two sub-layers, the multi-head self-attention (MHSA) and the feed-forward connection (FFC). We give a short review later and please refer to [65] for more details. At high level, transformer models can be broadly categorized to three branches: encoder-only models (BERT) [64], decoder-only models (GPT-3-style) [49], and encoder-decoder models (T5) [50]. In this paper, we focus on encoder-only and decoder-only models but our approach can be applied to encoder-decoder models as well. + +![](images/e003d37e3d482fcd798a0d8e7d1be94febcf5048398aca175c49b7a253357071.jpg) +Figure 1: The illustration of a Transformer-block. + +Transformer Block Assume the input of an encoder layer is $\boldsymbol { X }$ , the query, key, value, attention output, FFC dense, and FFC output matrices are $W _ { q }$ , $W _ { k }$ , $W _ { v }$ , $W _ { o }$ , $W _ { h - 4 h }$ , and $W _ { 4 h - h }$ , respectively. Then the forward propagation of a transformer-block is illustrated in Figure 1, where LN is the layer normalization, Softmax is the softmax operator, and GeLU is the activation function. + +# 3.2 Quantization Background + +Quantization maps high-precision numbers, e.g., FP16/FP32, to its low-precision counterpart, e.g., INT4/INT8, to reduce the model footprint and improve the compute performance. In this work, we use uniform symmetric scalar quantizers. That is to say, if we have a vector/matrix, $\mathbf { x }$ , the quantization is applied as + +$$ +\mathbf { x } _ { q u a n t i z e } = r o u n d \left( c l a m p ( \frac { \mathbf { x } } { S } , - 2 ^ { b i t - 1 } , 2 ^ { b i t - 1 } - 1 ) \right) , +$$ + +Table 1: Post training quantization results of GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ on 20 zero-shot evaluation datesets. Here WxAy means x-/y-bit for weight/activation. Particularly, for W4/8, we quantize the MHSA’s weight to INT8 and FFC’s weight to INT4. Please see Table I.1 for the results of all 20 tasks. + +
PrecisionLambada (↑)PIQA (↑)OpenBookQA(↑)RTE (↑)ReCoRd (↑)Ave.19 Tasks (↑)Wikitext-2 (↓)
W16A1649.366.329.453.875.138.921.5
W8A1649.366.129.654.274.838.522.1
W16A844.764.828.252.769.237.824.6
W8A842.664.128.053.167.537.826.2
W4/8A160.0051.430.252.716.128.91.76e5
+ +where bit is the number of bit we use to represent the quantized value, and $S$ is the scaling factor. For weight matrix quantization, $S$ is generally computed as $S = m a x \left( a b s ( \mathbf { x } ) \right)$ , since the weight matrix is static during inference. On the other hand, activations’ range is dynamic during inference so that an accurate $S$ requires dynamic calculation during inference. However, to achieve best latency reduction, coarse-grained static quantization is usually applied in practice, where $S$ is calibrated using training data (e.g., momentum based averaging) and fixed during inference [24]. Although static quantization achieves better latency reduction, it also limits the quantization representation for activations, which is discussed below. + +# 3.3 Post Training Quantization + +Post-training quantization (PTQ) exhibits great compression efficiency compared to quantizationaware training (QAT) since PTQ is usually applied to quantize the model without retraining. A common strategy of PTQ is to feed the training data to the network and calibrate the scaling factor, $S$ , using the running mean. Please see Appendix A.1 for more details. + +Some work has been done for $\mathbf { B E R T _ { b a s e } }$ models [7] with INT8 weight and mixed INT8/FP16 activation quantization. However, there is no investigation for (1) even lower bit-precision PTQ on BERT models and (2) large-scale GPT-3-style models. Here, we briefly discuss the challenge of the application of PTQ on both BERT (in Appendix C) and GPT-3-style models. + +![](images/a2dca122815f99ddb040d073632b2d126537cbeebb4ffb4d6b36b423bca5a255.jpg) +Figure 2: The activation range (left) and row-wise weight range of the attention output matrix (right) of different layers on the pretrained GPT- $3 _ { 3 5 0 \mathrm { M } }$ . See Figure C.1 for the results of $\mathbf { B E R T _ { b a s e } }$ . + +The results of $\mathrm { G P T } { \cdot } 3 _ { 3 5 0 \mathrm { M } }$ with PTQ are shown in Table 1. As can be seen, the INT8 activation quantization (i.e., the row of W16A8) causes the primary accuracy loss. Further pushing the weight to INT8 (i.e., the row of W8A8) does not change the accuracy of zero-shot evaluation tasks but leads the causal language modeling task (Wikitext-2) to worse perplexity score, which demonstrates the sensitivity of generation tasks as compared to other zero-shot evaluation problems. For W4/8A16, on some accuracy-based tasks, GPT- $3 _ { 3 5 0 \mathrm { M } }$ still achieves reasonable performance like OpenBookQA but it loses accuracy on the majority of the rest tasks. Particularly, for Wikitext-2, GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ with W4/8A16 cannot generate any meaningful text anymore. Please also see Appendix C for the analysis for BERT. + +Dynamic Activation Range To investigate why INT8 activation leads to significant accuracy drop for both BERT and GPT-3-style models, we plot the token-wise (i.e., the hidden state of each token) range of each activation for different transformer layers of GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ in Figure 2 (left). As can be seen, different tokens have dramatically different activation ranges. For example, the maximum range of the last layer is around 35 but the minimum range is close to 8. This larger variance in the activation range makes it difficult to use a fixed quantization range (usually the maximum value) for all tokens to retain the prediction accuracy, because the limited representation power for small range tokens is going to hurt the accuracy performance. + +Different Ranges of Neurons in Weight Matrices Similarly, we plot the row-wise (i.e., the output dimension) weight range of the attention output matrix $( W _ { o } )$ of GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ in Figure 2 (right). There is a $1 0 \mathrm { x }$ difference between the largest magnitudes of different rows and this leads to the worse generation performance of the INT8 weight PTQ. This also makes it very challenging when INT4 quantization is applied as the INT4 only has 16 numbers and a $1 0 \mathrm { x }$ smaller range leads to 2 (or 3) numbers for the representations of those smaller-range rows. + +This analysis results also indicate why more expensive hidden-states knowledge distillation [3, 37] is used for ultra-low precision quantization to close the accuracy gap. However, as the training cost of knowledge distillation for large-scale models is too high, a lightweight and efficient method is desirable for PTQ. + +# 4 Methodology + +# 4.1 Fine-grained Hardware-friendly Quantization Scheme + +As shown in Section 3, even applying INT8 PTQ to BERT/GPT-3-style models leads to significant accuracy degradation. The key challenge is the representation of INT8 cannot fully capture the different numerical ranges of different rows in weight matrices and different activation tokens. One way to address this is to use group-wise (token-wise) quantization for the weight matrix (activations). + +Group-wise Quantization for Weights Group-wise weight matrix quantization has first been proposed in [57], where a weight matrix $\mathbf { W } \in \mathbb { R } ^ { n \times m }$ is partitioned in to $g$ groups, and each group is quantized separately. However, in [57], the authors only apply this for quantization aware training. More importantly, they do not consider the hardware efficiency constraint and they do not have a system backend support. As such, they lack the real latency reduction benefit. + +In our design, we consider the hardware constraint from Ampere Architecture of GPUs (e.g, A100), where the compute unit is based on Warp Matrix Multiply and Accumulate (WMMA) tiling size [54] to achieve the best speedup. Later, we will show that our group-wise quantization leads to much better accuracy as compared to single-matrix quantization due to its finer-granularity quantization while still achieving great latency reduction. + +Token-wise Quantization for Activations As mentioned in Section 3 and Appendix 3.2, a common practice for existing PTQ work is to use static quantization for activation, where the min/max range is calculated at an offline calibration phase. Such a method might be sufficient for small scale models where the variance in the activation range is small. However, as analyzed in Section 3, there is a huge variance in the activation range for large-scale transformer models such as GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ and $\mathbf { B E R T _ { b a s e } }$ . As such, a static quantization scheme (often applied to all tokens/samples) would lead to significant accuracy drop. One natural idea to overcome this issue is to adopt finer-grained token-wise quantization and dynamically calculate the min/max range for each token to reduce the quantization error from activations. Our evaluation in Section 5 also shows that token-wise quantization for activation significantly improves the accuracy of GPT-3-style and BERT models. + +However, directly applying token-wise quantization using existing DL frameworks, such as the PyTorch quantization suite, would lead to significant quantization and dequantization cost because token-wise quantization introduces additional operations that lead to expensive data movement overhead between the GPU compute units and the main memory. To address this issue, we build a highly optimized inference backend for token-wise quantization of transformer models. For example, the inference backend of ZeroQuant employs so called kernel fusion technique to fuse quantization operator with its previous operator, like layer normalization, to alleviate the data movement cost from token-wise quantization. Similarly, the dequantization cost of the different GeMMs’ output is alleviated by scaling the INT32 accumulation using both the weight and activation quantization scales, before writing the final FP16 result back to the main memory for the next FP16 operator (like GeLU). Those optimization will be discussed in more details in Section 4.3. + +![](images/b7ccdd045c7c258ea47e1bc5b9ae3005151b5c70d2d84b32df1fe7bed308ab3f.jpg) +Figure 3: The illustration of normal (left) and our fused (right) INT8 GeMM. + +Token-wise quantization can significantly reduce the representation error for quantized activations. Also, as it does not need to calibrate the activation range, later we will show that there is no quantization-related cost (e.g., activation range calibration) for a moderate quantization scheme (INT8 weight with INT8 activation) for ZeroQuant. + +# 4.2 Layer-by-layer Knowledge Distillation with Affordable Cost + +Knowledge distillation (KD) is one of the most powerful methods to alleviate the accuracy degradation after model compression. However, there are several limitations of KD, especially for hidden-states KD on large-scale language models: (1) KD needs to hold a teacher and a student model together during the training, which dramatically increases the memory and compute cost; (2) KD usually requires full training of the student model. Therefore, several copies (gradient, first/second order momentum) of the weight parameters need to be stored in memory to update the model; (3) KD generally requires original training data, which sometimes are not accessible due to privacy/confidential issues. + +To address those limitations, we present our layer-by-layer distillation (LKD) algorithm. Assume the target model for quantization has $N$ transformer blocks, $L _ { 1 } , . . . , L _ { N }$ , the accessible dataset has input $( X , Y )$ , which can be the original training data or datasets from other resources. Our LKD quantizes the network layer-by-layer and uses its original (i.e., unquantized) version as the teacher model. More specifically, assume layer $L _ { k }$ is going to be quantized, and its quantized version is $\widehat { L } _ { k }$ . Then we use the output of the $L _ { k - 1 }$ (i.e., by running inference on $X$ over the first $k - 1$ layers) as the input of $L _ { k }$ and $\widehat { \widehat { L } } _ { k }$ , measure the difference, and do the model update to $L _ { k }$ , i.e., + +$$ +\mathcal { L } _ { L K D , k } = M S E \left( L _ { k } \cdot L _ { k - 1 } \cdot L _ { k - 2 } \cdot \ldots \cdot L _ { 1 } ( \pmb { X } ) - \widehat { L } _ { k } \cdot L _ { k - 1 } \cdot L _ { k - 2 } \cdot \ldots \cdot L _ { 1 } ( \pmb { X } ) \right) , +$$ + +where $M S E$ is the mean square loss, and it can be also replaced by other losses (e.g., KL divergence) as well. As can be seen, (1) our LKD does not need to hold a separate teacher as we use the same $L _ { 1 }$ to $L _ { k - 1 }$ for both teacher/student model. As such, the only extra model cost we have is $L _ { k }$ ; (2) the memory overhead of optimizer states are significantly reduced as the only optimizing layer is $L _ { k }$ ; (3) as we never optimize the end-to-end model, the training does not depend on the label anymore. Later, we will show that LKD does not rely on the original training data in Section 5.6. + +# 4.3 Quantization-Optimized Transformer Kernels + +Both optimizing the inference latency and model size is crucial for serving large-scale transformer models in practice. During inference, the batch size is often relatively small, so the inference latency of the model primarily depends on the time of loading inference needed data from the main memory. By quantizing the weights and activations to lower precision, we reduce the data volume needed to load those data, which allows more effective use of memory bandwidth and higher loading throughput. However, simply converting weights/activations to INT8 does not guarantee improved latency because there are additional data movement overhead associated with quantization/dequantization operations as shown in Figure 3 (red box). Such an overhead becomes expensive and in some cases surpasses the performance benefits of using low precision. To reap the accuracy improvement from token-wise quantization while obtaining improved latency, we now present our optimizations that maximize the memory bandwidth utilization to speed up inference latency for ZeroQuant. + +CUTLASS INT8 GeMM To support INT8 computation, we use CUTLASS [6] INT8 GeMM implementation tuned for different batch sizes. Unlike standard GPU backend library, such as cuDNN, using CUTLASS allows us to more flexibly fuse quantization operation before and after GeMM to reduce kernel launching and data-movement overhead. + +Fusing Token-wise Activation Quantization Token-wise quantization/dequantization introduce many additional operations that lead to extra data movement cost. To eliminate these cost, we use kernel fusion [68] to fuse quantization operation for activation with its previous element-wise and/or reduction operations such as bias-add, GeLU, and LayerNorm into a single operator, as illustrated by the green box in Figure 3. For the dequantization operation (e.g., dequantizing the integer output from the GeMM operator), we similarly fuse it with our custom GeMM schedule to avoid additional read/write accesses to the main memory as illustrated by the blue box in Figure 3. + +Table 2: Result of $\mathbf { B E R T _ { b a s e } }$ on the development set of GLUE benchmark (except WNLI). $[ 5 7 ] ^ { + }$ uses 128 groups for weight matrix which is hard to get GPU acceleration. $[ 7 ] ^ { * }$ uses mixed INT8 and FP16 activation, and it directly reports the average metric of MNLI/MRPC/QQP/STS-B, which is basically the average of the two metrics we used for our runs. + +
Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)59.7284.9485.0686.27/90.5792.1591.51/88.5672.2093.2390.06/89.5983.95N/A
W8A8 [57](QAT)+83.9183.8392.83
W8A8 [78](QAT)58.48-/89.5690.62/87.9668.7892.2489.04/-
W8A8 (QAT)61.2184.8084.6483.82/88.8591.2991.29/88.2871.1292.8988.39/88.1883.372900
W8A8 (PTQ)56.0679.9981.0675.49/79.6787.3589.92/86.8248.3891.4086.58/86.4477.416
W8A8/16 [7](PTQ)*58.6382.6782.6788.7490.4189.4068.9592.6688.0082.46Unknown
W8A8 (ZeroQuant)59.5984.8385.1386.03/90.3991.9891.45/88.4671.1293.1290.09/89.6283.750
W4/8A16 (PTQ)0.0016.7416.9531.62/0.0050.7463.18/0.0047.2970.6416.48/15.9133.116
W4/8A16 (ZeroQuant)57.2982.6983.2784.56/88.4090.0486.52/79.4970.7692.7888.46/88.6181.650
W4/8A16 (ZeroQuant-LKD)58.5083.1683.6984.80/89.3190.8388.94/84.1270.0492.7888.49/88.6782.3531
W4/8A8 (ZeroQuant)56.6982.4683.0684.07/88.0390.1387.04/80.5070.7692.7888.07/88.4481.550
W4/8A8 (ZeroQuant-LKD)58.8083.0983.6585.78/89.9090.7689.16/84.8571.8493.0088.16/88.5582.7131
+ +By doing the above optimizations, we are able to show significant latency reduction for BERT and GPT-3-style models in Section 5. Please see Appendix D for more details about our system optimization. + +# 5 Results + +Experimental Details To evaluate the proposed ZeroQuant, we test it on both BERT and GPT-3 models. For BERT, we tested both $\mathbf { B E R T _ { b a s e } }$ and $\mathbf { B E R T _ { l a r g e } }$ on GLUE benchmark; and for GPT-3-style models, we tested the GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ (i.e., GPT-3-style model with 350M parameters) and GPT- $\boldsymbol { \cdot } 3 _ { 1 . 3 \mathrm { B } }$ (i.e., GPT-3-style model with 1.3B parameters) on 20 zero-shot evaluation tasks, including 19 accuracybased tasks and 1 language modeling generation task. To illustrate the scalability of the proposed ZeroQuant, we also directly apply it to two of the largest open-sourced GPT-3-style models, i.e., $\mathrm { G P T - J _ { 6 B } }$ [67] and GPT- $\mathrm { N e o X } _ { 2 0 \mathrm { B } }$ [5]. We use a fixed set of hyperparameters for all the LKD-related experiments even though tuning them may benefit our results. Please see Appendix A.2 for more training details and see Appendix A.3 for the reported metrics for BERT. To provide a comprehensive study, we also include a tuning result in Appendix E on BERT and an ablation study for different proposed components in Section 5.5. + +Notation Explanation We use WxAy to represent using $\mathbf { X }$ -bit for weight quantization and y-bit for activation quantization. Unless specific explanation, for W4/8, we quantize the MHSA’s weight to INT8 and FFC’s weight to INT4; for A8/16, we use FP16 activation for self-attention calculation (i.e., the GeMM related to $W _ { q / k / v , }$ ) and use INT8 for the rest calculation. We use ZeroQuant to represent the method with only fine-grained quantization schemes and use ZeroQuant-LKD to represent the method with both fine-grained quantization schemes and LKD. + +A summary of results is shown in Appendix B. We also include (1) the results required by reviewers in Appendix G; (2) the speedup explanation . + +# 5.1 Main Results of BERT + +$\mathbf { B E R T _ { b a s e } }$ We report the results of $\mathbf { B E R T _ { b a s e } }$ in Table 2. For W8A8, the average accuracy of PTQ degrades more than 10 points. However, ZeroQuant can achieve 83.75 scores, which is only 0.2 lower than baseline. Particularly, as ZeroQuant has no activation range calibration phase, the cost of ZeroQuant is 0 which is even cheaper than standard PTQ. As compared to [7], our method achieves a better average score (1.29 higher). Meanwhile, as compared to INT8 activation used in ZeroQuant, [7] uses mixed INT8 and FP16 activation. + +We also compare our method with our internal trained QAT and other QAT works [57, 78]. As can be seen, with comparable accuracy results as those QAT methods, ZeroQuant can save the retraining cost from 2900s to 0s for INT8 quantization. + +Table 3: Result of $\mathbf { B E R T _ { l a r g e } }$ on the development set of GLUE benchmark (except WNLI). $+ \mathrm { { { \mathbf { W } } e } }$ extensively tuned the learning rate for QAT (see Appendix F for more details). + +
Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)63.3586.6585.9187.99/91.6292.2491.08/88.0874.0193.4690.34/90.1185.03N/A
W8A8 [78](QAT)/90.991.7490.12/-
W8A8 (QAT)+59.8586.6586.3585.29/89.4392.5591.60/88.6061.3793.2387.55/87.6582.787181
W8A8 (PTQ)60.5775.6976.9481.13/84.9388.4984.04/74.3546.9391.7462.75/55.7773.5431
W8A8 (ZeroQuant)63.3886.5285.6487.75/91.5092.3191.09/88.0572.5693.3590.45/90.1984.810
W4/8A16 (PTQ)0.0016.8533.2468.38/80.8951.2563.18/0.0052.7152.41-5.74/-8.5135.7331
W4/8A16 (ZeroQuant)62.9984.7784.4287.50/91.1691.6390.03/86.4148.0192.1689.49/89.2881.230
W4/8A16 (ZeroQuant-LKD)63.7284.9084.8187.99/91.3991.4590.34/86.9251.6292.4389.46/89.2981.85550
W4/8A8 (ZeroQuant)62.3484.6284.2587.75/91.3891.8789.86/86.0947.6591.9789.39/89.1781.060
W4/8A8 (ZeroQuant-LKD)63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62550
+ +Table 4: Post training quantization result of GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ on 20 zero-shot evaluation datasets. Please see Table I.1 for the results of all 20 tasks. + +
Precision (Method)Lambada (↑)PIQA (↑)OpenBookQA(↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1649.366.329.453.875.138.921.5N/A
W8A8 (PTQ)42.664.128.053.167.537.826.27 mins
W8A8 (ZeroQuant)51.066.529.253.474.938.721.70
W4/8A16 (PTQ)0.0051.430.252.716.128.91.76e57 mins
W4/8A16 (ZeroQuant)10.158.527.252.056.533.588.60
W4/8A16 (ZeroQuant-LKD)39.863.829.453.170.137.030.61.1 hours
W4/8A8 (ZeroQuant)10.557.728.052.755.333.492.10
W4/8A8 (ZeroQuant-LKD)37.461.828.253.168.536.631.11.1 hours
+ +For the more aggressive weight quantization with minimal (or no) training quantization, i.e., W4/8A16, PTQ fully loses all accuracy (pure random prediction). However, ZeroQuant can still achieve an 81.65 average score. On top of ZeroQuant, if we add our LKD, the accuracy can be further boosted to 82.35 with a cost of 31s per task using only a single GPU, which is $9 3 . 5 \mathrm { x }$ cheaper than INT8 QAT quantization. We also test ZeroQuant and ZeroQuant-LKD under the W4/8A8 quantization scheme and both of them achieve similar accuracy performance as W4/8A16. If hyper-parameter tuning is applied to LKD, ZeroQuant-LKD can achieve an 83.22 average score under W4/8A8, which is similar to QAT’s W8A8 result. Please see Appendix E for more details. + +$\mathbf { B E R T _ { l a r g e } }$ We test our methods on $\mathbf { B E R T _ { l a r g e } }$ as well and the results are shown in Table 3. Similar to $\mathrm { B E R T _ { b a s e } ^ { - } }$ , ZeroQuant achieves much better accuracy than PTQ methods. As compared to QAT methods, ZeroQuant has comparable results on larger datasets (like MNLI/QQP) and has better performance on small tasks (e.e., CoLA/MRPC/RTE). We actually tune QAT for multiple learning rates but cannot get even better performance for those small tasks (see Appendix F for more details). + +For more aggressive quantization schemes, like W4/8A16 and W4/8A8, ZeroQuant and ZeroQuantLKD still achieve good accuracy except for RTE but the model size is about $3 \mathbf { x }$ smaller than FP16 counterpart. This is aligned with the INT8 QAT results, which lose significantly more accuracy on RTE. Thanks to the lightweight cost of LKD, it only takes about 550s to finish each task even on $\mathbf { B E R T _ { l a r g e } }$ , which is $1 3 \mathrm { x }$ cheaper than QAT. + +# 5.2 Main Results of GPT-3-style Models + +$\mathbf { G P T } \mathbf { - } 3 _ { 3 5 0 \mathbf { M } }$ We first test ZeroQuant and ZeroQuant-LKD on GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ and report the result in Table 4. The first interesting finding of zero-shot evaluation on GPT-3-stype models is that the accuracy performance of accuracy-based tasks is more tolerant to quantization than generation tasks. For instance, W8A8 PTQ has a $1 . 1 \%$ average accuracy drop on 19 accuracy-based tasks as compared to 4.7 points loss on Wikitext-2. Comparing ZeroQuant with PTQ using W8A8, we can reduce the accuracy gap from $1 . 1 \%$ to $0 . 2 \%$ and the perplexity (PPL) gap from 4.7 to 0.2 with no activation range calibration cost. + +For W4/8A16 quantization scheme, PTQ can hardly predict reasonable answers for the majority of tasks and its generation performance on Wikitext-2 is fully crashed. As a comparison, ZeroQuant still achieves non-trivial performance on some tasks but its generation performance significantly degrades on Wikitext-2. LKD brings a significant performance boost for this W4/8A16 setting. Note that ZeroQuant-LKD increases the accuracy from 33.5 to 37.0 and decreases the PPL from 88.6 to 30.6 compared to ZeroQuant, and the entire cost of this is just 3.1 hours on a single A100 GPU. Note that this is about $0 . 0 2 7 \%$ GPU hours of the full pretraining cost (128 A100 GPUs for 32 hours). Similar to W4/8A16, ZeroQuant-LKD achieves much better performance than ZeroQuant on W4/8A8 by using the lightweight LKD. + +Table 5: Post training quantization result of GPT- $3 _ { 1 . 3 \mathrm { B } }$ on 20 zero-shot evaluation datasets. Please see Table I.2 for the results of all 20 tasks. + +
Precision (Method)Lambada (↑)PIQA(↑)OpenBookQA (↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1661.371.433.653.182.642.415.3N/A
W8A8 (PTQ)54.867.716.654.575.740.518.913 mins
W8A8 (ZeroQuant)62.670.733.452.780.942.315.70
W4/8A16 (PTQ)0.0050.427.050.915.829.01.35e513 mins
W4/8A16 (ZeroQuant)43.966.530.052.777.339.3821.90
W4/8A16 (ZeroQuant-LKD)59.469.531.652.779.741.517.63 hours
W4/8A8 (ZeroQuant)46.866.428.852.776.239.2424.10
W4/8A8 (ZeroQuant-LKD)48.768.129.052.077.439.9018.23 hours
+ +Table 6: The speedup of our W8A8 as compared to W16A16. We measure the end-to-end average latency for the entire BERT model, and the time reported is in milliseconds. + +
Seq Len BSPrecision128256
2481616641281248161664128
BERTbaseW16A162.453.223.855.519.9617.9334.2567.083.134.055.7010.5519.2736.6971.75140.0
W8A81.081.161.421.762.583.906.7412.921.221.442.082.884.107.8014.6628.13
Speedup2.272.782.713.133.864.605.085.192.572.812.743.664.704.704.894.98
BERTlargeW16A165.456.388.7313.8826.3448.5992.49183.46.398.9414.6627.9951.9498.78195.9384.5
W8A82.082.582.843.796.2110.2818.8636.622.553.364.166.8811.6121.2041.2479.90
Speedup2.622.473.073.664.244.734.905.012.512.663.524.074.474.664.754.81
+ +GPT- $\mathbf { \lambda } _ { \mathbf { 3 1 . 3 B } }$ The results of GPT- $\cdot 3 _ { 1 . 3 \mathrm { B } }$ are shown in Table 5. Similar to GPT- $3 _ { 3 5 0 \mathrm { M } }$ , for W8A8, ZeroQuant has much better performance than PTQ with less no activation calibration cost, particularly for the generation task Wikitext-2 (3.2 points lower). Also, for W4/8 quantization, LKD can bring non-trivial performance gain for ZeroQuant. The cost of LKD is about $0 . 0 2 \%$ of the full pre-training cost (128 A100 GPUs for 120 hours) + +# 5.3 Latency Reduction of BERT and GPT-3-style Models + +We compare the inference speed of BERT between FP16 and our INT8 versions in Table 6 on a single 40G-A100 GPU. Using our efficient quantization kernel implementation and operator fusion, the INT8 model can achieve $2 . 2 7 { - } 5 . 1 9 \mathrm { x }$ speedup on $\mathbf { B E R T _ { b a s e } }$ and $2 . 4 7 { - } 5 . 0 1 \mathrm { x }$ on $\mathbf { B E R T _ { l a r g e } }$ . + +We also include the latency comparison of GPT-3-style models between FP16 and our INT8 version. Particularly, we use the model to generate the first 50 tokens based on a given text and measure the average latency. Our INT8 model leads to $4 . 1 6 \mathrm { x } / 4 . 0 6 \mathrm { x }$ speedup for $\mathrm { G P T } { - } 3 _ { 3 5 0 \mathrm { M } } / \mathrm { G P T } { - } 3 _ { 1 . 3 \mathrm { B } }$ as compared to the FP16 counterpart. + +# 5.4 A Showcase of GPT- $\mathbf { J _ { 6 B } }$ and GPT-NeoX20B + +To demonstrate the scalability of ZeroQuant, we applied it to two of the largest open-sourced models, i.e., $\mathrm { G P T - J _ { 6 B } }$ and G $\mathrm { P T } \mathrm { - N e o } X _ { 2 0 \mathrm { B } }$ , which have 6B and 20B parameters separately. + +We report the results of $\mathrm { G P T - J _ { 6 B } }$ in Table 7 on three generation datasets, i.e., PTB [42], Wikitext-2, and Wikitext-103 [43]. As can be seen, as compared to FP16 precision, ZeroQuant achieves similar PPL on all three different tasks. To compare the latency, we again use the average latency number to generate the first 50 tokens. Our W8A8 can get up to $3 . 6 7 \mathrm { x }$ speedup compared to the FP16 version. + +To quantize GPT- $\mathrm { \cdot N e o X _ { 2 0 B } }$ to W8A8 for all GeMMs, the accuracy significantly decreases. We retrieve the quantization of each weight matrix and of each activation, and finally find out that the activation quantization for the attention calculation (i.e., the input of self-attention) causes the accuracy loss. We conjecture that this is because of the sensitivity of the self-attention module for extra-large models (20B) but cannot verify this for other models due to the lack of open-sourced extra-large models and the full evaluation pipeline. As such, we leave the input activation for self-attention in FP16 and quantize the rest to INT8. The results are shown in Table 8. Our W8A8/16 achieves similar accuracy performance but can reduce both the GPU resource requirement (from 2 A100 GPUs to 1) and the latency from $6 5 \mathrm { m s }$ to $2 5 \mathrm { m s }$ , which together lead to $5 . 2 \mathrm { x }$ better throughput/efficiency. + +# 5.5 Ablation Study of Different Components + +To investigate the performance gain of each component we introduced in Section 4, i.e., group-wise weight quantization, token-wise activation quantization, and lightweight layer-by-layer knowledge distillation, we here do an ablation study on $\mathbf { B E R T _ { l a r g e } }$ with W4/8A8. + +Table 7: Post training quantization result of GPT$\mathrm { J } _ { 6 \mathrm { B } }$ on three zero-shot generation tasks + +
Precision PTBWikitext-2 Wikitext-103Latency
W16A16 20.4710.3510.3529.13ms (1x)
W8A8 20.9710.5110.527.94ms (3.67x)
+ +Table 8: Post training quantization result of GPTNeoX20B on 19 zero-shot evaluation datasets. Please see Table I.4 for the results of all 19 tasks. + +
Precision Lambada PIQA Ave.19 Tasks Latency
W16A1671.7 77.750.52×65ms (1x)
W8A8/1671.9 78.350.41×25ms (5.2x)
+ +Table 9: Ablation study of different components for $\mathbf { B E R T _ { l a r g e } }$ on the development set of GLUE. The quantization scheme used here is W4/8A8. Here, GQ is the abbreviation of group-wise weight quantization, TQ is the abbreviation of token-wise activation quantization. + +
GQTQLKDCoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.
X-0.7933.0732.9468.38/80.5449.4263.18/0.0052.7152.29-4.27/-1.9035.85
X59.8166.6368.7968.63/71.1783.8778.24/61.3046.9389.4554.58/32.5266.52
x</xx/X62.3484.6284.2587.75/91.3891.8789.86/86.0947.6591.9789.39/89.1781.06
√√√63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62
+ +Table 10: Post training quantization result of GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ on 20 zero-shot evaluation datesets The quantization scheme here is W4/8A8. Please see Table I.3 for the results of all 20 tasks. + +
MethodData ResourceLambada (↑)PIQA (↑)OpenBookQA (↑)RTE(↑)ReCoRd (↑)Ave.19 Tasks (↑)Wikitext-2 (↓)
ZeroQuant10.557.728.052.755.333.492.1
ZeroQuant-LKDRandom data26.159.329.250.564.934.540.6
ZeroQuant-LKDWikipedia33.962.428.052.769.536.230.4
ZeroQuant-LKDOriginal data37.461.828.253.168.536.631.1
+ +We present the results in Table 9. As can be seen, group-wise weight quantization boosts the accuracy (random-guess prediction) from PTQ to a non-trivial result (66.52). Further adding token-wise quantization improves 14.54 points accuracy performance. On top of those (i.e., ZeroQuant), LKD further brings a 0.56 point gain. + +# 5.6 No Access to The Original Training Data + +As mentioned in previous sections, the original training data are oftentimes hard to access due to the privacy and/or confidential issues. Therefore, we here study the performance of our LKD when there is no direct access to the original training data. As the distillation objective of our LKD does not depend on the label, the training data used for LKD can be very flexible. + +We compare the performance of GPT- $\cdot 3 _ { 3 5 0 \mathrm { M } }$ on W4/8A8 quantization scheme using three different training data resources, i.e., random data (using random integer number to generate token ids), Wikipedia (using Huggingface to get the data2), and original PILE dataset. + +The results are shown in Table 10. Compared to ZeroQuant, LKD using random data can boost the accuracy by $1 . 1 \%$ and reduce the PPL from 92.1 to 40.6. The reason why random data can still significantly improve the performance is that LKD does not optimize the end-to-end pipeline and it only layer-by-layer learns the internal dependency from the teacher model. Therefore, random data can also provide meaningful information. Using Wikipedia data from Huggingface can further improve the accuracy to 36.2 and reduce the PPL to 30.4, which is comparable to the results using the original data. This indicates that a clean text dataset can be used for LKD when we do not have access to the original full dataset. + +# 6 Conclusions + +With the rapid growth of large model sizes, we have reach a point to consider how to serve those models in practice. Although several works demonstrate that post-training quantization can be applied to BERT models, to the best of our knowledge, there have been no existing works on (1) billion-scale GPT-3-style models, (2) ultra-low precision post-training quantization, and (3) end-to-end solution of how to efficiently serve the quantized model online. In this work, we offer fine-grained compression schemes for both weight and activations to enable INT8 quantization for up to 20B-scale models ( $\mathrm { \bf J P T - N e o X } _ { 2 0 \mathrm { B } }$ ). We also offer a novel affordable layer-by-layer knowledge distillation for ultra-low precision quantization, which leads to $3 \mathbf { x }$ model size reduction compared to FP16 model while achieving minimal accuracy degradation. Furthermore, we provide a system backend support and show up to $5 . 1 9 \mathrm { x }$ speedup on BERT models and $5 . 2 \mathrm { x }$ better efficiency on GPT-NeoX20B. + +References +[1] Ardavan Afshar, Ioakeim Perros, Evangelos E Papalexakis, Elizabeth Searles, Joyce Ho, and Jimeng Sun. Copa: Constrained parafac2 for sparse & large datasets. In Proceedings of the 27th ACM International Conference on Information and Knowledge Management, pages 793–802, 2018. +[2] Reza Yazdani Aminabadi, Samyam Rajbhandari, Minjia Zhang, Ammar Ahmad Awan, Cheng Li, Du Li, Elton Zheng, Jeff Rasley, Shaden Smith, Olatunji Ruwase, et al. 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[N/A] ZeroQuant a common machine learning technique. +(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)? [Yes] We have very comprehensive experimental details in Appendix A. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] All details are in Appendix A. +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [N/A] Our results are based on a single set of hyperparameters. So it does not rely on the randomness. However, we do provide a tuning results in Appendix E. +(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] Those are in Appendix A. + +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 cited all dataset and github repository used in the paper. +(b) Did you mention the license of the assets? [N/A] +(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/f-fVCElZ-G1/f-fVCElZ-G1_content_list.json b/parse/dev/f-fVCElZ-G1/f-fVCElZ-G1_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..914fb5fd45ad9b06f2b4c1f8321cfa2068d94629 --- /dev/null +++ b/parse/dev/f-fVCElZ-G1/f-fVCElZ-G1_content_list.json @@ -0,0 +1,1321 @@ +[ + { + "type": "text", + "text": "ZeroQuant: Efficient and Affordable Post-Training Quantization for Large-Scale Transformers ", + "text_level": 1, + "bbox": [ + 191, + 122, + 813, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Zhewei Yao⇤ , Reza Yazdani Aminabadi, Minjia Zhang, Xiaoxia Wu, Conglong Li, Yuxiong He ", + "bbox": [ + 186, + 224, + 831, + 241 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Microsoft {zheweiyao, yazdani.reza, minjiaz, xiaoxiawu, conglong.li, yuxhe}@microsoft.com ", + "bbox": [ + 207, + 247, + 816, + 275 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 310, + 535, + 327 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "How to efficiently serve ever-larger trained natural language models in practice has become exceptionally challenging even for powerful cloud servers due to their prohibitive memory/computation requirements. In this work, we present an efficient and affordable post-training quantization approach to compress large Transformer-based models, termed as ZeroQuant. ZeroQuant is an end-to-end quantization and inference pipeline with three main components: (1) a fine-grained hardware-friendly quantization scheme for both weight and activations; (2) a novel affordable layer-by-layer knowledge distillation algorithm (LKD) even without the access to the original training data; (3) a highly-optimized quantization system backend support to remove the quantization/dequantization overhead. As such, we are able to show that: (1) ZeroQuant can reduce the precision for weights and activations to INT8 in a cost-free way for both BERT and GPT-3-style models with minimal accuracy impact, which leads to up to $5 . 1 9 \\mathrm { x } / 4 . 1 6 \\mathrm { x }$ speedup on those models compared to FP16 inference; (2) ZeroQuant plus LKD affordably quantize the weights in the fully-connected module to INT4 along with INT8 weights in the attention module and INT8 activations, resulting in $3 \\mathbf { x }$ memory footprint reduction compared to the FP16 model; (3) ZeroQuant can be directly applied to two of the largest open-sourced language models, including $\\mathrm { G P T - J _ { 6 B } }$ and GPT- $\\mathrm { \\cdot N e o X _ { 2 0 B } }$ , for which our INT8 model achieves similar accuracy as the FP16 model but achieves up to $5 . 2 \\mathrm { x }$ better efficiency. ", + "bbox": [ + 233, + 340, + 764, + 617 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 641, + 310, + 659 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Large-scale natural language models have been widely adopted in different applications, e.g., natural language understanding using BERT [64] and generation tasks using GPT-style models [49]. Although those models have achieved cutting-edge accuracy results, as the model size keeps increasing dramatically, the requirements of memory footprint and the computational cost to deploy them become a major bottleneck, even on cloud servers with powerful GPU devices. ", + "bbox": [ + 174, + 672, + 823, + 741 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "One promising way to alleviate this challenge is quantization, which can reduce the bit precision for both weight and activations for lower memory footprint and faster compute (e.g., INT8 Tensor cores on T4/A100). However, quantization usually requires retraining (also known as quantization aware training, or QAT in short) to recover the accuracy degradation from representation loss of weight and activations. To enable QAT, the full training pipeline is usually required, including the training data and compute resources, to finetune the model. Access to those components is now oftentimes not available, and QAT is also a time-consuming process, particularly for those large-scale models. ", + "bbox": [ + 174, + 747, + 825, + 845 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Recently, zero-shot quantization [10, 47] and post-training quantization (PTQ) [46, 39] are proposed to address the training-data access and compute requirement challenges since PTQ generally requires no (or minimal) retraining. But most of those works primarily focus on computer vision problems on relatively small scales. More recently, [7] shows promising PTQ results on BERT. However, (1) its main focus is on high-precision quantization (INT8/FP16) on $\\mathbf { B E R T _ { b a s e } }$ , (2) it does not consider other billion-scale generative models (GPT-3-style models [9]). More importantly, most of these works do not report real latency improvement, putting the usefulness of these methods in improving inference latency into question. For example, existing work often do not discuss the quantization/dequantization cost associated with different quantization schemes, which in fact has a big impact to the performance benefit of using low precision. ", + "bbox": [ + 176, + 852, + 823, + 880 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 202 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Besides, for extreme quantization (e.g., INT4), knowledge distillation is usually used to boost performance, which adds another source of expensive computation cost as compared to QAT. Furthermore, in order to achieve better accuracy performance, hidden-states knowledge distillation, e.g., [3, 81], is usually applied for the quantized model. This would put significant pressure on the GPU memory and the compute resource requirement since both the teacher and student models needed to be loaded into the GPU memory for training. ", + "bbox": [ + 174, + 208, + 825, + 292 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this paper, we present ZeroQuant, an end-to-end post-training quantization and inference pipeline, to address those challenges, targeting both INT8 and INT4/INT8 mixed-precision quantization. Specifically, our contributions are: ", + "bbox": [ + 174, + 297, + 826, + 339 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• We apply fine-grained hardware-friendly quantization schemes on both weight and activations, i.e., group-wise quantization for weight and token-wise quantization for activations. Both quantization schemes can significantly reduce the quantization error and retain hardware acceleration properties. \n• We propose a novel layer-by-layer knowledge distillation method (LKD) for INT4/INT8 mixedprecision quantization, where the neural network is quantized layer-by-layer through distillation with minimal iterations and even without the access to the original training data. As such, at any given moment, the device memory is primarily populated only with a single extra layer’s footprint, making billion-scale model distillation feasible with limited training budget and GPU devices. \n• We develop a highly optimized inference backend, which eliminates the expensive computation cost of quantization/dequantization operators, enabling latency speedups on INT8 Tensor cores on modern GPU hardware. \n• Our empirical results show that: – ZeroQuant enables quantizing BERT and GPT-3-style models into INT8 weight and activations to retain accuracy without incurring any retraining cost. Compared to FP16 inference, our INT8 model achieves up to $5 . 1 9 \\mathrm { x } / 4 . 1 6 \\mathrm { x }$ speedup on $\\mathrm { B E R T _ { b a s e } / G P T } { - 3 _ { 3 5 0 \\mathrm { M } } }$ on A100 GPUs. ZeroQuant plus LKD can do INT4/INT8 mixed-precision quantization for BERT and GPT3-style models. This results in a $3 \\mathbf { x }$ memory footprint reduction with marginal accuracy loss as compared to the FP16 model. Also, thanks to the lightweight of LKD, we can finish the quantization process in 33s (10 minutes) for $\\mathbf { B E R T _ { b a s e } }$ $\\mathrm { ( B E R T _ { l a r g e } } ,$ ). We also demonstrate that LKD can use other datasets to achieve similar performance to the original training data. We demonstrate the scalability of ZeroQuant on two of the largest open-sourced language models, i.e, $\\mathrm { G P T - J _ { 6 B } }$ and GPT- $\\mathrm { N e o X } _ { 2 0 \\mathrm { B } }$ , with INT8 quantization. ZeroQuant can achieve $3 . 6 7 \\mathrm { x }$ speedup over the FP16 model for $\\mathrm { G P T - J _ { 6 B } }$ and (2) reduce the GPU requirement for inference from 2 to 1 and latency from $6 5 \\mathrm { m s }$ to $2 5 \\mathrm { m s }$ for GPT- $\\mathrm { \\cdot N e o X _ { 2 0 B } }$ (i.e., $5 . 2 \\mathrm { x }$ better system efficiency in total). ", + "bbox": [ + 173, + 347, + 826, + 679 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 703, + 321, + 720 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Model compression has been explored from different aspects [26, 38, 40, 35, 44, 21, 25, 51, 19, 76, 41, 27, 56, 60, 29, 61, 69, 34, 15, 39, 32]. Among those, quantization is one of the most promising directions as it directly reduces the memory footprint and compute intensity. Here, we focus on quantization for NLP models and briefly discuss the related work. ", + "bbox": [ + 174, + 738, + 825, + 794 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The majority of quantization works can be categorized into quantization-aware training (QAT). [57, 78] are the first few works to quantize BERT models using integer numbers for both weight and activations. Particularly, [57] utilizes Hessian information to push the weight bit-precision to even INT2/INT4, and it also proposes group-wise quantization to quantize the weight matrix in a more fine-grained granularity compared to single matrix quantization. [22] introduces quantization noise to alleviate the variations of QAT. [81, 3] leverage very expensive knowledge distillation [27] and data augmentation [29] to ternarize/binarize weights. [30] combines knowledge distillation [29] and learned step size quantization [20] to quantize the weight to 2–8 bits. Recently, [62] also uses knowledge distillation to compress GPT-2 models on task-specific problems to INT2. All those works quantize models using the original training datasets. More importantly they need retraining or finetuning the full model to recover the accuracy, and such compute cost on extra-large models, like [58, 12], can be hardly affordable for most research labs or practitioners. ", + "bbox": [ + 174, + 800, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 147 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "One solution to overcome the compute cost challenge is post-training quantization (PTQ). However, PTQ often induces a significant drop in accuracy because the network can be sensitive to quantization errors. Along this line, one of the first works applied to Transformer-based [65] models is [77]. The authors introduce centroid-based quantization method, where outlier numbers use FP32 format and the rest numbers are quantized using non-uniform quantization. As such, it is hard to get the real inference latency benefit on general compute accelerators, e.g., CPU and GPU, because the parallel processing units in these hardware do not support efficient computation of mixed data types. More recently, [7] introduces high-precision activation quantization (FP16) for part of the model to overcome the high dynamic activation ranges. However, to the best of our knowledge, (1) How to apply PTQ on GPT-3-style models while achieving high accuracy has not been studied in any of previous work yet; (2) How to apply PTQ on billion (or even a dozen of billions) scale model is still under-explored; (3) Efficient inference system backend is still missing, especially for fine-grained quantization schemes, making it hard to achieve low latency on commodity hardware. ZeroQuant resolves all those limitations by considering the system backend into the algorithm design and we verify its capability on both BERT and large-scale GPT-3-style (up to 20 billion, i.e., GP $\\left[ - \\mathrm { N e o } \\mathrm { X } _ { 2 0 \\mathrm { B } } \\right]$ ) models for various tasks. ", + "bbox": [ + 173, + 154, + 825, + 375 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Background and Challenge ", + "text_level": 1, + "bbox": [ + 176, + 392, + 433, + 410 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 Transformer Architecture ", + "text_level": 1, + "bbox": [ + 174, + 422, + 393, + 438 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The transformer architecture usually has three components: an embedding layer, a stack of encoder/decoder layers, and a final classifier. In this paper, we focus on quantizing the encoder/decoder layers, i.e., the transformer block, because it is often the most memory and compute intensive components in the entire architecture. With a transformer block, there are two sub-layers, the multi-head self-attention (MHSA) and the feed-forward connection (FFC). We give a short review later and please refer to [65] for more details. At high level, transformer models can be broadly categorized to three branches: encoder-only models (BERT) [64], decoder-only models (GPT-3-style) [49], and encoder-decoder models (T5) [50]. In this paper, we focus on encoder-only and decoder-only models but our approach can be applied to encoder-decoder models as well. ", + "bbox": [ + 173, + 449, + 826, + 574 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/e003d37e3d482fcd798a0d8e7d1be94febcf5048398aca175c49b7a253357071.jpg", + "image_caption": [ + "Figure 1: The illustration of a Transformer-block. " + ], + "image_footnote": [], + "bbox": [ + 178, + 585, + 820, + 695 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Transformer Block Assume the input of an encoder layer is $\\boldsymbol { X }$ , the query, key, value, attention output, FFC dense, and FFC output matrices are $W _ { q }$ , $W _ { k }$ , $W _ { v }$ , $W _ { o }$ , $W _ { h - 4 h }$ , and $W _ { 4 h - h }$ , respectively. Then the forward propagation of a transformer-block is illustrated in Figure 1, where LN is the layer normalization, Softmax is the softmax operator, and GeLU is the activation function. ", + "bbox": [ + 173, + 739, + 826, + 796 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.2 Quantization Background ", + "text_level": 1, + "bbox": [ + 174, + 811, + 393, + 827 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Quantization maps high-precision numbers, e.g., FP16/FP32, to its low-precision counterpart, e.g., INT4/INT8, to reduce the model footprint and improve the compute performance. In this work, we use uniform symmetric scalar quantizers. That is to say, if we have a vector/matrix, $\\mathbf { x }$ , the quantization is applied as ", + "bbox": [ + 174, + 837, + 825, + 892 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/e1035b012a5333f4a730c48890985a9581d33c82e401db1200e513dc168af1f9.jpg", + "text": "$$\n\\mathbf { x } _ { q u a n t i z e } = r o u n d \\left( c l a m p ( \\frac { \\mathbf { x } } { S } , - 2 ^ { b i t - 1 } , 2 ^ { b i t - 1 } - 1 ) \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 326, + 890, + 669, + 916 + ], + "page_idx": 2 + }, + { + "type": "table", + "img_path": "images/f1291b3aec0429be45d4ac807c5c02f4bb3eced1d829c0ebd9852ea83612fd08.jpg", + "table_caption": [ + "Table 1: Post training quantization results of GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ on 20 zero-shot evaluation datesets. Here WxAy means x-/y-bit for weight/activation. Particularly, for W4/8, we quantize the MHSA’s weight to INT8 and FFC’s weight to INT4. Please see Table I.1 for the results of all 20 tasks. " + ], + "table_footnote": [], + "table_body": "
PrecisionLambada (↑)PIQA (↑)OpenBookQA(↑)RTE (↑)ReCoRd (↑)Ave.19 Tasks (↑)Wikitext-2 (↓)
W16A1649.366.329.453.875.138.921.5
W8A1649.366.129.654.274.838.522.1
W16A844.764.828.252.769.237.824.6
W8A842.664.128.053.167.537.826.2
W4/8A160.0051.430.252.716.128.91.76e5
", + "bbox": [ + 205, + 140, + 792, + 210 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where bit is the number of bit we use to represent the quantized value, and $S$ is the scaling factor. For weight matrix quantization, $S$ is generally computed as $S = m a x \\left( a b s ( \\mathbf { x } ) \\right)$ , since the weight matrix is static during inference. On the other hand, activations’ range is dynamic during inference so that an accurate $S$ requires dynamic calculation during inference. However, to achieve best latency reduction, coarse-grained static quantization is usually applied in practice, where $S$ is calibrated using training data (e.g., momentum based averaging) and fixed during inference [24]. Although static quantization achieves better latency reduction, it also limits the quantization representation for activations, which is discussed below. ", + "bbox": [ + 173, + 236, + 825, + 347 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.3 Post Training Quantization ", + "text_level": 1, + "bbox": [ + 176, + 363, + 401, + 378 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Post-training quantization (PTQ) exhibits great compression efficiency compared to quantizationaware training (QAT) since PTQ is usually applied to quantize the model without retraining. A common strategy of PTQ is to feed the training data to the network and calibrate the scaling factor, $S$ , using the running mean. Please see Appendix A.1 for more details. ", + "bbox": [ + 174, + 390, + 826, + 445 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Some work has been done for $\\mathbf { B E R T _ { b a s e } }$ models [7] with INT8 weight and mixed INT8/FP16 activation quantization. However, there is no investigation for (1) even lower bit-precision PTQ on BERT models and (2) large-scale GPT-3-style models. Here, we briefly discuss the challenge of the application of PTQ on both BERT (in Appendix C) and GPT-3-style models. ", + "bbox": [ + 176, + 452, + 825, + 507 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/a2dca122815f99ddb040d073632b2d126537cbeebb4ffb4d6b36b423bca5a255.jpg", + "image_caption": [ + "Figure 2: The activation range (left) and row-wise weight range of the attention output matrix (right) of different layers on the pretrained GPT- $3 _ { 3 5 0 \\mathrm { M } }$ . See Figure C.1 for the results of $\\mathbf { B E R T _ { b a s e } }$ . " + ], + "image_footnote": [], + "bbox": [ + 207, + 523, + 792, + 684 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The results of $\\mathrm { G P T } { \\cdot } 3 _ { 3 5 0 \\mathrm { M } }$ with PTQ are shown in Table 1. As can be seen, the INT8 activation quantization (i.e., the row of W16A8) causes the primary accuracy loss. Further pushing the weight to INT8 (i.e., the row of W8A8) does not change the accuracy of zero-shot evaluation tasks but leads the causal language modeling task (Wikitext-2) to worse perplexity score, which demonstrates the sensitivity of generation tasks as compared to other zero-shot evaluation problems. For W4/8A16, on some accuracy-based tasks, GPT- $3 _ { 3 5 0 \\mathrm { M } }$ still achieves reasonable performance like OpenBookQA but it loses accuracy on the majority of the rest tasks. Particularly, for Wikitext-2, GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ with W4/8A16 cannot generate any meaningful text anymore. Please also see Appendix C for the analysis for BERT. ", + "bbox": [ + 173, + 738, + 825, + 863 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Dynamic Activation Range To investigate why INT8 activation leads to significant accuracy drop for both BERT and GPT-3-style models, we plot the token-wise (i.e., the hidden state of each token) range of each activation for different transformer layers of GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ in Figure 2 (left). As can be seen, different tokens have dramatically different activation ranges. For example, the maximum range of the last layer is around 35 but the minimum range is close to 8. This larger variance in the activation range makes it difficult to use a fixed quantization range (usually the maximum value) for all tokens to retain the prediction accuracy, because the limited representation power for small range tokens is going to hurt the accuracy performance. ", + "bbox": [ + 174, + 869, + 825, + 911 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 92, + 825, + 161 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Different Ranges of Neurons in Weight Matrices Similarly, we plot the row-wise (i.e., the output dimension) weight range of the attention output matrix $( W _ { o } )$ of GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ in Figure 2 (right). There is a $1 0 \\mathrm { x }$ difference between the largest magnitudes of different rows and this leads to the worse generation performance of the INT8 weight PTQ. This also makes it very challenging when INT4 quantization is applied as the INT4 only has 16 numbers and a $1 0 \\mathrm { x }$ smaller range leads to 2 (or 3) numbers for the representations of those smaller-range rows. ", + "bbox": [ + 174, + 166, + 825, + 250 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "This analysis results also indicate why more expensive hidden-states knowledge distillation [3, 37] is used for ultra-low precision quantization to close the accuracy gap. However, as the training cost of knowledge distillation for large-scale models is too high, a lightweight and efficient method is desirable for PTQ. ", + "bbox": [ + 174, + 256, + 825, + 313 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 Methodology ", + "text_level": 1, + "bbox": [ + 174, + 337, + 313, + 356 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.1 Fine-grained Hardware-friendly Quantization Scheme ", + "text_level": 1, + "bbox": [ + 174, + 372, + 591, + 387 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "As shown in Section 3, even applying INT8 PTQ to BERT/GPT-3-style models leads to significant accuracy degradation. The key challenge is the representation of INT8 cannot fully capture the different numerical ranges of different rows in weight matrices and different activation tokens. One way to address this is to use group-wise (token-wise) quantization for the weight matrix (activations). ", + "bbox": [ + 174, + 400, + 825, + 457 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Group-wise Quantization for Weights Group-wise weight matrix quantization has first been proposed in [57], where a weight matrix $\\mathbf { W } \\in \\mathbb { R } ^ { n \\times m }$ is partitioned in to $g$ groups, and each group is quantized separately. However, in [57], the authors only apply this for quantization aware training. More importantly, they do not consider the hardware efficiency constraint and they do not have a system backend support. As such, they lack the real latency reduction benefit. ", + "bbox": [ + 174, + 462, + 825, + 532 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In our design, we consider the hardware constraint from Ampere Architecture of GPUs (e.g, A100), where the compute unit is based on Warp Matrix Multiply and Accumulate (WMMA) tiling size [54] to achieve the best speedup. Later, we will show that our group-wise quantization leads to much better accuracy as compared to single-matrix quantization due to its finer-granularity quantization while still achieving great latency reduction. ", + "bbox": [ + 174, + 539, + 825, + 608 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Token-wise Quantization for Activations As mentioned in Section 3 and Appendix 3.2, a common practice for existing PTQ work is to use static quantization for activation, where the min/max range is calculated at an offline calibration phase. Such a method might be sufficient for small scale models where the variance in the activation range is small. However, as analyzed in Section 3, there is a huge variance in the activation range for large-scale transformer models such as GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ and $\\mathbf { B E R T _ { b a s e } }$ . As such, a static quantization scheme (often applied to all tokens/samples) would lead to significant accuracy drop. One natural idea to overcome this issue is to adopt finer-grained token-wise quantization and dynamically calculate the min/max range for each token to reduce the quantization error from activations. Our evaluation in Section 5 also shows that token-wise quantization for activation significantly improves the accuracy of GPT-3-style and BERT models. ", + "bbox": [ + 174, + 614, + 825, + 752 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "However, directly applying token-wise quantization using existing DL frameworks, such as the PyTorch quantization suite, would lead to significant quantization and dequantization cost because token-wise quantization introduces additional operations that lead to expensive data movement overhead between the GPU compute units and the main memory. To address this issue, we build a highly optimized inference backend for token-wise quantization of transformer models. For example, the inference backend of ZeroQuant employs so called kernel fusion technique to fuse quantization operator with its previous operator, like layer normalization, to alleviate the data movement cost from token-wise quantization. Similarly, the dequantization cost of the different GeMMs’ output is alleviated by scaling the INT32 accumulation using both the weight and activation quantization scales, before writing the final FP16 result back to the main memory for the next FP16 operator (like GeLU). Those optimization will be discussed in more details in Section 4.3. ", + "bbox": [ + 174, + 758, + 825, + 911 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/b7ccdd045c7c258ea47e1bc5b9ae3005151b5c70d2d84b32df1fe7bed308ab3f.jpg", + "image_caption": [ + "Figure 3: The illustration of normal (left) and our fused (right) INT8 GeMM. " + ], + "image_footnote": [], + "bbox": [ + 205, + 88, + 790, + 143 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Token-wise quantization can significantly reduce the representation error for quantized activations. Also, as it does not need to calibrate the activation range, later we will show that there is no quantization-related cost (e.g., activation range calibration) for a moderate quantization scheme (INT8 weight with INT8 activation) for ZeroQuant. ", + "bbox": [ + 173, + 194, + 825, + 250 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2 Layer-by-layer Knowledge Distillation with Affordable Cost ", + "text_level": 1, + "bbox": [ + 174, + 267, + 630, + 282 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Knowledge distillation (KD) is one of the most powerful methods to alleviate the accuracy degradation after model compression. However, there are several limitations of KD, especially for hidden-states KD on large-scale language models: (1) KD needs to hold a teacher and a student model together during the training, which dramatically increases the memory and compute cost; (2) KD usually requires full training of the student model. Therefore, several copies (gradient, first/second order momentum) of the weight parameters need to be stored in memory to update the model; (3) KD generally requires original training data, which sometimes are not accessible due to privacy/confidential issues. ", + "bbox": [ + 174, + 292, + 825, + 391 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To address those limitations, we present our layer-by-layer distillation (LKD) algorithm. Assume the target model for quantization has $N$ transformer blocks, $L _ { 1 } , . . . , L _ { N }$ , the accessible dataset has input $( X , Y )$ , which can be the original training data or datasets from other resources. Our LKD quantizes the network layer-by-layer and uses its original (i.e., unquantized) version as the teacher model. More specifically, assume layer $L _ { k }$ is going to be quantized, and its quantized version is $\\widehat { L } _ { k }$ . Then we use the output of the $L _ { k - 1 }$ (i.e., by running inference on $X$ over the first $k - 1$ layers) as the input of $L _ { k }$ and $\\widehat { \\widehat { L } } _ { k }$ , measure the difference, and do the model update to $L _ { k }$ , i.e., ", + "bbox": [ + 173, + 396, + 825, + 500 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/4dc1348ec4ca9564e57c925fd05b8df8405884858e6719c2085062fbde315918.jpg", + "text": "$$\n\\mathcal { L } _ { L K D , k } = M S E \\left( L _ { k } \\cdot L _ { k - 1 } \\cdot L _ { k - 2 } \\cdot \\ldots \\cdot L _ { 1 } ( \\pmb { X } ) - \\widehat { L } _ { k } \\cdot L _ { k - 1 } \\cdot L _ { k - 2 } \\cdot \\ldots \\cdot L _ { 1 } ( \\pmb { X } ) \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 235, + 506, + 759, + 530 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $M S E$ is the mean square loss, and it can be also replaced by other losses (e.g., KL divergence) as well. As can be seen, (1) our LKD does not need to hold a separate teacher as we use the same $L _ { 1 }$ to $L _ { k - 1 }$ for both teacher/student model. As such, the only extra model cost we have is $L _ { k }$ ; (2) the memory overhead of optimizer states are significantly reduced as the only optimizing layer is $L _ { k }$ ; (3) as we never optimize the end-to-end model, the training does not depend on the label anymore. Later, we will show that LKD does not rely on the original training data in Section 5.6. ", + "bbox": [ + 174, + 535, + 825, + 619 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.3 Quantization-Optimized Transformer Kernels ", + "text_level": 1, + "bbox": [ + 174, + 636, + 534, + 651 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Both optimizing the inference latency and model size is crucial for serving large-scale transformer models in practice. During inference, the batch size is often relatively small, so the inference latency of the model primarily depends on the time of loading inference needed data from the main memory. By quantizing the weights and activations to lower precision, we reduce the data volume needed to load those data, which allows more effective use of memory bandwidth and higher loading throughput. However, simply converting weights/activations to INT8 does not guarantee improved latency because there are additional data movement overhead associated with quantization/dequantization operations as shown in Figure 3 (red box). Such an overhead becomes expensive and in some cases surpasses the performance benefits of using low precision. To reap the accuracy improvement from token-wise quantization while obtaining improved latency, we now present our optimizations that maximize the memory bandwidth utilization to speed up inference latency for ZeroQuant. ", + "bbox": [ + 173, + 662, + 825, + 815 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "CUTLASS INT8 GeMM To support INT8 computation, we use CUTLASS [6] INT8 GeMM implementation tuned for different batch sizes. Unlike standard GPU backend library, such as cuDNN, using CUTLASS allows us to more flexibly fuse quantization operation before and after GeMM to reduce kernel launching and data-movement overhead. ", + "bbox": [ + 174, + 820, + 825, + 877 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Fusing Token-wise Activation Quantization Token-wise quantization/dequantization introduce many additional operations that lead to extra data movement cost. To eliminate these cost, we use kernel fusion [68] to fuse quantization operation for activation with its previous element-wise and/or reduction operations such as bias-add, GeLU, and LayerNorm into a single operator, as illustrated by the green box in Figure 3. For the dequantization operation (e.g., dequantizing the integer output from the GeMM operator), we similarly fuse it with our custom GeMM schedule to avoid additional read/write accesses to the main memory as illustrated by the blue box in Figure 3. ", + "bbox": [ + 173, + 883, + 821, + 911 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/35e7e2998b6025ee1b32ba988ce167ff17010d058caa489e86fac774cf092c38.jpg", + "table_caption": [ + "Table 2: Result of $\\mathbf { B E R T _ { b a s e } }$ on the development set of GLUE benchmark (except WNLI). $[ 5 7 ] ^ { + }$ uses 128 groups for weight matrix which is hard to get GPU acceleration. $[ 7 ] ^ { * }$ uses mixed INT8 and FP16 activation, and it directly reports the average metric of MNLI/MRPC/QQP/STS-B, which is basically the average of the two metrics we used for our runs. " + ], + "table_footnote": [], + "table_body": "
Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)59.7284.9485.0686.27/90.5792.1591.51/88.5672.2093.2390.06/89.5983.95N/A
W8A8 [57](QAT)+83.9183.8392.83
W8A8 [78](QAT)58.48-/89.5690.62/87.9668.7892.2489.04/-
W8A8 (QAT)61.2184.8084.6483.82/88.8591.2991.29/88.2871.1292.8988.39/88.1883.372900
W8A8 (PTQ)56.0679.9981.0675.49/79.6787.3589.92/86.8248.3891.4086.58/86.4477.416
W8A8/16 [7](PTQ)*58.6382.6782.6788.7490.4189.4068.9592.6688.0082.46Unknown
W8A8 (ZeroQuant)59.5984.8385.1386.03/90.3991.9891.45/88.4671.1293.1290.09/89.6283.750
W4/8A16 (PTQ)0.0016.7416.9531.62/0.0050.7463.18/0.0047.2970.6416.48/15.9133.116
W4/8A16 (ZeroQuant)57.2982.6983.2784.56/88.4090.0486.52/79.4970.7692.7888.46/88.6181.650
W4/8A16 (ZeroQuant-LKD)58.5083.1683.6984.80/89.3190.8388.94/84.1270.0492.7888.49/88.6782.3531
W4/8A8 (ZeroQuant)56.6982.4683.0684.07/88.0390.1387.04/80.5070.7692.7888.07/88.4481.550
W4/8A8 (ZeroQuant-LKD)58.8083.0983.6585.78/89.9090.7689.16/84.8571.8493.0088.16/88.5582.7131
", + "bbox": [ + 173, + 152, + 820, + 284 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 304, + 825, + 375 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "By doing the above optimizations, we are able to show significant latency reduction for BERT and GPT-3-style models in Section 5. Please see Appendix D for more details about our system optimization. ", + "bbox": [ + 176, + 380, + 821, + 421 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5 Results ", + "text_level": 1, + "bbox": [ + 174, + 438, + 266, + 454 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Experimental Details To evaluate the proposed ZeroQuant, we test it on both BERT and GPT-3 models. For BERT, we tested both $\\mathbf { B E R T _ { b a s e } }$ and $\\mathbf { B E R T _ { l a r g e } }$ on GLUE benchmark; and for GPT-3-style models, we tested the GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ (i.e., GPT-3-style model with 350M parameters) and GPT- $\\boldsymbol { \\cdot } 3 _ { 1 . 3 \\mathrm { B } }$ (i.e., GPT-3-style model with 1.3B parameters) on 20 zero-shot evaluation tasks, including 19 accuracybased tasks and 1 language modeling generation task. To illustrate the scalability of the proposed ZeroQuant, we also directly apply it to two of the largest open-sourced GPT-3-style models, i.e., $\\mathrm { G P T - J _ { 6 B } }$ [67] and GPT- $\\mathrm { N e o X } _ { 2 0 \\mathrm { B } }$ [5]. We use a fixed set of hyperparameters for all the LKD-related experiments even though tuning them may benefit our results. Please see Appendix A.2 for more training details and see Appendix A.3 for the reported metrics for BERT. To provide a comprehensive study, we also include a tuning result in Appendix E on BERT and an ablation study for different proposed components in Section 5.5. ", + "bbox": [ + 173, + 462, + 825, + 614 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Notation Explanation We use WxAy to represent using $\\mathbf { X }$ -bit for weight quantization and y-bit for activation quantization. Unless specific explanation, for W4/8, we quantize the MHSA’s weight to INT8 and FFC’s weight to INT4; for A8/16, we use FP16 activation for self-attention calculation (i.e., the GeMM related to $W _ { q / k / v , }$ ) and use INT8 for the rest calculation. We use ZeroQuant to represent the method with only fine-grained quantization schemes and use ZeroQuant-LKD to represent the method with both fine-grained quantization schemes and LKD. ", + "bbox": [ + 174, + 621, + 825, + 704 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "A summary of results is shown in Appendix B. We also include (1) the results required by reviewers in Appendix G; (2) the speedup explanation . ", + "bbox": [ + 173, + 710, + 823, + 738 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.1 Main Results of BERT ", + "text_level": 1, + "bbox": [ + 174, + 756, + 369, + 771 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "$\\mathbf { B E R T _ { b a s e } }$ We report the results of $\\mathbf { B E R T _ { b a s e } }$ in Table 2. For W8A8, the average accuracy of PTQ degrades more than 10 points. However, ZeroQuant can achieve 83.75 scores, which is only 0.2 lower than baseline. Particularly, as ZeroQuant has no activation range calibration phase, the cost of ZeroQuant is 0 which is even cheaper than standard PTQ. As compared to [7], our method achieves a better average score (1.29 higher). Meanwhile, as compared to INT8 activation used in ZeroQuant, [7] uses mixed INT8 and FP16 activation. ", + "bbox": [ + 174, + 779, + 825, + 863 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We also compare our method with our internal trained QAT and other QAT works [57, 78]. As can be seen, with comparable accuracy results as those QAT methods, ZeroQuant can save the retraining cost from 2900s to 0s for INT8 quantization. ", + "bbox": [ + 176, + 869, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/63f77665b438db357963aba154d7f4ae3d9e19d0b1c56b5c253caa349baf73f1.jpg", + "table_caption": [ + "Table 3: Result of $\\mathbf { B E R T _ { l a r g e } }$ on the development set of GLUE benchmark (except WNLI). $+ \\mathrm { { { \\mathbf { W } } e } }$ extensively tuned the learning rate for QAT (see Appendix F for more details). " + ], + "table_footnote": [], + "table_body": "
Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)63.3586.6585.9187.99/91.6292.2491.08/88.0874.0193.4690.34/90.1185.03N/A
W8A8 [78](QAT)/90.991.7490.12/-
W8A8 (QAT)+59.8586.6586.3585.29/89.4392.5591.60/88.6061.3793.2387.55/87.6582.787181
W8A8 (PTQ)60.5775.6976.9481.13/84.9388.4984.04/74.3546.9391.7462.75/55.7773.5431
W8A8 (ZeroQuant)63.3886.5285.6487.75/91.5092.3191.09/88.0572.5693.3590.45/90.1984.810
W4/8A16 (PTQ)0.0016.8533.2468.38/80.8951.2563.18/0.0052.7152.41-5.74/-8.5135.7331
W4/8A16 (ZeroQuant)62.9984.7784.4287.50/91.1691.6390.03/86.4148.0192.1689.49/89.2881.230
W4/8A16 (ZeroQuant-LKD)63.7284.9084.8187.99/91.3991.4590.34/86.9251.6292.4389.46/89.2981.85550
W4/8A8 (ZeroQuant)62.3484.6284.2587.75/91.3891.8789.86/86.0947.6591.9789.39/89.1781.060
W4/8A8 (ZeroQuant-LKD)63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62550
", + "bbox": [ + 174, + 126, + 820, + 238 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/5c42bc1fee147731d46d90ce3b65c338ffa2f0a9ec56d91148bd0be4feeb1bb4.jpg", + "table_caption": [ + "Table 4: Post training quantization result of GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ on 20 zero-shot evaluation datasets. Please see Table I.1 for the results of all 20 tasks. " + ], + "table_footnote": [], + "table_body": "
Precision (Method)Lambada (↑)PIQA (↑)OpenBookQA(↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1649.366.329.453.875.138.921.5N/A
W8A8 (PTQ)42.664.128.053.167.537.826.27 mins
W8A8 (ZeroQuant)51.066.529.253.474.938.721.70
W4/8A16 (PTQ)0.0051.430.252.716.128.91.76e57 mins
W4/8A16 (ZeroQuant)10.158.527.252.056.533.588.60
W4/8A16 (ZeroQuant-LKD)39.863.829.453.170.137.030.61.1 hours
W4/8A8 (ZeroQuant)10.557.728.052.755.333.492.10
W4/8A8 (ZeroQuant-LKD)37.461.828.253.168.536.631.11.1 hours
", + "bbox": [ + 174, + 275, + 820, + 376 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For the more aggressive weight quantization with minimal (or no) training quantization, i.e., W4/8A16, PTQ fully loses all accuracy (pure random prediction). However, ZeroQuant can still achieve an 81.65 average score. On top of ZeroQuant, if we add our LKD, the accuracy can be further boosted to 82.35 with a cost of 31s per task using only a single GPU, which is $9 3 . 5 \\mathrm { x }$ cheaper than INT8 QAT quantization. We also test ZeroQuant and ZeroQuant-LKD under the W4/8A8 quantization scheme and both of them achieve similar accuracy performance as W4/8A16. If hyper-parameter tuning is applied to LKD, ZeroQuant-LKD can achieve an 83.22 average score under W4/8A8, which is similar to QAT’s W8A8 result. Please see Appendix E for more details. ", + "bbox": [ + 173, + 387, + 825, + 500 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "$\\mathbf { B E R T _ { l a r g e } }$ We test our methods on $\\mathbf { B E R T _ { l a r g e } }$ as well and the results are shown in Table 3. Similar to $\\mathrm { B E R T _ { b a s e } ^ { - } }$ , ZeroQuant achieves much better accuracy than PTQ methods. As compared to QAT methods, ZeroQuant has comparable results on larger datasets (like MNLI/QQP) and has better performance on small tasks (e.e., CoLA/MRPC/RTE). We actually tune QAT for multiple learning rates but cannot get even better performance for those small tasks (see Appendix F for more details). ", + "bbox": [ + 174, + 505, + 825, + 574 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For more aggressive quantization schemes, like W4/8A16 and W4/8A8, ZeroQuant and ZeroQuantLKD still achieve good accuracy except for RTE but the model size is about $3 \\mathbf { x }$ smaller than FP16 counterpart. This is aligned with the INT8 QAT results, which lose significantly more accuracy on RTE. Thanks to the lightweight cost of LKD, it only takes about 550s to finish each task even on $\\mathbf { B E R T _ { l a r g e } }$ , which is $1 3 \\mathrm { x }$ cheaper than QAT. ", + "bbox": [ + 174, + 580, + 825, + 651 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.2 Main Results of GPT-3-style Models ", + "text_level": 1, + "bbox": [ + 176, + 662, + 464, + 678 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "$\\mathbf { G P T } \\mathbf { - } 3 _ { 3 5 0 \\mathbf { M } }$ We first test ZeroQuant and ZeroQuant-LKD on GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ and report the result in Table 4. The first interesting finding of zero-shot evaluation on GPT-3-stype models is that the accuracy performance of accuracy-based tasks is more tolerant to quantization than generation tasks. For instance, W8A8 PTQ has a $1 . 1 \\%$ average accuracy drop on 19 accuracy-based tasks as compared to 4.7 points loss on Wikitext-2. Comparing ZeroQuant with PTQ using W8A8, we can reduce the accuracy gap from $1 . 1 \\%$ to $0 . 2 \\%$ and the perplexity (PPL) gap from 4.7 to 0.2 with no activation range calibration cost. ", + "bbox": [ + 174, + 683, + 825, + 780 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For W4/8A16 quantization scheme, PTQ can hardly predict reasonable answers for the majority of tasks and its generation performance on Wikitext-2 is fully crashed. As a comparison, ZeroQuant still achieves non-trivial performance on some tasks but its generation performance significantly degrades on Wikitext-2. LKD brings a significant performance boost for this W4/8A16 setting. Note that ZeroQuant-LKD increases the accuracy from 33.5 to 37.0 and decreases the PPL from 88.6 to 30.6 compared to ZeroQuant, and the entire cost of this is just 3.1 hours on a single A100 GPU. Note that this is about $0 . 0 2 7 \\%$ GPU hours of the full pretraining cost (128 A100 GPUs for 32 hours). Similar to W4/8A16, ZeroQuant-LKD achieves much better performance than ZeroQuant on W4/8A8 by using the lightweight LKD. ", + "bbox": [ + 174, + 786, + 825, + 911 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/5f3f136bd119381779c24ce59f09719d375d8d63a0a580af36010e79fcb258d1.jpg", + "table_caption": [ + "Table 5: Post training quantization result of GPT- $3 _ { 1 . 3 \\mathrm { B } }$ on 20 zero-shot evaluation datasets. Please see Table I.2 for the results of all 20 tasks. " + ], + "table_footnote": [], + "table_body": "
Precision (Method)Lambada (↑)PIQA(↑)OpenBookQA (↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1661.371.433.653.182.642.415.3N/A
W8A8 (PTQ)54.867.716.654.575.740.518.913 mins
W8A8 (ZeroQuant)62.670.733.452.780.942.315.70
W4/8A16 (PTQ)0.0050.427.050.915.829.01.35e513 mins
W4/8A16 (ZeroQuant)43.966.530.052.777.339.3821.90
W4/8A16 (ZeroQuant-LKD)59.469.531.652.779.741.517.63 hours
W4/8A8 (ZeroQuant)46.866.428.852.776.239.2424.10
W4/8A8 (ZeroQuant-LKD)48.768.129.052.077.439.9018.23 hours
", + "bbox": [ + 173, + 125, + 820, + 226 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/52f2631ffb9d46bab4bc1c10472f6d8fb72739fb1547a27b2d6447f405665435.jpg", + "table_caption": [ + "Table 6: The speedup of our W8A8 as compared to W16A16. We measure the end-to-end average latency for the entire BERT model, and the time reported is in milliseconds. " + ], + "table_footnote": [], + "table_body": "
Seq Len BSPrecision128256
2481616641281248161664128
BERTbaseW16A162.453.223.855.519.9617.9334.2567.083.134.055.7010.5519.2736.6971.75140.0
W8A81.081.161.421.762.583.906.7412.921.221.442.082.884.107.8014.6628.13
Speedup2.272.782.713.133.864.605.085.192.572.812.743.664.704.704.894.98
BERTlargeW16A165.456.388.7313.8826.3448.5992.49183.46.398.9414.6627.9951.9498.78195.9384.5
W8A82.082.582.843.796.2110.2818.8636.622.553.364.166.8811.6121.2041.2479.90
Speedup2.622.473.073.664.244.734.905.012.512.663.524.074.474.664.754.81
", + "bbox": [ + 174, + 265, + 820, + 347 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "GPT- $\\mathbf { \\lambda } _ { \\mathbf { 3 1 . 3 B } }$ The results of GPT- $\\cdot 3 _ { 1 . 3 \\mathrm { B } }$ are shown in Table 5. Similar to GPT- $3 _ { 3 5 0 \\mathrm { M } }$ , for W8A8, ZeroQuant has much better performance than PTQ with less no activation calibration cost, particularly for the generation task Wikitext-2 (3.2 points lower). Also, for W4/8 quantization, LKD can bring non-trivial performance gain for ZeroQuant. The cost of LKD is about $0 . 0 2 \\%$ of the full pre-training cost (128 A100 GPUs for 120 hours) ", + "bbox": [ + 173, + 362, + 825, + 431 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.3 Latency Reduction of BERT and GPT-3-style Models ", + "text_level": 1, + "bbox": [ + 173, + 446, + 581, + 462 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We compare the inference speed of BERT between FP16 and our INT8 versions in Table 6 on a single 40G-A100 GPU. Using our efficient quantization kernel implementation and operator fusion, the INT8 model can achieve $2 . 2 7 { - } 5 . 1 9 \\mathrm { x }$ speedup on $\\mathbf { B E R T _ { b a s e } }$ and $2 . 4 7 { - } 5 . 0 1 \\mathrm { x }$ on $\\mathbf { B E R T _ { l a r g e } }$ . ", + "bbox": [ + 174, + 469, + 825, + 511 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We also include the latency comparison of GPT-3-style models between FP16 and our INT8 version. Particularly, we use the model to generate the first 50 tokens based on a given text and measure the average latency. Our INT8 model leads to $4 . 1 6 \\mathrm { x } / 4 . 0 6 \\mathrm { x }$ speedup for $\\mathrm { G P T } { - } 3 _ { 3 5 0 \\mathrm { M } } / \\mathrm { G P T } { - } 3 _ { 1 . 3 \\mathrm { B } }$ as compared to the FP16 counterpart. ", + "bbox": [ + 174, + 517, + 825, + 574 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.4 A Showcase of GPT- $\\mathbf { J _ { 6 B } }$ and GPT-NeoX20B ", + "text_level": 1, + "bbox": [ + 173, + 588, + 506, + 604 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "To demonstrate the scalability of ZeroQuant, we applied it to two of the largest open-sourced models, i.e., $\\mathrm { G P T - J _ { 6 B } }$ and G $\\mathrm { P T } \\mathrm { - N e o } X _ { 2 0 \\mathrm { B } }$ , which have 6B and 20B parameters separately. ", + "bbox": [ + 174, + 611, + 823, + 638 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We report the results of $\\mathrm { G P T - J _ { 6 B } }$ in Table 7 on three generation datasets, i.e., PTB [42], Wikitext-2, and Wikitext-103 [43]. As can be seen, as compared to FP16 precision, ZeroQuant achieves similar PPL on all three different tasks. To compare the latency, we again use the average latency number to generate the first 50 tokens. Our W8A8 can get up to $3 . 6 7 \\mathrm { x }$ speedup compared to the FP16 version. ", + "bbox": [ + 174, + 645, + 825, + 700 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "To quantize GPT- $\\mathrm { \\cdot N e o X _ { 2 0 B } }$ to W8A8 for all GeMMs, the accuracy significantly decreases. We retrieve the quantization of each weight matrix and of each activation, and finally find out that the activation quantization for the attention calculation (i.e., the input of self-attention) causes the accuracy loss. We conjecture that this is because of the sensitivity of the self-attention module for extra-large models (20B) but cannot verify this for other models due to the lack of open-sourced extra-large models and the full evaluation pipeline. As such, we leave the input activation for self-attention in FP16 and quantize the rest to INT8. The results are shown in Table 8. Our W8A8/16 achieves similar accuracy performance but can reduce both the GPU resource requirement (from 2 A100 GPUs to 1) and the latency from $6 5 \\mathrm { m s }$ to $2 5 \\mathrm { m s }$ , which together lead to $5 . 2 \\mathrm { x }$ better throughput/efficiency. ", + "bbox": [ + 174, + 707, + 825, + 832 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.5 Ablation Study of Different Components ", + "text_level": 1, + "bbox": [ + 173, + 847, + 496, + 863 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "To investigate the performance gain of each component we introduced in Section 4, i.e., group-wise weight quantization, token-wise activation quantization, and lightweight layer-by-layer knowledge distillation, we here do an ablation study on $\\mathbf { B E R T _ { l a r g e } }$ with W4/8A8. ", + "bbox": [ + 176, + 869, + 823, + 911 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/aa57b112b2da0bf75996dd274dafd3945fd4e9d8639a886788ddc48c6442430e.jpg", + "table_caption": [ + "Table 7: Post training quantization result of GPT$\\mathrm { J } _ { 6 \\mathrm { B } }$ on three zero-shot generation tasks " + ], + "table_footnote": [], + "table_body": "
Precision PTBWikitext-2 Wikitext-103Latency
W16A16 20.4710.3510.3529.13ms (1x)
W8A8 20.9710.5110.527.94ms (3.67x)
", + "bbox": [ + 174, + 126, + 495, + 174 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/51eb615b84a5a50a35001b81a501b0be8c9c2012d35ca6ca15983af0ddb7bda3.jpg", + "table_caption": [ + "Table 8: Post training quantization result of GPTNeoX20B on 19 zero-shot evaluation datasets. Please see Table I.4 for the results of all 19 tasks. " + ], + "table_footnote": [], + "table_body": "
Precision Lambada PIQA Ave.19 Tasks Latency
W16A1671.7 77.750.52×65ms (1x)
W8A8/1671.9 78.350.41×25ms (5.2x)
", + "bbox": [ + 503, + 138, + 823, + 188 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/f3b76b6d91260f2c1b03c248b1a4d692c58238d585e68698e5fe1ed437aefc7d.jpg", + "table_caption": [ + "Table 9: Ablation study of different components for $\\mathbf { B E R T _ { l a r g e } }$ on the development set of GLUE. The quantization scheme used here is W4/8A8. Here, GQ is the abbreviation of group-wise weight quantization, TQ is the abbreviation of token-wise activation quantization. " + ], + "table_footnote": [], + "table_body": "
GQTQLKDCoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.
X-0.7933.0732.9468.38/80.5449.4263.18/0.0052.7152.29-4.27/-1.9035.85
X59.8166.6368.7968.63/71.1783.8778.24/61.3046.9389.4554.58/32.5266.52
x</xx/X62.3484.6284.2587.75/91.3891.8789.86/86.0947.6591.9789.39/89.1781.06
√√√63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62
", + "bbox": [ + 176, + 252, + 821, + 308 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/21f35abab8d7dfbf34e6d2cf5a916fb89ebde9ac663be31184d5f2b6c04070e1.jpg", + "table_caption": [ + "Table 10: Post training quantization result of GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ on 20 zero-shot evaluation datesets The quantization scheme here is W4/8A8. Please see Table I.3 for the results of all 20 tasks. " + ], + "table_footnote": [], + "table_body": "
MethodData ResourceLambada (↑)PIQA (↑)OpenBookQA (↑)RTE(↑)ReCoRd (↑)Ave.19 Tasks (↑)Wikitext-2 (↓)
ZeroQuant10.557.728.052.755.333.492.1
ZeroQuant-LKDRandom data26.159.329.250.564.934.540.6
ZeroQuant-LKDWikipedia33.962.428.052.769.536.230.4
ZeroQuant-LKDOriginal data37.461.828.253.168.536.631.1
", + "bbox": [ + 174, + 343, + 820, + 400 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We present the results in Table 9. As can be seen, group-wise weight quantization boosts the accuracy (random-guess prediction) from PTQ to a non-trivial result (66.52). Further adding token-wise quantization improves 14.54 points accuracy performance. On top of those (i.e., ZeroQuant), LKD further brings a 0.56 point gain. ", + "bbox": [ + 174, + 411, + 823, + 467 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5.6 No Access to The Original Training Data ", + "text_level": 1, + "bbox": [ + 174, + 477, + 496, + 492 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "As mentioned in previous sections, the original training data are oftentimes hard to access due to the privacy and/or confidential issues. Therefore, we here study the performance of our LKD when there is no direct access to the original training data. As the distillation objective of our LKD does not depend on the label, the training data used for LKD can be very flexible. ", + "bbox": [ + 174, + 497, + 825, + 553 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We compare the performance of GPT- $\\cdot 3 _ { 3 5 0 \\mathrm { M } }$ on W4/8A8 quantization scheme using three different training data resources, i.e., random data (using random integer number to generate token ids), Wikipedia (using Huggingface to get the data2), and original PILE dataset. ", + "bbox": [ + 174, + 559, + 825, + 602 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "The results are shown in Table 10. Compared to ZeroQuant, LKD using random data can boost the accuracy by $1 . 1 \\%$ and reduce the PPL from 92.1 to 40.6. The reason why random data can still significantly improve the performance is that LKD does not optimize the end-to-end pipeline and it only layer-by-layer learns the internal dependency from the teacher model. Therefore, random data can also provide meaningful information. Using Wikipedia data from Huggingface can further improve the accuracy to 36.2 and reduce the PPL to 30.4, which is comparable to the results using the original data. This indicates that a clean text dataset can be used for LKD when we do not have access to the original full dataset. ", + "bbox": [ + 174, + 607, + 825, + 718 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6 Conclusions ", + "text_level": 1, + "bbox": [ + 174, + 728, + 307, + 744 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "With the rapid growth of large model sizes, we have reach a point to consider how to serve those models in practice. Although several works demonstrate that post-training quantization can be applied to BERT models, to the best of our knowledge, there have been no existing works on (1) billion-scale GPT-3-style models, (2) ultra-low precision post-training quantization, and (3) end-to-end solution of how to efficiently serve the quantized model online. In this work, we offer fine-grained compression schemes for both weight and activations to enable INT8 quantization for up to 20B-scale models ( $\\mathrm { \\bf J P T - N e o X } _ { 2 0 \\mathrm { B } }$ ). We also offer a novel affordable layer-by-layer knowledge distillation for ultra-low precision quantization, which leads to $3 \\mathbf { x }$ model size reduction compared to FP16 model while achieving minimal accuracy degradation. Furthermore, we provide a system backend support and show up to $5 . 1 9 \\mathrm { x }$ speedup on BERT models and $5 . 2 \\mathrm { x }$ better efficiency on GPT-NeoX20B. ", + "bbox": [ + 174, + 747, + 825, + 886 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "References \n[1] Ardavan Afshar, Ioakeim Perros, Evangelos E Papalexakis, Elizabeth Searles, Joyce Ho, and Jimeng Sun. Copa: Constrained parafac2 for sparse & large datasets. In Proceedings of the 27th ACM International Conference on Information and Knowledge Management, pages 793–802, 2018. \n[2] Reza Yazdani Aminabadi, Samyam Rajbhandari, Minjia Zhang, Ammar Ahmad Awan, Cheng Li, Du Li, Elton Zheng, Jeff Rasley, Shaden Smith, Olatunji Ruwase, et al. Deepspeed inference: Enabling efficient inference of transformer models at unprecedented scale. arXiv preprint arXiv:2207.00032, 2022. \n[3] Haoli Bai, Wei Zhang, Lu Hou, Lifeng Shang, Jing Jin, Xin Jiang, Qun Liu, Michael Lyu, and Irwin King. Binarybert: Pushing the limit of bert quantization. arXiv preprint arXiv:2012.15701, 2020. \n[4] Jonathan Berant, Andrew Chou, Roy Frostig, and Percy Liang. 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", + "bbox": [ + 173, + 90, + 828, + 915 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 68, + 828, + 916 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "", + "bbox": [ + 168, + 58, + 828, + 917 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 89, + 826, + 924 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 90, + 828, + 715 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Checklist ", + "text_level": 1, + "bbox": [ + 174, + 741, + 254, + 757 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "1. For all authors... ", + "bbox": [ + 214, + 768, + 339, + 782 + ], + "page_idx": 14 + }, + { + "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] Please see Appendix H. \n(c) Did you discuss any potential negative societal impacts of your work? [N/A] ZeroQuant a common machine learning technique. \n(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 238, + 787, + 825, + 893 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... ", + "bbox": [ + 214, + 897, + 493, + 911 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "(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] ", + "bbox": [ + 236, + 90, + 738, + 122 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "3. If you ran experiments... ", + "bbox": [ + 214, + 127, + 393, + 141 + ], + "page_idx": 15 + }, + { + "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 have very comprehensive experimental details in Appendix A. \n(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] All details are in Appendix A. \n(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [N/A] Our results are based on a single set of hyperparameters. So it does not rely on the randomness. However, we do provide a tuning results in Appendix E. \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] Those are in Appendix A. ", + "bbox": [ + 238, + 145, + 825, + 305 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... ", + "bbox": [ + 212, + 309, + 823, + 324 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "(a) If your work uses existing assets, did you cite the creators? [Yes] We cited all dataset and github repository used in the paper. \n(b) Did you mention the license of the assets? [N/A] \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, + 328, + 825, + 463 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "5. If you used crowdsourcing or conducted research with human subjects... ", + "bbox": [ + 214, + 468, + 704, + 482 + ], + "page_idx": 15 + }, + { + "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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Although", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 553, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 569 + ], + "score": 1.0, + "content": "those models have achieved cutting-edge accuracy results, as the model size keeps increasing", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "score": 1.0, + "content": "dramatically, the requirements of memory footprint and the computational cost to deploy them", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 576, + 423, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 423, + 590 + ], + "score": 1.0, + "content": "become a major bottleneck, even on cloud servers with powerful GPU devices.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 532, + 506, + 590 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 592, + 505, + 670 + ], + "lines": [ + { + "bbox": [ + 105, + 592, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 506, + 606 + ], + "score": 1.0, + "content": "One promising way to alleviate this challenge is quantization, which can reduce the bit precision for", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "both weight and activations for lower memory footprint and faster compute (e.g., INT8 Tensor cores", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "score": 1.0, + "content": "on T4/A100). 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Furthermore,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "in order to achieve better accuracy performance, hidden-states knowledge distillation, e.g., [3, 81], is", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "score": 1.0, + "content": "usually applied for the quantized model. 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Among those, quantization is one of the most promising", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "directions as it directly reduces the memory footprint and compute intensity. Here, we focus on", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 618, + 371, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 371, + 629 + ], + "score": 1.0, + "content": "quantization for NLP models and briefly discuss the related work.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43.5 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 634, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 506, + 646 + ], + "score": 1.0, + "content": "The majority of quantization works can be categorized into quantization-aware training (QAT).", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "[57, 78] are the first few works to quantize BERT models using integer numbers for both weight", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "and activations. 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[81, 3] leverage very expensive knowledge distillation [27]", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "and data augmentation [29] to ternarize/binarize weights. [30] combines knowledge distillation [29]", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "and learned step size quantization [20] to quantize the weight to 2–8 bits. 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This would put significant pressure on the GPU memory", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 209, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 506, + 221 + ], + "score": 1.0, + "content": "and the compute resource requirement since both the teacher and student models needed to be loaded", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 219, + 247, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 247, + 233 + ], + "score": 1.0, + "content": "into the GPU memory for training.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 165, + 507, + 233 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 236, + 506, + 269 + ], + "lines": [ + { + "bbox": [ + 105, + 235, + 506, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 506, + 250 + ], + "score": 1.0, + "content": "In this paper, we present ZeroQuant, an end-to-end post-training quantization and inference pipeline,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 247, + 506, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 506, + 260 + ], + "score": 1.0, + "content": "to address those challenges, targeting both INT8 and INT4/INT8 mixed-precision quantization.", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 259, + 246, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 246, + 271 + ], + "score": 1.0, + "content": "Specifically, our contributions are:", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 235, + 506, + 271 + ] + }, + { + "type": "list", + "bbox": [ + 106, + 275, + 506, + 538 + ], + "lines": [ + { + "bbox": [ + 105, + 273, + 507, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 507, + 288 + ], + "score": 1.0, + "content": "• We apply fine-grained hardware-friendly quantization schemes on both weight and activations, i.e.,", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 113, + 285, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 113, + 285, + 506, + 299 + ], + "score": 1.0, + "content": "group-wise quantization for weight and token-wise quantization for activations. 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As such, at any", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 113, + 340, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 113, + 340, + 506, + 354 + ], + "score": 1.0, + "content": "given moment, the device memory is primarily populated only with a single extra layer’s footprint,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 113, + 351, + 493, + 364 + ], + "spans": [ + { + "bbox": [ + 113, + 351, + 493, + 364 + ], + "score": 1.0, + "content": "making billion-scale model distillation feasible with limited training budget and GPU devices.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 361, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 107, + 361, + 506, + 375 + ], + "score": 1.0, + "content": "• We develop a highly optimized inference backend, which eliminates the expensive computation", + "type": "text" + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 113, + 372, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 113, + 372, + 505, + 386 + ], + "score": 1.0, + "content": "cost of quantization/dequantization operators, enabling latency speedups on INT8 Tensor cores on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 113, + 384, + 212, + 396 + ], + "spans": [ + { + "bbox": [ + 113, + 384, + 212, + 396 + ], + "score": 1.0, + "content": "modern GPU hardware.", + "type": "text" + } + ], + "index": 27, + "is_list_end_line": true + }, + { + "bbox": [ + 106, + 393, + 245, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 245, + 407 + ], + "score": 1.0, + "content": "• Our empirical results show that:", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 113, + 405, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 113, + 405, + 505, + 418 + ], + "score": 1.0, + "content": "– ZeroQuant enables quantizing BERT and GPT-3-style models into INT8 weight and activations", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 123, + 417, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 123, + 417, + 506, + 430 + ], + "score": 1.0, + "content": "to retain accuracy without incurring any retraining cost. 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This results in a", + "type": "text" + }, + { + "bbox": [ + 259, + 450, + 271, + 460 + ], + "score": 0.42, + "content": "3 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 449, + 505, + 462 + ], + "score": 1.0, + "content": "memory footprint reduction with marginal accuracy loss", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 123, + 461, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 123, + 461, + 506, + 473 + ], + "score": 1.0, + "content": "as compared to the FP16 model. Also, thanks to the lightweight of LKD, we can finish the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 123, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 123, + 471, + 307, + 484 + ], + "score": 1.0, + "content": "quantization process in 33s (10 minutes) for", + "type": "text" + }, + { + "bbox": [ + 307, + 471, + 346, + 483 + ], + "score": 0.66, + "content": "\\mathbf { B E R T _ { b a s e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 471, + 393, + 483 + ], + "score": 0.52, + "content": "\\mathrm { ( B E R T _ { l a r g e } } ,", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "). We also demonstrate that", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 124, + 482, + 474, + 493 + ], + "spans": [ + { + "bbox": [ + 124, + 482, + 474, + 493 + ], + "score": 1.0, + "content": "LKD can use other datasets to achieve similar performance to the original training data.", + "type": "text" + } + ], + "index": 36, + "is_list_end_line": true + }, + { + "bbox": [ + 120, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 120, + 493, + 506, + 506 + ], + "score": 1.0, + "content": "We demonstrate the scalability of ZeroQuant on two of the largest open-sourced language models,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 123, + 503, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 123, + 503, + 139, + 518 + ], + "score": 1.0, + "content": "i.e,", + "type": "text" + }, + { + "bbox": [ + 139, + 504, + 174, + 515 + ], + "score": 0.36, + "content": "\\mathrm { G P T - J _ { 6 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 503, + 213, + 518 + ], + "score": 1.0, + "content": "and GPT-", + "type": "text" + }, + { + "bbox": [ + 213, + 504, + 249, + 515 + ], + "score": 0.66, + "content": "\\mathrm { N e o X } _ { 2 0 \\mathrm { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 503, + 445, + 518 + ], + "score": 1.0, + "content": ", with INT8 quantization. ZeroQuant can achieve", + "type": "text" + }, + { + "bbox": [ + 446, + 504, + 469, + 515 + ], + "score": 0.8, + "content": "3 . 6 7 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 503, + 506, + 518 + ], + "score": 1.0, + "content": "speedup", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 124, + 515, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 124, + 515, + 223, + 527 + ], + "score": 1.0, + "content": "over the FP16 model for", + "type": "text" + }, + { + "bbox": [ + 224, + 515, + 258, + 526 + ], + "score": 0.47, + "content": "\\mathrm { G P T - J _ { 6 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 515, + 505, + 527 + ], + "score": 1.0, + "content": "and (2) reduce the GPU requirement for inference from 2 to 1", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 124, + 526, + 500, + 538 + ], + "spans": [ + { + "bbox": [ + 124, + 526, + 194, + 538 + ], + "score": 1.0, + "content": "and latency from", + "type": "text" + }, + { + "bbox": [ + 195, + 526, + 218, + 537 + ], + "score": 0.34, + "content": "6 5 \\mathrm { m s }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 526, + 228, + 538 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 229, + 527, + 252, + 537 + ], + "score": 0.5, + "content": "2 5 \\mathrm { m s }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 526, + 288, + 538 + ], + "score": 1.0, + "content": "for GPT-", + "type": "text" + }, + { + "bbox": [ + 289, + 526, + 325, + 537 + ], + "score": 0.56, + "content": "\\mathrm { \\cdot N e o X _ { 2 0 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 526, + 347, + 538 + ], + "score": 1.0, + "content": "(i.e.,", + "type": "text" + }, + { + "bbox": [ + 347, + 526, + 366, + 537 + ], + "score": 0.78, + "content": "5 . 2 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 526, + 500, + 538 + ], + "score": 1.0, + "content": "better system efficiency in total).", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 273, + 507, + 538 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 557, + 197, + 571 + ], + "lines": [ + { + "bbox": [ + 105, + 556, + 198, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 198, + 573 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 585, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 105, + 584, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 506, + 597 + ], + "score": 1.0, + "content": "Model compression has been explored from different aspects [26, 38, 40, 35, 44, 21, 25, 51, 19, 76,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "score": 1.0, + "content": "41, 27, 56, 60, 29, 61, 69, 34, 15, 39, 32]. Among those, quantization is one of the most promising", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "directions as it directly reduces the memory footprint and compute intensity. Here, we focus on", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 618, + 371, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 371, + 629 + ], + "score": 1.0, + "content": "quantization for NLP models and briefly discuss the related work.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43.5, + "bbox_fs": [ + 105, + 584, + 506, + 629 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 634, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 506, + 646 + ], + "score": 1.0, + "content": "The majority of quantization works can be categorized into quantization-aware training (QAT).", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "[57, 78] are the first few works to quantize BERT models using integer numbers for both weight", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "and activations. Particularly, [57] utilizes Hessian information to push the weight bit-precision to", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 666, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 681 + ], + "score": 1.0, + "content": "even INT2/INT4, and it also proposes group-wise quantization to quantize the weight matrix in a", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "more fine-grained granularity compared to single matrix quantization. [22] introduces quantization", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 688, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 701 + ], + "score": 1.0, + "content": "noise to alleviate the variations of QAT. [81, 3] leverage very expensive knowledge distillation [27]", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "and data augmentation [29] to ternarize/binarize weights. [30] combines knowledge distillation [29]", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "and learned step size quantization [20] to quantize the weight to 2–8 bits. Recently, [62] also uses", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "knowledge distillation to compress GPT-2 models on task-specific problems to INT2. All those", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "score": 1.0, + "content": "works quantize models using the original training datasets. More importantly they need retraining or", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 505, + 108 + ], + "score": 1.0, + "content": "finetuning the full model to recover the accuracy, and such compute cost on extra-large models, like", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 105, + 398, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 398, + 118 + ], + "score": 1.0, + "content": "[58, 12], can be hardly affordable for most research labs or practitioners.", + "type": "text", + "cross_page": true + } + ], + "index": 3 + } + ], + "index": 49.5, + "bbox_fs": [ + 105, + 634, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 117 + ], + "lines": [ + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "knowledge distillation to compress GPT-2 models on task-specific problems to INT2. All those", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "score": 1.0, + "content": "works quantize models using the original training datasets. More importantly they need retraining or", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 505, + 108 + ], + "score": 1.0, + "content": "finetuning the full model to recover the accuracy, and such compute cost on extra-large models, like", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 105, + 398, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 398, + 118 + ], + "score": 1.0, + "content": "[58, 12], can be hardly affordable for most research labs or practitioners.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 106, + 122, + 505, + 297 + ], + "lines": [ + { + "bbox": [ + 106, + 121, + 506, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 506, + 135 + ], + "score": 1.0, + "content": "One solution to overcome the compute cost challenge is post-training quantization (PTQ). However,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "PTQ often induces a significant drop in accuracy because the network can be sensitive to quantization", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "score": 1.0, + "content": "errors. Along this line, one of the first works applied to Transformer-based [65] models is [77].", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "score": 1.0, + "content": "The authors introduce centroid-based quantization method, where outlier numbers use FP32 format", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "score": 1.0, + "content": "and the rest numbers are quantized using non-uniform quantization. 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As can be seen, the INT8 activation", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "quantization (i.e., the row of W16A8) causes the primary accuracy loss. Further pushing the weight", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "to INT8 (i.e., the row of W8A8) does not change the accuracy of zero-shot evaluation tasks but leads", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "the causal language modeling task (Wikitext-2) to worse perplexity score, which demonstrates the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 628, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "sensitivity of generation tasks as compared to other zero-shot evaluation problems. For W4/8A16,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 252, + 653 + ], + "score": 1.0, + "content": "on some accuracy-based tasks, GPT-", + "type": "text" + }, + { + "bbox": [ + 253, + 640, + 276, + 651 + ], + "score": 0.77, + "content": "3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "still achieves reasonable performance like OpenBookQA", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 650, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 460, + 664 + ], + "score": 1.0, + "content": "but it loses accuracy on the majority of the rest tasks. Particularly, for Wikitext-2, GPT-", + "type": "text" + }, + { + "bbox": [ + 460, + 651, + 484, + 662 + ], + "score": 0.75, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 650, + 505, + 664 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 660, + 506, + 675 + ], + "spans": [ + { + "bbox": [ + 104, + 660, + 506, + 675 + ], + "score": 1.0, + "content": "W4/8A16 cannot generate any meaningful text anymore. Please also see Appendix C for the analysis", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 672, + 150, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 672, + 150, + 683 + ], + "score": 1.0, + "content": "for BERT.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "Dynamic Activation Range To investigate why INT8 activation leads to significant accuracy drop", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "for both BERT and GPT-3-style models, we plot the token-wise (i.e., the hidden state of each token)", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 711, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 372, + 724 + ], + "score": 1.0, + "content": "range of each activation for different transformer layers of GPT-", + "type": "text" + }, + { + "bbox": [ + 372, + 711, + 396, + 722 + ], + "score": 0.49, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 711, + 505, + 724 + ], + "score": 1.0, + "content": "in Figure 2 (left). As can", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38 + } + ], + "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": "table", + "bbox": [ + 126, + 111, + 485, + 167 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 108, + 77, + 504, + 110 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 506, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 310, + 90 + ], + "score": 1.0, + "content": "Table 1: Post training quantization results of GPT-", + "type": "text" + }, + { + "bbox": [ + 311, + 78, + 334, + 89 + ], + "score": 0.47, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 77, + 506, + 90 + ], + "score": 1.0, + "content": "on 20 zero-shot evaluation datesets. Here", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 88, + 505, + 100 + ], + "spans": [ + { + "bbox": [ + 106, + 88, + 505, + 100 + ], + "score": 1.0, + "content": "WxAy means x-/y-bit for weight/activation. Particularly, for W4/8, we quantize the MHSA’s weight", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 99, + 451, + 111 + ], + "spans": [ + { + "bbox": [ + 106, + 99, + 451, + 111 + ], + "score": 1.0, + "content": "to INT8 and FFC’s weight to INT4. Please see Table I.1 for the results of all 20 tasks.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 126, + 111, + 485, + 167 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 126, + 111, + 485, + 167 + ], + "spans": [ + { + "bbox": [ + 126, + 111, + 485, + 167 + ], + "score": 0.977, + "html": "
PrecisionLambada (↑)PIQA (↑)OpenBookQA(↑)RTE (↑)ReCoRd (↑)Ave.19 Tasks (↑)Wikitext-2 (↓)
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For", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 198, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 218, + 212 + ], + "score": 1.0, + "content": "weight matrix quantization,", + "type": "text" + }, + { + "bbox": [ + 218, + 199, + 226, + 209 + ], + "score": 0.8, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 198, + 328, + 212 + ], + "score": 1.0, + "content": "is generally computed as", + "type": "text" + }, + { + "bbox": [ + 328, + 198, + 406, + 210 + ], + "score": 0.81, + "content": "S = m a x \\left( a b s ( \\mathbf { x } ) \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 198, + 506, + 212 + ], + "score": 1.0, + "content": ", since the weight matrix", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 210, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 505, + 222 + ], + "score": 1.0, + "content": "is static during inference. On the other hand, activations’ range is dynamic during inference so that an", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 219, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 141, + 234 + ], + "score": 1.0, + "content": "accurate", + "type": "text" + }, + { + "bbox": [ + 141, + 221, + 150, + 230 + ], + "score": 0.77, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 219, + 506, + 234 + ], + "score": 1.0, + "content": "requires dynamic calculation during inference. However, to achieve best latency reduction,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 230, + 506, + 245 + ], + "spans": [ + { + "bbox": [ + 104, + 230, + 387, + 245 + ], + "score": 1.0, + "content": "coarse-grained static quantization is usually applied in practice, where", + "type": "text" + }, + { + "bbox": [ + 388, + 231, + 396, + 241 + ], + "score": 0.8, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 230, + 506, + 245 + ], + "score": 1.0, + "content": "is calibrated using training", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "data (e.g., momentum based averaging) and fixed during inference [24]. Although static quantization", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "score": 1.0, + "content": "achieves better latency reduction, it also limits the quantization representation for activations, which", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 263, + 185, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 185, + 276 + ], + "score": 1.0, + "content": "is discussed below.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9.5, + "bbox_fs": [ + 104, + 187, + 506, + 276 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 288, + 246, + 300 + ], + "lines": [ + { + "bbox": [ + 105, + 287, + 247, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 247, + 302 + ], + "score": 1.0, + "content": "3.3 Post Training Quantization", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 107, + 309, + 506, + 353 + ], + "lines": [ + { + "bbox": [ + 105, + 309, + 506, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 506, + 323 + ], + "score": 1.0, + "content": "Post-training quantization (PTQ) exhibits great compression efficiency compared to quantization-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "score": 1.0, + "content": "aware training (QAT) since PTQ is usually applied to quantize the model without retraining. A", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 330, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 495, + 344 + ], + "score": 1.0, + "content": "common strategy of PTQ is to feed the training data to the network and calibrate the scaling factor,", + "type": "text" + }, + { + "bbox": [ + 495, + 331, + 502, + 341 + ], + "score": 0.71, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 330, + 506, + 344 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 342, + 376, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 376, + 355 + ], + "score": 1.0, + "content": "using the running mean. Please see Appendix A.1 for more details.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 309, + 506, + 355 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 358, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 106, + 358, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 237, + 371 + ], + "score": 1.0, + "content": "Some work has been done for", + "type": "text" + }, + { + "bbox": [ + 238, + 358, + 278, + 369 + ], + "score": 0.75, + "content": "\\mathbf { B E R T _ { b a s e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 358, + 506, + 371 + ], + "score": 1.0, + "content": "models [7] with INT8 weight and mixed INT8/FP16", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "activation quantization. However, there is no investigation for (1) even lower bit-precision PTQ on", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "score": 1.0, + "content": "BERT models and (2) large-scale GPT-3-style models. 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See Figure C.1 for the results of", + "type": "text" + }, + { + "bbox": [ + 429, + 561, + 468, + 572 + ], + "score": 0.59, + "content": "\\mathbf { B E R T _ { b a s e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 558, + 473, + 575 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + } + ], + "index": 25.25 + }, + { + "type": "text", + "bbox": [ + 106, + 585, + 505, + 684 + ], + "lines": [ + { + "bbox": [ + 106, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 167, + 597 + ], + "score": 1.0, + "content": "The results of", + "type": "text" + }, + { + "bbox": [ + 167, + 585, + 212, + 597 + ], + "score": 0.85, + "content": "\\mathrm { G P T } { \\cdot } 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "with PTQ are shown in Table 1. As can be seen, the INT8 activation", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "quantization (i.e., the row of W16A8) causes the primary accuracy loss. Further pushing the weight", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "to INT8 (i.e., the row of W8A8) does not change the accuracy of zero-shot evaluation tasks but leads", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "the causal language modeling task (Wikitext-2) to worse perplexity score, which demonstrates the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 628, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "sensitivity of generation tasks as compared to other zero-shot evaluation problems. For W4/8A16,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 252, + 653 + ], + "score": 1.0, + "content": "on some accuracy-based tasks, GPT-", + "type": "text" + }, + { + "bbox": [ + 253, + 640, + 276, + 651 + ], + "score": 0.77, + "content": "3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "still achieves reasonable performance like OpenBookQA", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 650, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 460, + 664 + ], + "score": 1.0, + "content": "but it loses accuracy on the majority of the rest tasks. Particularly, for Wikitext-2, GPT-", + "type": "text" + }, + { + "bbox": [ + 460, + 651, + 484, + 662 + ], + "score": 0.75, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 650, + 505, + 664 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 660, + 506, + 675 + ], + "spans": [ + { + "bbox": [ + 104, + 660, + 506, + 675 + ], + "score": 1.0, + "content": "W4/8A16 cannot generate any meaningful text anymore. Please also see Appendix C for the analysis", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 672, + 150, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 672, + 150, + 683 + ], + "score": 1.0, + "content": "for BERT.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32, + "bbox_fs": [ + 104, + 585, + 506, + 683 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "Dynamic Activation Range To investigate why INT8 activation leads to significant accuracy drop", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "for both BERT and GPT-3-style models, we plot the token-wise (i.e., the hidden state of each token)", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 711, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 372, + 724 + ], + "score": 1.0, + "content": "range of each activation for different transformer layers of GPT-", + "type": "text" + }, + { + "bbox": [ + 372, + 711, + 396, + 722 + ], + "score": 0.49, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 711, + 505, + 724 + ], + "score": 1.0, + "content": "in Figure 2 (left). As can", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 74, + 505, + 84 + ], + "spans": [ + { + "bbox": [ + 106, + 74, + 505, + 84 + ], + "score": 1.0, + "content": "be seen, different tokens have dramatically different activation ranges. For example, the maximum", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "score": 1.0, + "content": "range of the last layer is around 35 but the minimum range is close to 8. This larger variance in the", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "activation range makes it difficult to use a fixed quantization range (usually the maximum value) for", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 104, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 119 + ], + "score": 1.0, + "content": "all tokens to retain the prediction accuracy, because the limited representation power for small range", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 306, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 306, + 130 + ], + "score": 1.0, + "content": "tokens is going to hurt the accuracy performance.", + "type": "text", + "cross_page": true + } + ], + "index": 4 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 688, + 505, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 128 + ], + "lines": [ + { + "bbox": [ + 106, + 74, + 505, + 84 + ], + "spans": [ + { + "bbox": [ + 106, + 74, + 505, + 84 + ], + "score": 1.0, + "content": "be seen, different tokens have dramatically different activation ranges. For example, the maximum", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "score": 1.0, + "content": "range of the last layer is around 35 but the minimum range is close to 8. This larger variance in the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "activation range makes it difficult to use a fixed quantization range (usually the maximum value) for", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 104, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 119 + ], + "score": 1.0, + "content": "all tokens to retain the prediction accuracy, because the limited representation power for small range", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 306, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 306, + 130 + ], + "score": 1.0, + "content": "tokens is going to hurt the accuracy performance.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 132, + 505, + 198 + ], + "lines": [ + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "score": 1.0, + "content": "Different Ranges of Neurons in Weight Matrices Similarly, we plot the row-wise (i.e., the output", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 324, + 156 + ], + "score": 1.0, + "content": "dimension) weight range of the attention output matrix", + "type": "text" + }, + { + "bbox": [ + 324, + 144, + 346, + 155 + ], + "score": 0.82, + "content": "( W _ { o } )", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 144, + 379, + 156 + ], + "score": 1.0, + "content": "of GPT-", + "type": "text" + }, + { + "bbox": [ + 379, + 144, + 403, + 155 + ], + "score": 0.55, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "in Figure 2 (right). There", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 124, + 167 + ], + "score": 1.0, + "content": "is a", + "type": "text" + }, + { + "bbox": [ + 124, + 155, + 141, + 165 + ], + "score": 0.39, + "content": "1 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "difference between the largest magnitudes of different rows and this leads to the worse", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "generation performance of the INT8 weight PTQ. This also makes it very challenging when INT4", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 363, + 190 + ], + "score": 1.0, + "content": "quantization is applied as the INT4 only has 16 numbers and a", + "type": "text" + }, + { + "bbox": [ + 363, + 177, + 380, + 187 + ], + "score": 0.51, + "content": "1 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 176, + 506, + 190 + ], + "score": 1.0, + "content": "smaller range leads to 2 (or 3)", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 188, + 351, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 351, + 199 + ], + "score": 1.0, + "content": "numbers for the representations of those smaller-range rows.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 203, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 105, + 203, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 505, + 216 + ], + "score": 1.0, + "content": "This analysis results also indicate why more expensive hidden-states knowledge distillation [3, 37] is", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "score": 1.0, + "content": "used for ultra-low precision quantization to close the accuracy gap. However, as the training cost", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 225, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 506, + 238 + ], + "score": 1.0, + "content": "of knowledge distillation for large-scale models is too high, a lightweight and efficient method is", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 236, + 182, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 182, + 248 + ], + "score": 1.0, + "content": "desirable for PTQ.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 107, + 267, + 192, + 282 + ], + "lines": [ + { + "bbox": [ + 105, + 264, + 194, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 194, + 286 + ], + "score": 1.0, + "content": "4 Methodology", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 107, + 295, + 362, + 307 + ], + "lines": [ + { + "bbox": [ + 105, + 295, + 363, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 363, + 309 + ], + "score": 1.0, + "content": "4.1 Fine-grained Hardware-friendly Quantization Scheme", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 317, + 505, + 362 + ], + "lines": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "score": 1.0, + "content": "As shown in Section 3, even applying INT8 PTQ to BERT/GPT-3-style models leads to significant", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 329, + 505, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 505, + 341 + ], + "score": 1.0, + "content": "accuracy degradation. The key challenge is the representation of INT8 cannot fully capture the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "score": 1.0, + "content": "different numerical ranges of different rows in weight matrices and different activation tokens. One", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "way to address this is to use group-wise (token-wise) quantization for the weight matrix (activations).", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 107, + 366, + 505, + 422 + ], + "lines": [ + { + "bbox": [ + 106, + 366, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 505, + 380 + ], + "score": 1.0, + "content": "Group-wise Quantization for Weights Group-wise weight matrix quantization has first been", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 376, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 376, + 267, + 392 + ], + "score": 1.0, + "content": "proposed in [57], where a weight matrix", + "type": "text" + }, + { + "bbox": [ + 267, + 378, + 318, + 388 + ], + "score": 0.91, + "content": "\\mathbf { W } \\in \\mathbb { R } ^ { n \\times m }", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 376, + 394, + 392 + ], + "score": 1.0, + "content": "is partitioned in to", + "type": "text" + }, + { + "bbox": [ + 394, + 380, + 401, + 390 + ], + "score": 0.73, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 376, + 506, + 392 + ], + "score": 1.0, + "content": "groups, and each group is", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 388, + 507, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 507, + 403 + ], + "score": 1.0, + "content": "quantized separately. However, in [57], the authors only apply this for quantization aware training.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "score": 1.0, + "content": "More importantly, they do not consider the hardware efficiency constraint and they do not have a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 410, + 418, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 418, + 424 + ], + "score": 1.0, + "content": "system backend support. As such, they lack the real latency reduction benefit.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 427, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 106, + 427, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 427, + 505, + 439 + ], + "score": 1.0, + "content": "In our design, we consider the hardware constraint from Ampere Architecture of GPUs (e.g, A100),", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "where the compute unit is based on Warp Matrix Multiply and Accumulate (WMMA) tiling size [54]", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "score": 1.0, + "content": "to achieve the best speedup. Later, we will show that our group-wise quantization leads to much", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "score": 1.0, + "content": "better accuracy as compared to single-matrix quantization due to its finer-granularity quantization", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 471, + 285, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 285, + 483 + ], + "score": 1.0, + "content": "while still achieving great latency reduction.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 486, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 500 + ], + "score": 1.0, + "content": "Token-wise Quantization for Activations As mentioned in Section 3 and Appendix 3.2, a common", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "score": 1.0, + "content": "practice for existing PTQ work is to use static quantization for activation, where the min/max range", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 509, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 520 + ], + "score": 1.0, + "content": "is calculated at an offline calibration phase. Such a method might be sufficient for small scale models", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 506, + 532 + ], + "score": 1.0, + "content": "where the variance in the activation range is small. However, as analyzed in Section 3, there is a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 531, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 462, + 543 + ], + "score": 1.0, + "content": "huge variance in the activation range for large-scale transformer models such as GPT-", + "type": "text" + }, + { + "bbox": [ + 462, + 531, + 486, + 542 + ], + "score": 0.75, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 531, + 506, + 543 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 540, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 145, + 553 + ], + "score": 0.77, + "content": "\\mathbf { B E R T _ { b a s e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 540, + 506, + 555 + ], + "score": 1.0, + "content": ". As such, a static quantization scheme (often applied to all tokens/samples) would lead to", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 552, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 566 + ], + "score": 1.0, + "content": "significant accuracy drop. One natural idea to overcome this issue is to adopt finer-grained token-wise", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "quantization and dynamically calculate the min/max range for each token to reduce the quantization", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "error from activations. Our evaluation in Section 5 also shows that token-wise quantization for", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 585, + 430, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 430, + 597 + ], + "score": 1.0, + "content": "activation significantly improves the accuracy of GPT-3-style and BERT models.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "score": 1.0, + "content": "However, directly applying token-wise quantization using existing DL frameworks, such as the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 612, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 505, + 625 + ], + "score": 1.0, + "content": "PyTorch quantization suite, would lead to significant quantization and dequantization cost because", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 624, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 505, + 635 + ], + "score": 1.0, + "content": "token-wise quantization introduces additional operations that lead to expensive data movement", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "overhead between the GPU compute units and the main memory. To address this issue, we build a", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "highly optimized inference backend for token-wise quantization of transformer models. For example,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "score": 1.0, + "content": "the inference backend of ZeroQuant employs so called kernel fusion technique to fuse quantization", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "operator with its previous operator, like layer normalization, to alleviate the data movement cost", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "from token-wise quantization. Similarly, the dequantization cost of the different GeMMs’ output", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "is alleviated by scaling the INT32 accumulation using both the weight and activation quantization", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "score": 1.0, + "content": "scales, before writing the final FP16 result back to the main memory for the next FP16 operator (like", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 711, + 412, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 412, + 723 + ], + "score": 1.0, + "content": "GeLU). Those optimization will be discussed in more details in Section 4.3.", + "type": "text" + } + ], + "index": 51 + } + ], + "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": [ + 107, + 73, + 505, + 128 + ], + "lines": [], + "index": 2, + "bbox_fs": [ + 105, + 74, + 505, + 130 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 132, + 505, + 198 + ], + "lines": [ + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "score": 1.0, + "content": "Different Ranges of Neurons in Weight Matrices Similarly, we plot the row-wise (i.e., the output", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 324, + 156 + ], + "score": 1.0, + "content": "dimension) weight range of the attention output matrix", + "type": "text" + }, + { + "bbox": [ + 324, + 144, + 346, + 155 + ], + "score": 0.82, + "content": "( W _ { o } )", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 144, + 379, + 156 + ], + "score": 1.0, + "content": "of GPT-", + "type": "text" + }, + { + "bbox": [ + 379, + 144, + 403, + 155 + ], + "score": 0.55, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "in Figure 2 (right). There", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 124, + 167 + ], + "score": 1.0, + "content": "is a", + "type": "text" + }, + { + "bbox": [ + 124, + 155, + 141, + 165 + ], + "score": 0.39, + "content": "1 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "difference between the largest magnitudes of different rows and this leads to the worse", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "generation performance of the INT8 weight PTQ. This also makes it very challenging when INT4", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 363, + 190 + ], + "score": 1.0, + "content": "quantization is applied as the INT4 only has 16 numbers and a", + "type": "text" + }, + { + "bbox": [ + 363, + 177, + 380, + 187 + ], + "score": 0.51, + "content": "1 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 176, + 506, + 190 + ], + "score": 1.0, + "content": "smaller range leads to 2 (or 3)", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 188, + 351, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 351, + 199 + ], + "score": 1.0, + "content": "numbers for the representations of those smaller-range rows.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 132, + 506, + 199 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 203, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 105, + 203, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 505, + 216 + ], + "score": 1.0, + "content": "This analysis results also indicate why more expensive hidden-states knowledge distillation [3, 37] is", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "score": 1.0, + "content": "used for ultra-low precision quantization to close the accuracy gap. However, as the training cost", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 225, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 506, + 238 + ], + "score": 1.0, + "content": "of knowledge distillation for large-scale models is too high, a lightweight and efficient method is", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 236, + 182, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 182, + 248 + ], + "score": 1.0, + "content": "desirable for PTQ.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 203, + 506, + 248 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 267, + 192, + 282 + ], + "lines": [ + { + "bbox": [ + 105, + 264, + 194, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 194, + 286 + ], + "score": 1.0, + "content": "4 Methodology", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 107, + 295, + 362, + 307 + ], + "lines": [ + { + "bbox": [ + 105, + 295, + 363, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 363, + 309 + ], + "score": 1.0, + "content": "4.1 Fine-grained Hardware-friendly Quantization Scheme", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 317, + 505, + 362 + ], + "lines": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "score": 1.0, + "content": "As shown in Section 3, even applying INT8 PTQ to BERT/GPT-3-style models leads to significant", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 329, + 505, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 505, + 341 + ], + "score": 1.0, + "content": "accuracy degradation. The key challenge is the representation of INT8 cannot fully capture the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "score": 1.0, + "content": "different numerical ranges of different rows in weight matrices and different activation tokens. One", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "way to address this is to use group-wise (token-wise) quantization for the weight matrix (activations).", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 317, + 506, + 363 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 366, + 505, + 422 + ], + "lines": [ + { + "bbox": [ + 106, + 366, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 505, + 380 + ], + "score": 1.0, + "content": "Group-wise Quantization for Weights Group-wise weight matrix quantization has first been", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 376, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 376, + 267, + 392 + ], + "score": 1.0, + "content": "proposed in [57], where a weight matrix", + "type": "text" + }, + { + "bbox": [ + 267, + 378, + 318, + 388 + ], + "score": 0.91, + "content": "\\mathbf { W } \\in \\mathbb { R } ^ { n \\times m }", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 376, + 394, + 392 + ], + "score": 1.0, + "content": "is partitioned in to", + "type": "text" + }, + { + "bbox": [ + 394, + 380, + 401, + 390 + ], + "score": 0.73, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 376, + 506, + 392 + ], + "score": 1.0, + "content": "groups, and each group is", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 388, + 507, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 507, + 403 + ], + "score": 1.0, + "content": "quantized separately. However, in [57], the authors only apply this for quantization aware training.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "score": 1.0, + "content": "More importantly, they do not consider the hardware efficiency constraint and they do not have a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 410, + 418, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 418, + 424 + ], + "score": 1.0, + "content": "system backend support. As such, they lack the real latency reduction benefit.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23, + "bbox_fs": [ + 104, + 366, + 507, + 424 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 427, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 106, + 427, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 427, + 505, + 439 + ], + "score": 1.0, + "content": "In our design, we consider the hardware constraint from Ampere Architecture of GPUs (e.g, A100),", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "where the compute unit is based on Warp Matrix Multiply and Accumulate (WMMA) tiling size [54]", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "score": 1.0, + "content": "to achieve the best speedup. Later, we will show that our group-wise quantization leads to much", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "score": 1.0, + "content": "better accuracy as compared to single-matrix quantization due to its finer-granularity quantization", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 471, + 285, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 285, + 483 + ], + "score": 1.0, + "content": "while still achieving great latency reduction.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 427, + 505, + 483 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 486, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 500 + ], + "score": 1.0, + "content": "Token-wise Quantization for Activations As mentioned in Section 3 and Appendix 3.2, a common", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "score": 1.0, + "content": "practice for existing PTQ work is to use static quantization for activation, where the min/max range", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 509, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 520 + ], + "score": 1.0, + "content": "is calculated at an offline calibration phase. Such a method might be sufficient for small scale models", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 506, + 532 + ], + "score": 1.0, + "content": "where the variance in the activation range is small. 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As such, a static quantization scheme (often applied to all tokens/samples) would lead to", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 552, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 566 + ], + "score": 1.0, + "content": "significant accuracy drop. One natural idea to overcome this issue is to adopt finer-grained token-wise", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "quantization and dynamically calculate the min/max range for each token to reduce the quantization", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "error from activations. Our evaluation in Section 5 also shows that token-wise quantization for", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 585, + 430, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 430, + 597 + ], + "score": 1.0, + "content": "activation significantly improves the accuracy of GPT-3-style and BERT models.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 486, + 506, + 597 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "score": 1.0, + "content": "However, directly applying token-wise quantization using existing DL frameworks, such as the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 612, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 505, + 625 + ], + "score": 1.0, + "content": "PyTorch quantization suite, would lead to significant quantization and dequantization cost because", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 624, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 505, + 635 + ], + "score": 1.0, + "content": "token-wise quantization introduces additional operations that lead to expensive data movement", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "overhead between the GPU compute units and the main memory. To address this issue, we build a", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "highly optimized inference backend for token-wise quantization of transformer models. For example,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "score": 1.0, + "content": "the inference backend of ZeroQuant employs so called kernel fusion technique to fuse quantization", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "operator with its previous operator, like layer normalization, to alleviate the data movement cost", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "from token-wise quantization. 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However, there are several limitations of KD, especially for hidden-states", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 255, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 106, + 255, + 506, + 267 + ], + "score": 1.0, + "content": "KD on large-scale language models: (1) KD needs to hold a teacher and a student model together dur-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 266, + 506, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 266, + 506, + 279 + ], + "score": 1.0, + "content": "ing the training, which dramatically increases the memory and compute cost; (2) KD usually requires", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 289 + ], + "score": 1.0, + "content": "full training of the student model. Therefore, several copies (gradient, first/second order momentum)", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 287, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 505, + 301 + ], + "score": 1.0, + "content": "of the weight parameters need to be stored in memory to update the model; (3) KD generally requires", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 299, + 477, + 311 + ], + "spans": [ + { + "bbox": [ + 106, + 299, + 477, + 311 + ], + "score": 1.0, + "content": "original training data, which sometimes are not accessible due to privacy/confidential issues.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 314, + 505, + 396 + ], + "lines": [ + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "To address those limitations, we present our layer-by-layer distillation (LKD) algorithm. Assume", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 258, + 338 + ], + "score": 1.0, + "content": "the target model for quantization has", + "type": "text" + }, + { + "bbox": [ + 258, + 326, + 268, + 335 + ], + "score": 0.81, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 325, + 351, + 338 + ], + "score": 1.0, + "content": "transformer blocks,", + "type": "text" + }, + { + "bbox": [ + 351, + 326, + 396, + 337 + ], + "score": 0.69, + "content": "L _ { 1 } , . . . , L _ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 325, + 505, + 338 + ], + "score": 1.0, + "content": ", the accessible dataset has", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 131, + 349 + ], + "score": 1.0, + "content": "input", + "type": "text" + }, + { + "bbox": [ + 131, + 336, + 165, + 349 + ], + "score": 0.89, + "content": "( X , Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 336, + 506, + 349 + ], + "score": 1.0, + "content": ", which can be the original training data or datasets from other resources. Our LKD", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "quantizes the network layer-by-layer and uses its original (i.e., unquantized) version as the teacher", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 358, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 265, + 373 + ], + "score": 1.0, + "content": "model. 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Later,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 480, + 428, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 428, + 491 + ], + "score": 1.0, + "content": "we will show that LKD does not rely on the original training data in Section 5.6.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26.5 + }, + { + "type": "title", + "bbox": [ + 107, + 504, + 327, + 516 + ], + "lines": [ + { + "bbox": [ + 104, + 503, + 328, + 518 + ], + "spans": [ + { + "bbox": [ + 104, + 503, + 328, + 518 + ], + "score": 1.0, + "content": "4.3 Quantization-Optimized Transformer Kernels", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 525, + 505, + 646 + ], + "lines": [ + { + "bbox": [ + 106, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "Both optimizing the inference latency and model size is crucial for serving large-scale transformer", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 537, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 549 + ], + "score": 1.0, + "content": "models in practice. During inference, the batch size is often relatively small, so the inference latency", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 546, + 507, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 507, + 561 + ], + "score": 1.0, + "content": "of the model primarily depends on the time of loading inference needed data from the main memory.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "By quantizing the weights and activations to lower precision, we reduce the data volume needed to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 568, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 582 + ], + "score": 1.0, + "content": "load those data, which allows more effective use of memory bandwidth and higher loading throughput.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 579, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 505, + 592 + ], + "score": 1.0, + "content": "However, simply converting weights/activations to INT8 does not guarantee improved latency because", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 590, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 604 + ], + "score": 1.0, + "content": "there are additional data movement overhead associated with quantization/dequantization operations", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "score": 1.0, + "content": "as shown in Figure 3 (red box). Such an overhead becomes expensive and in some cases surpasses", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "score": 1.0, + "content": "the performance benefits of using low precision. To reap the accuracy improvement from token-wise", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "quantization while obtaining improved latency, we now present our optimizations that maximize the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 635, + 411, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 411, + 647 + ], + "score": 1.0, + "content": "memory bandwidth utilization to speed up inference latency for ZeroQuant.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 650, + 505, + 695 + ], + "lines": [ + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "score": 1.0, + "content": "CUTLASS INT8 GeMM To support INT8 computation, we use CUTLASS [6] INT8 GeMM", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 662, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 505, + 673 + ], + "score": 1.0, + "content": "implementation tuned for different batch sizes. Unlike standard GPU backend library, such as", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 673, + 505, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 505, + 686 + ], + "score": 1.0, + "content": "cuDNN, using CUTLASS allows us to more flexibly fuse quantization operation before and after", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 683, + 369, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 683, + 369, + 695 + ], + "score": 1.0, + "content": "GeMM to reduce kernel launching and data-movement overhead.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43.5 + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "Fusing Token-wise Activation Quantization Token-wise quantization/dequantization introduce", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "many additional operations that lead to extra data movement cost. 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Later,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 480, + 428, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 428, + 491 + ], + "score": 1.0, + "content": "we will show that LKD does not rely on the original training data in Section 5.6.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 425, + 506, + 491 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 504, + 327, + 516 + ], + "lines": [ + { + "bbox": [ + 104, + 503, + 328, + 518 + ], + "spans": [ + { + "bbox": [ + 104, + 503, + 328, + 518 + ], + "score": 1.0, + "content": "4.3 Quantization-Optimized Transformer Kernels", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 525, + 505, + 646 + ], + "lines": [ + { + "bbox": [ + 106, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "Both optimizing the inference latency and model size is crucial for serving large-scale transformer", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 537, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 549 + ], + "score": 1.0, + "content": "models in practice. During inference, the batch size is often relatively small, so the inference latency", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 546, + 507, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 507, + 561 + ], + "score": 1.0, + "content": "of the model primarily depends on the time of loading inference needed data from the main memory.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "By quantizing the weights and activations to lower precision, we reduce the data volume needed to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 568, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 582 + ], + "score": 1.0, + "content": "load those data, which allows more effective use of memory bandwidth and higher loading throughput.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 579, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 505, + 592 + ], + "score": 1.0, + "content": "However, simply converting weights/activations to INT8 does not guarantee improved latency because", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 590, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 604 + ], + "score": 1.0, + "content": "there are additional data movement overhead associated with quantization/dequantization operations", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "score": 1.0, + "content": "as shown in Figure 3 (red box). Such an overhead becomes expensive and in some cases surpasses", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "score": 1.0, + "content": "the performance benefits of using low precision. 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Unlike standard GPU backend library, such as", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 673, + 505, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 505, + 686 + ], + "score": 1.0, + "content": "cuDNN, using CUTLASS allows us to more flexibly fuse quantization operation before and after", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 683, + 369, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 683, + 369, + 695 + ], + "score": 1.0, + "content": "GeMM to reduce kernel launching and data-movement overhead.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43.5, + "bbox_fs": [ + 105, + 650, + 506, + 695 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "Fusing Token-wise Activation Quantization Token-wise quantization/dequantization introduce", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "many additional operations that lead to extra data movement cost. To eliminate these cost, we use", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 241, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 506, + 254 + ], + "score": 1.0, + "content": "kernel fusion [68] to fuse quantization operation for activation with its previous element-wise and/or", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "score": 1.0, + "content": "reduction operations such as bias-add, GeLU, and LayerNorm into a single operator, as illustrated by", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "the green box in Figure 3. 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Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)59.7284.9485.0686.27/90.5792.1591.51/88.5672.2093.2390.06/89.5983.95N/A
W8A8 [57](QAT)+83.9183.8392.83
W8A8 [78](QAT)58.48-/89.5690.62/87.9668.7892.2489.04/-
W8A8 (QAT)61.2184.8084.6483.82/88.8591.2991.29/88.2871.1292.8988.39/88.1883.372900
W8A8 (PTQ)56.0679.9981.0675.49/79.6787.3589.92/86.8248.3891.4086.58/86.4477.416
W8A8/16 [7](PTQ)*58.6382.6782.6788.7490.4189.4068.9592.6688.0082.46Unknown
W8A8 (ZeroQuant)59.5984.8385.1386.03/90.3991.9891.45/88.4671.1293.1290.09/89.6283.750
W4/8A16 (PTQ)0.0016.7416.9531.62/0.0050.7463.18/0.0047.2970.6416.48/15.9133.116
W4/8A16 (ZeroQuant)57.2982.6983.2784.56/88.4090.0486.52/79.4970.7692.7888.46/88.6181.650
W4/8A16 (ZeroQuant-LKD)58.5083.1683.6984.80/89.3190.8388.94/84.1270.0492.7888.49/88.6782.3531
W4/8A8 (ZeroQuant)56.6982.4683.0684.07/88.0390.1387.04/80.5070.7692.7888.07/88.4481.550
W4/8A8 (ZeroQuant-LKD)58.8083.0983.6585.78/89.9090.7689.16/84.8571.8493.0088.16/88.5582.7131
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For the dequantization operation (e.g., dequantizing the integer output", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 273, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 505, + 287 + ], + "score": 1.0, + "content": "from the GeMM operator), we similarly fuse it with our custom GeMM schedule to avoid additional", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 285, + 434, + 297 + ], + "spans": [ + { + "bbox": [ + 106, + 285, + 434, + 297 + ], + "score": 1.0, + "content": "read/write accesses to the main memory as illustrated by the blue box in Figure 3.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 108, + 301, + 503, + 334 + ], + "lines": [ + { + "bbox": [ + 106, + 301, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 301, + 505, + 313 + ], + "score": 1.0, + "content": "By doing the above optimizations, we are able to show significant latency reduction for BERT", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "and GPT-3-style models in Section 5. Please see Appendix D for more details about our system", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 324, + 162, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 162, + 336 + ], + "score": 1.0, + "content": "optimization.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13 + }, + { + "type": "title", + "bbox": [ + 107, + 347, + 163, + 360 + ], + "lines": [ + { + "bbox": [ + 104, + 345, + 165, + 362 + ], + "spans": [ + { + "bbox": [ + 104, + 345, + 165, + 362 + ], + "score": 1.0, + "content": "5 Results", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 366, + 505, + 487 + ], + "lines": [ + { + "bbox": [ + 106, + 366, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 506, + 380 + ], + "score": 1.0, + "content": "Experimental Details To evaluate the proposed ZeroQuant, we test it on both BERT and GPT-3", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 241, + 391 + ], + "score": 1.0, + "content": "models. 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Unless specific explanation, for W4/8, we quantize the MHSA’s weight to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "INT8 and FFC’s weight to INT4; for A8/16, we use FP16 activation for self-attention calculation (i.e.,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 524, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 192, + 540 + ], + "score": 1.0, + "content": "the GeMM related to", + "type": "text" + }, + { + "bbox": [ + 192, + 525, + 226, + 538 + ], + "score": 0.91, + "content": "W _ { q / k / v , }", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 524, + 506, + 540 + ], + "score": 1.0, + "content": ") and use INT8 for the rest calculation. We use ZeroQuant to represent", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "score": 1.0, + "content": "the method with only fine-grained quantization schemes and use ZeroQuant-LKD to represent the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 547, + 360, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 360, + 560 + ], + "score": 1.0, + "content": "method with both fine-grained quantization schemes and LKD.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 106, + 563, + 504, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 561, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 577 + ], + "score": 1.0, + "content": "A summary of results is shown in Appendix B. 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For W8A8, the average accuracy of PTQ", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "score": 1.0, + "content": "degrades more than 10 points. However, ZeroQuant can achieve 83.75 scores, which is only 0.2", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "lower than baseline. Particularly, as ZeroQuant has no activation range calibration phase, the cost of", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "score": 1.0, + "content": "ZeroQuant is 0 which is even cheaper than standard PTQ. 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As can be", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "seen, with comparable accuracy results as those QAT methods, ZeroQuant can save the retraining", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 711, + 287, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 287, + 723 + ], + "score": 1.0, + "content": "cost from 2900s to 0s for INT8 quantization.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43 + } + ], + "page_idx": 6, + "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": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 121, + 502, + 225 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 505, + 121 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 506, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 178, + 90 + ], + "score": 1.0, + "content": "Table 2: Result of", + "type": "text" + }, + { + "bbox": [ + 179, + 78, + 217, + 89 + ], + "score": 0.86, + "content": "\\mathbf { B E R T _ { b a s e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 77, + 460, + 90 + ], + "score": 1.0, + "content": "on the development set of GLUE benchmark (except WNLI).", + "type": "text" + }, + { + "bbox": [ + 460, + 77, + 484, + 89 + ], + "score": 0.81, + "content": "[ 5 7 ] ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 77, + 506, + 90 + ], + "score": 1.0, + "content": "uses", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 377, + 101 + ], + "score": 1.0, + "content": "128 groups for weight matrix which is hard to get GPU acceleration.", + "type": "text" + }, + { + "bbox": [ + 377, + 89, + 394, + 100 + ], + "score": 0.81, + "content": "[ 7 ] ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 88, + 506, + 101 + ], + "score": 1.0, + "content": "uses mixed INT8 and FP16", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 100, + 505, + 111 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 505, + 111 + ], + "score": 1.0, + "content": "activation, and it directly reports the average metric of MNLI/MRPC/QQP/STS-B, which is basically", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 110, + 315, + 122 + ], + "spans": [ + { + "bbox": [ + 106, + 110, + 315, + 122 + ], + "score": 1.0, + "content": "the average of the two metrics we used for our runs.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 121, + 502, + 225 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 121, + 502, + 225 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 502, + 225 + ], + "score": 0.98, + "html": "
Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)59.7284.9485.0686.27/90.5792.1591.51/88.5672.2093.2390.06/89.5983.95N/A
W8A8 [57](QAT)+83.9183.8392.83
W8A8 [78](QAT)58.48-/89.5690.62/87.9668.7892.2489.04/-
W8A8 (QAT)61.2184.8084.6483.82/88.8591.2991.29/88.2871.1292.8988.39/88.1883.372900
W8A8 (PTQ)56.0679.9981.0675.49/79.6787.3589.92/86.8248.3891.4086.58/86.4477.416
W8A8/16 [7](PTQ)*58.6382.6782.6788.7490.4189.4068.9592.6688.0082.46Unknown
W8A8 (ZeroQuant)59.5984.8385.1386.03/90.3991.9891.45/88.4671.1293.1290.09/89.6283.750
W4/8A16 (PTQ)0.0016.7416.9531.62/0.0050.7463.18/0.0047.2970.6416.48/15.9133.116
W4/8A16 (ZeroQuant)57.2982.6983.2784.56/88.4090.0486.52/79.4970.7692.7888.46/88.6181.650
W4/8A16 (ZeroQuant-LKD)58.5083.1683.6984.80/89.3190.8388.94/84.1270.0492.7888.49/88.6782.3531
W4/8A8 (ZeroQuant)56.6982.4683.0684.07/88.0390.1387.04/80.5070.7692.7888.07/88.4481.550
W4/8A8 (ZeroQuant-LKD)58.8083.0983.6585.78/89.9090.7689.16/84.8571.8493.0088.16/88.5582.7131
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For W8A8, the average accuracy of PTQ", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "score": 1.0, + "content": "degrades more than 10 points. However, ZeroQuant can achieve 83.75 scores, which is only 0.2", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "lower than baseline. Particularly, as ZeroQuant has no activation range calibration phase, the cost of", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "score": 1.0, + "content": "ZeroQuant is 0 which is even cheaper than standard PTQ. As compared to [7], our method achieves a", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 661, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 661, + 506, + 674 + ], + "score": 1.0, + "content": "better average score (1.29 higher). Meanwhile, as compared to INT8 activation used in ZeroQuant,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 673, + 275, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 275, + 684 + ], + "score": 1.0, + "content": "[7] uses mixed INT8 and FP16 activation.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 618, + 506, + 684 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "We also compare our method with our internal trained QAT and other QAT works [57, 78]. As can be", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "seen, with comparable accuracy results as those QAT methods, ZeroQuant can save the retraining", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 711, + 287, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 287, + 723 + ], + "score": 1.0, + "content": "cost from 2900s to 0s for INT8 quantization.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 688, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 107, + 100, + 502, + 189 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 504, + 100 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 76, + 505, + 91 + ], + "spans": [ + { + "bbox": [ + 104, + 76, + 183, + 91 + ], + "score": 1.0, + "content": "Table 3: Result of", + "type": "text" + }, + { + "bbox": [ + 184, + 78, + 225, + 90 + ], + "score": 0.76, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 76, + 482, + 91 + ], + "score": 1.0, + "content": "on the development set of GLUE benchmark (except WNLI).", + "type": "text" + }, + { + "bbox": [ + 482, + 77, + 505, + 88 + ], + "score": 0.28, + "content": "+ \\mathrm { { { \\mathbf { W } } e } }", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 88, + 421, + 101 + ], + "spans": [ + { + "bbox": [ + 106, + 88, + 421, + 101 + ], + "score": 1.0, + "content": "extensively tuned the learning rate for QAT (see Appendix F for more details).", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 107, + 100, + 502, + 189 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 100, + 502, + 189 + ], + "spans": [ + { + "bbox": [ + 107, + 100, + 502, + 189 + ], + "score": 0.978, + "html": "
Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)63.3586.6585.9187.99/91.6292.2491.08/88.0874.0193.4690.34/90.1185.03N/A
W8A8 [78](QAT)/90.991.7490.12/-
W8A8 (QAT)+59.8586.6586.3585.29/89.4392.5591.60/88.6061.3793.2387.55/87.6582.787181
W8A8 (PTQ)60.5775.6976.9481.13/84.9388.4984.04/74.3546.9391.7462.75/55.7773.5431
W8A8 (ZeroQuant)63.3886.5285.6487.75/91.5092.3191.09/88.0572.5693.3590.45/90.1984.810
W4/8A16 (PTQ)0.0016.8533.2468.38/80.8951.2563.18/0.0052.7152.41-5.74/-8.5135.7331
W4/8A16 (ZeroQuant)62.9984.7784.4287.50/91.1691.6390.03/86.4148.0192.1689.49/89.2881.230
W4/8A16 (ZeroQuant-LKD)63.7284.9084.8187.99/91.3991.4590.34/86.9251.6292.4389.46/89.2981.85550
W4/8A8 (ZeroQuant)62.3484.6284.2587.75/91.3891.8789.86/86.0947.6591.9789.39/89.1781.060
W4/8A8 (ZeroQuant-LKD)63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62550
", + "type": "table", + "image_path": "63f77665b438db357963aba154d7f4ae3d9e19d0b1c56b5c253caa349baf73f1.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 107, + 100, + 502, + 129.66666666666666 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 107, + 129.66666666666666, + 502, + 159.33333333333331 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 107, + 159.33333333333331, + 502, + 188.99999999999997 + ], + "spans": [], + "index": 4 + } + ] + } + ], + "index": 1.75 + }, + { + "type": "table", + "bbox": [ + 107, + 218, + 502, + 298 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 196, + 503, + 218 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 196, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 305, + 208 + ], + "score": 1.0, + "content": "Table 4: Post training quantization result of GPT-", + "type": "text" + }, + { + "bbox": [ + 306, + 197, + 329, + 208 + ], + "score": 0.28, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 196, + 505, + 208 + ], + "score": 1.0, + "content": "on 20 zero-shot evaluation datasets. Please", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 207, + 277, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 277, + 218 + ], + "score": 1.0, + "content": "see Table I.1 for the results of all 20 tasks.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "table_body", + "bbox": [ + 107, + 218, + 502, + 298 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 107, + 218, + 502, + 298 + ], + "spans": [ + { + "bbox": [ + 107, + 218, + 502, + 298 + ], + "score": 0.977, + "html": "
Precision (Method)Lambada (↑)PIQA (↑)OpenBookQA(↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1649.366.329.453.875.138.921.5N/A
W8A8 (PTQ)42.664.128.053.167.537.826.27 mins
W8A8 (ZeroQuant)51.066.529.253.474.938.721.70
W4/8A16 (PTQ)0.0051.430.252.716.128.91.76e57 mins
W4/8A16 (ZeroQuant)10.158.527.252.056.533.588.60
W4/8A16 (ZeroQuant-LKD)39.863.829.453.170.137.030.61.1 hours
W4/8A8 (ZeroQuant)10.557.728.052.755.333.492.10
W4/8A8 (ZeroQuant-LKD)37.461.828.253.168.536.631.11.1 hours
", + "type": "table", + "image_path": "5c42bc1fee147731d46d90ce3b65c338ffa2f0a9ec56d91148bd0be4feeb1bb4.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 107, + 218, + 502, + 244.66666666666666 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 107, + 244.66666666666666, + 502, + 271.3333333333333 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 107, + 271.3333333333333, + 502, + 298.0 + ], + "spans": [], + "index": 9 + } + ] + } + ], + "index": 6.75 + }, + { + "type": "text", + "bbox": [ + 106, + 307, + 505, + 396 + ], + "lines": [ + { + "bbox": [ + 104, + 306, + 507, + 322 + ], + "spans": [ + { + "bbox": [ + 104, + 306, + 507, + 322 + ], + "score": 1.0, + "content": "For the more aggressive weight quantization with minimal (or no) training quantization, i.e., W4/8A16,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "score": 1.0, + "content": "PTQ fully loses all accuracy (pure random prediction). However, ZeroQuant can still achieve an", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "score": 1.0, + "content": "81.65 average score. On top of ZeroQuant, if we add our LKD, the accuracy can be further boosted", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 383, + 353 + ], + "score": 1.0, + "content": "to 82.35 with a cost of 31s per task using only a single GPU, which is", + "type": "text" + }, + { + "bbox": [ + 383, + 340, + 407, + 351 + ], + "score": 0.74, + "content": "9 3 . 5 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 341, + 505, + 353 + ], + "score": 1.0, + "content": "cheaper than INT8 QAT", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "quantization. We also test ZeroQuant and ZeroQuant-LKD under the W4/8A8 quantization scheme", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 361, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 376 + ], + "score": 1.0, + "content": "and both of them achieve similar accuracy performance as W4/8A16. If hyper-parameter tuning", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 372, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 104, + 372, + 506, + 385 + ], + "score": 1.0, + "content": "is applied to LKD, ZeroQuant-LKD can achieve an 83.22 average score under W4/8A8, which is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 384, + 394, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 394, + 397 + ], + "score": 1.0, + "content": "similar to QAT’s W8A8 result. Please see Appendix E for more details.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 400, + 505, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 399, + 507, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 150, + 412 + ], + "score": 0.57, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 399, + 249, + 414 + ], + "score": 1.0, + "content": "We test our methods on", + "type": "text" + }, + { + "bbox": [ + 250, + 401, + 290, + 412 + ], + "score": 0.76, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 399, + 507, + 414 + ], + "score": 1.0, + "content": "as well and the results are shown in Table 3. Similar", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 411, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 117, + 424 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 412, + 156, + 423 + ], + "score": 0.62, + "content": "\\mathrm { B E R T _ { b a s e } ^ { - } }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 411, + 506, + 424 + ], + "score": 1.0, + "content": ", ZeroQuant achieves much better accuracy than PTQ methods. As compared to QAT", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 421, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 506, + 435 + ], + "score": 1.0, + "content": "methods, ZeroQuant has comparable results on larger datasets (like MNLI/QQP) and has better", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 432, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 447 + ], + "score": 1.0, + "content": "performance on small tasks (e.e., CoLA/MRPC/RTE). We actually tune QAT for multiple learning", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 444, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 506, + 457 + ], + "score": 1.0, + "content": "rates but cannot get even better performance for those small tasks (see Appendix F for more details).", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 460, + 505, + 516 + ], + "lines": [ + { + "bbox": [ + 106, + 461, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 506, + 473 + ], + "score": 1.0, + "content": "For more aggressive quantization schemes, like W4/8A16 and W4/8A8, ZeroQuant and ZeroQuant-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 416, + 483 + ], + "score": 1.0, + "content": "LKD still achieve good accuracy except for RTE but the model size is about", + "type": "text" + }, + { + "bbox": [ + 416, + 472, + 428, + 482 + ], + "score": 0.29, + "content": "3 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 471, + 505, + 483 + ], + "score": 1.0, + "content": "smaller than FP16", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 481, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 505, + 496 + ], + "score": 1.0, + "content": "counterpart. This is aligned with the INT8 QAT results, which lose significantly more accuracy on", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "score": 1.0, + "content": "RTE. Thanks to the lightweight cost of LKD, it only takes about 550s to finish each task even on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 503, + 282, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 147, + 516 + ], + "score": 0.73, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 503, + 187, + 518 + ], + "score": 1.0, + "content": ", which is", + "type": "text" + }, + { + "bbox": [ + 187, + 505, + 203, + 515 + ], + "score": 0.27, + "content": "1 3 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 503, + 282, + 518 + ], + "score": 1.0, + "content": "cheaper than QAT.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 108, + 525, + 284, + 537 + ], + "lines": [ + { + "bbox": [ + 105, + 524, + 285, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 285, + 538 + ], + "score": 1.0, + "content": "5.2 Main Results of GPT-3-style Models", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 106, + 541, + 507, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 154, + 553 + ], + "score": 0.26, + "content": "\\mathbf { G P T } \\mathbf { - } 3 _ { 3 5 0 \\mathbf { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 542, + 361, + 554 + ], + "score": 1.0, + "content": "We first test ZeroQuant and ZeroQuant-LKD on GPT-", + "type": "text" + }, + { + "bbox": [ + 361, + 542, + 385, + 553 + ], + "score": 0.34, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 542, + 507, + 554 + ], + "score": 1.0, + "content": "and report the result in Table 4.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 552, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 567 + ], + "score": 1.0, + "content": "The first interesting finding of zero-shot evaluation on GPT-3-stype models is that the accuracy", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "performance of accuracy-based tasks is more tolerant to quantization than generation tasks. For", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 573, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 220, + 588 + ], + "score": 1.0, + "content": "instance, W8A8 PTQ has a", + "type": "text" + }, + { + "bbox": [ + 220, + 574, + 243, + 585 + ], + "score": 0.87, + "content": "1 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 573, + 505, + 588 + ], + "score": 1.0, + "content": "average accuracy drop on 19 accuracy-based tasks as compared", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 584, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 505, + 598 + ], + "score": 1.0, + "content": "to 4.7 points loss on Wikitext-2. Comparing ZeroQuant with PTQ using W8A8, we can reduce the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 596, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 185, + 610 + ], + "score": 1.0, + "content": "accuracy gap from", + "type": "text" + }, + { + "bbox": [ + 185, + 596, + 208, + 607 + ], + "score": 0.9, + "content": "1 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 596, + 219, + 610 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 220, + 596, + 243, + 607 + ], + "score": 0.87, + "content": "0 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 596, + 506, + 610 + ], + "score": 1.0, + "content": "and the perplexity (PPL) gap from 4.7 to 0.2 with no activation", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 608, + 198, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 198, + 620 + ], + "score": 1.0, + "content": "range calibration cost.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "For W4/8A16 quantization scheme, PTQ can hardly predict reasonable answers for the majority of", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "tasks and its generation performance on Wikitext-2 is fully crashed. As a comparison, ZeroQuant still", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "achieves non-trivial performance on some tasks but its generation performance significantly degrades", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "on Wikitext-2. LKD brings a significant performance boost for this W4/8A16 setting. Note that", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "ZeroQuant-LKD increases the accuracy from 33.5 to 37.0 and decreases the PPL from 88.6 to 30.6", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "compared to ZeroQuant, and the entire cost of this is just 3.1 hours on a single A100 GPU. Note that", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 157, + 702 + ], + "score": 1.0, + "content": "this is about", + "type": "text" + }, + { + "bbox": [ + 157, + 689, + 189, + 699 + ], + "score": 0.87, + "content": "0 . 0 2 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "GPU hours of the full pretraining cost (128 A100 GPUs for 32 hours). Similar", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "to W4/8A16, ZeroQuant-LKD achieves much better performance than ZeroQuant on W4/8A8 by", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 711, + 218, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 218, + 724 + ], + "score": 1.0, + "content": "using the lightweight LKD.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40 + } + ], + "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, + 100, + 502, + 189 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 504, + 100 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 76, + 505, + 91 + ], + "spans": [ + { + "bbox": [ + 104, + 76, + 183, + 91 + ], + "score": 1.0, + "content": "Table 3: Result of", + "type": "text" + }, + { + "bbox": [ + 184, + 78, + 225, + 90 + ], + "score": 0.76, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 76, + 482, + 91 + ], + "score": 1.0, + "content": "on the development set of GLUE benchmark (except WNLI).", + "type": "text" + }, + { + "bbox": [ + 482, + 77, + 505, + 88 + ], + "score": 0.28, + "content": "+ \\mathrm { { { \\mathbf { W } } e } }", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 88, + 421, + 101 + ], + "spans": [ + { + "bbox": [ + 106, + 88, + 421, + 101 + ], + "score": 1.0, + "content": "extensively tuned the learning rate for QAT (see Appendix F for more details).", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 107, + 100, + 502, + 189 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 100, + 502, + 189 + ], + "spans": [ + { + "bbox": [ + 107, + 100, + 502, + 189 + ], + "score": 0.978, + "html": "
Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)63.3586.6585.9187.99/91.6292.2491.08/88.0874.0193.4690.34/90.1185.03N/A
W8A8 [78](QAT)/90.991.7490.12/-
W8A8 (QAT)+59.8586.6586.3585.29/89.4392.5591.60/88.6061.3793.2387.55/87.6582.787181
W8A8 (PTQ)60.5775.6976.9481.13/84.9388.4984.04/74.3546.9391.7462.75/55.7773.5431
W8A8 (ZeroQuant)63.3886.5285.6487.75/91.5092.3191.09/88.0572.5693.3590.45/90.1984.810
W4/8A16 (PTQ)0.0016.8533.2468.38/80.8951.2563.18/0.0052.7152.41-5.74/-8.5135.7331
W4/8A16 (ZeroQuant)62.9984.7784.4287.50/91.1691.6390.03/86.4148.0192.1689.49/89.2881.230
W4/8A16 (ZeroQuant-LKD)63.7284.9084.8187.99/91.3991.4590.34/86.9251.6292.4389.46/89.2981.85550
W4/8A8 (ZeroQuant)62.3484.6284.2587.75/91.3891.8789.86/86.0947.6591.9789.39/89.1781.060
W4/8A8 (ZeroQuant-LKD)63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62550
", + "type": "table", + "image_path": "63f77665b438db357963aba154d7f4ae3d9e19d0b1c56b5c253caa349baf73f1.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 107, + 100, + 502, + 129.66666666666666 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 107, + 129.66666666666666, + 502, + 159.33333333333331 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 107, + 159.33333333333331, + 502, + 188.99999999999997 + ], + "spans": [], + "index": 4 + } + ] + } + ], + "index": 1.75 + }, + { + "type": "table", + "bbox": [ + 107, + 218, + 502, + 298 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 196, + 503, + 218 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 196, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 305, + 208 + ], + "score": 1.0, + "content": "Table 4: Post training quantization result of GPT-", + "type": "text" + }, + { + "bbox": [ + 306, + 197, + 329, + 208 + ], + "score": 0.28, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 196, + 505, + 208 + ], + "score": 1.0, + "content": "on 20 zero-shot evaluation datasets. Please", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 207, + 277, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 277, + 218 + ], + "score": 1.0, + "content": "see Table I.1 for the results of all 20 tasks.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "table_body", + "bbox": [ + 107, + 218, + 502, + 298 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 107, + 218, + 502, + 298 + ], + "spans": [ + { + "bbox": [ + 107, + 218, + 502, + 298 + ], + "score": 0.977, + "html": "
Precision (Method)Lambada (↑)PIQA (↑)OpenBookQA(↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1649.366.329.453.875.138.921.5N/A
W8A8 (PTQ)42.664.128.053.167.537.826.27 mins
W8A8 (ZeroQuant)51.066.529.253.474.938.721.70
W4/8A16 (PTQ)0.0051.430.252.716.128.91.76e57 mins
W4/8A16 (ZeroQuant)10.158.527.252.056.533.588.60
W4/8A16 (ZeroQuant-LKD)39.863.829.453.170.137.030.61.1 hours
W4/8A8 (ZeroQuant)10.557.728.052.755.333.492.10
W4/8A8 (ZeroQuant-LKD)37.461.828.253.168.536.631.11.1 hours
", + "type": "table", + "image_path": "5c42bc1fee147731d46d90ce3b65c338ffa2f0a9ec56d91148bd0be4feeb1bb4.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 107, + 218, + 502, + 244.66666666666666 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 107, + 244.66666666666666, + 502, + 271.3333333333333 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 107, + 271.3333333333333, + 502, + 298.0 + ], + "spans": [], + "index": 9 + } + ] + } + ], + "index": 6.75 + }, + { + "type": "text", + "bbox": [ + 106, + 307, + 505, + 396 + ], + "lines": [ + { + "bbox": [ + 104, + 306, + 507, + 322 + ], + "spans": [ + { + "bbox": [ + 104, + 306, + 507, + 322 + ], + "score": 1.0, + "content": "For the more aggressive weight quantization with minimal (or no) training quantization, i.e., W4/8A16,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "score": 1.0, + "content": "PTQ fully loses all accuracy (pure random prediction). However, ZeroQuant can still achieve an", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "score": 1.0, + "content": "81.65 average score. On top of ZeroQuant, if we add our LKD, the accuracy can be further boosted", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 383, + 353 + ], + "score": 1.0, + "content": "to 82.35 with a cost of 31s per task using only a single GPU, which is", + "type": "text" + }, + { + "bbox": [ + 383, + 340, + 407, + 351 + ], + "score": 0.74, + "content": "9 3 . 5 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 341, + 505, + 353 + ], + "score": 1.0, + "content": "cheaper than INT8 QAT", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "quantization. We also test ZeroQuant and ZeroQuant-LKD under the W4/8A8 quantization scheme", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 361, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 376 + ], + "score": 1.0, + "content": "and both of them achieve similar accuracy performance as W4/8A16. If hyper-parameter tuning", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 372, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 104, + 372, + 506, + 385 + ], + "score": 1.0, + "content": "is applied to LKD, ZeroQuant-LKD can achieve an 83.22 average score under W4/8A8, which is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 384, + 394, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 394, + 397 + ], + "score": 1.0, + "content": "similar to QAT’s W8A8 result. Please see Appendix E for more details.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13.5, + "bbox_fs": [ + 104, + 306, + 507, + 397 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 400, + 505, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 399, + 507, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 150, + 412 + ], + "score": 0.57, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 399, + 249, + 414 + ], + "score": 1.0, + "content": "We test our methods on", + "type": "text" + }, + { + "bbox": [ + 250, + 401, + 290, + 412 + ], + "score": 0.76, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 399, + 507, + 414 + ], + "score": 1.0, + "content": "as well and the results are shown in Table 3. Similar", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 411, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 117, + 424 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 412, + 156, + 423 + ], + "score": 0.62, + "content": "\\mathrm { B E R T _ { b a s e } ^ { - } }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 411, + 506, + 424 + ], + "score": 1.0, + "content": ", ZeroQuant achieves much better accuracy than PTQ methods. As compared to QAT", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 421, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 506, + 435 + ], + "score": 1.0, + "content": "methods, ZeroQuant has comparable results on larger datasets (like MNLI/QQP) and has better", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 432, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 447 + ], + "score": 1.0, + "content": "performance on small tasks (e.e., CoLA/MRPC/RTE). We actually tune QAT for multiple learning", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 444, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 506, + 457 + ], + "score": 1.0, + "content": "rates but cannot get even better performance for those small tasks (see Appendix F for more details).", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 399, + 507, + 457 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 460, + 505, + 516 + ], + "lines": [ + { + "bbox": [ + 106, + 461, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 506, + 473 + ], + "score": 1.0, + "content": "For more aggressive quantization schemes, like W4/8A16 and W4/8A8, ZeroQuant and ZeroQuant-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 416, + 483 + ], + "score": 1.0, + "content": "LKD still achieve good accuracy except for RTE but the model size is about", + "type": "text" + }, + { + "bbox": [ + 416, + 472, + 428, + 482 + ], + "score": 0.29, + "content": "3 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 471, + 505, + 483 + ], + "score": 1.0, + "content": "smaller than FP16", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 481, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 505, + 496 + ], + "score": 1.0, + "content": "counterpart. This is aligned with the INT8 QAT results, which lose significantly more accuracy on", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "score": 1.0, + "content": "RTE. Thanks to the lightweight cost of LKD, it only takes about 550s to finish each task even on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 503, + 282, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 147, + 516 + ], + "score": 0.73, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 503, + 187, + 518 + ], + "score": 1.0, + "content": ", which is", + "type": "text" + }, + { + "bbox": [ + 187, + 505, + 203, + 515 + ], + "score": 0.27, + "content": "1 3 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 503, + 282, + 518 + ], + "score": 1.0, + "content": "cheaper than QAT.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 461, + 506, + 518 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 525, + 284, + 537 + ], + "lines": [ + { + "bbox": [ + 105, + 524, + 285, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 285, + 538 + ], + "score": 1.0, + "content": "5.2 Main Results of GPT-3-style Models", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 106, + 541, + 507, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 154, + 553 + ], + "score": 0.26, + "content": "\\mathbf { G P T } \\mathbf { - } 3 _ { 3 5 0 \\mathbf { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 542, + 361, + 554 + ], + "score": 1.0, + "content": "We first test ZeroQuant and ZeroQuant-LKD on GPT-", + "type": "text" + }, + { + "bbox": [ + 361, + 542, + 385, + 553 + ], + "score": 0.34, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 542, + 507, + 554 + ], + "score": 1.0, + "content": "and report the result in Table 4.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 552, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 567 + ], + "score": 1.0, + "content": "The first interesting finding of zero-shot evaluation on GPT-3-stype models is that the accuracy", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "performance of accuracy-based tasks is more tolerant to quantization than generation tasks. For", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 573, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 220, + 588 + ], + "score": 1.0, + "content": "instance, W8A8 PTQ has a", + "type": "text" + }, + { + "bbox": [ + 220, + 574, + 243, + 585 + ], + "score": 0.87, + "content": "1 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 573, + 505, + 588 + ], + "score": 1.0, + "content": "average accuracy drop on 19 accuracy-based tasks as compared", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 584, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 505, + 598 + ], + "score": 1.0, + "content": "to 4.7 points loss on Wikitext-2. Comparing ZeroQuant with PTQ using W8A8, we can reduce the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 596, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 185, + 610 + ], + "score": 1.0, + "content": "accuracy gap from", + "type": "text" + }, + { + "bbox": [ + 185, + 596, + 208, + 607 + ], + "score": 0.9, + "content": "1 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 596, + 219, + 610 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 220, + 596, + 243, + 607 + ], + "score": 0.87, + "content": "0 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 596, + 506, + 610 + ], + "score": 1.0, + "content": "and the perplexity (PPL) gap from 4.7 to 0.2 with no activation", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 608, + 198, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 198, + 620 + ], + "score": 1.0, + "content": "range calibration cost.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 541, + 507, + 620 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "For W4/8A16 quantization scheme, PTQ can hardly predict reasonable answers for the majority of", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "tasks and its generation performance on Wikitext-2 is fully crashed. As a comparison, ZeroQuant still", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "achieves non-trivial performance on some tasks but its generation performance significantly degrades", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "on Wikitext-2. LKD brings a significant performance boost for this W4/8A16 setting. Note that", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "ZeroQuant-LKD increases the accuracy from 33.5 to 37.0 and decreases the PPL from 88.6 to 30.6", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "compared to ZeroQuant, and the entire cost of this is just 3.1 hours on a single A100 GPU. Note that", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 157, + 702 + ], + "score": 1.0, + "content": "this is about", + "type": "text" + }, + { + "bbox": [ + 157, + 689, + 189, + 699 + ], + "score": 0.87, + "content": "0 . 0 2 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "GPU hours of the full pretraining cost (128 A100 GPUs for 32 hours). Similar", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "to W4/8A16, ZeroQuant-LKD achieves much better performance than ZeroQuant on W4/8A8 by", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 711, + 218, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 218, + 724 + ], + "score": 1.0, + "content": "using the lightweight LKD.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 623, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 99, + 502, + 179 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 503, + 99 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 77, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 106, + 77, + 307, + 90 + ], + "score": 1.0, + "content": "Table 5: Post training quantization result of GPT-", + "type": "text" + }, + { + "bbox": [ + 307, + 78, + 327, + 89 + ], + "score": 0.61, + "content": "3 _ { 1 . 3 \\mathrm { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 77, + 505, + 90 + ], + "score": 1.0, + "content": "on 20 zero-shot evaluation datasets. Please", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 88, + 276, + 99 + ], + "spans": [ + { + "bbox": [ + 106, + 88, + 276, + 99 + ], + "score": 1.0, + "content": "see Table I.2 for the results of all 20 tasks.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 99, + 502, + 179 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 99, + 502, + 179 + ], + "spans": [ + { + "bbox": [ + 106, + 99, + 502, + 179 + ], + "score": 0.978, + "html": "
Precision (Method)Lambada (↑)PIQA(↑)OpenBookQA (↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1661.371.433.653.182.642.415.3N/A
W8A8 (PTQ)54.867.716.654.575.740.518.913 mins
W8A8 (ZeroQuant)62.670.733.452.780.942.315.70
W4/8A16 (PTQ)0.0050.427.050.915.829.01.35e513 mins
W4/8A16 (ZeroQuant)43.966.530.052.777.339.3821.90
W4/8A16 (ZeroQuant-LKD)59.469.531.652.779.741.517.63 hours
W4/8A8 (ZeroQuant)46.866.428.852.776.239.2424.10
W4/8A8 (ZeroQuant-LKD)48.768.129.052.077.439.9018.23 hours
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Seq Len BSPrecision128256
2481616641281248161664128
BERTbaseW16A162.453.223.855.519.9617.9334.2567.083.134.055.7010.5519.2736.6971.75140.0
W8A81.081.161.421.762.583.906.7412.921.221.442.082.884.107.8014.6628.13
Speedup2.272.782.713.133.864.605.085.192.572.812.743.664.704.704.894.98
BERTlargeW16A165.456.388.7313.8826.3448.5992.49183.46.398.9414.6627.9951.9498.78195.9384.5
W8A82.082.582.843.796.2110.2818.8636.622.553.364.166.8811.6121.2041.2479.90
Speedup2.622.473.073.664.244.734.905.012.512.663.524.074.474.664.754.81
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Similar to GPT-", + "type": "text" + }, + { + "bbox": [ + 408, + 288, + 431, + 299 + ], + "score": 0.77, + "content": "3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 287, + 507, + 300 + ], + "score": 1.0, + "content": ", for W8A8, Zero-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "score": 1.0, + "content": "Quant has much better performance than PTQ with less no activation calibration cost, particularly", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 308, + 506, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 506, + 323 + ], + "score": 1.0, + "content": "for the generation task Wikitext-2 (3.2 points lower). Also, for W4/8 quantization, LKD can bring", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 319, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 104, + 319, + 387, + 334 + ], + "score": 1.0, + "content": "non-trivial performance gain for ZeroQuant. The cost of LKD is about", + "type": "text" + }, + { + "bbox": [ + 387, + 320, + 414, + 331 + ], + "score": 0.86, + "content": "0 . 0 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 319, + 506, + 334 + ], + "score": 1.0, + "content": "of the full pre-training", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 331, + 256, + 343 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 256, + 343 + ], + "score": 1.0, + "content": "cost (128 A100 GPUs for 120 hours)", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12 + }, + { + "type": "title", + "bbox": [ + 106, + 354, + 356, + 366 + ], + "lines": [ + { + "bbox": [ + 106, + 354, + 357, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 357, + 369 + ], + "score": 1.0, + "content": "5.3 Latency Reduction of BERT and GPT-3-style Models", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 372, + 505, + 405 + ], + "lines": [ + { + "bbox": [ + 105, + 371, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 385 + ], + "score": 1.0, + "content": "We compare the inference speed of BERT between FP16 and our INT8 versions in Table 6 on a single", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "score": 1.0, + "content": "40G-A100 GPU. Using our efficient quantization kernel implementation and operator fusion, the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 391, + 464, + 408 + ], + "spans": [ + { + "bbox": [ + 104, + 391, + 207, + 408 + ], + "score": 1.0, + "content": "INT8 model can achieve", + "type": "text" + }, + { + "bbox": [ + 207, + 394, + 253, + 405 + ], + "score": 0.59, + "content": "2 . 2 7 { - } 5 . 1 9 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 391, + 302, + 408 + ], + "score": 1.0, + "content": "speedup on", + "type": "text" + }, + { + "bbox": [ + 302, + 394, + 341, + 405 + ], + "score": 0.47, + "content": "\\mathbf { B E R T _ { b a s e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 391, + 358, + 408 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 359, + 394, + 405, + 405 + ], + "score": 0.49, + "content": "2 . 4 7 { - } 5 . 0 1 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 391, + 419, + 408 + ], + "score": 1.0, + "content": "on", + "type": "text" + }, + { + "bbox": [ + 419, + 394, + 459, + 406 + ], + "score": 0.68, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 391, + 464, + 408 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 410, + 505, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 506, + 422 + ], + "score": 1.0, + "content": "We also include the latency comparison of GPT-3-style models between FP16 and our INT8 version.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "Particularly, we use the model to generate the first 50 tokens based on a given text and measure", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 432, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 300, + 444 + ], + "score": 1.0, + "content": "the average latency. Our INT8 model leads to", + "type": "text" + }, + { + "bbox": [ + 300, + 432, + 351, + 443 + ], + "score": 0.77, + "content": "4 . 1 6 \\mathrm { x } / 4 . 0 6 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 432, + 403, + 444 + ], + "score": 1.0, + "content": "speedup for", + "type": "text" + }, + { + "bbox": [ + 403, + 432, + 492, + 444 + ], + "score": 0.34, + "content": "\\mathrm { G P T } { - } 3 _ { 3 5 0 \\mathrm { M } } / \\mathrm { G P T } { - } 3 _ { 1 . 3 \\mathrm { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 432, + 505, + 444 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 443, + 247, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 247, + 456 + ], + "score": 1.0, + "content": "compared to the FP16 counterpart.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 106, + 466, + 310, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 464, + 312, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 216, + 482 + ], + "score": 1.0, + "content": "5.4 A Showcase of GPT-", + "type": "text" + }, + { + "bbox": [ + 216, + 467, + 231, + 478 + ], + "score": 0.62, + "content": "\\mathbf { J _ { 6 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 464, + 312, + 482 + ], + "score": 1.0, + "content": "and GPT-NeoX20B", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 484, + 504, + 506 + ], + "lines": [ + { + "bbox": [ + 105, + 484, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 505, + 497 + ], + "score": 1.0, + "content": "To demonstrate the scalability of ZeroQuant, we applied it to two of the largest open-sourced models,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 494, + 427, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 123, + 508 + ], + "score": 1.0, + "content": "i.e.,", + "type": "text" + }, + { + "bbox": [ + 124, + 495, + 158, + 506 + ], + "score": 0.48, + "content": "\\mathrm { G P T - J _ { 6 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 494, + 185, + 508 + ], + "score": 1.0, + "content": "and G", + "type": "text" + }, + { + "bbox": [ + 185, + 495, + 235, + 506 + ], + "score": 0.33, + "content": "\\mathrm { P T } \\mathrm { - N e o } X _ { 2 0 \\mathrm { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 494, + 427, + 508 + ], + "score": 1.0, + "content": ", which have 6B and 20B parameters separately.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 107, + 511, + 505, + 555 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 507, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 202, + 525 + ], + "score": 1.0, + "content": "We report the results of", + "type": "text" + }, + { + "bbox": [ + 203, + 511, + 238, + 523 + ], + "score": 0.73, + "content": "\\mathrm { G P T - J _ { 6 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 510, + 507, + 525 + ], + "score": 1.0, + "content": "in Table 7 on three generation datasets, i.e., PTB [42], Wikitext-2,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 523, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 506, + 534 + ], + "score": 1.0, + "content": "and Wikitext-103 [43]. As can be seen, as compared to FP16 precision, ZeroQuant achieves similar", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 505, + 546 + ], + "score": 1.0, + "content": "PPL on all three different tasks. To compare the latency, we again use the average latency number to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 544, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 320, + 556 + ], + "score": 1.0, + "content": "generate the first 50 tokens. Our W8A8 can get up to", + "type": "text" + }, + { + "bbox": [ + 320, + 545, + 344, + 555 + ], + "score": 0.82, + "content": "3 . 6 7 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 544, + 505, + 556 + ], + "score": 1.0, + "content": "speedup compared to the FP16 version.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 107, + 560, + 505, + 659 + ], + "lines": [ + { + "bbox": [ + 106, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 174, + 573 + ], + "score": 1.0, + "content": "To quantize GPT-", + "type": "text" + }, + { + "bbox": [ + 175, + 561, + 211, + 572 + ], + "score": 0.75, + "content": "\\mathrm { \\cdot N e o X _ { 2 0 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 560, + 506, + 573 + ], + "score": 1.0, + "content": "to W8A8 for all GeMMs, the accuracy significantly decreases. We retrieve", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 572, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 505, + 583 + ], + "score": 1.0, + "content": "the quantization of each weight matrix and of each activation, and finally find out that the activation", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 582, + 507, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 507, + 596 + ], + "score": 1.0, + "content": "quantization for the attention calculation (i.e., the input of self-attention) causes the accuracy loss.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 592, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 505, + 606 + ], + "score": 1.0, + "content": "We conjecture that this is because of the sensitivity of the self-attention module for extra-large models", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 604, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 506, + 617 + ], + "score": 1.0, + "content": "(20B) but cannot verify this for other models due to the lack of open-sourced extra-large models and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 614, + 506, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 628 + ], + "score": 1.0, + "content": "the full evaluation pipeline. As such, we leave the input activation for self-attention in FP16 and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 625, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 506, + 640 + ], + "score": 1.0, + "content": "quantize the rest to INT8. The results are shown in Table 8. 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Please", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 88, + 276, + 99 + ], + "spans": [ + { + "bbox": [ + 106, + 88, + 276, + 99 + ], + "score": 1.0, + "content": "see Table I.2 for the results of all 20 tasks.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 99, + 502, + 179 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 99, + 502, + 179 + ], + "spans": [ + { + "bbox": [ + 106, + 99, + 502, + 179 + ], + "score": 0.978, + "html": "
Precision (Method)Lambada (↑)PIQA(↑)OpenBookQA (↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1661.371.433.653.182.642.415.3N/A
W8A8 (PTQ)54.867.716.654.575.740.518.913 mins
W8A8 (ZeroQuant)62.670.733.452.780.942.315.70
W4/8A16 (PTQ)0.0050.427.050.915.829.01.35e513 mins
W4/8A16 (ZeroQuant)43.966.530.052.777.339.3821.90
W4/8A16 (ZeroQuant-LKD)59.469.531.652.779.741.517.63 hours
W4/8A8 (ZeroQuant)46.866.428.852.776.239.2424.10
W4/8A8 (ZeroQuant-LKD)48.768.129.052.077.439.9018.23 hours
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Seq Len BSPrecision128256
2481616641281248161664128
BERTbaseW16A162.453.223.855.519.9617.9334.2567.083.134.055.7010.5519.2736.6971.75140.0
W8A81.081.161.421.762.583.906.7412.921.221.442.082.884.107.8014.6628.13
Speedup2.272.782.713.133.864.605.085.192.572.812.743.664.704.704.894.98
BERTlargeW16A165.456.388.7313.8826.3448.5992.49183.46.398.9414.6627.9951.9498.78195.9384.5
W8A82.082.582.843.796.2110.2818.8636.622.553.364.166.8811.6121.2041.2479.90
Speedup2.622.473.073.664.244.734.905.012.512.663.524.074.474.664.754.81
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Similar to GPT-", + "type": "text" + }, + { + "bbox": [ + 408, + 288, + 431, + 299 + ], + "score": 0.77, + "content": "3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 287, + 507, + 300 + ], + "score": 1.0, + "content": ", for W8A8, Zero-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "score": 1.0, + "content": "Quant has much better performance than PTQ with less no activation calibration cost, particularly", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 308, + 506, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 506, + 323 + ], + "score": 1.0, + "content": "for the generation task Wikitext-2 (3.2 points lower). 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Our INT8 model leads to", + "type": "text" + }, + { + "bbox": [ + 300, + 432, + 351, + 443 + ], + "score": 0.77, + "content": "4 . 1 6 \\mathrm { x } / 4 . 0 6 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 432, + 403, + 444 + ], + "score": 1.0, + "content": "speedup for", + "type": "text" + }, + { + "bbox": [ + 403, + 432, + 492, + 444 + ], + "score": 0.34, + "content": "\\mathrm { G P T } { - } 3 _ { 3 5 0 \\mathrm { M } } / \\mathrm { G P T } { - } 3 _ { 1 . 3 \\mathrm { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 432, + 505, + 444 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 443, + 247, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 247, + 456 + ], + "score": 1.0, + "content": "compared to the FP16 counterpart.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 410, + 506, + 456 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 466, + 310, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 464, + 312, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 216, + 482 + ], + "score": 1.0, + "content": "5.4 A Showcase of GPT-", + "type": "text" + }, + { + "bbox": [ + 216, + 467, + 231, + 478 + ], + "score": 0.62, + "content": "\\mathbf { J _ { 6 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 464, + 312, + 482 + ], + "score": 1.0, + "content": "and GPT-NeoX20B", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 484, + 504, + 506 + ], + "lines": [ + { + "bbox": [ + 105, + 484, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 505, + 497 + ], + "score": 1.0, + "content": "To demonstrate the scalability of ZeroQuant, we applied it to two of the largest open-sourced models,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 494, + 427, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 123, + 508 + ], + "score": 1.0, + "content": "i.e.,", + "type": "text" + }, + { + "bbox": [ + 124, + 495, + 158, + 506 + ], + "score": 0.48, + "content": "\\mathrm { G P T - J _ { 6 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 494, + 185, + 508 + ], + "score": 1.0, + "content": "and G", + "type": "text" + }, + { + "bbox": [ + 185, + 495, + 235, + 506 + ], + "score": 0.33, + "content": "\\mathrm { P T } \\mathrm { - N e o } X _ { 2 0 \\mathrm { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 494, + 427, + 508 + ], + "score": 1.0, + "content": ", which have 6B and 20B parameters separately.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 484, + 505, + 508 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 511, + 505, + 555 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 507, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 202, + 525 + ], + "score": 1.0, + "content": "We report the results of", + "type": "text" + }, + { + "bbox": [ + 203, + 511, + 238, + 523 + ], + "score": 0.73, + "content": "\\mathrm { G P T - J _ { 6 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 510, + 507, + 525 + ], + "score": 1.0, + "content": "in Table 7 on three generation datasets, i.e., PTB [42], Wikitext-2,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 523, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 506, + 534 + ], + "score": 1.0, + "content": "and Wikitext-103 [43]. As can be seen, as compared to FP16 precision, ZeroQuant achieves similar", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 505, + 546 + ], + "score": 1.0, + "content": "PPL on all three different tasks. To compare the latency, we again use the average latency number to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 544, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 320, + 556 + ], + "score": 1.0, + "content": "generate the first 50 tokens. Our W8A8 can get up to", + "type": "text" + }, + { + "bbox": [ + 320, + 545, + 344, + 555 + ], + "score": 0.82, + "content": "3 . 6 7 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 544, + 505, + 556 + ], + "score": 1.0, + "content": "speedup compared to the FP16 version.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 510, + 507, + 556 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 560, + 505, + 659 + ], + "lines": [ + { + "bbox": [ + 106, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 174, + 573 + ], + "score": 1.0, + "content": "To quantize GPT-", + "type": "text" + }, + { + "bbox": [ + 175, + 561, + 211, + 572 + ], + "score": 0.75, + "content": "\\mathrm { \\cdot N e o X _ { 2 0 B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 560, + 506, + 573 + ], + "score": 1.0, + "content": "to W8A8 for all GeMMs, the accuracy significantly decreases. We retrieve", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 572, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 505, + 583 + ], + "score": 1.0, + "content": "the quantization of each weight matrix and of each activation, and finally find out that the activation", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 582, + 507, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 507, + 596 + ], + "score": 1.0, + "content": "quantization for the attention calculation (i.e., the input of self-attention) causes the accuracy loss.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 592, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 505, + 606 + ], + "score": 1.0, + "content": "We conjecture that this is because of the sensitivity of the self-attention module for extra-large models", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 604, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 506, + 617 + ], + "score": 1.0, + "content": "(20B) but cannot verify this for other models due to the lack of open-sourced extra-large models and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 614, + 506, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 628 + ], + "score": 1.0, + "content": "the full evaluation pipeline. As such, we leave the input activation for self-attention in FP16 and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 625, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 506, + 640 + ], + "score": 1.0, + "content": "quantize the rest to INT8. The results are shown in Table 8. Our W8A8/16 achieves similar accuracy", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "performance but can reduce both the GPU resource requirement (from 2 A100 GPUs to 1) and the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 646, + 447, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 159, + 662 + ], + "score": 1.0, + "content": "latency from", + "type": "text" + }, + { + "bbox": [ + 159, + 648, + 183, + 658 + ], + "score": 0.38, + "content": "6 5 \\mathrm { m s }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 646, + 193, + 662 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 194, + 648, + 217, + 658 + ], + "score": 0.57, + "content": "2 5 \\mathrm { m s }", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 646, + 311, + 662 + ], + "score": 1.0, + "content": ", which together lead to", + "type": "text" + }, + { + "bbox": [ + 312, + 648, + 331, + 658 + ], + "score": 0.63, + "content": "5 . 2 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 646, + 447, + 662 + ], + "score": 1.0, + "content": "better throughput/efficiency.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 560, + 507, + 662 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 671, + 304, + 684 + ], + "lines": [ + { + "bbox": [ + 105, + 670, + 304, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 304, + 686 + ], + "score": 1.0, + "content": "5.5 Ablation Study of Different Components", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 108, + 689, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "score": 1.0, + "content": "To investigate the performance gain of each component we introduced in Section 4, i.e., group-wise", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "weight quantization, token-wise activation quantization, and lightweight layer-by-layer knowledge", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 710, + 385, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 283, + 723 + ], + "score": 1.0, + "content": "distillation, we here do an ablation study on", + "type": "text" + }, + { + "bbox": [ + 284, + 711, + 324, + 723 + ], + "score": 0.61, + "content": "\\mathbf { B E R T _ { l a r g e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 710, + 385, + 723 + ], + "score": 1.0, + "content": "with W4/8A8.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 688, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 107, + 100, + 303, + 138 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 78, + 302, + 99 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 304, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 304, + 90 + ], + "score": 1.0, + "content": "Table 7: Post training quantization result of GPT-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 89, + 263, + 100 + ], + "spans": [ + { + "bbox": [ + 106, + 89, + 120, + 100 + ], + "score": 0.54, + "content": "\\mathrm { J } _ { 6 \\mathrm { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 89, + 263, + 100 + ], + "score": 1.0, + "content": "on three zero-shot generation tasks", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 107, + 100, + 303, + 138 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 100, + 303, + 138 + ], + "spans": [ + { + "bbox": [ + 107, + 100, + 303, + 138 + ], + "score": 0.96, + "html": "
Precision PTBWikitext-2 Wikitext-103Latency
W16A16 20.4710.3510.3529.13ms (1x)
W8A8 20.9710.5110.527.94ms (3.67x)
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Precision Lambada PIQA Ave.19 Tasks Latency
W16A1671.7 77.750.52×65ms (1x)
W8A8/1671.9 78.350.41×25ms (5.2x)
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GQTQLKDCoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.
X-0.7933.0732.9468.38/80.5449.4263.18/0.0052.7152.29-4.27/-1.9035.85
X59.8166.6368.7968.63/71.1783.8778.24/61.3046.9389.4554.58/32.5266.52
x</xx/X62.3484.6284.2587.75/91.3891.8789.86/86.0947.6591.9789.39/89.1781.06
√√√63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62
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MethodData ResourceLambada (↑)PIQA (↑)OpenBookQA (↑)RTE(↑)ReCoRd (↑)Ave.19 Tasks (↑)Wikitext-2 (↓)
ZeroQuant10.557.728.052.755.333.492.1
ZeroQuant-LKDRandom data26.159.329.250.564.934.540.6
ZeroQuant-LKDWikipedia33.962.428.052.769.536.230.4
ZeroQuant-LKDOriginal data37.461.828.253.168.536.631.1
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As can be seen, group-wise weight quantization boosts the accuracy", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "(random-guess prediction) from PTQ to a non-trivial result (66.52). Further adding token-wise", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 348, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 360 + ], + "score": 1.0, + "content": "quantization improves 14.54 points accuracy performance. On top of those (i.e., ZeroQuant), LKD", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 358, + 235, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 235, + 371 + ], + "score": 1.0, + "content": "further brings a 0.56 point gain.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5 + }, + { + "type": "title", + "bbox": [ + 107, + 378, + 304, + 390 + ], + "lines": [ + { + "bbox": [ + 105, + 376, + 305, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 305, + 392 + ], + "score": 1.0, + "content": "5.6 No Access to The Original Training Data", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 438 + ], + "lines": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "score": 1.0, + "content": "As mentioned in previous sections, the original training data are oftentimes hard to access due to the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 406, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 417 + ], + "score": 1.0, + "content": "privacy and/or confidential issues. Therefore, we here study the performance of our LKD when there", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 417, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 429 + ], + "score": 1.0, + "content": "is no direct access to the original training data. As the distillation objective of our LKD does not", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 428, + 397, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 397, + 439 + ], + "score": 1.0, + "content": "depend on the label, the training data used for LKD can be very flexible.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 107, + 443, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 260, + 457 + ], + "score": 1.0, + "content": "We compare the performance of GPT-", + "type": "text" + }, + { + "bbox": [ + 261, + 444, + 284, + 455 + ], + "score": 0.47, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 442, + 505, + 457 + ], + "score": 1.0, + "content": "on W4/8A8 quantization scheme using three different", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 455, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 506, + 467 + ], + "score": 1.0, + "content": "training data resources, i.e., random data (using random integer number to generate token ids),", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 466, + 406, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 406, + 478 + ], + "score": 1.0, + "content": "Wikipedia (using Huggingface to get the data2), and original PILE dataset.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "score": 1.0, + "content": "The results are shown in Table 10. Compared to ZeroQuant, LKD using random data can boost the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 159, + 505 + ], + "score": 1.0, + "content": "accuracy by", + "type": "text" + }, + { + "bbox": [ + 159, + 493, + 181, + 504 + ], + "score": 0.86, + "content": "1 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "and reduce the PPL from 92.1 to 40.6. The reason why random data can still", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "significantly improve the performance is that LKD does not optimize the end-to-end pipeline and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 515, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 527 + ], + "score": 1.0, + "content": "it only layer-by-layer learns the internal dependency from the teacher model. Therefore, random", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "data can also provide meaningful information. Using Wikipedia data from Huggingface can further", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 536, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 550 + ], + "score": 1.0, + "content": "improve the accuracy to 36.2 and reduce the PPL to 30.4, which is comparable to the results using", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 547, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 559 + ], + "score": 1.0, + "content": "the original data. This indicates that a clean text dataset can be used for LKD when we do not have", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 559, + 242, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 242, + 570 + ], + "score": 1.0, + "content": "access to the original full dataset.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5 + }, + { + "type": "title", + "bbox": [ + 107, + 577, + 188, + 590 + ], + "lines": [ + { + "bbox": [ + 104, + 574, + 190, + 592 + ], + "spans": [ + { + "bbox": [ + 104, + 574, + 190, + 592 + ], + "score": 1.0, + "content": "6 Conclusions", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 592, + 505, + 702 + ], + "lines": [ + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "score": 1.0, + "content": "With the rapid growth of large model sizes, we have reach a point to consider how to serve those", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 604, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 616 + ], + "score": 1.0, + "content": "models in practice. Although several works demonstrate that post-training quantization can be applied", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "score": 1.0, + "content": "to BERT models, to the best of our knowledge, there have been no existing works on (1) billion-scale", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 625, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 506, + 639 + ], + "score": 1.0, + "content": "GPT-3-style models, (2) ultra-low precision post-training quantization, and (3) end-to-end solution of", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "score": 1.0, + "content": "how to efficiently serve the quantized model online. In this work, we offer fine-grained compression", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "score": 1.0, + "content": "schemes for both weight and activations to enable INT8 quantization for up to 20B-scale models", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 658, + 506, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 114, + 671 + ], + "score": 1.0, + "content": "(", + "type": "text" + }, + { + "bbox": [ + 114, + 658, + 168, + 669 + ], + "score": 0.32, + "content": "\\mathrm { \\bf J P T - N e o X } _ { 2 0 \\mathrm { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 658, + 506, + 671 + ], + "score": 1.0, + "content": "). We also offer a novel affordable layer-by-layer knowledge distillation for ultra-low", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 670, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 267, + 681 + ], + "score": 1.0, + "content": "precision quantization, which leads to", + "type": "text" + }, + { + "bbox": [ + 267, + 670, + 280, + 680 + ], + "score": 0.36, + "content": "3 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 670, + 505, + 681 + ], + "score": 1.0, + "content": "model size reduction compared to FP16 model while", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 680, + 506, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 506, + 693 + ], + "score": 1.0, + "content": "achieving minimal accuracy degradation. 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Precision PTBWikitext-2 Wikitext-103Latency
W16A16 20.4710.3510.3529.13ms (1x)
W8A8 20.9710.5110.527.94ms (3.67x)
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Precision Lambada PIQA Ave.19 Tasks Latency
W16A1671.7 77.750.52×65ms (1x)
W8A8/1671.9 78.350.41×25ms (5.2x)
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GQTQLKDCoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.
X-0.7933.0732.9468.38/80.5449.4263.18/0.0052.7152.29-4.27/-1.9035.85
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√√√63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62
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MethodData ResourceLambada (↑)PIQA (↑)OpenBookQA (↑)RTE(↑)ReCoRd (↑)Ave.19 Tasks (↑)Wikitext-2 (↓)
ZeroQuant10.557.728.052.755.333.492.1
ZeroQuant-LKDRandom data26.159.329.250.564.934.540.6
ZeroQuant-LKDWikipedia33.962.428.052.769.536.230.4
ZeroQuant-LKDOriginal data37.461.828.253.168.536.631.1
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As can be seen, group-wise weight quantization boosts the accuracy", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "(random-guess prediction) from PTQ to a non-trivial result (66.52). Further adding token-wise", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 348, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 360 + ], + "score": 1.0, + "content": "quantization improves 14.54 points accuracy performance. On top of those (i.e., ZeroQuant), LKD", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 358, + 235, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 235, + 371 + ], + "score": 1.0, + "content": "further brings a 0.56 point gain.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 325, + 506, + 371 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 378, + 304, + 390 + ], + "lines": [ + { + "bbox": [ + 105, + 376, + 305, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 305, + 392 + ], + "score": 1.0, + "content": "5.6 No Access to The Original Training Data", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 438 + ], + "lines": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "score": 1.0, + "content": "As mentioned in previous sections, the original training data are oftentimes hard to access due to the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 406, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 417 + ], + "score": 1.0, + "content": "privacy and/or confidential issues. Therefore, we here study the performance of our LKD when there", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 417, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 429 + ], + "score": 1.0, + "content": "is no direct access to the original training data. As the distillation objective of our LKD does not", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 428, + 397, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 397, + 439 + ], + "score": 1.0, + "content": "depend on the label, the training data used for LKD can be very flexible.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 394, + 505, + 439 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 443, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 260, + 457 + ], + "score": 1.0, + "content": "We compare the performance of GPT-", + "type": "text" + }, + { + "bbox": [ + 261, + 444, + 284, + 455 + ], + "score": 0.47, + "content": "\\cdot 3 _ { 3 5 0 \\mathrm { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 442, + 505, + 457 + ], + "score": 1.0, + "content": "on W4/8A8 quantization scheme using three different", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 455, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 506, + 467 + ], + "score": 1.0, + "content": "training data resources, i.e., random data (using random integer number to generate token ids),", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 466, + 406, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 406, + 478 + ], + "score": 1.0, + "content": "Wikipedia (using Huggingface to get the data2), and original PILE dataset.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 442, + 506, + 478 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "score": 1.0, + "content": "The results are shown in Table 10. 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Using Wikipedia data from Huggingface can further", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 536, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 550 + ], + "score": 1.0, + "content": "improve the accuracy to 36.2 and reduce the PPL to 30.4, which is comparable to the results using", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 547, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 559 + ], + "score": 1.0, + "content": "the original data. This indicates that a clean text dataset can be used for LKD when we do not have", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 559, + 242, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 242, + 570 + ], + "score": 1.0, + "content": "access to the original full dataset.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 482, + 505, + 570 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 577, + 188, + 590 + ], + "lines": [ + { + "bbox": [ + 104, + 574, + 190, + 592 + ], + "spans": [ + { + "bbox": [ + 104, + 574, + 190, + 592 + ], + "score": 1.0, + "content": "6 Conclusions", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 592, + 505, + 702 + ], + "lines": [ + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "score": 1.0, + "content": "With the rapid growth of large model sizes, we have reach a point to consider how to serve those", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 604, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 616 + ], + "score": 1.0, + "content": "models in practice. 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[N/A]", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 145, + 85, + 424, + 99 + ], + "spans": [ + { + "bbox": [ + 145, + 85, + 424, + 99 + ], + "score": 1.0, + "content": "(b) Did you include complete proofs of all theoretical results? [N/A]", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 131, + 101, + 241, + 112 + ], + "lines": [ + { + "bbox": [ + 128, + 99, + 243, + 115 + ], + "spans": [ + { + "bbox": [ + 128, + 99, + 243, + 115 + ], + "score": 1.0, + "content": "3. 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[Yes] We have very", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 161, + 137, + 371, + 149 + ], + "spans": [ + { + "bbox": [ + 161, + 137, + 371, + 149 + ], + "score": 1.0, + "content": "comprehensive experimental details in Appendix A.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 146, + 149, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 146, + 149, + 505, + 163 + ], + "score": 1.0, + "content": "(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 162, + 161, + 367, + 173 + ], + "spans": [ + { + "bbox": [ + 162, + 161, + 367, + 173 + ], + "score": 1.0, + "content": "were chosen)? 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[N/A]", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 145, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 145, + 321, + 505, + 334 + ], + "score": 1.0, + "content": "(d) Did you discuss whether and how consent was obtained from people whose data you’re", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 162, + 332, + 253, + 344 + ], + "spans": [ + { + "bbox": [ + 162, + 332, + 253, + 344 + ], + "score": 1.0, + "content": "using/curating? [N/A]", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 147, + 344, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 147, + 344, + 505, + 358 + ], + "score": 1.0, + "content": "(e) Did you discuss whether the data you are using/curating contains personally identifiable", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 162, + 356, + 325, + 368 + ], + "spans": [ + { + "bbox": [ + 162, + 356, + 325, + 368 + ], + "score": 1.0, + "content": "information or offensive content? [N/A]", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 131, + 371, + 431, + 382 + ], + "lines": [ + { + "bbox": [ + 129, + 370, + 433, + 384 + ], + "spans": [ + { + "bbox": [ + 129, + 370, + 433, + 384 + ], + "score": 1.0, + "content": "5. If you used crowdsourcing or conducted research with human subjects...", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 146, + 385, + 505, + 456 + ], + "lines": [ + { + "bbox": [ + 145, + 384, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 145, + 384, + 506, + 398 + ], + "score": 1.0, + "content": "(a) Did you include the full text of instructions given to participants and screenshots, if", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 161, + 396, + 237, + 408 + ], + "spans": [ + { + "bbox": [ + 161, + 396, + 237, + 408 + ], + "score": 1.0, + "content": "applicable? 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[N/A]", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 145, + 72, + 453, + 99 + ] + }, + { + "type": "text", + "bbox": [ + 131, + 101, + 241, + 112 + ], + "lines": [ + { + "bbox": [ + 128, + 99, + 243, + 115 + ], + "spans": [ + { + "bbox": [ + 128, + 99, + 243, + 115 + ], + "score": 1.0, + "content": "3. If you ran experiments...", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2, + "bbox_fs": [ + 128, + 99, + 243, + 115 + ] + }, + { + "type": "list", + "bbox": [ + 146, + 115, + 505, + 242 + ], + "lines": [ + { + "bbox": [ + 145, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 145, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "(a) Did you include the code, data, and instructions needed to reproduce the main experi-", + "type": "text" + } + ], + "index": 3, + "is_list_start_line": true + }, + { + "bbox": [ + 161, + 124, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 161, + 124, + 506, + 140 + ], + "score": 1.0, + "content": "mental results (either in the supplemental material or as a URL)? [Yes] We have very", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 161, + 137, + 371, + 149 + ], + "spans": [ + { + "bbox": [ + 161, + 137, + 371, + 149 + ], + "score": 1.0, + "content": "comprehensive experimental details in Appendix A.", + "type": "text" + } + ], + "index": 5, + "is_list_end_line": true + }, + { + "bbox": [ + 146, + 149, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 146, + 149, + 505, + 163 + ], + "score": 1.0, + "content": "(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they", + "type": "text" + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 162, + 161, + 367, + 173 + ], + "spans": [ + { + "bbox": [ + 162, + 161, + 367, + 173 + ], + "score": 1.0, + "content": "were chosen)? [Yes] All details are in Appendix A.", + "type": "text" + } + ], + "index": 7, + "is_list_end_line": true + }, + { + "bbox": [ + 147, + 174, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 147, + 174, + 506, + 186 + ], + "score": 1.0, + "content": "(c) Did you report error bars (e.g., with respect to the random seed after running experi-", + "type": "text" + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 162, + 185, + 506, + 197 + ], + "spans": [ + { + "bbox": [ + 162, + 185, + 506, + 197 + ], + "score": 1.0, + "content": "ments multiple times)? [N/A] Our results are based on a single set of hyperparameters.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 161, + 195, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 161, + 195, + 505, + 208 + ], + "score": 1.0, + "content": "So it does not rely on the randomness. However, we do provide a tuning results", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 161, + 207, + 225, + 219 + ], + "spans": [ + { + "bbox": [ + 161, + 207, + 225, + 219 + ], + "score": 1.0, + "content": "in Appendix E.", + "type": "text" + } + ], + "index": 11, + "is_list_end_line": true + }, + { + "bbox": [ + 146, + 218, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 146, + 218, + 505, + 233 + ], + "score": 1.0, + "content": "(d) Did you include the total amount of compute and the type of resources used (e.g., type", + "type": "text" + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 162, + 230, + 474, + 242 + ], + "spans": [ + { + "bbox": [ + 162, + 230, + 474, + 242 + ], + "score": 1.0, + "content": "of GPUs, internal cluster, or cloud provider)? [Yes] Those are in Appendix A.", + "type": "text" + } + ], + "index": 13, + "is_list_end_line": true + } + ], + "index": 8, + "bbox_fs": [ + 145, + 115, + 506, + 242 + ] + }, + { + "type": "text", + "bbox": [ + 130, + 245, + 504, + 257 + ], + "lines": [ + { + "bbox": [ + 129, + 244, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 129, + 244, + 506, + 259 + ], + "score": 1.0, + "content": "4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets...", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14, + "bbox_fs": [ + 129, + 244, + 506, + 259 + ] + }, + { + "type": "list", + "bbox": [ + 146, + 260, + 505, + 367 + ], + "lines": [ + { + "bbox": [ + 145, + 260, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 145, + 260, + 505, + 273 + ], + "score": 1.0, + "content": "(a) If your work uses existing assets, did you cite the creators? [Yes] We cited all dataset", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 161, + 271, + 322, + 284 + ], + "spans": [ + { + "bbox": [ + 161, + 271, + 322, + 284 + ], + "score": 1.0, + "content": "and github repository used in the paper.", + "type": "text" + } + ], + "index": 16, + "is_list_end_line": true + }, + { + "bbox": [ + 145, + 284, + 360, + 297 + ], + "spans": [ + { + "bbox": [ + 145, + 284, + 360, + 297 + ], + "score": 1.0, + "content": "(b) Did you mention the license of the assets? [N/A]", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 145, + 297, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 145, + 297, + 506, + 310 + ], + "score": 1.0, + "content": "(c) Did you include any new assets either in the supplemental material or as a URL? [N/A]", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 145, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 145, + 321, + 505, + 334 + ], + "score": 1.0, + "content": "(d) Did you discuss whether and how consent was obtained from people whose data you’re", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 162, + 332, + 253, + 344 + ], + "spans": [ + { + "bbox": [ + 162, + 332, + 253, + 344 + ], + "score": 1.0, + "content": "using/curating? [N/A]", + "type": "text" + } + ], + "index": 20, + "is_list_end_line": true + }, + { + "bbox": [ + 147, + 344, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 147, + 344, + 505, + 358 + ], + "score": 1.0, + "content": "(e) Did you discuss whether the data you are using/curating contains personally identifiable", + "type": "text" + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 162, + 356, + 325, + 368 + ], + "spans": [ + { + "bbox": [ + 162, + 356, + 325, + 368 + ], + "score": 1.0, + "content": "information or offensive content? [N/A]", + "type": "text" + } + ], + "index": 22, + "is_list_end_line": true + } + ], + "index": 18.5, + "bbox_fs": [ + 145, + 260, + 506, + 368 + ] + }, + { + "type": "text", + "bbox": [ + 131, + 371, + 431, + 382 + ], + "lines": [ + { + "bbox": [ + 129, + 370, + 433, + 384 + ], + "spans": [ + { + "bbox": [ + 129, + 370, + 433, + 384 + ], + "score": 1.0, + "content": "5. 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Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)59.7284.9485.0686.27/90.5792.1591.51/88.5672.2093.2390.06/89.5983.95N/A
W8A8 [57](QAT)+83.9183.8392.83
W8A8 [78](QAT)58.48-/89.5690.62/87.9668.7892.2489.04/-
W8A8 (QAT)61.2184.8084.6483.82/88.8591.2991.29/88.2871.1292.8988.39/88.1883.372900
W8A8 (PTQ)56.0679.9981.0675.49/79.6787.3589.92/86.8248.3891.4086.58/86.4477.416
W8A8/16 [7](PTQ)*58.6382.6782.6788.7490.4189.4068.9592.6688.0082.46Unknown
W8A8 (ZeroQuant)59.5984.8385.1386.03/90.3991.9891.45/88.4671.1293.1290.09/89.6283.750
W4/8A16 (PTQ)0.0016.7416.9531.62/0.0050.7463.18/0.0047.2970.6416.48/15.9133.116
W4/8A16 (ZeroQuant)57.2982.6983.2784.56/88.4090.0486.52/79.4970.7692.7888.46/88.6181.650
W4/8A16 (ZeroQuant-LKD)58.5083.1683.6984.80/89.3190.8388.94/84.1270.0492.7888.49/88.6782.3531
W4/8A8 (ZeroQuant)56.6982.4683.0684.07/88.0390.1387.04/80.5070.7692.7888.07/88.4481.550
W4/8A8 (ZeroQuant-LKD)58.8083.0983.6585.78/89.9090.7689.16/84.8571.8493.0088.16/88.5582.7131
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Precision (Method)CoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.Ave. Time (s)
W16A16 (Baseline)63.3586.6585.9187.99/91.6292.2491.08/88.0874.0193.4690.34/90.1185.03N/A
W8A8 [78](QAT)/90.991.7490.12/-
W8A8 (QAT)+59.8586.6586.3585.29/89.4392.5591.60/88.6061.3793.2387.55/87.6582.787181
W8A8 (PTQ)60.5775.6976.9481.13/84.9388.4984.04/74.3546.9391.7462.75/55.7773.5431
W8A8 (ZeroQuant)63.3886.5285.6487.75/91.5092.3191.09/88.0572.5693.3590.45/90.1984.810
W4/8A16 (PTQ)0.0016.8533.2468.38/80.8951.2563.18/0.0052.7152.41-5.74/-8.5135.7331
W4/8A16 (ZeroQuant)62.9984.7784.4287.50/91.1691.6390.03/86.4148.0192.1689.49/89.2881.230
W4/8A16 (ZeroQuant-LKD)63.7284.9084.8187.99/91.3991.4590.34/86.9251.6292.4389.46/89.2981.85550
W4/8A8 (ZeroQuant)62.3484.6284.2587.75/91.3891.8789.86/86.0947.6591.9789.39/89.1781.060
W4/8A8 (ZeroQuant-LKD)63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62550
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Precision (Method)Lambada (↑)PIQA (↑)OpenBookQA(↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1649.366.329.453.875.138.921.5N/A
W8A8 (PTQ)42.664.128.053.167.537.826.27 mins
W8A8 (ZeroQuant)51.066.529.253.474.938.721.70
W4/8A16 (PTQ)0.0051.430.252.716.128.91.76e57 mins
W4/8A16 (ZeroQuant)10.158.527.252.056.533.588.60
W4/8A16 (ZeroQuant-LKD)39.863.829.453.170.137.030.61.1 hours
W4/8A8 (ZeroQuant)10.557.728.052.755.333.492.10
W4/8A8 (ZeroQuant-LKD)37.461.828.253.168.536.631.11.1 hours
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Seq Len BSPrecision128256
2481616641281248161664128
BERTbaseW16A162.453.223.855.519.9617.9334.2567.083.134.055.7010.5519.2736.6971.75140.0
W8A81.081.161.421.762.583.906.7412.921.221.442.082.884.107.8014.6628.13
Speedup2.272.782.713.133.864.605.085.192.572.812.743.664.704.704.894.98
BERTlargeW16A165.456.388.7313.8826.3448.5992.49183.46.398.9414.6627.9951.9498.78195.9384.5
W8A82.082.582.843.796.2110.2818.8636.622.553.364.166.8811.6121.2041.2479.90
Speedup2.622.473.073.664.244.734.905.012.512.663.524.074.474.664.754.81
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Precision (Method)Lambada (↑)PIQA(↑)OpenBookQA (↑)RTE(↑)ReCoRd(↑)Ave.19 Tasks (↑)Wikitext-2 (↓)Time Cost
W16A1661.371.433.653.182.642.415.3N/A
W8A8 (PTQ)54.867.716.654.575.740.518.913 mins
W8A8 (ZeroQuant)62.670.733.452.780.942.315.70
W4/8A16 (PTQ)0.0050.427.050.915.829.01.35e513 mins
W4/8A16 (ZeroQuant)43.966.530.052.777.339.3821.90
W4/8A16 (ZeroQuant-LKD)59.469.531.652.779.741.517.63 hours
W4/8A8 (ZeroQuant)46.866.428.852.776.239.2424.10
W4/8A8 (ZeroQuant-LKD)48.768.129.052.077.439.9018.23 hours
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MethodData ResourceLambada (↑)PIQA (↑)OpenBookQA (↑)RTE(↑)ReCoRd (↑)Ave.19 Tasks (↑)Wikitext-2 (↓)
ZeroQuant10.557.728.052.755.333.492.1
ZeroQuant-LKDRandom data26.159.329.250.564.934.540.6
ZeroQuant-LKDWikipedia33.962.428.052.769.536.230.4
ZeroQuant-LKDOriginal data37.461.828.253.168.536.631.1
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GQTQLKDCoLAMNLI-mMNLI-mmMRPCQNLIQQPRTESST-2STS-BAve.
X-0.7933.0732.9468.38/80.5449.4263.18/0.0052.7152.29-4.27/-1.9035.85
X59.8166.6368.7968.63/71.1783.8778.24/61.3046.9389.4554.58/32.5266.52
x</xx/X62.3484.6284.2587.75/91.3891.8789.86/86.0947.6591.9789.39/89.1781.06
√√√63.5184.7084.7188.73/91.9991.7390.25/86.7449.8292.0989.34/89.0881.62
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Precision PTBWikitext-2 Wikitext-103Latency
W16A16 20.4710.3510.3529.13ms (1x)
W8A8 20.9710.5110.527.94ms (3.67x)
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Precision Lambada PIQA Ave.19 Tasks Latency
W16A1671.7 77.750.52×65ms (1x)
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Artificial Intelligence Laboratory +3Fudan University 4Yale University 5Northwestern Polytechnical University + +# Abstract + +Diffusion models have demonstrated highly-expressive generative capabilities in vision and NLP. Recent studies in reinforcement learning (RL) have shown that diffusion models are also powerful in modeling complex policies or trajectories in offline datasets. However, these works have been limited to single-task settings where a generalist agent capable of addressing multi-task predicaments is absent. In this paper, we aim to investigate the effectiveness of a single diffusion model in modeling large-scale multi-task offline data, which can be challenging due to diverse and multimodal data distribution. Specifically, we propose Multi-Task Diffusion Model (MTDIFF), a diffusion-based method that incorporates Transformer backbones and prompt learning for generative planning and data synthesis in multitask offline settings. MTDIFF leverages vast amounts of knowledge available in multi-task data and performs implicit knowledge sharing among tasks. For generative planning, we find MTDIFF outperforms state-of-the-art algorithms across 50 tasks on Meta-World and 8 maps on Maze2D. For data synthesis, MTDIFF generates high-quality data for testing tasks given a single demonstration as a prompt, which enhances the low-quality datasets for even unseen tasks. + +# 1 Introduction + +The high-capacity generative models trained on large, diverse datasets have demonstrated remarkable success across vision and language tasks. An impressive and even preternatural ability of these models, e.g. large language models (LLMs), is that the learned model can generalize among different tasks by simply conditioning the model on instructions or prompts [49, 46, 7, 12, 60, 42, 66]. The success of LLMs and vision models inspires us to utilize the recent generative model to learn from large-scale offline datasets that include multiple tasks for generalized decision-making in reinforcement learning (RL). Thus far, recent attempts in offline decision-making take advantage of the generative capability of diffusion models [54, 20] to improve long-term planning [21, 2] or enhance the expressiveness of policies [63, 11, 8]. However, these works are limited to small-scale datasets and single-task settings where broad generalization and general-purpose policies are not expected. In multi-task offline RL which considers learning a single model to solve multi-task problems, the dataset often contains noisy, multimodal, and long-horizon trajectories collected by various policies across tasks and with various qualities, which makes it more challenging to learn policies with broad generalization and transferable capabilities. Gato [47] and other generalized agents [29, 65] take transformer-based architecture [62] via sequence modeling to solve multi-task problems, while they are highly dependent on the optimality of the datasets and are expensive to train due to the huge number of parameters. + +![](images/ae3d9ef421edb978ac5242236d2fd5d2ca9b48d6c005e8dfe1d7accb6ed5f84d.jpg) +Figure 1: Overall architecture of MTDIFF. Different colors represent different tasks. $S$ , $A$ and $R$ denote the state sequence, action sequence, and reward sequence from multi-task data, respectively. $S _ { \mathrm { p r e v } }$ and $R _ { \tau }$ represent historical states and normalized return. + +To address the above challenges, we propose a novel diffusion model to further explore its generalizability in a multi-task setting. We formulate the learning process from multi-task data as a denoising problem, which benefits the modeling of multimodal data. Meanwhile, we develop a relatively lightweight architecture by using a GPT backbone [45] to model sequential trajectories, which has less computation burden and improved sequential modeling capability than previous U-Net-based [48] diffusion models [21, 33]. To disambiguate tasks during training and inference, instead of providing e.g. one-hot task identifiers, we leverage demonstrations as prompt conditioning, which exploits the few-shot abilities of agents [50, 64, 69]. + +We name our method the Multi-Task Diffusion Model (MTDIFF). As shown in Figure 1, we investigate two variants of MTDIFF for planning and data synthesis to further exploit the utility of diffusion models, denoted as MTDIFF-P and MTDIFF-S, respectively. (a) For planning, MTDIFF-P learns a prompt embedding to extract the task-relevant representation, and then concatenates the embedding with the trajectory’s normalized return and historical states as the conditions of the model. During training, MTDIFF-P learns to predict the corresponding future action sequence given the conditions, and we call this process generative planning [78]. During inference, given few-shot prompts and the desired return, MTDIFF-P tries to denoise out the optimal action sequence starting from the current state. Surprisingly, MTDIFF-P can adapt to unseen tasks given well-constructed prompts that contain task information. (b) By slightly changing the inputs and training strategy, we can unlock the abilities of our diffusion model for data synthesis. Our insight is that the diffusion model, which compresses informative multi-task knowledge well, is more effective and generalist than previous methods that only utilize single-task data for augmentation [38, 52, 28]. Specifically, MTDIFF-S learns to estimate the joint conditional distribution of the full transitions that contain states, actions, and rewards based on the task-oriented prompt. Different from MTDIFF-P, MTDIFF-S learns to synthesize data from the underlying dynamic environments for each task. Thus MTDIFF-S only needs prompt conditioning to identify tasks. We empirically find that MTDIFF-S synthesizes high-fidelity data for multiple tasks, including both seen and unseen ones, which can be further utilized for data augmentation to expand the offline dataset and enhance policy performance. + +To summarize, MTDIFF is a diffusion-based method that leverages the multimodal generative ability of diffusion models, the sequential modeling capability of GPT architecture, and the few-shot generalizability of prompt learning for multi-task RL. To the best of our knowledge, we are the first to achieve both effective planning and data synthesis for multi-task RL via diffusion models. Our contributions include: (i) we propose MTDIFF, a novel GPT-based diffusion model that illustrates the supreme effectiveness in multi-task trajectory modeling for both planning and data synthesis; (ii) we incorporate prompt learning into the diffusion framework to learn to generalize across different tasks and even adapt to unseen tasks; (iii) our experiments on Meta-World and Maze2D benchmarks demonstrate that MTDIFF is an effective planner to solve the multi-task problem, and also a powerful data synthesizer to augment offline datasets in the seen or unseen tasks. + +# 2 Preliminaries + +# 2.1 Reinforcement Learning + +MDP and Multi-task MDP. A Markov Decision Process (MDP) is defined by a tuple $( \mathcal { S } , \mathcal { A } , \mathcal { P } , \mathcal { R } , \mu , \gamma )$ , where $s$ is the state space, $\mathcal { A }$ is the action space, $\mathcal { P } : \mathcal { S } \times \mathcal { A } \mathcal { S }$ is the transition function, $\mathcal { R } : \mathcal { S } \times \mathcal { A } \times \mathcal { S } \mathbb { R }$ is the reward function for any transition, $\gamma \in ( 0 , 1 ]$ is a discount factor, and $\mu$ is the initial state distribution. At each timestep $t$ , the agent chooses an action scalar reward $a _ { t }$ by following the policy $r _ { t }$ . In single-task RL, the goal is to learn a policy $\pi : { \mathcal { S } } \Delta _ { { \mathcal { A } } }$ . Then the agent obtains the next state $\begin{array} { r } { \pi ^ { * } = \arg \operatorname* { m a x } _ { \pi } \mathbb E _ { a _ { t } \sim \pi } \big [ \sum _ { t = 0 } ^ { \infty } \gamma ^ { t } r _ { t } \big ] } \end{array}$ $s _ { t + 1 }$ and receives a by maximizing the expected cumulative reward of the corresponding task. + +In a multi-task setting, different tasks can have different reward functions, state spaces and transition functions. We consider all tasks to share the same action space with the same embodied agent. Given a specific task $\tau \sim p ( \mathcal { T } )$ , a task-specified MDP can be defined as $( S ^ { \mathcal { T } } , A , \mathcal { P } ^ { \mathcal { T } } , \mathcal { R } ^ { \mathcal { T } } , \mu ^ { \mathcal { T } } , \gamma )$ . Instead of solving a single MDP, the goaexpected return over all the tasks: $\begin{array} { r } { \pi ^ { * } = \arg \operatorname* { m a x } _ { \pi } \mathbb { E } _ { \mathcal { T } \sim p ( \mathcal { T } ) } \mathbb { E } _ { a _ { t } \sim \pi } \tau \Big [ \sum _ { t = 0 } ^ { \infty } \dot { \gamma } ^ { t } r _ { t } ^ { \mathcal { T } } \Big ] } \end{array}$ y that maximizes. + +Multi-Task Offline Decision-Making. In offline decision-making, the policy is learned from a static dataset of transitions $\{ ( s _ { j } , a _ { j } , s _ { j } ^ { \tilde { \prime } } , r _ { j } ) \} _ { j = 1 } ^ { N }$ collected by an unknown behavior policy $\pi _ { \beta }$ [30]. In the multi-task offline RL setting, the dataset $\mathcal { D }$ is partitioned into per-task subsets as $\mathcal { D } = \cup _ { i = 1 } ^ { N } \mathcal { D } _ { i }$ , where $\mathcal { D } _ { i }$ consists of experiences from task $\mathcal { T } _ { i }$ . The key issue of RL in the offline setting is the distribution shift problem caused by temporal-difference (TD) learning. In our work, we extend the idea of Decision Diffuser [2] by considering multi-task policy learning as a conditional generative process without fitting a value function. The insight is to take advantage of the powerful distribution modeling ability of diffusion models for multi-task data, avoiding facing the risk of distribution shift. + +Offline RL learns policies from a static dataset, which makes the quality and diversity of the dataset significant [15]. One can perform data perturbation [28] to up-sample the offline dataset. Alternatively, we synthesize new transitions $( s , a , s ^ { \prime } , r )$ by capturing the underlying MDP of a given task via diffusion models, which expands the original dataset and leads to significant policy improvement. + +# 2.2 Diffusion Models + +We employ diffusion models to learn from multi-task data $\mathcal { D } = \cup _ { i = 1 } ^ { N } \mathcal { D } _ { i }$ in this paper. With $\tau$ the sampled trajectory from $\mathcal { D }$ , we denote ${ \pmb x } _ { k } ( \tau )$ as the $k$ -step denoised output of the diffusion model, and $\pmb { y } ( \tau )$ is the condition which represents the task attributes and the trajectory’s optimality (e.g., returns). A forward diffusion chain gradually adds noise to the data $\pmb { x } _ { 0 } ( \tau ) \sim q ( \pmb { x } ( \tau ) )$ in $K$ steps with a pre-defined variance schedule $\beta _ { k }$ , which can be expressed as + +$$ +q ( \pmb { x } _ { k } ( \tau ) | \pmb { x } _ { k - 1 } ( \tau ) ) : = \mathcal { N } ( \pmb { x } _ { k } ( \tau ) ; \sqrt { 1 - \beta _ { k } } \pmb { x } _ { k - 1 } ( \tau ) , \beta _ { k } \pmb { I } ) . +$$ + +In this paper, we adopt Variance Preserving (VP) beta schedule [67] and define $\beta _ { k } \quad =$ $1 ~ - ~ \mathrm { e x p } \bar { ( - \beta _ { m i n } ( \frac { 1 } { K } ) - 0 . 5 ( \beta _ { \mathrm { m a x } } - \beta _ { \mathrm { m i n } } ) \frac { 2 k - 1 } { K ^ { 2 } } ) }$ , where $\beta _ { \mathrm { m a x } } \ = \ 1 0$ and $\beta _ { \mathrm { m i n } } ~ = ~ 0 . 1$ are constants. A trainable reverse diffusion chain, constructed as $p _ { \boldsymbol { \theta } } ( \mathbf { x } _ { k - 1 } ( \tau ) | \mathbf { x } _ { k } ( \tau ) , \mathbf { y } ( \tau ) ) \ : =$ $\mathcal { N } ( \pmb { x } _ { k - 1 } ( \tau ) | \mu _ { \boldsymbol { \theta } } ( \pmb { x } _ { k } ( \tau ) , \pmb { y } ( \tau ) , k ) , \Sigma _ { k } )$ , can be optimized by a simplified surrogate loss [20]: + +$$ +\begin{array} { r } { \mathcal { L } _ { \mathrm { d e n o i s e } } : = \mathbb { E } _ { k \sim \mathcal { U } ( 1 , K ) , \pmb { x } _ { 0 } ( \tau ) \sim q , \epsilon \sim \mathcal { N } ( \mathbf { 0 } , I ) } [ \big | \epsilon - \epsilon _ { \theta } ( \pmb { x } _ { k } ( \tau ) , \pmb { y } ( \tau ) , k ) \big | \big | ^ { 2 } ] , } \end{array} +$$ + +where $\epsilon _ { \theta }$ parameterized by a deep neural network is trained to predict the noise $\epsilon \sim \mathcal { N } ( 0 , I )$ added to the dataset sample $\pmb { x } _ { 0 } ( \tau )$ to produce ${ \pmb x } _ { k } ( \tau )$ . By setting $\alpha _ { k } : = 1 - \beta _ { k }$ and $\textstyle { \bar { \alpha } } _ { k } : = \prod _ { s = 1 } ^ { k } \alpha _ { s }$ , we obtain + +$$ +\mathfrak { s } _ { k - 1 } ( \tau ) \frac { 1 } { \sqrt { \alpha _ { k } } } ( x _ { k } ( \tau ) - \frac { \beta _ { k } } { \sqrt { 1 - \bar { \alpha } _ { k } } } \epsilon _ { \theta } ( \mathbf { x } _ { k } ( \tau ) , \boldsymbol { y } ( \tau ) , \boldsymbol { k } ) ) + \sqrt { \beta _ { k } } \sigma , \sigma \sim \mathcal { N } ( \mathbf { 0 } , I ) , \mathrm { ~ f o r ~ } k = \{ K , . . . , 1 \} . +$$ + +Classifier-free guidance [19] aims to learn the conditional distribution $q ( { \pmb x } ( \tau ) | { \pmb y } ( \tau ) )$ without separately training a classifier. In the training stage, this method needs to learn both a conditional $\epsilon _ { \theta } ( { \pmb x } _ { k } ( \tau ) , { \pmb y } ( \tau ) , k )$ and an unconditional $\epsilon _ { \theta } ( { \pmb x } _ { k } ( \tau ) , \emptyset , k )$ model, where $\pmb { y } ( \tau )$ is dropped out. Then the perturbed noise $\begin{array} { r l } & { \epsilon _ { \theta } ( { \pmb x } _ { k } ( \tau ) , \emptyset , k ) + \alpha ( \epsilon _ { \theta } ( { \pmb x } _ { k } ( \tau ) , { \pmb y } ( \tau ) , k ) - \epsilon _ { \theta } ( { \pmb x } _ { k } ( \tau ) , \emptyset , k ) ) } \end{array}$ is used to generate samples latter, where $\alpha$ can be recognized as the guidance scale. + +![](images/b05e6b9c4e49fee501945e900cbd3ff5515eaa94f29023dc2455848b4971be93.jpg) +Figure 2: An example of the denoising process of MTDIFF. We choose 4 tasks for visualization and $\pmb { x } _ { K } ( \tau )$ is sampled from the Gaussian noise for each task. Since different tasks require different manipulation skills, the corresponding action sequences are dispersed in the embedding space. Our model learns such properties and generates task-specific sequences based on task-relevant prompts. + +# 3 Methodology + +# 3.1 Diffusion Formulation + +To capture the multimodal distribution of the trajectories sampled from multiple MDPs, we formulate the multi-task trajectory modeling as a conditional generative problem via diffusion models: + +$$ +\begin{array} { r } { \operatorname* { m a x } _ { \boldsymbol { \theta } } \mathbb { E } _ { \tau \sim \cup _ { i } \mathcal { D } _ { i } } \big [ \log p _ { \boldsymbol { \theta } } ( \pmb { x } _ { 0 } ( \tau ) \big | \pmb { y } ( \tau ) \big ] , } \end{array} +$$ + +where $\pmb { x } _ { 0 } ( \tau )$ is the generated desired sequence and $\pmb { y } ( \tau )$ is the condition. ${ \pmb x } _ { 0 } ( \tau )$ will then be used for generative planning or data synthesis through conditional reverse denoising process $p _ { \theta }$ for specific tasks. Maximizing Eq. (3) can be approximated by maximizing a variational lower bound [20]. + +In terms of different inputs and outputs in generative planning and data synthesis, $\pmb { x } ( \tau )$ can be represented in different formats. We consider two choices to formulate $\pmb { x } ( \tau )$ in MTDIFF- $\mathbf { \nabla } \cdot \mathbf { P }$ and MTDIFF-S, respectively. (i) For MTDIFF-P, $\pmb { x } ( \tau )$ represents the action sequence for planning. We model the action sequence defined as: + +$$ +\pmb { x } _ { k } ^ { p } ( \tau ) : = ( a _ { t } , a _ { t + 1 } , . . . , a _ { t + H - 1 } ) _ { k } , +$$ + +with the context condition as + +$$ +\textit { \textbf { y } } ( \tau ) : = \big [ \pmb { y } ^ { \prime } ( \tau ) , R ( \tau ) \big ] , \quad \pmb { y } ^ { \prime } ( \tau ) : = ( Z , s _ { t - L + 1 } , . . . , s _ { t } ) , +$$ + +where $t$ , $H$ , $R ( \tau )$ and $L$ denote the time visited in trajectory $\tau$ , the length of the input sequence $_ { \textbf { \em x } }$ , the normalized cumulative return under $\tau$ and the length of the observed state history, respectively. $Z$ is the task-relevant information as prompt. We use $y ^ { \prime } ( \tau )$ as an ordinary condition that is injected into the model during both training and testing, while considering $R ( \tau )$ as the classifier-free guidance to obtain the optimal action sequence for a given task. (ii) For data synthesis in MTDIFF-S, the inputs and outputs become the transition sequence that contains states, actions, and rewards, and then the outputs are utilized for data augmentation. We define the transition sequence as: + +$$ +\pmb { x } _ { k } ^ { s } ( \tau ) : = \left[ \begin{array} { l l l l } { s _ { t } } & { s _ { t + 1 } } & { \cdot \cdot \cdot } & { s _ { t + H - 1 } } \\ { a _ { t } } & { a _ { t + 1 } } & { \cdot \cdot \cdot } & { a _ { t + H - 1 } } \\ { r _ { t } } & { r _ { t + 1 } } & { \cdot \cdot \cdot } & { r _ { t + H - 1 } } \end{array} \right] , +$$ + +with the condition: + +$$ +\begin{array} { r } { \pmb { y } ^ { s } ( \tau ) : = [ Z ] , } \end{array} +$$ + +where $\pmb { y } ^ { s } ( \tau )$ takes the same conditional approach as $y ^ { \prime } ( \tau )$ . Figure 2 illustrates the reverse denoising process of MTDIFF-P learned on multi-task datasets collected in Meta-World [73]. The result demonstrates that our diffusion model successfully distinguishes different tasks and finally generates the desired $\pmb { x } _ { 0 } ( \tau )$ . We illustrate the data distribution of $\pmb { x } _ { 0 } ( \tau )$ in a 2D space with dimensional reduction via T-SNE [61], as well as the rendered states after executing the action sequence. The result shows that, with different task-specific prompts as conditions, the generated planning sequence for a specific task will be separate from sequences of other tasks, which verifies that MTDIFF can learn the distribution of multimodal trajectories based on $\pmb { y } ( \tau )$ . + +# 3.2 Prompt, Training and Sampling + +In multi-task RL and LLM-driven decision-making, existing works use one-hot task identifiers [56, 74] or language descriptions [1, 6] as conditions in multi-task training. Nevertheless, we argue that the one-hot encoding for each task [22, 14] suffices for learning a repertoire of training tasks while cannot generalize to novel tasks since it does not leverage semantic similarity between tasks. In addition, the language descriptions [51, 1, 6, 41, 40] of tasks require large amounts of human labor to annotate and encounter challenges related to ambiguity [72]. In MTDIFF, we use expert demonstrations consisting of a few trajectory segments to construct more expressive prompts in multitask settings. The incorporation of prompt learning improves the model’s ability for generalization and extracting task-relevant information to facilitate both generative planning and data synthesis. We remark that a similar method has also been used in PromptDT [69]. Nonetheless, how such a prompt contributes within a diffusion-based framework remains to be investigated. + +Specifically, we formulate the task-specific label $Z$ as trajectory prompts that contain states and actions: + +$$ +Z : = \left[ \begin{array} { l l l l } { s _ { i } ^ { * } } & { s _ { i + 1 } ^ { * } } & { \cdot \cdot } & { s _ { i + J - 1 } ^ { * } } \\ { a _ { i } ^ { * } } & { a _ { i + 1 } ^ { * } } & { \cdot \cdot \cdot } & { a _ { i + J - 1 } ^ { * } } \end{array} \right] , +$$ + +where each element with star-script is associated with a trajectory prompt, and $J$ is the number of environment steps for identifying tasks. With the prompts as conditions, MTDIFF can specify the task by implicitly capturing the transition model and the reward function stored in the prompts for better generalization to unseen tasks without additional parameter-tuning. + +In terms of decision-making in MTDIFF-P, we aim to devise the optimal behaviors that maximize return. Our approach is to utilize the diffusion model for action planning via classifier-free guidance [19]. Formally, an optimal action sequence $\pmb { x } _ { 0 } ^ { p } ( \tau )$ is sampled by starting with Gaussian noise $\pmb { x } _ { K } ( \tau )$ and refining $\pmb { x } _ { k } ^ { p } ( \tau )$ into $\pmb { x } _ { k - 1 } ^ { p } ( \tau )$ at each intermediate timestep with the perturbed noise: + +$$ +\epsilon _ { \theta } \big ( { \pmb x } _ { k } ^ { p } ( \tau ) , { \pmb y } ^ { \prime } ( \tau ) , \emptyset , k \big ) + \alpha \big ( \epsilon _ { \theta } ( { \pmb x } _ { k } ^ { p } ( \tau ) , { \pmb y } ^ { \prime } ( \tau ) , R ( \tau ) , k ) - \epsilon _ { \theta } ( { \pmb x } _ { k } ^ { p } ( \tau ) , { \pmb y } ^ { \prime } ( \tau ) , \emptyset , k ) \big ) , +$$ + +where $y ^ { \prime } ( \tau )$ is defined in Eq. (5). $R ( \tau )$ is the normalized return of $\tau$ , and $\alpha$ is a hyper-parameter that seeks to augment and extract the best portions of trajectories in the dataset with high return. During training, we follow DDPM [20] as well as classifier-free guidance [19] to train the reverse diffusion process $p _ { \theta }$ , parameterized through the noise model $\epsilon _ { \theta }$ , with the following loss: + +$$ +\begin{array} { r } { \colon ( \theta ) : = \mathbb { E } _ { k \sim \mathcal { U } ( 1 , K ) , x _ { 0 } ( \tau ) \sim q , \epsilon \sim \mathcal { N } ( \mathbf { 0 } , I ) , \beta \sim \mathrm { B e r n } ( \mathrm { p } ) } \big [ \big \| \epsilon - \epsilon _ { \theta } \big ( \mathbf { x } _ { k } ( \tau ) , y ^ { \prime } ( \tau ) , ( 1 - \beta ) R ( \tau ) + \beta \mathcal { Q } , k \big ) \big \| _ { * } ^ { 2 } \big ] . } \end{array} +$$ + +Note that with probability $p$ sampled from a Bernoulli distribution, we ignore the conditioning return $R ( \tau )$ . During inference, we adopt the low-temperature sampling technique [2] to produce high-likelihood sequences. We sample $\begin{array} { r } { \pmb { x } _ { k - 1 } ^ { p } ( \tau ) \sim \hat { \mathcal { N } } ( \mu _ { \theta } ( \pmb { x } _ { k - 1 } ^ { p } , \pmb { y } ^ { \prime } ( \tau ) , R _ { \operatorname* { m a x } } ( \tau ) , k - 1 ) , \bar { \beta } \Sigma _ { k - 1 } ) } \end{array}$ , where the variance is reduced by $\beta \in [ 0 , 1 )$ for generating action sequences with higher optimality. + +For MTDIFF-S, since the model aims to synthesize diverse trajectories for data augmentation, which does not need to take any guidance like $R ( \tau )$ , we have the following loss: + +$$ +\begin{array} { r } { \mathcal { L } \mathbf { \Psi } ( \mathbf { \theta } ) : = \mathbb { E } _ { k \sim \mathcal { U } ( 1 , K ) , \mathbf { x } _ { 0 } ( \tau ) \sim q , \epsilon \sim \mathcal { N } ( \mathbf { 0 } , I ) } \left[ \left| \left| \epsilon - \epsilon _ { \theta } ( \mathbf { x } _ { k } ( \tau ) , \boldsymbol { y } _ { \mathbf { \alpha } } ( \tau ) , k ) \right| \right| ^ { 2 } \right] . } \end{array} +$$ + +We sample $\pmb { x } _ { k - 1 } ^ { s } ( \tau ) \sim \mathcal { N } ( \mu _ { \theta } ( \pmb { x } _ { k - 1 } ^ { s } , \pmb { y } ^ { s } ( \tau ) , k - 1 ) , \Sigma _ { k - 1 } )$ . The evaluation process is given in Fig. 3. + +# 3.3 Architecture Design + +Notably, the emergence of Transformer [62] and its applications on generative modeling [44, 5, 47, 6] provides a promising solution to capture interactions between modalities of different tasks. Naturally, instead of U-Net [48] which is commonly used in previous single-task diffusion RL works [21, 2, 33], we parameterize $\epsilon _ { \theta }$ with a novel transformer architecture. We adopt GPT2 [45] architecture for implementation, which excels in sequential modeling and offers a favorable balance between performance and computational efficiency. Our key insight is to train the diffusion model in a unified manner to model multi-task data, treating different inputs as tokens in a unified architecture, which is expected to enhance the efficiency of diverse information exploitation. + +![](images/541447384a7fad11b231505b8795f6fdc77b758c371a35c386e31e75e63c874b.jpg) +Figure 3: Model architecture of MTDIFF, which treats different inputs as tokens in a unified architecture. The two key designs are (i) the trainable GPT2 Transformer which enhances sequential modeling, and (ii) the MLPs and prediction head which enable efficient training. + +As shown in Figure 3, first, different raw inputs $x$ are embedded into embeddings $h$ of the same size $^ d$ via separate MLPs $f$ , which can be expressed as: + +$$ +\begin{array} { l } { { h _ { \mathit { P } } = f _ { \mathit { P } } ( x ^ { \mathrm { { p r o m p t } } } ) , h _ { \mathit { T } i } = f _ { T i } ( x ^ { \mathrm { { t i m e s t e p } } } ) , \mathrm { { \beta _ { \mathit { P } } } \vdash \mathrm { { f o r ~ p r o m p t ~ a n d ~ d i f f u s i o n ~ t i m e s t e p } } } } } \\ { { h _ { \mathit { T r } } ^ { s } = f _ { T r } ( x ^ { \mathrm { { t r a n s i t i o n s } } } ) , \mathrm { { \beta _ { \mathit { P } } \vdash \mathrm { { f o r ~ M T D I F F - S } } } } } } \\ { { h _ { \mathit { A } } ^ { p } = f _ { A } ( x ^ { \mathrm { { a c t i o n s } } } ) , h _ { \mathit { H } } ^ { p } = f _ { H } ( x ^ { \mathrm { { h i s t o r y } } } ) , h _ { \mathit { R } } ^ { p } = f _ { R } ( x ^ { \mathrm { { r e t u r n } } } ) . \mathrm { { \beta _ { \mathit { P } } \mathrm { { f o r ~ M T D I F F - P } } } } } } \end{array} +$$ + +Then, the embeddings $h _ { P }$ and $h _ { T i }$ are prepended as follows to formulate input tokens for MTDIFF-P and MTDIFF-S, respectively: + +$\iota _ { \mathrm { t o k e n s } } = \mathrm { L N } ( h _ { T i } \times [ h _ { P } , h _ { T i } , h _ { R } , h _ { H } , h _ { A } ] + h _ { R } + E ^ { \mathrm { p o s } } ) , h _ { \mathrm { t o k e n s } } = \mathrm { L N } ( h _ { T i } \times [ h _ { P } , h _ { T i } , h _ { T r } ] + E ^ { \mathrm { p o s } } ) ,$ where $E ^ { \mathrm { p o s } }$ is the positional embedding, and LN denotes layer normalization [3] for stabilizing training. In our implementation, we strengthen the condition of the stacked inputs through multiplication with the diffusion timestep $h _ { T i }$ and addition with the return $h _ { R } ^ { p }$ . GPT2 is a decoder-only transformer that incorporates a self-attention mechanism to capture dependencies between different positions in the input sequence. We employ the GPT2 architecture as a trainable backbone in MTDIFF to handle sequential inputs. It outputs an updated representation as: + +$$ +h _ { \mathrm { o u t } } ^ { p } = \mathrm { t r a n s f o r m e r } ( h _ { \mathrm { t o k e n s } } ^ { p } ) , \quad h _ { \mathrm { o u t } } ^ { s } = \mathrm { t r a n s f o r m e r } ( h _ { \mathrm { t o k e n s } } ^ { s } ) . +$$ + +Finally, given the output representation, we use a prediction head consisting of fully connected layers to predict the corresponding noise at diffusion timestep $k$ . Notice that the predicted noise shares the same dimensional space as the original inputs, which differs from the representation size $^ d$ . This noise is used in the reverse denoising process $p _ { \theta }$ during inference. We summarize the details of the training process, architecture and hyperparameters used in MTDIFF in Appendix A. + +# 4 Related Work + +Diffusion Models in RL. Diffusion models have emerged as a powerful family of deep generative models with a record-breaking performance in many applications across vision, language and combinatorial optimization [49, 46, 17, 31, 32]. Recent works in RL have demonstrated the capability of diffusion models to learn the multimodal distribution of offline policies [63, 43, 11] or human behaviors [8]. Other works formulate the sequential decision-making problem as a conditional generative process [2] and learn to generate the trajectories satisfying conditioned constraints. However, these works are limited to the single-task settings, while we further study the trajectory modeling and generalization problems of diffusion models in multi-task settings. + +Multi-Task RL and Few-Shot RL. Multi-task RL aims to learn a shared policy for a diverse set of tasks. The main challenge of multi-task RL is the conflicting gradients among different tasks, and previous online RL works address this problem via gradient surgery [74], conflict-averse learning [34], and parameter composition [70, 56]. Instead, MTDIFF addresses such a problem in an offline setting through a conditional generative process via a novel transformer architecture. Previous Decision-Transformer (DT)-based methods [47, 29, 72] which consider handling multi-task problems, mainly rely on expert trajectories and entail substantial training expenses. Scaled-QL [26] adopts separate networks for different tasks and is hard to generalize to new tasks. Instead of focusing on the performance of training tasks in multi-task RL, few-shot RL aims to improve the generalizability in novel tasks based on the learned multi-task knowledge. Nevertheless, these methods need additional context encoders [77, 79] or gradient descents in the finetuning stage [57, 58, 29]. In contrast, we use prompts for few-shot generalization without additional parameter-tuning. + +Data Augmentation for RL. Data augmentation [13, 39] has been verified to be effective in RL. Previous methods incorporate various data augmentations (e.g. adding noise, random translation) on observations for visual-based RL [71, 28, 52, 27], which ensure the agents learn on multiple views of the same observation. Differently, we focus on data augmentation via synthesizing new experiences rather than perturbing the origin one. Recent works [76, 10] consider augmenting the observations of robotic control using a text-guided diffusion model whilst maintaining the same action, which differs from our approach that can synthesize novel action and reward labels. The recently proposed SynthER [38] is closely related to our method by generating transitions of trained tasks via a diffusion model. However, SynthER is studied in single-task settings, while we investigate whether a diffusion model can accommodate all knowledge of multi-task datasets and augment the data for novel tasks. + +# 5 Experiments + +In this section, we conduct extensive experiments to answer the following questions: (1) How does MTDIFF-P compare to other offline and online baselines in the multi-task regime? (2) Does MTDIFFS synthesize high-fidelity data and bring policy improvement? (3) How is MTDIFF-S compared with other augmentation methods for single-task RL? (4) Does the synthetic data of MTDIFF-S match the original data distribution? (5) Can both MTDIFF-P and MTDIFF-S generalize to unseen tasks? + +# 5.1 Environments and Baselines + +Meta-World Tasks The Meta-World benchmark [73] contains 50 qualitatively-distinct manipulation tasks. The tasks share similar dynamics and require a Sawyer robot to interact with various objects with different shapes, joints, and connectivity. In this setup, the state space and reward functions of different tasks are different since the robot is manipulating different objects with different objectives. At each timestep, the Sawyer robot receives a 4-dimensional fine-grained action, representing the 3D position movements of the end effector and the variation of gripper openness. The original Meta-World environment is configured with a fixed goal, which is more restrictive and less realistic in robotic learning. Following recent works [70, 56], we extend all the tasks to a random-goal setting and refer to it as MT50-rand. We use the average success rate of all tasks as the evaluation metric. + +By training a SAC [18] agent for each task in isolation, we utilize the experience collected in the replay buffer as our offline dataset. Similar to [26], we consider two different dataset compositions: (i) Near-optimal dataset consisting of the experience (100M transitions) from random to expert (convergence) in SAC-Replay, and (ii) Sub-optimal dataset consisting of the initial $50 \%$ of the trajectories (50M transitions) from the replay buffer for each task, where the proportion of expert data decreases a lot. We summarize more details about the dataset in Appendix G. + +Maze2D Tasks Maze2D [15] is a navigation task that requires an agent to traverse from a randomly designated location to a fixed goal in the 2D map. The reward is 1 if succeed and 0 otherwise. Maze2D can evaluate the ability of RL algorithms to stitch together previously collected sub-trajectories, which helps the agent find the shortest path to evaluation goals. We use the agent’s scores as the evaluation metric. The offline dataset is collected by selecting random goal locations and using a planner to generate sequences of waypoints by following a PD controller. + +Baselines We compare our proposed MTDIFF (MTDIFF-P and MTDIFF-S) with the following baselines. Each baseline has the same batch size and training steps as MTDIFF. For MTDIFF-P, we have following baselines: (i) PromptDT. PromptDT [69] built on Decision-Transformer (DT) [9] aims to learn from multi-task data and generalize the policy to unseen tasks. PromptDT generates actions based on the trajectory prompts and reward-to-go. We use the same GPT2-network as in MTDIFF-P. The main difference between our method and PromptDT is that we employ diffusion models for generative planning. (ii) MTDT. We extend the DT architecture [9] to learn from multitask data. Specifically, MTDT concatenates an embedding $z$ and a state $s$ as the input tokens, where $z$ is the encoding of task ID. In evaluation, the reward-to-go and task ID are fed into the Transformer to provide task-specific information. MTDT also uses the same GPT2-network as in MTDIFF-P. Compared to MTDT, our model incorporates prompt and diffusion framework to learn from the multi-task data. (iii) MTCQL. Following scaled-QL [26], we extend CQL [25] with multi-head critic networks and a task-ID conditioned actor for multi-task policy learning. (iv) MTIQL. We extend IQL [24] for multi-task learning using a similar revision of MTCQL. The TD-based baselines (i.e., MTCQL and MTIQL) are used to demonstrate the effectiveness of conditional generative modeling for multi-task planning. (v) MTBC. We extend Behavior cloning (BC) to multi-task offline policy learning via network scaling and a task-ID conditioned actor that is similar to MTCQL and MTIQL. + +As for MTDIFF-S, we compare it with two baselines that perform direct data augmentation in offline RL. (i) RAD. We adopt the random amplitude scaling [28] that multiplies a random variable to states, i.e., $s ^ { \prime } = s \times z$ , where $z \sim \mathrm { U n i f o r m } [ \alpha , \beta ]$ . This augmentation technique has been verified to be effective for state-based RL. (ii) S4RL. We adopt the adversarial state training [52] by taking gradients with respect to the value function to obtain a new state, i.e. $s ^ { \prime } s + \epsilon \nabla _ { s } \mathbb { J } _ { Q } ( \pi ( s ) )$ , where $\mathbb { J } _ { Q }$ is the policy evaluation update performed via a $Q$ function, and $\epsilon$ is the size of gradient steps. We summarize the details of all the baselines in Appendix B. + +# 5.2 Result Comparison for Planning + +# How does MTDIFF-P compare to baselines in the multi-task regime? For a fair comparison, + +we add MTDIFF-P-ONEHOT as a variant of MTDIFF-P by replacing the prompt with a one-hot task-ID, which is used in the baselines except for PromptDT. The first action generated by MTDIFF-P is used to interact with the environment. According to Tab. 1, we have the following key observations. (i) Our method achieves better performance than baselines in both near-optimal and sub-optimal settings. For near-optimal datasets, MTDIFF-P and MTDIFF-P-ONEHOT achieve about $60 \%$ success rate, significantly outperforming other methods and performing comparably with MTBC. However, the performance of MTBC decreases a lot in sub-optimal datasets. BC is hard to handle the conflict behaviors in experi + +Table 1: Average success rate across 3 seeds on MetaWorld-V2 MT50 with random goals (MT50-rand). Each task is evaluated for 50 episodes. + +
MethodsNear-optimalSub-optimal
CARE [53] (Online)50.8 ± 1.0一
PaCo [56] (Online)57.3 ± 1.31
MTDT20.99 ± 2.6620.63 ± 2.21
PromptDT45.68 ± 1.8439.76 ± 2.79
MTBC60.39 ±0.8634.53 ± 1.25
MTCQL
MTIQL56.21 ± 1.3943.28 ± 0.90
MTDIFF-p (ours)59.53 ± 1.1248.67 ± 1.32
MTDIFF-P-ONEHOT (ours)61.32 ± 0.8948.94± 0.95
+ +ences sampled by a mixture of policies with different returns, which has also been verified in previous offline imitation methods [35, 68]. In contrast, both MTDIFF-P and MTDIFF-ONEHOT perform the best in sub-optimal datasets. (ii) We compare MTDIFF-P with two SOTA multi-task online RL methods, CARE [53] and PaCo [56], which are trained for 100M steps in MT50-rand. MTDIFF-P outperforms both of them given the near-optimal dataset, demonstrating the potential of solving the multi-task RL problems in an offline setting. (iii) MTDT is limited in distinguishing different tasks with task ID while PromptDT performs better, which demonstrates the effect of prompts in multi-task settings. (iv) As for TD-based baselines, we find MTCQL almost fails while MTIQL performs well. We hypothesize that since MTCQL penalizes the OOD actions for each task, it will hinder other tasks’ learning since different tasks can choose remarkably different actions when facing similar states. In contrast, IQL learns a value function without querying the values of OOD actions. + +We remark that MTDIFF-P based on GPT network outperforms that with U-Net in similar model size, and detailed results are given in Appendix C. Overall, MTDIFF-P is an effective planner in multi-task settings including sub-optimal datasets where we must stitch useful segments of suboptimal trajectories, and near-optimal datasets where we mimic the best behaviors. Meanwhile, we argue that although MTDIFF-P-ONEHOT performs well, it cannot generalize to unseen tasks without prompts. + +![](images/766a36729e40af5d36fddb4444af1e4bae14b751b6c58b36b95958c68f8eced6.jpg) +Figure 1: Seen and unseen maps of Maze2D with long planning path. Goal position is denoted as .Figure 4: Seen and unseen maps of Maze2D with long planning path. Goal position is denoted as . + +![](images/6852d194b1623d801bf018342793bb829d165cc42ad299704bc4f6069e743316.jpg) +Figure 5: Average scores obtained in 8 Maze2D maps. + +Does MTDIFF-P generalize to unseen tasks? We further carry out experiments on Maze2D Diffusion Model is an Effective Planner and Data to evaluate the generalizability of MTDIFF-P. We select PromptDT as our baseline, as it has Synthesizer for Multi-Task RL demonstrated both competitive performances on training tasks and adaptation ability for unseen tasks [69]. We use 8 different maps for training and one new map for adaptation evaluation. The setup details are given in Appendix D. We evaluate these two methods on both seen maps and an unseen map. The average scores obtained in 8 training maps are referred to Figure 5. To further illustrate Affiliation the advantages of our method compared to PromptDT, we select one difficult training map and the Address unseen map for visualization, as shown in Figure 4. According to the visualized path, we find that (1) for seen maps in training, MTDIFF-P generates a shorter and smoother path, and (2) for unseen maps, PromptDT fails to obtain a reasonable path while MTDIFF-P succeed, which verifies that MTDIFF-P can perform few-shot adaptation based on trajectory prompts and the designed architecture. + +# 5.3 Results for Augmentation via Data Synthesis + +Does MTDIFF-S synthesize high-fidelity data and bring policy improvement? We train MTDIFFS on near-optimal datasets from 45 tasks to evaluate its generalizability. We select 3 training tasks and 3 unseen tasks, and measure the policy improvement of offline RL training (i.e., TD3-BC [16]) with data augmentation. For each evaluated task, MTDIFF-S synthesizes 2M transitions to expand the original 1M dataset. From the results summarized in Table 2, MTDIFF-S can boost the offline performance for all tasks and significantly increases performance by about $180 \%$ , $131 \%$ , and $161 \%$ for box-close, hand-insert, and coffee-push, respectively. + +![](images/46e68d62f5a592be59130c2edee5b97ac03917f7e0f863b62c21704a8020f7b6.jpg) +Figure 7: Average success rate across 3 seeds on coffee-push. Dataset is augmented by MTDIFF-S trained under different number of tasks. + +![](images/8d3dc6c3bc169ffa854383b04749e6ed7eb7ff130f643a5b1a1e174c1ab83b91.jpg) +Figure 6: Results of multi-task and single- task augmentation + +How does MTDiff-s perform and benefit from multi-task training? From Table 2, we find MTDIFF-S achieves superior policy improvement in seen tasks compared with previous SOTA augmentation methods (i.e., S4RL and RAD) that are developed in single-task RL. We hypothesize that, by absorbing vast knowledge of multi-task data in training, MTDIFF-S can perform implicit data sharing [75] by integrating other tasks’ knowledge into data synthesis of the current task. To verify this hypothesis, we select three tasks (i.e., coffee-push, disassemble and dial-turn) to re-train MTDIFF-S on the corresponding single-task dataset. We denote this variant as MTDIFF-S-SINGLE. We implement SynthER [38] to further confirm the benefits of multi-task training. SynthER also utilizes diffusion models to enhance offline datasets for policy improvement, but it doesn’t take into account the aspect of learning from multi-task data. We observe that MTDIFF-S outperforms both two methods, as shown in Figure 6. What’s more, we re-train MTDIFF-S on 10, 20, and 30 tasks respectively, in order to obtain the relationship between the performance gains and the number of training tasks. Our findings, as outlined in Fig. 7, provide compelling evidence in support of our hypothesis: MTDIFF-S exhibits progressively superior data synthesis performance with increasing task diversity. + +Does MTDIFF-S generalize to unseen tasks? We answer this question by conducting offline RL training on the augmented datasets of 3 unseen tasks. According to Table 2, MTDIFF-S is wellgeneralized and obtains significant improvement compared to the success rate of original datasets. MTDIFF-S boost the policy performance by $131 \%$ , $180 \%$ and $32 \%$ for hand-insert, box-close and bin-picking, respectively. We remark that S4RL performs the best on the two unseen tasks, i.e., box-close and bin-picking, since it utilizes the entire datasets to train $Q$ -functions and obtains the augmented states. Nevertheless, we use much less information (i.e., a single trajectory as prompts) for augmentation. + +Table 2: Average success rate across 3 seeds on Meta-World-V2 single task with random goals. Each selected task is evaluated for 500 episodes. + +
TasksOriginalS4RLRADMTDIFF-S(OURS)
Unseen Tasksbox-close23.46 ± 7.1173.13±3.51(个211%)71.20±4.84(个203%)65.73±8.36 (↑180%)
hand-insert bin-picking30.60±9.7760.20 ± 1.57 (↑ 96%)43.79 ±3.44 (↑43%)70.87 ± 3.59 (↑ 131%)
Seen Taskssweep-into42.13 ± 14.33 91.8 ±1.1472.20 ± 4.17(↑ 71%) 90.53 ±3.52(↓ 1%)43.27 ± 4.38(↑ 2%)55.73 ± 7.63(↑32%)
coffee-push28.60 ± 14.5528.73±8.44(个 0.4%)88.06±9.86(↓4%)92.87 ± 1.11(↑ 1%)
disassemble33.19 ± 2.86(个 16%)74.67 ± 6.79(↑ 161%)
60.20 ±16.2952.20 ± 5.68(↓12%)60.93 ± 20.80(个1%)69.00 ± 4.72(↑ 14.6%)
+ +Does the synthetic data of MTDIFF-S match the original data distribution? We select 4 tasks and use T-SNE [61] to visualize the distribution of original data and synthetic data. We find the synthetic data overlap and expand the original data distribution while also keeping consistency with the underlying MDP. The visualization results and further analyses are given in Appendix E. + +# 6 Conclusion + +We propose MTDIFF, a diffusion-based effective planner and data synthesizer for multi-task RL. With the trajectory prompt and unified GPT-based architecture, MTDIFF can model multi-task data and generalize to unseen tasks. We show that in the MT50-rand benchmark containing fine-grained manipulation tasks, MTDIFF-P generates desirable behavior for each task via few-shot prompts. By compressing multi-task knowledge in a single model, we demonstrate that MTDIFF-S greatly boosts policy performance by augmenting original offline datasets. In future research, we aim to develop a practical multi-task algorithm for real robots to trade off the sample speed and generative quality. We further discuss the limitations and broader impacts of MTDIFF in Appendix F. + +# Acknowledgments + +This work is supported by the National Natural Science Foundation of China (Grant No.62306242&62076161), the National Key R&D Program of China (Grant No.2022ZD0160100), Shanghai Municipal Science and Technology Major Project (2021SHZDZX0102) and Shanghai Artificial Intelligence Laboratory. + +# References + +[1] Michael Ahn, Anthony Brohan, Noah Brown, Yevgen Chebotar, Omar Cortes, Byron David, Chelsea Finn, Keerthana Gopalakrishnan, Karol Hausman, Alex Herzog, et al. Do as i can, not as i say: Grounding language in robotic affordances. arXiv preprint arXiv:2204.01691, 2022. +[2] Anurag Ajay, Yilun Du, Abhi Gupta, Joshua B. Tenenbaum, Tommi S. Jaakkola, and Pulkit Agrawal. Is conditional generative modeling all you need for decision making? 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In International Conference on Learning Representations, 2020. + +# A The Details of MTDIFF + +In this section, we give the pseudocodes of MTDIFF-P and MTDIFF-S in Alg. 1 and Alg. 2, respectively. Then we describe various details of the training process, architecture and hyperparameters: + +• We set the per-task batch size as 8, so the total batch size is 400. We train our model using Adam optimizer [23] with $2 e ^ { - 4 }$ learning rate for $2 e ^ { 6 }$ train steps. +• We train MTDIFF on NVIDIA GeForce RTX 3080 for around 50 hours. +• We represent the noise model as the transformer-based architecture described in Section 3.3. MLP $f _ { P }$ which processes prompt is a 3-layered MLP (prepended by a layer norm [3] and with Mish activation). MLP $f _ { T i }$ which processes diffusion timestep $f _ { R }$ is a 2-layered MLP (prepended by a Sinusoidal embedding and with Mish activation). $f _ { R }$ which processes conditioned Return and $f _ { H }$ which processes state history are 3-layered MLPs with Mish activation. $f _ { A }$ which processes actions, $f _ { T R }$ which process transitions and prediction head are 2-layered MLPs with Mish activation. The GPT2 transformer is configured as 6 hidden layers and 4 attention heads. The code of GPT2 is borrowed from https://github.com/kzl/decision-transformer. +• We choose the probability $p$ of removing the conditioning information to be 0.25. +• In MTDIFF-P, we choose the state history length $L = 2$ for Meta-World and $L = 5$ for Maze2D. +• We choose the trajectory prompt length $J = 2 0$ . +• We use $K = 2 0 0$ for diffusion steps. +• We set guidance scale $\alpha = 1 . 2$ for extracting near-optimal behavior. +• We choose $\beta = 0 . 5$ for low temperature sampling. + +# Algorithm 1 MTDIFF-P Training and Evaluation + +# Training Process + +Initialize: training tasks ${ \mathcal { T } } ^ { t r a i n }$ , training iterations $N$ , multi-task dataset $\mathcal { D }$ , per-task batch size $M$ multi-task trajectory prompts $Z$ + +1: for $n = 1$ to $N$ do +2: for Each task $\mathcal { T } _ { i } \in \mathcal { T } ^ { t r a i n } ~ ,$ do +3: Sample action sequences $\pmb { x } _ { 0 } ( \tau _ { i } )$ of length $H$ and corresponding state history $S _ { i } ^ { \mathrm { p r e v } }$ of length +$L$ from $\mathcal { D } _ { i }$ with batch size $M$ +4: Compute normalized return $R ( \tau _ { i } )$ under $\tau _ { i }$ +5: Sample trajectory prompts $\boldsymbol { \tau } _ { i } ^ { * }$ of length $J$ from $Z _ { i }$ with batch size $M$ +6: end for +7: Get a batch $\begin{array} { r } { \mathbb { B } = \{ \pmb { x } _ { 0 } ^ { p } ( \tau _ { i } ) , \tau _ { i } ^ { * } , S _ { i } ^ { \mathrm { p r e v } } , R ( \tau _ { i } ) \} _ { i = 1 } ^ { | \mathcal { T } ^ { t r a i n } | } } \end{array}$ +8: Randomly sample a diffusion timestep $k \sim \mathcal { U } ( 1 , K )$ and obtain noisy sequences $\pmb { x } _ { k } ^ { p } ( \tau _ { i } )$ +9: Omit the $R ( \tau )$ condition with probability $\beta \sim \mathrm { B e r n } ( p )$ +10: Compute ${ \mathcal { L } } ^ { p } ( \theta )$ and update MTDIFF-P model + +# 11: end for + +# Evaluation Process + +1: Given a task, reset the environment and set desired return $R _ { \mathrm { m a x } } ( \tau )$ +2: Obtain the initial state history $h _ { 0 }$ , few-shot prompts $Z$ +3: Set low-temperature sampling scale $\beta$ , classifier-free guidance scale $\alpha$ +4: for $t = 0$ to $t _ { \mathrm { m a x } }$ do +5: Initialize $\pmb { x } _ { K } ^ { p } ( \tau ) \sim { \mathcal { N } } ( \mathbf { 0 } , \beta \pmb { I } )$ +6: Sample $\tau ^ { * } \sim Z$ , and formulate $\pmb { y } ^ { \prime } ( \tau ) = [ h _ { t } , \tau ^ { * } ]$ +7: for $k = K$ to 1 do +8: $\begin{array} { r l } & \dot { \mathbf { \Xi } } _ { k } ^ { \mathrm { ~ ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \dot { \Xi } _ { k } ^ { \mathrm { ~ ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \Lambda } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \dot { \Xi } _ { k } ^ { \mathrm { ~ } } = \epsilon _ { \theta } \big ( \mathbf { \Delta } \mathbf { x } _ { k } ( \tau ) , \mathbf { \Xi } \mathbf { y } ^ { \prime } ( \tau ) , \mathcal { Q } , k \big ) + \alpha \big ( \epsilon _ { \theta } \big ( \mathbf { \Delta } \mathbf { x } _ { k } ( \tau ) , \mathbf { \Xi } \mathbf { y } ^ { \prime } ( \tau ) , R _ { \operatorname* { m a x } } ( \tau ) , k \big ) - \epsilon _ { \theta } \big ( \mathbf { \Delta } \mathbf { x } _ { k } ( \tau ) , \mathbf { \Xi } \mathbf { y } ^ { \prime } ( \tau ) , \mathcal { Q } , k \big ) \big ) } \\ & { \left( \mu _ { k - 1 } , \Sigma _ { k - 1 } \right) \gets \mathrm { ~ D e n o i s e } ( \mathbf { \Delta } \mathbf { x } _ { k } ( \tau ) , \hat { \mathbf { \Xi } } \mathbf { \Lambda } \mathbf { \Lambda } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \mathrm { ~ } \Omega ) } \\ & { \mathbf { \Delta } \mathbf { x } _ { k - 1 } ^ { \mathrm { ~ } } ( \tau ) \sim \mathcal { N } ( \mu _ { k - 1 } , \beta \Sigma _ { k - 1 } ) } \end{array}$ +9: +10: +11: end for +12: Execute the first action from $\pmb { x } _ { 0 } ( \tau )$ as the current action to interact with the environment +13: Obtain the next state, and update $h _ { t }$ +14: end for + +# Training Process + +Initialize: training tasks ${ \mathcal { T } } ^ { t r a i n }$ , training iterations $N$ , multi-task dataset $\mathcal { D }$ , per-task batch size $M$ multi-task trajectory prompts $Z$ + +1: for $n = 1$ to $N$ do +2: for Each task ${ \mathcal { T } } _ { i } \in { \mathcal { T } } ^ { t r a i n }$ do +3: Sample transition sequences $\pmb { x } _ { 0 } ( \tau _ { i } )$ of length $H$ from $\mathcal { D } _ { i }$ with batch size $M$ +4: Sample trajectory prompts $\boldsymbol { \tau } _ { i } ^ { * }$ of length $J$ from $Z _ { i }$ with batch size $M$ +5: end for +6: Get a batch $\boldsymbol { B } = \{ \boldsymbol { x } _ { 0 } ^ { s } ( \tau _ { i } ) , \tau _ { i } ^ { * } \} _ { i = 1 } ^ { | \mathcal { T } ^ { t r a i n } | }$ p +7: Randomly sample a diffusion timestep $k \sim \mathcal { U } ( 1 , K )$ and obtain noisy sequences $\pmb { x } _ { k } ^ { s } ( \tau _ { i } )$ +8: Compute ${ \mathcal { L } } ^ { s } ( \theta )$ and update MTDIFF-S model + +# Data Synthesis Process + +Initialize: synthetic dataset $\mathcal { D } = \varnothing$ , synthesizing times $M$ + +1: Given a task, obtain few-shot prompts $Z$ +2: for $m = 1$ to $M$ do +3: Initialize $\mathbf { \boldsymbol { x } } _ { K } ( \tau ) \sim \mathcal { N } ( \mathbf { \boldsymbol { 0 } } , I )$ +4: Sample $\tau ^ { * } \sim Z$ , and formulate $\pmb { y } _ { k } ^ { s } ( \tau ) = [ \tau ^ { * } ]$ +5: for $k = K$ to 1 do +6: $\begin{array} { r l } & { \hat { \epsilon } = \epsilon _ { \theta } \big ( \pmb { x } _ { k } ( \tau ) , \pmb { y } _ { \mathbf { \lambda } } ( \tau ) , k \big ) } \\ & { ( \mu _ { k - 1 } , \Sigma _ { k - 1 } ) \mathrm { D e n o i s e } ( \pmb { x } _ { k } ( \tau ) , \hat { \epsilon } ) } \\ & { \pmb { x } _ { k - 1 } ( \tau ) \sim \mathcal { N } ( \mu _ { k - 1 } , \Sigma _ { k - 1 } ) } \end{array}$ +7: +8: +9: end for +10: Update $\mathcal { D } = \mathcal { D } \cup \pmb { x } _ { 0 } ^ { s } ( \tau )$ +11: end for + +# B The Details of Baselines + +In this section, we describe the implementation details of the baselines: + +• PromptDT uses the same prompts and GPT2 transformer in MTDIFF-P for taining. We borrow the code from https://github.com/mxu34/prompt-dt for implementation. + +• MTDT embeds the tskaID which indicates the task to a embedding $z$ with size 12, then $z$ is concatenated with the raw state. With such conditioning, we broaden the original state space to equip DT with the ability to identify tasks in this multi-task setting. We keep other hyperparameters and implementation details the same as the official version https://github.com/kzl/ decision-transformer/. + +• MTIQL uses a multi-head critic network to predict the $Q$ value for each task, and each head is parameterized with a 3-layered MLP (with Mish activation). The actor-network is parameterized with a 3-layered MLP (with Mish activation). During training and inference, the scalar taskID is embedded via 3-layered MLP (with Mish activation) into latent variable $z$ , and the input of the actor becomes the concatenation of the original state and $z$ . We build MTIQL based on the code https://github.com/tinkoff-ai/CORL [59]. + +• MTCQL is applied with a similar revision in MTIQL. The main difference is that MTCQL is based on CQL [25] algorithm instead of the IQL algorithm [24]. We build MTCQL based on the code https://github.com/tinkoff-ai/CORL [59]. + +• MTBC uses a similar taskID-cognitional actor in MTIQL and MTCQL. For training and inference, the scalar taskID is embedded via a 3-layered MLP (with Mish activation) into latent variable $z$ , and the input of the actor becomes the concatenation of the original state and $z$ . The actor is parameterized with a 3-layered MLP and outputs predicted actions. + +• RAD adopts the random amplitude scaling [28] that multiplies a random variable to states during training, i.e., $s ^ { \prime } = s \times z$ , where $z \sim \mathrm { U n i f o r m } [ \alpha , \beta ]$ . We choose $\alpha = 0 . 8$ and $\beta = 1 . 2$ . + +• S4RL adopts the adversarial state training [52] by taking gradients with respect to the value function to obtain a new state, i.e. $s ^ { \prime } \bar { s } + \epsilon \nabla _ { s } \bar { \mathbb { J } } _ { Q } ( \pi ( s \bar { ) } )$ , where $\mathbb { J } _ { Q }$ is the policy evaluation update performed via a $Q$ function, and $\epsilon$ is the size of gradient steps. We choose $\epsilon = 0 . 0 1$ . + +# C Ablation Study on Model Architecture + +The architecture described in $\ S 3 . 3$ handles input types of different modalities as tokens that share similar formats, actively capturing interactions between modalities. The incorporation of a transformer is also helpful for sequential modeling. To ablate the effectiveness of our architecture design, we train MTDIFF-P using U-Net with a similar model size to ours on the near-optimal dataset. We use a Temporal Convolutional Network (TCN) [4] to encode the prompt into an embedding $z _ { p }$ , and inject it in the U-Net layers as a condition. We follow the conditional approach in [2] and borrow the code for temporal U-Net from https://github.com/jannerm/diffuser [21]. The results summarized in Table 3 show that our model architecture outperforms U-Net to learn from multi-task datasets. + +Table 3: Average success rate across 3 different seeds of MTDIFF-P and MTDIFF-P (U-Net) on MT50-rand. + +
MethodsSuccess rate on near-optimal dataset (%)Success rate on sub-optimal dataset (%)
MTDIFF-P59.53±1.1248.67 ±1.32
MTDIFF-P (U-Net)55.67 ± 1.2747.42 ± 0.74
+ +# D Environmental Details of Maze2D + +![](images/6e358fa9a5ec9a3eabf55d4dba74ed81af410ee90460c0a2237919b7c9765327.jpg) +Figure 8: 2D visualization of eight training maps designed in Maze2D. + +We design eight different training maps for multi-task training, which are shown at Fig. 8. Different tasks have different reward functions and transition functions. For generalizability evaluation, we have designed one new unseen map. Although in Fig. 4, MTDIFF is able to generalize on new maps while PromptDT fails, we should acknowledged that MTDIFF may fail at some difficult unseen cases, as shown in Fig. 9. The reasons may lie in 2 folds: One is the inherent difficulty of the case itself, and the other is that the case’s deviation from the distribution of the training cases surpasses the upper threshold of generalizability of MTDIFF. We also provide another map where MTDIFF succeeds while PromptDT fails in Fig. 10. + +We collect $3 5 \mathrm { k }$ episodes together to train our model and PromptDT. The episodic length is set as 600 for training and 200 for evaluation. After training with 512 batch size for 2e5 gradient steps, we evaluate these methods on seen and unseen maps. + +![](images/c7030b664d68f27ad22fcf817777253f60c6f753c6b8e406c3161e6e0ef06b59.jpg) +Figure 9: 2D visualization of 2 difficult cases where both PromptDT and MTDIFF both fail. These 2 cases are both unseen during training. Goal position is denoted as $\mathbf { F }$ . + +![](images/d15276f5a509b728a3ed766a2c8351d3c1334445ca57cd2e2b1c93f956ad4171.jpg) +Figure 10: Unseen maps of Maze2D with long planning path. MTDIFF-P reach the goal while PromptDT fails. Goal position is denoted as $\mathbf { F }$ . + +# E Data Analysis + +# E.1 Distribution Visualization + +We find the synthetic data is high-fidelity, covering or even broadening the original data distribution, which makes the offline RL method performs better in the augmented dataset. The distribution visualization is shown in Fig. 11. + +![](images/c2cea6aa550a462c60d122895627f00a62fb2aec5181b920e2b4d89b2a78ffe0.jpg) +Figure 11: 2D visualization of sampled synthetic data and original data via T-SNE [61]. The data is sampled from tasks coffee-push, disassemble, hand-insert and box-close respectively. + +# E.2 Statistical Analysis + +Following SynthER [38], we measure the Dynamics Error (MSE between the augmented next state and true next state), and L2 Distance from Dataset (minimum L2 distance of each datapoint from the dataset) for the augmented data of each method (i.e., MTDIFF-S, S4RL and RAD), as shown in Table 4. Since S4RL performs data augmentation by adding data within the $\epsilon$ -ball of the original data points, it has the smallest dynamics error with a small ϵ. RAD performs random amplitude scaling and causes the largest dynamics error. We remark that S4RL performs local data augmentation around the original data and can be limited in expanding the data coverage of offline datasets. In contrast, our method generates data via diffusion model without explicit constraints to the original data points, which also has small dynamics error and significantly improves the data coverage, benefiting the offline RL training. + +Table 4: Comparing L2 distance from the training dataset and dynamics error under each method. + +
MethodsDynamics ErrorL2 Distance from Dataset
MTDIFF-S0.01740.4552
S4RL0.00010.4024
RAD0.06410.4617
+ +# F Limitations and Discussions + +In this section, we will discuss the limitations and broader impacts of our proposed method MTDIFF. + +Limitation. Diffusion models are bottlenecked by their slow sampling speed, which caps the potential of MTDIFF for real-time control. How to trade off the sampling speed and generative quality remains to be a crucial research topic. For a concrete example in MetaWorld, it takes on average 1.9s in wall-clock time to generate one action sequence for planning (hardware being a 3090 GPU). We can improve the inference speed by leveraging a recent sampler called DPM-solver [37, 36] to decrease the diffusion steps required to $0 . 2 \times$ without any loss in performance, and using a larger batch size (leveraging the parallel computing power of GPUs) to evaluate multiple environments at once. Thus the evaluation run-time roughly matches the run-time of non-diffusion algorithms (diffusion step is 1). In addition, consistency models [55] are recently proposed to support one-step and few-step generation, while the upper performance of what such models can achieve is still vague. + +Broader Impacts. As far as we know, MTDIFF is the first proposed diffusion-based approach for multi-task reinforcement learning. It could be applied to multi-task decision-making, and also could be used to synthesize more data to boost policy improvement. MTDIFF provides a solution for achieving generalization in reinforcement learning. + +# G Dataset collection + +Meta-World. We train Soft Actor-Critic (SAC) [18] policy in isolation for each task from scratch until convergence. Then we collect 1M transitions from the SAC replay buffer for each task, consisting of recording samples in the replay buffer observed during training until the policy reaches the convergence of performance. For this benchmark, we have two different dataset compositions: + +• Near-optimal dataset consisting of the experience (100M transitions) from random to expert (convergence) in SAC-Replay. • Sub-optimal dataset consisting of the initial $50 \%$ of the trajectories (50M transitions) of the near-optimal dataset for each task, where the proportion of expert data decreases a lot. + +To visualize the optimality of each dataset clearly, we plot the univariate distribution of return in each kind of dataset in Fig. 12. Our dataset is available at https://bit.ly/3MWf40w. + +![](images/4e6e9700a629f2a16ef3be45155efcaef45b57e84dc9d32ed2f2740b3c386c7c.jpg) +Figure 12: Density visualization of the normalized return in the dataset. + +Maze2D The offline dataset is collected by selecting random goal locations and using a planner to generate sequences of waypoints by following a PD controller. We borrow the code from https: //github.com/Farama-Foundation/D4RL [15] to generate datasets for 8 training maps. We collect $3 5 \mathrm { k }$ episodes in total. + +# H Differences Between PromptDT and MTDIFF-P + +The remarkable superiority of MTDIFF-P over PromptDT emerges from our elegant incorporation of transformer architecture and trajectory prompt within the diffusion model framework, effectively modeling the multi-task trajectory distribution. PromptDT is built on Decision Transformer and it is trained in an autoregressive manner, which is limited to predicting actions step by step. However, MTDIFF-P leverages the potency of sequence modeling, empowering it to perform trajectory generation adeptly. MTDIFF-P has demonstrated SOTA performance in both multi-task decision-making and data synthesis empirical experiments, while PromptDT fails to contribute to data synthesis. Technically, MTDIFF-P extends Decision Diffuser [2] into the multi-task scenario, utilizing classifier-free guidance for generative planning to yield high expected returns. To further verify our claim, we train our model on the publicly available PromptDT datasets [69], i.e., Cheetah-vel and Ant-dir. These chosen environments have been judiciously selected due to their inherent diversity of tasks, serving as a robust test to validate the capability of multi-task learning. We report the scores (mean and std for 3 seeds) in Table 5. + +Table 5: Average scores obtained by MTDIFF-P and PromptDT across 3 seeds. We observed that MTDIFF-P outperforms PromptDT largely, demonstrating its high efficacy and potency. + +
MethodsCheetah-velAnt-dir
MTDIFF-P-29.09± 0.31602.17 ± 1.68
PromptDT-34.43±2.33409.81士9.69
+ +# I Single-Task Performance + +We train one MTDIFF-P model on MT50-rand and evaluate the performance for each task for 50 episodes. We report the average evaluated return in Table 6. + +Table 6: Evaluated return of MTDIFF-P for each task in MT50-rand. We report the mean and standard deviation for 50 episodes for each task. + +
TasksReturn on near-optimal datasetReturn on sub-optimal dataset
basketball-v22735.7 ±1927.72762.7±1928.8
bin-picking-v2733.7 ± 1211.859.6 ± 32.3
button-press-topdown-v21491.6 ± 390.91395.8 ± 332.6
button-press-v22419.2 ± 413.72730.4 ± 514.3
button-press-wall-v23474.7 ± 887.62613.1 ± 906.8
coffee-button-v23157.9 ± 1274.31649.4 ± 869.5
coffee-pull-v2437.5 ± 597.398.8 ± 115.4
coffee-push-v2463.7 ± 729.171.3 ± 55.7
dial-turn-v22848.1 ± 996.32244.5 ± 881.5
disassemble-v2369.9 ± 265.4372.3 ± 623.2
door-close-v24325.2 ± 377.64270.4 ± 460.1
door-lock-v23215.1 ± 857.53082.4±1041.4
door-open-v23458.1 ± 960.52457.0 ± 833.0
door-unlock-v22082.6 ± 1568.43078.8 ± 1158.1
hand-insert-v2927.9 ± 1527.6288.8 ± 932.1
drawer-close-v24824.5 ± 8.84825.3 ± 22.3
drawer-open-v23530.4 ± 1512.62218.8 ± 529.3
faucet-open-v23877.4± 598.14245.6 ± 575.2
faucet-close-v24167.1 ± 418.84624.1 ± 107.5
handle-press-side-v23423.3 ± 1075.63995.8 ± 1130.0
handle-press-v23397.9 ±1752.13125.4 ± 1724.7
handle-pull-side-v23141.5 ± 1775.41474.2 ±1392.9
handle-pull-v22845.7 ± 1970.62856.8 ± 1699.8
lever-pull-v23383.5 ±1299.23125.6 ±1433.1
peg-insert-side-v2915.1 ± 1624.8497.8 ± 1015.3
pick-place-wall-v2649.8 ± 1288.6288.2± 988.1
pick-out-of-hole-v21792.8 ± 1959.9700.5 ± 1190.3
reach-v24144.2 ± 645.4966.4 ± 842.9
push-back-v297.2 ± 611.3566.3 ± 1042.9
push-v2142.0 ± 335.764.6 ± 98.2
pick-place-v2166.0 ± 759.27.3 ± 4.8
plate-slide-v24096.4 ± 1202.54306.3 ± 495.8
plate-slide-side-v22910.3 ± 616.12989.0± 1044.1
plate-slide-back-v24378.5 ± 373.03963.4 ± 927.3
plate-slide-back-side-v23872.0 ± 1151.64186.5 ± 772.6
soccer-v2443.5 ± 785.5480.4 ± 994.8
push-wall-v2873.9 ± 1718.3705.2 ± 1535.7
shelf-place-v2204.5 ± 714.3366.1 ± 919.0
sweep-into-v21297.9 ± 1661.5506.2 ± 1368.5
sweep-v21397.1 ± 1922.3599.1 ± 1359.2
window-open-v21453.6 ± 1101.43095.5 ± 751.1
window-close-v22963.9 ± 875.33177.6± 737.8
assembly-v22470.7 ± 1758.6663.7± 28.7
button-press-topdown-wall-v21270.9 ± 214.51199.9 ± 203.7
hammer-v2868.7± 983.41024.4 ± 1024.3
peg-unplug-side-v21439.1 ± 1817.8136.4 ± 508.6
reach-wall-v24249.9 ± 536.04191.4± 412.9
stick-push-v21288.5 ± 1587.3790.1 ± 1097.6
stick-pull-v2601.4± 1346.3287.1 ± 922.8
box-close-v22683.7 ± 1823.42273.3 ± 1707.3
\ No newline at end of file diff --git a/parse/dev/fAdMly4ki5/fAdMly4ki5_content_list.json b/parse/dev/fAdMly4ki5/fAdMly4ki5_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..dd240ea9548dbe0ee0a3af8f853bcb638ec0c671 --- /dev/null +++ b/parse/dev/fAdMly4ki5/fAdMly4ki5_content_list.json @@ -0,0 +1,2745 @@ +[ + { + "type": "text", + "text": "Diffusion Model is an Effective Planner and Data Synthesizer for Multi-Task Reinforcement Learning ", + "text_level": 1, + "bbox": [ + 184, + 122, + 813, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Haoran He 1,2∗ Chenjia Bai2† Kang Xu2,3 Zhuoran Yang4 Weinan Zhang1 ", + "bbox": [ + 210, + 223, + 781, + 241 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Dong Wang2 Bin Zhao2,5 Xuelong Li2,5† ", + "bbox": [ + 341, + 252, + 653, + 268 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1Shanghai Jiao Tong University 2Shanghai Artificial Intelligence Laboratory \n3Fudan University 4Yale University 5Northwestern Polytechnical University ", + "bbox": [ + 235, + 281, + 764, + 311 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 347, + 535, + 363 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Diffusion models have demonstrated highly-expressive generative capabilities in vision and NLP. Recent studies in reinforcement learning (RL) have shown that diffusion models are also powerful in modeling complex policies or trajectories in offline datasets. However, these works have been limited to single-task settings where a generalist agent capable of addressing multi-task predicaments is absent. In this paper, we aim to investigate the effectiveness of a single diffusion model in modeling large-scale multi-task offline data, which can be challenging due to diverse and multimodal data distribution. Specifically, we propose Multi-Task Diffusion Model (MTDIFF), a diffusion-based method that incorporates Transformer backbones and prompt learning for generative planning and data synthesis in multitask offline settings. MTDIFF leverages vast amounts of knowledge available in multi-task data and performs implicit knowledge sharing among tasks. For generative planning, we find MTDIFF outperforms state-of-the-art algorithms across 50 tasks on Meta-World and 8 maps on Maze2D. For data synthesis, MTDIFF generates high-quality data for testing tasks given a single demonstration as a prompt, which enhances the low-quality datasets for even unseen tasks. ", + "bbox": [ + 233, + 381, + 766, + 601 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 631, + 310, + 647 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The high-capacity generative models trained on large, diverse datasets have demonstrated remarkable success across vision and language tasks. An impressive and even preternatural ability of these models, e.g. large language models (LLMs), is that the learned model can generalize among different tasks by simply conditioning the model on instructions or prompts [49, 46, 7, 12, 60, 42, 66]. The success of LLMs and vision models inspires us to utilize the recent generative model to learn from large-scale offline datasets that include multiple tasks for generalized decision-making in reinforcement learning (RL). Thus far, recent attempts in offline decision-making take advantage of the generative capability of diffusion models [54, 20] to improve long-term planning [21, 2] or enhance the expressiveness of policies [63, 11, 8]. However, these works are limited to small-scale datasets and single-task settings where broad generalization and general-purpose policies are not expected. In multi-task offline RL which considers learning a single model to solve multi-task problems, the dataset often contains noisy, multimodal, and long-horizon trajectories collected by various policies across tasks and with various qualities, which makes it more challenging to learn policies with broad generalization and transferable capabilities. Gato [47] and other generalized agents [29, 65] take transformer-based architecture [62] via sequence modeling to solve multi-task problems, while they are highly dependent on the optimality of the datasets and are expensive to train due to the huge number of parameters. ", + "bbox": [ + 174, + 664, + 825, + 857 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/ae3d9ef421edb978ac5242236d2fd5d2ca9b48d6c005e8dfe1d7accb6ed5f84d.jpg", + "image_caption": [ + "Figure 1: Overall architecture of MTDIFF. Different colors represent different tasks. $S$ , $A$ and $R$ denote the state sequence, action sequence, and reward sequence from multi-task data, respectively. $S _ { \\mathrm { p r e v } }$ and $R _ { \\tau }$ represent historical states and normalized return. " + ], + "image_footnote": [], + "bbox": [ + 184, + 89, + 823, + 231 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 352, + 823, + 378 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To address the above challenges, we propose a novel diffusion model to further explore its generalizability in a multi-task setting. We formulate the learning process from multi-task data as a denoising problem, which benefits the modeling of multimodal data. Meanwhile, we develop a relatively lightweight architecture by using a GPT backbone [45] to model sequential trajectories, which has less computation burden and improved sequential modeling capability than previous U-Net-based [48] diffusion models [21, 33]. To disambiguate tasks during training and inference, instead of providing e.g. one-hot task identifiers, we leverage demonstrations as prompt conditioning, which exploits the few-shot abilities of agents [50, 64, 69]. ", + "bbox": [ + 174, + 386, + 825, + 497 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We name our method the Multi-Task Diffusion Model (MTDIFF). As shown in Figure 1, we investigate two variants of MTDIFF for planning and data synthesis to further exploit the utility of diffusion models, denoted as MTDIFF-P and MTDIFF-S, respectively. (a) For planning, MTDIFF-P learns a prompt embedding to extract the task-relevant representation, and then concatenates the embedding with the trajectory’s normalized return and historical states as the conditions of the model. During training, MTDIFF-P learns to predict the corresponding future action sequence given the conditions, and we call this process generative planning [78]. During inference, given few-shot prompts and the desired return, MTDIFF-P tries to denoise out the optimal action sequence starting from the current state. Surprisingly, MTDIFF-P can adapt to unseen tasks given well-constructed prompts that contain task information. (b) By slightly changing the inputs and training strategy, we can unlock the abilities of our diffusion model for data synthesis. Our insight is that the diffusion model, which compresses informative multi-task knowledge well, is more effective and generalist than previous methods that only utilize single-task data for augmentation [38, 52, 28]. Specifically, MTDIFF-S learns to estimate the joint conditional distribution of the full transitions that contain states, actions, and rewards based on the task-oriented prompt. Different from MTDIFF-P, MTDIFF-S learns to synthesize data from the underlying dynamic environments for each task. Thus MTDIFF-S only needs prompt conditioning to identify tasks. We empirically find that MTDIFF-S synthesizes high-fidelity data for multiple tasks, including both seen and unseen ones, which can be further utilized for data augmentation to expand the offline dataset and enhance policy performance. ", + "bbox": [ + 174, + 503, + 825, + 767 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To summarize, MTDIFF is a diffusion-based method that leverages the multimodal generative ability of diffusion models, the sequential modeling capability of GPT architecture, and the few-shot generalizability of prompt learning for multi-task RL. To the best of our knowledge, we are the first to achieve both effective planning and data synthesis for multi-task RL via diffusion models. Our contributions include: (i) we propose MTDIFF, a novel GPT-based diffusion model that illustrates the supreme effectiveness in multi-task trajectory modeling for both planning and data synthesis; (ii) we incorporate prompt learning into the diffusion framework to learn to generalize across different tasks and even adapt to unseen tasks; (iii) our experiments on Meta-World and Maze2D benchmarks demonstrate that MTDIFF is an effective planner to solve the multi-task problem, and also a powerful data synthesizer to augment offline datasets in the seen or unseen tasks. ", + "bbox": [ + 174, + 772, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Preliminaries ", + "text_level": 1, + "bbox": [ + 174, + 88, + 318, + 106 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.1 Reinforcement Learning ", + "text_level": 1, + "bbox": [ + 174, + 121, + 383, + 136 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "MDP and Multi-task MDP. A Markov Decision Process (MDP) is defined by a tuple $( \\mathcal { S } , \\mathcal { A } , \\mathcal { P } , \\mathcal { R } , \\mu , \\gamma )$ , where $s$ is the state space, $\\mathcal { A }$ is the action space, $\\mathcal { P } : \\mathcal { S } \\times \\mathcal { A } \\mathcal { S }$ is the transition function, $\\mathcal { R } : \\mathcal { S } \\times \\mathcal { A } \\times \\mathcal { S } \\mathbb { R }$ is the reward function for any transition, $\\gamma \\in ( 0 , 1 ]$ is a discount factor, and $\\mu$ is the initial state distribution. At each timestep $t$ , the agent chooses an action scalar reward $a _ { t }$ by following the policy $r _ { t }$ . In single-task RL, the goal is to learn a policy $\\pi : { \\mathcal { S } } \\Delta _ { { \\mathcal { A } } }$ . Then the agent obtains the next state $\\begin{array} { r } { \\pi ^ { * } = \\arg \\operatorname* { m a x } _ { \\pi } \\mathbb E _ { a _ { t } \\sim \\pi } \\big [ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } r _ { t } \\big ] } \\end{array}$ $s _ { t + 1 }$ and receives a by maximizing the expected cumulative reward of the corresponding task. ", + "bbox": [ + 173, + 145, + 825, + 244 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In a multi-task setting, different tasks can have different reward functions, state spaces and transition functions. We consider all tasks to share the same action space with the same embodied agent. Given a specific task $\\tau \\sim p ( \\mathcal { T } )$ , a task-specified MDP can be defined as $( S ^ { \\mathcal { T } } , A , \\mathcal { P } ^ { \\mathcal { T } } , \\mathcal { R } ^ { \\mathcal { T } } , \\mu ^ { \\mathcal { T } } , \\gamma )$ . Instead of solving a single MDP, the goaexpected return over all the tasks: $\\begin{array} { r } { \\pi ^ { * } = \\arg \\operatorname* { m a x } _ { \\pi } \\mathbb { E } _ { \\mathcal { T } \\sim p ( \\mathcal { T } ) } \\mathbb { E } _ { a _ { t } \\sim \\pi } \\tau \\Big [ \\sum _ { t = 0 } ^ { \\infty } \\dot { \\gamma } ^ { t } r _ { t } ^ { \\mathcal { T } } \\Big ] } \\end{array}$ y that maximizes. ", + "bbox": [ + 173, + 250, + 825, + 321 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Multi-Task Offline Decision-Making. In offline decision-making, the policy is learned from a static dataset of transitions $\\{ ( s _ { j } , a _ { j } , s _ { j } ^ { \\tilde { \\prime } } , r _ { j } ) \\} _ { j = 1 } ^ { N }$ collected by an unknown behavior policy $\\pi _ { \\beta }$ [30]. In the multi-task offline RL setting, the dataset $\\mathcal { D }$ is partitioned into per-task subsets as $\\mathcal { D } = \\cup _ { i = 1 } ^ { N } \\mathcal { D } _ { i }$ , where $\\mathcal { D } _ { i }$ consists of experiences from task $\\mathcal { T } _ { i }$ . The key issue of RL in the offline setting is the distribution shift problem caused by temporal-difference (TD) learning. In our work, we extend the idea of Decision Diffuser [2] by considering multi-task policy learning as a conditional generative process without fitting a value function. The insight is to take advantage of the powerful distribution modeling ability of diffusion models for multi-task data, avoiding facing the risk of distribution shift. ", + "bbox": [ + 173, + 333, + 826, + 449 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Offline RL learns policies from a static dataset, which makes the quality and diversity of the dataset significant [15]. One can perform data perturbation [28] to up-sample the offline dataset. Alternatively, we synthesize new transitions $( s , a , s ^ { \\prime } , r )$ by capturing the underlying MDP of a given task via diffusion models, which expands the original dataset and leads to significant policy improvement. ", + "bbox": [ + 174, + 454, + 825, + 511 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 Diffusion Models ", + "text_level": 1, + "bbox": [ + 174, + 526, + 333, + 542 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We employ diffusion models to learn from multi-task data $\\mathcal { D } = \\cup _ { i = 1 } ^ { N } \\mathcal { D } _ { i }$ in this paper. With $\\tau$ the sampled trajectory from $\\mathcal { D }$ , we denote ${ \\pmb x } _ { k } ( \\tau )$ as the $k$ -step denoised output of the diffusion model, and $\\pmb { y } ( \\tau )$ is the condition which represents the task attributes and the trajectory’s optimality (e.g., returns). A forward diffusion chain gradually adds noise to the data $\\pmb { x } _ { 0 } ( \\tau ) \\sim q ( \\pmb { x } ( \\tau ) )$ in $K$ steps with a pre-defined variance schedule $\\beta _ { k }$ , which can be expressed as ", + "bbox": [ + 173, + 551, + 826, + 623 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/c850e38435a110258ab7ae15a66bb81e50ef194dd948adce22c0f4ab7298c8dd.jpg", + "text": "$$\nq ( \\pmb { x } _ { k } ( \\tau ) | \\pmb { x } _ { k - 1 } ( \\tau ) ) : = \\mathcal { N } ( \\pmb { x } _ { k } ( \\tau ) ; \\sqrt { 1 - \\beta _ { k } } \\pmb { x } _ { k - 1 } ( \\tau ) , \\beta _ { k } \\pmb { I } ) .\n$$", + "text_format": "latex", + "bbox": [ + 305, + 630, + 692, + 650 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this paper, we adopt Variance Preserving (VP) beta schedule [67] and define $\\beta _ { k } \\quad =$ $1 ~ - ~ \\mathrm { e x p } \\bar { ( - \\beta _ { m i n } ( \\frac { 1 } { K } ) - 0 . 5 ( \\beta _ { \\mathrm { m a x } } - \\beta _ { \\mathrm { m i n } } ) \\frac { 2 k - 1 } { K ^ { 2 } } ) }$ , where $\\beta _ { \\mathrm { m a x } } \\ = \\ 1 0$ and $\\beta _ { \\mathrm { m i n } } ~ = ~ 0 . 1$ are constants. A trainable reverse diffusion chain, constructed as $p _ { \\boldsymbol { \\theta } } ( \\mathbf { x } _ { k - 1 } ( \\tau ) | \\mathbf { x } _ { k } ( \\tau ) , \\mathbf { y } ( \\tau ) ) \\ : =$ $\\mathcal { N } ( \\pmb { x } _ { k - 1 } ( \\tau ) | \\mu _ { \\boldsymbol { \\theta } } ( \\pmb { x } _ { k } ( \\tau ) , \\pmb { y } ( \\tau ) , k ) , \\Sigma _ { k } )$ , can be optimized by a simplified surrogate loss [20]: ", + "bbox": [ + 173, + 656, + 825, + 717 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/562a6f3e747bba64801899bba1a32e79f0d6d798469ed5c5d56201462aca72a5.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { d e n o i s e } } : = \\mathbb { E } _ { k \\sim \\mathcal { U } ( 1 , K ) , \\pmb { x } _ { 0 } ( \\tau ) \\sim q , \\epsilon \\sim \\mathcal { N } ( \\mathbf { 0 } , I ) } [ \\big | \\epsilon - \\epsilon _ { \\theta } ( \\pmb { x } _ { k } ( \\tau ) , \\pmb { y } ( \\tau ) , k ) \\big | \\big | ^ { 2 } ] , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 271, + 723, + 725, + 746 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $\\epsilon _ { \\theta }$ parameterized by a deep neural network is trained to predict the noise $\\epsilon \\sim \\mathcal { N } ( 0 , I )$ added to the dataset sample $\\pmb { x } _ { 0 } ( \\tau )$ to produce ${ \\pmb x } _ { k } ( \\tau )$ . By setting $\\alpha _ { k } : = 1 - \\beta _ { k }$ and $\\textstyle { \\bar { \\alpha } } _ { k } : = \\prod _ { s = 1 } ^ { k } \\alpha _ { s }$ , we obtain ", + "bbox": [ + 176, + 752, + 823, + 786 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/afe18542804a54feb43a375041993086eb9e2d5aebc23e78d58794a8501e2bb1.jpg", + "text": "$$\n\\mathfrak { s } _ { k - 1 } ( \\tau ) \\frac { 1 } { \\sqrt { \\alpha _ { k } } } ( x _ { k } ( \\tau ) - \\frac { \\beta _ { k } } { \\sqrt { 1 - \\bar { \\alpha } _ { k } } } \\epsilon _ { \\theta } ( \\mathbf { x } _ { k } ( \\tau ) , \\boldsymbol { y } ( \\tau ) , \\boldsymbol { k } ) ) + \\sqrt { \\beta _ { k } } \\sigma , \\sigma \\sim \\mathcal { N } ( \\mathbf { 0 } , I ) , \\mathrm { ~ f o r ~ } k = \\{ K , . . . , 1 \\} .\n$$", + "text_format": "latex", + "bbox": [ + 181, + 791, + 836, + 828 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Classifier-free guidance [19] aims to learn the conditional distribution $q ( { \\pmb x } ( \\tau ) | { \\pmb y } ( \\tau ) )$ without separately training a classifier. In the training stage, this method needs to learn both a conditional $\\epsilon _ { \\theta } ( { \\pmb x } _ { k } ( \\tau ) , { \\pmb y } ( \\tau ) , k )$ and an unconditional $\\epsilon _ { \\theta } ( { \\pmb x } _ { k } ( \\tau ) , \\emptyset , k )$ model, where $\\pmb { y } ( \\tau )$ is dropped out. Then the perturbed noise $\\begin{array} { r l } & { \\epsilon _ { \\theta } ( { \\pmb x } _ { k } ( \\tau ) , \\emptyset , k ) + \\alpha ( \\epsilon _ { \\theta } ( { \\pmb x } _ { k } ( \\tau ) , { \\pmb y } ( \\tau ) , k ) - \\epsilon _ { \\theta } ( { \\pmb x } _ { k } ( \\tau ) , \\emptyset , k ) ) } \\end{array}$ is used to generate samples latter, where $\\alpha$ can be recognized as the guidance scale. ", + "bbox": [ + 173, + 840, + 826, + 912 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/b05e6b9c4e49fee501945e900cbd3ff5515eaa94f29023dc2455848b4971be93.jpg", + "image_caption": [ + "Figure 2: An example of the denoising process of MTDIFF. We choose 4 tasks for visualization and $\\pmb { x } _ { K } ( \\tau )$ is sampled from the Gaussian noise for each task. Since different tasks require different manipulation skills, the corresponding action sequences are dispersed in the embedding space. Our model learns such properties and generates task-specific sequences based on task-relevant prompts. " + ], + "image_footnote": [], + "bbox": [ + 178, + 90, + 820, + 209 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 Methodology ", + "text_level": 1, + "bbox": [ + 174, + 315, + 313, + 333 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 Diffusion Formulation ", + "text_level": 1, + "bbox": [ + 174, + 347, + 369, + 362 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To capture the multimodal distribution of the trajectories sampled from multiple MDPs, we formulate the multi-task trajectory modeling as a conditional generative problem via diffusion models: ", + "bbox": [ + 173, + 372, + 825, + 401 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/71b3a704102122360aefc254f72d3a9f87fea486bc9ec50f3b005c62f7d3a662.jpg", + "text": "$$\n\\begin{array} { r } { \\operatorname* { m a x } _ { \\boldsymbol { \\theta } } \\mathbb { E } _ { \\tau \\sim \\cup _ { i } \\mathcal { D } _ { i } } \\big [ \\log p _ { \\boldsymbol { \\theta } } ( \\pmb { x } _ { 0 } ( \\tau ) \\big | \\pmb { y } ( \\tau ) \\big ] , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 370, + 406, + 625, + 426 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\pmb { x } _ { 0 } ( \\tau )$ is the generated desired sequence and $\\pmb { y } ( \\tau )$ is the condition. ${ \\pmb x } _ { 0 } ( \\tau )$ will then be used for generative planning or data synthesis through conditional reverse denoising process $p _ { \\theta }$ for specific tasks. Maximizing Eq. (3) can be approximated by maximizing a variational lower bound [20]. ", + "bbox": [ + 174, + 431, + 825, + 474 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In terms of different inputs and outputs in generative planning and data synthesis, $\\pmb { x } ( \\tau )$ can be represented in different formats. We consider two choices to formulate $\\pmb { x } ( \\tau )$ in MTDIFF- $\\mathbf { \\nabla } \\cdot \\mathbf { P }$ and MTDIFF-S, respectively. (i) For MTDIFF-P, $\\pmb { x } ( \\tau )$ represents the action sequence for planning. We model the action sequence defined as: ", + "bbox": [ + 174, + 479, + 825, + 536 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/cb031549d9d4084f9e50c0ecdc657e0a1c582f1e95d5b453c741e2b71c0e2445.jpg", + "text": "$$\n\\pmb { x } _ { k } ^ { p } ( \\tau ) : = ( a _ { t } , a _ { t + 1 } , . . . , a _ { t + H - 1 } ) _ { k } ,\n$$", + "text_format": "latex", + "bbox": [ + 383, + 542, + 612, + 560 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "with the context condition as ", + "bbox": [ + 174, + 568, + 364, + 580 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/3776dee86a3569350b1b1064941514d4721985475f9bf2ec341ae0654f3848f6.jpg", + "text": "$$\n\\textit { \\textbf { y } } ( \\tau ) : = \\big [ \\pmb { y } ^ { \\prime } ( \\tau ) , R ( \\tau ) \\big ] , \\quad \\pmb { y } ^ { \\prime } ( \\tau ) : = ( Z , s _ { t - L + 1 } , . . . , s _ { t } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 308, + 587, + 687, + 606 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $t$ , $H$ , $R ( \\tau )$ and $L$ denote the time visited in trajectory $\\tau$ , the length of the input sequence $_ { \\textbf { \\em x } }$ , the normalized cumulative return under $\\tau$ and the length of the observed state history, respectively. $Z$ is the task-relevant information as prompt. We use $y ^ { \\prime } ( \\tau )$ as an ordinary condition that is injected into the model during both training and testing, while considering $R ( \\tau )$ as the classifier-free guidance to obtain the optimal action sequence for a given task. (ii) For data synthesis in MTDIFF-S, the inputs and outputs become the transition sequence that contains states, actions, and rewards, and then the outputs are utilized for data augmentation. We define the transition sequence as: ", + "bbox": [ + 173, + 612, + 825, + 710 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/c762a72bf2c903e69948c80fda916fa98622337de1d9ee10fc6aa1b9811d9d60.jpg", + "text": "$$\n\\pmb { x } _ { k } ^ { s } ( \\tau ) : = \\left[ \\begin{array} { l l l l } { s _ { t } } & { s _ { t + 1 } } & { \\cdot \\cdot \\cdot } & { s _ { t + H - 1 } } \\\\ { a _ { t } } & { a _ { t + 1 } } & { \\cdot \\cdot \\cdot } & { a _ { t + H - 1 } } \\\\ { r _ { t } } & { r _ { t + 1 } } & { \\cdot \\cdot \\cdot } & { r _ { t + H - 1 } } \\end{array} \\right] ,\n$$", + "text_format": "latex", + "bbox": [ + 366, + 718, + 629, + 762 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "with the condition: ", + "bbox": [ + 174, + 767, + 299, + 781 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/150d17b9697e72114c6c955494849f166c100f238d8a4f810806453a133283ae.jpg", + "text": "$$\n\\begin{array} { r } { \\pmb { y } ^ { s } ( \\tau ) : = [ Z ] , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 450, + 780, + 545, + 797 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\pmb { y } ^ { s } ( \\tau )$ takes the same conditional approach as $y ^ { \\prime } ( \\tau )$ . Figure 2 illustrates the reverse denoising process of MTDIFF-P learned on multi-task datasets collected in Meta-World [73]. The result demonstrates that our diffusion model successfully distinguishes different tasks and finally generates the desired $\\pmb { x } _ { 0 } ( \\tau )$ . We illustrate the data distribution of $\\pmb { x } _ { 0 } ( \\tau )$ in a 2D space with dimensional reduction via T-SNE [61], as well as the rendered states after executing the action sequence. The result shows that, with different task-specific prompts as conditions, the generated planning sequence for a specific task will be separate from sequences of other tasks, which verifies that MTDIFF can learn the distribution of multimodal trajectories based on $\\pmb { y } ( \\tau )$ . ", + "bbox": [ + 173, + 800, + 825, + 912 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 Prompt, Training and Sampling ", + "text_level": 1, + "bbox": [ + 174, + 90, + 436, + 106 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In multi-task RL and LLM-driven decision-making, existing works use one-hot task identifiers [56, 74] or language descriptions [1, 6] as conditions in multi-task training. Nevertheless, we argue that the one-hot encoding for each task [22, 14] suffices for learning a repertoire of training tasks while cannot generalize to novel tasks since it does not leverage semantic similarity between tasks. In addition, the language descriptions [51, 1, 6, 41, 40] of tasks require large amounts of human labor to annotate and encounter challenges related to ambiguity [72]. In MTDIFF, we use expert demonstrations consisting of a few trajectory segments to construct more expressive prompts in multitask settings. The incorporation of prompt learning improves the model’s ability for generalization and extracting task-relevant information to facilitate both generative planning and data synthesis. We remark that a similar method has also been used in PromptDT [69]. Nonetheless, how such a prompt contributes within a diffusion-based framework remains to be investigated. ", + "bbox": [ + 173, + 117, + 826, + 270 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Specifically, we formulate the task-specific label $Z$ as trajectory prompts that contain states and actions: ", + "bbox": [ + 174, + 276, + 825, + 304 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/c03f4cd065d2568e75e6c25085282d8e2ec15a40beb339e9a4f776fa52264f14.jpg", + "text": "$$\nZ : = \\left[ \\begin{array} { l l l l } { s _ { i } ^ { * } } & { s _ { i + 1 } ^ { * } } & { \\cdot \\cdot } & { s _ { i + J - 1 } ^ { * } } \\\\ { a _ { i } ^ { * } } & { a _ { i + 1 } ^ { * } } & { \\cdot \\cdot \\cdot } & { a _ { i + J - 1 } ^ { * } } \\end{array} \\right] ,\n$$", + "text_format": "latex", + "bbox": [ + 383, + 304, + 612, + 339 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where each element with star-script is associated with a trajectory prompt, and $J$ is the number of environment steps for identifying tasks. With the prompts as conditions, MTDIFF can specify the task by implicitly capturing the transition model and the reward function stored in the prompts for better generalization to unseen tasks without additional parameter-tuning. ", + "bbox": [ + 173, + 347, + 825, + 402 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In terms of decision-making in MTDIFF-P, we aim to devise the optimal behaviors that maximize return. Our approach is to utilize the diffusion model for action planning via classifier-free guidance [19]. Formally, an optimal action sequence $\\pmb { x } _ { 0 } ^ { p } ( \\tau )$ is sampled by starting with Gaussian noise $\\pmb { x } _ { K } ( \\tau )$ and refining $\\pmb { x } _ { k } ^ { p } ( \\tau )$ into $\\pmb { x } _ { k - 1 } ^ { p } ( \\tau )$ at each intermediate timestep with the perturbed noise: ", + "bbox": [ + 174, + 409, + 825, + 465 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/88bc01c4ee124f46681f90b901fb08bacfaa130b6085c6d80d668a02780243fc.jpg", + "text": "$$\n\\epsilon _ { \\theta } \\big ( { \\pmb x } _ { k } ^ { p } ( \\tau ) , { \\pmb y } ^ { \\prime } ( \\tau ) , \\emptyset , k \\big ) + \\alpha \\big ( \\epsilon _ { \\theta } ( { \\pmb x } _ { k } ^ { p } ( \\tau ) , { \\pmb y } ^ { \\prime } ( \\tau ) , R ( \\tau ) , k ) - \\epsilon _ { \\theta } ( { \\pmb x } _ { k } ^ { p } ( \\tau ) , { \\pmb y } ^ { \\prime } ( \\tau ) , \\emptyset , k ) \\big ) ,\n$$", + "text_format": "latex", + "bbox": [ + 230, + 476, + 766, + 496 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $y ^ { \\prime } ( \\tau )$ is defined in Eq. (5). $R ( \\tau )$ is the normalized return of $\\tau$ , and $\\alpha$ is a hyper-parameter that seeks to augment and extract the best portions of trajectories in the dataset with high return. During training, we follow DDPM [20] as well as classifier-free guidance [19] to train the reverse diffusion process $p _ { \\theta }$ , parameterized through the noise model $\\epsilon _ { \\theta }$ , with the following loss: ", + "bbox": [ + 173, + 506, + 825, + 563 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/7629fc9296a65019caf0a1147ee6fcd81dd8dc3e42221b5e7567d3b224d04fcd.jpg", + "text": "$$\n\\begin{array} { r } { \\colon ( \\theta ) : = \\mathbb { E } _ { k \\sim \\mathcal { U } ( 1 , K ) , x _ { 0 } ( \\tau ) \\sim q , \\epsilon \\sim \\mathcal { N } ( \\mathbf { 0 } , I ) , \\beta \\sim \\mathrm { B e r n } ( \\mathrm { p } ) } \\big [ \\big \\| \\epsilon - \\epsilon _ { \\theta } \\big ( \\mathbf { x } _ { k } ( \\tau ) , y ^ { \\prime } ( \\tau ) , ( 1 - \\beta ) R ( \\tau ) + \\beta \\mathcal { Q } , k \\big ) \\big \\| _ { * } ^ { 2 } \\big ] . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 571, + 825, + 594 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Note that with probability $p$ sampled from a Bernoulli distribution, we ignore the conditioning return $R ( \\tau )$ . During inference, we adopt the low-temperature sampling technique [2] to produce high-likelihood sequences. We sample $\\begin{array} { r } { \\pmb { x } _ { k - 1 } ^ { p } ( \\tau ) \\sim \\hat { \\mathcal { N } } ( \\mu _ { \\theta } ( \\pmb { x } _ { k - 1 } ^ { p } , \\pmb { y } ^ { \\prime } ( \\tau ) , R _ { \\operatorname* { m a x } } ( \\tau ) , k - 1 ) , \\bar { \\beta } \\Sigma _ { k - 1 } ) } \\end{array}$ , where the variance is reduced by $\\beta \\in [ 0 , 1 )$ for generating action sequences with higher optimality. ", + "bbox": [ + 173, + 604, + 825, + 662 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "For MTDIFF-S, since the model aims to synthesize diverse trajectories for data augmentation, which does not need to take any guidance like $R ( \\tau )$ , we have the following loss: ", + "bbox": [ + 171, + 667, + 823, + 696 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/0a4c9ce8b77c3636227b5761f7a7421581c327ae08524ef87535c123ea2da989.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } \\mathbf { \\Psi } ( \\mathbf { \\theta } ) : = \\mathbb { E } _ { k \\sim \\mathcal { U } ( 1 , K ) , \\mathbf { x } _ { 0 } ( \\tau ) \\sim q , \\epsilon \\sim \\mathcal { N } ( \\mathbf { 0 } , I ) } \\left[ \\left| \\left| \\epsilon - \\epsilon _ { \\theta } ( \\mathbf { x } _ { k } ( \\tau ) , \\boldsymbol { y } _ { \\mathbf { \\alpha } } ( \\tau ) , k ) \\right| \\right| ^ { 2 } \\right] . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 272, + 707, + 725, + 729 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We sample $\\pmb { x } _ { k - 1 } ^ { s } ( \\tau ) \\sim \\mathcal { N } ( \\mu _ { \\theta } ( \\pmb { x } _ { k - 1 } ^ { s } , \\pmb { y } ^ { s } ( \\tau ) , k - 1 ) , \\Sigma _ { k - 1 } )$ . The evaluation process is given in Fig. 3. ", + "bbox": [ + 174, + 738, + 825, + 756 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 Architecture Design ", + "text_level": 1, + "bbox": [ + 174, + 773, + 352, + 789 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Notably, the emergence of Transformer [62] and its applications on generative modeling [44, 5, 47, 6] provides a promising solution to capture interactions between modalities of different tasks. Naturally, instead of U-Net [48] which is commonly used in previous single-task diffusion RL works [21, 2, 33], we parameterize $\\epsilon _ { \\theta }$ with a novel transformer architecture. We adopt GPT2 [45] architecture for implementation, which excels in sequential modeling and offers a favorable balance between performance and computational efficiency. Our key insight is to train the diffusion model in a unified manner to model multi-task data, treating different inputs as tokens in a unified architecture, which is expected to enhance the efficiency of diverse information exploitation. ", + "bbox": [ + 173, + 799, + 826, + 912 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/541447384a7fad11b231505b8795f6fdc77b758c371a35c386e31e75e63c874b.jpg", + "image_caption": [ + "Figure 3: Model architecture of MTDIFF, which treats different inputs as tokens in a unified architecture. The two key designs are (i) the trainable GPT2 Transformer which enhances sequential modeling, and (ii) the MLPs and prediction head which enable efficient training. " + ], + "image_footnote": [], + "bbox": [ + 207, + 90, + 785, + 310 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "As shown in Figure 3, first, different raw inputs $x$ are embedded into embeddings $h$ of the same size $^ d$ via separate MLPs $f$ , which can be expressed as: ", + "bbox": [ + 169, + 390, + 823, + 419 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/eab9081c45f7edba7b67d936b2bf1b4247232b84e0aa0ec41b743f12ef435aee.jpg", + "text": "$$\n\\begin{array} { l } { { h _ { \\mathit { P } } = f _ { \\mathit { P } } ( x ^ { \\mathrm { { p r o m p t } } } ) , h _ { \\mathit { T } i } = f _ { T i } ( x ^ { \\mathrm { { t i m e s t e p } } } ) , \\mathrm { { \\beta _ { \\mathit { P } } } \\vdash \\mathrm { { f o r ~ p r o m p t ~ a n d ~ d i f f u s i o n ~ t i m e s t e p } } } } } \\\\ { { h _ { \\mathit { T r } } ^ { s } = f _ { T r } ( x ^ { \\mathrm { { t r a n s i t i o n s } } } ) , \\mathrm { { \\beta _ { \\mathit { P } } \\vdash \\mathrm { { f o r ~ M T D I F F - S } } } } } } \\\\ { { h _ { \\mathit { A } } ^ { p } = f _ { A } ( x ^ { \\mathrm { { a c t i o n s } } } ) , h _ { \\mathit { H } } ^ { p } = f _ { H } ( x ^ { \\mathrm { { h i s t o r y } } } ) , h _ { \\mathit { R } } ^ { p } = f _ { R } ( x ^ { \\mathrm { { r e t u r n } } } ) . \\mathrm { { \\beta _ { \\mathit { P } } \\mathrm { { f o r ~ M T D I F F - P } } } } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 230, + 421, + 764, + 483 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Then, the embeddings $h _ { P }$ and $h _ { T i }$ are prepended as follows to formulate input tokens for MTDIFF-P and MTDIFF-S, respectively: ", + "bbox": [ + 173, + 486, + 825, + 513 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$\\iota _ { \\mathrm { t o k e n s } } = \\mathrm { L N } ( h _ { T i } \\times [ h _ { P } , h _ { T i } , h _ { R } , h _ { H } , h _ { A } ] + h _ { R } + E ^ { \\mathrm { p o s } } ) , h _ { \\mathrm { t o k e n s } } = \\mathrm { L N } ( h _ { T i } \\times [ h _ { P } , h _ { T i } , h _ { T r } ] + E ^ { \\mathrm { p o s } } ) ,$ where $E ^ { \\mathrm { p o s } }$ is the positional embedding, and LN denotes layer normalization [3] for stabilizing training. In our implementation, we strengthen the condition of the stacked inputs through multiplication with the diffusion timestep $h _ { T i }$ and addition with the return $h _ { R } ^ { p }$ . GPT2 is a decoder-only transformer that incorporates a self-attention mechanism to capture dependencies between different positions in the input sequence. We employ the GPT2 architecture as a trainable backbone in MTDIFF to handle sequential inputs. It outputs an updated representation as: ", + "bbox": [ + 173, + 517, + 830, + 622 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/a1b6cd0b9c1959ebe36b25fe2c0cb22ec5d2d52d349b3811734e30db8c877d3e.jpg", + "text": "$$\nh _ { \\mathrm { o u t } } ^ { p } = \\mathrm { t r a n s f o r m e r } ( h _ { \\mathrm { t o k e n s } } ^ { p } ) , \\quad h _ { \\mathrm { o u t } } ^ { s } = \\mathrm { t r a n s f o r m e r } ( h _ { \\mathrm { t o k e n s } } ^ { s } ) .\n$$", + "text_format": "latex", + "bbox": [ + 289, + 626, + 707, + 643 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Finally, given the output representation, we use a prediction head consisting of fully connected layers to predict the corresponding noise at diffusion timestep $k$ . Notice that the predicted noise shares the same dimensional space as the original inputs, which differs from the representation size $^ d$ . This noise is used in the reverse denoising process $p _ { \\theta }$ during inference. We summarize the details of the training process, architecture and hyperparameters used in MTDIFF in Appendix A. ", + "bbox": [ + 173, + 647, + 825, + 717 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 734, + 321, + 752 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Diffusion Models in RL. Diffusion models have emerged as a powerful family of deep generative models with a record-breaking performance in many applications across vision, language and combinatorial optimization [49, 46, 17, 31, 32]. Recent works in RL have demonstrated the capability of diffusion models to learn the multimodal distribution of offline policies [63, 43, 11] or human behaviors [8]. Other works formulate the sequential decision-making problem as a conditional generative process [2] and learn to generate the trajectories satisfying conditioned constraints. However, these works are limited to the single-task settings, while we further study the trajectory modeling and generalization problems of diffusion models in multi-task settings. ", + "bbox": [ + 173, + 765, + 826, + 877 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Multi-Task RL and Few-Shot RL. Multi-task RL aims to learn a shared policy for a diverse set of tasks. The main challenge of multi-task RL is the conflicting gradients among different tasks, and previous online RL works address this problem via gradient surgery [74], conflict-averse learning [34], and parameter composition [70, 56]. Instead, MTDIFF addresses such a problem in an offline setting through a conditional generative process via a novel transformer architecture. Previous Decision-Transformer (DT)-based methods [47, 29, 72] which consider handling multi-task problems, mainly rely on expert trajectories and entail substantial training expenses. Scaled-QL [26] adopts separate networks for different tasks and is hard to generalize to new tasks. Instead of focusing on the performance of training tasks in multi-task RL, few-shot RL aims to improve the generalizability in novel tasks based on the learned multi-task knowledge. Nevertheless, these methods need additional context encoders [77, 79] or gradient descents in the finetuning stage [57, 58, 29]. In contrast, we use prompts for few-shot generalization without additional parameter-tuning. ", + "bbox": [ + 173, + 882, + 823, + 912 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 229 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Data Augmentation for RL. Data augmentation [13, 39] has been verified to be effective in RL. Previous methods incorporate various data augmentations (e.g. adding noise, random translation) on observations for visual-based RL [71, 28, 52, 27], which ensure the agents learn on multiple views of the same observation. Differently, we focus on data augmentation via synthesizing new experiences rather than perturbing the origin one. Recent works [76, 10] consider augmenting the observations of robotic control using a text-guided diffusion model whilst maintaining the same action, which differs from our approach that can synthesize novel action and reward labels. The recently proposed SynthER [38] is closely related to our method by generating transitions of trained tasks via a diffusion model. However, SynthER is studied in single-task settings, while we investigate whether a diffusion model can accommodate all knowledge of multi-task datasets and augment the data for novel tasks. ", + "bbox": [ + 174, + 236, + 825, + 375 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5 Experiments ", + "text_level": 1, + "bbox": [ + 174, + 395, + 312, + 411 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In this section, we conduct extensive experiments to answer the following questions: (1) How does MTDIFF-P compare to other offline and online baselines in the multi-task regime? (2) Does MTDIFFS synthesize high-fidelity data and bring policy improvement? (3) How is MTDIFF-S compared with other augmentation methods for single-task RL? (4) Does the synthetic data of MTDIFF-S match the original data distribution? (5) Can both MTDIFF-P and MTDIFF-S generalize to unseen tasks? ", + "bbox": [ + 174, + 426, + 825, + 496 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.1 Environments and Baselines ", + "text_level": 1, + "bbox": [ + 176, + 513, + 408, + 529 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Meta-World Tasks The Meta-World benchmark [73] contains 50 qualitatively-distinct manipulation tasks. The tasks share similar dynamics and require a Sawyer robot to interact with various objects with different shapes, joints, and connectivity. In this setup, the state space and reward functions of different tasks are different since the robot is manipulating different objects with different objectives. At each timestep, the Sawyer robot receives a 4-dimensional fine-grained action, representing the 3D position movements of the end effector and the variation of gripper openness. The original Meta-World environment is configured with a fixed goal, which is more restrictive and less realistic in robotic learning. Following recent works [70, 56], we extend all the tasks to a random-goal setting and refer to it as MT50-rand. We use the average success rate of all tasks as the evaluation metric. ", + "bbox": [ + 174, + 540, + 826, + 678 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "By training a SAC [18] agent for each task in isolation, we utilize the experience collected in the replay buffer as our offline dataset. Similar to [26], we consider two different dataset compositions: (i) Near-optimal dataset consisting of the experience (100M transitions) from random to expert (convergence) in SAC-Replay, and (ii) Sub-optimal dataset consisting of the initial $50 \\%$ of the trajectories (50M transitions) from the replay buffer for each task, where the proportion of expert data decreases a lot. We summarize more details about the dataset in Appendix G. ", + "bbox": [ + 174, + 684, + 825, + 767 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Maze2D Tasks Maze2D [15] is a navigation task that requires an agent to traverse from a randomly designated location to a fixed goal in the 2D map. The reward is 1 if succeed and 0 otherwise. Maze2D can evaluate the ability of RL algorithms to stitch together previously collected sub-trajectories, which helps the agent find the shortest path to evaluation goals. We use the agent’s scores as the evaluation metric. The offline dataset is collected by selecting random goal locations and using a planner to generate sequences of waypoints by following a PD controller. ", + "bbox": [ + 174, + 784, + 825, + 867 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Baselines We compare our proposed MTDIFF (MTDIFF-P and MTDIFF-S) with the following baselines. Each baseline has the same batch size and training steps as MTDIFF. For MTDIFF-P, we have following baselines: (i) PromptDT. PromptDT [69] built on Decision-Transformer (DT) [9] aims to learn from multi-task data and generalize the policy to unseen tasks. PromptDT generates actions based on the trajectory prompts and reward-to-go. We use the same GPT2-network as in MTDIFF-P. The main difference between our method and PromptDT is that we employ diffusion models for generative planning. (ii) MTDT. We extend the DT architecture [9] to learn from multitask data. Specifically, MTDT concatenates an embedding $z$ and a state $s$ as the input tokens, where $z$ is the encoding of task ID. In evaluation, the reward-to-go and task ID are fed into the Transformer to provide task-specific information. MTDT also uses the same GPT2-network as in MTDIFF-P. Compared to MTDT, our model incorporates prompt and diffusion framework to learn from the multi-task data. (iii) MTCQL. Following scaled-QL [26], we extend CQL [25] with multi-head critic networks and a task-ID conditioned actor for multi-task policy learning. (iv) MTIQL. We extend IQL [24] for multi-task learning using a similar revision of MTCQL. The TD-based baselines (i.e., MTCQL and MTIQL) are used to demonstrate the effectiveness of conditional generative modeling for multi-task planning. (v) MTBC. We extend Behavior cloning (BC) to multi-task offline policy learning via network scaling and a task-ID conditioned actor that is similar to MTCQL and MTIQL. ", + "bbox": [ + 174, + 883, + 821, + 911 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 90, + 825, + 299 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "As for MTDIFF-S, we compare it with two baselines that perform direct data augmentation in offline RL. (i) RAD. We adopt the random amplitude scaling [28] that multiplies a random variable to states, i.e., $s ^ { \\prime } = s \\times z$ , where $z \\sim \\mathrm { U n i f o r m } [ \\alpha , \\beta ]$ . This augmentation technique has been verified to be effective for state-based RL. (ii) S4RL. We adopt the adversarial state training [52] by taking gradients with respect to the value function to obtain a new state, i.e. $s ^ { \\prime } s + \\epsilon \\nabla _ { s } \\mathbb { J } _ { Q } ( \\pi ( s ) )$ , where $\\mathbb { J } _ { Q }$ is the policy evaluation update performed via a $Q$ function, and $\\epsilon$ is the size of gradient steps. We summarize the details of all the baselines in Appendix B. ", + "bbox": [ + 173, + 304, + 825, + 401 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.2 Result Comparison for Planning ", + "text_level": 1, + "bbox": [ + 176, + 421, + 439, + 436 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "How does MTDIFF-P compare to baselines in the multi-task regime? For a fair comparison, ", + "text_level": 1, + "bbox": [ + 171, + 449, + 823, + 463 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "we add MTDIFF-P-ONEHOT as a variant of MTDIFF-P by replacing the prompt with a one-hot task-ID, which is used in the baselines except for PromptDT. The first action generated by MTDIFF-P is used to interact with the environment. According to Tab. 1, we have the following key observations. (i) Our method achieves better performance than baselines in both near-optimal and sub-optimal settings. For near-optimal datasets, MTDIFF-P and MTDIFF-P-ONEHOT achieve about $60 \\%$ success rate, significantly outperforming other methods and performing comparably with MTBC. However, the performance of MTBC decreases a lot in sub-optimal datasets. BC is hard to handle the conflict behaviors in experi", + "bbox": [ + 176, + 464, + 472, + 683 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Table 1: Average success rate across 3 seeds on MetaWorld-V2 MT50 with random goals (MT50-rand). Each task is evaluated for 50 episodes. ", + "bbox": [ + 483, + 470, + 825, + 513 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/288f333724569ebbccf159a4174484ff07e88ce4147a8a378ca3e3e5a9f94f59.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
MethodsNear-optimalSub-optimal
CARE [53] (Online)50.8 ± 1.0一
PaCo [56] (Online)57.3 ± 1.31
MTDT20.99 ± 2.6620.63 ± 2.21
PromptDT45.68 ± 1.8439.76 ± 2.79
MTBC60.39 ±0.8634.53 ± 1.25
MTCQL
MTIQL56.21 ± 1.3943.28 ± 0.90
MTDIFF-p (ours)59.53 ± 1.1248.67 ± 1.32
MTDIFF-P-ONEHOT (ours)61.32 ± 0.8948.94± 0.95
", + "bbox": [ + 486, + 523, + 821, + 652 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "ences sampled by a mixture of policies with different returns, which has also been verified in previous offline imitation methods [35, 68]. In contrast, both MTDIFF-P and MTDIFF-ONEHOT perform the best in sub-optimal datasets. (ii) We compare MTDIFF-P with two SOTA multi-task online RL methods, CARE [53] and PaCo [56], which are trained for 100M steps in MT50-rand. MTDIFF-P outperforms both of them given the near-optimal dataset, demonstrating the potential of solving the multi-task RL problems in an offline setting. (iii) MTDT is limited in distinguishing different tasks with task ID while PromptDT performs better, which demonstrates the effect of prompts in multi-task settings. (iv) As for TD-based baselines, we find MTCQL almost fails while MTIQL performs well. We hypothesize that since MTCQL penalizes the OOD actions for each task, it will hinder other tasks’ learning since different tasks can choose remarkably different actions when facing similar states. In contrast, IQL learns a value function without querying the values of OOD actions. ", + "bbox": [ + 174, + 684, + 825, + 835 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We remark that MTDIFF-P based on GPT network outperforms that with U-Net in similar model size, and detailed results are given in Appendix C. Overall, MTDIFF-P is an effective planner in multi-task settings including sub-optimal datasets where we must stitch useful segments of suboptimal trajectories, and near-optimal datasets where we mimic the best behaviors. Meanwhile, we argue that although MTDIFF-P-ONEHOT performs well, it cannot generalize to unseen tasks without prompts. ", + "bbox": [ + 174, + 842, + 823, + 911 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/766a36729e40af5d36fddb4444af1e4bae14b751b6c58b36b95958c68f8eced6.jpg", + "image_caption": [ + "Figure 1: Seen and unseen maps of Maze2D with long planning path. Goal position is denoted as .Figure 4: Seen and unseen maps of Maze2D with long planning path. Goal position is denoted as . " + ], + "image_footnote": [], + "bbox": [ + 183, + 90, + 617, + 198 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/6852d194b1623d801bf018342793bb829d165cc42ad299704bc4f6069e743316.jpg", + "image_caption": [ + "Figure 5: Average scores obtained in 8 Maze2D maps. " + ], + "image_footnote": [], + "bbox": [ + 637, + 93, + 815, + 194 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Does MTDIFF-P generalize to unseen tasks? We further carry out experiments on Maze2D Diffusion Model is an Effective Planner and Data to evaluate the generalizability of MTDIFF-P. We select PromptDT as our baseline, as it has Synthesizer for Multi-Task RL demonstrated both competitive performances on training tasks and adaptation ability for unseen tasks [69]. We use 8 different maps for training and one new map for adaptation evaluation. The setup details are given in Appendix D. We evaluate these two methods on both seen maps and an unseen map. The average scores obtained in 8 training maps are referred to Figure 5. To further illustrate Affiliation the advantages of our method compared to PromptDT, we select one difficult training map and the Address unseen map for visualization, as shown in Figure 4. According to the visualized path, we find that (1) for seen maps in training, MTDIFF-P generates a shorter and smoother path, and (2) for unseen maps, PromptDT fails to obtain a reasonable path while MTDIFF-P succeed, which verifies that MTDIFF-P can perform few-shot adaptation based on trajectory prompts and the designed architecture. ", + "bbox": [ + 173, + 236, + 825, + 388 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.3 Results for Augmentation via Data Synthesis ", + "text_level": 1, + "bbox": [ + 173, + 405, + 524, + 420 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Does MTDIFF-S synthesize high-fidelity data and bring policy improvement? We train MTDIFFS on near-optimal datasets from 45 tasks to evaluate its generalizability. We select 3 training tasks and 3 unseen tasks, and measure the policy improvement of offline RL training (i.e., TD3-BC [16]) with data augmentation. For each evaluated task, MTDIFF-S synthesizes 2M transitions to expand the original 1M dataset. From the results summarized in Table 2, MTDIFF-S can boost the offline performance for all tasks and significantly increases performance by about $180 \\%$ , $131 \\%$ , and $161 \\%$ for box-close, hand-insert, and coffee-push, respectively. ", + "bbox": [ + 173, + 430, + 826, + 527 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/46e68d62f5a592be59130c2edee5b97ac03917f7e0f863b62c21704a8020f7b6.jpg", + "image_caption": [ + "Figure 7: Average success rate across 3 seeds on coffee-push. Dataset is augmented by MTDIFF-S trained under different number of tasks. " + ], + "image_footnote": [], + "bbox": [ + 539, + 547, + 803, + 700 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/8d3dc6c3bc169ffa854383b04749e6ed7eb7ff130f643a5b1a1e174c1ab83b91.jpg", + "image_caption": [ + "Figure 6: Results of multi-task and single- task augmentation " + ], + "image_footnote": [], + "bbox": [ + 187, + 546, + 514, + 732 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "How does MTDiff-s perform and benefit from multi-task training? From Table 2, we find MTDIFF-S achieves superior policy improvement in seen tasks compared with previous SOTA augmentation methods (i.e., S4RL and RAD) that are developed in single-task RL. We hypothesize that, by absorbing vast knowledge of multi-task data in training, MTDIFF-S can perform implicit data sharing [75] by integrating other tasks’ knowledge into data synthesis of the current task. To verify this hypothesis, we select three tasks (i.e., coffee-push, disassemble and dial-turn) to re-train MTDIFF-S on the corresponding single-task dataset. We denote this variant as MTDIFF-S-SINGLE. We implement SynthER [38] to further confirm the benefits of multi-task training. SynthER also utilizes diffusion models to enhance offline datasets for policy improvement, but it doesn’t take into account the aspect of learning from multi-task data. We observe that MTDIFF-S outperforms both two methods, as shown in Figure 6. What’s more, we re-train MTDIFF-S on 10, 20, and 30 tasks respectively, in order to obtain the relationship between the performance gains and the number of training tasks. Our findings, as outlined in Fig. 7, provide compelling evidence in support of our hypothesis: MTDIFF-S exhibits progressively superior data synthesis performance with increasing task diversity. ", + "bbox": [ + 174, + 786, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 92, + 825, + 174 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Does MTDIFF-S generalize to unseen tasks? We answer this question by conducting offline RL training on the augmented datasets of 3 unseen tasks. According to Table 2, MTDIFF-S is wellgeneralized and obtains significant improvement compared to the success rate of original datasets. MTDIFF-S boost the policy performance by $131 \\%$ , $180 \\%$ and $32 \\%$ for hand-insert, box-close and bin-picking, respectively. We remark that S4RL performs the best on the two unseen tasks, i.e., box-close and bin-picking, since it utilizes the entire datasets to train $Q$ -functions and obtains the augmented states. Nevertheless, we use much less information (i.e., a single trajectory as prompts) for augmentation. ", + "bbox": [ + 173, + 189, + 825, + 300 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/95a4918e142d561106a45ed40761a8f8ba31f41cc23c1eceb6bcc2665a03f549.jpg", + "table_caption": [ + "Table 2: Average success rate across 3 seeds on Meta-World-V2 single task with random goals. Each selected task is evaluated for 500 episodes. " + ], + "table_footnote": [], + "table_body": "
TasksOriginalS4RLRADMTDIFF-S(OURS)
Unseen Tasksbox-close23.46 ± 7.1173.13±3.51(个211%)71.20±4.84(个203%)65.73±8.36 (↑180%)
hand-insert bin-picking30.60±9.7760.20 ± 1.57 (↑ 96%)43.79 ±3.44 (↑43%)70.87 ± 3.59 (↑ 131%)
Seen Taskssweep-into42.13 ± 14.33 91.8 ±1.1472.20 ± 4.17(↑ 71%) 90.53 ±3.52(↓ 1%)43.27 ± 4.38(↑ 2%)55.73 ± 7.63(↑32%)
coffee-push28.60 ± 14.5528.73±8.44(个 0.4%)88.06±9.86(↓4%)92.87 ± 1.11(↑ 1%)
disassemble33.19 ± 2.86(个 16%)74.67 ± 6.79(↑ 161%)
60.20 ±16.2952.20 ± 5.68(↓12%)60.93 ± 20.80(个1%)69.00 ± 4.72(↑ 14.6%)
", + "bbox": [ + 176, + 344, + 823, + 420 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Does the synthetic data of MTDIFF-S match the original data distribution? We select 4 tasks and use T-SNE [61] to visualize the distribution of original data and synthetic data. We find the synthetic data overlap and expand the original data distribution while also keeping consistency with the underlying MDP. The visualization results and further analyses are given in Appendix E. ", + "bbox": [ + 174, + 429, + 825, + 484 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 497, + 299, + 513 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We propose MTDIFF, a diffusion-based effective planner and data synthesizer for multi-task RL. With the trajectory prompt and unified GPT-based architecture, MTDIFF can model multi-task data and generalize to unseen tasks. We show that in the MT50-rand benchmark containing fine-grained manipulation tasks, MTDIFF-P generates desirable behavior for each task via few-shot prompts. By compressing multi-task knowledge in a single model, we demonstrate that MTDIFF-S greatly boosts policy performance by augmenting original offline datasets. In future research, we aim to develop a practical multi-task algorithm for real robots to trade off the sample speed and generative quality. We further discuss the limitations and broader impacts of MTDIFF in Appendix F. ", + "bbox": [ + 174, + 522, + 825, + 633 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgments ", + "text_level": 1, + "bbox": [ + 176, + 652, + 328, + 669 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This work is supported by the National Natural Science Foundation of China (Grant No.62306242&62076161), the National Key R&D Program of China (Grant No.2022ZD0160100), Shanghai Municipal Science and Technology Major Project (2021SHZDZX0102) and Shanghai Artificial Intelligence Laboratory. ", + "bbox": [ + 174, + 683, + 825, + 738 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "References ", + "text_level": 1, + "bbox": [ + 174, + 758, + 266, + 773 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "[1] Michael Ahn, Anthony Brohan, Noah Brown, Yevgen Chebotar, Omar Cortes, Byron David, Chelsea Finn, Keerthana Gopalakrishnan, Karol Hausman, Alex Herzog, et al. 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", + "bbox": [ + 173, + 828, + 823, + 871 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "A The Details of MTDIFF ", + "text_level": 1, + "bbox": [ + 176, + 88, + 406, + 106 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "In this section, we give the pseudocodes of MTDIFF-P and MTDIFF-S in Alg. 1 and Alg. 2, respectively. Then we describe various details of the training process, architecture and hyperparameters: ", + "bbox": [ + 173, + 119, + 825, + 148 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "• We set the per-task batch size as 8, so the total batch size is 400. We train our model using Adam optimizer [23] with $2 e ^ { - 4 }$ learning rate for $2 e ^ { 6 }$ train steps. \n• We train MTDIFF on NVIDIA GeForce RTX 3080 for around 50 hours. \n• We represent the noise model as the transformer-based architecture described in Section 3.3. MLP $f _ { P }$ which processes prompt is a 3-layered MLP (prepended by a layer norm [3] and with Mish activation). MLP $f _ { T i }$ which processes diffusion timestep $f _ { R }$ is a 2-layered MLP (prepended by a Sinusoidal embedding and with Mish activation). $f _ { R }$ which processes conditioned Return and $f _ { H }$ which processes state history are 3-layered MLPs with Mish activation. $f _ { A }$ which processes actions, $f _ { T R }$ which process transitions and prediction head are 2-layered MLPs with Mish activation. The GPT2 transformer is configured as 6 hidden layers and 4 attention heads. The code of GPT2 is borrowed from https://github.com/kzl/decision-transformer. \n• We choose the probability $p$ of removing the conditioning information to be 0.25. \n• In MTDIFF-P, we choose the state history length $L = 2$ for Meta-World and $L = 5$ for Maze2D. \n• We choose the trajectory prompt length $J = 2 0$ . \n• We use $K = 2 0 0$ for diffusion steps. \n• We set guidance scale $\\alpha = 1 . 2$ for extracting near-optimal behavior. \n• We choose $\\beta = 0 . 5$ for low temperature sampling. ", + "bbox": [ + 173, + 159, + 826, + 436 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Algorithm 1 MTDIFF-P Training and Evaluation ", + "text_level": 1, + "bbox": [ + 173, + 457, + 500, + 472 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "# Training Process ", + "bbox": [ + 174, + 474, + 300, + 488 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Initialize: training tasks ${ \\mathcal { T } } ^ { t r a i n }$ , training iterations $N$ , multi-task dataset $\\mathcal { D }$ , per-task batch size $M$ multi-task trajectory prompts $Z$ ", + "bbox": [ + 173, + 488, + 825, + 515 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "1: for $n = 1$ to $N$ do \n2: for Each task $\\mathcal { T } _ { i } \\in \\mathcal { T } ^ { t r a i n } ~ ,$ do \n3: Sample action sequences $\\pmb { x } _ { 0 } ( \\tau _ { i } )$ of length $H$ and corresponding state history $S _ { i } ^ { \\mathrm { p r e v } }$ of length \n$L$ from $\\mathcal { D } _ { i }$ with batch size $M$ \n4: Compute normalized return $R ( \\tau _ { i } )$ under $\\tau _ { i }$ \n5: Sample trajectory prompts $\\boldsymbol { \\tau } _ { i } ^ { * }$ of length $J$ from $Z _ { i }$ with batch size $M$ \n6: end for \n7: Get a batch $\\begin{array} { r } { \\mathbb { B } = \\{ \\pmb { x } _ { 0 } ^ { p } ( \\tau _ { i } ) , \\tau _ { i } ^ { * } , S _ { i } ^ { \\mathrm { p r e v } } , R ( \\tau _ { i } ) \\} _ { i = 1 } ^ { | \\mathcal { T } ^ { t r a i n } | } } \\end{array}$ \n8: Randomly sample a diffusion timestep $k \\sim \\mathcal { U } ( 1 , K )$ and obtain noisy sequences $\\pmb { x } _ { k } ^ { p } ( \\tau _ { i } )$ \n9: Omit the $R ( \\tau )$ condition with probability $\\beta \\sim \\mathrm { B e r n } ( p )$ \n10: Compute ${ \\mathcal { L } } ^ { p } ( \\theta )$ and update MTDIFF-P model ", + "bbox": [ + 179, + 518, + 823, + 672 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "11: end for ", + "text_level": 1, + "bbox": [ + 176, + 672, + 254, + 684 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "# Evaluation Process ", + "bbox": [ + 174, + 689, + 315, + 702 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "1: Given a task, reset the environment and set desired return $R _ { \\mathrm { m a x } } ( \\tau )$ \n2: Obtain the initial state history $h _ { 0 }$ , few-shot prompts $Z$ \n3: Set low-temperature sampling scale $\\beta$ , classifier-free guidance scale $\\alpha$ \n4: for $t = 0$ to $t _ { \\mathrm { m a x } }$ do \n5: Initialize $\\pmb { x } _ { K } ^ { p } ( \\tau ) \\sim { \\mathcal { N } } ( \\mathbf { 0 } , \\beta \\pmb { I } )$ \n6: Sample $\\tau ^ { * } \\sim Z$ , and formulate $\\pmb { y } ^ { \\prime } ( \\tau ) = [ h _ { t } , \\tau ^ { * } ]$ \n7: for $k = K$ to 1 do \n8: $\\begin{array} { r l } & \\dot { \\mathbf { \\Xi } } _ { k } ^ { \\mathrm { ~ ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\dot { \\Xi } _ { k } ^ { \\mathrm { ~ ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\Lambda } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\dot { \\Xi } _ { k } ^ { \\mathrm { ~ } } = \\epsilon _ { \\theta } \\big ( \\mathbf { \\Delta } \\mathbf { x } _ { k } ( \\tau ) , \\mathbf { \\Xi } \\mathbf { y } ^ { \\prime } ( \\tau ) , \\mathcal { Q } , k \\big ) + \\alpha \\big ( \\epsilon _ { \\theta } \\big ( \\mathbf { \\Delta } \\mathbf { x } _ { k } ( \\tau ) , \\mathbf { \\Xi } \\mathbf { y } ^ { \\prime } ( \\tau ) , R _ { \\operatorname* { m a x } } ( \\tau ) , k \\big ) - \\epsilon _ { \\theta } \\big ( \\mathbf { \\Delta } \\mathbf { x } _ { k } ( \\tau ) , \\mathbf { \\Xi } \\mathbf { y } ^ { \\prime } ( \\tau ) , \\mathcal { Q } , k \\big ) \\big ) } \\\\ & { \\left( \\mu _ { k - 1 } , \\Sigma _ { k - 1 } \\right) \\gets \\mathrm { ~ D e n o i s e } ( \\mathbf { \\Delta } \\mathbf { x } _ { k } ( \\tau ) , \\hat { \\mathbf { \\Xi } } \\mathbf { \\Lambda } \\mathbf { \\Lambda } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\mathrm { ~ } \\Omega ) } \\\\ & { \\mathbf { \\Delta } \\mathbf { x } _ { k - 1 } ^ { \\mathrm { ~ } } ( \\tau ) \\sim \\mathcal { N } ( \\mu _ { k - 1 } , \\beta \\Sigma _ { k - 1 } ) } \\end{array}$ \n9: \n10: \n11: end for \n12: Execute the first action from $\\pmb { x } _ { 0 } ( \\tau )$ as the current action to interact with the environment \n13: Obtain the next state, and update $h _ { t }$ \n14: end for ", + "bbox": [ + 176, + 703, + 820, + 892 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 883, + 254, + 896 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "# Training Process ", + "bbox": [ + 174, + 109, + 299, + 122 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Initialize: training tasks ${ \\mathcal { T } } ^ { t r a i n }$ , training iterations $N$ , multi-task dataset $\\mathcal { D }$ , per-task batch size $M$ multi-task trajectory prompts $Z$ ", + "bbox": [ + 171, + 121, + 823, + 150 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "1: for $n = 1$ to $N$ do \n2: for Each task ${ \\mathcal { T } } _ { i } \\in { \\mathcal { T } } ^ { t r a i n }$ do \n3: Sample transition sequences $\\pmb { x } _ { 0 } ( \\tau _ { i } )$ of length $H$ from $\\mathcal { D } _ { i }$ with batch size $M$ \n4: Sample trajectory prompts $\\boldsymbol { \\tau } _ { i } ^ { * }$ of length $J$ from $Z _ { i }$ with batch size $M$ \n5: end for \n6: Get a batch $\\boldsymbol { B } = \\{ \\boldsymbol { x } _ { 0 } ^ { s } ( \\tau _ { i } ) , \\tau _ { i } ^ { * } \\} _ { i = 1 } ^ { | \\mathcal { T } ^ { t r a i n } | }$ p \n7: Randomly sample a diffusion timestep $k \\sim \\mathcal { U } ( 1 , K )$ and obtain noisy sequences $\\pmb { x } _ { k } ^ { s } ( \\tau _ { i } )$ \n8: Compute ${ \\mathcal { L } } ^ { s } ( \\theta )$ and update MTDIFF-S model ", + "bbox": [ + 174, + 152, + 794, + 267 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "# Data Synthesis Process ", + "bbox": [ + 174, + 281, + 341, + 294 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Initialize: synthetic dataset $\\mathcal { D } = \\varnothing$ , synthesizing times $M$ ", + "bbox": [ + 174, + 295, + 558, + 309 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "1: Given a task, obtain few-shot prompts $Z$ \n2: for $m = 1$ to $M$ do \n3: Initialize $\\mathbf { \\boldsymbol { x } } _ { K } ( \\tau ) \\sim \\mathcal { N } ( \\mathbf { \\boldsymbol { 0 } } , I )$ \n4: Sample $\\tau ^ { * } \\sim Z$ , and formulate $\\pmb { y } _ { k } ^ { s } ( \\tau ) = [ \\tau ^ { * } ]$ \n5: for $k = K$ to 1 do \n6: $\\begin{array} { r l } & { \\hat { \\epsilon } = \\epsilon _ { \\theta } \\big ( \\pmb { x } _ { k } ( \\tau ) , \\pmb { y } _ { \\mathbf { \\lambda } } ( \\tau ) , k \\big ) } \\\\ & { ( \\mu _ { k - 1 } , \\Sigma _ { k - 1 } ) \\mathrm { D e n o i s e } ( \\pmb { x } _ { k } ( \\tau ) , \\hat { \\epsilon } ) } \\\\ & { \\pmb { x } _ { k - 1 } ( \\tau ) \\sim \\mathcal { N } ( \\mu _ { k - 1 } , \\Sigma _ { k - 1 } ) } \\end{array}$ \n7: \n8: \n9: end for \n10: Update $\\mathcal { D } = \\mathcal { D } \\cup \\pmb { x } _ { 0 } ^ { s } ( \\tau )$ \n11: end for ", + "bbox": [ + 176, + 310, + 514, + 464 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "B The Details of Baselines ", + "text_level": 1, + "bbox": [ + 174, + 494, + 406, + 512 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "In this section, we describe the implementation details of the baselines: ", + "bbox": [ + 173, + 530, + 638, + 545 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• PromptDT uses the same prompts and GPT2 transformer in MTDIFF-P for taining. We borrow the code from https://github.com/mxu34/prompt-dt for implementation. ", + "bbox": [ + 173, + 558, + 820, + 587 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• MTDT embeds the tskaID which indicates the task to a embedding $z$ with size 12, then $z$ is concatenated with the raw state. With such conditioning, we broaden the original state space to equip DT with the ability to identify tasks in this multi-task setting. We keep other hyperparameters and implementation details the same as the official version https://github.com/kzl/ decision-transformer/. ", + "bbox": [ + 173, + 594, + 825, + 665 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• MTIQL uses a multi-head critic network to predict the $Q$ value for each task, and each head is parameterized with a 3-layered MLP (with Mish activation). The actor-network is parameterized with a 3-layered MLP (with Mish activation). During training and inference, the scalar taskID is embedded via 3-layered MLP (with Mish activation) into latent variable $z$ , and the input of the actor becomes the concatenation of the original state and $z$ . We build MTIQL based on the code https://github.com/tinkoff-ai/CORL [59]. ", + "bbox": [ + 173, + 674, + 825, + 757 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• MTCQL is applied with a similar revision in MTIQL. The main difference is that MTCQL is based on CQL [25] algorithm instead of the IQL algorithm [24]. We build MTCQL based on the code https://github.com/tinkoff-ai/CORL [59]. ", + "bbox": [ + 173, + 766, + 823, + 809 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• MTBC uses a similar taskID-cognitional actor in MTIQL and MTCQL. For training and inference, the scalar taskID is embedded via a 3-layered MLP (with Mish activation) into latent variable $z$ , and the input of the actor becomes the concatenation of the original state and $z$ . The actor is parameterized with a 3-layered MLP and outputs predicted actions. ", + "bbox": [ + 173, + 818, + 825, + 875 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• RAD adopts the random amplitude scaling [28] that multiplies a random variable to states during training, i.e., $s ^ { \\prime } = s \\times z$ , where $z \\sim \\mathrm { U n i f o r m } [ \\alpha , \\beta ]$ . We choose $\\alpha = 0 . 8$ and $\\beta = 1 . 2$ . ", + "bbox": [ + 174, + 883, + 821, + 912 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• S4RL adopts the adversarial state training [52] by taking gradients with respect to the value function to obtain a new state, i.e. $s ^ { \\prime } \\bar { s } + \\epsilon \\nabla _ { s } \\bar { \\mathbb { J } } _ { Q } ( \\pi ( s \\bar { ) } )$ , where $\\mathbb { J } _ { Q }$ is the policy evaluation update performed via a $Q$ function, and $\\epsilon$ is the size of gradient steps. We choose $\\epsilon = 0 . 0 1$ . ", + "bbox": [ + 174, + 90, + 823, + 133 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "C Ablation Study on Model Architecture ", + "text_level": 1, + "bbox": [ + 174, + 151, + 531, + 170 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "The architecture described in $\\ S 3 . 3$ handles input types of different modalities as tokens that share similar formats, actively capturing interactions between modalities. The incorporation of a transformer is also helpful for sequential modeling. To ablate the effectiveness of our architecture design, we train MTDIFF-P using U-Net with a similar model size to ours on the near-optimal dataset. We use a Temporal Convolutional Network (TCN) [4] to encode the prompt into an embedding $z _ { p }$ , and inject it in the U-Net layers as a condition. We follow the conditional approach in [2] and borrow the code for temporal U-Net from https://github.com/jannerm/diffuser [21]. The results summarized in Table 3 show that our model architecture outperforms U-Net to learn from multi-task datasets. ", + "bbox": [ + 173, + 183, + 825, + 294 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/28682d707b2de6e218f8dbeceac85c99116108d91bb604b0ff54febf171de42d.jpg", + "table_caption": [ + "Table 3: Average success rate across 3 different seeds of MTDIFF-P and MTDIFF-P (U-Net) on MT50-rand. " + ], + "table_footnote": [], + "table_body": "
MethodsSuccess rate on near-optimal dataset (%)Success rate on sub-optimal dataset (%)
MTDIFF-P59.53±1.1248.67 ±1.32
MTDIFF-P (U-Net)55.67 ± 1.2747.42 ± 0.74
", + "bbox": [ + 176, + 351, + 821, + 390 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "D Environmental Details of Maze2D ", + "text_level": 1, + "bbox": [ + 173, + 429, + 493, + 445 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/6e358fa9a5ec9a3eabf55d4dba74ed81af410ee90460c0a2237919b7c9765327.jpg", + "image_caption": [ + "Figure 8: 2D visualization of eight training maps designed in Maze2D. " + ], + "image_footnote": [], + "bbox": [ + 199, + 481, + 802, + 758 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "We design eight different training maps for multi-task training, which are shown at Fig. 8. Different tasks have different reward functions and transition functions. For generalizability evaluation, we have designed one new unseen map. Although in Fig. 4, MTDIFF is able to generalize on new maps while PromptDT fails, we should acknowledged that MTDIFF may fail at some difficult unseen cases, as shown in Fig. 9. The reasons may lie in 2 folds: One is the inherent difficulty of the case itself, and the other is that the case’s deviation from the distribution of the training cases surpasses the upper threshold of generalizability of MTDIFF. We also provide another map where MTDIFF succeeds while PromptDT fails in Fig. 10. ", + "bbox": [ + 173, + 800, + 826, + 911 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "We collect $3 5 \\mathrm { k }$ episodes together to train our model and PromptDT. The episodic length is set as 600 for training and 200 for evaluation. After training with 512 batch size for 2e5 gradient steps, we evaluate these methods on seen and unseen maps. ", + "bbox": [ + 173, + 90, + 826, + 133 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/c7030b664d68f27ad22fcf817777253f60c6f753c6b8e406c3161e6e0ef06b59.jpg", + "image_caption": [ + "Figure 9: 2D visualization of 2 difficult cases where both PromptDT and MTDIFF both fail. These 2 cases are both unseen during training. Goal position is denoted as $\\mathbf { F }$ . " + ], + "image_footnote": [], + "bbox": [ + 204, + 166, + 815, + 309 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/d15276f5a509b728a3ed766a2c8351d3c1334445ca57cd2e2b1c93f956ad4171.jpg", + "image_caption": [ + "Figure 10: Unseen maps of Maze2D with long planning path. MTDIFF-P reach the goal while PromptDT fails. Goal position is denoted as $\\mathbf { F }$ . " + ], + "image_footnote": [], + "bbox": [ + 308, + 382, + 694, + 551 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "E Data Analysis ", + "text_level": 1, + "bbox": [ + 174, + 626, + 325, + 643 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "E.1 Distribution Visualization ", + "text_level": 1, + "bbox": [ + 174, + 656, + 397, + 671 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We find the synthetic data is high-fidelity, covering or even broadening the original data distribution, which makes the offline RL method performs better in the augmented dataset. The distribution visualization is shown in Fig. 11. ", + "bbox": [ + 174, + 683, + 825, + 726 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/c2cea6aa550a462c60d122895627f00a62fb2aec5181b920e2b4d89b2a78ffe0.jpg", + "image_caption": [ + "Figure 11: 2D visualization of sampled synthetic data and original data via T-SNE [61]. The data is sampled from tasks coffee-push, disassemble, hand-insert and box-close respectively. " + ], + "image_footnote": [], + "bbox": [ + 179, + 744, + 812, + 853 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "E.2 Statistical Analysis ", + "text_level": 1, + "bbox": [ + 174, + 90, + 348, + 106 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Following SynthER [38], we measure the Dynamics Error (MSE between the augmented next state and true next state), and L2 Distance from Dataset (minimum L2 distance of each datapoint from the dataset) for the augmented data of each method (i.e., MTDIFF-S, S4RL and RAD), as shown in Table 4. Since S4RL performs data augmentation by adding data within the $\\epsilon$ -ball of the original data points, it has the smallest dynamics error with a small ϵ. RAD performs random amplitude scaling and causes the largest dynamics error. We remark that S4RL performs local data augmentation around the original data and can be limited in expanding the data coverage of offline datasets. In contrast, our method generates data via diffusion model without explicit constraints to the original data points, which also has small dynamics error and significantly improves the data coverage, benefiting the offline RL training. ", + "bbox": [ + 173, + 117, + 825, + 256 + ], + "page_idx": 19 + }, + { + "type": "table", + "img_path": "images/cd37892df8b29ed00eb99be54da560ad7a427616334456c6af19d9b1972c91ec.jpg", + "table_caption": [ + "Table 4: Comparing L2 distance from the training dataset and dynamics error under each method. " + ], + "table_footnote": [], + "table_body": "
MethodsDynamics ErrorL2 Distance from Dataset
MTDIFF-S0.01740.4552
S4RL0.00010.4024
RAD0.06410.4617
", + "bbox": [ + 282, + 306, + 710, + 366 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "F Limitations and Discussions ", + "text_level": 1, + "bbox": [ + 174, + 405, + 441, + 422 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "In this section, we will discuss the limitations and broader impacts of our proposed method MTDIFF. ", + "bbox": [ + 169, + 439, + 825, + 453 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Limitation. Diffusion models are bottlenecked by their slow sampling speed, which caps the potential of MTDIFF for real-time control. How to trade off the sampling speed and generative quality remains to be a crucial research topic. For a concrete example in MetaWorld, it takes on average 1.9s in wall-clock time to generate one action sequence for planning (hardware being a 3090 GPU). We can improve the inference speed by leveraging a recent sampler called DPM-solver [37, 36] to decrease the diffusion steps required to $0 . 2 \\times$ without any loss in performance, and using a larger batch size (leveraging the parallel computing power of GPUs) to evaluate multiple environments at once. Thus the evaluation run-time roughly matches the run-time of non-diffusion algorithms (diffusion step is 1). In addition, consistency models [55] are recently proposed to support one-step and few-step generation, while the upper performance of what such models can achieve is still vague. ", + "bbox": [ + 173, + 469, + 825, + 609 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Broader Impacts. As far as we know, MTDIFF is the first proposed diffusion-based approach for multi-task reinforcement learning. It could be applied to multi-task decision-making, and also could be used to synthesize more data to boost policy improvement. MTDIFF provides a solution for achieving generalization in reinforcement learning. ", + "bbox": [ + 174, + 627, + 825, + 683 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "G Dataset collection ", + "text_level": 1, + "bbox": [ + 174, + 705, + 357, + 722 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Meta-World. We train Soft Actor-Critic (SAC) [18] policy in isolation for each task from scratch until convergence. Then we collect 1M transitions from the SAC replay buffer for each task, consisting of recording samples in the replay buffer observed during training until the policy reaches the convergence of performance. For this benchmark, we have two different dataset compositions: ", + "bbox": [ + 174, + 738, + 825, + 794 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "• Near-optimal dataset consisting of the experience (100M transitions) from random to expert (convergence) in SAC-Replay. • Sub-optimal dataset consisting of the initial $50 \\%$ of the trajectories (50M transitions) of the near-optimal dataset for each task, where the proportion of expert data decreases a lot. ", + "bbox": [ + 169, + 806, + 825, + 871 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "To visualize the optimality of each dataset clearly, we plot the univariate distribution of return in each kind of dataset in Fig. 12. Our dataset is available at https://bit.ly/3MWf40w. ", + "bbox": [ + 173, + 883, + 821, + 911 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/4e6e9700a629f2a16ef3be45155efcaef45b57e84dc9d32ed2f2740b3c386c7c.jpg", + "image_caption": [ + "Figure 12: Density visualization of the normalized return in the dataset. " + ], + "image_footnote": [], + "bbox": [ + 196, + 109, + 789, + 251 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Maze2D The offline dataset is collected by selecting random goal locations and using a planner to generate sequences of waypoints by following a PD controller. We borrow the code from https: //github.com/Farama-Foundation/D4RL [15] to generate datasets for 8 training maps. We collect $3 5 \\mathrm { k }$ episodes in total. ", + "bbox": [ + 174, + 308, + 825, + 363 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "H Differences Between PromptDT and MTDIFF-P ", + "text_level": 1, + "bbox": [ + 174, + 382, + 611, + 400 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "The remarkable superiority of MTDIFF-P over PromptDT emerges from our elegant incorporation of transformer architecture and trajectory prompt within the diffusion model framework, effectively modeling the multi-task trajectory distribution. PromptDT is built on Decision Transformer and it is trained in an autoregressive manner, which is limited to predicting actions step by step. However, MTDIFF-P leverages the potency of sequence modeling, empowering it to perform trajectory generation adeptly. MTDIFF-P has demonstrated SOTA performance in both multi-task decision-making and data synthesis empirical experiments, while PromptDT fails to contribute to data synthesis. Technically, MTDIFF-P extends Decision Diffuser [2] into the multi-task scenario, utilizing classifier-free guidance for generative planning to yield high expected returns. To further verify our claim, we train our model on the publicly available PromptDT datasets [69], i.e., Cheetah-vel and Ant-dir. These chosen environments have been judiciously selected due to their inherent diversity of tasks, serving as a robust test to validate the capability of multi-task learning. We report the scores (mean and std for 3 seeds) in Table 5. ", + "bbox": [ + 173, + 414, + 826, + 593 + ], + "page_idx": 20 + }, + { + "type": "table", + "img_path": "images/4952acc0451bdecff1c319540160e37d1298e4ba05e1840d12bad1f6e820dff4.jpg", + "table_caption": [ + "Table 5: Average scores obtained by MTDIFF-P and PromptDT across 3 seeds. We observed that MTDIFF-P outperforms PromptDT largely, demonstrating its high efficacy and potency. " + ], + "table_footnote": [], + "table_body": "
MethodsCheetah-velAnt-dir
MTDIFF-P-29.09± 0.31602.17 ± 1.68
PromptDT-34.43±2.33409.81士9.69
", + "bbox": [ + 320, + 654, + 678, + 700 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "I Single-Task Performance ", + "text_level": 1, + "bbox": [ + 174, + 733, + 413, + 752 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "We train one MTDIFF-P model on MT50-rand and evaluate the performance for each task for 50 episodes. We report the average evaluated return in Table 6. ", + "bbox": [ + 169, + 765, + 825, + 795 + ], + "page_idx": 20 + }, + { + "type": "table", + "img_path": "images/d20826105b4655ded734096a69b0e91effb2849e9ed5e2a20de05398e3d60cbe.jpg", + "table_caption": [ + "Table 6: Evaluated return of MTDIFF-P for each task in MT50-rand. We report the mean and standard deviation for 50 episodes for each task. " + ], + "table_footnote": [], + "table_body": "
TasksReturn on near-optimal datasetReturn on sub-optimal dataset
basketball-v22735.7 ±1927.72762.7±1928.8
bin-picking-v2733.7 ± 1211.859.6 ± 32.3
button-press-topdown-v21491.6 ± 390.91395.8 ± 332.6
button-press-v22419.2 ± 413.72730.4 ± 514.3
button-press-wall-v23474.7 ± 887.62613.1 ± 906.8
coffee-button-v23157.9 ± 1274.31649.4 ± 869.5
coffee-pull-v2437.5 ± 597.398.8 ± 115.4
coffee-push-v2463.7 ± 729.171.3 ± 55.7
dial-turn-v22848.1 ± 996.32244.5 ± 881.5
disassemble-v2369.9 ± 265.4372.3 ± 623.2
door-close-v24325.2 ± 377.64270.4 ± 460.1
door-lock-v23215.1 ± 857.53082.4±1041.4
door-open-v23458.1 ± 960.52457.0 ± 833.0
door-unlock-v22082.6 ± 1568.43078.8 ± 1158.1
hand-insert-v2927.9 ± 1527.6288.8 ± 932.1
drawer-close-v24824.5 ± 8.84825.3 ± 22.3
drawer-open-v23530.4 ± 1512.62218.8 ± 529.3
faucet-open-v23877.4± 598.14245.6 ± 575.2
faucet-close-v24167.1 ± 418.84624.1 ± 107.5
handle-press-side-v23423.3 ± 1075.63995.8 ± 1130.0
handle-press-v23397.9 ±1752.13125.4 ± 1724.7
handle-pull-side-v23141.5 ± 1775.41474.2 ±1392.9
handle-pull-v22845.7 ± 1970.62856.8 ± 1699.8
lever-pull-v23383.5 ±1299.23125.6 ±1433.1
peg-insert-side-v2915.1 ± 1624.8497.8 ± 1015.3
pick-place-wall-v2649.8 ± 1288.6288.2± 988.1
pick-out-of-hole-v21792.8 ± 1959.9700.5 ± 1190.3
reach-v24144.2 ± 645.4966.4 ± 842.9
push-back-v297.2 ± 611.3566.3 ± 1042.9
push-v2142.0 ± 335.764.6 ± 98.2
pick-place-v2166.0 ± 759.27.3 ± 4.8
plate-slide-v24096.4 ± 1202.54306.3 ± 495.8
plate-slide-side-v22910.3 ± 616.12989.0± 1044.1
plate-slide-back-v24378.5 ± 373.03963.4 ± 927.3
plate-slide-back-side-v23872.0 ± 1151.64186.5 ± 772.6
soccer-v2443.5 ± 785.5480.4 ± 994.8
push-wall-v2873.9 ± 1718.3705.2 ± 1535.7
shelf-place-v2204.5 ± 714.3366.1 ± 919.0
sweep-into-v21297.9 ± 1661.5506.2 ± 1368.5
sweep-v21397.1 ± 1922.3599.1 ± 1359.2
window-open-v21453.6 ± 1101.43095.5 ± 751.1
window-close-v22963.9 ± 875.33177.6± 737.8
assembly-v22470.7 ± 1758.6663.7± 28.7
button-press-topdown-wall-v21270.9 ± 214.51199.9 ± 203.7
hammer-v2868.7± 983.41024.4 ± 1024.3
peg-unplug-side-v21439.1 ± 1817.8136.4 ± 508.6
reach-wall-v24249.9 ± 536.04191.4± 412.9
stick-push-v21288.5 ± 1587.3790.1 ± 1097.6
stick-pull-v2601.4± 1346.3287.1 ± 922.8
box-close-v22683.7 ± 1823.42273.3 ± 1707.3
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Recent studies in reinforcement learning (RL) have shown that", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 323, + 469, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 323, + 469, + 336 + ], + "score": 1.0, + "content": "diffusion models are also powerful in modeling complex policies or trajectories", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 334, + 469, + 347 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 469, + 347 + ], + "score": 1.0, + "content": "in offline datasets. However, these works have been limited to single-task settings", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 345, + 471, + 358 + ], + "spans": [ + { + "bbox": [ + 141, + 345, + 471, + 358 + ], + "score": 1.0, + "content": "where a generalist agent capable of addressing multi-task predicaments is absent.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 356, + 470, + 369 + ], + "spans": [ + { + "bbox": [ + 141, + 356, + 470, + 369 + ], + "score": 1.0, + "content": "In this paper, we aim to investigate the effectiveness of a single diffusion model", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 367, + 469, + 380 + ], + "spans": [ + { + "bbox": [ + 141, + 367, + 469, + 380 + ], + "score": 1.0, + "content": "in modeling large-scale multi-task offline data, which can be challenging due to", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 378, + 470, + 391 + ], + "spans": [ + { + "bbox": [ + 141, + 378, + 470, + 391 + ], + "score": 1.0, + "content": "diverse and multimodal data distribution. Specifically, we propose Multi-Task Dif-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 389, + 470, + 402 + ], + "spans": [ + { + "bbox": [ + 141, + 389, + 470, + 402 + ], + "score": 1.0, + "content": "fusion Model (MTDIFF), a diffusion-based method that incorporates Transformer", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 400, + 470, + 413 + ], + "spans": [ + { + "bbox": [ + 141, + 400, + 470, + 413 + ], + "score": 1.0, + "content": "backbones and prompt learning for generative planning and data synthesis in multi-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 411, + 469, + 423 + ], + "spans": [ + { + "bbox": [ + 141, + 411, + 469, + 423 + ], + "score": 1.0, + "content": "task offline settings. MTDIFF leverages vast amounts of knowledge available in", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 421, + 470, + 434 + ], + "spans": [ + { + "bbox": [ + 141, + 421, + 470, + 434 + ], + "score": 1.0, + "content": "multi-task data and performs implicit knowledge sharing among tasks. For gen-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 142, + 433, + 469, + 445 + ], + "spans": [ + { + "bbox": [ + 142, + 433, + 469, + 445 + ], + "score": 1.0, + "content": "erative planning, we find MTDIFF outperforms state-of-the-art algorithms across", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 443, + 469, + 456 + ], + "spans": [ + { + "bbox": [ + 141, + 443, + 469, + 456 + ], + "score": 1.0, + "content": "50 tasks on Meta-World and 8 maps on Maze2D. For data synthesis, MTDIFF", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 455, + 470, + 467 + ], + "spans": [ + { + "bbox": [ + 141, + 455, + 470, + 467 + ], + "score": 1.0, + "content": "generates high-quality data for testing tasks given a single demonstration as a", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 466, + 429, + 478 + ], + "spans": [ + { + "bbox": [ + 141, + 466, + 429, + 478 + ], + "score": 1.0, + "content": "prompt, which enhances the low-quality datasets for even unseen tasks.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 14.5, + "bbox_fs": [ + 141, + 301, + 471, + 478 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 500, + 190, + 513 + ], + "lines": [ + { + "bbox": [ + 105, + 498, + 192, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 192, + 515 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 526, + 505, + 679 + ], + "lines": [ + { + "bbox": [ + 106, + 527, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 505, + 538 + ], + "score": 1.0, + "content": "The high-capacity generative models trained on large, diverse datasets have demonstrated remarkable", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 537, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 506, + 550 + ], + "score": 1.0, + "content": "success across vision and language tasks. An impressive and even preternatural ability of these models,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "score": 1.0, + "content": "e.g. large language models (LLMs), is that the learned model can generalize among different tasks by", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 559, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 506, + 572 + ], + "score": 1.0, + "content": "simply conditioning the model on instructions or prompts [49, 46, 7, 12, 60, 42, 66]. The success of", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 568, + 506, + 583 + ], + "spans": [ + { + "bbox": [ + 104, + 568, + 506, + 583 + ], + "score": 1.0, + "content": "LLMs and vision models inspires us to utilize the recent generative model to learn from large-scale", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 579, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 505, + 594 + ], + "score": 1.0, + "content": "offline datasets that include multiple tasks for generalized decision-making in reinforcement learning", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 591, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 605 + ], + "score": 1.0, + "content": "(RL). Thus far, recent attempts in offline decision-making take advantage of the generative capability", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 601, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 506, + 615 + ], + "score": 1.0, + "content": "of diffusion models [54, 20] to improve long-term planning [21, 2] or enhance the expressiveness of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "score": 1.0, + "content": "policies [63, 11, 8]. However, these works are limited to small-scale datasets and single-task settings", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 624, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 506, + 636 + ], + "score": 1.0, + "content": "where broad generalization and general-purpose policies are not expected. In multi-task offline RL", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 633, + 507, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 507, + 649 + ], + "score": 1.0, + "content": "which considers learning a single model to solve multi-task problems, the dataset often contains noisy,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 647, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 647, + 505, + 658 + ], + "score": 1.0, + "content": "multimodal, and long-horizon trajectories collected by various policies across tasks and with various", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 657, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 506, + 669 + ], + "score": 1.0, + "content": "qualities, which makes it more challenging to learn policies with broad generalization and transferable", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 668, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 505, + 681 + ], + "score": 1.0, + "content": "capabilities. Gato [47] and other generalized agents [29, 65] take transformer-based architecture", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "[62] via sequence modeling to solve multi-task problems, while they are highly dependent on the", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 289, + 470, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 470, + 303 + ], + "score": 1.0, + "content": "optimality of the datasets and are expensive to train due to the huge number of parameters.", + "type": "text", + "cross_page": true + } + ], + "index": 7 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 527, + 507, + 681 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 113, + 71, + 504, + 183 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 113, + 71, + 504, + 183 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 71, + 504, + 183 + ], + "spans": [ + { + "bbox": [ + 113, + 71, + 504, + 183 + ], + "score": 0.969, + "type": "image", + "image_path": "ae3d9ef421edb978ac5242236d2fd5d2ca9b48d6c005e8dfe1d7accb6ed5f84d.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 113, + 71, + 504, + 108.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 113, + 108.33333333333334, + 504, + 145.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 113, + 145.66666666666669, + 504, + 183.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 205, + 506, + 239 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 205, + 504, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 455, + 218 + ], + "score": 1.0, + "content": "Figure 1: Overall architecture of MTDIFF. Different colors represent different tasks.", + "type": "text" + }, + { + "bbox": [ + 456, + 206, + 463, + 216 + ], + "score": 0.55, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 205, + 467, + 218 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 468, + 206, + 477, + 216 + ], + "score": 0.59, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 205, + 495, + 218 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 495, + 206, + 504, + 216 + ], + "score": 0.71, + "content": "R", + "type": "inline_equation" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 216, + 506, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 506, + 229 + ], + "score": 1.0, + "content": "denote the state sequence, action sequence, and reward sequence from multi-task data, respectively.", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 107, + 227, + 359, + 240 + ], + "spans": [ + { + "bbox": [ + 107, + 227, + 130, + 240 + ], + "score": 0.91, + "content": "S _ { \\mathrm { p r e v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 227, + 147, + 240 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 148, + 227, + 162, + 238 + ], + "score": 0.88, + "content": "R _ { \\tau }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 227, + 359, + 240 + ], + "score": 1.0, + "content": "represent historical states and normalized return.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 279, + 504, + 300 + ], + "lines": [ + { + "bbox": [ + 106, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "[62] via sequence modeling to solve multi-task problems, while they are highly dependent on the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 289, + 470, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 470, + 303 + ], + "score": 1.0, + "content": "optimality of the datasets and are expensive to train due to the huge number of parameters.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 107, + 306, + 505, + 394 + ], + "lines": [ + { + "bbox": [ + 105, + 306, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 506, + 318 + ], + "score": 1.0, + "content": "To address the above challenges, we propose a novel diffusion model to further explore its generaliz-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 316, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 506, + 330 + ], + "score": 1.0, + "content": "ability in a multi-task setting. We formulate the learning process from multi-task data as a denoising", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 328, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 505, + 340 + ], + "score": 1.0, + "content": "problem, which benefits the modeling of multimodal data. Meanwhile, we develop a relatively", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 339, + 506, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 506, + 351 + ], + "score": 1.0, + "content": "lightweight architecture by using a GPT backbone [45] to model sequential trajectories, which has", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 350, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 350, + 506, + 362 + ], + "score": 1.0, + "content": "less computation burden and improved sequential modeling capability than previous U-Net-based", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 360, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 506, + 374 + ], + "score": 1.0, + "content": "[48] diffusion models [21, 33]. To disambiguate tasks during training and inference, instead of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "providing e.g. one-hot task identifiers, we leverage demonstrations as prompt conditioning, which", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 383, + 316, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 316, + 395 + ], + "score": 1.0, + "content": "exploits the few-shot abilities of agents [50, 64, 69].", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 399, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "We name our method the Multi-Task Diffusion Model (MTDIFF). As shown in Figure 1, we", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "score": 1.0, + "content": "investigate two variants of MTDIFF for planning and data synthesis to further exploit the utility of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "diffusion models, denoted as MTDIFF-P and MTDIFF-S, respectively. (a) For planning, MTDIFF-P", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "score": 1.0, + "content": "learns a prompt embedding to extract the task-relevant representation, and then concatenates the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 444, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 506, + 456 + ], + "score": 1.0, + "content": "embedding with the trajectory’s normalized return and historical states as the conditions of the model.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 454, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 468 + ], + "score": 1.0, + "content": "During training, MTDIFF-P learns to predict the corresponding future action sequence given the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "conditions, and we call this process generative planning [78]. During inference, given few-shot", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 476, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 490 + ], + "score": 1.0, + "content": "prompts and the desired return, MTDIFF-P tries to denoise out the optimal action sequence starting", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "from the current state. Surprisingly, MTDIFF-P can adapt to unseen tasks given well-constructed", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "prompts that contain task information. (b) By slightly changing the inputs and training strategy, we", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "score": 1.0, + "content": "can unlock the abilities of our diffusion model for data synthesis. Our insight is that the diffusion", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 520, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 533 + ], + "score": 1.0, + "content": "model, which compresses informative multi-task knowledge well, is more effective and generalist", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 531, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 543 + ], + "score": 1.0, + "content": "than previous methods that only utilize single-task data for augmentation [38, 52, 28]. Specifically,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 542, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 506, + 554 + ], + "score": 1.0, + "content": "MTDIFF-S learns to estimate the joint conditional distribution of the full transitions that contain", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "states, actions, and rewards based on the task-oriented prompt. Different from MTDIFF-P, MTDIFF-S", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 563, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 505, + 576 + ], + "score": 1.0, + "content": "learns to synthesize data from the underlying dynamic environments for each task. Thus MTDIFF-S", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "only needs prompt conditioning to identify tasks. We empirically find that MTDIFF-S synthesizes", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 585, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 506, + 597 + ], + "score": 1.0, + "content": "high-fidelity data for multiple tasks, including both seen and unseen ones, which can be further", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 595, + 477, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 477, + 610 + ], + "score": 1.0, + "content": "utilized for data augmentation to expand the offline dataset and enhance policy performance.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 611, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 505, + 625 + ], + "score": 1.0, + "content": "To summarize, MTDIFF is a diffusion-based method that leverages the multimodal generative ability", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "of diffusion models, the sequential modeling capability of GPT architecture, and the few-shot", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 634, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 506, + 647 + ], + "score": 1.0, + "content": "generalizability of prompt learning for multi-task RL. To the best of our knowledge, we are the first", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 645, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 657 + ], + "score": 1.0, + "content": "to achieve both effective planning and data synthesis for multi-task RL via diffusion models. 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Different colors represent different tasks.", + "type": "text" + }, + { + "bbox": [ + 456, + 206, + 463, + 216 + ], + "score": 0.55, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 205, + 467, + 218 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 468, + 206, + 477, + 216 + ], + "score": 0.59, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 205, + 495, + 218 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 495, + 206, + 504, + 216 + ], + "score": 0.71, + "content": "R", + "type": "inline_equation" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 216, + 506, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 506, + 229 + ], + "score": 1.0, + "content": "denote the state sequence, action sequence, and reward sequence from multi-task data, respectively.", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 107, + 227, + 359, + 240 + ], + "spans": [ + { + "bbox": [ + 107, + 227, + 130, + 240 + ], + "score": 0.91, + "content": "S _ { \\mathrm { p r e v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 227, + 147, + 240 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 148, + 227, + 162, + 238 + ], + "score": 0.88, + "content": "R _ { \\tau }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 227, + 359, + 240 + ], + "score": 1.0, + "content": "represent historical states and normalized return.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 279, + 504, + 300 + ], + "lines": [], + "index": 6.5, + "bbox_fs": [ + 105, + 279, + 505, + 303 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 306, + 505, + 394 + ], + "lines": [ + { + "bbox": [ + 105, + 306, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 506, + 318 + ], + "score": 1.0, + "content": "To address the above challenges, we propose a novel diffusion model to further explore its generaliz-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 316, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 506, + 330 + ], + "score": 1.0, + "content": "ability in a multi-task setting. 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To disambiguate tasks during training and inference, instead of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "providing e.g. one-hot task identifiers, we leverage demonstrations as prompt conditioning, which", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 383, + 316, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 316, + 395 + ], + "score": 1.0, + "content": "exploits the few-shot abilities of agents [50, 64, 69].", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 306, + 506, + 395 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 399, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "We name our method the Multi-Task Diffusion Model (MTDIFF). As shown in Figure 1, we", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "score": 1.0, + "content": "investigate two variants of MTDIFF for planning and data synthesis to further exploit the utility of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "diffusion models, denoted as MTDIFF-P and MTDIFF-S, respectively. (a) For planning, MTDIFF-P", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "score": 1.0, + "content": "learns a prompt embedding to extract the task-relevant representation, and then concatenates the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 444, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 506, + 456 + ], + "score": 1.0, + "content": "embedding with the trajectory’s normalized return and historical states as the conditions of the model.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 454, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 468 + ], + "score": 1.0, + "content": "During training, MTDIFF-P learns to predict the corresponding future action sequence given the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "conditions, and we call this process generative planning [78]. During inference, given few-shot", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 476, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 490 + ], + "score": 1.0, + "content": "prompts and the desired return, MTDIFF-P tries to denoise out the optimal action sequence starting", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "from the current state. Surprisingly, MTDIFF-P can adapt to unseen tasks given well-constructed", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "prompts that contain task information. (b) By slightly changing the inputs and training strategy, we", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "score": 1.0, + "content": "can unlock the abilities of our diffusion model for data synthesis. Our insight is that the diffusion", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 520, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 533 + ], + "score": 1.0, + "content": "model, which compresses informative multi-task knowledge well, is more effective and generalist", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 531, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 543 + ], + "score": 1.0, + "content": "than previous methods that only utilize single-task data for augmentation [38, 52, 28]. 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Figure 2 illustrates the reverse denoising", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "process of MTDIFF-P learned on multi-task datasets collected in Meta-World [73]. The result", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "demonstrates that our diffusion model successfully distinguishes different tasks and finally generates", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 155, + 679 + ], + "score": 1.0, + "content": "the desired", + "type": "text" + }, + { + "bbox": [ + 155, + 667, + 181, + 679 + ], + "score": 0.94, + "content": "\\pmb { x } _ { 0 } ( \\tau )", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 667, + 342, + 679 + ], + "score": 1.0, + "content": ". We illustrate the data distribution of", + "type": "text" + }, + { + "bbox": [ + 342, + 667, + 367, + 679 + ], + "score": 0.93, + "content": "\\pmb { x } _ { 0 } ( \\tau )", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "in a 2D space with dimensional", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "reduction via T-SNE [61], as well as the rendered states after executing the action sequence. 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We summarize the details of the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 556, + 444, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 444, + 569 + ], + "score": 1.0, + "content": "training process, architecture and hyperparameters used in MTDIFF in Appendix A.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 512, + 505, + 569 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 582, + 197, + 596 + ], + "lines": [ + { + "bbox": [ + 104, + 581, + 198, + 597 + ], + "spans": [ + { + "bbox": [ + 104, + 581, + 198, + 597 + ], + "score": 1.0, + "content": "4 Related Work", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 606, + 506, + 695 + ], + "lines": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "Diffusion Models in RL. Diffusion models have emerged as a powerful family of deep generative", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "score": 1.0, + "content": "models with a record-breaking performance in many applications across vision, language and com-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "binatorial optimization [49, 46, 17, 31, 32]. Recent works in RL have demonstrated the capability", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "of diffusion models to learn the multimodal distribution of offline policies [63, 43, 11] or human", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "score": 1.0, + "content": "behaviors [8]. Other works formulate the sequential decision-making problem as a conditional gener-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 661, + 506, + 675 + ], + "spans": [ + { + "bbox": [ + 104, + 661, + 506, + 675 + ], + "score": 1.0, + "content": "ative process [2] and learn to generate the trajectories satisfying conditioned constraints. However,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 672, + 506, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 672, + 506, + 685 + ], + "score": 1.0, + "content": "these works are limited to the single-task settings, while we further study the trajectory modeling and", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 683, + 374, + 696 + ], + "spans": [ + { + "bbox": [ + 105, + 683, + 374, + 696 + ], + "score": 1.0, + "content": "generalization problems of diffusion models in multi-task settings.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 606, + 506, + 696 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 699, + 504, + 723 + ], + "lines": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "Multi-Task RL and Few-Shot RL. Multi-task RL aims to learn a shared policy for a diverse set of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "score": 1.0, + "content": "tasks. The main challenge of multi-task RL is the conflicting gradients among different tasks, and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 72, + 505, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 87 + ], + "score": 1.0, + "content": "previous online RL works address this problem via gradient surgery [74], conflict-averse learning", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 97 + ], + "score": 1.0, + "content": "[34], and parameter composition [70, 56]. Instead, MTDIFF addresses such a problem in an offline", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 107 + ], + "score": 1.0, + "content": "setting through a conditional generative process via a novel transformer architecture. Previous", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "Decision-Transformer (DT)-based methods [47, 29, 72] which consider handling multi-task problems,", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "score": 1.0, + "content": "mainly rely on expert trajectories and entail substantial training expenses. Scaled-QL [26] adopts", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 506, + 140 + ], + "score": 1.0, + "content": "separate networks for different tasks and is hard to generalize to new tasks. Instead of focusing on the", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 138, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 505, + 151 + ], + "score": 1.0, + "content": "performance of training tasks in multi-task RL, few-shot RL aims to improve the generalizability in", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 149, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 162 + ], + "score": 1.0, + "content": "novel tasks based on the learned multi-task knowledge. Nevertheless, these methods need additional", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 160, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 506, + 173 + ], + "score": 1.0, + "content": "context encoders [77, 79] or gradient descents in the finetuning stage [57, 58, 29]. In contrast, we use", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 170, + 401, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 401, + 185 + ], + "score": 1.0, + "content": "prompts for few-shot generalization without additional parameter-tuning.", + "type": "text", + "cross_page": true + } + ], + "index": 9 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 699, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 87 + ], + "score": 1.0, + "content": "previous online RL works address this problem via gradient surgery [74], conflict-averse learning", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 97 + ], + "score": 1.0, + "content": "[34], and parameter composition [70, 56]. Instead, MTDIFF addresses such a problem in an offline", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 107 + ], + "score": 1.0, + "content": "setting through a conditional generative process via a novel transformer architecture. Previous", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "Decision-Transformer (DT)-based methods [47, 29, 72] which consider handling multi-task problems,", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "score": 1.0, + "content": "mainly rely on expert trajectories and entail substantial training expenses. Scaled-QL [26] adopts", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 506, + 140 + ], + "score": 1.0, + "content": "separate networks for different tasks and is hard to generalize to new tasks. Instead of focusing on the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 138, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 505, + 151 + ], + "score": 1.0, + "content": "performance of training tasks in multi-task RL, few-shot RL aims to improve the generalizability in", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 149, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 162 + ], + "score": 1.0, + "content": "novel tasks based on the learned multi-task knowledge. Nevertheless, these methods need additional", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 160, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 506, + 173 + ], + "score": 1.0, + "content": "context encoders [77, 79] or gradient descents in the finetuning stage [57, 58, 29]. In contrast, we use", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 170, + 401, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 401, + 185 + ], + "score": 1.0, + "content": "prompts for few-shot generalization without additional parameter-tuning.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 107, + 187, + 505, + 297 + ], + "lines": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "Data Augmentation for RL. Data augmentation [13, 39] has been verified to be effective in RL.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 199, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 505, + 210 + ], + "score": 1.0, + "content": "Previous methods incorporate various data augmentations (e.g. adding noise, random translation) on", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 210, + 505, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 505, + 221 + ], + "score": 1.0, + "content": "observations for visual-based RL [71, 28, 52, 27], which ensure the agents learn on multiple views of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "the same observation. Differently, we focus on data augmentation via synthesizing new experiences", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 232, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 505, + 243 + ], + "score": 1.0, + "content": "rather than perturbing the origin one. Recent works [76, 10] consider augmenting the observations", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "of robotic control using a text-guided diffusion model whilst maintaining the same action, which", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 265 + ], + "score": 1.0, + "content": "differs from our approach that can synthesize novel action and reward labels. The recently proposed", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "SynthER [38] is closely related to our method by generating transitions of trained tasks via a diffusion", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 275, + 506, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 287 + ], + "score": 1.0, + "content": "model. However, SynthER is studied in single-task settings, while we investigate whether a diffusion", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 286, + 504, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 504, + 298 + ], + "score": 1.0, + "content": "model can accommodate all knowledge of multi-task datasets and augment the data for novel tasks.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 107, + 313, + 191, + 326 + ], + "lines": [ + { + "bbox": [ + 103, + 311, + 193, + 330 + ], + "spans": [ + { + "bbox": [ + 103, + 311, + 193, + 330 + ], + "score": 1.0, + "content": "5 Experiments", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 505, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 352 + ], + "score": 1.0, + "content": "In this section, we conduct extensive experiments to answer the following questions: (1) How does", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 349, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 506, + 361 + ], + "score": 1.0, + "content": "MTDIFF-P compare to other offline and online baselines in the multi-task regime? (2) Does MTDIFF-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 360, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 505, + 373 + ], + "score": 1.0, + "content": "S synthesize high-fidelity data and bring policy improvement? (3) How is MTDIFF-S compared with", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "other augmentation methods for single-task RL? (4) Does the synthetic data of MTDIFF-S match the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 382, + 488, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 488, + 394 + ], + "score": 1.0, + "content": "original data distribution? (5) Can both MTDIFF-P and MTDIFF-S generalize to unseen tasks?", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23 + }, + { + "type": "title", + "bbox": [ + 108, + 407, + 250, + 419 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 252, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 252, + 420 + ], + "score": 1.0, + "content": "5.1 Environments and Baselines", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 428, + 506, + 537 + ], + "lines": [ + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "score": 1.0, + "content": "Meta-World Tasks The Meta-World benchmark [73] contains 50 qualitatively-distinct manipu-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "lation tasks. The tasks share similar dynamics and require a Sawyer robot to interact with various", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 450, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 506, + 462 + ], + "score": 1.0, + "content": "objects with different shapes, joints, and connectivity. In this setup, the state space and reward", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "functions of different tasks are different since the robot is manipulating different objects with dif-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "ferent objectives. At each timestep, the Sawyer robot receives a 4-dimensional fine-grained action,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 481, + 507, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 507, + 496 + ], + "score": 1.0, + "content": "representing the 3D position movements of the end effector and the variation of gripper openness.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "score": 1.0, + "content": "The original Meta-World environment is configured with a fixed goal, which is more restrictive", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 505, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 506, + 517 + ], + "score": 1.0, + "content": "and less realistic in robotic learning. Following recent works [70, 56], we extend all the tasks to a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 516, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 505, + 527 + ], + "score": 1.0, + "content": "random-goal setting and refer to it as MT50-rand. We use the average success rate of all tasks as the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 527, + 180, + 537 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 180, + 537 + ], + "score": 1.0, + "content": "evaluation metric.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 107, + 542, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 106, + 543, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 505, + 554 + ], + "score": 1.0, + "content": "By training a SAC [18] agent for each task in isolation, we utilize the experience collected in the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 554, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 566 + ], + "score": 1.0, + "content": "replay buffer as our offline dataset. Similar to [26], we consider two different dataset compositions:", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "(i) Near-optimal dataset consisting of the experience (100M transitions) from random to expert", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 456, + 587 + ], + "score": 1.0, + "content": "(convergence) in SAC-Replay, and (ii) Sub-optimal dataset consisting of the initial", + "type": "text" + }, + { + "bbox": [ + 456, + 576, + 477, + 586 + ], + "score": 0.86, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "of the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 586, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 506, + 599 + ], + "score": 1.0, + "content": "trajectories (50M transitions) from the replay buffer for each task, where the proportion of expert", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 597, + 436, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 436, + 609 + ], + "score": 1.0, + "content": "data decreases a lot. We summarize more details about the dataset in Appendix G.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 107, + 621, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 105, + 620, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 620, + 505, + 633 + ], + "score": 1.0, + "content": "Maze2D Tasks Maze2D [15] is a navigation task that requires an agent to traverse from a randomly", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 632, + 504, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 504, + 644 + ], + "score": 1.0, + "content": "designated location to a fixed goal in the 2D map. The reward is 1 if succeed and 0 otherwise. Maze2D", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "score": 1.0, + "content": "can evaluate the ability of RL algorithms to stitch together previously collected sub-trajectories,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "score": 1.0, + "content": "which helps the agent find the shortest path to evaluation goals. We use the agent’s scores as the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 664, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 506, + 678 + ], + "score": 1.0, + "content": "evaluation metric. The offline dataset is collected by selecting random goal locations and using a", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 676, + 401, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 401, + 688 + ], + "score": 1.0, + "content": "planner to generate sequences of waypoints by following a PD controller.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 45.5 + }, + { + "type": "text", + "bbox": [ + 107, + 700, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 714 + ], + "score": 1.0, + "content": "Baselines We compare our proposed MTDIFF (MTDIFF-P and MTDIFF-S) with the following", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "baselines. Each baseline has the same batch size and training steps as MTDIFF. For MTDIFF-P, we", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 49.5 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 303, + 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": [ + 107, + 72, + 505, + 182 + ], + "lines": [], + "index": 4.5, + "bbox_fs": [ + 105, + 72, + 506, + 185 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 187, + 505, + 297 + ], + "lines": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "Data Augmentation for RL. Data augmentation [13, 39] has been verified to be effective in RL.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 199, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 505, + 210 + ], + "score": 1.0, + "content": "Previous methods incorporate various data augmentations (e.g. adding noise, random translation) on", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 210, + 505, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 505, + 221 + ], + "score": 1.0, + "content": "observations for visual-based RL [71, 28, 52, 27], which ensure the agents learn on multiple views of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "the same observation. Differently, we focus on data augmentation via synthesizing new experiences", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 232, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 505, + 243 + ], + "score": 1.0, + "content": "rather than perturbing the origin one. Recent works [76, 10] consider augmenting the observations", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "of robotic control using a text-guided diffusion model whilst maintaining the same action, which", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 265 + ], + "score": 1.0, + "content": "differs from our approach that can synthesize novel action and reward labels. The recently proposed", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "SynthER [38] is closely related to our method by generating transitions of trained tasks via a diffusion", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 275, + 506, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 287 + ], + "score": 1.0, + "content": "model. However, SynthER is studied in single-task settings, while we investigate whether a diffusion", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 286, + 504, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 504, + 298 + ], + "score": 1.0, + "content": "model can accommodate all knowledge of multi-task datasets and augment the data for novel tasks.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 187, + 506, + 298 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 313, + 191, + 326 + ], + "lines": [ + { + "bbox": [ + 103, + 311, + 193, + 330 + ], + "spans": [ + { + "bbox": [ + 103, + 311, + 193, + 330 + ], + "score": 1.0, + "content": "5 Experiments", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 505, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 352 + ], + "score": 1.0, + "content": "In this section, we conduct extensive experiments to answer the following questions: (1) How does", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 349, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 506, + 361 + ], + "score": 1.0, + "content": "MTDIFF-P compare to other offline and online baselines in the multi-task regime? (2) Does MTDIFF-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 360, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 505, + 373 + ], + "score": 1.0, + "content": "S synthesize high-fidelity data and bring policy improvement? (3) How is MTDIFF-S compared with", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "other augmentation methods for single-task RL? (4) Does the synthetic data of MTDIFF-S match the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 382, + 488, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 488, + 394 + ], + "score": 1.0, + "content": "original data distribution? (5) Can both MTDIFF-P and MTDIFF-S generalize to unseen tasks?", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 338, + 506, + 394 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 407, + 250, + 419 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 252, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 252, + 420 + ], + "score": 1.0, + "content": "5.1 Environments and Baselines", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 428, + 506, + 537 + ], + "lines": [ + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "score": 1.0, + "content": "Meta-World Tasks The Meta-World benchmark [73] contains 50 qualitatively-distinct manipu-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "lation tasks. The tasks share similar dynamics and require a Sawyer robot to interact with various", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 450, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 506, + 462 + ], + "score": 1.0, + "content": "objects with different shapes, joints, and connectivity. In this setup, the state space and reward", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "functions of different tasks are different since the robot is manipulating different objects with dif-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "ferent objectives. At each timestep, the Sawyer robot receives a 4-dimensional fine-grained action,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 481, + 507, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 507, + 496 + ], + "score": 1.0, + "content": "representing the 3D position movements of the end effector and the variation of gripper openness.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "score": 1.0, + "content": "The original Meta-World environment is configured with a fixed goal, which is more restrictive", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 505, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 506, + 517 + ], + "score": 1.0, + "content": "and less realistic in robotic learning. Following recent works [70, 56], we extend all the tasks to a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 516, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 505, + 527 + ], + "score": 1.0, + "content": "random-goal setting and refer to it as MT50-rand. We use the average success rate of all tasks as the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 527, + 180, + 537 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 180, + 537 + ], + "score": 1.0, + "content": "evaluation metric.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 426, + 507, + 537 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 542, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 106, + 543, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 505, + 554 + ], + "score": 1.0, + "content": "By training a SAC [18] agent for each task in isolation, we utilize the experience collected in the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 554, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 566 + ], + "score": 1.0, + "content": "replay buffer as our offline dataset. Similar to [26], we consider two different dataset compositions:", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "(i) Near-optimal dataset consisting of the experience (100M transitions) from random to expert", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 456, + 587 + ], + "score": 1.0, + "content": "(convergence) in SAC-Replay, and (ii) Sub-optimal dataset consisting of the initial", + "type": "text" + }, + { + "bbox": [ + 456, + 576, + 477, + 586 + ], + "score": 0.86, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "of the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 586, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 506, + 599 + ], + "score": 1.0, + "content": "trajectories (50M transitions) from the replay buffer for each task, where the proportion of expert", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 597, + 436, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 436, + 609 + ], + "score": 1.0, + "content": "data decreases a lot. We summarize more details about the dataset in Appendix G.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 543, + 506, + 609 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 621, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 105, + 620, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 620, + 505, + 633 + ], + "score": 1.0, + "content": "Maze2D Tasks Maze2D [15] is a navigation task that requires an agent to traverse from a randomly", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 632, + 504, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 504, + 644 + ], + "score": 1.0, + "content": "designated location to a fixed goal in the 2D map. The reward is 1 if succeed and 0 otherwise. Maze2D", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "score": 1.0, + "content": "can evaluate the ability of RL algorithms to stitch together previously collected sub-trajectories,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "score": 1.0, + "content": "which helps the agent find the shortest path to evaluation goals. We use the agent’s scores as the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 664, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 506, + 678 + ], + "score": 1.0, + "content": "evaluation metric. The offline dataset is collected by selecting random goal locations and using a", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 676, + 401, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 401, + 688 + ], + "score": 1.0, + "content": "planner to generate sequences of waypoints by following a PD controller.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 620, + 506, + 688 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 700, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 714 + ], + "score": 1.0, + "content": "Baselines We compare our proposed MTDIFF (MTDIFF-P and MTDIFF-S) with the following", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "baselines. Each baseline has the same batch size and training steps as MTDIFF. For MTDIFF-P, we", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 71, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 505, + 86 + ], + "score": 1.0, + "content": "have following baselines: (i) PromptDT. PromptDT [69] built on Decision-Transformer (DT) [9]", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "aims to learn from multi-task data and generalize the policy to unseen tasks. PromptDT generates", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 108 + ], + "score": 1.0, + "content": "actions based on the trajectory prompts and reward-to-go. We use the same GPT2-network as in", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "MTDIFF-P. The main difference between our method and PromptDT is that we employ diffusion", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 117, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 506, + 129 + ], + "score": 1.0, + "content": "models for generative planning. (ii) MTDT. We extend the DT architecture [9] to learn from multi-", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 505, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 340, + 140 + ], + "score": 1.0, + "content": "task data. Specifically, MTDT concatenates an embedding", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 340, + 129, + 347, + 137 + ], + "score": 0.72, + "content": "z", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 347, + 127, + 392, + 140 + ], + "score": 1.0, + "content": "and a state", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 392, + 129, + 398, + 137 + ], + "score": 0.42, + "content": "s", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 399, + 127, + 505, + 140 + ], + "score": 1.0, + "content": "as the input tokens, where", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 138, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 106, + 140, + 113, + 148 + ], + "score": 0.72, + "content": "z", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 113, + 138, + 506, + 150 + ], + "score": 1.0, + "content": "is the encoding of task ID. In evaluation, the reward-to-go and task ID are fed into the Transformer", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 149, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 161 + ], + "score": 1.0, + "content": "to provide task-specific information. MTDT also uses the same GPT2-network as in MTDIFF-P.", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 160, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 506, + 172 + ], + "score": 1.0, + "content": "Compared to MTDT, our model incorporates prompt and diffusion framework to learn from the", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 170, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 104, + 170, + 506, + 183 + ], + "score": 1.0, + "content": "multi-task data. (iii) MTCQL. Following scaled-QL [26], we extend CQL [25] with multi-head critic", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 182, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 194 + ], + "score": 1.0, + "content": "networks and a task-ID conditioned actor for multi-task policy learning. (iv) MTIQL. We extend", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 192, + 507, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 507, + 206 + ], + "score": 1.0, + "content": "IQL [24] for multi-task learning using a similar revision of MTCQL. The TD-based baselines (i.e.,", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 202, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 104, + 202, + 506, + 217 + ], + "score": 1.0, + "content": "MTCQL and MTIQL) are used to demonstrate the effectiveness of conditional generative modeling", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "for multi-task planning. (v) MTBC. We extend Behavior cloning (BC) to multi-task offline policy", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 226, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 506, + 238 + ], + "score": 1.0, + "content": "learning via network scaling and a task-ID conditioned actor that is similar to MTCQL and MTIQL.", + "type": "text", + "cross_page": true + } + ], + "index": 14 + } + ], + "index": 49.5, + "bbox_fs": [ + 105, + 698, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 237 + ], + "lines": [ + { + "bbox": [ + 105, + 71, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 505, + 86 + ], + "score": 1.0, + "content": "have following baselines: (i) PromptDT. PromptDT [69] built on Decision-Transformer (DT) [9]", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "aims to learn from multi-task data and generalize the policy to unseen tasks. PromptDT generates", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 108 + ], + "score": 1.0, + "content": "actions based on the trajectory prompts and reward-to-go. We use the same GPT2-network as in", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "MTDIFF-P. The main difference between our method and PromptDT is that we employ diffusion", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 117, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 506, + 129 + ], + "score": 1.0, + "content": "models for generative planning. (ii) MTDT. We extend the DT architecture [9] to learn from multi-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 505, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 340, + 140 + ], + "score": 1.0, + "content": "task data. Specifically, MTDT concatenates an embedding", + "type": "text" + }, + { + "bbox": [ + 340, + 129, + 347, + 137 + ], + "score": 0.72, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 127, + 392, + 140 + ], + "score": 1.0, + "content": "and a state", + "type": "text" + }, + { + "bbox": [ + 392, + 129, + 398, + 137 + ], + "score": 0.42, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 127, + 505, + 140 + ], + "score": 1.0, + "content": "as the input tokens, where", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 138, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 106, + 140, + 113, + 148 + ], + "score": 0.72, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 138, + 506, + 150 + ], + "score": 1.0, + "content": "is the encoding of task ID. In evaluation, the reward-to-go and task ID are fed into the Transformer", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 149, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 161 + ], + "score": 1.0, + "content": "to provide task-specific information. MTDT also uses the same GPT2-network as in MTDIFF-P.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 160, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 506, + 172 + ], + "score": 1.0, + "content": "Compared to MTDT, our model incorporates prompt and diffusion framework to learn from the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 170, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 104, + 170, + 506, + 183 + ], + "score": 1.0, + "content": "multi-task data. (iii) MTCQL. Following scaled-QL [26], we extend CQL [25] with multi-head critic", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 182, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 194 + ], + "score": 1.0, + "content": "networks and a task-ID conditioned actor for multi-task policy learning. (iv) MTIQL. We extend", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 192, + 507, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 507, + 206 + ], + "score": 1.0, + "content": "IQL [24] for multi-task learning using a similar revision of MTCQL. The TD-based baselines (i.e.,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 202, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 104, + 202, + 506, + 217 + ], + "score": 1.0, + "content": "MTCQL and MTIQL) are used to demonstrate the effectiveness of conditional generative modeling", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "for multi-task planning. (v) MTBC. We extend Behavior cloning (BC) to multi-task offline policy", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 226, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 506, + 238 + ], + "score": 1.0, + "content": "learning via network scaling and a task-ID conditioned actor that is similar to MTCQL and MTIQL.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 241, + 505, + 318 + ], + "lines": [ + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "As for MTDIFF-S, we compare it with two baselines that perform direct data augmentation in offline", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 252, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 505, + 265 + ], + "score": 1.0, + "content": "RL. (i) RAD. We adopt the random amplitude scaling [28] that multiplies a random variable to", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 264, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 152, + 276 + ], + "score": 1.0, + "content": "states, i.e.,", + "type": "text" + }, + { + "bbox": [ + 152, + 264, + 197, + 274 + ], + "score": 0.92, + "content": "s ^ { \\prime } = s \\times z", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 264, + 228, + 276 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 229, + 264, + 307, + 275 + ], + "score": 0.9, + "content": "z \\sim \\mathrm { U n i f o r m } [ \\alpha , \\beta ]", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 264, + 505, + 276 + ], + "score": 1.0, + "content": ". This augmentation technique has been verified", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "score": 1.0, + "content": "to be effective for state-based RL. (ii) S4RL. We adopt the adversarial state training [52] by taking", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 285, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 379, + 299 + ], + "score": 1.0, + "content": "gradients with respect to the value function to obtain a new state, i.e.", + "type": "text" + }, + { + "bbox": [ + 379, + 285, + 474, + 298 + ], + "score": 0.92, + "content": "s ^ { \\prime } s + \\epsilon \\nabla _ { s } \\mathbb { J } _ { Q } ( \\pi ( s ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 285, + 505, + 299 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 296, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 119, + 309 + ], + "score": 0.89, + "content": "\\mathbb { J } _ { Q }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 296, + 307, + 309 + ], + "score": 1.0, + "content": "is the policy evaluation update performed via a", + "type": "text" + }, + { + "bbox": [ + 307, + 297, + 316, + 308 + ], + "score": 0.84, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 296, + 371, + 309 + ], + "score": 1.0, + "content": "function, and", + "type": "text" + }, + { + "bbox": [ + 372, + 298, + 377, + 306 + ], + "score": 0.77, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 296, + 505, + 309 + ], + "score": 1.0, + "content": "is the size of gradient steps. We", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 307, + 336, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 336, + 320 + ], + "score": 1.0, + "content": "summarize the details of all the baselines in Appendix B.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18 + }, + { + "type": "title", + "bbox": [ + 108, + 334, + 269, + 346 + ], + "lines": [ + { + "bbox": [ + 105, + 332, + 271, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 332, + 271, + 350 + ], + "score": 1.0, + "content": "5.2 Result Comparison for Planning", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 105, + 356, + 504, + 367 + ], + "lines": [ + { + "bbox": [ + 105, + 353, + 507, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 507, + 370 + ], + "score": 1.0, + "content": "How does MTDIFF-P compare to baselines in the multi-task regime? For a fair comparison,", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 108, + 368, + 289, + 541 + ], + "lines": [ + { + "bbox": [ + 106, + 367, + 289, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 289, + 379 + ], + "score": 1.0, + "content": "we add MTDIFF-P-ONEHOT as a variant of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 377, + 290, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 377, + 290, + 390 + ], + "score": 1.0, + "content": "MTDIFF-P by replacing the prompt with a", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 389, + 290, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 290, + 401 + ], + "score": 1.0, + "content": "one-hot task-ID, which is used in the base-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 400, + 289, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 289, + 411 + ], + "score": 1.0, + "content": "lines except for PromptDT. The first action", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 411, + 290, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 290, + 423 + ], + "score": 1.0, + "content": "generated by MTDIFF-P is used to interact", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 422, + 289, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 289, + 433 + ], + "score": 1.0, + "content": "with the environment. According to Tab. 1, we", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 433, + 289, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 289, + 444 + ], + "score": 1.0, + "content": "have the following key observations. (i) Our", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 444, + 290, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 290, + 455 + ], + "score": 1.0, + "content": "method achieves better performance than base-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 454, + 290, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 290, + 466 + ], + "score": 1.0, + "content": "lines in both near-optimal and sub-optimal set-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 465, + 290, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 290, + 477 + ], + "score": 1.0, + "content": "tings. For near-optimal datasets, MTDIFF-P", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 476, + 289, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 268, + 487 + ], + "score": 1.0, + "content": "and MTDIFF-P-ONEHOT achieve about", + "type": "text" + }, + { + "bbox": [ + 269, + 476, + 289, + 487 + ], + "score": 0.85, + "content": "60 \\%", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 488, + 289, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 289, + 499 + ], + "score": 1.0, + "content": "success rate, significantly outperforming other", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 498, + 289, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 289, + 509 + ], + "score": 1.0, + "content": "methods and performing comparably with", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 509, + 289, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 289, + 520 + ], + "score": 1.0, + "content": "MTBC. However, the performance of MTBC", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 107, + 520, + 289, + 531 + ], + "spans": [ + { + "bbox": [ + 107, + 520, + 289, + 531 + ], + "score": 1.0, + "content": "decreases a lot in sub-optimal datasets. BC is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 530, + 290, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 290, + 542 + ], + "score": 1.0, + "content": "hard to handle the conflict behaviors in experi-", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 296, + 373, + 505, + 407 + ], + "lines": [ + { + "bbox": [ + 296, + 373, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 296, + 373, + 506, + 385 + ], + "score": 1.0, + "content": "Table 1: Average success rate across 3 seeds on Meta-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 295, + 382, + 507, + 398 + ], + "spans": [ + { + "bbox": [ + 295, + 382, + 507, + 398 + ], + "score": 1.0, + "content": "World-V2 MT50 with random goals (MT50-rand).", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 295, + 394, + 453, + 408 + ], + "spans": [ + { + "bbox": [ + 295, + 394, + 453, + 408 + ], + "score": 1.0, + "content": "Each task is evaluated for 50 episodes.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41 + }, + { + "type": "table", + "bbox": [ + 298, + 415, + 503, + 517 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 298, + 415, + 503, + 517 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 298, + 415, + 503, + 517 + ], + "spans": [ + { + "bbox": [ + 298, + 415, + 503, + 517 + ], + "score": 0.982, + "html": "
MethodsNear-optimalSub-optimal
CARE [53] (Online)50.8 ± 1.0一
PaCo [56] (Online)57.3 ± 1.31
MTDT20.99 ± 2.6620.63 ± 2.21
PromptDT45.68 ± 1.8439.76 ± 2.79
MTBC60.39 ±0.8634.53 ± 1.25
MTCQL
MTIQL56.21 ± 1.3943.28 ± 0.90
MTDIFF-p (ours)59.53 ± 1.1248.67 ± 1.32
MTDIFF-P-ONEHOT (ours)61.32 ± 0.8948.94± 0.95
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In contrast, both MTDIFF-P and MTDIFF-ONEHOT perform", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 563, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 575 + ], + "score": 1.0, + "content": "the best in sub-optimal datasets. (ii) We compare MTDIFF-P with two SOTA multi-task online RL", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "methods, CARE [53] and PaCo [56], which are trained for 100M steps in MT50-rand. MTDIFF-P", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 106, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "outperforms both of them given the near-optimal dataset, demonstrating the potential of solving the", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "multi-task RL problems in an offline setting. (iii) MTDT is limited in distinguishing different tasks", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "score": 1.0, + "content": "with task ID while PromptDT performs better, which demonstrates the effect of prompts in multi-task", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 106, + 618, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 506, + 630 + ], + "score": 1.0, + "content": "settings. (iv) As for TD-based baselines, we find MTCQL almost fails while MTIQL performs well.", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "We hypothesize that since MTCQL penalizes the OOD actions for each task, it will hinder other tasks’", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "learning since different tasks can choose remarkably different actions when facing similar states. In", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 106, + 651, + 436, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 436, + 663 + ], + "score": 1.0, + "content": "contrast, IQL learns a value function without querying the values of OOD actions.", + "type": "text" + } + ], + "index": 61 + } + ], + "index": 56 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "We remark that MTDIFF-P based on GPT network outperforms that with U-Net in similar model", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 106, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "size, and detailed results are given in Appendix C. Overall, MTDIFF-P is an effective planner in", + "type": "text" + } + ], + "index": 63 + }, + { + "bbox": [ + 106, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "multi-task settings including sub-optimal datasets where we must stitch useful segments of suboptimal", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "trajectories, and near-optimal datasets where we mimic the best behaviors. 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(i) RAD. We adopt the random amplitude scaling [28] that multiplies a random variable to", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 264, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 152, + 276 + ], + "score": 1.0, + "content": "states, i.e.,", + "type": "text" + }, + { + "bbox": [ + 152, + 264, + 197, + 274 + ], + "score": 0.92, + "content": "s ^ { \\prime } = s \\times z", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 264, + 228, + 276 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 229, + 264, + 307, + 275 + ], + "score": 0.9, + "content": "z \\sim \\mathrm { U n i f o r m } [ \\alpha , \\beta ]", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 264, + 505, + 276 + ], + "score": 1.0, + "content": ". This augmentation technique has been verified", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "score": 1.0, + "content": "to be effective for state-based RL. (ii) S4RL. We adopt the adversarial state training [52] by taking", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 285, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 379, + 299 + ], + "score": 1.0, + "content": "gradients with respect to the value function to obtain a new state, i.e.", + "type": "text" + }, + { + "bbox": [ + 379, + 285, + 474, + 298 + ], + "score": 0.92, + "content": "s ^ { \\prime } s + \\epsilon \\nabla _ { s } \\mathbb { J } _ { Q } ( \\pi ( s ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 285, + 505, + 299 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 296, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 119, + 309 + ], + "score": 0.89, + "content": "\\mathbb { J } _ { Q }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 296, + 307, + 309 + ], + "score": 1.0, + "content": "is the policy evaluation update performed via a", + "type": "text" + }, + { + "bbox": [ + 307, + 297, + 316, + 308 + ], + "score": 0.84, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 296, + 371, + 309 + ], + "score": 1.0, + "content": "function, and", + "type": "text" + }, + { + "bbox": [ + 372, + 298, + 377, + 306 + ], + "score": 0.77, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 296, + 505, + 309 + ], + "score": 1.0, + "content": "is the size of gradient steps. We", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 307, + 336, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 336, + 320 + ], + "score": 1.0, + "content": "summarize the details of all the baselines in Appendix B.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 241, + 506, + 320 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 334, + 269, + 346 + ], + "lines": [ + { + "bbox": [ + 105, + 332, + 271, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 332, + 271, + 350 + ], + "score": 1.0, + "content": "5.2 Result Comparison for Planning", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 105, + 356, + 504, + 367 + ], + "lines": [ + { + "bbox": [ + 105, + 353, + 507, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 507, + 370 + ], + "score": 1.0, + "content": "How does MTDIFF-P compare to baselines in the multi-task regime? For a fair comparison,", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 108, + 368, + 289, + 541 + ], + "lines": [ + { + "bbox": [ + 106, + 367, + 289, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 289, + 379 + ], + "score": 1.0, + "content": "we add MTDIFF-P-ONEHOT as a variant of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 377, + 290, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 377, + 290, + 390 + ], + "score": 1.0, + "content": "MTDIFF-P by replacing the prompt with a", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 389, + 290, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 290, + 401 + ], + "score": 1.0, + "content": "one-hot task-ID, which is used in the base-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 400, + 289, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 289, + 411 + ], + "score": 1.0, + "content": "lines except for PromptDT. The first action", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 411, + 290, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 290, + 423 + ], + "score": 1.0, + "content": "generated by MTDIFF-P is used to interact", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 422, + 289, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 289, + 433 + ], + "score": 1.0, + "content": "with the environment. According to Tab. 1, we", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 433, + 289, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 289, + 444 + ], + "score": 1.0, + "content": "have the following key observations. (i) Our", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 444, + 290, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 290, + 455 + ], + "score": 1.0, + "content": "method achieves better performance than base-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 454, + 290, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 290, + 466 + ], + "score": 1.0, + "content": "lines in both near-optimal and sub-optimal set-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 465, + 290, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 290, + 477 + ], + "score": 1.0, + "content": "tings. For near-optimal datasets, MTDIFF-P", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 476, + 289, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 268, + 487 + ], + "score": 1.0, + "content": "and MTDIFF-P-ONEHOT achieve about", + "type": "text" + }, + { + "bbox": [ + 269, + 476, + 289, + 487 + ], + "score": 0.85, + "content": "60 \\%", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 488, + 289, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 289, + 499 + ], + "score": 1.0, + "content": "success rate, significantly outperforming other", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 498, + 289, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 289, + 509 + ], + "score": 1.0, + "content": "methods and performing comparably with", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 509, + 289, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 289, + 520 + ], + "score": 1.0, + "content": "MTBC. However, the performance of MTBC", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 107, + 520, + 289, + 531 + ], + "spans": [ + { + "bbox": [ + 107, + 520, + 289, + 531 + ], + "score": 1.0, + "content": "decreases a lot in sub-optimal datasets. BC is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 530, + 290, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 290, + 542 + ], + "score": 1.0, + "content": "hard to handle the conflict behaviors in experi-", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 367, + 290, + 542 + ] + }, + { + "type": "text", + "bbox": [ + 296, + 373, + 505, + 407 + ], + "lines": [ + { + "bbox": [ + 296, + 373, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 296, + 373, + 506, + 385 + ], + "score": 1.0, + "content": "Table 1: Average success rate across 3 seeds on Meta-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 295, + 382, + 507, + 398 + ], + "spans": [ + { + "bbox": [ + 295, + 382, + 507, + 398 + ], + "score": 1.0, + "content": "World-V2 MT50 with random goals (MT50-rand).", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 295, + 394, + 453, + 408 + ], + "spans": [ + { + "bbox": [ + 295, + 394, + 453, + 408 + ], + "score": 1.0, + "content": "Each task is evaluated for 50 episodes.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41, + "bbox_fs": [ + 295, + 373, + 507, + 408 + ] + }, + { + "type": "table", + "bbox": [ + 298, + 415, + 503, + 517 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 298, + 415, + 503, + 517 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 298, + 415, + 503, + 517 + ], + "spans": [ + { + "bbox": [ + 298, + 415, + 503, + 517 + ], + "score": 0.982, + "html": "
MethodsNear-optimalSub-optimal
CARE [53] (Online)50.8 ± 1.0一
PaCo [56] (Online)57.3 ± 1.31
MTDT20.99 ± 2.6620.63 ± 2.21
PromptDT45.68 ± 1.8439.76 ± 2.79
MTBC60.39 ±0.8634.53 ± 1.25
MTCQL
MTIQL56.21 ± 1.3943.28 ± 0.90
MTDIFF-p (ours)59.53 ± 1.1248.67 ± 1.32
MTDIFF-P-ONEHOT (ours)61.32 ± 0.8948.94± 0.95
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MTDIFF-P", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 106, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "outperforms both of them given the near-optimal dataset, demonstrating the potential of solving the", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "multi-task RL problems in an offline setting. (iii) MTDT is limited in distinguishing different tasks", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "score": 1.0, + "content": "with task ID while PromptDT performs better, which demonstrates the effect of prompts in multi-task", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 106, + 618, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 506, + 630 + ], + "score": 1.0, + "content": "settings. (iv) As for TD-based baselines, we find MTCQL almost fails while MTIQL performs well.", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "We hypothesize that since MTCQL penalizes the OOD actions for each task, it will hinder other tasks’", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "learning since different tasks can choose remarkably different actions when facing similar states. In", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 106, + 651, + 436, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 436, + 663 + ], + "score": 1.0, + "content": "contrast, IQL learns a value function without querying the values of OOD actions.", + "type": "text" + } + ], + "index": 61 + } + ], + "index": 56, + "bbox_fs": [ + 105, + 541, + 506, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "We remark that MTDIFF-P based on GPT network outperforms that with U-Net in similar model", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 106, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "size, and detailed results are given in Appendix C. Overall, MTDIFF-P is an effective planner in", + "type": "text" + } + ], + "index": 63 + }, + { + "bbox": [ + 106, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "multi-task settings including sub-optimal datasets where we must stitch useful segments of suboptimal", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "trajectories, and near-optimal datasets where we mimic the best behaviors. Meanwhile, we argue that", + "type": "text" + } + ], + "index": 65 + }, + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "although MTDIFF-P-ONEHOT performs well, it cannot generalize to unseen tasks without prompts.", + "type": "text" + } + ], + "index": 66 + } + ], + "index": 64, + "bbox_fs": [ + 106, + 667, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 112, + 72, + 378, + 157 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 112, + 72, + 378, + 157 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 112, + 72, + 378, + 157 + ], + "spans": [ + { + "bbox": [ + 112, + 72, + 378, + 157 + ], + "score": 0.966, + "type": "image", + "image_path": "766a36729e40af5d36fddb4444af1e4bae14b751b6c58b36b95958c68f8eced6.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 112, + 72, + 378, + 100.33333333333333 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 112, + 100.33333333333333, + 378, + 128.66666666666666 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 112, + 128.66666666666666, + 378, + 157.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 109, + 158, + 382, + 180 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 156, + 383, + 171 + ], + "spans": [ + { + "bbox": [ + 109, + 156, + 383, + 171 + ], + "score": 1.0, + "content": "Figure 1: Seen and unseen maps of Maze2D with long planning path. Goal position is denoted as .Figure 4: Seen and unseen maps of Maze2D with long planning path.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 110, + 169, + 230, + 181 + ], + "spans": [ + { + "bbox": [ + 110, + 169, + 230, + 181 + ], + "score": 1.0, + "content": "Goal position is denoted as .", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.0 + } + ], + "index": 3.5 + }, + { + "type": "image", + "bbox": [ + 390, + 74, + 499, + 154 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 390, + 74, + 499, + 154 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 390, + 74, + 499, + 154 + ], + "spans": [ + { + "bbox": [ + 390, + 74, + 499, + 154 + ], + "score": 0.95, + "type": "image", + "image_path": "6852d194b1623d801bf018342793bb829d165cc42ad299704bc4f6069e743316.jpg" + } + ] + } + ], + "index": 3.5, + "virtual_lines": [ + { + "bbox": [ + 390, + 74, + 499, + 114.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 390, + 114.0, + 499, + 154.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 388, + 157, + 502, + 179 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 388, + 156, + 502, + 168 + ], + "spans": [ + { + "bbox": [ + 388, + 156, + 502, + 168 + ], + "score": 1.0, + "content": "Figure 5: Average scores ob-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 387, + 166, + 495, + 180 + ], + "spans": [ + { + "bbox": [ + 387, + 166, + 495, + 180 + ], + "score": 1.0, + "content": "tained in 8 Maze2D maps.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.0 + } + ], + "index": 5.25 + }, + { + "type": "text", + "bbox": [ + 106, + 187, + 505, + 308 + ], + "lines": [ + { + "bbox": [ + 106, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "Does MTDIFF-P generalize to unseen tasks? We further carry out experiments on Maze2D", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 504, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 504, + 210 + ], + "score": 1.0, + "content": "Diffusion Model is an Effective Planner and Data to evaluate the generalizability of MTDIFF-P. We select PromptDT as our baseline, as it has", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "Synthesizer for Multi-Task RL demonstrated both competitive performances on training tasks and adaptation ability for unseen tasks", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 505, + 234 + ], + "score": 1.0, + "content": "[69]. We use 8 different maps for training and one new map for adaptation evaluation. The setup", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "score": 1.0, + "content": "details are given in Appendix D. We evaluate these two methods on both seen maps and an unseen", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 242, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 506, + 255 + ], + "score": 1.0, + "content": "map. The average scores obtained in 8 training maps are referred to Figure 5. To further illustrate", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "Affiliation the advantages of our method compared to PromptDT, we select one difficult training map and the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "score": 1.0, + "content": "Address unseen map for visualization, as shown in Figure 4. According to the visualized path, we find that (1)", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 273, + 507, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 507, + 288 + ], + "score": 1.0, + "content": "for seen maps in training, MTDIFF-P generates a shorter and smoother path, and (2) for unseen maps,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "score": 1.0, + "content": "PromptDT fails to obtain a reasonable path while MTDIFF-P succeed, which verifies that MTDIFF-P", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 296, + 474, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 474, + 309 + ], + "score": 1.0, + "content": "can perform few-shot adaptation based on trajectory prompts and the designed architecture.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14 + }, + { + "type": "title", + "bbox": [ + 106, + 321, + 321, + 333 + ], + "lines": [ + { + "bbox": [ + 105, + 320, + 321, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 321, + 335 + ], + "score": 1.0, + "content": "5.3 Results for Augmentation via Data Synthesis", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 341, + 506, + 418 + ], + "lines": [ + { + "bbox": [ + 106, + 341, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 341, + 506, + 353 + ], + "score": 1.0, + "content": "Does MTDIFF-S synthesize high-fidelity data and bring policy improvement? We train MTDIFF-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 352, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 506, + 364 + ], + "score": 1.0, + "content": "S on near-optimal datasets from 45 tasks to evaluate its generalizability. We select 3 training tasks", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 363, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 506, + 375 + ], + "score": 1.0, + "content": "and 3 unseen tasks, and measure the policy improvement of offline RL training (i.e., TD3-BC [16])", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 375, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 505, + 385 + ], + "score": 1.0, + "content": "with data augmentation. For each evaluated task, MTDIFF-S synthesizes 2M transitions to expand", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 385, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 396 + ], + "score": 1.0, + "content": "the original 1M dataset. From the results summarized in Table 2, MTDIFF-S can boost the offline", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 407, + 408 + ], + "score": 1.0, + "content": "performance for all tasks and significantly increases performance by about", + "type": "text" + }, + { + "bbox": [ + 407, + 396, + 431, + 406 + ], + "score": 0.89, + "content": "180 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 396, + 435, + 408 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 435, + 396, + 459, + 406 + ], + "score": 0.85, + "content": "131 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 396, + 480, + 408 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 480, + 396, + 505, + 406 + ], + "score": 0.86, + "content": "161 \\%", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 406, + 334, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 334, + 420 + ], + "score": 1.0, + "content": "for box-close, hand-insert, and coffee-push, respectively.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24 + }, + { + "type": "image", + "bbox": [ + 330, + 434, + 492, + 555 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 330, + 434, + 492, + 555 + ], + "group_id": 3, + "lines": [ + { + "bbox": [ + 330, + 434, + 492, + 555 + ], + "spans": [ + { + "bbox": [ + 330, + 434, + 492, + 555 + ], + "score": 0.965, + "type": "image", + "image_path": "46e68d62f5a592be59130c2edee5b97ac03917f7e0f863b62c21704a8020f7b6.jpg" + } + ] + } + ], + "index": 37, + "virtual_lines": [ + { + "bbox": [ + 330, + 434, + 492, + 447.44444444444446 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 330, + 447.44444444444446, + 492, + 460.8888888888889 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 330, + 460.8888888888889, + 492, + 474.33333333333337 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 330, + 474.33333333333337, + 492, + 487.7777777777778 + ], + "spans": [], + "index": 36 + }, + { + "bbox": [ + 330, + 487.7777777777778, + 492, + 501.2222222222223 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 330, + 501.2222222222223, + 492, + 514.6666666666667 + ], + "spans": [], + "index": 39 + }, + { + "bbox": [ + 330, + 514.6666666666667, + 492, + 528.1111111111112 + ], + "spans": [], + "index": 41 + }, + { + "bbox": [ + 330, + 528.1111111111112, + 492, + 541.5555555555557 + ], + "spans": [], + "index": 43 + }, + { + "bbox": [ + 330, + 541.5555555555557, + 492, + 555.0000000000001 + ], + "spans": [], + "index": 45 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 327, + 564, + 498, + 608 + ], + "group_id": 3, + "lines": [ + { + "bbox": [ + 327, + 563, + 497, + 575 + ], + "spans": [ + { + "bbox": [ + 327, + 563, + 497, + 575 + ], + "score": 1.0, + "content": "Figure 7: Average success rate across", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 326, + 572, + 498, + 587 + ], + "spans": [ + { + "bbox": [ + 326, + 572, + 498, + 587 + ], + "score": 1.0, + "content": "3 seeds on coffee-push. 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From Table 2, we find", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "score": 1.0, + "content": "MTDIFF-S achieves superior policy improvement in seen tasks compared with previous SOTA", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "augmentation methods (i.e., S4RL and RAD) that are developed in single-task RL. We hypothesize", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "that, by absorbing vast knowledge of multi-task data in training, MTDIFF-S can perform implicit", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 105, + 666, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 681 + ], + "score": 1.0, + "content": "data sharing [75] by integrating other tasks’ knowledge into data synthesis of the current task. To", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 678, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 506, + 691 + ], + "score": 1.0, + "content": "verify this hypothesis, we select three tasks (i.e., coffee-push, disassemble and dial-turn) to re-train", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "score": 1.0, + "content": "MTDIFF-S on the corresponding single-task dataset. We denote this variant as MTDIFF-S-SINGLE.", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "We implement SynthER [38] to further confirm the benefits of multi-task training. 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Goal position is denoted as .Figure 4: Seen and unseen maps of Maze2D with long planning path.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 110, + 169, + 230, + 181 + ], + "spans": [ + { + "bbox": [ + 110, + 169, + 230, + 181 + ], + "score": 1.0, + "content": "Goal position is denoted as .", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.0 + } + ], + "index": 3.5 + }, + { + "type": "image", + "bbox": [ + 390, + 74, + 499, + 154 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 390, + 74, + 499, + 154 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 390, + 74, + 499, + 154 + ], + "spans": [ + { + "bbox": [ + 390, + 74, + 499, + 154 + ], + "score": 0.95, + "type": "image", + "image_path": "6852d194b1623d801bf018342793bb829d165cc42ad299704bc4f6069e743316.jpg" + } + ] + } + ], + "index": 3.5, + "virtual_lines": [ + { + "bbox": [ + 390, + 74, + 499, + 114.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 390, + 114.0, + 499, + 154.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 388, + 157, + 502, + 179 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 388, + 156, + 502, + 168 + ], + "spans": [ + { + "bbox": [ + 388, + 156, + 502, + 168 + ], + "score": 1.0, + "content": "Figure 5: Average scores ob-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 387, + 166, + 495, + 180 + ], + "spans": [ + { + "bbox": [ + 387, + 166, + 495, + 180 + ], + "score": 1.0, + "content": "tained in 8 Maze2D maps.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.0 + } + ], + "index": 5.25 + }, + { + "type": "text", + "bbox": [ + 106, + 187, + 505, + 308 + ], + "lines": [ + { + "bbox": [ + 106, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "Does MTDIFF-P generalize to unseen tasks? We further carry out experiments on Maze2D", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 504, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 504, + 210 + ], + "score": 1.0, + "content": "Diffusion Model is an Effective Planner and Data to evaluate the generalizability of MTDIFF-P. We select PromptDT as our baseline, as it has", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "Synthesizer for Multi-Task RL demonstrated both competitive performances on training tasks and adaptation ability for unseen tasks", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 505, + 234 + ], + "score": 1.0, + "content": "[69]. We use 8 different maps for training and one new map for adaptation evaluation. The setup", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "score": 1.0, + "content": "details are given in Appendix D. We evaluate these two methods on both seen maps and an unseen", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 242, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 506, + 255 + ], + "score": 1.0, + "content": "map. The average scores obtained in 8 training maps are referred to Figure 5. To further illustrate", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "Affiliation the advantages of our method compared to PromptDT, we select one difficult training map and the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "score": 1.0, + "content": "Address unseen map for visualization, as shown in Figure 4. According to the visualized path, we find that (1)", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 273, + 507, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 507, + 288 + ], + "score": 1.0, + "content": "for seen maps in training, MTDIFF-P generates a shorter and smoother path, and (2) for unseen maps,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "score": 1.0, + "content": "PromptDT fails to obtain a reasonable path while MTDIFF-P succeed, which verifies that MTDIFF-P", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 296, + 474, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 474, + 309 + ], + "score": 1.0, + "content": "can perform few-shot adaptation based on trajectory prompts and the designed architecture.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 187, + 507, + 309 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 321, + 321, + 333 + ], + "lines": [ + { + "bbox": [ + 105, + 320, + 321, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 321, + 335 + ], + "score": 1.0, + "content": "5.3 Results for Augmentation via Data Synthesis", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 341, + 506, + 418 + ], + "lines": [ + { + "bbox": [ + 106, + 341, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 341, + 506, + 353 + ], + "score": 1.0, + "content": "Does MTDIFF-S synthesize high-fidelity data and bring policy improvement? We train MTDIFF-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 352, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 506, + 364 + ], + "score": 1.0, + "content": "S on near-optimal datasets from 45 tasks to evaluate its generalizability. We select 3 training tasks", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 363, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 506, + 375 + ], + "score": 1.0, + "content": "and 3 unseen tasks, and measure the policy improvement of offline RL training (i.e., TD3-BC [16])", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 375, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 505, + 385 + ], + "score": 1.0, + "content": "with data augmentation. For each evaluated task, MTDIFF-S synthesizes 2M transitions to expand", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 385, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 396 + ], + "score": 1.0, + "content": "the original 1M dataset. 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From Table 2, we find", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "score": 1.0, + "content": "MTDIFF-S achieves superior policy improvement in seen tasks compared with previous SOTA", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "augmentation methods (i.e., S4RL and RAD) that are developed in single-task RL. We hypothesize", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "that, by absorbing vast knowledge of multi-task data in training, MTDIFF-S can perform implicit", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 105, + 666, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 681 + ], + "score": 1.0, + "content": "data sharing [75] by integrating other tasks’ knowledge into data synthesis of the current task. To", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 678, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 506, + 691 + ], + "score": 1.0, + "content": "verify this hypothesis, we select three tasks (i.e., coffee-push, disassemble and dial-turn) to re-train", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "score": 1.0, + "content": "MTDIFF-S on the corresponding single-task dataset. We denote this variant as MTDIFF-S-SINGLE.", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "We implement SynthER [38] to further confirm the benefits of multi-task training. SynthER also", + "type": "text" + } + ], + "index": 61 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "utilizes diffusion models to enhance offline datasets for policy improvement, but it doesn’t take into", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 105, + 72, + 505, + 84 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 84 + ], + "score": 1.0, + "content": "account the aspect of learning from multi-task data. We observe that MTDIFF-S outperforms both", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "two methods, as shown in Figure 6. What’s more, we re-train MTDIFF-S on 10, 20, and 30 tasks", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 506, + 106 + ], + "score": 1.0, + "content": "respectively, in order to obtain the relationship between the performance gains and the number of", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 106, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 506, + 118 + ], + "score": 1.0, + "content": "training tasks. Our findings, as outlined in Fig. 7, provide compelling evidence in support of our", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 506, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 130 + ], + "score": 1.0, + "content": "hypothesis: MTDIFF-S exhibits progressively superior data synthesis performance with increasing", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 126, + 164, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 164, + 141 + ], + "score": 1.0, + "content": "task diversity.", + "type": "text", + "cross_page": true + } + ], + "index": 5 + } + ], + "index": 58, + "bbox_fs": [ + 105, + 622, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 84 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 84 + ], + "score": 1.0, + "content": "account the aspect of learning from multi-task data. We observe that MTDIFF-S outperforms both", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "two methods, as shown in Figure 6. What’s more, we re-train MTDIFF-S on 10, 20, and 30 tasks", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 506, + 106 + ], + "score": 1.0, + "content": "respectively, in order to obtain the relationship between the performance gains and the number of", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 106, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 506, + 118 + ], + "score": 1.0, + "content": "training tasks. Our findings, as outlined in Fig. 7, provide compelling evidence in support of our", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 506, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 130 + ], + "score": 1.0, + "content": "hypothesis: MTDIFF-S exhibits progressively superior data synthesis performance with increasing", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 126, + 164, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 164, + 141 + ], + "score": 1.0, + "content": "task diversity.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 150, + 505, + 238 + ], + "lines": [ + { + "bbox": [ + 106, + 150, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 106, + 150, + 505, + 162 + ], + "score": 1.0, + "content": "Does MTDIFF-S generalize to unseen tasks? We answer this question by conducting offline RL", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 162, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 506, + 173 + ], + "score": 1.0, + "content": "training on the augmented datasets of 3 unseen tasks. 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Each", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 258, + 279, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 279, + 270 + ], + "score": 1.0, + "content": "selected task is evaluated for 500 episodes.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "table_body", + "bbox": [ + 108, + 273, + 504, + 333 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 273, + 504, + 333 + ], + "spans": [ + { + "bbox": [ + 108, + 273, + 504, + 333 + ], + "score": 0.977, + "html": "
TasksOriginalS4RLRADMTDIFF-S(OURS)
Unseen Tasksbox-close23.46 ± 7.1173.13±3.51(个211%)71.20±4.84(个203%)65.73±8.36 (↑180%)
hand-insert bin-picking30.60±9.7760.20 ± 1.57 (↑ 96%)43.79 ±3.44 (↑43%)70.87 ± 3.59 (↑ 131%)
Seen Taskssweep-into42.13 ± 14.33 91.8 ±1.1472.20 ± 4.17(↑ 71%) 90.53 ±3.52(↓ 1%)43.27 ± 4.38(↑ 2%)55.73 ± 7.63(↑32%)
coffee-push28.60 ± 14.5528.73±8.44(个 0.4%)88.06±9.86(↓4%)92.87 ± 1.11(↑ 1%)
disassemble33.19 ± 2.86(个 16%)74.67 ± 6.79(↑ 161%)
60.20 ±16.2952.20 ± 5.68(↓12%)60.93 ± 20.80(个1%)69.00 ± 4.72(↑ 14.6%)
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The visualization results and further analyses are given in Appendix E.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 107, + 394, + 183, + 407 + ], + "lines": [ + { + "bbox": [ + 104, + 392, + 185, + 411 + ], + "spans": [ + { + "bbox": [ + 104, + 392, + 185, + 411 + ], + "score": 1.0, + "content": "6 Conclusion", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 414, + 505, + 502 + ], + "lines": [ + { + "bbox": [ + 106, + 414, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 506, + 426 + ], + "score": 1.0, + "content": "We propose MTDIFF, a diffusion-based effective planner and data synthesizer for multi-task RL.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 424, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 506, + 438 + ], + "score": 1.0, + "content": "With the trajectory prompt and unified GPT-based architecture, MTDIFF can model multi-task data", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "and generalize to unseen tasks. 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Do as i can, not", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 127, + 641, + 504, + 654 + ], + "spans": [ + { + "bbox": [ + 127, + 641, + 504, + 654 + ], + "score": 1.0, + "content": "as i say: Grounding language in robotic affordances. arXiv preprint arXiv:2204.01691, 2022.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 111, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 111, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "[2] Anurag Ajay, Yilun Du, Abhi Gupta, Joshua B. Tenenbaum, Tommi S. Jaakkola, and Pulkit", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 127, + 671, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 127, + 671, + 506, + 684 + ], + "score": 1.0, + "content": "Agrawal. Is conditional generative modeling all you need for decision making? 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TasksOriginalS4RLRADMTDIFF-S(OURS)
Unseen Tasksbox-close23.46 ± 7.1173.13±3.51(个211%)71.20±4.84(个203%)65.73±8.36 (↑180%)
hand-insert bin-picking30.60±9.7760.20 ± 1.57 (↑ 96%)43.79 ±3.44 (↑43%)70.87 ± 3.59 (↑ 131%)
Seen Taskssweep-into42.13 ± 14.33 91.8 ±1.1472.20 ± 4.17(↑ 71%) 90.53 ±3.52(↓ 1%)43.27 ± 4.38(↑ 2%)55.73 ± 7.63(↑32%)
coffee-push28.60 ± 14.5528.73±8.44(个 0.4%)88.06±9.86(↓4%)92.87 ± 1.11(↑ 1%)
disassemble33.19 ± 2.86(个 16%)74.67 ± 6.79(↑ 161%)
60.20 ±16.2952.20 ± 5.68(↓12%)60.93 ± 20.80(个1%)69.00 ± 4.72(↑ 14.6%)
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We select 4 tasks", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 351, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 505, + 363 + ], + "score": 1.0, + "content": "and use T-SNE [61] to visualize the distribution of original data and synthetic data. We find the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 362, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 505, + 374 + ], + "score": 1.0, + "content": "synthetic data overlap and expand the original data distribution while also keeping consistency with", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 374, + 477, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 477, + 385 + ], + "score": 1.0, + "content": "the underlying MDP. The visualization results and further analyses are given in Appendix E.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 340, + 505, + 385 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 394, + 183, + 407 + ], + "lines": [ + { + "bbox": [ + 104, + 392, + 185, + 411 + ], + "spans": [ + { + "bbox": [ + 104, + 392, + 185, + 411 + ], + "score": 1.0, + "content": "6 Conclusion", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 414, + 505, + 502 + ], + "lines": [ + { + "bbox": [ + 106, + 414, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 506, + 426 + ], + "score": 1.0, + "content": "We propose MTDIFF, a diffusion-based effective planner and data synthesizer for multi-task RL.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 424, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 506, + 438 + ], + "score": 1.0, + "content": "With the trajectory prompt and unified GPT-based architecture, MTDIFF can model multi-task data", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "and generalize to unseen tasks. 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We", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 490, + 423, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 423, + 503 + ], + "score": 1.0, + "content": "further discuss the limitations and broader impacts of MTDIFF in Appendix F.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 414, + 506, + 503 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 517, + 201, + 530 + ], + "lines": [ + { + "bbox": [ + 106, + 515, + 203, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 515, + 203, + 532 + ], + "score": 1.0, + "content": "Acknowledgments", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 505, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "This work is supported by the National Natural Science Foundation of China (Grant", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 551, + 507, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 507, + 565 + ], + "score": 1.0, + "content": "No.62306242&62076161), the National Key R&D Program of China (Grant No.2022ZD0160100),", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "Shanghai Municipal Science and Technology Major Project (2021SHZDZX0102) and Shanghai", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 573, + 243, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 243, + 587 + ], + "score": 1.0, + "content": "Artificial Intelligence Laboratory.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 541, + 507, + 587 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 601, + 163, + 613 + ], + "lines": [ + { + "bbox": [ + 106, + 599, + 165, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 599, + 165, + 615 + ], + "score": 1.0, + "content": "References", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "list", + "bbox": [ + 111, + 619, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 111, + 620, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 111, + 620, + 506, + 632 + ], + "score": 1.0, + "content": "[1] Michael Ahn, Anthony Brohan, Noah Brown, Yevgen Chebotar, Omar Cortes, Byron David,", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 128, + 631, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 128, + 631, + 506, + 643 + ], + "score": 1.0, + "content": "Chelsea Finn, Keerthana Gopalakrishnan, Karol Hausman, Alex Herzog, et al. 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Then we describe various details of the training process, architecture and hyperparameters:", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 106, + 126, + 506, + 346 + ], + "lines": [ + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "score": 1.0, + "content": "• We set the per-task batch size as 8, so the total batch size is 400. We train our model using Adam", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 113, + 136, + 348, + 151 + ], + "spans": [ + { + "bbox": [ + 113, + 136, + 195, + 151 + ], + "score": 1.0, + "content": "optimizer [23] with", + "type": "text" + }, + { + "bbox": [ + 195, + 137, + 216, + 148 + ], + "score": 0.9, + "content": "2 e ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 136, + 284, + 151 + ], + "score": 1.0, + "content": "learning rate for", + "type": "text" + }, + { + "bbox": [ + 284, + 137, + 300, + 148 + ], + "score": 0.88, + "content": "2 e ^ { 6 }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 136, + 348, + 151 + ], + "score": 1.0, + "content": "train steps.", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 152, + 405, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 152, + 405, + 165 + ], + "score": 1.0, + "content": "• We train MTDIFF on NVIDIA GeForce RTX 3080 for around 50 hours.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 166, + 506, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 166, + 506, + 180 + ], + "score": 1.0, + "content": "• We represent the noise model as the transformer-based architecture described in Section 3.3. MLP", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 115, + 179, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 115, + 179, + 128, + 191 + ], + "score": 0.88, + "content": "f _ { P }", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 179, + 505, + 191 + ], + "score": 1.0, + "content": "which processes prompt is a 3-layered MLP (prepended by a layer norm [3] and with Mish", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 114, + 190, + 505, + 203 + ], + "spans": [ + { + "bbox": [ + 114, + 190, + 186, + 203 + ], + "score": 1.0, + "content": "activation). 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The", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 114, + 233, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 114, + 233, + 505, + 245 + ], + "score": 1.0, + "content": "GPT2 transformer is configured as 6 hidden layers and 4 attention heads. The code of GPT2 is", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 114, + 245, + 407, + 256 + ], + "spans": [ + { + "bbox": [ + 114, + 245, + 407, + 256 + ], + "score": 1.0, + "content": "borrowed from https://github.com/kzl/decision-transformer.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 258, + 441, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 221, + 272 + ], + "score": 1.0, + "content": "• We choose the probability", + "type": "text" + }, + { + "bbox": [ + 221, + 261, + 228, + 271 + ], + "score": 0.79, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 258, + 441, + 272 + ], + "score": 1.0, + "content": "of removing the conditioning information to be 0.25.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 273, + 503, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 312, + 286 + ], + "score": 1.0, + "content": "• In MTDIFF-P, we choose the state history length", + "type": 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MethodsSuccess rate on near-optimal dataset (%)Success rate on sub-optimal dataset (%)
MTDIFF-P59.53±1.1248.67 ±1.32
MTDIFF-P (U-Net)55.67 ± 1.2747.42 ± 0.74
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Different", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 645, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 657 + ], + "score": 1.0, + "content": "tasks have different reward functions and transition functions. For generalizability evaluation, we", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 655, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 669 + ], + "score": 1.0, + "content": "have designed one new unseen map. 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MethodsSuccess rate on near-optimal dataset (%)Success rate on sub-optimal dataset (%)
MTDIFF-P59.53±1.1248.67 ±1.32
MTDIFF-P (U-Net)55.67 ± 1.2747.42 ± 0.74
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The data is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 696, + 449, + 710 + ], + "spans": [ + { + "bbox": [ + 106, + 696, + 449, + 710 + ], + "score": 1.0, + "content": "sampled from tasks coffee-push, disassemble, hand-insert and box-close respectively.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5 + } + ], + "index": 27.25 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 72, + 213, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 214, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 214, + 86 + ], + "score": 1.0, + "content": "E.2 Statistical Analysis", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 93, + 505, + 203 + ], + "lines": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "Following SynthER [38], we measure the Dynamics Error (MSE between the augmented next state", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 504, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 504, + 116 + ], + "score": 1.0, + "content": "and true next state), and L2 Distance from Dataset (minimum L2 distance of each datapoint from", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "the dataset) for the augmented data of each method (i.e., MTDIFF-S, S4RL and RAD), as shown in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 403, + 139 + ], + "score": 1.0, + "content": "Table 4. Since S4RL performs data augmentation by adding data within the", + "type": "text" + }, + { + "bbox": [ + 404, + 128, + 409, + 136 + ], + "score": 0.71, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 126, + 505, + 139 + ], + "score": 1.0, + "content": "-ball of the original data", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "score": 1.0, + "content": "points, it has the smallest dynamics error with a small ϵ. RAD performs random amplitude scaling", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 149, + 506, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 506, + 160 + ], + "score": 1.0, + "content": "and causes the largest dynamics error. We remark that S4RL performs local data augmentation around", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 160, + 506, + 171 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 506, + 171 + ], + "score": 1.0, + "content": "the original data and can be limited in expanding the data coverage of offline datasets. In contrast,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 169, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 506, + 183 + ], + "score": 1.0, + "content": "our method generates data via diffusion model without explicit constraints to the original data points,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 180, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 104, + 180, + 506, + 194 + ], + "score": 1.0, + "content": "which also has small dynamics error and significantly improves the data coverage, benefiting the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 191, + 186, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 186, + 205 + ], + "score": 1.0, + "content": "offline RL training.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5.5 + }, + { + "type": "table", + "bbox": [ + 173, + 243, + 435, + 290 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 214, + 500, + 227 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 213, + 501, + 227 + ], + "spans": [ + { + "bbox": [ + 109, + 213, + 501, + 227 + ], + "score": 1.0, + "content": "Table 4: Comparing L2 distance from the training dataset and dynamics error under each method.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "table_body", + "bbox": [ + 173, + 243, + 435, + 290 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 173, + 243, + 435, + 290 + ], + "spans": [ + { + "bbox": [ + 173, + 243, + 435, + 290 + ], + "score": 0.975, + "html": "
MethodsDynamics ErrorL2 Distance from Dataset
MTDIFF-S0.01740.4552
S4RL0.00010.4024
RAD0.06410.4617
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Diffusion models are bottlenecked by their slow sampling speed, which caps the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 383, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 397 + ], + "score": 1.0, + "content": "potential of MTDIFF for real-time control. How to trade off the sampling speed and generative", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "quality remains to be a crucial research topic. For a concrete example in MetaWorld, it takes on", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 406, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 418 + ], + "score": 1.0, + "content": "average 1.9s in wall-clock time to generate one action sequence for planning (hardware being a 3090", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 416, + 506, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 431 + ], + "score": 1.0, + "content": "GPU). We can improve the inference speed by leveraging a recent sampler called DPM-solver [37, 36]", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 275, + 441 + ], + "score": 1.0, + "content": "to decrease the diffusion steps required to", + "type": "text" + }, + { + "bbox": [ + 275, + 428, + 297, + 439 + ], + "score": 0.88, + "content": "0 . 2 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "without any loss in performance, and using a larger", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "batch size (leveraging the parallel computing power of GPUs) to evaluate multiple environments", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 450, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 505, + 462 + ], + "score": 1.0, + "content": "at once. Thus the evaluation run-time roughly matches the run-time of non-diffusion algorithms", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 460, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 474 + ], + "score": 1.0, + "content": "(diffusion step is 1). In addition, consistency models [55] are recently proposed to support one-step", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 506, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 485 + ], + "score": 1.0, + "content": "and few-step generation, while the upper performance of what such models can achieve is still vague.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 497, + 505, + 541 + ], + "lines": [ + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "score": 1.0, + "content": "Broader Impacts. As far as we know, MTDIFF is the first proposed diffusion-based approach", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 507, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 521 + ], + "score": 1.0, + "content": "for multi-task reinforcement learning. It could be applied to multi-task decision-making, and also", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "could be used to synthesize more data to boost policy improvement. MTDIFF provides a solution for", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 529, + 313, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 313, + 543 + ], + "score": 1.0, + "content": "achieving generalization in reinforcement learning.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 107, + 559, + 219, + 572 + ], + "lines": [ + { + "bbox": [ + 106, + 557, + 220, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 220, + 574 + ], + "score": 1.0, + "content": "G Dataset collection", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 585, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "Meta-World. We train Soft Actor-Critic (SAC) [18] policy in isolation for each task from scratch", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 596, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 506, + 608 + ], + "score": 1.0, + "content": "until convergence. Then we collect 1M transitions from the SAC replay buffer for each task,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "score": 1.0, + "content": "consisting of recording samples in the replay buffer observed during training until the policy reaches", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 618, + 499, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 499, + 631 + ], + "score": 1.0, + "content": "the convergence of performance. For this benchmark, we have two different dataset compositions:", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 104, + 639, + 505, + 690 + ], + "lines": [ + { + "bbox": [ + 105, + 638, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 652 + ], + "score": 1.0, + "content": "• Near-optimal dataset consisting of the experience (100M transitions) from random to expert", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 113, + 649, + 238, + 664 + ], + "spans": [ + { + "bbox": [ + 113, + 649, + 238, + 664 + ], + "score": 1.0, + "content": "(convergence) in SAC-Replay.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 666, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 303, + 680 + ], + "score": 1.0, + "content": "• Sub-optimal dataset consisting of the initial", + "type": "text" + }, + { + "bbox": [ + 304, + 668, + 324, + 678 + ], + "score": 0.85, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 666, + 506, + 680 + ], + "score": 1.0, + "content": "of the trajectories (50M transitions) of the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 113, + 678, + 460, + 691 + ], + "spans": [ + { + "bbox": [ + 113, + 678, + 460, + 691 + ], + "score": 1.0, + "content": "near-optimal dataset for each task, where the proportion of expert data decreases a lot.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37.5 + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "To visualize the optimality of each dataset clearly, we plot the univariate distribution of return in each", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 710, + 437, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 437, + 723 + ], + "score": 1.0, + "content": "kind of dataset in Fig. 12. Our dataset is available at https://bit.ly/3MWf40w.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5 + } + ], + "page_idx": 19, + "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": [ + 107, + 72, + 213, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 214, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 214, + 86 + ], + "score": 1.0, + "content": "E.2 Statistical Analysis", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 93, + 505, + 203 + ], + "lines": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "Following SynthER [38], we measure the Dynamics Error (MSE between the augmented next state", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 504, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 504, + 116 + ], + "score": 1.0, + "content": "and true next state), and L2 Distance from Dataset (minimum L2 distance of each datapoint from", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "the dataset) for the augmented data of each method (i.e., MTDIFF-S, S4RL and RAD), as shown in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 403, + 139 + ], + "score": 1.0, + "content": "Table 4. Since S4RL performs data augmentation by adding data within the", + "type": "text" + }, + { + "bbox": [ + 404, + 128, + 409, + 136 + ], + "score": 0.71, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 126, + 505, + 139 + ], + "score": 1.0, + "content": "-ball of the original data", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "score": 1.0, + "content": "points, it has the smallest dynamics error with a small ϵ. RAD performs random amplitude scaling", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 149, + 506, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 506, + 160 + ], + "score": 1.0, + "content": "and causes the largest dynamics error. We remark that S4RL performs local data augmentation around", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 160, + 506, + 171 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 506, + 171 + ], + "score": 1.0, + "content": "the original data and can be limited in expanding the data coverage of offline datasets. In contrast,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 169, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 506, + 183 + ], + "score": 1.0, + "content": "our method generates data via diffusion model without explicit constraints to the original data points,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 180, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 104, + 180, + 506, + 194 + ], + "score": 1.0, + "content": "which also has small dynamics error and significantly improves the data coverage, benefiting the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 191, + 186, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 186, + 205 + ], + "score": 1.0, + "content": "offline RL training.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5.5, + "bbox_fs": [ + 104, + 93, + 506, + 205 + ] + }, + { + "type": "table", + "bbox": [ + 173, + 243, + 435, + 290 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 214, + 500, + 227 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 213, + 501, + 227 + ], + "spans": [ + { + "bbox": [ + 109, + 213, + 501, + 227 + ], + "score": 1.0, + "content": "Table 4: Comparing L2 distance from the training dataset and dynamics error under each method.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "table_body", + "bbox": [ + 173, + 243, + 435, + 290 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 173, + 243, + 435, + 290 + ], + "spans": [ + { + "bbox": [ + 173, + 243, + 435, + 290 + ], + "score": 0.975, + "html": "
MethodsDynamics ErrorL2 Distance from Dataset
MTDIFF-S0.01740.4552
S4RL0.00010.4024
RAD0.06410.4617
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Diffusion models are bottlenecked by their slow sampling speed, which caps the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 383, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 397 + ], + "score": 1.0, + "content": "potential of MTDIFF for real-time control. How to trade off the sampling speed and generative", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "quality remains to be a crucial research topic. 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We can improve the inference speed by leveraging a recent sampler called DPM-solver [37, 36]", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 275, + 441 + ], + "score": 1.0, + "content": "to decrease the diffusion steps required to", + "type": "text" + }, + { + "bbox": [ + 275, + 428, + 297, + 439 + ], + "score": 0.88, + "content": "0 . 2 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "without any loss in performance, and using a larger", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "batch size (leveraging the parallel computing power of GPUs) to evaluate multiple environments", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 450, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 505, + 462 + ], + "score": 1.0, + "content": "at once. Thus the evaluation run-time roughly matches the run-time of non-diffusion algorithms", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 460, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 474 + ], + "score": 1.0, + "content": "(diffusion step is 1). In addition, consistency models [55] are recently proposed to support one-step", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 506, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 485 + ], + "score": 1.0, + "content": "and few-step generation, while the upper performance of what such models can achieve is still vague.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 372, + 506, + 485 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 497, + 505, + 541 + ], + "lines": [ + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "score": 1.0, + "content": "Broader Impacts. As far as we know, MTDIFF is the first proposed diffusion-based approach", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 507, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 521 + ], + "score": 1.0, + "content": "for multi-task reinforcement learning. It could be applied to multi-task decision-making, and also", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "could be used to synthesize more data to boost policy improvement. MTDIFF provides a solution for", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 529, + 313, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 313, + 543 + ], + "score": 1.0, + "content": "achieving generalization in reinforcement learning.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 496, + 505, + 543 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 559, + 219, + 572 + ], + "lines": [ + { + "bbox": [ + 106, + 557, + 220, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 220, + 574 + ], + "score": 1.0, + "content": "G Dataset collection", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 585, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "Meta-World. We train Soft Actor-Critic (SAC) [18] policy in isolation for each task from scratch", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 596, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 506, + 608 + ], + "score": 1.0, + "content": "until convergence. Then we collect 1M transitions from the SAC replay buffer for each task,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "score": 1.0, + "content": "consisting of recording samples in the replay buffer observed during training until the policy reaches", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 618, + 499, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 499, + 631 + ], + "score": 1.0, + "content": "the convergence of performance. 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MethodsCheetah-velAnt-dir
MTDIFF-P-29.09± 0.31602.17 ± 1.68
PromptDT-34.43±2.33409.81士9.69
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To further verify our claim, we train", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "our model on the publicly available PromptDT datasets [69], i.e., Cheetah-vel and Ant-dir. These", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 435, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 104, + 435, + 506, + 453 + ], + "score": 1.0, + "content": "chosen environments have been judiciously selected due to their inherent diversity of tasks, serving", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "score": 1.0, + "content": "as a robust test to validate the capability of multi-task learning. We report the scores (mean and std", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 460, + 200, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 200, + 471 + ], + "score": 1.0, + "content": "for 3 seeds) in Table 5.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 15, + "bbox_fs": [ + 104, + 328, + 507, + 471 + ] + }, + { + "type": "table", + "bbox": [ + 196, + 518, + 415, + 555 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 479, + 504, + 503 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 479, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 506, + 492 + ], + "score": 1.0, + "content": "Table 5: Average scores obtained by MTDIFF-P and PromptDT across 3 seeds. We observed that", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 489, + 460, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 460, + 505 + ], + "score": 1.0, + "content": "MTDIFF-P outperforms PromptDT largely, demonstrating its high efficacy and potency.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22.5 + }, + { + "type": "table_body", + "bbox": [ + 196, + 518, + 415, + 555 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 196, + 518, + 415, + 555 + ], + "spans": [ + { + "bbox": [ + 196, + 518, + 415, + 555 + ], + "score": 0.972, + "html": "
MethodsCheetah-velAnt-dir
MTDIFF-P-29.09± 0.31602.17 ± 1.68
PromptDT-34.43±2.33409.81士9.69
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TasksReturn on near-optimal datasetReturn on sub-optimal dataset
basketball-v22735.7 ±1927.72762.7±1928.8
bin-picking-v2733.7 ± 1211.859.6 ± 32.3
button-press-topdown-v21491.6 ± 390.91395.8 ± 332.6
button-press-v22419.2 ± 413.72730.4 ± 514.3
button-press-wall-v23474.7 ± 887.62613.1 ± 906.8
coffee-button-v23157.9 ± 1274.31649.4 ± 869.5
coffee-pull-v2437.5 ± 597.398.8 ± 115.4
coffee-push-v2463.7 ± 729.171.3 ± 55.7
dial-turn-v22848.1 ± 996.32244.5 ± 881.5
disassemble-v2369.9 ± 265.4372.3 ± 623.2
door-close-v24325.2 ± 377.64270.4 ± 460.1
door-lock-v23215.1 ± 857.53082.4±1041.4
door-open-v23458.1 ± 960.52457.0 ± 833.0
door-unlock-v22082.6 ± 1568.43078.8 ± 1158.1
hand-insert-v2927.9 ± 1527.6288.8 ± 932.1
drawer-close-v24824.5 ± 8.84825.3 ± 22.3
drawer-open-v23530.4 ± 1512.62218.8 ± 529.3
faucet-open-v23877.4± 598.14245.6 ± 575.2
faucet-close-v24167.1 ± 418.84624.1 ± 107.5
handle-press-side-v23423.3 ± 1075.63995.8 ± 1130.0
handle-press-v23397.9 ±1752.13125.4 ± 1724.7
handle-pull-side-v23141.5 ± 1775.41474.2 ±1392.9
handle-pull-v22845.7 ± 1970.62856.8 ± 1699.8
lever-pull-v23383.5 ±1299.23125.6 ±1433.1
peg-insert-side-v2915.1 ± 1624.8497.8 ± 1015.3
pick-place-wall-v2649.8 ± 1288.6288.2± 988.1
pick-out-of-hole-v21792.8 ± 1959.9700.5 ± 1190.3
reach-v24144.2 ± 645.4966.4 ± 842.9
push-back-v297.2 ± 611.3566.3 ± 1042.9
push-v2142.0 ± 335.764.6 ± 98.2
pick-place-v2166.0 ± 759.27.3 ± 4.8
plate-slide-v24096.4 ± 1202.54306.3 ± 495.8
plate-slide-side-v22910.3 ± 616.12989.0± 1044.1
plate-slide-back-v24378.5 ± 373.03963.4 ± 927.3
plate-slide-back-side-v23872.0 ± 1151.64186.5 ± 772.6
soccer-v2443.5 ± 785.5480.4 ± 994.8
push-wall-v2873.9 ± 1718.3705.2 ± 1535.7
shelf-place-v2204.5 ± 714.3366.1 ± 919.0
sweep-into-v21297.9 ± 1661.5506.2 ± 1368.5
sweep-v21397.1 ± 1922.3599.1 ± 1359.2
window-open-v21453.6 ± 1101.43095.5 ± 751.1
window-close-v22963.9 ± 875.33177.6± 737.8
assembly-v22470.7 ± 1758.6663.7± 28.7
button-press-topdown-wall-v21270.9 ± 214.51199.9 ± 203.7
hammer-v2868.7± 983.41024.4 ± 1024.3
peg-unplug-side-v21439.1 ± 1817.8136.4 ± 508.6
reach-wall-v24249.9 ± 536.04191.4± 412.9
stick-push-v21288.5 ± 1587.3790.1 ± 1097.6
stick-pull-v2601.4± 1346.3287.1 ± 922.8
box-close-v22683.7 ± 1823.42273.3 ± 1707.3
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TasksReturn on near-optimal datasetReturn on sub-optimal dataset
basketball-v22735.7 ±1927.72762.7±1928.8
bin-picking-v2733.7 ± 1211.859.6 ± 32.3
button-press-topdown-v21491.6 ± 390.91395.8 ± 332.6
button-press-v22419.2 ± 413.72730.4 ± 514.3
button-press-wall-v23474.7 ± 887.62613.1 ± 906.8
coffee-button-v23157.9 ± 1274.31649.4 ± 869.5
coffee-pull-v2437.5 ± 597.398.8 ± 115.4
coffee-push-v2463.7 ± 729.171.3 ± 55.7
dial-turn-v22848.1 ± 996.32244.5 ± 881.5
disassemble-v2369.9 ± 265.4372.3 ± 623.2
door-close-v24325.2 ± 377.64270.4 ± 460.1
door-lock-v23215.1 ± 857.53082.4±1041.4
door-open-v23458.1 ± 960.52457.0 ± 833.0
door-unlock-v22082.6 ± 1568.43078.8 ± 1158.1
hand-insert-v2927.9 ± 1527.6288.8 ± 932.1
drawer-close-v24824.5 ± 8.84825.3 ± 22.3
drawer-open-v23530.4 ± 1512.62218.8 ± 529.3
faucet-open-v23877.4± 598.14245.6 ± 575.2
faucet-close-v24167.1 ± 418.84624.1 ± 107.5
handle-press-side-v23423.3 ± 1075.63995.8 ± 1130.0
handle-press-v23397.9 ±1752.13125.4 ± 1724.7
handle-pull-side-v23141.5 ± 1775.41474.2 ±1392.9
handle-pull-v22845.7 ± 1970.62856.8 ± 1699.8
lever-pull-v23383.5 ±1299.23125.6 ±1433.1
peg-insert-side-v2915.1 ± 1624.8497.8 ± 1015.3
pick-place-wall-v2649.8 ± 1288.6288.2± 988.1
pick-out-of-hole-v21792.8 ± 1959.9700.5 ± 1190.3
reach-v24144.2 ± 645.4966.4 ± 842.9
push-back-v297.2 ± 611.3566.3 ± 1042.9
push-v2142.0 ± 335.764.6 ± 98.2
pick-place-v2166.0 ± 759.27.3 ± 4.8
plate-slide-v24096.4 ± 1202.54306.3 ± 495.8
plate-slide-side-v22910.3 ± 616.12989.0± 1044.1
plate-slide-back-v24378.5 ± 373.03963.4 ± 927.3
plate-slide-back-side-v23872.0 ± 1151.64186.5 ± 772.6
soccer-v2443.5 ± 785.5480.4 ± 994.8
push-wall-v2873.9 ± 1718.3705.2 ± 1535.7
shelf-place-v2204.5 ± 714.3366.1 ± 919.0
sweep-into-v21297.9 ± 1661.5506.2 ± 1368.5
sweep-v21397.1 ± 1922.3599.1 ± 1359.2
window-open-v21453.6 ± 1101.43095.5 ± 751.1
window-close-v22963.9 ± 875.33177.6± 737.8
assembly-v22470.7 ± 1758.6663.7± 28.7
button-press-topdown-wall-v21270.9 ± 214.51199.9 ± 203.7
hammer-v2868.7± 983.41024.4 ± 1024.3
peg-unplug-side-v21439.1 ± 1817.8136.4 ± 508.6
reach-wall-v24249.9 ± 536.04191.4± 412.9
stick-push-v21288.5 ± 1587.3790.1 ± 1097.6
stick-pull-v2601.4± 1346.3287.1 ± 922.8
box-close-v22683.7 ± 1823.42273.3 ± 1707.3
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MethodsNear-optimalSub-optimal
CARE [53] (Online)50.8 ± 1.0一
PaCo [56] (Online)57.3 ± 1.31
MTDT20.99 ± 2.6620.63 ± 2.21
PromptDT45.68 ± 1.8439.76 ± 2.79
MTBC60.39 ±0.8634.53 ± 1.25
MTCQL
MTIQL56.21 ± 1.3943.28 ± 0.90
MTDIFF-p (ours)59.53 ± 1.1248.67 ± 1.32
MTDIFF-P-ONEHOT (ours)61.32 ± 0.8948.94± 0.95
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TasksOriginalS4RLRADMTDIFF-S(OURS)
Unseen Tasksbox-close23.46 ± 7.1173.13±3.51(个211%)71.20±4.84(个203%)65.73±8.36 (↑180%)
hand-insert bin-picking30.60±9.7760.20 ± 1.57 (↑ 96%)43.79 ±3.44 (↑43%)70.87 ± 3.59 (↑ 131%)
Seen Taskssweep-into42.13 ± 14.33 91.8 ±1.1472.20 ± 4.17(↑ 71%) 90.53 ±3.52(↓ 1%)43.27 ± 4.38(↑ 2%)55.73 ± 7.63(↑32%)
coffee-push28.60 ± 14.5528.73±8.44(个 0.4%)88.06±9.86(↓4%)92.87 ± 1.11(↑ 1%)
disassemble33.19 ± 2.86(个 16%)74.67 ± 6.79(↑ 161%)
60.20 ±16.2952.20 ± 5.68(↓12%)60.93 ± 20.80(个1%)69.00 ± 4.72(↑ 14.6%)
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MethodsSuccess rate on near-optimal dataset (%)Success rate on sub-optimal dataset (%)
MTDIFF-P59.53±1.1248.67 ±1.32
MTDIFF-P (U-Net)55.67 ± 1.2747.42 ± 0.74
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MethodsCheetah-velAnt-dir
MTDIFF-P-29.09± 0.31602.17 ± 1.68
PromptDT-34.43±2.33409.81士9.69
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TasksReturn on near-optimal datasetReturn on sub-optimal dataset
basketball-v22735.7 ±1927.72762.7±1928.8
bin-picking-v2733.7 ± 1211.859.6 ± 32.3
button-press-topdown-v21491.6 ± 390.91395.8 ± 332.6
button-press-v22419.2 ± 413.72730.4 ± 514.3
button-press-wall-v23474.7 ± 887.62613.1 ± 906.8
coffee-button-v23157.9 ± 1274.31649.4 ± 869.5
coffee-pull-v2437.5 ± 597.398.8 ± 115.4
coffee-push-v2463.7 ± 729.171.3 ± 55.7
dial-turn-v22848.1 ± 996.32244.5 ± 881.5
disassemble-v2369.9 ± 265.4372.3 ± 623.2
door-close-v24325.2 ± 377.64270.4 ± 460.1
door-lock-v23215.1 ± 857.53082.4±1041.4
door-open-v23458.1 ± 960.52457.0 ± 833.0
door-unlock-v22082.6 ± 1568.43078.8 ± 1158.1
hand-insert-v2927.9 ± 1527.6288.8 ± 932.1
drawer-close-v24824.5 ± 8.84825.3 ± 22.3
drawer-open-v23530.4 ± 1512.62218.8 ± 529.3
faucet-open-v23877.4± 598.14245.6 ± 575.2
faucet-close-v24167.1 ± 418.84624.1 ± 107.5
handle-press-side-v23423.3 ± 1075.63995.8 ± 1130.0
handle-press-v23397.9 ±1752.13125.4 ± 1724.7
handle-pull-side-v23141.5 ± 1775.41474.2 ±1392.9
handle-pull-v22845.7 ± 1970.62856.8 ± 1699.8
lever-pull-v23383.5 ±1299.23125.6 ±1433.1
peg-insert-side-v2915.1 ± 1624.8497.8 ± 1015.3
pick-place-wall-v2649.8 ± 1288.6288.2± 988.1
pick-out-of-hole-v21792.8 ± 1959.9700.5 ± 1190.3
reach-v24144.2 ± 645.4966.4 ± 842.9
push-back-v297.2 ± 611.3566.3 ± 1042.9
push-v2142.0 ± 335.764.6 ± 98.2
pick-place-v2166.0 ± 759.27.3 ± 4.8
plate-slide-v24096.4 ± 1202.54306.3 ± 495.8
plate-slide-side-v22910.3 ± 616.12989.0± 1044.1
plate-slide-back-v24378.5 ± 373.03963.4 ± 927.3
plate-slide-back-side-v23872.0 ± 1151.64186.5 ± 772.6
soccer-v2443.5 ± 785.5480.4 ± 994.8
push-wall-v2873.9 ± 1718.3705.2 ± 1535.7
shelf-place-v2204.5 ± 714.3366.1 ± 919.0
sweep-into-v21297.9 ± 1661.5506.2 ± 1368.5
sweep-v21397.1 ± 1922.3599.1 ± 1359.2
window-open-v21453.6 ± 1101.43095.5 ± 751.1
window-close-v22963.9 ± 875.33177.6± 737.8
assembly-v22470.7 ± 1758.6663.7± 28.7
button-press-topdown-wall-v21270.9 ± 214.51199.9 ± 203.7
hammer-v2868.7± 983.41024.4 ± 1024.3
peg-unplug-side-v21439.1 ± 1817.8136.4 ± 508.6
reach-wall-v24249.9 ± 536.04191.4± 412.9
stick-push-v21288.5 ± 1587.3790.1 ± 1097.6
stick-pull-v2601.4± 1346.3287.1 ± 922.8
box-close-v22683.7 ± 1823.42273.3 ± 1707.3
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How +4 ever, SplitNN creates a new attack surface for the adversarial participant, holding +5 back its practical use in the real world. By investigating the adversarial effects +6 of two highly threatening attacks, i.e., property inference and data reconstruction, +7 adapted from security studies of federated learning, we identify the underlying +8 vulnerability of SplitNN. To prevent potential threats and ensure learning guaran +9 tees of SplitNN, we design a privacy-preserving tunnel for information exchange +10 between the guest and the host. The intuition behind our design is to perturb the +11 propagation of knowledge in each direction with a controllable unified solution. +12 To this end, we propose a new activation function named $\mathtt { R } ^ { 3 } \mathtt { e L U }$ , transferring pri +13 vate smashed data and partial loss into randomized responses in forward and back +14 ward propagations, respectively. Moreover, we give the first attempt to achieve +15 a fine-grained privacy budget allocation scheme for SplitNN. The analysis of pri +16 vacy loss proves that our privacy-preserving SplitNN solution provides a tight +17 privacy budget, while the experimental result shows that our solution outperforms +18 existing solutions in attack defense and model usability. + +# 19 1 Introduction + +20 Collaborative learning enables participants from different backgrounds to learn jointly for mutual +21 interests. A well-known collaborative learning paradigm is federated learning (FL) [25], focusing +22 on the coordination of distributed participants. Meanwhile, another paradigm, split neural network +23 learning (SplitNN for short) [19, 11, 4], is designed for vertically partitioned features. The emer +24 gence of SplitNN provides a promising solution to building cooperative models such as two-towers +25 recommendation systems [37, 39]. By combining different features, SplitNN is supposed to be more +26 expressive for tasks like user profiling and recommendation. +27 However, collaborative learning paradigms are faced with severe security issues. Roughly speak +28 ing, there are three kinds of known threats, inference attack [9, 30], reconstruction attack [17, 31], +29 and poisoning attack [33, 18]. The inference attack discloses properties or membership information +30 of data samples, while the reconstruction attack seeks to recover participants’ private data samples. +31 Unlike these two kinds of threats, the poisoning attack [33, 18] aims to put harmful data into collab +32 orative learning for malicious purposes rather than stealing private information. As a result, some +33 defensive solutions have been proposed for federated learning. According to their techniques, these +34 solutions can be classified into three categories: differential privacy solutions [36, 32], homomorphic +35 encryption solutions [38, 21], and secure multiparty computation solutions [12, 27]. +Submitted to 36th Conference on Neural Information Processing Systems (NeurIPS 2022). Do not distribute. +36 Unfortunately, defense solutions for SplitNN are barely discussed, but threatening attacks are con +37 tinuously emerging. We note that the workflow of SplitNN has a unique asymmetric design, which +38 is quite different from FL. Therefore, most solutions for secure FL are not suitable for SplitNN. +39 Secure multiparty computation solutions and homomorphic encryption solutions can achieve ideal +40 data confidentiality in SplitNN. But the overhead introduced is still far away from practical uses. +41 Thus, for the first attempt at a secure SplitNN solution, we will concentrate on privacy leakage is +42 sues caused by property inference and data reconstruction attacks in this paper because they share +43 similar adversarial goals. Instead, poisoning attacks need to be studied separately [7, 24]. +44 We note an inherent contradiction [6] between privacy preservation and model utility in SplitNN. +45 To investigate the privacy leakage risk of SplitNN, we evaluate the adversarial effect of property +46 inference and data reconstruction attacks against recommendation and image classification models +47 built using SplitNN. The results in semi-honest and malicious settings show that both attacks have +48 sufficiently high success rates when disclosing the privacy of the guest or the host. To secure SplitNN +49 against these attacks [17, 30, 29], we give the first privacy-preserving SplitNN solution, stemming +50 privacy leakage from either direction with dynamic privacy budget allocation. +51 Contribution. Through a thorough investigation of the privacy leakage issue in SplitNN, we con +52 firm that the best option of defensive solution for SplitNN is to construct a privacy-preserving tunnel +53 between the split surfaces of the host and guest sides. To this end, we propose a novel activation +54 function named $\mathtt { R } ^ { 3 } \mathtt { e L U }$ , responding to forward and backward propagations in a randomized manner. +55 Furthermore, we propose a fine-grained privacy budget allocation scheme for SplitNN to achieve +56 more efficient perturbations, dynamically allocating the privacy budget in spatial dimension (feature +57 level) and temporal dimension (epoch level). The analysis of privacy loss shows that our solution +58 provides a differential privacy guarantee regarding activations. The evaluation results regarding rec +59 ommendation and classification models show that our solution can outperform the existing solutions +60 in privacy preservation and model usability. + +# 2 Problem Statement + +# 2.1 Split Learning + +Given a training dataset $\boldsymbol { X }$ and model parameters $\pmb { \theta }$ , a learning task is to find approximately optimal $\pmb { \theta }$ by minimizing a pre-defined loss function $\mathcal { L }$ . We assume that the optimizer used is a mini-batch stochastic gradient descent (SGD) algorithm, which updates $\pmb { \theta }$ with a batch input of $\boldsymbol { X }$ iteratively. Assuming the batch size is $N$ , then the total loss of $\pmb \theta$ for a batch input $\pmb { x } = \{ x _ { i } | x _ { i } \in X , i \in$ $[ 1 , N ] \}$ should be $\textstyle \sum _ { x \in x } { \mathcal { L } } ( \theta , x )$ in the $t { \cdot }$ -th training iteration. The gradients of $\pmb { \theta }$ for model updating should be estimated by $\begin{array} { r } { \frac { 1 } { N } \sum _ { x \in x } \nabla _ { \pmb { \theta } } \mathcal { L } ( \pmb { \theta } , x ) } \end{array}$ approximately. Hence, parameters $\pmb { \theta }$ can be updated as $\begin{array} { r } { \pmb { \theta } ^ { t + 1 } = \pmb { \theta } ^ { t } - \frac { 1 } { N } \sum _ { x \in \pmb { x } } \tilde { \nabla } _ { \pmb { \theta } } \tilde { \mathcal { L } } ( \pmb { \theta } , x ) } \end{array}$ . This mini-batch SGD based optimizing procedure should be repeated until the model usability meets the requirement or the maximal count of iterations reaches. + +71 Generally, there are two roles in a two-party SplitNN. We denote by the guest who holds features +72 only and the host who holds both features and labels. According to related studies [34, 14], there +73 exist several split configurations of neural networks. We will focus on the SplitNN designed for +74 vertically partitioned features with labels held by the host only [4, 11]. We denote by $\pmb { \theta } ^ { g }$ , $\pmb \theta ^ { h }$ the +75 partial models of the guest and the host after split and $\pmb { \theta } ^ { k }$ the rest part of the original model. Then +76 the forwarding result Forwar $\mathbb { I } ( \pmb { x } ^ { g } , \pmb { \theta } ^ { g } )$ of the guest should be evaluated locally and passed to the +77 host. The host should merge Forwar $\mathsf { d } ( \boldsymbol { \mathbf { \mathit { x } } } ^ { h } , \boldsymbol { \theta } ^ { h } )$ with Forward $\mathbf { \delta } _ { \cdot } ( { \mathbf { x } } ^ { g } , \mathbf { \delta } ^ { g } )$ using a predefined strategy +78 such as concatenating and averaging. Then the host finishes the rest of the forward propagation +79 $\mathcal { L } ( \mathtt { M e r g e } ( \mathtt { F o r w a r d } ( x ^ { g } , \theta ^ { g } ) , \mathtt { F o r w a r d } ( x ^ { h } , \theta ^ { h } ) ) , \theta ^ { k } )$ and initiates backward propagation, sending +80 the partial loss regarding $\pmb { x } ^ { g }$ and $\pmb { \theta } ^ { g }$ back to the guest. +81 We take a SplitNN based recommendation system as an example and give a benchmark in Table 1. +82 Different merging strategies and two public datasets, MovieLens [15] and BookCrossing [40], have +83 been evaluated. In case of misaligned features, zero padding will be used to retain the shape of fea + +84 ture vectors. We notice that concatenating and element-wise averaging with padding have relatively stable and desirable performance, which will be used as the default setting in the rest of this work. + +Table 1: Top-10 hit ratio of SplitNN based recommendation using different merging strategies. + +
concatenateelement-wiseno split
maxsumaveragemin
MovieLenspadding56.62%56.26%56.35%56.89%57.19%57.21%
non-padding55.38%54.75%54.95%55.72%55.08%
Book Crossingpadding61.70%60.84%60.21%61.16%60.98%61.92%
non-padding58.80%59.34%59.44%59.10%59.02%
+ +# 86 2.2 Threat Model + +In SplitNN, interactions between the guest and the host pose threats to each other. Thus, we will investigate private data leakage threats from either direction. We first assume that the host and the guest are honest but curious about the private data of each other. Moreover, we will consider a more powerful threat model [29], where the guest or the host could be malicious, hijacking the feature space during split learning. In both cases, we take into account property inference and data reconstruction attacks, which are highly threatening attacks identified in collaborative learning. + +93 Property inference attack. Since either role of SplitNN has access to the output of the other’s local +94 model, the adversary can mount a property inference attack [9, 22], inferring properties of private +95 data through observing query input and the corresponding output. By constructing shadow models +96 elaborately, the adversary can steal substantial information from the target. In this way, the adversary +97 acquires the capability of inferring some properties (such as gender and age) of the data samples used +98 for training. Denoted by $F , T$ and $\mathcal { L } _ { F }$ the inference model, target model, and the loss function used +99 for $F$ , the adversarial goal of property inference attack is + +$$ +\mathcal { A } _ { P I A } = \arg \operatorname* { m i n } _ { F } \sum _ { x _ { i } \in \pmb { x } } \mathcal { L } _ { F } ( F ( T ( x _ { i } ) ) , l _ { i } ) , l _ { i } \in \{ 0 , 1 \} . +$$ + +100 Data reconstruction attack. By taking advantage of generative adversarial networks (GANs) [13], a +101 data reconstruction attack [17, 29] becomes possible in collaborative learning. To mount the attack, +102 the adversary augments the training data per iteration by inserting fake samples $_ z$ generated by a +103 generator $G$ . The target model will serve as a discriminator $D$ . The adversary affects the target +104 model by deceiving the target with fake training samples. For correcting the adversary, the target +105 participant is supposed to put more private information into the learning. In this game-style training, +106 the adversary can obtain a generator to reconstruct data samples similar to target private data. The +107 adversarial goal of the data reconstruction attack can be given as + +$$ +\mathcal { A } _ { D R A } = \operatorname* { m i n } _ { G } \operatorname* { m a x } _ { D } \frac { 1 } { | x | } \sum _ { x \in \pmb { x } } l o g D ( x ) + \frac { 1 } { | x | } \sum _ { z \in z } l o g ( 1 - D ( G ( z ) ) ) . +$$ + +108 Feature space hijacking. The property inference and data reconstruction attacks adapted from FL +109 can be mounted by a semi-honest participant, who follows the split learning protocol normally. How +110 ever, a recent attack study dedicated to SplitNN has revealed that a malicious host can achieve more +111 impressive adversarial effects on property inference or data reconstruction by explicitly distorting +112 the objective of split learning. Thus, we also consider the defensive effect of our solution against +113 property inference and data reconstruction attacks using this feature space hijacking approach. + +# 114 3 Privacy-Preserving Split Learning + +115 Our goal is to design an unified defense solution to preserving privacy from both the host and guest’s +116 perspectives. Ideally, the guest wants to collaborate with the host under the condition that the host +117 could disclose no private information and vice versa. According to recent studies [3, 23, 16], artifi +118 cial perturbations of data samples or parameters could prevent privacy leakage effectively. However, +119 different from conventional model publishing scenarios, the host and guest in SplitNN will keep +120 exchanging intermediate results during training. These continuous queries significantly increase the +121 risk of privacy leakage for both sides. Moreover, the attack surface of splitNN is in the middle of +122 neural network propagations, which makes things tricky. Thus, our primary idea to tackle this prob +123 lem is to construct a bidirectional privacy-preserving tunnel for interactions. Recent studies such as +124 [10] have proved that activation functions are more adaptive for perturbed operands than other neu +125 ral network components. Moreover, activation functions have various forms [2], which are flexible +126 for configuration. As a result, we propose a new variant of ReLU as a privacy-preserving interface. + +# 3.1 ${ \bf R } ^ { 3 }$ eLU: Randomized-Response ReLU + +128 Inspired by a randomized response approach [35], we propose a new activation function named +129 $\mathtt { R } ^ { 3 } \mathtt { e L U }$ . The original randomized response method is good at statistical analysis of item sets. But +130 the result of an activation function is commonly a continuous variable. Hence, they cannot be easily +131 combined together. It should also be noted that it is risky to perturb activation functions directly +132 because non-activated results may be flipped unexpectedly. Recall that the original formula of ReLU +133 is $f ( x ) = \operatorname* { m a x } ( 0 , x )$ , $x \in \mathcal { R }$ . Our randomized-response variant will yield a proper substitute for +134 replacing the real activation with a probability of $p$ . If we yield 0 as the substitute, then we can +135 randomly inactivate a part of ReLU results. But nothing has been changed for $x \le 0$ . Because +136 $f ( x ) = 0$ when $x \leq 0$ . Hence, the variant is not completely privacy preserved since $f ( x ) = 0$ also +137 reveals useful information to the adversary. For the completeness of the variant, we generate noisy +138 activations $x ^ { \prime } \ L \mathrm { a p l a c e } ( 0 , \sigma )$ for $x \leq 0$ . Now, we can give the definition of $\mathtt { R } ^ { 3 } \mathtt { e L U }$ as + +$$ +R ^ { 3 } e L U ( x ) = \left\{ \begin{array} { l l } { \mathrm { m a x } ( 0 , x + x ^ { \prime } ) , } & { \mathrm { ~ w i t h ~ p r o b a b i l i t y } \ p , } \\ { 0 , } & { \mathrm { ~ w i t h ~ p r o b a b i l i t y } \ ( 1 - p ) . } \end{array} \right. +$$ + +139 We remark that the way $\mathtt { R } ^ { 3 } \mathtt { e L U }$ handles non-activated results is dangerous, although learning ac +140 curacy is often traded off for privacy. But we will mitigate the side effect through privacy budget +141 allocation. Then the risk of applying $\mathtt { R } ^ { 3 } \mathtt { e L U }$ will not be a problem. + +# 3.2 Forward Propagation with $\mathbf { R ^ { 3 } e L U }$ + +143 Now we show how to apply $\mathtt { R } ^ { 3 } \mathtt { e L U }$ in the forward pass of SplitNN regarding the guest’s privacy. +144 Generally, when the $t$ -th training iteration begins, the guest randomly samples a mini-batch $_ { \textbf { \em x } }$ from +145 private training dataset $\chi ( g )$ . Assuming that an embedding procedure Embedding() : $\mathcal { R } ^ { M } \gets$ +146 $\mathcal { X }$ is publicly available, raw data samples in the mini-batch can be encoded into feature vectors +147 $V = \{ \pmb { v } _ { 1 } , \pmb { v } _ { 2 } , \ldots , \pmb { v } _ { N } \}$ , $\pmb { v _ { i } } = \{ v _ { 1 } , v _ { 2 } , \dots , v _ { M } \}$ , $i \in [ 1 , N ]$ , and $M$ is the dimension of feature +148 representing space. From the functional perspective, we assume that $\mathcal { L } ( \boldsymbol { v } ^ { h } , \boldsymbol { v } ^ { g } , \boldsymbol { \theta } )$ is equivalent to +149 $\mathcal { L } ( \mathrm { F o r w a r d } ( v ^ { h } , \pmb \theta ^ { h } )$ , Forwar $\mathfrak { l } ( v ^ { g } , \theta ^ { g } ) , \theta ^ { k } )$ , where Forward $( ) : \mathcal { R } ^ { N _ { s } } \gets \mathcal { R } ^ { M }$ is a function to yield +150 the feedforward result of hidden units for a given neural network, and $N _ { s }$ indicates the output shape. +151 We now make the minimal modification of the forward propagation of SplitNN while leaving the +152 rest part unchanged. Denoted by Forward- $\cdot \mathtt { R } ^ { 3 } \mathtt { e L U ( ) }$ the feedforward result of neural network by +153 replacing the activation functions of the guest’s output layer with $\mathtt { R } ^ { 3 } \mathtt { e L U }$ . Then the feedforward +154 result transmitted to the host should be $\pmb { a } ^ { g } = \mathtt { F o r w a r d - R } ^ { 3 } \mathtt { e L U } ( \pmb { v } ^ { g } , \pmb { \theta } ^ { g } )$ . Next, the host executes a pre +155 defined aggregation procedure taking as input $\pmb { a } ^ { g }$ and $\pmb { a } ^ { h }$ . Finally, the loss function will be evaluated +156 by $\mathcal { L } ( \mathrm { F o r w a r d - R } ^ { 3 } \mathrm { e L U } ( v ^ { g } , \pmb { \theta } ^ { g } )$ , Forwar $\mathfrak { i } ( v ^ { h } , \theta ^ { h } ) , \theta ^ { k } )$ . Algorithm 1 in the appendix integrates the +157 above forward propagation using $\mathtt { R } ^ { 3 } \mathtt { e L U }$ into SplitNN. + +# 158 3.3 Privacy-Preserving Backward Propagation + +159 According to recent studies of privacy leakage in backward propagation [26, 31, 8], model updating +160 information may cause severe leakage of private training data. Since the partial loss will be propa +161 gated to the guest in SplitNN, it is crucial to protect the host’s privacy from being disclosed. Fortu +162 nately, our $\mathtt { R } ^ { 3 } \mathtt { e L U }$ is adaptable to noisy partial losses and we design $\mathbb { R } ^ { 3 }$ eLU-Diff in a randomized + +$$ +\begin{array} { r } { \mathrm { R } ^ { 3 } \mathrm { e L U - D i f f } ( \delta ^ { g } , a ^ { g } , v ^ { g } ) = \left\{ \begin{array} { l l } { \delta ^ { g } \times \mathrm { R e L U - D i f f } ( a ^ { g } , v ^ { g } ) + x ^ { \prime } , } & { \mathrm { ~ w i t h ~ p r o b a b i l i t y ~ } ( 1 - p ) , } \\ { 0 , } & { \mathrm { ~ w i t h ~ p r o b a b i l i t y ~ } p . } \end{array} \right. } \end{array} +$$ + +164 Noting that the derivative value of ReLU for any input is either one or zero, randomly flipping the +165 derivative value may still disclose $\delta _ { t } ^ { g }$ when value ones are not flipped. Therefore, we integrate a +166 Laplace mechanism into the $\mathbb { R } ^ { 3 }$ eLU-Diff. Please also note that the constructions of $\mathbb { R } ^ { 3 }$ eLU-Diff and +167 $\mathtt { R } ^ { 3 } \mathtt { e L U }$ are in a similar way. This is helpful to obtain uniform analysis results of two parties, which +168 will be shown in the privacy analysis part. +169 We sketch the backward propagation using $\mathbb { R } ^ { 3 }$ eLU-Diff in Algorithm 2 in the appendix. Briefly, +170 when the $t$ -th backward propagation begins, the host calculates the partial loss $\delta ^ { k } = \nabla _ { \pmb { a } ^ { k } } \mathcal { L } ( l , \bar { \pmb { a } } , \pmb { \theta } _ { t } ^ { k } )$ +171 for $\pmb { \theta } ^ { k }$ regarding the total loss $l$ obtained in forward propagation, where $\bar { \bf a }$ is the averaged activation +172 result. Then a Backward $( ) : \mathcal { R } ^ { N _ { r } } \gets \mathcal { R } ^ { N _ { s } }$ procedure calculates the gradients of model parameters, +173 where $N _ { r }$ is the shape of parameters. To update the guest model, the host sends partial loss $\delta ^ { g }$ for +174 $\pmb { \theta } ^ { g }$ to the guest. To preserve the host’s privacy within $\delta ^ { g }$ , we disturb the partial loss $\delta ^ { g }$ propagating +175 to the guest and keep the partial loss on the host side unchanged. + +# 176 3.4 Dynamic Privacy Budget Allocation + +177 It has been proved that the importance of a parameter can be quantified by the error introduced when +178 it is removed from the model [28]. Thus, we define the importance $I _ { j }$ of a given SplitNN parameter +179 $\theta _ { j } \in \pmb \theta$ as the squared difference of prediction errors caused by removing $\theta _ { j }$ , + +$$ +I _ { j } = ( \mathcal { L } ( \pmb { x } , \pmb { \theta } ) - \mathcal { L } ( \pmb { x } , \pmb { \theta } \setminus \{ \theta _ { j } \} ) ) ^ { 2 } . +$$ + +180 Due to the consideration of efficiency, it is suggested in [28] to estimating the importance by a +181 first-order Taylor expansion approximately. Then the importance of $\theta _ { j }$ is estimated as + +$$ +\hat { I } _ { j } = ( g _ { j } \cdot \theta _ { j } ) ^ { 2 } , +$$ + +182 where $g _ { j }$ is the gradient of the parameter $\theta _ { j }$ regarding a specific sample when $\pmb { \theta }$ is well-trained. +183 Given parameter importance, the importance of features can be derived further. Specifically, the +184 importance of a neuron (or a feature) $U _ { j }$ , $j \in [ 1 , N _ { u } ]$ , where $N _ { u }$ is the total number of neurons +185 in the model, can be calculated as a joint importance of relevant parameters by summing up the +186 importance of all relevant parameters. Hence, $\begin{array} { r } { U _ { j } \ = \ \sum _ { \theta _ { k } \in \tilde { \pmb { \theta } } _ { j } } \hat { I } _ { k } } \end{array}$ , where $\tilde { \theta } _ { j }$ denotes the set of all +187 parameters directly connected to the $j$ -th neuron. +188 However, the above importance estimation method is designed for a well-trained model and cannot +189 be directly applied to intermediate models during training. To tackle this problem, we give a dynamic +190 estimation method by deriving the original method into a cumulative form. The importance of a +191 feature will be accumulated as the training epoch increases. Specifically, the importance of the $j$ -th +192 feature in the $q$ -th training epoch is + +$$ +U _ { j } ^ { q } = \frac { \sum _ { \theta _ { k } \in \tilde { \theta } _ { j } } \hat { I } _ { k } + U _ { j } ^ { q - 1 } \times ( q \times \lfloor T / n _ { t } \rfloor + ( t \bmod n _ { t } ) - 1 ) } { q \times \lfloor T / n _ { t } \rfloor + ( t \bmod n _ { t } ) } , +$$ + +193 where $n _ { t }$ indicates the iteration number within a training epoch, $T$ is the maximum training iteration +194 number, and $t$ is the current training iteration globally. Generally, we assume that $T / n _ { t } = n _ { q }$ +195 $n _ { q } \in \mathcal N$ , which also means that $q \in [ 1 , n _ { q } ]$ . We give the importance estimation results of different +196 neurons in Figure 3 in the appendix, showing the correctness of our dynamic importance estimation +197 method and the existence of unbalanced feature importance. +198 Given the parameter importance estimated dynamically, we are capable of allocating privacy budgets +199 regarding different features. The intuition is to give larger budgets to more important features while +200 smaller budgets to less important ones. Before the $q$ -th training epoch begins, we estimate the +201 feature importance vector $\boldsymbol { U } = \{ U _ { 1 } ^ { q } , U _ { 2 } ^ { q } , \ldots , U _ { N _ { u } } ^ { q } \}$ . Based on $U$ , the corresponding privacy budget +202 to be allocated should be $\epsilon _ { j } \times U _ { j } ^ { q }$ , $j \in [ 1 , N _ { u } ]$ . And the total privacy budget for all features is +203 $\begin{array} { r } { \epsilon _ { F } = \sum _ { j = \in [ 1 , N _ { u } ] } \epsilon _ { j } } \end{array}$ . On the other hand, we can also dynamically allocate privacy budgets for +204 different iterations to optimize the total privacy budget further. Given the total privacy budget $\epsilon _ { T }$ +205 for all iterations, we assign the privacy budget $\begin{array} { r } { \epsilon _ { i } = \frac { \epsilon _ { T } } { 2 ^ { i } } } \end{array}$ to the $i$ -th iteration. Since $\begin{array} { r } { \sum _ { i = 1 } ^ { \infty } \frac { \epsilon _ { T } } { 2 ^ { i } } = \epsilon _ { T } } \end{array}$ , +206 according to the sequential composition theory of differential privacy, we can still ensure that the +207 whole training process achieves $\epsilon _ { T }$ -differential privacy. + +# 3.5 Privacy Analysis + +209 We will give the privacy analysis for the host and the guest respectively. In forward propagation, +210 we recall that $\pmb { v } ^ { g } , \pmb { \theta } ^ { g }$ , and $\pmb { a } ^ { g }$ are input features, model parameters, and activation results of the +211 guest. According to the definition of $\mathtt { R } ^ { 3 } \mathtt { e L U }$ , $\pmb { a } ^ { g }$ should be randomly flipped with probability $p$ . For +212 brevity, we denote by $f ( )$ the evaluation of neural network before activation. Then the probability +213 of observing any activation $a _ { o }$ for a given input $v$ should be + +$$ +\begin{array} { l } { \displaystyle P ( a _ { o } = 0 | v ) = p + ( 1 - p ) \int _ { - \infty } ^ { - f ( v ) _ { o } } \frac { 1 } { 2 b } \exp ( - \frac { | v | } { b } ) d v = p + \frac { 1 - p } { 2 } \exp ( \frac { - f ( v ) _ { o } } { b } ) , } \\ { \displaystyle P ( a _ { o } > 0 | v ) = \frac { 1 - p } { 2 b } \exp ( - \frac { | a _ { 0 } - f ( v ) _ { o } | } { b } ) . } \end{array} +$$ + +214 Then we can give the following conclusion regarding the guest model. The proof is in the appendix. + +Corollary 1. When forward propagation of the guest model is activated by215 $R ^ { 3 } e L U$ in split learning, 216 the activation result is $\epsilon$ -DP, given Laplace noise scale $\sigma _ { g }$ . + +217 For a fine-grained privacy budget allocation, we introduce dynamic budget allocation in our solution. +218 We now give the analysis of feature-specific privacy budget. Given the estimated feature importance +219 vector $\boldsymbol { U } = \{ U _ { 1 } ^ { q } , U _ { 2 } ^ { q } , \dots , U _ { N _ { u } } ^ { q } \}$ , we allocate privacy budget $\epsilon _ { i } = \epsilon U _ { i } ^ { q }$ to each feature. Thus, if the +220 divergence of features can be bounded by their privacy budgets, then the total privacy budget will +221 be bounded. Denoted by $b _ { i }$ and $c _ { i }$ the noise parameter and bound of the $i$ -th feature. Then we can +222 account the divergence of features as + +$$ +\begin{array} { r l } & { \frac { P \left( a _ { i } > 0 | v \right) } { P \left( a _ { i } > 0 | v ^ { \prime } \right) } = \frac { \frac { 1 - p } { 2 b } \exp \left( - \frac { \left| a _ { i } - f ( v ) _ { i } \right| } { b _ { i } } \right) } { \frac { 1 - p } { 2 b } \exp \left( - \frac { \left| a _ { i } - f ( v ^ { \prime } ) _ { i } \right| } { b _ { i } } \right) } \leq \exp ( \frac { \left| a _ { i } - f ( v ^ { \prime } ) _ { i } \right| - \left| a _ { i } - f ( v ) _ { i } \right| } { b _ { i } } ) \leq \exp ( \frac { 2 c _ { i } } { b _ { i } } ) } \\ & { \frac { P \left( a _ { i } = 0 | v \right) } { P \left( a _ { i } = 0 | v ^ { \prime } \right) } = \frac { p + \frac { 1 - p } { 2 } e x p \left( - \frac { f ( v ) _ { i } } { b _ { i } } \right) } { p + \frac { 1 - p } { 2 } e x p \left( - \frac { f ( v ^ { \prime } ) _ { i } } { b _ { i } } \right) } \leq \frac { p + \frac { 1 - p } { 2 } e x p \left( \frac { c _ { i } } { b _ { i } } \right) } { p + \frac { 1 - p } { 2 } e x p \left( \frac { - c _ { i } } { b _ { i } } \right) } \leq \exp ( \frac { 2 c _ { i } } { b _ { i } } ) } \end{array} +$$ + +223 Basing on this result, we can conclude the following corollary. + +Corollary 2. In forward propagation with $R ^ { 3 } e L U ,$ , the privacy budget of the $i$ -th feature can be bounded by $\epsilon _ { i }$ if we choose $b _ { i }$ to satisfy $\begin{array} { r } { \exp \bigl ( \frac { 2 c _ { i } } { b _ { i } } \bigr ) \leq \exp ( \epsilon _ { i } ) , \forall p \in [ 0 , 1 ] . } \end{array}$ . + +The last analysis result of the guest is privacy budget allocation during the whole training stage. Since we have allocated $\begin{array} { r } { \epsilon = \sum _ { i \in [ 1 , N _ { u } ] } \epsilon _ { i } } \end{array}$ for all features, we can directly conclude that each training step is $\gamma \epsilon$ -DP by following the privacy amplification theory, where $\begin{array} { r } { \gamma = \frac { B } { N } } \end{array}$ is the sampling ratio of a batch regarding the whole training dataset. Now we can give the total privacy budget of the whole training stage using the strong composition theorem. + +Corollary 3. The total privacy budget of the whole training process using $R ^ { 3 } e L U$ is $( \epsilon _ { g } ^ { \prime } , \delta _ { g } ^ { \prime } )$ -DP, where $\begin{array} { r } { \epsilon _ { g } ^ { \prime } = \gamma \epsilon \sqrt { 2 T \ln ( \frac { 1 } { \delta _ { g } ^ { \prime } } ) } + \gamma \epsilon T ( e ^ { \gamma \epsilon } - 1 ) . } \end{array}$ . + +So far, we have given the privacy analysis from the guest perspective. Since we construct $\mathtt { R } ^ { 3 } \mathtt { e L U }$ and $\mathbb { R } ^ { 3 }$ eLU-Diff using the same way and same technique, these two procedures have the same analysis result if we choose the noise scale of host $\sigma _ { h } = \sigma _ { g }$ . In this way, we can conclude the following result for the host. + +Corollary 4. In backward propagation with $R ^ { 3 } e L U$ -Diff, the privacy budget of the host can be bounded by $\epsilon _ { h }$ if we choose $\sigma _ { h } = \sigma _ { g }$ . The total privacy budget of the host in the whole training process is $( \epsilon _ { h } ^ { \prime } , \delta _ { h } ^ { \prime } )$ -DP, where $\begin{array} { r } { \epsilon _ { h } ^ { \prime } = \gamma \epsilon _ { h } \sqrt { 2 T \ln ( \frac { 1 } { \delta _ { h } ^ { \prime } } ) } + \gamma \epsilon _ { h } T ( e ^ { \gamma \epsilon _ { h } } - 1 ) . } \end{array}$ . + +241 We evaluate our privacy-preserving SplitNN solution from two aspects model usability and privacy +242 loss. To be comprehensive, we will compare our solution with the baseline (without any protection) +243 and the most relevant defense solutions, i.e., a primitive Laplace mechanism [5] and DPSGD [1], +244 the most well-known privacy-preserving deep learning solution, in the same setting. We will use +245 the same fixed total privacy budget and the same split way (shown in the appendix) for all solutions. +246 We adapt solutions into recommendation models using two real-world datasets, MovieLens [15], +247 BookCrossing [40], and an image classification model using MNIST [20] dataset. The MovieLens +248 1-M dataset contains 1 million ratings of 4,000 movies collected from 6,000 users and users’ de +249 mographic information such as gender and age. The BookCrossing dataset includes 278,858 users’ +250 demographic information and 1,149,780 ratings of 271,379 books. The MNIST database has 70,000 +251 handwriting image examples. We will use a 32 batch size, a 0.01 learning rate and an Adam opti +252 mizer as default. Since different datasets and defense solutions may require various epochs for split +253 learning, we calculate the metrics when the learning converges, or the privacy budget is drained. All +experimental results are averaged across multiple runs. + +Table 2: Model usability results while preserving the privacy of the guest. + +
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.130.84%32.29%34.03%57.02%55.89%58.18%17.43%30.21%32.41%
0.541.25%43.69%43.87%57.67%56.14%58.54%27.33%58.43%60.38%
1.048.16%49.09%50.56%58.02%56.56%58.42%31.05%75.58%76.60%
2.049.32%50.38%50.49%58.74%56.91%59.24%38.92%92.90%93.53%
4.049.26%50.86%50.73%59.01%57.16%59.26%95.37%95.87%94.12%
+ +Table 3: Model usability results while preserving the privacy of the host. + +
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.131.47%30.68%33.98%57.37%57.46%58.26%27.64%33.45%32.36%
0.541.75%42.31%42.67%58.62%58.24%58.59%55.38%65.28%67.83%
1.047.43%48.29% 50.39%59.49%58.44%59.77%71.95%89.74%88.14%
2.049.86%50.43% 51.47%59.34%59.97%60.27%89.15%92.66%92.52%
4.049.57%50.09%51.62%59.55%60.75%60.66%94.61%95.37%95.01%
+ +# 4.1 Model Usability + +Since artificial perturbation may affect the learning procedure, we will evaluate how SplitNN is affected by privacy-preserving solutions. Moreover, two asymmetric parties of SplitNN may have different privacy concerns and affect learning differently. Thus, we will evaluate model usability concerning privacy from the perspective of the guest or the host. We use an averaged test accuracy across all test samples for the evaluation. Precisely, the test accuracy of a recommendation model is calculated using a top-10 hit ratio, while the test accuracy of an image classifier is the prediction accuracy. In Table 2 and Table 3, we show the model usability results regarding various privacy budget values of two parties. We note that model accuracy baselines of Movielens, BookCrossing, and MNIST are $5 6 . 6 2 \%$ , $6 1 . 7 0 \%$ , and $9 8 . 0 0 \%$ , respectively. + +265 For the MovieLens model, our solution achieves the best model usability in most cases, especially +266 with less privacy budget. DPSGD has a better result when $\epsilon = 4$ for the guest. But DPSGD will +267 cause a significant privacy leakage in this case. For the BookCrossing model, the model usability of +268 our solution is relatively high in cases of protecting the guest and the host. Similarly, DPSGD has a +269 better result when $\epsilon = 4$ for the host, sacrificing the privacy guarantee. Things are a bit different for +270 the MNIST model. DPSGD gets some better results when protecting the host. The reason is that split +271 learning for an image classification model segments image samples roughly, making our dynamic +272 budget allocation approach malfunction. Meanwhile, DPSGD is not designed for protecting partial +273 loss in SplitNN, leading to an optimistic estimation of the threat against the host. Apart from these +274 exceptional cases, our solution outperforms other solutions on model usability. + +We will evaluate the performance of privacy preservation by comparing attack results against SplitNN with and without the defense. We will mount property inference and data reconstruction attacks against the guest and the host, respectively. Prediction accuracy of the adversary’s inference model will be used to measure the performance of the property inference attack. As for the data reconstruction attack, the adversary tries to generate data samples as similar as possible to the target’s private data. In this case, we can use a mean squared error (MSE) between a generated sample and a target data sample to measure the adversarial effect. + +Table 4: Results of defending the guest against property inference attack. + +
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.166.99%77.71%60.99%54.76%73.29%55.78%43.27%53.95%44.33%
0.566.16%74.23%64.16%54.97%74.52%56.33%46.92%54.23%45.59%
1.067.19%78.65%68.18%55.03%74.96%58.65%47.58%54.26%47.51%
2.068.65%73.06%68.56%54.85%74.26%58.14%48.06%54.65%52.87%
4.069.14%76.18%71.91%54.92%74.33%60.76%48.47%54.57%55.73%
+ +Table 5: Results of defending the host against property inference attack. + +
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.153.46%78.59%51.86%54.55%74.35%59.42%60.34%80.29%48.74%
0.553.46%75.64%51.89%54.62%74.36%59.42%59.82%81.92%49.71%
1.053.46%73.54%52.75%54.95%74.39%59.52%59.74%82.80%50.48%
2.053.47%75.05%59.77%54.40%74.39%58.13%60.38%88.88%50.57%
4.0 53.48%79.28%56.52% 54.95%74.39&62.04%60.62%89.73%50.47%
+ +Defense against property inference attack. We give evaluation results of the defensive effect of the guest and the host in Table 4 and Table 5, respectively, inferring the property of users in MovieLens and BookCrossing and an image patch in MNIST. The attack accuracy against baselines of MovieLens, BookCrossing, and MNIST models can achieve above $80 \%$ , $79 \%$ , and $94 \%$ by an adversarial host, $80 \%$ , $78 \%$ , and $57 \%$ by an adversarial guest, respectively. However, our SplitNN solution can effectively mitigate the adversarial effect during training and decrease the attack accuracy significantly. It should be noted that the primitive Laplace mechanism frustrates the inference attack badly because the artificial noise added by the mechanism is indiscriminate, leading to conspicuous damages to the model usability. Even so, our solution has significant advantages on MovieLens and MNIST datasets. In contrast, the primitive Laplace mechanism cannot cover image classification cases, while DPSGD cannot defeat the attack. + +Table 6: Results of defending the guest against data reconstruction attack. + +
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.10.24590.24550.32230.32160.29070.33291.88491.88852.0181
0.50.24530.24510.32220.32020.29020.33291.80241.81371.9875
1.00.24530.24510.32220.32020.29020.32211.78571.75091.9533
2.00.24520.24510.32220.32020.29020.32211.73361.74691.9391
4.00.24520.24510.32220.32020.29020.32211.70141.74401.9206
+ +Defense against data reconstruction attack. We show the defense results against an adversarial host and an adversarial guest in Table 6 and Table 7, respectively. We note that the MSE is measured after the attack model has been trained sufficiently in all cases. The MSEs measured for the attack against baselines of MovieLens, BookCrossing, and MNIST models are 0.2412, 0.2629, and 0.9612 by an adversarial host, 0.2369, 0.2402, and 1.6998 by an adversarial guest, respectively. Please note that these attack results against the baselines are frustrating because the reconstruction attack is hard to succeed in the semi-honest setting. Meanwhile, data samples in two recommendation datasets are similar and embedded with the same feature vectors. This leads to similar reconstruction results and similar MSEs. But we can still conclude from the results that our solution has dominant performance in the defense against reconstruction attacks mounted by either side. + +Table 7: Results of defending the host against data reconstruction attack. + +
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplace DPSGDOursLaplaceDPSGDOurs
0.10.40320.24170.54860.42370.2758 0.50661.28871.08751.8257
0.50.40240.24190.53570.42220.2756 0.51491.27781.06851.7758
1.00.40080.24220.52850.42170.2743 0.52351.26021.04221.7528
2.00.39820.24210.50830.42140.2697 0.51501.26131.03331.7334
4.00.39600.24220.48190.41940.2683 0.50461.25490.99961.7262
+ +Defense against feature space hijacking attacks (FSHA). Please note that property inference and data reconstruction attacks implemented in [29] hijack the learning objective, offering the adversary an advantage over the previous attacks we straightforwardly adapted from FL. In this setting, the malicious attacker trains a generator using the split neural network as a discriminator during the split learning process and uses a gradient-scaling trick to train the generator. Since the generating part is critical to FSHA, we will focus on the defense against the reconstruction. If the generating part fails, the inference attack will be impossible. Here we give the defense results of the MNIST model because FSHA [29] is mainly evaluated using this dataset. We also evaluate our solution for other datasets against FSHA, and the results are given in the appendix. In Figure 1 and Figure 2, we give the reconstruction results of FHSA mounted by an adversarial host and guest against target samples used in [29]. The second row of two figures shows the results of FSHA against baselines. The following rows show that our solution can effectively preserve private data for both the guest and the host, even the privacy budget is relaxed to 4. More practical privacy budget values for defending against FSHA are presented in the appendix. + +![](images/5d55002ab2d6dfac71d890da52a9c0830af623d8489d560b0ffd96277cec9122.jpg) +Figure 1: Reconstruction results of FSHA against the guest’s data in the first row. The following rows are attack results against the original SplitNN and our solution $\epsilon = 0 . 1 , 1 . 0 , 4 . 0 )$ , respectively. + +![](images/d99a43000477360a6be1eb9ff05c9083165fe9d2be66252c97cad28497d968a3.jpg) +Figure 2: Reconstruction results of FSHA against the host’s data in the first row. The following rows are attack results against the original SplitNN and our solution $\mathsf { \bar { \epsilon } } = 0 . 1 , 1 . 0 , 4 . 0 )$ , respectively. + +# 318 5 Conclusion and Limitation + +319 Our privacy-preserving SplitNN solution, built upon a new activation function $\mathtt { R } ^ { 3 } \mathtt { e L U }$ and its deriva +320 tive $\mathbb { R } ^ { 3 }$ eLU-Diff in a randomized-response manner, significantly reduces privacy leakage risk for +321 both the guest and the host. We show that our solution can provide a tight privacy budget for split +322 learning through the privacy analysis. The model usability and privacy loss can be further balanced +323 by our dynamic privacy budget allocation. The experimental evaluation using different datasets +324 shows that our solution outperforms the existing privacy-preserving SplitNN solutions in model us +325 ability and privacy protection. 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[N/A] + +# A.1 Split Leaning with490 $\mathbf { R } ^ { 3 }$ eLU + +491 We give the forward propagation procedure of SplitNN using our $\mathtt { R } ^ { 3 } \mathtt { e L U }$ in Algorithm 1, and the 492 backward propagation procedure of SplitNN using our $\mathbb { R } ^ { 3 }$ eLU-Diff in Algorithm 2. The two algorithms are supplementary materials for Section 3.2 and 3.3. + +# Algorithm 1: forward propagation with $\mathtt { R } ^ { 3 } \mathtt { e L U }$ + +Input: batch size $N$ , data batch $\mathbf { \Delta } _ { \mathbf { \boldsymbol { x } } ^ { g } , \mathbf { \boldsymbol { x } } ^ { h } }$ , encoded label $\textbf { { y } }$ , training indicator $I$ , noise scale $\sigma$ . +Output: loss or prediction. + +$$ +\textbf { 1 } \theta ^ { h } \overset { r } { \longleftarrow } \mathcal { N } ( 0 , 1 ) , \theta ^ { k } \overset { r } { \longleftarrow } \mathcal { N } ( 0 , 1 ) , \theta ^ { g } \overset { r } { \longleftarrow } \mathcal { N } ( 0 , 1 ) +$$ + +// initial + +# Guest: + +2 for $i \gets 1$ to $N$ do +3 $\begin{array} { r l } { | } & { { } v _ { i } ^ { g } E m b e d d i n g ( x _ { i } ^ { g } ) } \end{array}$ ; +4 end +5 $\pmb { v } ^ { g } \{ v _ { 1 } ^ { g } , v _ { 2 } ^ { g } , \dots , v _ { N } ^ { g } \}$ +6 $\pmb { a } ^ { g } \gets F o r u a r d - \mathbb { A } ^ { 3 } e L U ( \pmb { v } ^ { g } , \pmb { \theta } ^ { g } )$ +Host: +7 for $i \gets 1$ to $N$ do +8 $\begin{array} { r l } { \Bigl | } & { { } v _ { i } ^ { h } \gets E m b e d d i n g ( x _ { i } ^ { h } ) } \end{array}$ ; +9 end +10 $\pmb { v } ^ { h } \{ v _ { 1 } ^ { h } , v _ { 2 } ^ { h } , . . . , v _ { N } ^ { h } \}$ +11 $\pmb { a } ^ { h } \gets F o r u a r d ( \pmb { v } ^ { h } , \pmb { \theta } ^ { h } )$ +12 $\bar { \mathbf { \ b { a } } } \gets A v e r a g e ( \mathbf { \ b { a } } ^ { g } , \mathbf { \ b { a } } ^ { h } )$ +13 $\pmb { o } ^ { k } \gets F o r u a r d ( \bar { \pmb { a } } , \pmb { \theta } ^ { k } )$ +14 if $I = =$ train then +15 $l o s s \mathcal { L } ( o ^ { k } , \pmb { y } )$ +16 else +17 pred ← Softmax(ok) +18 end + +// predicting + +Algorithm 2: backward propagation with R3eLU-Diff + +Input: batch size $N$ , feature vectors ${ \pmb v } ^ { g } , { \pmb v } ^ { h }$ , forward results $\pmb { a } ^ { g }$ , $\mathbf { \Omega } _ { \mathbf { { \mathfrak { a } } } ^ { h } }$ , $\bar { \bf a }$ , total loss $l$ , encoded label $\textbf { { y } }$ , learning rate $\eta ^ { g } , \eta ^ { h } , \eta ^ { k }$ , clipping bound $C$ , noise scale $\sigma$ . + +$\theta _ { t + 1 } ^ { g }$ $\theta _ { t + 1 } ^ { h }$ $\widehat { \theta _ { t + 1 } ^ { k } }$ + +# Host: + +1 $\delta ^ { k } \gets \nabla _ { \pmb { a } ^ { k } } \mathcal { L } ( l , \bar { \pmb { a } } , \pmb { \theta } _ { t } ^ { k } )$ +2 $\pmb { g } _ { t } ^ { k } \gets \tt B a c k w a r d ( \delta ^ { k } , \bar { \pmb { a } } , \pmb { \theta } _ { t } ^ { k } )$ +3 $\delta ^ { h } \gets \nabla _ { \mathbf { \boldsymbol { a } } ^ { h } } \mathcal { L } ( \delta ^ { k } , \mathbf { \boldsymbol { a } } ^ { h } , \mathbf { \boldsymbol { \theta } } _ { t } ^ { h } )$ , δ g ← ∇a g L(δ k , a g , θ kt ) +4 $\pmb { g } _ { t } ^ { h } \mathtt { B a c k w a r d } ( \delta ^ { h } , \pmb { v } ^ { h } , \pmb { \theta } _ { t } ^ { h } )$ +5 $\begin{array} { r } { \bar { g } _ { t } ^ { k } \gets \frac { 1 } { N } \sum _ { i \in [ 1 , N ] } g _ { i , t } ^ { k } } \end{array}$ , g¯ht ← 1N Pi∈[1,N ] ghi,t +6 $\pmb { \theta } _ { t + 1 } ^ { k } \pmb { \theta } _ { t } ^ { k } - \eta ^ { k } \bar { \pmb { g } } _ { t } ^ { k }$ , θ ht+ 1 ← θ ht − η h g¯ ht +7 $\begin{array} { r } { \hat { \delta } ^ { g } \gets \delta ^ { g } / \operatorname* { m a x } ( 1 , \frac { | | \delta ^ { g } | | _ { 1 } } { C } ) } \end{array}$ +8 ${ \tilde { \delta } } ^ { g } \gets R ^ { 3 } e L U - D i f f ( \hat { \delta } ^ { g } , { \pmb a } ^ { g } , { \pmb v } ^ { g } )$ + +# Guest: + +10 9 $\pmb { \mathscr { g } } _ { t } ^ { g } \gets \tt B a c k w a r d ( \tilde { \delta } ^ { g } , \pmb { a } ^ { g } , \pmb { \theta } _ { t } ^ { g } )$ $\begin{array} { r } { \bar { g } _ { t } ^ { g } \frac { 1 } { N } \sum _ { i \in [ 1 , N ] } g _ { i , t } ^ { g } } \end{array}$ +11 $\pmb { \theta } _ { t + 1 } ^ { g } \pmb { \theta } _ { t } ^ { g } - \eta ^ { g } \bar { \pmb { g } } _ { t } ^ { g }$ + +495 Here we give the proof of our Corollary 1 in detail for the privacy analysis in Section 3.5. + +496 Proof. Without loss of generality, we assume an activation result $\pmb { a } = \{ a _ { 1 } = 0 , a _ { 2 } = 0 , . . . , a _ { o } =$ +497 $0 , a _ { o + 1 } > 0 , . . . , a _ { N _ { s } } > 0 \}$ . Then the difference of activations for two neighboring feature vectors +498 $v , v ^ { \prime }$ can be bounded by + +$$ +\begin{array} { r l } & { \frac { \hat { \rho } _ { \mathrm { e f f } } } { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } } \\ & { = \underset { \hat { \rho } _ { \mathrm { e f f } } } { \sum } \frac { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { 2 } } \\ & { = \underset { \hat { \rho } _ { \mathrm { e f f } } } { \sum } \frac { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { 2 } + \underset { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { \sum } ( \frac { 1 - \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { 2 } ) ^ { 2 } \underset { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { \sum } \frac { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } - \underset { \hat { \rho } { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { \sum } \frac { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } - \underset { \hat { \rho } { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { \sum } \frac { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { 2 } } } { \frac { \hat { \rho } { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { 2 } } } \\ & - \underset { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { \sum } \frac { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } ( \frac { 1 - \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { 2 } ) + \underset { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { \sum } \frac { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { 2 } } \\ & \underset { \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { \sum } \frac \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } ( \frac { 1 - \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } } { 2 } ) + \underset { \hat { \rho } _ { \mathrm { e f f } } } { \sum } \frac \hat { \rho } _ { \mathrm { e f f } } ^ { ( 0 ) } ( \frac 1 - \hat { \rho } _ \ \end{array} +$$ + +We assume 499 $| f ( \boldsymbol { v } ) _ { i } | \le c _ { g }$ and $\begin{array} { r } { b \leq \frac { c _ { g } } { l n 2 } } \end{array}$ , then the RHS + +$$ +\begin{array} { r l } & { \leq \displaystyle \prod _ { i = 1 } ^ { o } \frac { 1 + p } { p \exp \left( \frac { - c _ { q } } { b } \right) + \frac { 1 - p } { 2 } } \times \prod _ { i = o + 1 } ^ { N _ { s } } \exp ( \frac { | f ( v ^ { \prime } ) _ { i } - f ( v ) _ { i } | } { b } ) } \\ & { \leq \displaystyle \prod _ { i = 1 } ^ { o } \frac { \frac { 1 + p } { 2 } } { \exp \left( \frac { - c _ { q } } { b } \right) } \times \prod _ { i = o + 1 } ^ { N _ { s } } \exp ( \frac { | f ( v ^ { \prime } ) _ { i } - f ( v ) _ { i } | } { b } ) } \\ & { \leq ( \frac { \frac { 1 + p } { 2 } } { \exp \left( \frac { - c _ { q } } { b } \right) } ) ^ { o } \times \exp ( \frac { \Delta f } { b } ) } \\ & { = \exp ( \epsilon ) } \end{array} +$$ + +Thus, we have 500 $\begin{array} { r } { N _ { S } ( \frac { c _ { g } } { \sigma _ { g } } + \ln ( \frac { 1 + p } { 2 } ) ) + \frac { \Delta f } { \sigma _ { g } } = \epsilon } \end{array}$ + +# 01 A.3 Evaluation of Dynamic Parameter Importance Estimation + +502 Additionally, we evaluate the effectiveness of our feature importance estimation method and give +503 the result here. We compare the estimating results between parameter importance estimated in the +504 model’s finally stable state and parameter importance estimated in our dynamic manner. The result +505 is shown in Figure 3. We can conclude from the result that our dynamic parameter importance +506 estimation approach can achieve desirable effectiveness. +507 We aim to estimate the importance of parameters precisely during privacy-preserving split learning. +508 But it is difficult to get the same result with the estimation in a non-perturbed case. By carefully +509 constructing the dynamic estimation method, we can obtain dynamic estimation results of noisy pa +510 rameters quite close to a baseline estimation result in the stable state without any privacy protection. +511 In Figure 4, we show the result of our dynamic importance estimation approach. We can find that + +![](images/aafcddffd9067c039a6290fd9e1360c514c420865120ee14fe885d817fa4fca4.jpg) +Figure 3: Comparison of parameter importance estimation results. + +512 artificial noise introduced by our privacy-preserving SplitNN solution will affect the estimation of 513 parameter importance. But the growth tendency keep the same as the baseline. This is good enough 514 for us since we use the proportionality factor of each parameter to calculate the budget allocation, which will not be influenced by the magnitude. + +![](images/8a7aefd96f06efd5ead816fe55aee5b053865794c47fd0ff969453a980ef28fd.jpg) +Figure 4: Importance of noisy parameters estimated dynamically in logarithm. + +# 516 A.4 Supplementary Results for Evaluation + +517 The neural networks we used for the MovieLens, BookCrossing, and MNIST datasets after split are +518 shown in Tab 8, Table 9, and Table 10. These networks are commonly used in related studies. We +519 split them according to the interpretation of SplitNN in [4, 11, 29]. +520 To further investigate how our solution affects the learning process of SplitNN, we report learning +521 results of a MovieLens recommendation model protecting the privacy of the guest and the host +522 in Figure 5 and 6, respectively. In each plot, we show trends of training loss, training accuracy, +523 and testing accuracy as the training epoch increases. We can conclude from these figures that our +524 solution achieve satisfying model usability with small privacy budget for either side of SplitNN. +525 We notice that FSHA is sensitive to our privacy-preserving SplitNN solution. In Figure 1 and Fig +526 ure 2, we find that neither an adversarial host nor an adversarial guest can reconstruct meaningful +527 samples, even if the target’s privacy budget is $\epsilon = 4$ . Therefore, we are curious about a practical +528 choice of the privacy budget when dealing with FSHA. To this end, we give more defense results +529 of our solution against FSHA using various privacy budget values in Table 11. We can conclude +530 from the MSE results that two recommendation models prefer relatively low privacy budget, such +531 as $\epsilon = 1 . 0$ . However, it is interesting to see that FSHA attack against an image classification model +532 using SplitNN can be frustrated by our solution using relatively high privacy budget, which also +means a high model usability. + +
Guest LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Host LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Merge Guest Linear(128,128)+ReLU(None,128)16512
Linear(128,64)+ReLU(None,64)8256
Linear(64,3952)+Softmax(None,3952)256880
+ +Table 8: The MovieLens model. + +
Guest LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Host LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Merge Guest
Linear(128,256)+ReLU Linear(256,128)+ReLU(None,256)33024
(None,128)32896
Linear(128,17384)+Softmax(None,10)2242536
+ +Table 9: The BookCrossing model. + +
Guest LayerOutput ShapeParam #
Linear(28*14,128)(None,128)50304
BatchNorm+ReLU Linear(128,64)(None,128) (None,64)8256
Host LayerOutput ShapeParam #
Linear(28*14,128) BatchNorm+ReLU(None,128)50304
(None,128)
Linear(128.64) BatchNorm+ReLU(None,64)8256
Merge Guest(None,64)
Linear(64,64)(None,64)4160
BatchNorm+ReLU(None,64)
Linear(64,10)+Softmax(None,10)650
+ +Table 10: The MNIST model. + +Table 11: Defense results against FSHA mounted by an adversarial host. + +
EMovieLensBookCrossingMNIST
baselineOursbaselineOursbaselineOurs
1200Epochs5000 Epochs 455.56761200Epochs5000 Epochs 500.14879000Epochs9000 Epochs 1.98257
0.250.2652 ×10-373.782483.7606
1.9788
0.521.170630.29051.9703
0.759.53128.59841.9534
1.04.49036.12671.9442
2.01.15591.70471.9283
4.00.27190.24781.9209
6.00.10910.16381.9135
8.00.09750.08461.9116
+ +![](images/6aa84e7a7a7d323585e2507047ac52ec9c02b20b5105b3b34eddaafa47cd08db.jpg) +Figure 5: SplitNN learning curve with the guest’s privacy protected by our solution. + +![](images/91509b562043be8ab9c331454f251e0fde0a167ef56febe091f0434fd33868d5.jpg) +Figure 6: SplitNN learning curve with the host’s privacy protected by our solution. \ No newline at end of file diff --git a/parse/dev/fn0FXlXkzL/fn0FXlXkzL_content_list.json b/parse/dev/fn0FXlXkzL/fn0FXlXkzL_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..6d6555a9f1b9df037ca45e3ded70a835eda98cf4 --- /dev/null +++ b/parse/dev/fn0FXlXkzL/fn0FXlXkzL_content_list.json @@ -0,0 +1,1645 @@ +[ + { + "type": "text", + "text": "Secure Split Learning against Property Inference and Data Reconstruction Attacks ", + "text_level": 1, + "bbox": [ + 176, + 122, + 823, + 171 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous Author(s) \nAffiliation \nAddress \nemail ", + "bbox": [ + 423, + 222, + 578, + 276 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 314, + 535, + 330 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Split learning of deep neural networks (SplitNN) has provided a promising solu \n2 tion to learning jointly for the mutual interest of a guest and a host, which may \n3 come from different backgrounds, holding features partitioned vertically. How \n4 ever, SplitNN creates a new attack surface for the adversarial participant, holding \n5 back its practical use in the real world. By investigating the adversarial effects \n6 of two highly threatening attacks, i.e., property inference and data reconstruction, \n7 adapted from security studies of federated learning, we identify the underlying \n8 vulnerability of SplitNN. To prevent potential threats and ensure learning guaran \n9 tees of SplitNN, we design a privacy-preserving tunnel for information exchange \n10 between the guest and the host. The intuition behind our design is to perturb the \n11 propagation of knowledge in each direction with a controllable unified solution. \n12 To this end, we propose a new activation function named $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ , transferring pri \n13 vate smashed data and partial loss into randomized responses in forward and back \n14 ward propagations, respectively. Moreover, we give the first attempt to achieve \n15 a fine-grained privacy budget allocation scheme for SplitNN. The analysis of pri \n16 vacy loss proves that our privacy-preserving SplitNN solution provides a tight \n17 privacy budget, while the experimental result shows that our solution outperforms \n18 existing solutions in attack defense and model usability. ", + "bbox": [ + 148, + 347, + 767, + 618 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "19 1 Introduction ", + "text_level": 1, + "bbox": [ + 148, + 643, + 312, + 660 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "20 Collaborative learning enables participants from different backgrounds to learn jointly for mutual \n21 interests. A well-known collaborative learning paradigm is federated learning (FL) [25], focusing \n22 on the coordination of distributed participants. Meanwhile, another paradigm, split neural network \n23 learning (SplitNN for short) [19, 11, 4], is designed for vertically partitioned features. The emer \n24 gence of SplitNN provides a promising solution to building cooperative models such as two-towers \n25 recommendation systems [37, 39]. By combining different features, SplitNN is supposed to be more \n26 expressive for tasks like user profiling and recommendation. \n27 However, collaborative learning paradigms are faced with severe security issues. Roughly speak \n28 ing, there are three kinds of known threats, inference attack [9, 30], reconstruction attack [17, 31], \n29 and poisoning attack [33, 18]. The inference attack discloses properties or membership information \n30 of data samples, while the reconstruction attack seeks to recover participants’ private data samples. \n31 Unlike these two kinds of threats, the poisoning attack [33, 18] aims to put harmful data into collab \n32 orative learning for malicious purposes rather than stealing private information. As a result, some \n33 defensive solutions have been proposed for federated learning. According to their techniques, these \n34 solutions can be classified into three categories: differential privacy solutions [36, 32], homomorphic \n35 encryption solutions [38, 21], and secure multiparty computation solutions [12, 27]. \nSubmitted to 36th Conference on Neural Information Processing Systems (NeurIPS 2022). Do not distribute. \n36 Unfortunately, defense solutions for SplitNN are barely discussed, but threatening attacks are con \n37 tinuously emerging. We note that the workflow of SplitNN has a unique asymmetric design, which \n38 is quite different from FL. Therefore, most solutions for secure FL are not suitable for SplitNN. \n39 Secure multiparty computation solutions and homomorphic encryption solutions can achieve ideal \n40 data confidentiality in SplitNN. But the overhead introduced is still far away from practical uses. \n41 Thus, for the first attempt at a secure SplitNN solution, we will concentrate on privacy leakage is \n42 sues caused by property inference and data reconstruction attacks in this paper because they share \n43 similar adversarial goals. Instead, poisoning attacks need to be studied separately [7, 24]. \n44 We note an inherent contradiction [6] between privacy preservation and model utility in SplitNN. \n45 To investigate the privacy leakage risk of SplitNN, we evaluate the adversarial effect of property \n46 inference and data reconstruction attacks against recommendation and image classification models \n47 built using SplitNN. The results in semi-honest and malicious settings show that both attacks have \n48 sufficiently high success rates when disclosing the privacy of the guest or the host. To secure SplitNN \n49 against these attacks [17, 30, 29], we give the first privacy-preserving SplitNN solution, stemming \n50 privacy leakage from either direction with dynamic privacy budget allocation. \n51 Contribution. Through a thorough investigation of the privacy leakage issue in SplitNN, we con \n52 firm that the best option of defensive solution for SplitNN is to construct a privacy-preserving tunnel \n53 between the split surfaces of the host and guest sides. To this end, we propose a novel activation \n54 function named $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ , responding to forward and backward propagations in a randomized manner. \n55 Furthermore, we propose a fine-grained privacy budget allocation scheme for SplitNN to achieve \n56 more efficient perturbations, dynamically allocating the privacy budget in spatial dimension (feature \n57 level) and temporal dimension (epoch level). The analysis of privacy loss shows that our solution \n58 provides a differential privacy guarantee regarding activations. The evaluation results regarding rec \n59 ommendation and classification models show that our solution can outperform the existing solutions \n60 in privacy preservation and model usability. ", + "bbox": [ + 145, + 676, + 825, + 781 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 145, + 789, + 826, + 939 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 147, + 90, + 826, + 212 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 147, + 219, + 825, + 324 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 145, + 332, + 826, + 482 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Problem Statement ", + "text_level": 1, + "bbox": [ + 158, + 512, + 366, + 529 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 Split Learning ", + "text_level": 1, + "bbox": [ + 171, + 549, + 313, + 565 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Given a training dataset $\\boldsymbol { X }$ and model parameters $\\pmb { \\theta }$ , a learning task is to find approximately optimal $\\pmb { \\theta }$ by minimizing a pre-defined loss function $\\mathcal { L }$ . We assume that the optimizer used is a mini-batch stochastic gradient descent (SGD) algorithm, which updates $\\pmb { \\theta }$ with a batch input of $\\boldsymbol { X }$ iteratively. Assuming the batch size is $N$ , then the total loss of $\\pmb \\theta$ for a batch input $\\pmb { x } = \\{ x _ { i } | x _ { i } \\in X , i \\in$ $[ 1 , N ] \\}$ should be $\\textstyle \\sum _ { x \\in x } { \\mathcal { L } } ( \\theta , x )$ in the $t { \\cdot }$ -th training iteration. The gradients of $\\pmb { \\theta }$ for model updating should be estimated by $\\begin{array} { r } { \\frac { 1 } { N } \\sum _ { x \\in x } \\nabla _ { \\pmb { \\theta } } \\mathcal { L } ( \\pmb { \\theta } , x ) } \\end{array}$ approximately. Hence, parameters $\\pmb { \\theta }$ can be updated as $\\begin{array} { r } { \\pmb { \\theta } ^ { t + 1 } = \\pmb { \\theta } ^ { t } - \\frac { 1 } { N } \\sum _ { x \\in \\pmb { x } } \\tilde { \\nabla } _ { \\pmb { \\theta } } \\tilde { \\mathcal { L } } ( \\pmb { \\theta } , x ) } \\end{array}$ . This mini-batch SGD based optimizing procedure should be repeated until the model usability meets the requirement or the maximal count of iterations reaches. ", + "bbox": [ + 160, + 580, + 825, + 702 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "71 Generally, there are two roles in a two-party SplitNN. We denote by the guest who holds features \n72 only and the host who holds both features and labels. According to related studies [34, 14], there \n73 exist several split configurations of neural networks. We will focus on the SplitNN designed for \n74 vertically partitioned features with labels held by the host only [4, 11]. We denote by $\\pmb { \\theta } ^ { g }$ , $\\pmb \\theta ^ { h }$ the \n75 partial models of the guest and the host after split and $\\pmb { \\theta } ^ { k }$ the rest part of the original model. Then \n76 the forwarding result Forwar $\\mathbb { I } ( \\pmb { x } ^ { g } , \\pmb { \\theta } ^ { g } )$ of the guest should be evaluated locally and passed to the \n77 host. The host should merge Forwar $\\mathsf { d } ( \\boldsymbol { \\mathbf { \\mathit { x } } } ^ { h } , \\boldsymbol { \\theta } ^ { h } )$ with Forward $\\mathbf { \\delta } _ { \\cdot } ( { \\mathbf { x } } ^ { g } , \\mathbf { \\delta } ^ { g } )$ using a predefined strategy \n78 such as concatenating and averaging. Then the host finishes the rest of the forward propagation \n79 $\\mathcal { L } ( \\mathtt { M e r g e } ( \\mathtt { F o r w a r d } ( x ^ { g } , \\theta ^ { g } ) , \\mathtt { F o r w a r d } ( x ^ { h } , \\theta ^ { h } ) ) , \\theta ^ { k } )$ and initiates backward propagation, sending \n80 the partial loss regarding $\\pmb { x } ^ { g }$ and $\\pmb { \\theta } ^ { g }$ back to the guest. \n81 We take a SplitNN based recommendation system as an example and give a benchmark in Table 1. \n82 Different merging strategies and two public datasets, MovieLens [15] and BookCrossing [40], have \n83 been evaluated. In case of misaligned features, zero padding will be used to retain the shape of fea", + "bbox": [ + 147, + 708, + 825, + 859 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 147, + 867, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "84 ture vectors. We notice that concatenating and element-wise averaging with padding have relatively stable and desirable performance, which will be used as the default setting in the rest of this work. ", + "bbox": [ + 143, + 90, + 825, + 121 + ], + "page_idx": 2 + }, + { + "type": "table", + "img_path": "images/e9c40b2476a516c58dbb249828c7a3791bc241ea3e6449e3d09b9fe3605a3154.jpg", + "table_caption": [ + "Table 1: Top-10 hit ratio of SplitNN based recommendation using different merging strategies. " + ], + "table_footnote": [], + "table_body": "
concatenateelement-wiseno split
maxsumaveragemin
MovieLenspadding56.62%56.26%56.35%56.89%57.19%57.21%
non-padding55.38%54.75%54.95%55.72%55.08%
Book Crossingpadding61.70%60.84%60.21%61.16%60.98%61.92%
non-padding58.80%59.34%59.44%59.10%59.02%
", + "bbox": [ + 189, + 146, + 808, + 227 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "86 2.2 Threat Model ", + "text_level": 1, + "bbox": [ + 150, + 247, + 310, + 262 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In SplitNN, interactions between the guest and the host pose threats to each other. Thus, we will investigate private data leakage threats from either direction. We first assume that the host and the guest are honest but curious about the private data of each other. Moreover, we will consider a more powerful threat model [29], where the guest or the host could be malicious, hijacking the feature space during split learning. In both cases, we take into account property inference and data reconstruction attacks, which are highly threatening attacks identified in collaborative learning. ", + "bbox": [ + 171, + 273, + 825, + 364 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "93 Property inference attack. Since either role of SplitNN has access to the output of the other’s local \n94 model, the adversary can mount a property inference attack [9, 22], inferring properties of private \n95 data through observing query input and the corresponding output. By constructing shadow models \n96 elaborately, the adversary can steal substantial information from the target. In this way, the adversary \n97 acquires the capability of inferring some properties (such as gender and age) of the data samples used \n98 for training. Denoted by $F , T$ and $\\mathcal { L } _ { F }$ the inference model, target model, and the loss function used \n99 for $F$ , the adversarial goal of property inference attack is ", + "bbox": [ + 147, + 371, + 825, + 478 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/0470754d5aae3343adf144c7a4a82f4d1b6bc72e803702e2a70e18d45ce8cb87.jpg", + "text": "$$\n\\mathcal { A } _ { P I A } = \\arg \\operatorname* { m i n } _ { F } \\sum _ { x _ { i } \\in \\pmb { x } } \\mathcal { L } _ { F } ( F ( T ( x _ { i } ) ) , l _ { i } ) , l _ { i } \\in \\{ 0 , 1 \\} .\n$$", + "text_format": "latex", + "bbox": [ + 326, + 483, + 671, + 518 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "100 Data reconstruction attack. By taking advantage of generative adversarial networks (GANs) [13], a \n101 data reconstruction attack [17, 29] becomes possible in collaborative learning. To mount the attack, \n102 the adversary augments the training data per iteration by inserting fake samples $_ z$ generated by a \n103 generator $G$ . The target model will serve as a discriminator $D$ . The adversary affects the target \n104 model by deceiving the target with fake training samples. For correcting the adversary, the target \n105 participant is supposed to put more private information into the learning. In this game-style training, \n106 the adversary can obtain a generator to reconstruct data samples similar to target private data. The \n107 adversarial goal of the data reconstruction attack can be given as ", + "bbox": [ + 140, + 531, + 826, + 652 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/12210c240f57088c00b9acecd121a28ef285eef90a38c642226d3ed94bbddd10.jpg", + "text": "$$\n\\mathcal { A } _ { D R A } = \\operatorname* { m i n } _ { G } \\operatorname* { m a x } _ { D } \\frac { 1 } { | x | } \\sum _ { x \\in \\pmb { x } } l o g D ( x ) + \\frac { 1 } { | x | } \\sum _ { z \\in z } l o g ( 1 - D ( G ( z ) ) ) .\n$$", + "text_format": "latex", + "bbox": [ + 281, + 659, + 715, + 696 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "108 Feature space hijacking. The property inference and data reconstruction attacks adapted from FL \n109 can be mounted by a semi-honest participant, who follows the split learning protocol normally. How \n110 ever, a recent attack study dedicated to SplitNN has revealed that a malicious host can achieve more \n111 impressive adversarial effects on property inference or data reconstruction by explicitly distorting \n112 the objective of split learning. Thus, we also consider the defensive effect of our solution against \n113 property inference and data reconstruction attacks using this feature space hijacking approach. ", + "bbox": [ + 142, + 708, + 826, + 800 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "114 3 Privacy-Preserving Split Learning ", + "text_level": 1, + "bbox": [ + 142, + 818, + 491, + 837 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "115 Our goal is to design an unified defense solution to preserving privacy from both the host and guest’s \n116 perspectives. Ideally, the guest wants to collaborate with the host under the condition that the host \n117 could disclose no private information and vice versa. According to recent studies [3, 23, 16], artifi \n118 cial perturbations of data samples or parameters could prevent privacy leakage effectively. However, \n119 different from conventional model publishing scenarios, the host and guest in SplitNN will keep \n120 exchanging intermediate results during training. These continuous queries significantly increase the \n121 risk of privacy leakage for both sides. Moreover, the attack surface of splitNN is in the middle of \n122 neural network propagations, which makes things tricky. Thus, our primary idea to tackle this prob \n123 lem is to construct a bidirectional privacy-preserving tunnel for interactions. Recent studies such as \n124 [10] have proved that activation functions are more adaptive for perturbed operands than other neu \n125 ral network components. Moreover, activation functions have various forms [2], which are flexible \n126 for configuration. As a result, we propose a new variant of ReLU as a privacy-preserving interface. ", + "bbox": [ + 142, + 851, + 826, + 912 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 90, + 826, + 212 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 ${ \\bf R } ^ { 3 }$ eLU: Randomized-Response ReLU ", + "text_level": 1, + "bbox": [ + 160, + 228, + 475, + 244 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "128 Inspired by a randomized response approach [35], we propose a new activation function named \n129 $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ . The original randomized response method is good at statistical analysis of item sets. But \n130 the result of an activation function is commonly a continuous variable. Hence, they cannot be easily \n131 combined together. It should also be noted that it is risky to perturb activation functions directly \n132 because non-activated results may be flipped unexpectedly. Recall that the original formula of ReLU \n133 is $f ( x ) = \\operatorname* { m a x } ( 0 , x )$ , $x \\in \\mathcal { R }$ . Our randomized-response variant will yield a proper substitute for \n134 replacing the real activation with a probability of $p$ . If we yield 0 as the substitute, then we can \n135 randomly inactivate a part of ReLU results. But nothing has been changed for $x \\le 0$ . Because \n136 $f ( x ) = 0$ when $x \\leq 0$ . Hence, the variant is not completely privacy preserved since $f ( x ) = 0$ also \n137 reveals useful information to the adversary. For the completeness of the variant, we generate noisy \n138 activations $x ^ { \\prime } \\ L \\mathrm { a p l a c e } ( 0 , \\sigma )$ for $x \\leq 0$ . Now, we can give the definition of $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ as ", + "bbox": [ + 140, + 257, + 826, + 424 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/b3148b037841c99614d5cbaf1f43bfc42a0bf4e56fad36e6c6e51d487c19bdfe.jpg", + "text": "$$\nR ^ { 3 } e L U ( x ) = \\left\\{ \\begin{array} { l l } { \\mathrm { m a x } ( 0 , x + x ^ { \\prime } ) , } & { \\mathrm { ~ w i t h ~ p r o b a b i l i t y } \\ p , } \\\\ { 0 , } & { \\mathrm { ~ w i t h ~ p r o b a b i l i t y } \\ ( 1 - p ) . } \\end{array} \\right.\n$$", + "text_format": "latex", + "bbox": [ + 294, + 430, + 699, + 468 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "139 We remark that the way $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ handles non-activated results is dangerous, although learning ac \n140 curacy is often traded off for privacy. But we will mitigate the side effect through privacy budget \n141 allocation. Then the risk of applying $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ will not be a problem. ", + "bbox": [ + 142, + 483, + 825, + 529 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 Forward Propagation with $\\mathbf { R ^ { 3 } e L U }$ ", + "text_level": 1, + "bbox": [ + 160, + 546, + 450, + 563 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "143 Now we show how to apply $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ in the forward pass of SplitNN regarding the guest’s privacy. \n144 Generally, when the $t$ -th training iteration begins, the guest randomly samples a mini-batch $_ { \\textbf { \\em x } }$ from \n145 private training dataset $\\chi ( g )$ . Assuming that an embedding procedure Embedding() : $\\mathcal { R } ^ { M } \\gets$ \n146 $\\mathcal { X }$ is publicly available, raw data samples in the mini-batch can be encoded into feature vectors \n147 $V = \\{ \\pmb { v } _ { 1 } , \\pmb { v } _ { 2 } , \\ldots , \\pmb { v } _ { N } \\}$ , $\\pmb { v _ { i } } = \\{ v _ { 1 } , v _ { 2 } , \\dots , v _ { M } \\}$ , $i \\in [ 1 , N ]$ , and $M$ is the dimension of feature \n148 representing space. From the functional perspective, we assume that $\\mathcal { L } ( \\boldsymbol { v } ^ { h } , \\boldsymbol { v } ^ { g } , \\boldsymbol { \\theta } )$ is equivalent to \n149 $\\mathcal { L } ( \\mathrm { F o r w a r d } ( v ^ { h } , \\pmb \\theta ^ { h } )$ , Forwar $\\mathfrak { l } ( v ^ { g } , \\theta ^ { g } ) , \\theta ^ { k } )$ , where Forward $( ) : \\mathcal { R } ^ { N _ { s } } \\gets \\mathcal { R } ^ { M }$ is a function to yield \n150 the feedforward result of hidden units for a given neural network, and $N _ { s }$ indicates the output shape. \n151 We now make the minimal modification of the forward propagation of SplitNN while leaving the \n152 rest part unchanged. Denoted by Forward- $\\cdot \\mathtt { R } ^ { 3 } \\mathtt { e L U ( ) }$ the feedforward result of neural network by \n153 replacing the activation functions of the guest’s output layer with $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ . Then the feedforward \n154 result transmitted to the host should be $\\pmb { a } ^ { g } = \\mathtt { F o r w a r d - R } ^ { 3 } \\mathtt { e L U } ( \\pmb { v } ^ { g } , \\pmb { \\theta } ^ { g } )$ . Next, the host executes a pre \n155 defined aggregation procedure taking as input $\\pmb { a } ^ { g }$ and $\\pmb { a } ^ { h }$ . Finally, the loss function will be evaluated \n156 by $\\mathcal { L } ( \\mathrm { F o r w a r d - R } ^ { 3 } \\mathrm { e L U } ( v ^ { g } , \\pmb { \\theta } ^ { g } )$ , Forwar $\\mathfrak { i } ( v ^ { h } , \\theta ^ { h } ) , \\theta ^ { k } )$ . Algorithm 1 in the appendix integrates the \n157 above forward propagation using $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ into SplitNN. ", + "bbox": [ + 140, + 573, + 826, + 695 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 702, + 826, + 808 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "158 3.3 Privacy-Preserving Backward Propagation ", + "text_level": 1, + "bbox": [ + 148, + 824, + 511, + 839 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "159 According to recent studies of privacy leakage in backward propagation [26, 31, 8], model updating \n160 information may cause severe leakage of private training data. Since the partial loss will be propa \n161 gated to the guest in SplitNN, it is crucial to protect the host’s privacy from being disclosed. Fortu \n162 nately, our $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ is adaptable to noisy partial losses and we design $\\mathbb { R } ^ { 3 }$ eLU-Diff in a randomized", + "bbox": [ + 142, + 851, + 826, + 911 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/e215613bb56b03a76c75255e176fef19a08260e5be70b1fbdce89a9964a00492.jpg", + "text": "$$\n\\begin{array} { r } { \\mathrm { R } ^ { 3 } \\mathrm { e L U - D i f f } ( \\delta ^ { g } , a ^ { g } , v ^ { g } ) = \\left\\{ \\begin{array} { l l } { \\delta ^ { g } \\times \\mathrm { R e L U - D i f f } ( a ^ { g } , v ^ { g } ) + x ^ { \\prime } , } & { \\mathrm { ~ w i t h ~ p r o b a b i l i t y ~ } ( 1 - p ) , } \\\\ { 0 , } & { \\mathrm { ~ w i t h ~ p r o b a b i l i t y ~ } p . } \\end{array} \\right. } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 205, + 112, + 785, + 150 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "164 Noting that the derivative value of ReLU for any input is either one or zero, randomly flipping the \n165 derivative value may still disclose $\\delta _ { t } ^ { g }$ when value ones are not flipped. Therefore, we integrate a \n166 Laplace mechanism into the $\\mathbb { R } ^ { 3 }$ eLU-Diff. Please also note that the constructions of $\\mathbb { R } ^ { 3 }$ eLU-Diff and \n167 $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ are in a similar way. This is helpful to obtain uniform analysis results of two parties, which \n168 will be shown in the privacy analysis part. \n169 We sketch the backward propagation using $\\mathbb { R } ^ { 3 }$ eLU-Diff in Algorithm 2 in the appendix. Briefly, \n170 when the $t$ -th backward propagation begins, the host calculates the partial loss $\\delta ^ { k } = \\nabla _ { \\pmb { a } ^ { k } } \\mathcal { L } ( l , \\bar { \\pmb { a } } , \\pmb { \\theta } _ { t } ^ { k } )$ \n171 for $\\pmb { \\theta } ^ { k }$ regarding the total loss $l$ obtained in forward propagation, where $\\bar { \\bf a }$ is the averaged activation \n172 result. Then a Backward $( ) : \\mathcal { R } ^ { N _ { r } } \\gets \\mathcal { R } ^ { N _ { s } }$ procedure calculates the gradients of model parameters, \n173 where $N _ { r }$ is the shape of parameters. To update the guest model, the host sends partial loss $\\delta ^ { g }$ for \n174 $\\pmb { \\theta } ^ { g }$ to the guest. To preserve the host’s privacy within $\\delta ^ { g }$ , we disturb the partial loss $\\delta ^ { g }$ propagating \n175 to the guest and keep the partial loss on the host side unchanged. ", + "bbox": [ + 140, + 155, + 826, + 232 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 237, + 826, + 344 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "176 3.4 Dynamic Privacy Budget Allocation ", + "text_level": 1, + "bbox": [ + 151, + 359, + 462, + 375 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "177 It has been proved that the importance of a parameter can be quantified by the error introduced when \n178 it is removed from the model [28]. Thus, we define the importance $I _ { j }$ of a given SplitNN parameter \n179 $\\theta _ { j } \\in \\pmb \\theta$ as the squared difference of prediction errors caused by removing $\\theta _ { j }$ , ", + "bbox": [ + 142, + 386, + 825, + 431 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/7a71be373f6396a47ce0b035e0be0404fee7b05ddf9d4e8a1d5220121b61a70b.jpg", + "text": "$$\nI _ { j } = ( \\mathcal { L } ( \\pmb { x } , \\pmb { \\theta } ) - \\mathcal { L } ( \\pmb { x } , \\pmb { \\theta } \\setminus \\{ \\theta _ { j } \\} ) ) ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 382, + 438, + 616, + 458 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "180 Due to the consideration of efficiency, it is suggested in [28] to estimating the importance by a \n181 first-order Taylor expansion approximately. Then the importance of $\\theta _ { j }$ is estimated as ", + "bbox": [ + 138, + 463, + 826, + 496 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/0e0fb5c301beeddeffb6f4e7567938cb90dce9b506e81b7f4cc9e59aae5ee351.jpg", + "text": "$$\n\\hat { I } _ { j } = ( g _ { j } \\cdot \\theta _ { j } ) ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 446, + 502, + 550, + 522 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "182 where $g _ { j }$ is the gradient of the parameter $\\theta _ { j }$ regarding a specific sample when $\\pmb { \\theta }$ is well-trained. \n183 Given parameter importance, the importance of features can be derived further. Specifically, the \n184 importance of a neuron (or a feature) $U _ { j }$ , $j \\in [ 1 , N _ { u } ]$ , where $N _ { u }$ is the total number of neurons \n185 in the model, can be calculated as a joint importance of relevant parameters by summing up the \n186 importance of all relevant parameters. Hence, $\\begin{array} { r } { U _ { j } \\ = \\ \\sum _ { \\theta _ { k } \\in \\tilde { \\pmb { \\theta } } _ { j } } \\hat { I } _ { k } } \\end{array}$ , where $\\tilde { \\theta } _ { j }$ denotes the set of all \n187 parameters directly connected to the $j$ -th neuron. \n188 However, the above importance estimation method is designed for a well-trained model and cannot \n189 be directly applied to intermediate models during training. To tackle this problem, we give a dynamic \n190 estimation method by deriving the original method into a cumulative form. The importance of a \n191 feature will be accumulated as the training epoch increases. Specifically, the importance of the $j$ -th \n192 feature in the $q$ -th training epoch is ", + "bbox": [ + 140, + 529, + 825, + 621 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 626, + 825, + 702 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/82a5f24ce2f65d372f2c1c7e3769d32f63bc31e9efef2acd96c31911e9599c29.jpg", + "text": "$$\nU _ { j } ^ { q } = \\frac { \\sum _ { \\theta _ { k } \\in \\tilde { \\theta } _ { j } } \\hat { I } _ { k } + U _ { j } ^ { q - 1 } \\times ( q \\times \\lfloor T / n _ { t } \\rfloor + ( t \\bmod n _ { t } ) - 1 ) } { q \\times \\lfloor T / n _ { t } \\rfloor + ( t \\bmod n _ { t } ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 290, + 708, + 705, + 750 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "193 where $n _ { t }$ indicates the iteration number within a training epoch, $T$ is the maximum training iteration \n194 number, and $t$ is the current training iteration globally. Generally, we assume that $T / n _ { t } = n _ { q }$ \n195 $n _ { q } \\in \\mathcal N$ , which also means that $q \\in [ 1 , n _ { q } ]$ . We give the importance estimation results of different \n196 neurons in Figure 3 in the appendix, showing the correctness of our dynamic importance estimation \n197 method and the existence of unbalanced feature importance. \n198 Given the parameter importance estimated dynamically, we are capable of allocating privacy budgets \n199 regarding different features. The intuition is to give larger budgets to more important features while \n200 smaller budgets to less important ones. Before the $q$ -th training epoch begins, we estimate the \n201 feature importance vector $\\boldsymbol { U } = \\{ U _ { 1 } ^ { q } , U _ { 2 } ^ { q } , \\ldots , U _ { N _ { u } } ^ { q } \\}$ . Based on $U$ , the corresponding privacy budget \n202 to be allocated should be $\\epsilon _ { j } \\times U _ { j } ^ { q }$ , $j \\in [ 1 , N _ { u } ]$ . And the total privacy budget for all features is \n203 $\\begin{array} { r } { \\epsilon _ { F } = \\sum _ { j = \\in [ 1 , N _ { u } ] } \\epsilon _ { j } } \\end{array}$ . On the other hand, we can also dynamically allocate privacy budgets for \n204 different iterations to optimize the total privacy budget further. Given the total privacy budget $\\epsilon _ { T }$ \n205 for all iterations, we assign the privacy budget $\\begin{array} { r } { \\epsilon _ { i } = \\frac { \\epsilon _ { T } } { 2 ^ { i } } } \\end{array}$ to the $i$ -th iteration. Since $\\begin{array} { r } { \\sum _ { i = 1 } ^ { \\infty } \\frac { \\epsilon _ { T } } { 2 ^ { i } } = \\epsilon _ { T } } \\end{array}$ , \n206 according to the sequential composition theory of differential privacy, we can still ensure that the \n207 whole training process achieves $\\epsilon _ { T }$ -differential privacy. ", + "bbox": [ + 140, + 753, + 825, + 830 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 835, + 825, + 914 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 89, + 826, + 167 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.5 Privacy Analysis ", + "text_level": 1, + "bbox": [ + 166, + 181, + 330, + 196 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "209 We will give the privacy analysis for the host and the guest respectively. In forward propagation, \n210 we recall that $\\pmb { v } ^ { g } , \\pmb { \\theta } ^ { g }$ , and $\\pmb { a } ^ { g }$ are input features, model parameters, and activation results of the \n211 guest. According to the definition of $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ , $\\pmb { a } ^ { g }$ should be randomly flipped with probability $p$ . For \n212 brevity, we denote by $f ( )$ the evaluation of neural network before activation. Then the probability \n213 of observing any activation $a _ { o }$ for a given input $v$ should be ", + "bbox": [ + 140, + 207, + 825, + 284 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/74c5a070551e85a52f9be169e1cda0ef0b926ba79133ff0c8ff42cd226b209f3.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle P ( a _ { o } = 0 | v ) = p + ( 1 - p ) \\int _ { - \\infty } ^ { - f ( v ) _ { o } } \\frac { 1 } { 2 b } \\exp ( - \\frac { | v | } { b } ) d v = p + \\frac { 1 - p } { 2 } \\exp ( \\frac { - f ( v ) _ { o } } { b } ) , } \\\\ { \\displaystyle P ( a _ { o } > 0 | v ) = \\frac { 1 - p } { 2 b } \\exp ( - \\frac { | a _ { 0 } - f ( v ) _ { o } | } { b } ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 222, + 285, + 774, + 356 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "214 Then we can give the following conclusion regarding the guest model. The proof is in the appendix. ", + "bbox": [ + 148, + 356, + 825, + 371 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Corollary 1. When forward propagation of the guest model is activated by215 $R ^ { 3 } e L U$ in split learning, 216 the activation result is $\\epsilon$ -DP, given Laplace noise scale $\\sigma _ { g }$ . ", + "bbox": [ + 148, + 375, + 825, + 405 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "217 For a fine-grained privacy budget allocation, we introduce dynamic budget allocation in our solution. \n218 We now give the analysis of feature-specific privacy budget. Given the estimated feature importance \n219 vector $\\boldsymbol { U } = \\{ U _ { 1 } ^ { q } , U _ { 2 } ^ { q } , \\dots , U _ { N _ { u } } ^ { q } \\}$ , we allocate privacy budget $\\epsilon _ { i } = \\epsilon U _ { i } ^ { q }$ to each feature. Thus, if the \n220 divergence of features can be bounded by their privacy budgets, then the total privacy budget will \n221 be bounded. Denoted by $b _ { i }$ and $c _ { i }$ the noise parameter and bound of the $i$ -th feature. Then we can \n222 account the divergence of features as ", + "bbox": [ + 138, + 414, + 826, + 505 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/34edd83954eaa414d5c47a5a40ca14ba4257004d7bb0cdea1ec6e8465b1ff57e.jpg", + "text": "$$\n\\begin{array} { r l } & { \\frac { P \\left( a _ { i } > 0 | v \\right) } { P \\left( a _ { i } > 0 | v ^ { \\prime } \\right) } = \\frac { \\frac { 1 - p } { 2 b } \\exp \\left( - \\frac { \\left| a _ { i } - f ( v ) _ { i } \\right| } { b _ { i } } \\right) } { \\frac { 1 - p } { 2 b } \\exp \\left( - \\frac { \\left| a _ { i } - f ( v ^ { \\prime } ) _ { i } \\right| } { b _ { i } } \\right) } \\leq \\exp ( \\frac { \\left| a _ { i } - f ( v ^ { \\prime } ) _ { i } \\right| - \\left| a _ { i } - f ( v ) _ { i } \\right| } { b _ { i } } ) \\leq \\exp ( \\frac { 2 c _ { i } } { b _ { i } } ) } \\\\ & { \\frac { P \\left( a _ { i } = 0 | v \\right) } { P \\left( a _ { i } = 0 | v ^ { \\prime } \\right) } = \\frac { p + \\frac { 1 - p } { 2 } e x p \\left( - \\frac { f ( v ) _ { i } } { b _ { i } } \\right) } { p + \\frac { 1 - p } { 2 } e x p \\left( - \\frac { f ( v ^ { \\prime } ) _ { i } } { b _ { i } } \\right) } \\leq \\frac { p + \\frac { 1 - p } { 2 } e x p \\left( \\frac { c _ { i } } { b _ { i } } \\right) } { p + \\frac { 1 - p } { 2 } e x p \\left( \\frac { - c _ { i } } { b _ { i } } \\right) } \\leq \\exp ( \\frac { 2 c _ { i } } { b _ { i } } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 192, + 506, + 805, + 598 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "223 Basing on this result, we can conclude the following corollary. ", + "bbox": [ + 150, + 604, + 588, + 619 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Corollary 2. In forward propagation with $R ^ { 3 } e L U ,$ , the privacy budget of the $i$ -th feature can be bounded by $\\epsilon _ { i }$ if we choose $b _ { i }$ to satisfy $\\begin{array} { r } { \\exp \\bigl ( \\frac { 2 c _ { i } } { b _ { i } } \\bigr ) \\leq \\exp ( \\epsilon _ { i } ) , \\forall p \\in [ 0 , 1 ] . } \\end{array}$ . ", + "bbox": [ + 163, + 622, + 823, + 656 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The last analysis result of the guest is privacy budget allocation during the whole training stage. Since we have allocated $\\begin{array} { r } { \\epsilon = \\sum _ { i \\in [ 1 , N _ { u } ] } \\epsilon _ { i } } \\end{array}$ for all features, we can directly conclude that each training step is $\\gamma \\epsilon$ -DP by following the privacy amplification theory, where $\\begin{array} { r } { \\gamma = \\frac { B } { N } } \\end{array}$ is the sampling ratio of a batch regarding the whole training dataset. Now we can give the total privacy budget of the whole training stage using the strong composition theorem. ", + "bbox": [ + 169, + 662, + 825, + 742 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Corollary 3. The total privacy budget of the whole training process using $R ^ { 3 } e L U$ is $( \\epsilon _ { g } ^ { \\prime } , \\delta _ { g } ^ { \\prime } )$ -DP, where $\\begin{array} { r } { \\epsilon _ { g } ^ { \\prime } = \\gamma \\epsilon \\sqrt { 2 T \\ln ( \\frac { 1 } { \\delta _ { g } ^ { \\prime } } ) } + \\gamma \\epsilon T ( e ^ { \\gamma \\epsilon } - 1 ) . } \\end{array}$ . ", + "bbox": [ + 173, + 744, + 825, + 786 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "So far, we have given the privacy analysis from the guest perspective. Since we construct $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ and $\\mathbb { R } ^ { 3 }$ eLU-Diff using the same way and same technique, these two procedures have the same analysis result if we choose the noise scale of host $\\sigma _ { h } = \\sigma _ { g }$ . In this way, we can conclude the following result for the host. ", + "bbox": [ + 163, + 795, + 825, + 856 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Corollary 4. In backward propagation with $R ^ { 3 } e L U$ -Diff, the privacy budget of the host can be bounded by $\\epsilon _ { h }$ if we choose $\\sigma _ { h } = \\sigma _ { g }$ . The total privacy budget of the host in the whole training process is $( \\epsilon _ { h } ^ { \\prime } , \\delta _ { h } ^ { \\prime } )$ -DP, where $\\begin{array} { r } { \\epsilon _ { h } ^ { \\prime } = \\gamma \\epsilon _ { h } \\sqrt { 2 T \\ln ( \\frac { 1 } { \\delta _ { h } ^ { \\prime } } ) } + \\gamma \\epsilon _ { h } T ( e ^ { \\gamma \\epsilon _ { h } } - 1 ) . } \\end{array}$ . ", + "bbox": [ + 158, + 858, + 825, + 915 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "241 We evaluate our privacy-preserving SplitNN solution from two aspects model usability and privacy \n242 loss. To be comprehensive, we will compare our solution with the baseline (without any protection) \n243 and the most relevant defense solutions, i.e., a primitive Laplace mechanism [5] and DPSGD [1], \n244 the most well-known privacy-preserving deep learning solution, in the same setting. We will use \n245 the same fixed total privacy budget and the same split way (shown in the appendix) for all solutions. \n246 We adapt solutions into recommendation models using two real-world datasets, MovieLens [15], \n247 BookCrossing [40], and an image classification model using MNIST [20] dataset. The MovieLens \n248 1-M dataset contains 1 million ratings of 4,000 movies collected from 6,000 users and users’ de \n249 mographic information such as gender and age. The BookCrossing dataset includes 278,858 users’ \n250 demographic information and 1,149,780 ratings of 271,379 books. The MNIST database has 70,000 \n251 handwriting image examples. We will use a 32 batch size, a 0.01 learning rate and an Adam opti \n252 mizer as default. Since different datasets and defense solutions may require various epochs for split \n253 learning, we calculate the metrics when the learning converges, or the privacy budget is drained. All \nexperimental results are averaged across multiple runs. ", + "bbox": [ + 140, + 121, + 826, + 333 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/19fa8d7f3c9e21e253a07258817625c776d78886ac1ec53640fd23edf6cd1faa.jpg", + "table_caption": [ + "Table 2: Model usability results while preserving the privacy of the guest. " + ], + "table_footnote": [], + "table_body": "
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.130.84%32.29%34.03%57.02%55.89%58.18%17.43%30.21%32.41%
0.541.25%43.69%43.87%57.67%56.14%58.54%27.33%58.43%60.38%
1.048.16%49.09%50.56%58.02%56.56%58.42%31.05%75.58%76.60%
2.049.32%50.38%50.49%58.74%56.91%59.24%38.92%92.90%93.53%
4.049.26%50.86%50.73%59.01%57.16%59.26%95.37%95.87%94.12%
", + "bbox": [ + 173, + 356, + 818, + 449 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/bdb07497b42895b3e1e8d32965c1edcd5ef018c52387ea3f0310e5ad02101037.jpg", + "table_caption": [ + "Table 3: Model usability results while preserving the privacy of the host. " + ], + "table_footnote": [], + "table_body": "
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.131.47%30.68%33.98%57.37%57.46%58.26%27.64%33.45%32.36%
0.541.75%42.31%42.67%58.62%58.24%58.59%55.38%65.28%67.83%
1.047.43%48.29% 50.39%59.49%58.44%59.77%71.95%89.74%88.14%
2.049.86%50.43% 51.47%59.34%59.97%60.27%89.15%92.66%92.52%
4.049.57%50.09%51.62%59.55%60.75%60.66%94.61%95.37%95.01%
", + "bbox": [ + 174, + 478, + 818, + 570 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 Model Usability ", + "text_level": 1, + "bbox": [ + 169, + 590, + 323, + 606 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Since artificial perturbation may affect the learning procedure, we will evaluate how SplitNN is affected by privacy-preserving solutions. Moreover, two asymmetric parties of SplitNN may have different privacy concerns and affect learning differently. Thus, we will evaluate model usability concerning privacy from the perspective of the guest or the host. We use an averaged test accuracy across all test samples for the evaluation. Precisely, the test accuracy of a recommendation model is calculated using a top-10 hit ratio, while the test accuracy of an image classifier is the prediction accuracy. In Table 2 and Table 3, we show the model usability results regarding various privacy budget values of two parties. We note that model accuracy baselines of Movielens, BookCrossing, and MNIST are $5 6 . 6 2 \\%$ , $6 1 . 7 0 \\%$ , and $9 8 . 0 0 \\%$ , respectively. ", + "bbox": [ + 173, + 617, + 825, + 753 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "265 For the MovieLens model, our solution achieves the best model usability in most cases, especially \n266 with less privacy budget. DPSGD has a better result when $\\epsilon = 4$ for the guest. But DPSGD will \n267 cause a significant privacy leakage in this case. For the BookCrossing model, the model usability of \n268 our solution is relatively high in cases of protecting the guest and the host. Similarly, DPSGD has a \n269 better result when $\\epsilon = 4$ for the host, sacrificing the privacy guarantee. Things are a bit different for \n270 the MNIST model. DPSGD gets some better results when protecting the host. The reason is that split \n271 learning for an image classification model segments image samples roughly, making our dynamic \n272 budget allocation approach malfunction. Meanwhile, DPSGD is not designed for protecting partial \n273 loss in SplitNN, leading to an optimistic estimation of the threat against the host. Apart from these \n274 exceptional cases, our solution outperforms other solutions on model usability. ", + "bbox": [ + 140, + 761, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We will evaluate the performance of privacy preservation by comparing attack results against SplitNN with and without the defense. We will mount property inference and data reconstruction attacks against the guest and the host, respectively. Prediction accuracy of the adversary’s inference model will be used to measure the performance of the property inference attack. As for the data reconstruction attack, the adversary tries to generate data samples as similar as possible to the target’s private data. In this case, we can use a mean squared error (MSE) between a generated sample and a target data sample to measure the adversarial effect. ", + "bbox": [ + 161, + 117, + 825, + 223 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/a201ad635e00a59faaa20a90a18baa7b8c24de53b937ceba395c353ad862ce9e.jpg", + "table_caption": [ + "Table 4: Results of defending the guest against property inference attack. " + ], + "table_footnote": [], + "table_body": "
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.166.99%77.71%60.99%54.76%73.29%55.78%43.27%53.95%44.33%
0.566.16%74.23%64.16%54.97%74.52%56.33%46.92%54.23%45.59%
1.067.19%78.65%68.18%55.03%74.96%58.65%47.58%54.26%47.51%
2.068.65%73.06%68.56%54.85%74.26%58.14%48.06%54.65%52.87%
4.069.14%76.18%71.91%54.92%74.33%60.76%48.47%54.57%55.73%
", + "bbox": [ + 173, + 247, + 820, + 339 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/6a034a3a6722db8008d8a44c39814dad393540630780fb2bc5d2bc8d665c7f91.jpg", + "table_caption": [ + "Table 5: Results of defending the host against property inference attack. " + ], + "table_footnote": [], + "table_body": "
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.153.46%78.59%51.86%54.55%74.35%59.42%60.34%80.29%48.74%
0.553.46%75.64%51.89%54.62%74.36%59.42%59.82%81.92%49.71%
1.053.46%73.54%52.75%54.95%74.39%59.52%59.74%82.80%50.48%
2.053.47%75.05%59.77%54.40%74.39%58.13%60.38%88.88%50.57%
4.0 53.48%79.28%56.52% 54.95%74.39&62.04%60.62%89.73%50.47%
", + "bbox": [ + 173, + 366, + 818, + 458 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Defense against property inference attack. We give evaluation results of the defensive effect of the guest and the host in Table 4 and Table 5, respectively, inferring the property of users in MovieLens and BookCrossing and an image patch in MNIST. The attack accuracy against baselines of MovieLens, BookCrossing, and MNIST models can achieve above $80 \\%$ , $79 \\%$ , and $94 \\%$ by an adversarial host, $80 \\%$ , $78 \\%$ , and $57 \\%$ by an adversarial guest, respectively. However, our SplitNN solution can effectively mitigate the adversarial effect during training and decrease the attack accuracy significantly. It should be noted that the primitive Laplace mechanism frustrates the inference attack badly because the artificial noise added by the mechanism is indiscriminate, leading to conspicuous damages to the model usability. Even so, our solution has significant advantages on MovieLens and MNIST datasets. In contrast, the primitive Laplace mechanism cannot cover image classification cases, while DPSGD cannot defeat the attack. ", + "bbox": [ + 171, + 468, + 826, + 633 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/bc8a18073eb280c6cec516a3f4fa88ddb4b98254eb7dab6c54ba7dffd6ad69be.jpg", + "table_caption": [ + "Table 6: Results of defending the guest against data reconstruction attack. " + ], + "table_footnote": [], + "table_body": "
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.10.24590.24550.32230.32160.29070.33291.88491.88852.0181
0.50.24530.24510.32220.32020.29020.33291.80241.81371.9875
1.00.24530.24510.32220.32020.29020.32211.78571.75091.9533
2.00.24520.24510.32220.32020.29020.32211.73361.74691.9391
4.00.24520.24510.32220.32020.29020.32211.70141.74401.9206
", + "bbox": [ + 173, + 656, + 795, + 750 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Defense against data reconstruction attack. We show the defense results against an adversarial host and an adversarial guest in Table 6 and Table 7, respectively. We note that the MSE is measured after the attack model has been trained sufficiently in all cases. The MSEs measured for the attack against baselines of MovieLens, BookCrossing, and MNIST models are 0.2412, 0.2629, and 0.9612 by an adversarial host, 0.2369, 0.2402, and 1.6998 by an adversarial guest, respectively. Please note that these attack results against the baselines are frustrating because the reconstruction attack is hard to succeed in the semi-honest setting. Meanwhile, data samples in two recommendation datasets are similar and embedded with the same feature vectors. This leads to similar reconstruction results and similar MSEs. But we can still conclude from the results that our solution has dominant performance in the defense against reconstruction attacks mounted by either side. ", + "bbox": [ + 171, + 761, + 825, + 911 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/e22d2aa23c9ecd439e8c8dba1fcb63df64c209b6a8517e61393460789cdd1391.jpg", + "table_caption": [ + "Table 7: Results of defending the host against data reconstruction attack. " + ], + "table_footnote": [], + "table_body": "
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplace DPSGDOursLaplaceDPSGDOurs
0.10.40320.24170.54860.42370.2758 0.50661.28871.08751.8257
0.50.40240.24190.53570.42220.2756 0.51491.27781.06851.7758
1.00.40080.24220.52850.42170.2743 0.52351.26021.04221.7528
2.00.39820.24210.50830.42140.2697 0.51501.26131.03331.7334
4.00.39600.24220.48190.41940.2683 0.50461.25490.99961.7262
", + "bbox": [ + 173, + 111, + 795, + 203 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Defense against feature space hijacking attacks (FSHA). Please note that property inference and data reconstruction attacks implemented in [29] hijack the learning objective, offering the adversary an advantage over the previous attacks we straightforwardly adapted from FL. In this setting, the malicious attacker trains a generator using the split neural network as a discriminator during the split learning process and uses a gradient-scaling trick to train the generator. Since the generating part is critical to FSHA, we will focus on the defense against the reconstruction. If the generating part fails, the inference attack will be impossible. Here we give the defense results of the MNIST model because FSHA [29] is mainly evaluated using this dataset. We also evaluate our solution for other datasets against FSHA, and the results are given in the appendix. In Figure 1 and Figure 2, we give the reconstruction results of FHSA mounted by an adversarial host and guest against target samples used in [29]. The second row of two figures shows the results of FSHA against baselines. The following rows show that our solution can effectively preserve private data for both the guest and the host, even the privacy budget is relaxed to 4. More practical privacy budget values for defending against FSHA are presented in the appendix. ", + "bbox": [ + 145, + 210, + 826, + 421 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/5d55002ab2d6dfac71d890da52a9c0830af623d8489d560b0ffd96277cec9122.jpg", + "image_caption": [ + "Figure 1: Reconstruction results of FSHA against the guest’s data in the first row. The following rows are attack results against the original SplitNN and our solution $\\epsilon = 0 . 1 , 1 . 0 , 4 . 0 )$ , respectively. " + ], + "image_footnote": [], + "bbox": [ + 253, + 429, + 759, + 531 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/d99a43000477360a6be1eb9ff05c9083165fe9d2be66252c97cad28497d968a3.jpg", + "image_caption": [ + "Figure 2: Reconstruction results of FSHA against the host’s data in the first row. The following rows are attack results against the original SplitNN and our solution $\\mathsf { \\bar { \\epsilon } } = 0 . 1 , 1 . 0 , 4 . 0 )$ , respectively. " + ], + "image_footnote": [], + "bbox": [ + 302, + 570, + 707, + 681 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "318 5 Conclusion and Limitation ", + "text_level": 1, + "bbox": [ + 147, + 741, + 428, + 758 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "319 Our privacy-preserving SplitNN solution, built upon a new activation function $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ and its deriva \n320 tive $\\mathbb { R } ^ { 3 }$ eLU-Diff in a randomized-response manner, significantly reduces privacy leakage risk for \n321 both the guest and the host. We show that our solution can provide a tight privacy budget for split \n322 learning through the privacy analysis. The model usability and privacy loss can be further balanced \n323 by our dynamic privacy budget allocation. The experimental evaluation using different datasets \n324 shows that our solution outperforms the existing privacy-preserving SplitNN solutions in model us \n325 ability and privacy protection. We note that our solution deals with property inference and data \n326 reconstruction attacks in a feature level, but a clustering-based label inference attack [8] is out of \n327 our reach, which is an interesting topic to be studied in future work. ", + "bbox": [ + 142, + 775, + 825, + 912 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "References [1] Martin Abadi, Andy Chu, Ian Goodfellow, H Brendan McMahan, Ilya Mironov, Kunal Talwar, and Li Zhang. Deep learning with differential privacy. In ACM SIGSAC conference on computer and communications security, pages 308–318, 2016. [2] Andrea Apicella, Francesco Donnarumma, Francesco Isgrò, and Roberto Prevete. A survey on modern trainable activation functions. 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", + "bbox": [ + 166, + 75, + 828, + 915 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "", + "bbox": [ + 158, + 63, + 828, + 922 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "", + "bbox": [ + 161, + 90, + 828, + 584 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "442 Checklist ", + "text_level": 1, + "bbox": [ + 147, + 601, + 254, + 617 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The checklist follows the references. Please read the checklist guidelines carefully for information on how to answer these questions. For each question, change the default [TODO] to [Yes] , [No] , or [N/A] . You are strongly encouraged to include a justification to your answer, either by referencing the appropriate section of your paper or providing a brief inline description. For example: ", + "bbox": [ + 174, + 632, + 826, + 694 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "• Did you include the license to the code and datasets? [Yes] See Section ??. \n• Did you include the license to the code and datasets? [No] The code and the data are proprietary. \n• Did you include the license to the code and datasets? [N/A] ", + "bbox": [ + 217, + 704, + 825, + 775 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "451 Please do not modify the questions and only use the provided macros for your answers. Note that the \n452 Checklist section does not count towards the page limit. In your paper, please delete this instructions \n453 block and only keep the Checklist section heading above along with the questions/answers below. ", + "bbox": [ + 143, + 786, + 826, + 832 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "1. For all authors... ", + "bbox": [ + 214, + 844, + 341, + 859 + ], + "page_idx": 11 + }, + { + "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] ", + "bbox": [ + 236, + 864, + 825, + 912 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "(c) Did you discuss any potential negative societal impacts of your work? [N/A] (d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 236, + 90, + 825, + 140 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... ", + "bbox": [ + 214, + 143, + 493, + 159 + ], + "page_idx": 12 + }, + { + "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] ", + "bbox": [ + 236, + 164, + 735, + 196 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "3. If you ran experiments... ", + "bbox": [ + 214, + 202, + 393, + 217 + ], + "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] \n(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] \n(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] \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] ", + "bbox": [ + 238, + 222, + 826, + 351 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... ", + "bbox": [ + 214, + 356, + 825, + 371 + ], + "page_idx": 12 + }, + { + "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] \n(c) Did you include any new assets either in the supplemental material or as a URL? [No] \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": [ + 236, + 375, + 825, + 507 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "5. If you used crowdsourcing or conducted research with human subjects... ", + "bbox": [ + 212, + 511, + 705, + 526 + ], + "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, + 531, + 826, + 627 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A.1 Split Leaning with490 $\\mathbf { R } ^ { 3 }$ eLU ", + "text_level": 1, + "bbox": [ + 150, + 127, + 397, + 145 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "491 We give the forward propagation procedure of SplitNN using our $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ in Algorithm 1, and the 492 backward propagation procedure of SplitNN using our $\\mathbb { R } ^ { 3 }$ eLU-Diff in Algorithm 2. The two algorithms are supplementary materials for Section 3.2 and 3.3. ", + "bbox": [ + 142, + 159, + 826, + 205 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Algorithm 1: forward propagation with $\\mathtt { R } ^ { 3 } \\mathtt { e L U }$ ", + "text_level": 1, + "bbox": [ + 174, + 220, + 486, + 236 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Input: batch size $N$ , data batch $\\mathbf { \\Delta } _ { \\mathbf { \\boldsymbol { x } } ^ { g } , \\mathbf { \\boldsymbol { x } } ^ { h } }$ , encoded label $\\textbf { { y } }$ , training indicator $I$ , noise scale $\\sigma$ . \nOutput: loss or prediction. ", + "bbox": [ + 168, + 239, + 776, + 268 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/e4b13087b3ad19c1d4a9be45d7b4b2003cb677f08d77cff90736f2aa3fec12e0.jpg", + "text": "$$\n\\textbf { 1 } \\theta ^ { h } \\overset { r } { \\longleftarrow } \\mathcal { N } ( 0 , 1 ) , \\theta ^ { k } \\overset { r } { \\longleftarrow } \\mathcal { N } ( 0 , 1 ) , \\theta ^ { g } \\overset { r } { \\longleftarrow } \\mathcal { N } ( 0 , 1 )\n$$", + "text_format": "latex", + "bbox": [ + 156, + 273, + 480, + 292 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "// initial ", + "bbox": [ + 710, + 277, + 799, + 291 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Guest: ", + "text_level": 1, + "bbox": [ + 173, + 297, + 222, + 310 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "2 for $i \\gets 1$ to $N$ do \n3 $\\begin{array} { r l } { | } & { { } v _ { i } ^ { g } E m b e d d i n g ( x _ { i } ^ { g } ) } \\end{array}$ ; \n4 end \n5 $\\pmb { v } ^ { g } \\{ v _ { 1 } ^ { g } , v _ { 2 } ^ { g } , \\dots , v _ { N } ^ { g } \\}$ \n6 $\\pmb { a } ^ { g } \\gets F o r u a r d - \\mathbb { A } ^ { 3 } e L U ( \\pmb { v } ^ { g } , \\pmb { \\theta } ^ { g } )$ \nHost: \n7 for $i \\gets 1$ to $N$ do \n8 $\\begin{array} { r l } { \\Bigl | } & { { } v _ { i } ^ { h } \\gets E m b e d d i n g ( x _ { i } ^ { h } ) } \\end{array}$ ; \n9 end \n10 $\\pmb { v } ^ { h } \\{ v _ { 1 } ^ { h } , v _ { 2 } ^ { h } , . . . , v _ { N } ^ { h } \\}$ \n11 $\\pmb { a } ^ { h } \\gets F o r u a r d ( \\pmb { v } ^ { h } , \\pmb { \\theta } ^ { h } )$ \n12 $\\bar { \\mathbf { \\ b { a } } } \\gets A v e r a g e ( \\mathbf { \\ b { a } } ^ { g } , \\mathbf { \\ b { a } } ^ { h } )$ \n13 $\\pmb { o } ^ { k } \\gets F o r u a r d ( \\bar { \\pmb { a } } , \\pmb { \\theta } ^ { k } )$ \n14 if $I = =$ train then \n15 $l o s s \\mathcal { L } ( o ^ { k } , \\pmb { y } )$ \n16 else \n17 pred ← Softmax(ok) \n18 end ", + "bbox": [ + 158, + 310, + 383, + 385 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "", + "bbox": [ + 153, + 390, + 356, + 582 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "// predicting ", + "bbox": [ + 684, + 554, + 800, + 569 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Algorithm 2: backward propagation with R3eLU-Diff ", + "bbox": [ + 176, + 616, + 529, + 631 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Input: batch size $N$ , feature vectors ${ \\pmb v } ^ { g } , { \\pmb v } ^ { h }$ , forward results $\\pmb { a } ^ { g }$ , $\\mathbf { \\Omega } _ { \\mathbf { { \\mathfrak { a } } } ^ { h } }$ , $\\bar { \\bf a }$ , total loss $l$ , encoded label $\\textbf { { y } }$ , learning rate $\\eta ^ { g } , \\eta ^ { h } , \\eta ^ { k }$ , clipping bound $C$ , noise scale $\\sigma$ . ", + "bbox": [ + 173, + 636, + 776, + 664 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "$\\theta _ { t + 1 } ^ { g }$ $\\theta _ { t + 1 } ^ { h }$ $\\widehat { \\theta _ { t + 1 } ^ { k } }$ ", + "bbox": [ + 173, + 664, + 482, + 679 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Host: ", + "text_level": 1, + "bbox": [ + 173, + 684, + 214, + 695 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "1 $\\delta ^ { k } \\gets \\nabla _ { \\pmb { a } ^ { k } } \\mathcal { L } ( l , \\bar { \\pmb { a } } , \\pmb { \\theta } _ { t } ^ { k } )$ \n2 $\\pmb { g } _ { t } ^ { k } \\gets \\tt B a c k w a r d ( \\delta ^ { k } , \\bar { \\pmb { a } } , \\pmb { \\theta } _ { t } ^ { k } )$ \n3 $\\delta ^ { h } \\gets \\nabla _ { \\mathbf { \\boldsymbol { a } } ^ { h } } \\mathcal { L } ( \\delta ^ { k } , \\mathbf { \\boldsymbol { a } } ^ { h } , \\mathbf { \\boldsymbol { \\theta } } _ { t } ^ { h } )$ , δ g ← ∇a g L(δ k , a g , θ kt ) \n4 $\\pmb { g } _ { t } ^ { h } \\mathtt { B a c k w a r d } ( \\delta ^ { h } , \\pmb { v } ^ { h } , \\pmb { \\theta } _ { t } ^ { h } )$ \n5 $\\begin{array} { r } { \\bar { g } _ { t } ^ { k } \\gets \\frac { 1 } { N } \\sum _ { i \\in [ 1 , N ] } g _ { i , t } ^ { k } } \\end{array}$ , g¯ht ← 1N Pi∈[1,N ] ghi,t \n6 $\\pmb { \\theta } _ { t + 1 } ^ { k } \\pmb { \\theta } _ { t } ^ { k } - \\eta ^ { k } \\bar { \\pmb { g } } _ { t } ^ { k }$ , θ ht+ 1 ← θ ht − η h g¯ ht \n7 $\\begin{array} { r } { \\hat { \\delta } ^ { g } \\gets \\delta ^ { g } / \\operatorname* { m a x } ( 1 , \\frac { | | \\delta ^ { g } | | _ { 1 } } { C } ) } \\end{array}$ \n8 ${ \\tilde { \\delta } } ^ { g } \\gets R ^ { 3 } e L U - D i f f ( \\hat { \\delta } ^ { g } , { \\pmb a } ^ { g } , { \\pmb v } ^ { g } )$ ", + "bbox": [ + 158, + 695, + 517, + 832 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Guest: ", + "text_level": 1, + "bbox": [ + 173, + 835, + 222, + 848 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "10 9 $\\pmb { \\mathscr { g } } _ { t } ^ { g } \\gets \\tt B a c k w a r d ( \\tilde { \\delta } ^ { g } , \\pmb { a } ^ { g } , \\pmb { \\theta } _ { t } ^ { g } )$ $\\begin{array} { r } { \\bar { g } _ { t } ^ { g } \\frac { 1 } { N } \\sum _ { i \\in [ 1 , N ] } g _ { i , t } ^ { g } } \\end{array}$ \n11 $\\pmb { \\theta } _ { t + 1 } ^ { g } \\pmb { \\theta } _ { t } ^ { g } - \\eta ^ { g } \\bar { \\pmb { g } } _ { t } ^ { g }$ ", + "bbox": [ + 153, + 848, + 364, + 900 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "495 Here we give the proof of our Corollary 1 in detail for the privacy analysis in Section 3.5. ", + "bbox": [ + 151, + 117, + 758, + 133 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "496 Proof. Without loss of generality, we assume an activation result $\\pmb { a } = \\{ a _ { 1 } = 0 , a _ { 2 } = 0 , . . . , a _ { o } =$ \n497 $0 , a _ { o + 1 } > 0 , . . . , a _ { N _ { s } } > 0 \\}$ . Then the difference of activations for two neighboring feature vectors \n498 $v , v ^ { \\prime }$ can be bounded by ", + "bbox": [ + 142, + 150, + 823, + 196 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/577d3b38961003a34578b1acce978ff8bdbe54b9517608c0f2cab9cd812fea09.jpg", + "text": "$$\n\\begin{array} { r l } & { \\frac { \\hat { \\rho } _ { \\mathrm { e f f } } } { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } } \\\\ & { = \\underset { \\hat { \\rho } _ { \\mathrm { e f f } } } { \\sum } \\frac { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { 2 } } \\\\ & { = \\underset { \\hat { \\rho } _ { \\mathrm { e f f } } } { \\sum } \\frac { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { 2 } + \\underset { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { \\sum } ( \\frac { 1 - \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { 2 } ) ^ { 2 } \\underset { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { \\sum } \\frac { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } - \\underset { \\hat { \\rho } { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { \\sum } \\frac { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } - \\underset { \\hat { \\rho } { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { \\sum } \\frac { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { 2 } } } { \\frac { \\hat { \\rho } { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { 2 } } } \\\\ & - \\underset { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { \\sum } \\frac { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } ( \\frac { 1 - \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { 2 } ) + \\underset { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { \\sum } \\frac { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { 2 } } \\\\ & \\underset { \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { \\sum } \\frac \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } ( \\frac { 1 - \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } } { 2 } ) + \\underset { \\hat { \\rho } _ { \\mathrm { e f f } } } { \\sum } \\frac \\hat { \\rho } _ { \\mathrm { e f f } } ^ { ( 0 ) } ( \\frac 1 - \\hat { \\rho } _ \\ \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 250, + 203, + 745, + 518 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "We assume 499 $| f ( \\boldsymbol { v } ) _ { i } | \\le c _ { g }$ and $\\begin{array} { r } { b \\leq \\frac { c _ { g } } { l n 2 } } \\end{array}$ , then the RHS", + "bbox": [ + 140, + 525, + 514, + 542 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/a0b6df5f8eb0fb453010858ecb638474cf736a0dbba0e5069d9c1c15b503604d.jpg", + "text": "$$\n\\begin{array} { r l } & { \\leq \\displaystyle \\prod _ { i = 1 } ^ { o } \\frac { 1 + p } { p \\exp \\left( \\frac { - c _ { q } } { b } \\right) + \\frac { 1 - p } { 2 } } \\times \\prod _ { i = o + 1 } ^ { N _ { s } } \\exp ( \\frac { | f ( v ^ { \\prime } ) _ { i } - f ( v ) _ { i } | } { b } ) } \\\\ & { \\leq \\displaystyle \\prod _ { i = 1 } ^ { o } \\frac { \\frac { 1 + p } { 2 } } { \\exp \\left( \\frac { - c _ { q } } { b } \\right) } \\times \\prod _ { i = o + 1 } ^ { N _ { s } } \\exp ( \\frac { | f ( v ^ { \\prime } ) _ { i } - f ( v ) _ { i } | } { b } ) } \\\\ & { \\leq ( \\frac { \\frac { 1 + p } { 2 } } { \\exp \\left( \\frac { - c _ { q } } { b } \\right) } ) ^ { o } \\times \\exp ( \\frac { \\Delta f } { b } ) } \\\\ & { = \\exp ( \\epsilon ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 320, + 547, + 673, + 684 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Thus, we have 500 $\\begin{array} { r } { N _ { S } ( \\frac { c _ { g } } { \\sigma _ { g } } + \\ln ( \\frac { 1 + p } { 2 } ) ) + \\frac { \\Delta f } { \\sigma _ { g } } = \\epsilon } \\end{array}$ ", + "bbox": [ + 140, + 690, + 475, + 712 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "01 A.3 Evaluation of Dynamic Parameter Importance Estimation ", + "text_level": 1, + "bbox": [ + 153, + 727, + 620, + 742 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "502 Additionally, we evaluate the effectiveness of our feature importance estimation method and give \n503 the result here. We compare the estimating results between parameter importance estimated in the \n504 model’s finally stable state and parameter importance estimated in our dynamic manner. The result \n505 is shown in Figure 3. We can conclude from the result that our dynamic parameter importance \n506 estimation approach can achieve desirable effectiveness. \n507 We aim to estimate the importance of parameters precisely during privacy-preserving split learning. \n508 But it is difficult to get the same result with the estimation in a non-perturbed case. By carefully \n509 constructing the dynamic estimation method, we can obtain dynamic estimation results of noisy pa \n510 rameters quite close to a baseline estimation result in the stable state without any privacy protection. \n511 In Figure 4, we show the result of our dynamic importance estimation approach. We can find that ", + "bbox": [ + 140, + 753, + 825, + 829 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 835, + 826, + 912 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/aafcddffd9067c039a6290fd9e1360c514c420865120ee14fe885d817fa4fca4.jpg", + "image_caption": [ + "Figure 3: Comparison of parameter importance estimation results. " + ], + "image_footnote": [], + "bbox": [ + 310, + 113, + 651, + 306 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "512 artificial noise introduced by our privacy-preserving SplitNN solution will affect the estimation of 513 parameter importance. But the growth tendency keep the same as the baseline. This is good enough 514 for us since we use the proportionality factor of each parameter to calculate the budget allocation, which will not be influenced by the magnitude. ", + "bbox": [ + 142, + 340, + 826, + 400 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/8a7aefd96f06efd5ead816fe55aee5b053865794c47fd0ff969453a980ef28fd.jpg", + "image_caption": [ + "Figure 4: Importance of noisy parameters estimated dynamically in logarithm. " + ], + "image_footnote": [], + "bbox": [ + 248, + 416, + 738, + 569 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "516 A.4 Supplementary Results for Evaluation ", + "text_level": 1, + "bbox": [ + 145, + 612, + 482, + 627 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "517 The neural networks we used for the MovieLens, BookCrossing, and MNIST datasets after split are \n518 shown in Tab 8, Table 9, and Table 10. These networks are commonly used in related studies. We \n519 split them according to the interpretation of SplitNN in [4, 11, 29]. \n520 To further investigate how our solution affects the learning process of SplitNN, we report learning \n521 results of a MovieLens recommendation model protecting the privacy of the guest and the host \n522 in Figure 5 and 6, respectively. In each plot, we show trends of training loss, training accuracy, \n523 and testing accuracy as the training epoch increases. We can conclude from these figures that our \n524 solution achieve satisfying model usability with small privacy budget for either side of SplitNN. \n525 We notice that FSHA is sensitive to our privacy-preserving SplitNN solution. In Figure 1 and Fig \n526 ure 2, we find that neither an adversarial host nor an adversarial guest can reconstruct meaningful \n527 samples, even if the target’s privacy budget is $\\epsilon = 4$ . Therefore, we are curious about a practical \n528 choice of the privacy budget when dealing with FSHA. To this end, we give more defense results \n529 of our solution against FSHA using various privacy budget values in Table 11. We can conclude \n530 from the MSE results that two recommendation models prefer relatively low privacy budget, such \n531 as $\\epsilon = 1 . 0$ . However, it is interesting to see that FSHA attack against an image classification model \n532 using SplitNN can be frustrated by our solution using relatively high privacy budget, which also \nmeans a high model usability. ", + "bbox": [ + 142, + 638, + 823, + 684 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/1c3326f98bc4f91eb7607b1d9503c40fa085dff61102cf4fbec21f07dc64ccb7.jpg", + "table_caption": [], + "table_footnote": [ + "Table 8: The MovieLens model. " + ], + "table_body": "
Guest LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Host LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Merge Guest Linear(128,128)+ReLU(None,128)16512
Linear(128,64)+ReLU(None,64)8256
Linear(64,3952)+Softmax(None,3952)256880
", + "bbox": [ + 303, + 685, + 694, + 813 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 835, + 826, + 912 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/a175cdf3e1ef5d5cb68678efb43726dde56bef73c774ac30eb8a370959b89139.jpg", + "table_caption": [], + "table_footnote": [ + "Table 9: The BookCrossing model. " + ], + "table_body": "
Guest LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Host LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Merge Guest
Linear(128,256)+ReLU Linear(256,128)+ReLU(None,256)33024
(None,128)32896
Linear(128,17384)+Softmax(None,10)2242536
", + "bbox": [ + 295, + 87, + 700, + 215 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/2c20b4f934d6e37356af59ac1d81729397fd2c60c39ba508d04a6e407ae64da5.jpg", + "table_caption": [], + "table_footnote": [ + "Table 10: The MNIST model. " + ], + "table_body": "
Guest LayerOutput ShapeParam #
Linear(28*14,128)(None,128)50304
BatchNorm+ReLU Linear(128,64)(None,128) (None,64)8256
Host LayerOutput ShapeParam #
Linear(28*14,128) BatchNorm+ReLU(None,128)50304
(None,128)
Linear(128.64) BatchNorm+ReLU(None,64)8256
Merge Guest(None,64)
Linear(64,64)(None,64)4160
BatchNorm+ReLU(None,64)
Linear(64,10)+Softmax(None,10)650
", + "bbox": [ + 310, + 237, + 686, + 435 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "", + "bbox": [ + 138, + 460, + 826, + 597 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/23d89150cefb3f9187dbe2e80cd718f2d21f6afa6e51e963ccdfaccc5df3936f.jpg", + "table_caption": [ + "Table 11: Defense results against FSHA mounted by an adversarial host. " + ], + "table_footnote": [], + "table_body": "
EMovieLensBookCrossingMNIST
baselineOursbaselineOursbaselineOurs
1200Epochs5000 Epochs 455.56761200Epochs5000 Epochs 500.14879000Epochs9000 Epochs 1.98257
0.250.2652 ×10-373.782483.7606
1.9788
0.521.170630.29051.9703
0.759.53128.59841.9534
1.04.49036.12671.9442
2.01.15591.70471.9283
4.00.27190.24781.9209
6.00.10910.16381.9135
8.00.09750.08461.9116
", + "bbox": [ + 173, + 622, + 820, + 777 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/6aa84e7a7a7d323585e2507047ac52ec9c02b20b5105b3b34eddaafa47cd08db.jpg", + "image_caption": [ + "Figure 5: SplitNN learning curve with the guest’s privacy protected by our solution. " + ], + "image_footnote": [], + "bbox": [ + 184, + 217, + 833, + 348 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/91509b562043be8ab9c331454f251e0fde0a167ef56febe091f0434fd33868d5.jpg", + "image_caption": [ + "Figure 6: SplitNN learning curve with the host’s privacy protected by our solution. 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The intuition behind our design is to perturb the", + "type": "text" + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 395, + 471, + 407 + ], + "spans": [ + { + "bbox": [ + 90, + 397, + 99, + 407 + ], + "score": 1.0, + "content": "11", + "type": "text" + }, + { + "bbox": [ + 141, + 395, + 471, + 407 + ], + "score": 1.0, + "content": "propagation of knowledge in each direction with a controllable unified solution.", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 406, + 471, + 420 + ], + "spans": [ + { + "bbox": [ + 89, + 409, + 100, + 420 + ], + "score": 1.0, + "content": "12", + "type": "text" + }, + { + "bbox": [ + 141, + 406, + 371, + 420 + ], + "score": 1.0, + "content": "To this end, we propose a new activation function named", + "type": "text" + }, + { + "bbox": [ + 371, + 406, + 401, + 418 + ], + "score": 0.51, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 406, + 471, + 420 + ], + "score": 1.0, + "content": ", transferring pri-", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 419, + 470, + 432 + ], + "spans": [ + { + "bbox": [ + 89, + 421, + 100, + 432 + ], + "score": 1.0, + "content": "13", + "type": "text" + }, + { + "bbox": [ + 141, + 419, + 470, + 430 + ], + "score": 1.0, + "content": "vate smashed data and partial loss into randomized responses in forward and back-", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 432, + 469, + 444 + ], + "spans": [ + { + "bbox": [ + 89, + 433, + 100, + 444 + ], + "score": 1.0, + "content": "14", + "type": "text" + }, + { + "bbox": [ + 142, + 432, + 469, + 443 + ], + "score": 1.0, + "content": "ward propagations, respectively. Moreover, we give the first attempt to achieve", + "type": "text" + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 442, + 471, + 456 + ], + "spans": [ + { + "bbox": [ + 88, + 445, + 100, + 455 + ], + "score": 1.0, + "content": "15", + "type": "text" + }, + { + "bbox": [ + 141, + 442, + 471, + 456 + ], + "score": 1.0, + "content": "a fine-grained privacy budget allocation scheme for SplitNN. The analysis of pri-", + "type": "text" + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 455, + 470, + 468 + ], + "spans": [ + { + "bbox": [ + 89, + 457, + 100, + 467 + ], + "score": 1.0, + "content": "16", + "type": "text" + }, + { + "bbox": [ + 141, + 455, + 470, + 468 + ], + "score": 1.0, + "content": "vacy loss proves that our privacy-preserving SplitNN solution provides a tight", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 467, + 470, + 479 + ], + "spans": [ + { + "bbox": [ + 89, + 469, + 100, + 479 + ], + "score": 1.0, + "content": "17", + "type": "text" + }, + { + "bbox": [ + 141, + 467, + 470, + 479 + ], + "score": 1.0, + "content": "privacy budget, while the experimental result shows that our solution outperforms", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 478, + 367, + 492 + ], + "spans": [ + { + "bbox": [ + 90, + 482, + 100, + 491 + ], + "score": 1.0, + "content": "18", + "type": "text" + }, + { + "bbox": [ + 142, + 478, + 367, + 492 + ], + "score": 1.0, + "content": "existing solutions in attack defense and model usability.", + "type": "text" + } + ], + "index": 24, + "is_list_start_line": true + } + ], + "index": 15.5, + "bbox_fs": [ + 88, + 275, + 471, + 492 + ] + }, + { + "type": "title", + "bbox": [ + 91, + 510, + 191, + 523 + ], + "lines": [ + { + "bbox": [ + 87, + 509, + 192, + 525 + ], + "spans": [ + { + "bbox": [ + 87, + 509, + 192, + 525 + ], + "score": 1.0, + "content": "19 1 Introduction", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "index", + "bbox": [ + 89, + 536, + 505, + 619 + ], + "lines": [ + { + "bbox": [ + 89, + 535, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 89, + 538, + 99, + 547 + ], + "score": 1.0, + "content": "20", + "type": "text" + }, + { + "bbox": [ + 105, + 535, + 505, + 549 + ], + "score": 1.0, + "content": "Collaborative learning enables participants from different backgrounds to learn jointly for mutual", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 546, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 88, + 549, + 99, + 560 + ], + "score": 1.0, + "content": "21", + "type": "text" + }, + { + "bbox": [ + 104, + 546, + 506, + 562 + ], + "score": 1.0, + "content": "interests. A well-known collaborative learning paradigm is federated learning (FL) [25], focusing", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 560, + 505, + 572 + ], + "spans": [ + { + "bbox": [ + 89, + 562, + 99, + 572 + ], + "score": 1.0, + "content": "22", + "type": "text" + }, + { + "bbox": [ + 105, + 560, + 505, + 572 + ], + "score": 1.0, + "content": "on the coordination of distributed participants. Meanwhile, another paradigm, split neural network", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 572, + 506, + 584 + ], + "spans": [ + { + "bbox": [ + 88, + 574, + 99, + 583 + ], + "score": 1.0, + "content": "23", + "type": "text" + }, + { + "bbox": [ + 105, + 572, + 506, + 584 + ], + "score": 1.0, + "content": "learning (SplitNN for short) [19, 11, 4], is designed for vertically partitioned features. The emer-", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 583, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 89, + 586, + 99, + 596 + ], + "score": 1.0, + "content": "24", + "type": "text" + }, + { + "bbox": [ + 105, + 583, + 506, + 597 + ], + "score": 1.0, + "content": "gence of SplitNN provides a promising solution to building cooperative models such as two-towers", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 89, + 597, + 100, + 607 + ], + "score": 1.0, + "content": "25", + "type": "text" + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "recommendation systems [37, 39]. By combining different features, SplitNN is supposed to be more", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 608, + 349, + 620 + ], + "spans": [ + { + "bbox": [ + 89, + 610, + 100, + 620 + ], + "score": 1.0, + "content": "26", + "type": "text" + }, + { + "bbox": [ + 105, + 608, + 349, + 620 + ], + "score": 1.0, + "content": "expressive for tasks like user profiling and recommendation.", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 625, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 89, + 627, + 100, + 636 + ], + "score": 1.0, + "content": "27", + "type": "text" + }, + { + "bbox": [ + 105, + 625, + 506, + 637 + ], + "score": 1.0, + "content": "However, collaborative learning paradigms are faced with severe security issues. Roughly speak-", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 636, + 507, + 650 + ], + "spans": [ + { + "bbox": [ + 89, + 639, + 100, + 649 + ], + "score": 1.0, + "content": "28", + "type": "text" + }, + { + "bbox": [ + 106, + 636, + 507, + 650 + ], + "score": 1.0, + "content": "ing, there are three kinds of known threats, inference attack [9, 30], reconstruction attack [17, 31],", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 649, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 89, + 651, + 100, + 661 + ], + "score": 1.0, + "content": "29", + "type": "text" + }, + { + "bbox": [ + 105, + 649, + 506, + 661 + ], + "score": 1.0, + "content": "and poisoning attack [33, 18]. The inference attack discloses properties or membership information", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 661, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 88, + 663, + 100, + 673 + ], + "score": 1.0, + "content": "30", + "type": "text" + }, + { + "bbox": [ + 106, + 661, + 506, + 673 + ], + "score": 1.0, + "content": "of data samples, while the reconstruction attack seeks to recover participants’ private data samples.", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 672, + 507, + 686 + ], + "spans": [ + { + "bbox": [ + 88, + 675, + 100, + 685 + ], + "score": 1.0, + "content": "31", + "type": "text" + }, + { + "bbox": [ + 105, + 672, + 507, + 686 + ], + "score": 1.0, + "content": "Unlike these two kinds of threats, the poisoning attack [33, 18] aims to put harmful data into collab-", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 685, + 506, + 698 + ], + "spans": [ + { + "bbox": [ + 88, + 687, + 100, + 697 + ], + "score": 1.0, + "content": "32", + "type": "text" + }, + { + "bbox": [ + 105, + 685, + 506, + 698 + ], + "score": 1.0, + "content": "orative learning for malicious purposes rather than stealing private information. As a result, some", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 695, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 88, + 699, + 100, + 709 + ], + "score": 1.0, + "content": "33", + "type": "text" + }, + { + "bbox": [ + 105, + 695, + 505, + 710 + ], + "score": 1.0, + "content": "defensive solutions have been proposed for federated learning. According to their techniques, these", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 708, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 88, + 711, + 100, + 721 + ], + "score": 1.0, + "content": "34", + "type": "text" + }, + { + "bbox": [ + 105, + 708, + 505, + 722 + ], + "score": 1.0, + "content": "solutions can be classified into three categories: differential privacy solutions [36, 32], homomorphic", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 720, + 442, + 734 + ], + "spans": [ + { + "bbox": [ + 88, + 723, + 100, + 733 + ], + "score": 1.0, + "content": "35", + "type": "text" + }, + { + "bbox": [ + 105, + 720, + 442, + 734 + ], + "score": 1.0, + "content": "encryption solutions [38, 21], and secure multiparty computation solutions [12, 27].", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 106, + 733, + 500, + 745 + ], + "spans": [ + { + "bbox": [ + 106, + 733, + 500, + 745 + ], + "score": 1.0, + "content": "Submitted to 36th Conference on Neural Information Processing Systems (NeurIPS 2022). Do not distribute.", + "type": "text" + } + ], + "index": 42, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 73, + 507, + 85 + ], + "spans": [ + { + "bbox": [ + 89, + 75, + 100, + 84 + ], + "score": 1.0, + "content": "36", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 73, + 507, + 85 + ], + "score": 1.0, + "content": "Unfortunately, defense solutions for SplitNN are barely discussed, but threatening attacks are con-", + "type": "text", + "cross_page": true + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 85, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 89, + 87, + 99, + 96 + ], + "score": 1.0, + "content": "37", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 85, + 505, + 97 + ], + "score": 1.0, + "content": "tinuously emerging. We note that the workflow of SplitNN has a unique asymmetric design, which", + "type": "text", + "cross_page": true + } + ], + "index": 1, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 97, + 506, + 109 + ], + "spans": [ + { + "bbox": [ + 88, + 98, + 100, + 109 + ], + "score": 1.0, + "content": "38", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 97, + 506, + 109 + ], + "score": 1.0, + "content": "is quite different from FL. Therefore, most solutions for secure FL are not suitable for SplitNN.", + "type": "text", + "cross_page": true + } + ], + "index": 2, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 109, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 89, + 110, + 100, + 120 + ], + "score": 1.0, + "content": "39", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 109, + 506, + 120 + ], + "score": 1.0, + "content": "Secure multiparty computation solutions and homomorphic encryption solutions can achieve ideal", + "type": "text", + "cross_page": true + } + ], + "index": 3, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 120, + 507, + 133 + ], + "spans": [ + { + "bbox": [ + 89, + 123, + 99, + 132 + ], + "score": 1.0, + "content": "40", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 120, + 507, + 133 + ], + "score": 1.0, + "content": "data confidentiality in SplitNN. But the overhead introduced is still far away from practical uses.", + "type": "text", + "cross_page": true + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 89, + 135, + 99, + 144 + ], + "score": 1.0, + "content": "41", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "Thus, for the first attempt at a secure SplitNN solution, we will concentrate on privacy leakage is-", + "type": "text", + "cross_page": true + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 145, + 505, + 157 + ], + "spans": [ + { + "bbox": [ + 89, + 147, + 100, + 156 + ], + "score": 1.0, + "content": "42", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 145, + 505, + 157 + ], + "score": 1.0, + "content": "sues caused by property inference and data reconstruction attacks in this paper because they share", + "type": "text", + "cross_page": true + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 156, + 465, + 169 + ], + "spans": [ + { + "bbox": [ + 90, + 159, + 100, + 168 + ], + "score": 1.0, + "content": "43", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 156, + 465, + 169 + ], + "score": 1.0, + "content": "similar adversarial goals. Instead, poisoning attacks need to be studied separately [7, 24].", + "type": "text", + "cross_page": true + } + ], + "index": 7, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 174, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 90, + 176, + 100, + 185 + ], + "score": 1.0, + "content": "44", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 174, + 506, + 186 + ], + "score": 1.0, + "content": "We note an inherent contradiction [6] between privacy preservation and model utility in SplitNN.", + "type": "text", + "cross_page": true + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 184, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 89, + 187, + 99, + 198 + ], + "score": 1.0, + "content": "45", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 184, + 505, + 200 + ], + "score": 1.0, + "content": "To investigate the privacy leakage risk of SplitNN, we evaluate the adversarial effect of property", + "type": "text", + "cross_page": true + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 197, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 89, + 200, + 100, + 209 + ], + "score": 1.0, + "content": "46", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 197, + 506, + 210 + ], + "score": 1.0, + "content": "inference and data reconstruction attacks against recommendation and image classification models", + "type": "text", + "cross_page": true + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 210, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 89, + 212, + 99, + 221 + ], + "score": 1.0, + "content": "47", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 210, + 505, + 222 + ], + "score": 1.0, + "content": "built using SplitNN. The results in semi-honest and malicious settings show that both attacks have", + "type": "text", + "cross_page": true + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 221, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 89, + 224, + 100, + 233 + ], + "score": 1.0, + "content": "48", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 221, + 505, + 234 + ], + "score": 1.0, + "content": "sufficiently high success rates when disclosing the privacy of the guest or the host. To secure SplitNN", + "type": "text", + "cross_page": true + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 233, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 89, + 236, + 100, + 245 + ], + "score": 1.0, + "content": "49", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 233, + 506, + 248 + ], + "score": 1.0, + "content": "against these attacks [17, 30, 29], we give the first privacy-preserving SplitNN solution, stemming", + "type": "text", + "cross_page": true + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 246, + 419, + 258 + ], + "spans": [ + { + "bbox": [ + 89, + 248, + 100, + 258 + ], + "score": 1.0, + "content": "50", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 246, + 419, + 258 + ], + "score": 1.0, + "content": "privacy leakage from either direction with dynamic privacy budget allocation.", + "type": "text", + "cross_page": true + } + ], + "index": 14, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 263, + 506, + 275 + ], + "spans": [ + { + "bbox": [ + 89, + 264, + 99, + 274 + ], + "score": 1.0, + "content": "51", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 263, + 506, + 275 + ], + "score": 1.0, + "content": "Contribution. Through a thorough investigation of the privacy leakage issue in SplitNN, we con-", + "type": "text", + "cross_page": true + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 274, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 89, + 277, + 100, + 287 + ], + "score": 1.0, + "content": "52", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 274, + 506, + 288 + ], + "score": 1.0, + "content": "firm that the best option of defensive solution for SplitNN is to construct a privacy-preserving tunnel", + "type": "text", + "cross_page": true + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 286, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 88, + 289, + 100, + 299 + ], + "score": 1.0, + "content": "53", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 286, + 506, + 300 + ], + "score": 1.0, + "content": "between the split surfaces of the host and guest sides. To this end, we propose a novel activation", + "type": "text", + "cross_page": true + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 298, + 507, + 312 + ], + "spans": [ + { + "bbox": [ + 89, + 300, + 100, + 311 + ], + "score": 1.0, + "content": "54", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 298, + 171, + 312 + ], + "score": 1.0, + "content": "function named", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 171, + 298, + 201, + 310 + ], + "score": 0.53, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 201, + 298, + 507, + 312 + ], + "score": 1.0, + "content": ", responding to forward and backward propagations in a randomized manner.", + "type": "text", + "cross_page": true + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 310, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 88, + 313, + 100, + 322 + ], + "score": 1.0, + "content": "55", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 310, + 506, + 324 + ], + "score": 1.0, + "content": "Furthermore, we propose a fine-grained privacy budget allocation scheme for SplitNN to achieve", + "type": "text", + "cross_page": true + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 322, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 88, + 325, + 100, + 335 + ], + "score": 1.0, + "content": "56", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 322, + 506, + 336 + ], + "score": 1.0, + "content": "more efficient perturbations, dynamically allocating the privacy budget in spatial dimension (feature", + "type": "text", + "cross_page": true + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 335, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 88, + 337, + 100, + 347 + ], + "score": 1.0, + "content": "57", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 335, + 505, + 347 + ], + "score": 1.0, + "content": "level) and temporal dimension (epoch level). 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But the overhead introduced is still far away from practical uses.", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 89, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 89, + 135, + 99, + 144 + ], + "score": 1.0, + "content": "41", + "type": "text" + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "Thus, for the first attempt at a secure SplitNN solution, we will concentrate on privacy leakage is-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 89, + 145, + 505, + 157 + ], + "spans": [ + { + "bbox": [ + 89, + 147, + 100, + 156 + ], + "score": 1.0, + "content": "42", + "type": "text" + }, + { + "bbox": [ + 105, + 145, + 505, + 157 + ], + "score": 1.0, + "content": "sues caused by property inference and data reconstruction attacks in this paper because they share", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 90, + 156, + 465, + 169 + ], + "spans": [ + { + "bbox": [ + 90, + 159, + 100, + 168 + ], + "score": 1.0, + "content": "43", + "type": "text" + }, + { + "bbox": [ + 105, + 156, + 465, + 169 + ], + "score": 1.0, + "content": "similar adversarial goals. Instead, poisoning attacks need to be studied separately [7, 24].", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 90, + 174, + 505, + 257 + ], + "lines": [ + { + "bbox": [ + 90, + 174, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 90, + 176, + 100, + 185 + ], + "score": 1.0, + "content": "44", + "type": "text" + }, + { + "bbox": [ + 106, + 174, + 506, + 186 + ], + "score": 1.0, + "content": "We note an inherent contradiction [6] between privacy preservation and model utility in SplitNN.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 89, + 184, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 89, + 187, + 99, + 198 + ], + "score": 1.0, + "content": "45", + "type": "text" + }, + { + "bbox": [ + 105, + 184, + 505, + 200 + ], + "score": 1.0, + "content": "To investigate the privacy leakage risk of SplitNN, we evaluate the adversarial effect of property", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 89, + 197, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 89, + 200, + 100, + 209 + ], + "score": 1.0, + "content": "46", + "type": "text" + }, + { + "bbox": [ + 105, + 197, + 506, + 210 + ], + "score": 1.0, + "content": "inference and data reconstruction attacks against recommendation and image classification models", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 89, + 210, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 89, + 212, + 99, + 221 + ], + "score": 1.0, + "content": "47", + "type": "text" + }, + { + "bbox": [ + 106, + 210, + 505, + 222 + ], + "score": 1.0, + "content": "built using SplitNN. The results in semi-honest and malicious settings show that both attacks have", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 89, + 221, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 89, + 224, + 100, + 233 + ], + "score": 1.0, + "content": "48", + "type": "text" + }, + { + "bbox": [ + 104, + 221, + 505, + 234 + ], + "score": 1.0, + "content": "sufficiently high success rates when disclosing the privacy of the guest or the host. 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Then", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 620, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 89, + 623, + 100, + 633 + ], + "score": 1.0, + "content": "76", + "type": "text" + }, + { + "bbox": [ + 105, + 620, + 230, + 634 + ], + "score": 1.0, + "content": "the forwarding result Forwar", + "type": "text" + }, + { + "bbox": [ + 231, + 621, + 266, + 633 + ], + "score": 0.76, + "content": "\\mathbb { I } ( \\pmb { x } ^ { g } , \\pmb { \\theta } ^ { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 620, + 505, + 634 + ], + "score": 1.0, + "content": "of the guest should be evaluated locally and passed to the", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 631, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 89, + 635, + 100, + 646 + ], + "score": 1.0, + "content": "77", + "type": "text" + }, + { + "bbox": [ + 104, + 631, + 258, + 648 + ], + "score": 1.0, + "content": "host. The host should merge Forwar", + "type": "text" + }, + { + "bbox": [ + 258, + 632, + 298, + 646 + ], + "score": 0.85, + "content": "\\mathsf { d } ( \\boldsymbol { \\mathbf { \\mathit { x } } } ^ { h } , \\boldsymbol { \\theta } ^ { h } )", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 631, + 357, + 648 + ], + "score": 1.0, + "content": "with Forward", + "type": "text" + }, + { + "bbox": [ + 358, + 633, + 392, + 646 + ], + "score": 0.74, + "content": "\\mathbf { \\delta } _ { \\cdot } ( { \\mathbf { x } } ^ { g } , \\mathbf { \\delta } ^ { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 631, + 506, + 648 + ], + "score": 1.0, + "content": "using a predefined strategy", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 645, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 89, + 648, + 100, + 658 + ], + "score": 1.0, + "content": "78", + "type": "text" + }, + { + "bbox": [ + 105, + 645, + 506, + 659 + ], + "score": 1.0, + "content": "such as concatenating and averaging. Then the host finishes the rest of the forward propagation", + "type": "text" + } + ], + "index": 42, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 655, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 89, + 659, + 100, + 670 + ], + "score": 1.0, + "content": "79", + "type": "text" + }, + { + "bbox": [ + 107, + 657, + 318, + 669 + ], + "score": 0.59, + "content": "\\mathcal { L } ( \\mathtt { M e r g e } ( \\mathtt { F o r w a r d } ( x ^ { g } , \\theta ^ { g } ) , \\mathtt { F o r w a r d } ( x ^ { h } , \\theta ^ { h } ) ) , \\theta ^ { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 655, + 506, + 672 + ], + "score": 1.0, + "content": "and initiates backward propagation, sending", + "type": "text" + } + ], + "index": 43, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 669, + 324, + 682 + ], + "spans": [ + { + "bbox": [ + 89, + 671, + 100, + 681 + ], + "score": 1.0, + "content": "80", + "type": "text" + }, + { + "bbox": [ + 105, + 669, + 207, + 682 + ], + "score": 1.0, + "content": "the partial loss regarding", + "type": "text" + }, + { + "bbox": [ + 208, + 670, + 220, + 680 + ], + "score": 0.85, + "content": "\\pmb { x } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 669, + 238, + 682 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 238, + 670, + 250, + 679 + ], + "score": 0.85, + "content": "\\pmb { \\theta } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 669, + 324, + 682 + ], + "score": 1.0, + "content": "back to the guest.", + "type": "text" + } + ], + "index": 44, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 687, + 507, + 699 + ], + "spans": [ + { + "bbox": [ + 90, + 689, + 99, + 698 + ], + "score": 1.0, + "content": "81", + "type": "text" + }, + { + "bbox": [ + 105, + 687, + 507, + 699 + ], + "score": 1.0, + "content": "We take a SplitNN based recommendation system as an example and give a benchmark in Table 1.", + "type": "text" + } + ], + "index": 45, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 90, + 701, + 100, + 710 + ], + "score": 1.0, + "content": "82", + "type": "text" + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "Different merging strategies and two public datasets, MovieLens [15] and BookCrossing [40], have", + "type": "text" + } + ], + "index": 46, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 90, + 713, + 100, + 722 + ], + "score": 1.0, + "content": "83", + "type": "text" + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "been evaluated. In case of misaligned features, zero padding will be used to retain the shape of fea-", + "type": "text" + } + ], + "index": 47, + "is_list_start_line": true + } + ], + "index": 39.5, + "bbox_fs": [ + 88, + 563, + 506, + 682 + ] + }, + { + "type": "index", + "bbox": [ + 90, + 687, + 505, + 722 + ], + "lines": [], + "index": 46, + "bbox_fs": [ + 90, + 687, + 507, + 723 + ], + "lines_deleted": true + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 88, + 72, + 505, + 96 + ], + "lines": [ + { + "bbox": [ + 89, + 73, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 89, + 75, + 101, + 84 + ], + "score": 1.0, + "content": "84", + "type": "text" + }, + { + "bbox": [ + 104, + 73, + 505, + 86 + ], + "score": 1.0, + "content": "ture vectors. We notice that concatenating and element-wise averaging with padding have relatively", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 500, + 97 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 500, + 97 + ], + "score": 1.0, + "content": "stable and desirable performance, which will be used as the default setting in the rest of this work.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table", + "bbox": [ + 116, + 116, + 495, + 180 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 114, + 101, + 495, + 113 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 115, + 99, + 495, + 116 + ], + "spans": [ + { + "bbox": [ + 115, + 99, + 495, + 116 + ], + "score": 1.0, + "content": "Table 1: Top-10 hit ratio of SplitNN based recommendation using different merging strategies.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "table_body", + "bbox": [ + 116, + 116, + 495, + 180 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 116, + 116, + 495, + 180 + ], + "spans": [ + { + "bbox": [ + 116, + 116, + 495, + 180 + ], + "score": 0.978, + "html": "
concatenateelement-wiseno split
maxsumaveragemin
MovieLenspadding56.62%56.26%56.35%56.89%57.19%57.21%
non-padding55.38%54.75%54.95%55.72%55.08%
Book Crossingpadding61.70%60.84%60.21%61.16%60.98%61.92%
non-padding58.80%59.34%59.44%59.10%59.02%
", + "type": "table", + "image_path": "e9c40b2476a516c58dbb249828c7a3791bc241ea3e6449e3d09b9fe3605a3154.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 116, + 116, + 495, + 137.33333333333334 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 116, + 137.33333333333334, + 495, + 158.66666666666669 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 116, + 158.66666666666669, + 495, + 180.00000000000003 + ], + "spans": [], + "index": 5 + } + ] + } + ], + "index": 3.0 + }, + { + "type": "title", + "bbox": [ + 92, + 196, + 190, + 208 + ], + "lines": [ + { + "bbox": [ + 88, + 195, + 190, + 209 + ], + "spans": [ + { + "bbox": [ + 88, + 195, + 190, + 209 + ], + "score": 1.0, + "content": "86 2.2 Threat Model", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 105, + 217, + 505, + 289 + ], + "lines": [ + { + "bbox": [ + 106, + 218, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 505, + 230 + ], + "score": 1.0, + "content": "In SplitNN, interactions between the guest and the host pose threats to each other. Thus, we will", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 230, + 505, + 242 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 505, + 242 + ], + "score": 1.0, + "content": "investigate private data leakage threats from either direction. We first assume that the host and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 242, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 505, + 254 + ], + "score": 1.0, + "content": "the guest are honest but curious about the private data of each other. Moreover, we will consider", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 253, + 505, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 267 + ], + "score": 1.0, + "content": "a more powerful threat model [29], where the guest or the host could be malicious, hijacking the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 265, + 506, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 506, + 279 + ], + "score": 1.0, + "content": "feature space during split learning. In both cases, we take into account property inference and data", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 277, + 488, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 488, + 291 + ], + "score": 1.0, + "content": "reconstruction attacks, which are highly threatening attacks identified in collaborative learning.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 90, + 294, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 89, + 294, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 89, + 297, + 100, + 307 + ], + "score": 1.0, + "content": "93", + "type": "text" + }, + { + "bbox": [ + 105, + 294, + 505, + 308 + ], + "score": 1.0, + "content": "Property inference attack. Since either role of SplitNN has access to the output of the other’s local", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 89, + 307, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 89, + 309, + 100, + 319 + ], + "score": 1.0, + "content": "94", + "type": "text" + }, + { + "bbox": [ + 105, + 307, + 505, + 320 + ], + "score": 1.0, + "content": "model, the adversary can mount a property inference attack [9, 22], inferring properties of private", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 89, + 319, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 89, + 321, + 100, + 331 + ], + "score": 1.0, + "content": "95", + "type": "text" + }, + { + "bbox": [ + 105, + 319, + 506, + 332 + ], + "score": 1.0, + "content": "data through observing query input and the corresponding output. By constructing shadow models", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 89, + 330, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 89, + 333, + 100, + 343 + ], + "score": 1.0, + "content": "96", + "type": "text" + }, + { + "bbox": [ + 105, + 330, + 505, + 344 + ], + "score": 1.0, + "content": "elaborately, the adversary can steal substantial information from the target. In this way, the adversary", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 89, + 343, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 89, + 344, + 101, + 356 + ], + "score": 1.0, + "content": "97", + "type": "text" + }, + { + "bbox": [ + 106, + 343, + 506, + 356 + ], + "score": 1.0, + "content": "acquires the capability of inferring some properties (such as gender and age) of the data samples used", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 89, + 355, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 89, + 357, + 100, + 366 + ], + "score": 1.0, + "content": "98", + "type": "text" + }, + { + "bbox": [ + 106, + 355, + 205, + 367 + ], + "score": 1.0, + "content": "for training. Denoted by", + "type": "text" + }, + { + "bbox": [ + 206, + 355, + 227, + 366 + ], + "score": 0.6, + "content": "F , T", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 355, + 245, + 367 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 245, + 355, + 259, + 366 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 355, + 505, + 367 + ], + "score": 1.0, + "content": "the inference model, target model, and the loss function used", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 88, + 367, + 336, + 379 + ], + "spans": [ + { + "bbox": [ + 88, + 368, + 101, + 379 + ], + "score": 1.0, + "content": "99", + "type": "text" + }, + { + "bbox": [ + 106, + 367, + 120, + 379 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 121, + 367, + 129, + 377 + ], + "score": 0.83, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 367, + 336, + 379 + ], + "score": 1.0, + "content": ", the adversarial goal of property inference attack is", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16 + }, + { + "type": "interline_equation", + "bbox": [ + 200, + 383, + 411, + 411 + ], + "lines": [ + { + "bbox": [ + 200, + 383, + 411, + 411 + ], + "spans": [ + { + "bbox": [ + 200, + 383, + 411, + 411 + ], + "score": 0.93, + "content": "\\mathcal { A } _ { P I A } = \\arg \\operatorname* { m i n } _ { F } \\sum _ { x _ { i } \\in \\pmb { x } } \\mathcal { L } _ { F } ( F ( T ( x _ { i } ) ) , l _ { i } ) , l _ { i } \\in \\{ 0 , 1 \\} .", + "type": "interline_equation", + "image_path": "0470754d5aae3343adf144c7a4a82f4d1b6bc72e803702e2a70e18d45ce8cb87.jpg" + } + ] + } + ], + "index": 20.5, + "virtual_lines": [ + { + "bbox": [ + 200, + 383, + 411, + 397.0 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 200, + 397.0, + 411, + 411.0 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 86, + 421, + 506, + 517 + ], + "lines": [ + { + "bbox": [ + 87, + 421, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 87, + 424, + 99, + 433 + ], + "score": 1.0, + "content": "100", + "type": "text" + }, + { + "bbox": [ + 104, + 421, + 506, + 434 + ], + "score": 1.0, + "content": "Data reconstruction attack. By taking advantage of generative adversarial networks (GANs) [13], a", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 85, + 434, + 507, + 446 + ], + "spans": [ + { + "bbox": [ + 85, + 435, + 100, + 445 + ], + "score": 1.0, + "content": "101", + "type": "text" + }, + { + "bbox": [ + 105, + 434, + 507, + 446 + ], + "score": 1.0, + "content": "data reconstruction attack [17, 29] becomes possible in collaborative learning. To mount the attack,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 86, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 86, + 447, + 100, + 457 + ], + "score": 1.0, + "content": "102", + "type": "text" + }, + { + "bbox": [ + 105, + 446, + 433, + 459 + ], + "score": 1.0, + "content": "the adversary augments the training data per iteration by inserting fake samples", + "type": "text" + }, + { + "bbox": [ + 433, + 447, + 442, + 456 + ], + "score": 0.72, + "content": "_ z", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "generated by a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 86, + 457, + 507, + 471 + ], + "spans": [ + { + "bbox": [ + 86, + 459, + 100, + 470 + ], + "score": 1.0, + "content": "103", + "type": "text" + }, + { + "bbox": [ + 104, + 457, + 147, + 471 + ], + "score": 1.0, + "content": "generator", + "type": "text" + }, + { + "bbox": [ + 148, + 458, + 156, + 467 + ], + "score": 0.79, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 457, + 357, + 471 + ], + "score": 1.0, + "content": ". The target model will serve as a discriminator", + "type": "text" + }, + { + "bbox": [ + 357, + 458, + 366, + 467 + ], + "score": 0.81, + "content": "D", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 457, + 507, + 471 + ], + "score": 1.0, + "content": ". The adversary affects the target", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 86, + 469, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 86, + 472, + 100, + 482 + ], + "score": 1.0, + "content": "104", + "type": "text" + }, + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "score": 1.0, + "content": "model by deceiving the target with fake training samples. For correcting the adversary, the target", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 86, + 480, + 507, + 496 + ], + "spans": [ + { + "bbox": [ + 86, + 483, + 100, + 494 + ], + "score": 1.0, + "content": "105", + "type": "text" + }, + { + "bbox": [ + 104, + 480, + 507, + 496 + ], + "score": 1.0, + "content": "participant is supposed to put more private information into the learning. In this game-style training,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 86, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 86, + 496, + 100, + 504 + ], + "score": 1.0, + "content": "106", + "type": "text" + }, + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "score": 1.0, + "content": "the adversary can obtain a generator to reconstruct data samples similar to target private data. The", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 86, + 505, + 366, + 518 + ], + "spans": [ + { + "bbox": [ + 86, + 507, + 100, + 516 + ], + "score": 1.0, + "content": "107", + "type": "text" + }, + { + "bbox": [ + 104, + 505, + 366, + 518 + ], + "score": 1.0, + "content": "adversarial goal of the data reconstruction attack can be given as", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25.5 + }, + { + "type": "interline_equation", + "bbox": [ + 172, + 522, + 438, + 552 + ], + "lines": [ + { + "bbox": [ + 172, + 522, + 438, + 552 + ], + "spans": [ + { + "bbox": [ + 172, + 522, + 438, + 552 + ], + "score": 0.93, + "content": "\\mathcal { A } _ { D R A } = \\operatorname* { m i n } _ { G } \\operatorname* { m a x } _ { D } \\frac { 1 } { | x | } \\sum _ { x \\in \\pmb { x } } l o g D ( x ) + \\frac { 1 } { | x | } \\sum _ { z \\in z } l o g ( 1 - D ( G ( z ) ) ) .", + "type": "interline_equation", + "image_path": "12210c240f57088c00b9acecd121a28ef285eef90a38c642226d3ed94bbddd10.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 172, + 522, + 438, + 532.0 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 172, + 532.0, + 438, + 542.0 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 172, + 542.0, + 438, + 552.0 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 87, + 561, + 506, + 634 + ], + "lines": [ + { + "bbox": [ + 86, + 562, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 86, + 564, + 100, + 574 + ], + "score": 1.0, + "content": "108", + "type": "text" + }, + { + "bbox": [ + 105, + 562, + 506, + 574 + ], + "score": 1.0, + "content": "Feature space hijacking. The property inference and data reconstruction attacks adapted from FL", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 86, + 575, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 86, + 576, + 100, + 586 + ], + "score": 1.0, + "content": "109", + "type": "text" + }, + { + "bbox": [ + 106, + 575, + 506, + 587 + ], + "score": 1.0, + "content": "can be mounted by a semi-honest participant, who follows the split learning protocol normally. How-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 86, + 585, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 86, + 588, + 100, + 599 + ], + "score": 1.0, + "content": "110", + "type": "text" + }, + { + "bbox": [ + 104, + 585, + 506, + 599 + ], + "score": 1.0, + "content": "ever, a recent attack study dedicated to SplitNN has revealed that a malicious host can achieve more", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 85, + 596, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 85, + 599, + 100, + 610 + ], + "score": 1.0, + "content": "111", + "type": "text" + }, + { + "bbox": [ + 104, + 596, + 506, + 613 + ], + "score": 1.0, + "content": "impressive adversarial effects on property inference or data reconstruction by explicitly distorting", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 86, + 609, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 86, + 612, + 100, + 622 + ], + "score": 1.0, + "content": "112", + "type": "text" + }, + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "score": 1.0, + "content": "the objective of split learning. Thus, we also consider the defensive effect of our solution against", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 86, + 622, + 485, + 635 + ], + "spans": [ + { + "bbox": [ + 86, + 623, + 100, + 634 + ], + "score": 1.0, + "content": "113", + "type": "text" + }, + { + "bbox": [ + 104, + 622, + 485, + 635 + ], + "score": 1.0, + "content": "property inference and data reconstruction attacks using this feature space hijacking approach.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35.5 + }, + { + "type": "title", + "bbox": [ + 87, + 648, + 301, + 663 + ], + "lines": [ + { + "bbox": [ + 84, + 646, + 303, + 667 + ], + "spans": [ + { + "bbox": [ + 84, + 646, + 303, + 667 + ], + "score": 1.0, + "content": "114 3 Privacy-Preserving Split Learning", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 87, + 674, + 506, + 723 + ], + "lines": [ + { + "bbox": [ + 86, + 674, + 506, + 688 + ], + "spans": [ + { + "bbox": [ + 86, + 676, + 100, + 686 + ], + "score": 1.0, + "content": "115", + "type": "text" + }, + { + "bbox": [ + 105, + 674, + 506, + 688 + ], + "score": 1.0, + "content": "Our goal is to design an unified defense solution to preserving privacy from both the host and guest’s", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 86, + 687, + 506, + 699 + ], + "spans": [ + { + "bbox": [ + 86, + 689, + 100, + 699 + ], + "score": 1.0, + "content": "116", + "type": "text" + }, + { + "bbox": [ + 104, + 687, + 506, + 698 + ], + "score": 1.0, + "content": "perspectives. Ideally, the guest wants to collaborate with the host under the condition that the host", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 86, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 86, + 701, + 100, + 711 + ], + "score": 1.0, + "content": "117", + "type": "text" + }, + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "could disclose no private information and vice versa. According to recent studies [3, 23, 16], artifi-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 86, + 710, + 507, + 725 + ], + "spans": [ + { + "bbox": [ + 86, + 713, + 100, + 723 + ], + "score": 1.0, + "content": "118", + "type": "text" + }, + { + "bbox": [ + 104, + 710, + 507, + 725 + ], + "score": 1.0, + "content": "cial perturbations of data samples or parameters could prevent privacy leakage effectively. However,", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 309, + 752 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 90, + 177, + 99, + 185 + ], + "lines": [ + { + "bbox": [ + 90, + 177, + 99, + 185 + ], + "spans": [ + { + "bbox": [ + 90, + 177, + 99, + 185 + ], + "score": 1.0, + "content": "85", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 88, + 72, + 505, + 96 + ], + "lines": [ + { + "bbox": [ + 89, + 73, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 89, + 75, + 101, + 84 + ], + "score": 1.0, + "content": "84", + "type": "text" + }, + { + "bbox": [ + 104, + 73, + 505, + 86 + ], + "score": 1.0, + "content": "ture vectors. We notice that concatenating and element-wise averaging with padding have relatively", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 500, + 97 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 500, + 97 + ], + "score": 1.0, + "content": "stable and desirable performance, which will be used as the default setting in the rest of this work.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 89, + 73, + 505, + 97 + ] + }, + { + "type": "table", + "bbox": [ + 116, + 116, + 495, + 180 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 114, + 101, + 495, + 113 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 115, + 99, + 495, + 116 + ], + "spans": [ + { + "bbox": [ + 115, + 99, + 495, + 116 + ], + "score": 1.0, + "content": "Table 1: Top-10 hit ratio of SplitNN based recommendation using different merging strategies.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "table_body", + "bbox": [ + 116, + 116, + 495, + 180 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 116, + 116, + 495, + 180 + ], + "spans": [ + { + "bbox": [ + 116, + 116, + 495, + 180 + ], + "score": 0.978, + "html": "
concatenateelement-wiseno split
maxsumaveragemin
MovieLenspadding56.62%56.26%56.35%56.89%57.19%57.21%
non-padding55.38%54.75%54.95%55.72%55.08%
Book Crossingpadding61.70%60.84%60.21%61.16%60.98%61.92%
non-padding58.80%59.34%59.44%59.10%59.02%
", + "type": "table", + "image_path": "e9c40b2476a516c58dbb249828c7a3791bc241ea3e6449e3d09b9fe3605a3154.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 116, + 116, + 495, + 137.33333333333334 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 116, + 137.33333333333334, + 495, + 158.66666666666669 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 116, + 158.66666666666669, + 495, + 180.00000000000003 + ], + "spans": [], + "index": 5 + } + ] + } + ], + "index": 3.0 + }, + { + "type": "title", + "bbox": [ + 92, + 196, + 190, + 208 + ], + "lines": [ + { + "bbox": [ + 88, + 195, + 190, + 209 + ], + "spans": [ + { + "bbox": [ + 88, + 195, + 190, + 209 + ], + "score": 1.0, + "content": "86 2.2 Threat Model", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 105, + 217, + 505, + 289 + ], + "lines": [ + { + "bbox": [ + 106, + 218, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 505, + 230 + ], + "score": 1.0, + "content": "In SplitNN, interactions between the guest and the host pose threats to each other. Thus, we will", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 230, + 505, + 242 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 505, + 242 + ], + "score": 1.0, + "content": "investigate private data leakage threats from either direction. We first assume that the host and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 242, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 505, + 254 + ], + "score": 1.0, + "content": "the guest are honest but curious about the private data of each other. Moreover, we will consider", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 253, + 505, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 267 + ], + "score": 1.0, + "content": "a more powerful threat model [29], where the guest or the host could be malicious, hijacking the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 265, + 506, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 506, + 279 + ], + "score": 1.0, + "content": "feature space during split learning. In both cases, we take into account property inference and data", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 277, + 488, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 488, + 291 + ], + "score": 1.0, + "content": "reconstruction attacks, which are highly threatening attacks identified in collaborative learning.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 218, + 506, + 291 + ] + }, + { + "type": "index", + "bbox": [ + 90, + 294, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 89, + 294, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 89, + 297, + 100, + 307 + ], + "score": 1.0, + "content": "93", + "type": "text" + }, + { + "bbox": [ + 105, + 294, + 505, + 308 + ], + "score": 1.0, + "content": "Property inference attack. Since either role of SplitNN has access to the output of the other’s local", + "type": "text" + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 307, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 89, + 309, + 100, + 319 + ], + "score": 1.0, + "content": "94", + "type": "text" + }, + { + "bbox": [ + 105, + 307, + 505, + 320 + ], + "score": 1.0, + "content": "model, the adversary can mount a property inference attack [9, 22], inferring properties of private", + "type": "text" + } + ], + "index": 14, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 319, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 89, + 321, + 100, + 331 + ], + "score": 1.0, + "content": "95", + "type": "text" + }, + { + "bbox": [ + 105, + 319, + 506, + 332 + ], + "score": 1.0, + "content": "data through observing query input and the corresponding output. By constructing shadow models", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 330, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 89, + 333, + 100, + 343 + ], + "score": 1.0, + "content": "96", + "type": "text" + }, + { + "bbox": [ + 105, + 330, + 505, + 344 + ], + "score": 1.0, + "content": "elaborately, the adversary can steal substantial information from the target. In this way, the adversary", + "type": "text" + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 343, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 89, + 344, + 101, + 356 + ], + "score": 1.0, + "content": "97", + "type": "text" + }, + { + "bbox": [ + 106, + 343, + 506, + 356 + ], + "score": 1.0, + "content": "acquires the capability of inferring some properties (such as gender and age) of the data samples used", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 355, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 89, + 357, + 100, + 366 + ], + "score": 1.0, + "content": "98", + "type": "text" + }, + { + "bbox": [ + 106, + 355, + 205, + 367 + ], + "score": 1.0, + "content": "for training. Denoted by", + "type": "text" + }, + { + "bbox": [ + 206, + 355, + 227, + 366 + ], + "score": 0.6, + "content": "F , T", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 355, + 245, + 367 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 245, + 355, + 259, + 366 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 355, + 505, + 367 + ], + "score": 1.0, + "content": "the inference model, target model, and the loss function used", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 367, + 336, + 379 + ], + "spans": [ + { + "bbox": [ + 88, + 368, + 101, + 379 + ], + "score": 1.0, + "content": "99", + "type": "text" + }, + { + "bbox": [ + 106, + 367, + 120, + 379 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 121, + 367, + 129, + 377 + ], + "score": 0.83, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 367, + 336, + 379 + ], + "score": 1.0, + "content": ", the adversarial goal of property inference attack is", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + } + ], + "index": 16, + "bbox_fs": [ + 88, + 294, + 506, + 379 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 200, + 383, + 411, + 411 + ], + "lines": [ + { + "bbox": [ + 200, + 383, + 411, + 411 + ], + "spans": [ + { + "bbox": [ + 200, + 383, + 411, + 411 + ], + "score": 0.93, + "content": "\\mathcal { A } _ { P I A } = \\arg \\operatorname* { m i n } _ { F } \\sum _ { x _ { i } \\in \\pmb { x } } \\mathcal { L } _ { F } ( F ( T ( x _ { i } ) ) , l _ { i } ) , l _ { i } \\in \\{ 0 , 1 \\} .", + "type": "interline_equation", + "image_path": "0470754d5aae3343adf144c7a4a82f4d1b6bc72e803702e2a70e18d45ce8cb87.jpg" + } + ] + } + ], + "index": 20.5, + "virtual_lines": [ + { + "bbox": [ + 200, + 383, + 411, + 397.0 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 200, + 397.0, + 411, + 411.0 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "index", + "bbox": [ + 86, + 421, + 506, + 517 + ], + "lines": [ + { + "bbox": [ + 87, + 421, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 87, + 424, + 99, + 433 + ], + "score": 1.0, + "content": "100", + "type": "text" + }, + { + "bbox": [ + 104, + 421, + 506, + 434 + ], + "score": 1.0, + "content": "Data reconstruction attack. By taking advantage of generative adversarial networks (GANs) [13], a", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 434, + 507, + 446 + ], + "spans": [ + { + "bbox": [ + 85, + 435, + 100, + 445 + ], + "score": 1.0, + "content": "101", + "type": "text" + }, + { + "bbox": [ + 105, + 434, + 507, + 446 + ], + "score": 1.0, + "content": "data reconstruction attack [17, 29] becomes possible in collaborative learning. To mount the attack,", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 86, + 447, + 100, + 457 + ], + "score": 1.0, + "content": "102", + "type": "text" + }, + { + "bbox": [ + 105, + 446, + 433, + 459 + ], + "score": 1.0, + "content": "the adversary augments the training data per iteration by inserting fake samples", + "type": "text" + }, + { + "bbox": [ + 433, + 447, + 442, + 456 + ], + "score": 0.72, + "content": "_ z", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "generated by a", + "type": "text" + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 457, + 507, + 471 + ], + "spans": [ + { + "bbox": [ + 86, + 459, + 100, + 470 + ], + "score": 1.0, + "content": "103", + "type": "text" + }, + { + "bbox": [ + 104, + 457, + 147, + 471 + ], + "score": 1.0, + "content": "generator", + "type": "text" + }, + { + "bbox": [ + 148, + 458, + 156, + 467 + ], + "score": 0.79, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 457, + 357, + 471 + ], + "score": 1.0, + "content": ". The target model will serve as a discriminator", + "type": "text" + }, + { + "bbox": [ + 357, + 458, + 366, + 467 + ], + "score": 0.81, + "content": "D", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 457, + 507, + 471 + ], + "score": 1.0, + "content": ". The adversary affects the target", + "type": "text" + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 469, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 86, + 472, + 100, + 482 + ], + "score": 1.0, + "content": "104", + "type": "text" + }, + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "score": 1.0, + "content": "model by deceiving the target with fake training samples. For correcting the adversary, the target", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 480, + 507, + 496 + ], + "spans": [ + { + "bbox": [ + 86, + 483, + 100, + 494 + ], + "score": 1.0, + "content": "105", + "type": "text" + }, + { + "bbox": [ + 104, + 480, + 507, + 496 + ], + "score": 1.0, + "content": "participant is supposed to put more private information into the learning. In this game-style training,", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 86, + 496, + 100, + 504 + ], + "score": 1.0, + "content": "106", + "type": "text" + }, + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "score": 1.0, + "content": "the adversary can obtain a generator to reconstruct data samples similar to target private data. The", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 505, + 366, + 518 + ], + "spans": [ + { + "bbox": [ + 86, + 507, + 100, + 516 + ], + "score": 1.0, + "content": "107", + "type": "text" + }, + { + "bbox": [ + 104, + 505, + 366, + 518 + ], + "score": 1.0, + "content": "adversarial goal of the data reconstruction attack can be given as", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + } + ], + "index": 25.5, + "bbox_fs": [ + 85, + 421, + 507, + 518 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 172, + 522, + 438, + 552 + ], + "lines": [ + { + "bbox": [ + 172, + 522, + 438, + 552 + ], + "spans": [ + { + "bbox": [ + 172, + 522, + 438, + 552 + ], + "score": 0.93, + "content": "\\mathcal { A } _ { D R A } = \\operatorname* { m i n } _ { G } \\operatorname* { m a x } _ { D } \\frac { 1 } { | x | } \\sum _ { x \\in \\pmb { x } } l o g D ( x ) + \\frac { 1 } { | x | } \\sum _ { z \\in z } l o g ( 1 - D ( G ( z ) ) ) .", + "type": "interline_equation", + "image_path": "12210c240f57088c00b9acecd121a28ef285eef90a38c642226d3ed94bbddd10.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 172, + 522, + 438, + 532.0 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 172, + 532.0, + 438, + 542.0 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 172, + 542.0, + 438, + 552.0 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "index", + "bbox": [ + 87, + 561, + 506, + 634 + ], + "lines": [ + { + "bbox": [ + 86, + 562, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 86, + 564, + 100, + 574 + ], + "score": 1.0, + "content": "108", + "type": "text" + }, + { + "bbox": [ + 105, + 562, + 506, + 574 + ], + "score": 1.0, + "content": "Feature space hijacking. The property inference and data reconstruction attacks adapted from FL", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 575, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 86, + 576, + 100, + 586 + ], + "score": 1.0, + "content": "109", + "type": "text" + }, + { + "bbox": [ + 106, + 575, + 506, + 587 + ], + "score": 1.0, + "content": "can be mounted by a semi-honest participant, who follows the split learning protocol normally. How-", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 585, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 86, + 588, + 100, + 599 + ], + "score": 1.0, + "content": "110", + "type": "text" + }, + { + "bbox": [ + 104, + 585, + 506, + 599 + ], + "score": 1.0, + "content": "ever, a recent attack study dedicated to SplitNN has revealed that a malicious host can achieve more", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 596, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 85, + 599, + 100, + 610 + ], + "score": 1.0, + "content": "111", + "type": "text" + }, + { + "bbox": [ + 104, + 596, + 506, + 613 + ], + "score": 1.0, + "content": "impressive adversarial effects on property inference or data reconstruction by explicitly distorting", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 609, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 86, + 612, + 100, + 622 + ], + "score": 1.0, + "content": "112", + "type": "text" + }, + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "score": 1.0, + "content": "the objective of split learning. Thus, we also consider the defensive effect of our solution against", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 622, + 485, + 635 + ], + "spans": [ + { + "bbox": [ + 86, + 623, + 100, + 634 + ], + "score": 1.0, + "content": "113", + "type": "text" + }, + { + "bbox": [ + 104, + 622, + 485, + 635 + ], + "score": 1.0, + "content": "property inference and data reconstruction attacks using this feature space hijacking approach.", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + } + ], + "index": 35.5, + "bbox_fs": [ + 85, + 562, + 506, + 635 + ] + }, + { + "type": "title", + "bbox": [ + 87, + 648, + 301, + 663 + ], + "lines": [ + { + "bbox": [ + 84, + 646, + 303, + 667 + ], + "spans": [ + { + "bbox": [ + 84, + 646, + 303, + 667 + ], + "score": 1.0, + "content": "114 3 Privacy-Preserving Split Learning", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "index", + "bbox": [ + 87, + 674, + 506, + 723 + ], + "lines": [ + { + "bbox": [ + 86, + 674, + 506, + 688 + ], + "spans": [ + { + "bbox": [ + 86, + 676, + 100, + 686 + ], + "score": 1.0, + "content": "115", + "type": "text" + }, + { + "bbox": [ + 105, + 674, + 506, + 688 + ], + "score": 1.0, + "content": "Our goal is to design an unified defense solution to preserving privacy from both the host and guest’s", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 687, + 506, + 699 + ], + "spans": [ + { + "bbox": [ + 86, + 689, + 100, + 699 + ], + "score": 1.0, + "content": "116", + "type": "text" + }, + { + "bbox": [ + 104, + 687, + 506, + 698 + ], + "score": 1.0, + "content": "perspectives. Ideally, the guest wants to collaborate with the host under the condition that the host", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 86, + 701, + 100, + 711 + ], + "score": 1.0, + "content": "117", + "type": "text" + }, + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "could disclose no private information and vice versa. According to recent studies [3, 23, 16], artifi-", + "type": "text" + } + ], + "index": 42, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 710, + 507, + 725 + ], + "spans": [ + { + "bbox": [ + 86, + 713, + 100, + 723 + ], + "score": 1.0, + "content": "118", + "type": "text" + }, + { + "bbox": [ + 104, + 710, + 507, + 725 + ], + "score": 1.0, + "content": "cial perturbations of data samples or parameters could prevent privacy leakage effectively. However,", + "type": "text" + } + ], + "index": 43, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 71, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 86, + 74, + 100, + 85 + ], + "score": 1.0, + "content": "119", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 71, + 506, + 87 + ], + "score": 1.0, + "content": "different from conventional model publishing scenarios, the host and guest in SplitNN will keep", + "type": "text", + "cross_page": true + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 85, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 85, + 87, + 100, + 97 + ], + "score": 1.0, + "content": "120", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 85, + 506, + 97 + ], + "score": 1.0, + "content": "exchanging intermediate results during training. These continuous queries significantly increase the", + "type": "text", + "cross_page": true + } + ], + "index": 1, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 96, + 506, + 109 + ], + "spans": [ + { + "bbox": [ + 86, + 98, + 99, + 109 + ], + "score": 1.0, + "content": "121", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 96, + 506, + 109 + ], + "score": 1.0, + "content": "risk of privacy leakage for both sides. Moreover, the attack surface of splitNN is in the middle of", + "type": "text", + "cross_page": true + } + ], + "index": 2, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 109, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 86, + 110, + 100, + 120 + ], + "score": 1.0, + "content": "122", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 109, + 506, + 120 + ], + "score": 1.0, + "content": "neural network propagations, which makes things tricky. Thus, our primary idea to tackle this prob-", + "type": "text", + "cross_page": true + } + ], + "index": 3, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 120, + 506, + 133 + ], + "spans": [ + { + "bbox": [ + 86, + 122, + 100, + 133 + ], + "score": 1.0, + "content": "123", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 120, + 506, + 133 + ], + "score": 1.0, + "content": "lem is to construct a bidirectional privacy-preserving tunnel for interactions. Recent studies such as", + "type": "text", + "cross_page": true + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 85, + 135, + 100, + 145 + ], + "score": 1.0, + "content": "124", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "[10] have proved that activation functions are more adaptive for perturbed operands than other neu-", + "type": "text", + "cross_page": true + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 145, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 86, + 146, + 100, + 156 + ], + "score": 1.0, + "content": "125", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 145, + 505, + 156 + ], + "score": 1.0, + "content": "ral network components. Moreover, activation functions have various forms [2], which are flexible", + "type": "text", + "cross_page": true + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 156, + 503, + 169 + ], + "spans": [ + { + "bbox": [ + 86, + 159, + 100, + 168 + ], + "score": 1.0, + "content": "126", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 156, + 503, + 169 + ], + "score": 1.0, + "content": "for configuration. As a result, we propose a new variant of ReLU as a privacy-preserving interface.", + "type": "text", + "cross_page": true + } + ], + "index": 7, + "is_list_start_line": true + } + ], + "index": 41.5, + "bbox_fs": [ + 86, + 674, + 507, + 725 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 86, + 72, + 506, + 168 + ], + "lines": [ + { + "bbox": [ + 86, + 71, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 86, + 74, + 100, + 85 + ], + "score": 1.0, + "content": "119", + "type": "text" + }, + { + "bbox": [ + 104, + 71, + 506, + 87 + ], + "score": 1.0, + "content": "different from conventional model publishing scenarios, the host and guest in SplitNN will keep", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 85, + 85, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 85, + 87, + 100, + 97 + ], + "score": 1.0, + "content": "120", + "type": "text" + }, + { + "bbox": [ + 104, + 85, + 506, + 97 + ], + "score": 1.0, + "content": "exchanging intermediate results during training. These continuous queries significantly increase the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 86, + 96, + 506, + 109 + ], + "spans": [ + { + "bbox": [ + 86, + 98, + 99, + 109 + ], + "score": 1.0, + "content": "121", + "type": "text" + }, + { + "bbox": [ + 105, + 96, + 506, + 109 + ], + "score": 1.0, + "content": "risk of privacy leakage for both sides. Moreover, the attack surface of splitNN is in the middle of", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 86, + 109, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 86, + 110, + 100, + 120 + ], + "score": 1.0, + "content": "122", + "type": "text" + }, + { + "bbox": [ + 105, + 109, + 506, + 120 + ], + "score": 1.0, + "content": "neural network propagations, which makes things tricky. Thus, our primary idea to tackle this prob-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 86, + 120, + 506, + 133 + ], + "spans": [ + { + "bbox": [ + 86, + 122, + 100, + 133 + ], + "score": 1.0, + "content": "123", + "type": "text" + }, + { + "bbox": [ + 105, + 120, + 506, + 133 + ], + "score": 1.0, + "content": "lem is to construct a bidirectional privacy-preserving tunnel for interactions. Recent studies such as", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 85, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 85, + 135, + 100, + 145 + ], + "score": 1.0, + "content": "124", + "type": "text" + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "[10] have proved that activation functions are more adaptive for perturbed operands than other neu-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 86, + 145, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 86, + 146, + 100, + 156 + ], + "score": 1.0, + "content": "125", + "type": "text" + }, + { + "bbox": [ + 105, + 145, + 505, + 156 + ], + "score": 1.0, + "content": "ral network components. Moreover, activation functions have various forms [2], which are flexible", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 86, + 156, + 503, + 169 + ], + "spans": [ + { + "bbox": [ + 86, + 159, + 100, + 168 + ], + "score": 1.0, + "content": "126", + "type": "text" + }, + { + "bbox": [ + 104, + 156, + 503, + 169 + ], + "score": 1.0, + "content": "for configuration. As a result, we propose a new variant of ReLU as a privacy-preserving interface.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 3.5 + }, + { + "type": "title", + "bbox": [ + 98, + 181, + 291, + 194 + ], + "lines": [ + { + "bbox": [ + 105, + 179, + 292, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 128, + 197 + ], + "score": 1.0, + "content": "3.1", + "type": "text" + }, + { + "bbox": [ + 128, + 181, + 141, + 193 + ], + "score": 0.67, + "content": "{ \\bf R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 179, + 292, + 197 + ], + "score": 1.0, + "content": "eLU: Randomized-Response ReLU", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 86, + 204, + 506, + 336 + ], + "lines": [ + { + "bbox": [ + 86, + 204, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 86, + 206, + 100, + 216 + ], + "score": 1.0, + "content": "128", + "type": "text" + }, + { + "bbox": [ + 105, + 204, + 506, + 217 + ], + "score": 1.0, + "content": "Inspired by a randomized response approach [35], we propose a new activation function named", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 86, + 214, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 86, + 218, + 100, + 228 + ], + "score": 1.0, + "content": "129", + "type": "text" + }, + { + "bbox": [ + 106, + 215, + 137, + 227 + ], + "score": 0.54, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 214, + 506, + 230 + ], + "score": 1.0, + "content": ". The original randomized response method is good at statistical analysis of item sets. But", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 86, + 227, + 506, + 241 + ], + "spans": [ + { + "bbox": [ + 86, + 230, + 100, + 240 + ], + "score": 1.0, + "content": "130", + "type": "text" + }, + { + "bbox": [ + 105, + 227, + 506, + 241 + ], + "score": 1.0, + "content": "the result of an activation function is commonly a continuous variable. Hence, they cannot be easily", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 86, + 239, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 86, + 241, + 100, + 253 + ], + "score": 1.0, + "content": "131", + "type": "text" + }, + { + "bbox": [ + 105, + 239, + 506, + 253 + ], + "score": 1.0, + "content": "combined together. It should also be noted that it is risky to perturb activation functions directly", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 86, + 252, + 504, + 264 + ], + "spans": [ + { + "bbox": [ + 86, + 253, + 100, + 264 + ], + "score": 1.0, + "content": "132", + "type": "text" + }, + { + "bbox": [ + 105, + 252, + 504, + 264 + ], + "score": 1.0, + "content": "because non-activated results may be flipped unexpectedly. Recall that the original formula of ReLU", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 86, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 86, + 266, + 100, + 276 + ], + "score": 1.0, + "content": "133", + "type": "text" + }, + { + "bbox": [ + 105, + 264, + 116, + 276 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 117, + 263, + 193, + 276 + ], + "score": 0.89, + "content": "f ( x ) = \\operatorname* { m a x } ( 0 , x )", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 264, + 198, + 276 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 198, + 264, + 228, + 275 + ], + "score": 0.77, + "content": "x \\in \\mathcal { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 264, + 505, + 276 + ], + "score": 1.0, + "content": ". Our randomized-response variant will yield a proper substitute for", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 86, + 276, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 86, + 278, + 100, + 288 + ], + "score": 1.0, + "content": "134", + "type": "text" + }, + { + "bbox": [ + 105, + 276, + 311, + 289 + ], + "score": 1.0, + "content": "replacing the real activation with a probability of", + "type": "text" + }, + { + "bbox": [ + 311, + 278, + 317, + 288 + ], + "score": 0.79, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 276, + 506, + 289 + ], + "score": 1.0, + "content": ". If we yield 0 as the substitute, then we can", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 86, + 288, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 86, + 290, + 100, + 299 + ], + "score": 1.0, + "content": "135", + "type": "text" + }, + { + "bbox": [ + 105, + 288, + 433, + 301 + ], + "score": 1.0, + "content": "randomly inactivate a part of ReLU results. But nothing has been changed for", + "type": "text" + }, + { + "bbox": [ + 433, + 288, + 462, + 299 + ], + "score": 0.9, + "content": "x \\le 0", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 288, + 506, + 301 + ], + "score": 1.0, + "content": ". Because", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 86, + 299, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 86, + 301, + 100, + 312 + ], + "score": 1.0, + "content": "136", + "type": "text" + }, + { + "bbox": [ + 107, + 299, + 146, + 312 + ], + "score": 0.91, + "content": "f ( x ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 299, + 171, + 314 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 172, + 300, + 198, + 311 + ], + "score": 0.9, + "content": "x \\leq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 299, + 446, + 314 + ], + "score": 1.0, + "content": ". Hence, the variant is not completely privacy preserved since", + "type": "text" + }, + { + "bbox": [ + 446, + 299, + 485, + 312 + ], + "score": 0.92, + "content": "f ( x ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 299, + 506, + 314 + ], + "score": 1.0, + "content": "also", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 86, + 311, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 86, + 314, + 100, + 324 + ], + "score": 1.0, + "content": "137", + "type": "text" + }, + { + "bbox": [ + 105, + 311, + 506, + 326 + ], + "score": 1.0, + "content": "reveals useful information to the adversary. For the completeness of the variant, we generate noisy", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 86, + 323, + 459, + 336 + ], + "spans": [ + { + "bbox": [ + 86, + 326, + 100, + 335 + ], + "score": 1.0, + "content": "138", + "type": "text" + }, + { + "bbox": [ + 105, + 323, + 151, + 336 + ], + "score": 1.0, + "content": "activations", + "type": "text" + }, + { + "bbox": [ + 151, + 324, + 231, + 336 + ], + "score": 0.73, + "content": "x ^ { \\prime } \\ L \\mathrm { a p l a c e } ( 0 , \\sigma )", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 323, + 246, + 336 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 247, + 324, + 272, + 335 + ], + "score": 0.89, + "content": "x \\leq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 323, + 415, + 336 + ], + "score": 1.0, + "content": ". Now, we can give the definition of", + "type": "text" + }, + { + "bbox": [ + 416, + 323, + 446, + 334 + ], + "score": 0.66, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 323, + 459, + 336 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14 + }, + { + "type": "interline_equation", + "bbox": [ + 180, + 341, + 428, + 371 + ], + "lines": [ + { + "bbox": [ + 180, + 341, + 428, + 371 + ], + "spans": [ + { + "bbox": [ + 180, + 341, + 428, + 371 + ], + "score": 0.92, + "content": "R ^ { 3 } e L U ( x ) = \\left\\{ \\begin{array} { l l } { \\mathrm { m a x } ( 0 , x + x ^ { \\prime } ) , } & { \\mathrm { ~ w i t h ~ p r o b a b i l i t y } \\ p , } \\\\ { 0 , } & { \\mathrm { ~ w i t h ~ p r o b a b i l i t y } \\ ( 1 - p ) . } \\end{array} \\right.", + "type": "interline_equation", + "image_path": "b3148b037841c99614d5cbaf1f43bfc42a0bf4e56fad36e6c6e51d487c19bdfe.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 180, + 341, + 428, + 351.0 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 180, + 351.0, + 428, + 361.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 180, + 361.0, + 428, + 371.0 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 87, + 383, + 505, + 419 + ], + "lines": [ + { + "bbox": [ + 86, + 383, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 86, + 385, + 100, + 395 + ], + "score": 1.0, + "content": "139", + "type": "text" + }, + { + "bbox": [ + 105, + 383, + 207, + 397 + ], + "score": 1.0, + "content": "We remark that the way", + "type": "text" + }, + { + "bbox": [ + 208, + 383, + 239, + 394 + ], + "score": 0.73, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 383, + 505, + 397 + ], + "score": 1.0, + "content": "handles non-activated results is dangerous, although learning ac-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 87, + 395, + 505, + 409 + ], + "spans": [ + { + "bbox": [ + 87, + 398, + 99, + 407 + ], + "score": 1.0, + "content": "140", + "type": "text" + }, + { + "bbox": [ + 105, + 395, + 505, + 409 + ], + "score": 1.0, + "content": "curacy is often traded off for privacy. But we will mitigate the side effect through privacy budget", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 87, + 407, + 376, + 420 + ], + "spans": [ + { + "bbox": [ + 87, + 410, + 99, + 419 + ], + "score": 1.0, + "content": "141", + "type": "text" + }, + { + "bbox": [ + 105, + 407, + 254, + 420 + ], + "score": 1.0, + "content": "allocation. Then the risk of applying", + "type": "text" + }, + { + "bbox": [ + 254, + 407, + 285, + 418 + ], + "score": 0.31, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 407, + 376, + 420 + ], + "score": 1.0, + "content": "will not be a problem.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24 + }, + { + "type": "title", + "bbox": [ + 98, + 433, + 276, + 446 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 277, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 245, + 447 + ], + "score": 1.0, + "content": "3.2 Forward Propagation with", + "type": "text" + }, + { + "bbox": [ + 245, + 432, + 277, + 444 + ], + "score": 0.48, + "content": "\\mathbf { R ^ { 3 } e L U }", + "type": "inline_equation" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 86, + 454, + 506, + 551 + ], + "lines": [ + { + "bbox": [ + 86, + 453, + 507, + 469 + ], + "spans": [ + { + "bbox": [ + 86, + 457, + 100, + 467 + ], + "score": 1.0, + "content": "143", + "type": "text" + }, + { + "bbox": [ + 104, + 453, + 224, + 469 + ], + "score": 1.0, + "content": "Now we show how to apply", + "type": "text" + }, + { + "bbox": [ + 224, + 454, + 255, + 466 + ], + "score": 0.84, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 453, + 507, + 469 + ], + "score": 1.0, + "content": "in the forward pass of SplitNN regarding the guest’s privacy.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 86, + 466, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 86, + 469, + 100, + 479 + ], + "score": 1.0, + "content": "144", + "type": "text" + }, + { + "bbox": [ + 105, + 466, + 189, + 480 + ], + "score": 1.0, + "content": "Generally, when the", + "type": "text" + }, + { + "bbox": [ + 189, + 468, + 194, + 477 + ], + "score": 0.76, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 466, + 474, + 480 + ], + "score": 1.0, + "content": "-th training iteration begins, the guest randomly samples a mini-batch", + "type": "text" + }, + { + "bbox": [ + 474, + 469, + 482, + 477 + ], + "score": 0.76, + "content": "_ { \\textbf { \\em x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 466, + 506, + 480 + ], + "score": 1.0, + "content": "from", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 86, + 477, + 504, + 492 + ], + "spans": [ + { + "bbox": [ + 86, + 481, + 100, + 491 + ], + "score": 1.0, + "content": "145", + "type": "text" + }, + { + "bbox": [ + 104, + 477, + 204, + 492 + ], + "score": 1.0, + "content": "private training dataset", + "type": "text" + }, + { + "bbox": [ + 204, + 478, + 224, + 489 + ], + "score": 0.9, + "content": "\\chi ( g )", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 477, + 469, + 492 + ], + "score": 1.0, + "content": ". Assuming that an embedding procedure Embedding() :", + "type": "text" + }, + { + "bbox": [ + 469, + 478, + 504, + 491 + ], + "score": 0.6, + "content": "\\mathcal { R } ^ { M } \\gets", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 86, + 491, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 86, + 493, + 100, + 504 + ], + "score": 1.0, + "content": "146", + "type": "text" + }, + { + "bbox": [ + 106, + 492, + 117, + 501 + ], + "score": 0.81, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 491, + 506, + 504 + ], + "score": 1.0, + "content": "is publicly available, raw data samples in the mini-batch can be encoded into feature vectors", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 86, + 501, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 86, + 505, + 100, + 515 + ], + "score": 1.0, + "content": "147", + "type": "text" + }, + { + "bbox": [ + 106, + 503, + 203, + 515 + ], + "score": 0.89, + "content": "V = \\{ \\pmb { v } _ { 1 } , \\pmb { v } _ { 2 } , \\ldots , \\pmb { v } _ { N } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 501, + 208, + 517 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 208, + 503, + 304, + 515 + ], + "score": 0.86, + "content": "\\pmb { v _ { i } } = \\{ v _ { 1 } , v _ { 2 } , \\dots , v _ { M } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 501, + 309, + 517 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 309, + 503, + 354, + 515 + ], + "score": 0.87, + "content": "i \\in [ 1 , N ]", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 501, + 377, + 517 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 378, + 504, + 390, + 513 + ], + "score": 0.8, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 501, + 506, + 517 + ], + "score": 1.0, + "content": "is the dimension of feature", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 86, + 514, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 86, + 517, + 100, + 527 + ], + "score": 1.0, + "content": "148", + "type": "text" + }, + { + "bbox": [ + 105, + 515, + 387, + 528 + ], + "score": 1.0, + "content": "representing space. From the functional perspective, we assume that", + "type": "text" + }, + { + "bbox": [ + 387, + 514, + 439, + 527 + ], + "score": 0.93, + "content": "\\mathcal { L } ( \\boldsymbol { v } ^ { h } , \\boldsymbol { v } ^ { g } , \\boldsymbol { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 515, + 506, + 528 + ], + "score": 1.0, + "content": "is equivalent to", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 86, + 526, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 86, + 529, + 100, + 539 + ], + "score": 1.0, + "content": "149", + "type": "text" + }, + { + "bbox": [ + 107, + 527, + 189, + 539 + ], + "score": 0.85, + "content": "\\mathcal { L } ( \\mathrm { F o r w a r d } ( v ^ { h } , \\pmb \\theta ^ { h } )", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 526, + 228, + 539 + ], + "score": 1.0, + "content": ", Forwar", + "type": "text" + }, + { + "bbox": [ + 228, + 526, + 283, + 539 + ], + "score": 0.71, + "content": "\\mathfrak { l } ( v ^ { g } , \\theta ^ { g } ) , \\theta ^ { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 526, + 352, + 539 + ], + "score": 1.0, + "content": ", where Forward", + "type": "text" + }, + { + "bbox": [ + 352, + 527, + 420, + 539 + ], + "score": 0.79, + "content": "( ) : \\mathcal { R } ^ { N _ { s } } \\gets \\mathcal { R } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 526, + 506, + 539 + ], + "score": 1.0, + "content": "is a function to yield", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 86, + 537, + 507, + 552 + ], + "spans": [ + { + "bbox": [ + 86, + 541, + 100, + 551 + ], + "score": 1.0, + "content": "150", + "type": "text" + }, + { + "bbox": [ + 105, + 537, + 384, + 552 + ], + "score": 1.0, + "content": "the feedforward result of hidden units for a given neural network, and", + "type": "text" + }, + { + "bbox": [ + 384, + 540, + 398, + 550 + ], + "score": 0.88, + "content": "N _ { s }", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 537, + 507, + 552 + ], + "score": 1.0, + "content": "indicates the output shape.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 87, + 556, + 506, + 640 + ], + "lines": [ + { + "bbox": [ + 86, + 556, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 86, + 558, + 99, + 568 + ], + "score": 1.0, + "content": "151", + "type": "text" + }, + { + "bbox": [ + 105, + 556, + 505, + 569 + ], + "score": 1.0, + "content": "We now make the minimal modification of the forward propagation of SplitNN while leaving the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 86, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 86, + 570, + 100, + 581 + ], + "score": 1.0, + "content": "152", + "type": "text" + }, + { + "bbox": [ + 104, + 568, + 287, + 581 + ], + "score": 1.0, + "content": "rest part unchanged. Denoted by Forward-", + "type": "text" + }, + { + "bbox": [ + 287, + 568, + 320, + 580 + ], + "score": 0.8, + "content": "\\cdot \\mathtt { R } ^ { 3 } \\mathtt { e L U ( ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 568, + 505, + 581 + ], + "score": 1.0, + "content": "the feedforward result of neural network by", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 86, + 579, + 506, + 593 + ], + "spans": [ + { + "bbox": [ + 86, + 582, + 100, + 593 + ], + "score": 1.0, + "content": "153", + "type": "text" + }, + { + "bbox": [ + 105, + 580, + 378, + 592 + ], + "score": 1.0, + "content": "replacing the activation functions of the guest’s output layer with", + "type": "text" + }, + { + "bbox": [ + 379, + 579, + 409, + 591 + ], + "score": 0.62, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 580, + 506, + 592 + ], + "score": 1.0, + "content": ". Then the feedforward", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 86, + 591, + 507, + 605 + ], + "spans": [ + { + "bbox": [ + 86, + 595, + 100, + 604 + ], + "score": 1.0, + "content": "154", + "type": "text" + }, + { + "bbox": [ + 105, + 591, + 259, + 605 + ], + "score": 1.0, + "content": "result transmitted to the host should be", + "type": "text" + }, + { + "bbox": [ + 259, + 592, + 385, + 604 + ], + "score": 0.8, + "content": "\\pmb { a } ^ { g } = \\mathtt { F o r w a r d - R } ^ { 3 } \\mathtt { e L U } ( \\pmb { v } ^ { g } , \\pmb { \\theta } ^ { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 591, + 507, + 605 + ], + "score": 1.0, + "content": ". Next, the host executes a pre-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 86, + 603, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 86, + 605, + 100, + 616 + ], + "score": 1.0, + "content": "155", + "type": "text" + }, + { + "bbox": [ + 104, + 603, + 289, + 617 + ], + "score": 1.0, + "content": "defined aggregation procedure taking as input", + "type": "text" + }, + { + "bbox": [ + 289, + 605, + 301, + 614 + ], + "score": 0.86, + "content": "\\pmb { a } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 603, + 318, + 617 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 319, + 603, + 331, + 614 + ], + "score": 0.87, + "content": "\\pmb { a } ^ { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 603, + 506, + 617 + ], + "score": 1.0, + "content": ". Finally, the loss function will be evaluated", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 86, + 615, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 86, + 618, + 100, + 628 + ], + "score": 1.0, + "content": "156", + "type": "text" + }, + { + "bbox": [ + 105, + 615, + 119, + 630 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 119, + 615, + 230, + 628 + ], + "score": 0.63, + "content": "\\mathcal { L } ( \\mathrm { F o r w a r d - R } ^ { 3 } \\mathrm { e L U } ( v ^ { g } , \\pmb { \\theta } ^ { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 615, + 268, + 630 + ], + "score": 1.0, + "content": ", Forwar", + "type": "text" + }, + { + "bbox": [ + 269, + 615, + 324, + 628 + ], + "score": 0.62, + "content": "\\mathfrak { i } ( v ^ { h } , \\theta ^ { h } ) , \\theta ^ { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 615, + 506, + 630 + ], + "score": 1.0, + "content": ". Algorithm 1 in the appendix integrates the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 86, + 627, + 329, + 641 + ], + "spans": [ + { + "bbox": [ + 86, + 630, + 100, + 640 + ], + "score": 1.0, + "content": "157", + "type": "text" + }, + { + "bbox": [ + 105, + 628, + 240, + 641 + ], + "score": 1.0, + "content": "above forward propagation using", + "type": "text" + }, + { + "bbox": [ + 240, + 627, + 271, + 639 + ], + "score": 0.54, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 628, + 329, + 641 + ], + "score": 1.0, + "content": "into SplitNN.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38 + }, + { + "type": "title", + "bbox": [ + 91, + 653, + 313, + 665 + ], + "lines": [ + { + "bbox": [ + 87, + 651, + 315, + 668 + ], + "spans": [ + { + "bbox": [ + 87, + 651, + 315, + 668 + ], + "score": 1.0, + "content": "158 3.3 Privacy-Preserving Backward Propagation", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 87, + 674, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 86, + 674, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 86, + 676, + 100, + 686 + ], + "score": 1.0, + "content": "159", + "type": "text" + }, + { + "bbox": [ + 103, + 674, + 505, + 688 + ], + "score": 1.0, + "content": "According to recent studies of privacy leakage in backward propagation [26, 31, 8], model updating", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 86, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 86, + 689, + 100, + 699 + ], + "score": 1.0, + "content": "160", + "type": "text" + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "information may cause severe leakage of private training data. Since the partial loss will be propa-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 86, + 699, + 507, + 712 + ], + "spans": [ + { + "bbox": [ + 86, + 701, + 100, + 711 + ], + "score": 1.0, + "content": "161", + "type": "text" + }, + { + "bbox": [ + 105, + 699, + 507, + 712 + ], + "score": 1.0, + "content": "gated to the guest in SplitNN, it is crucial to protect the host’s privacy from being disclosed. Fortu-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 86, + 710, + 507, + 724 + ], + "spans": [ + { + "bbox": [ + 86, + 713, + 100, + 723 + ], + "score": 1.0, + "content": "162", + "type": "text" + }, + { + "bbox": [ + 105, + 710, + 151, + 724 + ], + "score": 1.0, + "content": "nately, our", + "type": "text" + }, + { + "bbox": [ + 152, + 710, + 182, + 721 + ], + "score": 0.88, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 710, + 384, + 724 + ], + "score": 1.0, + "content": "is adaptable to noisy partial losses and we design", + "type": "text" + }, + { + "bbox": [ + 384, + 710, + 396, + 721 + ], + "score": 0.74, + "content": "\\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 710, + 507, + 724 + ], + "score": 1.0, + "content": "eLU-Diff in a randomized-", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 44.5 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 741, + 310, + 752 + ], + "spans": [ + { + "bbox": [ + 301, + 741, + 310, + 752 + ], + "score": 1.0, + "content": "4", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "index", + "bbox": [ + 86, + 72, + 506, + 168 + ], + "lines": [], + "index": 3.5, + "bbox_fs": [ + 85, + 71, + 506, + 169 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 98, + 181, + 291, + 194 + ], + "lines": [ + { + "bbox": [ + 105, + 179, + 292, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 128, + 197 + ], + "score": 1.0, + "content": "3.1", + "type": "text" + }, + { + "bbox": [ + 128, + 181, + 141, + 193 + ], + "score": 0.67, + "content": "{ \\bf R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 179, + 292, + 197 + ], + "score": 1.0, + "content": "eLU: Randomized-Response ReLU", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "index", + "bbox": [ + 86, + 204, + 506, + 336 + ], + "lines": [ + { + "bbox": [ + 86, + 204, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 86, + 206, + 100, + 216 + ], + "score": 1.0, + "content": "128", + "type": "text" + }, + { + "bbox": [ + 105, + 204, + 506, + 217 + ], + "score": 1.0, + "content": "Inspired by a randomized response approach [35], we propose a new activation function named", + "type": "text" + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 214, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 86, + 218, + 100, + 228 + ], + "score": 1.0, + "content": "129", + "type": "text" + }, + { + "bbox": [ + 106, + 215, + 137, + 227 + ], + "score": 0.54, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 214, + 506, + 230 + ], + "score": 1.0, + "content": ". The original randomized response method is good at statistical analysis of item sets. But", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 227, + 506, + 241 + ], + "spans": [ + { + "bbox": [ + 86, + 230, + 100, + 240 + ], + "score": 1.0, + "content": "130", + "type": "text" + }, + { + "bbox": [ + 105, + 227, + 506, + 241 + ], + "score": 1.0, + "content": "the result of an activation function is commonly a continuous variable. Hence, they cannot be easily", + "type": "text" + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 239, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 86, + 241, + 100, + 253 + ], + "score": 1.0, + "content": "131", + "type": "text" + }, + { + "bbox": [ + 105, + 239, + 506, + 253 + ], + "score": 1.0, + "content": "combined together. 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Our randomized-response variant will yield a proper substitute for", + "type": "text" + } + ], + "index": 14, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 276, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 86, + 278, + 100, + 288 + ], + "score": 1.0, + "content": "134", + "type": "text" + }, + { + "bbox": [ + 105, + 276, + 311, + 289 + ], + "score": 1.0, + "content": "replacing the real activation with a probability of", + "type": "text" + }, + { + "bbox": [ + 311, + 278, + 317, + 288 + ], + "score": 0.79, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 276, + 506, + 289 + ], + "score": 1.0, + "content": ". If we yield 0 as the substitute, then we can", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 288, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 86, + 290, + 100, + 299 + ], + "score": 1.0, + "content": "135", + "type": "text" + }, + { + "bbox": [ + 105, + 288, + 433, + 301 + ], + "score": 1.0, + "content": "randomly inactivate a part of ReLU results. But nothing has been changed for", + "type": "text" + }, + { + "bbox": [ + 433, + 288, + 462, + 299 + ], + "score": 0.9, + "content": "x \\le 0", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 288, + 506, + 301 + ], + "score": 1.0, + "content": ". Because", + "type": "text" + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 299, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 86, + 301, + 100, + 312 + ], + "score": 1.0, + "content": "136", + "type": "text" + }, + { + "bbox": [ + 107, + 299, + 146, + 312 + ], + "score": 0.91, + "content": "f ( x ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 299, + 171, + 314 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 172, + 300, + 198, + 311 + ], + "score": 0.9, + "content": "x \\leq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 299, + 446, + 314 + ], + "score": 1.0, + "content": ". 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Now, we can give the definition of", + "type": "text" + }, + { + "bbox": [ + 416, + 323, + 446, + 334 + ], + "score": 0.66, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 323, + 459, + 336 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + } + ], + "index": 14, + "bbox_fs": [ + 86, + 204, + 506, + 336 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 180, + 341, + 428, + 371 + ], + "lines": [ + { + "bbox": [ + 180, + 341, + 428, + 371 + ], + "spans": [ + { + "bbox": [ + 180, + 341, + 428, + 371 + ], + "score": 0.92, + "content": "R ^ { 3 } e L U ( x ) = \\left\\{ \\begin{array} { l l } { \\mathrm { m a x } ( 0 , x + x ^ { \\prime } ) , } & { \\mathrm { ~ w i t h ~ p r o b a b i l i t y } \\ p , } \\\\ { 0 , } & { \\mathrm { ~ w i t h ~ p r o b a b i l i t y } \\ ( 1 - p ) . } \\end{array} \\right.", + "type": "interline_equation", + "image_path": "b3148b037841c99614d5cbaf1f43bfc42a0bf4e56fad36e6c6e51d487c19bdfe.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 180, + 341, + 428, + 351.0 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 180, + 351.0, + 428, + 361.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 180, + 361.0, + 428, + 371.0 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "index", + "bbox": [ + 87, + 383, + 505, + 419 + ], + "lines": [ + { + "bbox": [ + 86, + 383, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 86, + 385, + 100, + 395 + ], + "score": 1.0, + "content": "139", + "type": "text" + }, + { + "bbox": [ + 105, + 383, + 207, + 397 + ], + "score": 1.0, + "content": "We remark that the way", + "type": "text" + }, + { + "bbox": [ + 208, + 383, + 239, + 394 + ], + "score": 0.73, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 383, + 505, + 397 + ], + "score": 1.0, + "content": "handles non-activated results is dangerous, although learning ac-", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 395, + 505, + 409 + ], + "spans": [ + { + "bbox": [ + 87, + 398, + 99, + 407 + ], + "score": 1.0, + "content": "140", + "type": "text" + }, + { + "bbox": [ + 105, + 395, + 505, + 409 + ], + "score": 1.0, + "content": "curacy is often traded off for privacy. 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Therefore, we integrate a", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 86, + 146, + 506, + 160 + ], + "spans": [ + { + "bbox": [ + 86, + 149, + 100, + 159 + ], + "score": 1.0, + "content": "166", + "type": "text" + }, + { + "bbox": [ + 105, + 146, + 220, + 160 + ], + "score": 1.0, + "content": "Laplace mechanism into the", + "type": "text" + }, + { + "bbox": [ + 220, + 147, + 232, + 158 + ], + "score": 0.78, + "content": "\\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 146, + 437, + 160 + ], + "score": 1.0, + "content": "eLU-Diff. Please also note that the constructions of", + "type": "text" + }, + { + "bbox": [ + 437, + 147, + 449, + 158 + ], + "score": 0.8, + "content": "\\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 146, + 506, + 160 + ], + "score": 1.0, + "content": "eLU-Diff and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 86, + 158, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 86, + 161, + 100, + 172 + ], + "score": 1.0, + "content": "167", + "type": "text" + }, + { + "bbox": [ + 106, + 159, + 137, + 171 + ], + "score": 0.61, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 158, + 505, + 173 + ], + "score": 1.0, + "content": "are in a similar way. This is helpful to obtain uniform analysis results of two parties, which", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 86, + 171, + 276, + 185 + ], + "spans": [ + { + "bbox": [ + 86, + 174, + 100, + 183 + ], + "score": 1.0, + "content": "168", + "type": "text" + }, + { + "bbox": [ + 105, + 171, + 276, + 185 + ], + "score": 1.0, + "content": "will be shown in the privacy analysis part.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 86, + 188, + 506, + 273 + ], + "lines": [ + { + "bbox": [ + 86, + 188, + 506, + 201 + ], + "spans": [ + { + "bbox": [ + 86, + 191, + 99, + 200 + ], + "score": 1.0, + "content": "169", + "type": "text" + }, + { + "bbox": [ + 105, + 188, + 285, + 201 + ], + "score": 1.0, + "content": "We sketch the backward propagation using", + "type": "text" + }, + { + "bbox": [ + 285, + 188, + 297, + 199 + ], + "score": 0.78, + "content": "\\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 188, + 506, + 201 + ], + "score": 1.0, + "content": "eLU-Diff in Algorithm 2 in the appendix. Briefly,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 86, + 200, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 86, + 202, + 100, + 213 + ], + "score": 1.0, + "content": "170", + "type": "text" + }, + { + "bbox": [ + 104, + 200, + 144, + 214 + ], + "score": 1.0, + "content": "when the", + "type": "text" + }, + { + "bbox": [ + 144, + 202, + 149, + 211 + ], + "score": 0.7, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 200, + 418, + 214 + ], + "score": 1.0, + "content": "-th backward propagation begins, the host calculates the partial loss", + "type": "text" + }, + { + "bbox": [ + 418, + 200, + 505, + 213 + ], + "score": 0.93, + "content": "\\delta ^ { k } = \\nabla _ { \\pmb { a } ^ { k } } \\mathcal { L } ( l , \\bar { \\pmb { a } } , \\pmb { \\theta } _ { t } ^ { k } )", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 86, + 212, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 86, + 214, + 99, + 225 + ], + "score": 1.0, + "content": "171", + "type": "text" + }, + { + "bbox": [ + 104, + 212, + 120, + 226 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 120, + 212, + 132, + 223 + ], + "score": 0.86, + "content": "\\pmb { \\theta } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 212, + 227, + 226 + ], + "score": 1.0, + "content": "regarding the total loss", + "type": "text" + }, + { + "bbox": [ + 227, + 214, + 232, + 223 + ], + "score": 0.63, + "content": "l", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 212, + 393, + 226 + ], + "score": 1.0, + "content": "obtained in forward propagation, where", + "type": "text" + }, + { + "bbox": [ + 393, + 214, + 401, + 223 + ], + "score": 0.75, + "content": "\\bar { \\bf a }", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 212, + 506, + 226 + ], + "score": 1.0, + "content": "is the averaged activation", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 86, + 222, + 507, + 240 + ], + "spans": [ + { + "bbox": [ + 86, + 227, + 100, + 236 + ], + "score": 1.0, + "content": "172", + "type": "text" + }, + { + "bbox": [ + 104, + 222, + 208, + 240 + ], + "score": 1.0, + "content": "result. Then a Backward", + "type": "text" + }, + { + "bbox": [ + 208, + 224, + 279, + 237 + ], + "score": 0.71, + "content": "( ) : \\mathcal { R } ^ { N _ { r } } \\gets \\mathcal { R } ^ { N _ { s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 222, + 507, + 240 + ], + "score": 1.0, + "content": "procedure calculates the gradients of model parameters,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 86, + 237, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 86, + 239, + 100, + 249 + ], + "score": 1.0, + "content": "173", + "type": "text" + }, + { + "bbox": [ + 105, + 237, + 133, + 249 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 237, + 147, + 248 + ], + "score": 0.88, + "content": "N _ { r }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 237, + 478, + 249 + ], + "score": 1.0, + "content": "is the shape of parameters. To update the guest model, the host sends partial loss", + "type": "text" + }, + { + "bbox": [ + 478, + 237, + 489, + 247 + ], + "score": 0.85, + "content": "\\delta ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 237, + 506, + 249 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 86, + 247, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 86, + 250, + 100, + 261 + ], + "score": 1.0, + "content": "174", + "type": "text" + }, + { + "bbox": [ + 106, + 249, + 118, + 259 + ], + "score": 0.82, + "content": "\\pmb { \\theta } ^ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 247, + 321, + 263 + ], + "score": 1.0, + "content": "to the guest. 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Hence,", + "type": "text" + }, + { + "bbox": [ + 299, + 466, + 370, + 482 + ], + "score": 0.94, + "content": "\\begin{array} { r } { U _ { j } \\ = \\ \\sum _ { \\theta _ { k } \\in \\tilde { \\pmb { \\theta } } _ { j } } \\hat { I } _ { k } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 466, + 403, + 483 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 403, + 466, + 415, + 480 + ], + "score": 0.9, + "content": "\\tilde { \\theta } _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 466, + 507, + 483 + ], + "score": 1.0, + "content": "denotes the set of all", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 86, + 480, + 304, + 492 + ], + "spans": [ + { + "bbox": [ + 86, + 481, + 100, + 492 + ], + "score": 1.0, + "content": "187", + "type": "text" + }, + { + "bbox": [ + 105, + 480, + 253, + 492 + ], + "score": 1.0, + "content": "parameters directly connected to the", + "type": "text" + }, + { + "bbox": [ + 253, + 480, + 259, + 491 + ], + "score": 0.81, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 480, + 304, + 492 + ], + "score": 1.0, + "content": "-th neuron.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 86, + 496, + 505, + 556 + ], + "lines": [ + { + "bbox": [ + 86, + 497, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 86, + 499, + 100, + 508 + ], + "score": 1.0, + "content": "188", + "type": "text" + }, + { + "bbox": [ + 105, + 497, + 505, + 509 + ], + "score": 1.0, + "content": "However, the above importance estimation method is designed for a well-trained model and cannot", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 86, + 508, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 86, + 510, + 100, + 522 + ], + "score": 1.0, + "content": "189", + "type": "text" + }, + { + "bbox": [ + 104, + 508, + 505, + 522 + ], + "score": 1.0, + "content": "be directly applied to intermediate models during training. 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The intuition is to give larger budgets to more important features while", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 86, + 686, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 86, + 689, + 100, + 699 + ], + "score": 1.0, + "content": "200", + "type": "text" + }, + { + "bbox": [ + 105, + 686, + 322, + 699 + ], + "score": 1.0, + "content": "smaller budgets to less important ones. 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This is helpful to obtain uniform analysis results of two parties, which", + "type": "text" + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 171, + 276, + 185 + ], + "spans": [ + { + "bbox": [ + 86, + 174, + 100, + 183 + ], + "score": 1.0, + "content": "168", + "type": "text" + }, + { + "bbox": [ + 105, + 171, + 276, + 185 + ], + "score": 1.0, + "content": "will be shown in the privacy analysis part.", + "type": "text" + } + ], + "index": 7, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 188, + 506, + 201 + ], + "spans": [ + { + "bbox": [ + 86, + 191, + 99, + 200 + ], + "score": 1.0, + "content": "169", + "type": "text" + }, + { + "bbox": [ + 105, + 188, + 285, + 201 + ], + "score": 1.0, + "content": "We sketch the backward propagation using", + "type": "text" + }, + { + "bbox": [ + 285, + 188, + 297, + 199 + ], + "score": 0.78, + "content": "\\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 188, + 506, + 201 + ], + "score": 1.0, + "content": "eLU-Diff in Algorithm 2 in the appendix. Briefly,", + "type": "text" + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 200, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 86, + 202, + 100, + 213 + ], + "score": 1.0, + "content": "170", + "type": "text" + }, + { + "bbox": [ + 104, + 200, + 144, + 214 + ], + "score": 1.0, + "content": "when the", + "type": "text" + }, + { + "bbox": [ + 144, + 202, + 149, + 211 + ], + "score": 0.7, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 200, + 418, + 214 + ], + "score": 1.0, + "content": "-th backward propagation begins, the host calculates the partial loss", + "type": "text" + }, + { + "bbox": [ + 418, + 200, + 505, + 213 + ], + "score": 0.93, + "content": "\\delta ^ { k } = \\nabla _ { \\pmb { a } ^ { k } } \\mathcal { L } ( l , \\bar { \\pmb { a } } , \\pmb { \\theta } _ { t } ^ { k } )", + "type": "inline_equation" + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 212, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 86, + 214, + 99, + 225 + ], + "score": 1.0, + "content": "171", + "type": "text" + }, + { + "bbox": [ + 104, + 212, + 120, + 226 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 120, + 212, + 132, + 223 + ], + "score": 0.86, + "content": "\\pmb { \\theta } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 212, + 227, + 226 + ], + "score": 1.0, + "content": "regarding the total loss", + "type": "text" + }, + { + "bbox": [ + 227, + 214, + 232, + 223 + ], + "score": 0.63, + "content": "l", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 212, + 393, + 226 + ], + "score": 1.0, + "content": "obtained in forward propagation, where", + "type": "text" + }, + { + "bbox": [ + 393, + 214, + 401, + 223 + ], + "score": 0.75, + "content": "\\bar { \\bf a }", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 212, + 506, + 226 + ], + "score": 1.0, + "content": "is the averaged activation", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 222, + 507, + 240 + ], + "spans": [ + { + "bbox": [ + 86, + 227, + 100, + 236 + ], + "score": 1.0, + "content": "172", + "type": "text" + }, + { + "bbox": [ + 104, + 222, + 208, + 240 + ], + "score": 1.0, + "content": "result. Then a Backward", + "type": "text" + }, + { + "bbox": [ + 208, + 224, + 279, + 237 + ], + "score": 0.71, + "content": "( ) : \\mathcal { R } ^ { N _ { r } } \\gets \\mathcal { R } ^ { N _ { s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 222, + 507, + 240 + ], + "score": 1.0, + "content": "procedure calculates the gradients of model parameters,", + "type": "text" + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 237, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 86, + 239, + 100, + 249 + ], + "score": 1.0, + "content": "173", + "type": "text" + }, + { + "bbox": [ + 105, + 237, + 133, + 249 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 237, + 147, + 248 + ], + "score": 0.88, + "content": "N _ { r }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 237, + 478, + 249 + ], + "score": 1.0, + "content": "is the shape of parameters. 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The intuition is to give larger budgets to more important features while", + "type": "text" + } + ], + "index": 43, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 686, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 86, + 689, + 100, + 699 + ], + "score": 1.0, + "content": "200", + "type": "text" + }, + { + "bbox": [ + 105, + 686, + 322, + 699 + ], + "score": 1.0, + "content": "smaller budgets to less important ones. Before the", + "type": "text" + }, + { + "bbox": [ + 323, + 689, + 329, + 699 + ], + "score": 0.78, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 686, + 505, + 699 + ], + "score": 1.0, + "content": "-th training epoch begins, we estimate the", + "type": "text" + } + ], + "index": 44, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 695, + 507, + 716 + ], + "spans": [ + { + "bbox": [ + 86, + 700, + 100, + 712 + ], + "score": 1.0, + "content": "201", + "type": "text" + }, + { + "bbox": [ + 104, + 695, + 210, + 716 + ], + "score": 1.0, + "content": "feature importance vector", + "type": "text" + }, + { + "bbox": [ + 211, + 698, + 313, + 711 + ], + "score": 0.89, + "content": "\\boldsymbol { U } = \\{ U _ { 1 } ^ { q } , U _ { 2 } ^ { q } , \\ldots , U _ { N _ { u } } ^ { q } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 695, + 357, + 716 + ], + "score": 1.0, + "content": ". Based on", + "type": "text" + }, + { + "bbox": [ + 357, + 700, + 366, + 709 + ], + "score": 0.8, + "content": "U", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 695, + 507, + 716 + ], + "score": 1.0, + "content": ", the corresponding privacy budget", + "type": "text" + } + ], + "index": 45, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 710, + 506, + 725 + ], + "spans": [ + { + "bbox": [ + 85, + 712, + 100, + 723 + ], + "score": 1.0, + "content": "202", + "type": "text" + }, + { + "bbox": [ + 104, + 710, + 213, + 724 + ], + "score": 1.0, + "content": "to be allocated should be", + "type": "text" + }, + { + "bbox": [ + 213, + 711, + 248, + 725 + ], + "score": 0.9, + "content": "\\epsilon _ { j } \\times U _ { j } ^ { q }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 710, + 254, + 724 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 254, + 712, + 303, + 723 + ], + "score": 0.86, + "content": "j \\in [ 1 , N _ { u } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 710, + 506, + 724 + ], + "score": 1.0, + "content": ". And the total privacy budget for all features is", + "type": "text" + } + ], + "index": 46, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 70, + 507, + 89 + ], + "spans": [ + { + "bbox": [ + 86, + 74, + 99, + 84 + ], + "score": 1.0, + "content": "203", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 72, + 194, + 87 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\epsilon _ { F } = \\sum _ { j = \\in [ 1 , N _ { u } ] } \\epsilon _ { j } } \\end{array}", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 194, + 70, + 507, + 89 + ], + "score": 1.0, + "content": ". On the other hand, we can also dynamically allocate privacy budgets for", + "type": "text", + "cross_page": true + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 82, + 504, + 100 + ], + "spans": [ + { + "bbox": [ + 86, + 86, + 100, + 96 + ], + "score": 1.0, + "content": "204", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 82, + 492, + 100 + ], + "score": 1.0, + "content": "different iterations to optimize the total privacy budget further. 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Since", + "type": "text" + }, + { + "bbox": [ + 440, + 96, + 502, + 110 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\sum _ { i = 1 } ^ { \\infty } \\frac { \\epsilon _ { T } } { 2 ^ { i } } = \\epsilon _ { T } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 92, + 506, + 113 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 86, + 108, + 506, + 122 + ], + "spans": [ + { + "bbox": [ + 86, + 109, + 100, + 122 + ], + "score": 1.0, + "content": "206", + "type": "text" + }, + { + "bbox": [ + 105, + 108, + 506, + 122 + ], + "score": 1.0, + "content": "according to the sequential composition theory of differential privacy, we can still ensure that the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 86, + 119, + 329, + 135 + ], + "spans": [ + { + "bbox": [ + 86, + 123, + 100, + 132 + ], + "score": 1.0, + "content": "207", + "type": "text" + }, + { + "bbox": [ + 104, + 119, + 235, + 135 + ], + "score": 1.0, + "content": "whole training process achieves", + "type": "text" + }, + { + "bbox": [ + 235, + 122, + 246, + 132 + ], + "score": 0.86, + "content": "\\epsilon _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 119, + 329, + 135 + ], + "score": 1.0, + "content": "-differential privacy.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 102, + 144, + 202, + 156 + ], + "lines": [ + { + "bbox": [ + 105, + 144, + 202, + 158 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 202, + 158 + ], + "score": 1.0, + "content": "3.5 Privacy Analysis", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 86, + 164, + 505, + 225 + ], + "lines": [ + { + "bbox": [ + 86, + 164, + 507, + 178 + ], + "spans": [ + { + "bbox": [ + 86, + 167, + 99, + 177 + ], + "score": 1.0, + "content": "209", + "type": "text" + }, + { + "bbox": [ + 105, + 164, + 507, + 178 + ], + "score": 1.0, + "content": "We will give the privacy analysis for the host and the guest respectively. 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The proof is in the appendix.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 91, + 297, + 505, + 321 + ], + "lines": [ + { + "bbox": [ + 89, + 294, + 506, + 311 + ], + "spans": [ + { + "bbox": [ + 89, + 294, + 407, + 311 + ], + "score": 1.0, + "content": "Corollary 1. When forward propagation of the guest model is activated by215", + "type": "text" + }, + { + "bbox": [ + 408, + 295, + 438, + 308 + ], + "score": 0.79, + "content": "R ^ { 3 } e L U", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 294, + 506, + 311 + ], + "score": 1.0, + "content": "in split learning,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 87, + 307, + 342, + 323 + ], + "spans": [ + { + "bbox": [ + 87, + 307, + 198, + 323 + ], + "score": 1.0, + "content": "216 the activation result is", + "type": "text" + }, + { + "bbox": [ + 198, + 311, + 203, + 318 + ], + "score": 0.61, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 307, + 326, + 323 + ], + "score": 1.0, + "content": "-DP, given Laplace noise scale", + "type": "text" + }, + { + "bbox": [ + 327, + 311, + 338, + 321 + ], + "score": 0.84, + "content": "\\sigma _ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 307, + 342, + 323 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 85, + 328, + 506, + 400 + ], + "lines": [ + { + "bbox": [ + 85, + 329, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 85, + 330, + 100, + 341 + ], + "score": 1.0, + "content": "217", + "type": "text" + }, + { + "bbox": [ + 106, + 329, + 506, + 341 + ], + "score": 1.0, + "content": "For a fine-grained privacy budget allocation, we introduce dynamic budget allocation in our solution.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 86, + 340, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 86, + 343, + 99, + 352 + ], + "score": 1.0, + "content": "218", + "type": "text" + }, + { + "bbox": [ + 105, + 340, + 506, + 354 + ], + "score": 1.0, + "content": "We now give the analysis of feature-specific privacy budget. Given the estimated feature importance", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 86, + 349, + 507, + 368 + ], + "spans": [ + { + "bbox": [ + 86, + 355, + 100, + 364 + ], + "score": 1.0, + "content": "219", + "type": "text" + }, + { + "bbox": [ + 104, + 349, + 133, + 368 + ], + "score": 1.0, + "content": "vector", + "type": "text" + }, + { + "bbox": [ + 134, + 352, + 236, + 366 + ], + "score": 0.93, + "content": "\\boldsymbol { U } = \\{ U _ { 1 } ^ { q } , U _ { 2 } ^ { q } , \\dots , U _ { N _ { u } } ^ { q } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 349, + 350, + 368 + ], + "score": 1.0, + "content": ", we allocate privacy budget", + "type": "text" + }, + { + "bbox": [ + 350, + 352, + 389, + 365 + ], + "score": 0.93, + "content": "\\epsilon _ { i } = \\epsilon U _ { i } ^ { q }", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 349, + 507, + 368 + ], + "score": 1.0, + "content": "to each feature. Thus, if the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 85, + 364, + 505, + 377 + ], + "spans": [ + { + "bbox": [ + 85, + 366, + 100, + 376 + ], + "score": 1.0, + "content": "220", + "type": "text" + }, + { + "bbox": [ + 105, + 364, + 505, + 377 + ], + "score": 1.0, + "content": "divergence of features can be bounded by their privacy budgets, then the total privacy budget will", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 85, + 375, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 85, + 378, + 100, + 389 + ], + "score": 1.0, + "content": "221", + "type": "text" + }, + { + "bbox": [ + 104, + 375, + 209, + 390 + ], + "score": 1.0, + "content": "be bounded. Denoted by", + "type": "text" + }, + { + "bbox": [ + 209, + 377, + 218, + 388 + ], + "score": 0.87, + "content": "b _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 375, + 236, + 390 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 236, + 378, + 245, + 388 + ], + "score": 0.83, + "content": "c _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 375, + 399, + 390 + ], + "score": 1.0, + "content": "the noise parameter and bound of the", + "type": "text" + }, + { + "bbox": [ + 399, + 377, + 404, + 387 + ], + "score": 0.79, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 375, + 505, + 390 + ], + "score": 1.0, + "content": "-th feature. Then we can", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 86, + 389, + 257, + 401 + ], + "spans": [ + { + "bbox": [ + 86, + 391, + 100, + 400 + ], + "score": 1.0, + "content": "222", + "type": "text" + }, + { + "bbox": [ + 105, + 389, + 257, + 401 + ], + "score": 1.0, + "content": "account the divergence of features as", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19.5 + }, + { + "type": "interline_equation", + "bbox": [ + 118, + 401, + 493, + 474 + ], + "lines": [ + { + "bbox": [ + 118, + 401, + 493, + 474 + ], + "spans": [ + { + "bbox": [ + 118, + 401, + 493, + 474 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\frac { P \\left( a _ { i } > 0 | v \\right) } { P \\left( a _ { i } > 0 | v ^ { \\prime } \\right) } = \\frac { \\frac { 1 - p } { 2 b } \\exp \\left( - \\frac { \\left| a _ { i } - f ( v ) _ { i } \\right| } { b _ { i } } \\right) } { \\frac { 1 - p } { 2 b } \\exp \\left( - \\frac { \\left| a _ { i } - f ( v ^ { \\prime } ) _ { i } \\right| } { b _ { i } } \\right) } \\leq \\exp ( \\frac { \\left| a _ { i } - f ( v ^ { \\prime } ) _ { i } \\right| - \\left| a _ { i } - f ( v ) _ { i } \\right| } { b _ { i } } ) \\leq \\exp ( \\frac { 2 c _ { i } } { b _ { i } } ) } \\\\ & { \\frac { P \\left( a _ { i } = 0 | v \\right) } { P \\left( a _ { i } = 0 | v ^ { \\prime } \\right) } = \\frac { p + \\frac { 1 - p } { 2 } e x p \\left( - \\frac { f ( v ) _ { i } } { b _ { i } } \\right) } { p + \\frac { 1 - p } { 2 } e x p \\left( - \\frac { f ( v ^ { \\prime } ) _ { i } } { b _ { i } } \\right) } \\leq \\frac { p + \\frac { 1 - p } { 2 } e x p \\left( \\frac { c _ { i } } { b _ { i } } \\right) } { p + \\frac { 1 - p } { 2 } e x p \\left( \\frac { - c _ { i } } { b _ { i } } \\right) } \\leq \\exp ( \\frac { 2 c _ { i } } { b _ { i } } ) } \\end{array}", + "type": "interline_equation", + "image_path": "34edd83954eaa414d5c47a5a40ca14ba4257004d7bb0cdea1ec6e8465b1ff57e.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 118, + 401, + 493, + 425.3333333333333 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 118, + 425.3333333333333, + 493, + 449.66666666666663 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 118, + 449.66666666666663, + 493, + 473.99999999999994 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 92, + 479, + 360, + 491 + ], + "lines": [ + { + "bbox": [ + 88, + 478, + 359, + 494 + ], + "spans": [ + { + "bbox": [ + 88, + 478, + 359, + 494 + ], + "score": 1.0, + "content": "223 Basing on this result, we can conclude the following corollary.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 100, + 493, + 504, + 520 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 284, + 507 + ], + "score": 1.0, + "content": "Corollary 2. In forward propagation with", + "type": "text" + }, + { + "bbox": [ + 285, + 492, + 315, + 504 + ], + "score": 0.88, + "content": "R ^ { 3 } e L U ,", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 491, + 425, + 507 + ], + "score": 1.0, + "content": ", the privacy budget of the", + "type": "text" + }, + { + "bbox": [ + 426, + 495, + 430, + 504 + ], + "score": 0.44, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 491, + 505, + 507 + ], + "score": 1.0, + "content": "-th feature can be", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 504, + 397, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 155, + 520 + ], + "score": 1.0, + "content": "bounded by", + "type": "text" + }, + { + "bbox": [ + 155, + 507, + 164, + 517 + ], + "score": 0.78, + "content": "\\epsilon _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 504, + 216, + 520 + ], + "score": 1.0, + "content": "if we choose", + "type": "text" + }, + { + "bbox": [ + 217, + 506, + 225, + 516 + ], + "score": 0.85, + "content": "b _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 504, + 264, + 520 + ], + "score": 1.0, + "content": "to satisfy", + "type": "text" + }, + { + "bbox": [ + 265, + 505, + 394, + 520 + ], + "score": 0.77, + "content": "\\begin{array} { r } { \\exp \\bigl ( \\frac { 2 c _ { i } } { b _ { i } } \\bigr ) \\leq \\exp ( \\epsilon _ { i } ) , \\forall p \\in [ 0 , 1 ] . } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 504, + 397, + 520 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 104, + 525, + 505, + 588 + ], + "lines": [ + { + "bbox": [ + 105, + 524, + 507, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 507, + 540 + ], + "score": 1.0, + "content": "The last analysis result of the guest is privacy budget allocation during the whole training stage.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 103, + 534, + 507, + 555 + ], + "spans": [ + { + "bbox": [ + 103, + 534, + 203, + 555 + ], + "score": 1.0, + "content": "Since we have allocated", + "type": "text" + }, + { + "bbox": [ + 203, + 537, + 271, + 552 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\epsilon = \\sum _ { i \\in [ 1 , N _ { u } ] } \\epsilon _ { i } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 534, + 507, + 555 + ], + "score": 1.0, + "content": "for all features, we can directly conclude that each training", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 550, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 133, + 565 + ], + "score": 1.0, + "content": "step is", + "type": "text" + }, + { + "bbox": [ + 134, + 554, + 145, + 564 + ], + "score": 0.7, + "content": "\\gamma \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 551, + 373, + 565 + ], + "score": 1.0, + "content": "-DP by following the privacy amplification theory, where", + "type": "text" + }, + { + "bbox": [ + 373, + 550, + 403, + 565 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\gamma = \\frac { B } { N } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 551, + 506, + 565 + ], + "score": 1.0, + "content": "is the sampling ratio of a", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "batch regarding the whole training dataset. Now we can give the total privacy budget of the whole", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 576, + 319, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 319, + 589 + ], + "score": 1.0, + "content": "training stage using the strong composition theorem.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 590, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 587, + 507, + 605 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 415, + 605 + ], + "score": 1.0, + "content": "Corollary 3. The total privacy budget of the whole training process using", + "type": "text" + }, + { + "bbox": [ + 415, + 590, + 445, + 601 + ], + "score": 0.85, + "content": "R ^ { 3 } e L U", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 587, + 457, + 605 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 457, + 590, + 487, + 604 + ], + "score": 0.63, + "content": "( \\epsilon _ { g } ^ { \\prime } , \\delta _ { g } ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 587, + 507, + 605 + ], + "score": 1.0, + "content": "-DP,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 603, + 288, + 624 + ], + "spans": [ + { + "bbox": [ + 104, + 604, + 133, + 622 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 603, + 283, + 624 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\epsilon _ { g } ^ { \\prime } = \\gamma \\epsilon \\sqrt { 2 T \\ln ( \\frac { 1 } { \\delta _ { g } ^ { \\prime } } ) } + \\gamma \\epsilon T ( e ^ { \\gamma \\epsilon } - 1 ) . } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 604, + 288, + 622 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 100, + 630, + 505, + 678 + ], + "lines": [ + { + "bbox": [ + 105, + 630, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 457, + 644 + ], + "score": 1.0, + "content": "So far, we have given the privacy analysis from the guest perspective. Since we construct", + "type": "text" + }, + { + "bbox": [ + 457, + 630, + 488, + 642 + ], + "score": 0.74, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 630, + 506, + 644 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 641, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 118, + 654 + ], + "score": 0.73, + "content": "\\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 641, + 506, + 656 + ], + "score": 1.0, + "content": "eLU-Diff using the same way and same technique, these two procedures have the same analysis", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 281, + 668 + ], + "score": 1.0, + "content": "result if we choose the noise scale of host", + "type": "text" + }, + { + "bbox": [ + 281, + 656, + 320, + 667 + ], + "score": 0.9, + "content": "\\sigma _ { h } = \\sigma _ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 654, + 505, + 668 + ], + "score": 1.0, + "content": ". 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Then the probability", + "type": "text" + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 213, + 347, + 226 + ], + "spans": [ + { + "bbox": [ + 86, + 215, + 100, + 225 + ], + "score": 1.0, + "content": "213", + "type": "text" + }, + { + "bbox": [ + 105, + 213, + 217, + 226 + ], + "score": 1.0, + "content": "of observing any activation", + "type": "text" + }, + { + "bbox": [ + 217, + 215, + 228, + 224 + ], + "score": 0.86, + "content": "a _ { o }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 213, + 297, + 226 + ], + "score": 1.0, + "content": "for a given input", + "type": "text" + }, + { + "bbox": [ + 298, + 215, + 304, + 223 + ], + "score": 0.76, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 213, + 347, + 226 + ], + "score": 1.0, + "content": "should be", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + } + ], + "index": 8, + "bbox_fs": [ + 85, + 164, + 507, + 226 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 136, + 226, + 474, + 282 + ], + "lines": [ + { + "bbox": [ + 136, + 226, + 474, + 282 + ], + "spans": [ + { + "bbox": [ + 136, + 226, + 474, + 282 + ], + "score": 0.93, + "content": "\\begin{array} { l } { \\displaystyle P ( a _ { o } = 0 | v ) = p + ( 1 - p ) \\int _ { - \\infty } ^ { - f ( v ) _ { o } } \\frac { 1 } { 2 b } \\exp ( - \\frac { | v | } { b } ) d v = p + \\frac { 1 - p } { 2 } \\exp ( \\frac { - f ( v ) _ { o } } { b } ) , } \\\\ { \\displaystyle P ( a _ { o } > 0 | v ) = \\frac { 1 - p } { 2 b } \\exp ( - \\frac { | a _ { 0 } - f ( v ) _ { o } | } { b } ) . } \\end{array}", + "type": "interline_equation", + "image_path": "74c5a070551e85a52f9be169e1cda0ef0b926ba79133ff0c8ff42cd226b209f3.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 136, + 226, + 474, + 244.66666666666666 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 136, + 244.66666666666666, + 474, + 263.3333333333333 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 136, + 263.3333333333333, + 474, + 282.0 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 91, + 282, + 505, + 294 + ], + "lines": [ + { + "bbox": [ + 88, + 281, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 88, + 281, + 506, + 295 + ], + "score": 1.0, + "content": "214 Then we can give the following conclusion regarding the guest model. The proof is in the appendix.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14, + "bbox_fs": [ + 88, + 281, + 506, + 295 + ] + }, + { + "type": "text", + "bbox": [ + 91, + 297, + 505, + 321 + ], + "lines": [ + { + "bbox": [ + 89, + 294, + 506, + 311 + ], + "spans": [ + { + "bbox": [ + 89, + 294, + 407, + 311 + ], + "score": 1.0, + "content": "Corollary 1. When forward propagation of the guest model is activated by215", + "type": "text" + }, + { + "bbox": [ + 408, + 295, + 438, + 308 + ], + "score": 0.79, + "content": "R ^ { 3 } e L U", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 294, + 506, + 311 + ], + "score": 1.0, + "content": "in split learning,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 87, + 307, + 342, + 323 + ], + "spans": [ + { + "bbox": [ + 87, + 307, + 198, + 323 + ], + "score": 1.0, + "content": "216 the activation result is", + "type": "text" + }, + { + "bbox": [ + 198, + 311, + 203, + 318 + ], + "score": 0.61, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 307, + 326, + 323 + ], + "score": 1.0, + "content": "-DP, given Laplace noise scale", + "type": "text" + }, + { + "bbox": [ + 327, + 311, + 338, + 321 + ], + "score": 0.84, + "content": "\\sigma _ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 307, + 342, + 323 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5, + "bbox_fs": [ + 87, + 294, + 506, + 323 + ] + }, + { + "type": "index", + "bbox": [ + 85, + 328, + 506, + 400 + ], + "lines": [ + { + "bbox": [ + 85, + 329, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 85, + 330, + 100, + 341 + ], + "score": 1.0, + "content": "217", + "type": "text" + }, + { + "bbox": [ + 106, + 329, + 506, + 341 + ], + "score": 1.0, + "content": "For a fine-grained privacy budget allocation, we introduce dynamic budget allocation in our solution.", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 340, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 86, + 343, + 99, + 352 + ], + "score": 1.0, + "content": "218", + "type": "text" + }, + { + "bbox": [ + 105, + 340, + 506, + 354 + ], + "score": 1.0, + "content": "We now give the analysis of feature-specific privacy budget. Given the estimated feature importance", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 349, + 507, + 368 + ], + "spans": [ + { + "bbox": [ + 86, + 355, + 100, + 364 + ], + "score": 1.0, + "content": "219", + "type": "text" + }, + { + "bbox": [ + 104, + 349, + 133, + 368 + ], + "score": 1.0, + "content": "vector", + "type": "text" + }, + { + "bbox": [ + 134, + 352, + 236, + 366 + ], + "score": 0.93, + "content": "\\boldsymbol { U } = \\{ U _ { 1 } ^ { q } , U _ { 2 } ^ { q } , \\dots , U _ { N _ { u } } ^ { q } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 349, + 350, + 368 + ], + "score": 1.0, + "content": ", we allocate privacy budget", + "type": "text" + }, + { + "bbox": [ + 350, + 352, + 389, + 365 + ], + "score": 0.93, + "content": "\\epsilon _ { i } = \\epsilon U _ { i } ^ { q }", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 349, + 507, + 368 + ], + "score": 1.0, + "content": "to each feature. Thus, if the", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 364, + 505, + 377 + ], + "spans": [ + { + "bbox": [ + 85, + 366, + 100, + 376 + ], + "score": 1.0, + "content": "220", + "type": "text" + }, + { + "bbox": [ + 105, + 364, + 505, + 377 + ], + "score": 1.0, + "content": "divergence of features can be bounded by their privacy budgets, then the total privacy budget will", + "type": "text" + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 375, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 85, + 378, + 100, + 389 + ], + "score": 1.0, + "content": "221", + "type": "text" + }, + { + "bbox": [ + 104, + 375, + 209, + 390 + ], + "score": 1.0, + "content": "be bounded. Denoted by", + "type": "text" + }, + { + "bbox": [ + 209, + 377, + 218, + 388 + ], + "score": 0.87, + "content": "b _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 375, + 236, + 390 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 236, + 378, + 245, + 388 + ], + "score": 0.83, + "content": "c _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 375, + 399, + 390 + ], + "score": 1.0, + "content": "the noise parameter and bound of the", + "type": "text" + }, + { + "bbox": [ + 399, + 377, + 404, + 387 + ], + "score": 0.79, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 375, + 505, + 390 + ], + "score": 1.0, + "content": "-th feature. Then we can", + "type": "text" + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 389, + 257, + 401 + ], + "spans": [ + { + "bbox": [ + 86, + 391, + 100, + 400 + ], + "score": 1.0, + "content": "222", + "type": "text" + }, + { + "bbox": [ + 105, + 389, + 257, + 401 + ], + "score": 1.0, + "content": "account the divergence of features as", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + } + ], + "index": 19.5, + "bbox_fs": [ + 85, + 329, + 507, + 401 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 118, + 401, + 493, + 474 + ], + "lines": [ + { + "bbox": [ + 118, + 401, + 493, + 474 + ], + "spans": [ + { + "bbox": [ + 118, + 401, + 493, + 474 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\frac { P \\left( a _ { i } > 0 | v \\right) } { P \\left( a _ { i } > 0 | v ^ { \\prime } \\right) } = \\frac { \\frac { 1 - p } { 2 b } \\exp \\left( - \\frac { \\left| a _ { i } - f ( v ) _ { i } \\right| } { b _ { i } } \\right) } { \\frac { 1 - p } { 2 b } \\exp \\left( - \\frac { \\left| a _ { i } - f ( v ^ { \\prime } ) _ { i } \\right| } { b _ { i } } \\right) } \\leq \\exp ( \\frac { \\left| a _ { i } - f ( v ^ { \\prime } ) _ { i } \\right| - \\left| a _ { i } - f ( v ) _ { i } \\right| } { b _ { i } } ) \\leq \\exp ( \\frac { 2 c _ { i } } { b _ { i } } ) } \\\\ & { \\frac { P \\left( a _ { i } = 0 | v \\right) } { P \\left( a _ { i } = 0 | v ^ { \\prime } \\right) } = \\frac { p + \\frac { 1 - p } { 2 } e x p \\left( - \\frac { f ( v ) _ { i } } { b _ { i } } \\right) } { p + \\frac { 1 - p } { 2 } e x p \\left( - \\frac { f ( v ^ { \\prime } ) _ { i } } { b _ { i } } \\right) } \\leq \\frac { p + \\frac { 1 - p } { 2 } e x p \\left( \\frac { c _ { i } } { b _ { i } } \\right) } { p + \\frac { 1 - p } { 2 } e x p \\left( \\frac { - c _ { i } } { b _ { i } } \\right) } \\leq \\exp ( \\frac { 2 c _ { i } } { b _ { i } } ) } \\end{array}", + "type": "interline_equation", + "image_path": "34edd83954eaa414d5c47a5a40ca14ba4257004d7bb0cdea1ec6e8465b1ff57e.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 118, + 401, + 493, + 425.3333333333333 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 118, + 425.3333333333333, + 493, + 449.66666666666663 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 118, + 449.66666666666663, + 493, + 473.99999999999994 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 92, + 479, + 360, + 491 + ], + "lines": [ + { + "bbox": [ + 88, + 478, + 359, + 494 + ], + "spans": [ + { + "bbox": [ + 88, + 478, + 359, + 494 + ], + "score": 1.0, + "content": "223 Basing on this result, we can conclude the following corollary.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26, + "bbox_fs": [ + 88, + 478, + 359, + 494 + ] + }, + { + "type": "text", + "bbox": [ + 100, + 493, + 504, + 520 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 284, + 507 + ], + "score": 1.0, + "content": "Corollary 2. In forward propagation with", + "type": "text" + }, + { + "bbox": [ + 285, + 492, + 315, + 504 + ], + "score": 0.88, + "content": "R ^ { 3 } e L U ,", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 491, + 425, + 507 + ], + "score": 1.0, + "content": ", the privacy budget of the", + "type": "text" + }, + { + "bbox": [ + 426, + 495, + 430, + 504 + ], + "score": 0.44, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 491, + 505, + 507 + ], + "score": 1.0, + "content": "-th feature can be", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 504, + 397, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 155, + 520 + ], + "score": 1.0, + "content": "bounded by", + "type": "text" + }, + { + "bbox": [ + 155, + 507, + 164, + 517 + ], + "score": 0.78, + "content": "\\epsilon _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 504, + 216, + 520 + ], + "score": 1.0, + "content": "if we choose", + "type": "text" + }, + { + "bbox": [ + 217, + 506, + 225, + 516 + ], + "score": 0.85, + "content": "b _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 504, + 264, + 520 + ], + "score": 1.0, + "content": "to satisfy", + "type": "text" + }, + { + "bbox": [ + 265, + 505, + 394, + 520 + ], + "score": 0.77, + "content": "\\begin{array} { r } { \\exp \\bigl ( \\frac { 2 c _ { i } } { b _ { i } } \\bigr ) \\leq \\exp ( \\epsilon _ { i } ) , \\forall p \\in [ 0 , 1 ] . } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 504, + 397, + 520 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 491, + 505, + 520 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 525, + 505, + 588 + ], + "lines": [ + { + "bbox": [ + 105, + 524, + 507, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 507, + 540 + ], + "score": 1.0, + "content": "The last analysis result of the guest is privacy budget allocation during the whole training stage.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 103, + 534, + 507, + 555 + ], + "spans": [ + { + "bbox": [ + 103, + 534, + 203, + 555 + ], + "score": 1.0, + "content": "Since we have allocated", + "type": "text" + }, + { + "bbox": [ + 203, + 537, + 271, + 552 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\epsilon = \\sum _ { i \\in [ 1 , N _ { u } ] } \\epsilon _ { i } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 534, + 507, + 555 + ], + "score": 1.0, + "content": "for all features, we can directly conclude that each training", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 550, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 133, + 565 + ], + "score": 1.0, + "content": "step is", + "type": "text" + }, + { + "bbox": [ + 134, + 554, + 145, + 564 + ], + "score": 0.7, + "content": "\\gamma \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 551, + 373, + 565 + ], + "score": 1.0, + "content": "-DP by following the privacy amplification theory, where", + "type": "text" + }, + { + "bbox": [ + 373, + 550, + 403, + 565 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\gamma = \\frac { B } { N } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 551, + 506, + 565 + ], + "score": 1.0, + "content": "is the sampling ratio of a", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "batch regarding the whole training dataset. Now we can give the total privacy budget of the whole", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 576, + 319, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 319, + 589 + ], + "score": 1.0, + "content": "training stage using the strong composition theorem.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31, + "bbox_fs": [ + 103, + 524, + 507, + 589 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 590, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 587, + 507, + 605 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 415, + 605 + ], + "score": 1.0, + "content": "Corollary 3. The total privacy budget of the whole training process using", + "type": "text" + }, + { + "bbox": [ + 415, + 590, + 445, + 601 + ], + "score": 0.85, + "content": "R ^ { 3 } e L U", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 587, + 457, + 605 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 457, + 590, + 487, + 604 + ], + "score": 0.63, + "content": "( \\epsilon _ { g } ^ { \\prime } , \\delta _ { g } ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 587, + 507, + 605 + ], + "score": 1.0, + "content": "-DP,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 603, + 288, + 624 + ], + "spans": [ + { + "bbox": [ + 104, + 604, + 133, + 622 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 603, + 283, + 624 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\epsilon _ { g } ^ { \\prime } = \\gamma \\epsilon \\sqrt { 2 T \\ln ( \\frac { 1 } { \\delta _ { g } ^ { \\prime } } ) } + \\gamma \\epsilon T ( e ^ { \\gamma \\epsilon } - 1 ) . } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 604, + 288, + 622 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34.5, + "bbox_fs": [ + 104, + 587, + 507, + 624 + ] + }, + { + "type": "text", + "bbox": [ + 100, + 630, + 505, + 678 + ], + "lines": [ + { + "bbox": [ + 105, + 630, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 457, + 644 + ], + "score": 1.0, + "content": "So far, we have given the privacy analysis from the guest perspective. Since we construct", + "type": "text" + }, + { + "bbox": [ + 457, + 630, + 488, + 642 + ], + "score": 0.74, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 630, + 506, + 644 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 641, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 118, + 654 + ], + "score": 0.73, + "content": "\\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 641, + 506, + 656 + ], + "score": 1.0, + "content": "eLU-Diff using the same way and same technique, these two procedures have the same analysis", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 281, + 668 + ], + "score": 1.0, + "content": "result if we choose the noise scale of host", + "type": "text" + }, + { + "bbox": [ + 281, + 656, + 320, + 667 + ], + "score": 0.9, + "content": "\\sigma _ { h } = \\sigma _ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 654, + 505, + 668 + ], + "score": 1.0, + "content": ". In this way, we can conclude the following", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 668, + 181, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 181, + 678 + ], + "score": 1.0, + "content": "result for the host.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37.5, + "bbox_fs": [ + 105, + 630, + 506, + 678 + ] + }, + { + "type": "text", + "bbox": [ + 97, + 680, + 505, + 725 + ], + "lines": [ + { + "bbox": [ + 106, + 680, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 293, + 694 + ], + "score": 1.0, + "content": "Corollary 4. In backward propagation with", + "type": "text" + }, + { + "bbox": [ + 293, + 681, + 322, + 692 + ], + "score": 0.82, + "content": "R ^ { 3 } e L U", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 680, + 505, + 694 + ], + "score": 1.0, + "content": "-Diff, the privacy budget of the host can be", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 692, + 506, + 708 + ], + "spans": [ + { + "bbox": [ + 105, + 692, + 156, + 708 + ], + "score": 1.0, + "content": "bounded by", + "type": "text" + }, + { + "bbox": [ + 156, + 695, + 167, + 705 + ], + "score": 0.79, + "content": "\\epsilon _ { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 692, + 223, + 708 + ], + "score": 1.0, + "content": "if we choose", + "type": "text" + }, + { + "bbox": [ + 223, + 695, + 261, + 705 + ], + "score": 0.87, + "content": "\\sigma _ { h } = \\sigma _ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 692, + 506, + 708 + ], + "score": 1.0, + "content": ". The total privacy budget of the host in the whole training", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 705, + 396, + 726 + ], + "spans": [ + { + "bbox": [ + 104, + 707, + 149, + 724 + ], + "score": 1.0, + "content": "process is", + "type": "text" + }, + { + "bbox": [ + 149, + 708, + 180, + 721 + ], + "score": 0.88, + "content": "( \\epsilon _ { h } ^ { \\prime } , \\delta _ { h } ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 707, + 226, + 724 + ], + "score": 1.0, + "content": "-DP, where", + "type": "text" + }, + { + "bbox": [ + 226, + 705, + 392, + 726 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\epsilon _ { h } ^ { \\prime } = \\gamma \\epsilon _ { h } \\sqrt { 2 T \\ln ( \\frac { 1 } { \\delta _ { h } ^ { \\prime } } ) } + \\gamma \\epsilon _ { h } T ( e ^ { \\gamma \\epsilon _ { h } } - 1 ) . } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 707, + 396, + 724 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41, + "bbox_fs": [ + 104, + 680, + 506, + 726 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 86, + 96, + 506, + 264 + ], + "lines": [ + { + "bbox": [ + 86, + 96, + 506, + 111 + ], + "spans": [ + { + "bbox": [ + 86, + 99, + 99, + 108 + ], + "score": 1.0, + "content": "241", + "type": "text" + }, + { + "bbox": [ + 105, + 96, + 506, + 111 + ], + "score": 1.0, + "content": "We evaluate our privacy-preserving SplitNN solution from two aspects model usability and privacy", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 86, + 108, + 506, + 122 + ], + "spans": [ + { + "bbox": [ + 86, + 111, + 99, + 120 + ], + "score": 1.0, + "content": "242", + "type": "text" + }, + { + "bbox": [ + 104, + 108, + 506, + 122 + ], + "score": 1.0, + "content": "loss. To be comprehensive, we will compare our solution with the baseline (without any protection)", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 86, + 119, + 507, + 135 + ], + "spans": [ + { + "bbox": [ + 86, + 123, + 99, + 133 + ], + "score": 1.0, + "content": "243", + "type": "text" + }, + { + "bbox": [ + 104, + 119, + 507, + 135 + ], + "score": 1.0, + "content": "and the most relevant defense solutions, i.e., a primitive Laplace mechanism [5] and DPSGD [1],", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 86, + 133, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 86, + 135, + 99, + 144 + ], + "score": 1.0, + "content": "244", + "type": "text" + }, + { + "bbox": [ + 105, + 133, + 506, + 146 + ], + "score": 1.0, + "content": "the most well-known privacy-preserving deep learning solution, in the same setting. We will use", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 85, + 144, + 507, + 158 + ], + "spans": [ + { + "bbox": [ + 85, + 146, + 100, + 157 + ], + "score": 1.0, + "content": "245", + "type": "text" + }, + { + "bbox": [ + 105, + 144, + 507, + 158 + ], + "score": 1.0, + "content": "the same fixed total privacy budget and the same split way (shown in the appendix) for all solutions.", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 86, + 156, + 506, + 169 + ], + "spans": [ + { + "bbox": [ + 86, + 159, + 99, + 168 + ], + "score": 1.0, + "content": "246", + "type": "text" + }, + { + "bbox": [ + 105, + 156, + 506, + 169 + ], + "score": 1.0, + "content": "We adapt solutions into recommendation models using two real-world datasets, MovieLens [15],", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 85, + 168, + 506, + 182 + ], + "spans": [ + { + "bbox": [ + 85, + 170, + 99, + 181 + ], + "score": 1.0, + "content": "247", + "type": "text" + }, + { + "bbox": [ + 105, + 168, + 506, + 182 + ], + "score": 1.0, + "content": "BookCrossing [40], and an image classification model using MNIST [20] dataset. The MovieLens", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 86, + 182, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 86, + 183, + 99, + 192 + ], + "score": 1.0, + "content": "248", + "type": "text" + }, + { + "bbox": [ + 106, + 182, + 506, + 192 + ], + "score": 1.0, + "content": "1-M dataset contains 1 million ratings of 4,000 movies collected from 6,000 users and users’ de-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 85, + 192, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 85, + 194, + 100, + 205 + ], + "score": 1.0, + "content": "249", + "type": "text" + }, + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "score": 1.0, + "content": "mographic information such as gender and age. The BookCrossing dataset includes 278,858 users’", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 85, + 204, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 85, + 206, + 100, + 217 + ], + "score": 1.0, + "content": "250", + "type": "text" + }, + { + "bbox": [ + 105, + 204, + 506, + 216 + ], + "score": 1.0, + "content": "demographic information and 1,149,780 ratings of 271,379 books. The MNIST database has 70,000", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 85, + 216, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 85, + 218, + 99, + 229 + ], + "score": 1.0, + "content": "251", + "type": "text" + }, + { + "bbox": [ + 105, + 216, + 506, + 230 + ], + "score": 1.0, + "content": "handwriting image examples. We will use a 32 batch size, a 0.01 learning rate and an Adam opti-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 86, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 86, + 230, + 99, + 240 + ], + "score": 1.0, + "content": "252", + "type": "text" + }, + { + "bbox": [ + 106, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "mizer as default. Since different datasets and defense solutions may require various epochs for split", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 86, + 240, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 86, + 243, + 99, + 252 + ], + "score": 1.0, + "content": "253", + "type": "text" + }, + { + "bbox": [ + 105, + 240, + 505, + 253 + ], + "score": 1.0, + "content": "learning, we calculate the metrics when the learning converges, or the privacy budget is drained. All", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 253, + 327, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 327, + 265 + ], + "score": 1.0, + "content": "experimental results are averaged across multiple runs.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 6.5 + }, + { + "type": "table", + "bbox": [ + 106, + 282, + 501, + 356 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 157, + 265, + 452, + 277 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 156, + 263, + 454, + 280 + ], + "spans": [ + { + "bbox": [ + 156, + 263, + 454, + 280 + ], + "score": 1.0, + "content": "Table 2: Model usability results while preserving the privacy of the guest.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "table_body", + "bbox": [ + 106, + 282, + 501, + 356 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 282, + 501, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 501, + 356 + ], + "score": 0.98, + "html": "
EMovieLensBookCrossingMNIST
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EMovieLensBookCrossingMNIST
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0.131.47%30.68%33.98%57.37%57.46%58.26%27.64%33.45%32.36%
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2.049.86%50.43% 51.47%59.34%59.97%60.27%89.15%92.66%92.52%
4.049.57%50.09%51.62%59.55%60.75%60.66%94.61%95.37%95.01%
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Moreover, two asymmetric parties of SplitNN may have", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "score": 1.0, + "content": "different privacy concerns and affect learning differently. Thus, we will evaluate model usability", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 525, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 540 + ], + "score": 1.0, + "content": "concerning privacy from the perspective of the guest or the host. We use an averaged test accuracy", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 538, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 550 + ], + "score": 1.0, + "content": "across all test samples for the evaluation. Precisely, the test accuracy of a recommendation model", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 549, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 562 + ], + "score": 1.0, + "content": "is calculated using a top-10 hit ratio, while the test accuracy of an image classifier is the prediction", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 560, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 576 + ], + "score": 1.0, + "content": "accuracy. In Table 2 and Table 3, we show the model usability results regarding various privacy", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 573, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 587 + ], + "score": 1.0, + "content": "budget values of two parties. We note that model accuracy baselines of Movielens, BookCrossing,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 585, + 348, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 171, + 599 + ], + "score": 1.0, + "content": "and MNIST are", + "type": "text" + }, + { + "bbox": [ + 172, + 586, + 204, + 597 + ], + "score": 0.79, + "content": "5 6 . 6 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 585, + 207, + 599 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 207, + 586, + 239, + 597 + ], + "score": 0.84, + "content": "6 1 . 7 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 585, + 259, + 599 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 260, + 586, + 292, + 597 + ], + "score": 0.86, + "content": "9 8 . 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 585, + 348, + 599 + ], + "score": 1.0, + "content": ", respectively.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 86, + 603, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 86, + 603, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 86, + 605, + 99, + 614 + ], + "score": 1.0, + "content": "265", + "type": "text" + }, + { + "bbox": [ + 104, + 603, + 505, + 616 + ], + "score": 1.0, + "content": "For the MovieLens model, our solution achieves the best model usability in most cases, especially", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 86, + 615, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 86, + 617, + 100, + 627 + ], + "score": 1.0, + "content": "266", + "type": "text" + }, + { + "bbox": [ + 105, + 615, + 347, + 627 + ], + "score": 1.0, + "content": "with less privacy budget. DPSGD has a better result when", + "type": "text" + }, + { + "bbox": [ + 347, + 615, + 374, + 625 + ], + "score": 0.88, + "content": "\\epsilon = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 615, + 505, + 627 + ], + "score": 1.0, + "content": "for the guest. But DPSGD will", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 85, + 627, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 85, + 629, + 100, + 640 + ], + "score": 1.0, + "content": "267", + "type": "text" + }, + { + "bbox": [ + 104, + 627, + 506, + 640 + ], + "score": 1.0, + "content": "cause a significant privacy leakage in this case. For the BookCrossing model, the model usability of", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 85, + 639, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 85, + 641, + 100, + 651 + ], + "score": 1.0, + "content": "268", + "type": "text" + }, + { + "bbox": [ + 104, + 639, + 506, + 652 + ], + "score": 1.0, + "content": "our solution is relatively high in cases of protecting the guest and the host. Similarly, DPSGD has a", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 85, + 651, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 85, + 652, + 100, + 663 + ], + "score": 1.0, + "content": "269", + "type": "text" + }, + { + "bbox": [ + 105, + 651, + 180, + 664 + ], + "score": 1.0, + "content": "better result when", + "type": "text" + }, + { + "bbox": [ + 180, + 651, + 204, + 661 + ], + "score": 0.9, + "content": "\\epsilon = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 651, + 506, + 664 + ], + "score": 1.0, + "content": "for the host, sacrificing the privacy guarantee. Things are a bit different for", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 85, + 662, + 505, + 676 + ], + "spans": [ + { + "bbox": [ + 85, + 664, + 100, + 675 + ], + "score": 1.0, + "content": "270", + "type": "text" + }, + { + "bbox": [ + 104, + 662, + 505, + 676 + ], + "score": 1.0, + "content": "the MNIST model. DPSGD gets some better results when protecting the host. The reason is that split", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 85, + 675, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 85, + 676, + 99, + 687 + ], + "score": 1.0, + "content": "271", + "type": "text" + }, + { + "bbox": [ + 105, + 675, + 505, + 687 + ], + "score": 1.0, + "content": "learning for an image classification model segments image samples roughly, making our dynamic", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 86, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 86, + 689, + 99, + 699 + ], + "score": 1.0, + "content": "272", + "type": "text" + }, + { + "bbox": [ + 105, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "budget allocation approach malfunction. Meanwhile, DPSGD is not designed for protecting partial", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 86, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 86, + 700, + 100, + 711 + ], + "score": 1.0, + "content": "273", + "type": "text" + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "loss in SplitNN, leading to an optimistic estimation of the threat against the host. Apart from these", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 85, + 711, + 421, + 723 + ], + "spans": [ + { + "bbox": [ + 85, + 713, + 100, + 723 + ], + "score": 1.0, + "content": "274", + "type": "text" + }, + { + "bbox": [ + 105, + 711, + 421, + 723 + ], + "score": 1.0, + "content": "exceptional cases, our solution outperforms other solutions on model usability.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36.5 + } + ], + "page_idx": 6, + "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": "7", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 87, + 71, + 182, + 84 + ], + "lines": [ + { + "bbox": [ + 83, + 70, + 183, + 86 + ], + "spans": [ + { + "bbox": [ + 83, + 70, + 183, + 86 + ], + "score": 1.0, + "content": "240 4 Evaluation", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 87, + 450, + 98, + 457 + ], + "lines": [ + { + "bbox": [ + 85, + 448, + 100, + 459 + ], + "spans": [ + { + "bbox": [ + 85, + 448, + 100, + 459 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 11, + "width": 15 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "index", + "bbox": [ + 86, + 96, + 506, + 264 + ], + "lines": [ + { + "bbox": [ + 86, + 96, + 506, + 111 + ], + "spans": [ + { + "bbox": [ + 86, + 99, + 99, + 108 + ], + "score": 1.0, + "content": "241", + "type": "text" + }, + { + "bbox": [ + 105, + 96, + 506, + 111 + ], + "score": 1.0, + "content": "We evaluate our privacy-preserving SplitNN solution from two aspects model usability and privacy", + "type": "text" + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 108, + 506, + 122 + ], + "spans": [ + { + "bbox": [ + 86, + 111, + 99, + 120 + ], + "score": 1.0, + "content": "242", + "type": "text" + }, + { + "bbox": [ + 104, + 108, + 506, + 122 + ], + "score": 1.0, + "content": "loss. To be comprehensive, we will compare our solution with the baseline (without any protection)", + "type": "text" + } + ], + "index": 1, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 119, + 507, + 135 + ], + "spans": [ + { + "bbox": [ + 86, + 123, + 99, + 133 + ], + "score": 1.0, + "content": "243", + "type": "text" + }, + { + "bbox": [ + 104, + 119, + 507, + 135 + ], + "score": 1.0, + "content": "and the most relevant defense solutions, i.e., a primitive Laplace mechanism [5] and DPSGD [1],", + "type": "text" + } + ], + "index": 2, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 133, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 86, + 135, + 99, + 144 + ], + "score": 1.0, + "content": "244", + "type": "text" + }, + { + "bbox": [ + 105, + 133, + 506, + 146 + ], + "score": 1.0, + "content": "the most well-known privacy-preserving deep learning solution, in the same setting. We will use", + "type": "text" + } + ], + "index": 3, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 144, + 507, + 158 + ], + "spans": [ + { + "bbox": [ + 85, + 146, + 100, + 157 + ], + "score": 1.0, + "content": "245", + "type": "text" + }, + { + "bbox": [ + 105, + 144, + 507, + 158 + ], + "score": 1.0, + "content": "the same fixed total privacy budget and the same split way (shown in the appendix) for all solutions.", + "type": "text" + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 156, + 506, + 169 + ], + "spans": [ + { + "bbox": [ + 86, + 159, + 99, + 168 + ], + "score": 1.0, + "content": "246", + "type": "text" + }, + { + "bbox": [ + 105, + 156, + 506, + 169 + ], + "score": 1.0, + "content": "We adapt solutions into recommendation models using two real-world datasets, MovieLens [15],", + "type": "text" + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 168, + 506, + 182 + ], + "spans": [ + { + "bbox": [ + 85, + 170, + 99, + 181 + ], + "score": 1.0, + "content": "247", + "type": "text" + }, + { + "bbox": [ + 105, + 168, + 506, + 182 + ], + "score": 1.0, + "content": "BookCrossing [40], and an image classification model using MNIST [20] dataset. The MovieLens", + "type": "text" + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 182, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 86, + 183, + 99, + 192 + ], + "score": 1.0, + "content": "248", + "type": "text" + }, + { + "bbox": [ + 106, + 182, + 506, + 192 + ], + "score": 1.0, + "content": "1-M dataset contains 1 million ratings of 4,000 movies collected from 6,000 users and users’ de-", + "type": "text" + } + ], + "index": 7, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 192, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 85, + 194, + 100, + 205 + ], + "score": 1.0, + "content": "249", + "type": "text" + }, + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "score": 1.0, + "content": "mographic information such as gender and age. The BookCrossing dataset includes 278,858 users’", + "type": "text" + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 204, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 85, + 206, + 100, + 217 + ], + "score": 1.0, + "content": "250", + "type": "text" + }, + { + "bbox": [ + 105, + 204, + 506, + 216 + ], + "score": 1.0, + "content": "demographic information and 1,149,780 ratings of 271,379 books. The MNIST database has 70,000", + "type": "text" + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 216, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 85, + 218, + 99, + 229 + ], + "score": 1.0, + "content": "251", + "type": "text" + }, + { + "bbox": [ + 105, + 216, + 506, + 230 + ], + "score": 1.0, + "content": "handwriting image examples. We will use a 32 batch size, a 0.01 learning rate and an Adam opti-", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 86, + 230, + 99, + 240 + ], + "score": 1.0, + "content": "252", + "type": "text" + }, + { + "bbox": [ + 106, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "mizer as default. Since different datasets and defense solutions may require various epochs for split", + "type": "text" + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 240, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 86, + 243, + 99, + 252 + ], + "score": 1.0, + "content": "253", + "type": "text" + }, + { + "bbox": [ + 105, + 240, + 505, + 253 + ], + "score": 1.0, + "content": "learning, we calculate the metrics when the learning converges, or the privacy budget is drained. All", + "type": "text" + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 106, + 253, + 327, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 327, + 265 + ], + "score": 1.0, + "content": "experimental results are averaged across multiple runs.", + "type": "text" + } + ], + "index": 13, + "is_list_start_line": true + } + ], + "index": 6.5, + "bbox_fs": [ + 85, + 96, + 507, + 265 + ] + }, + { + "type": "table", + "bbox": [ + 106, + 282, + 501, + 356 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 157, + 265, + 452, + 277 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 156, + 263, + 454, + 280 + ], + "spans": [ + { + "bbox": [ + 156, + 263, + 454, + 280 + ], + "score": 1.0, + "content": "Table 2: Model usability results while preserving the privacy of the guest.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "table_body", + "bbox": [ + 106, + 282, + 501, + 356 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 282, + 501, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 501, + 356 + ], + "score": 0.98, + "html": "
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.130.84%32.29%34.03%57.02%55.89%58.18%17.43%30.21%32.41%
0.541.25%43.69%43.87%57.67%56.14%58.54%27.33%58.43%60.38%
1.048.16%49.09%50.56%58.02%56.56%58.42%31.05%75.58%76.60%
2.049.32%50.38%50.49%58.74%56.91%59.24%38.92%92.90%93.53%
4.049.26%50.86%50.73%59.01%57.16%59.26%95.37%95.87%94.12%
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EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.131.47%30.68%33.98%57.37%57.46%58.26%27.64%33.45%32.36%
0.541.75%42.31%42.67%58.62%58.24%58.59%55.38%65.28%67.83%
1.047.43%48.29% 50.39%59.49%58.44%59.77%71.95%89.74%88.14%
2.049.86%50.43% 51.47%59.34%59.97%60.27%89.15%92.66%92.52%
4.049.57%50.09%51.62%59.55%60.75%60.66%94.61%95.37%95.01%
", + "type": "table", + "image_path": "bdb07497b42895b3e1e8d32965c1edcd5ef018c52387ea3f0310e5ad02101037.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 107, + 379, + 501, + 403.3333333333333 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 107, + 403.3333333333333, + 501, + 427.66666666666663 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 107, + 427.66666666666663, + 501, + 451.99999999999994 + ], + "spans": [], + "index": 21 + } + ] + } + ], + "index": 19.0 + }, + { + "type": "title", + "bbox": [ + 104, + 468, + 198, + 480 + ], + "lines": [ + { + "bbox": [ + 105, + 466, + 199, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 199, + 483 + ], + "score": 1.0, + "content": "4.1 Model Usability", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 489, + 505, + 597 + ], + "lines": [ + { + "bbox": [ + 105, + 489, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 504 + ], + "score": 1.0, + "content": "Since artificial perturbation may affect the learning procedure, we will evaluate how SplitNN is", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "score": 1.0, + "content": "affected by privacy-preserving solutions. Moreover, two asymmetric parties of SplitNN may have", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "score": 1.0, + "content": "different privacy concerns and affect learning differently. Thus, we will evaluate model usability", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 525, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 540 + ], + "score": 1.0, + "content": "concerning privacy from the perspective of the guest or the host. We use an averaged test accuracy", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 538, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 550 + ], + "score": 1.0, + "content": "across all test samples for the evaluation. Precisely, the test accuracy of a recommendation model", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 549, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 562 + ], + "score": 1.0, + "content": "is calculated using a top-10 hit ratio, while the test accuracy of an image classifier is the prediction", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 560, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 576 + ], + "score": 1.0, + "content": "accuracy. In Table 2 and Table 3, we show the model usability results regarding various privacy", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 573, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 587 + ], + "score": 1.0, + "content": "budget values of two parties. We note that model accuracy baselines of Movielens, BookCrossing,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 585, + 348, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 171, + 599 + ], + "score": 1.0, + "content": "and MNIST are", + "type": "text" + }, + { + "bbox": [ + 172, + 586, + 204, + 597 + ], + "score": 0.79, + "content": "5 6 . 6 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 585, + 207, + 599 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 207, + 586, + 239, + 597 + ], + "score": 0.84, + "content": "6 1 . 7 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 585, + 259, + 599 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 260, + 586, + 292, + 597 + ], + "score": 0.86, + "content": "9 8 . 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 585, + 348, + 599 + ], + "score": 1.0, + "content": ", respectively.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 489, + 506, + 599 + ] + }, + { + "type": "index", + "bbox": [ + 86, + 603, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 86, + 603, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 86, + 605, + 99, + 614 + ], + "score": 1.0, + "content": "265", + "type": "text" + }, + { + "bbox": [ + 104, + 603, + 505, + 616 + ], + "score": 1.0, + "content": "For the MovieLens model, our solution achieves the best model usability in most cases, especially", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 615, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 86, + 617, + 100, + 627 + ], + "score": 1.0, + "content": "266", + "type": "text" + }, + { + "bbox": [ + 105, + 615, + 347, + 627 + ], + "score": 1.0, + "content": "with less privacy budget. DPSGD has a better result when", + "type": "text" + }, + { + "bbox": [ + 347, + 615, + 374, + 625 + ], + "score": 0.88, + "content": "\\epsilon = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 615, + 505, + 627 + ], + "score": 1.0, + "content": "for the guest. But DPSGD will", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 627, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 85, + 629, + 100, + 640 + ], + "score": 1.0, + "content": "267", + "type": "text" + }, + { + "bbox": [ + 104, + 627, + 506, + 640 + ], + "score": 1.0, + "content": "cause a significant privacy leakage in this case. For the BookCrossing model, the model usability of", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 639, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 85, + 641, + 100, + 651 + ], + "score": 1.0, + "content": "268", + "type": "text" + }, + { + "bbox": [ + 104, + 639, + 506, + 652 + ], + "score": 1.0, + "content": "our solution is relatively high in cases of protecting the guest and the host. Similarly, DPSGD has a", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 651, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 85, + 652, + 100, + 663 + ], + "score": 1.0, + "content": "269", + "type": "text" + }, + { + "bbox": [ + 105, + 651, + 180, + 664 + ], + "score": 1.0, + "content": "better result when", + "type": "text" + }, + { + "bbox": [ + 180, + 651, + 204, + 661 + ], + "score": 0.9, + "content": "\\epsilon = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 651, + 506, + 664 + ], + "score": 1.0, + "content": "for the host, sacrificing the privacy guarantee. Things are a bit different for", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 662, + 505, + 676 + ], + "spans": [ + { + "bbox": [ + 85, + 664, + 100, + 675 + ], + "score": 1.0, + "content": "270", + "type": "text" + }, + { + "bbox": [ + 104, + 662, + 505, + 676 + ], + "score": 1.0, + "content": "the MNIST model. DPSGD gets some better results when protecting the host. The reason is that split", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 675, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 85, + 676, + 99, + 687 + ], + "score": 1.0, + "content": "271", + "type": "text" + }, + { + "bbox": [ + 105, + 675, + 505, + 687 + ], + "score": 1.0, + "content": "learning for an image classification model segments image samples roughly, making our dynamic", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 86, + 689, + 99, + 699 + ], + "score": 1.0, + "content": "272", + "type": "text" + }, + { + "bbox": [ + 105, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "budget allocation approach malfunction. Meanwhile, DPSGD is not designed for protecting partial", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 86, + 700, + 100, + 711 + ], + "score": 1.0, + "content": "273", + "type": "text" + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "loss in SplitNN, leading to an optimistic estimation of the threat against the host. Apart from these", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 711, + 421, + 723 + ], + "spans": [ + { + "bbox": [ + 85, + 713, + 100, + 723 + ], + "score": 1.0, + "content": "274", + "type": "text" + }, + { + "bbox": [ + 105, + 711, + 421, + 723 + ], + "score": 1.0, + "content": "exceptional cases, our solution outperforms other solutions on model usability.", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + } + ], + "index": 36.5, + "bbox_fs": [ + 85, + 603, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 99, + 93, + 505, + 177 + ], + "lines": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "We will evaluate the performance of privacy preservation by comparing attack results against", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "SplitNN with and without the defense. We will mount property inference and data reconstruction", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "score": 1.0, + "content": "attacks against the guest and the host, respectively. Prediction accuracy of the adversary’s inference", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 130, + 507, + 143 + ], + "spans": [ + { + "bbox": [ + 106, + 130, + 507, + 143 + ], + "score": 1.0, + "content": "model will be used to measure the performance of the property inference attack. As for the data re-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 141, + 506, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 506, + 154 + ], + "score": 1.0, + "content": "construction attack, the adversary tries to generate data samples as similar as possible to the target’s", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "score": 1.0, + "content": "private data. In this case, we can use a mean squared error (MSE) between a generated sample and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 166, + 322, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 166, + 322, + 177 + ], + "score": 1.0, + "content": "a target data sample to measure the adversarial effect.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "table", + "bbox": [ + 106, + 196, + 502, + 269 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 159, + 181, + 452, + 193 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 158, + 180, + 452, + 195 + ], + "spans": [ + { + "bbox": [ + 158, + 180, + 452, + 195 + ], + "score": 1.0, + "content": "Table 4: Results of defending the guest against property inference attack.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "table_body", + "bbox": [ + 106, + 196, + 502, + 269 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 196, + 502, + 269 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 502, + 269 + ], + "score": 0.978, + "html": "
EMovieLensBookCrossingMNIST
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EMovieLensBookCrossingMNIST
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0.153.46%78.59%51.86%54.55%74.35%59.42%60.34%80.29%48.74%
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We give evaluation results of the defensive effect of the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 384, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 506, + 397 + ], + "score": 1.0, + "content": "guest and the host in Table 4 and Table 5, respectively, inferring the property of users in MovieLens", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "score": 1.0, + "content": "and BookCrossing and an image patch in MNIST. The attack accuracy against baselines of Movie-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 349, + 419 + ], + "score": 1.0, + "content": "Lens, BookCrossing, and MNIST models can achieve above", + "type": "text" + }, + { + "bbox": [ + 350, + 407, + 370, + 419 + ], + "score": 0.86, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 407, + 372, + 419 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 373, + 408, + 393, + 419 + ], + "score": 0.86, + "content": "79 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 407, + 413, + 419 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 414, + 407, + 433, + 418 + ], + "score": 0.86, + "content": "94 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "by an adversarial", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 129, + 432 + ], + "score": 1.0, + "content": "host,", + "type": "text" + }, + { + "bbox": [ + 129, + 419, + 149, + 430 + ], + "score": 0.83, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 420, + 153, + 432 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 154, + 419, + 173, + 430 + ], + "score": 0.85, + "content": "78 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 420, + 196, + 432 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 196, + 420, + 216, + 430 + ], + "score": 0.86, + "content": "57 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 420, + 505, + 432 + ], + "score": 1.0, + "content": "by an adversarial guest, respectively. However, our SplitNN solution", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 430, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 445 + ], + "score": 1.0, + "content": "can effectively mitigate the adversarial effect during training and decrease the attack accuracy sig-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 444, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 505, + 456 + ], + "score": 1.0, + "content": "nificantly. It should be noted that the primitive Laplace mechanism frustrates the inference attack", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "badly because the artificial noise added by the mechanism is indiscriminate, leading to conspicuous", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 468, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 468, + 505, + 480 + ], + "score": 1.0, + "content": "damages to the model usability. Even so, our solution has significant advantages on MovieLens and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 479, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 492 + ], + "score": 1.0, + "content": "MNIST datasets. In contrast, the primitive Laplace mechanism cannot cover image classification", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 491, + 291, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 291, + 502 + ], + "score": 1.0, + "content": "cases, while DPSGD cannot defeat the attack.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20 + }, + { + "type": "table", + "bbox": [ + 106, + 520, + 487, + 594 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 157, + 506, + 452, + 518 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 157, + 505, + 453, + 519 + ], + "spans": [ + { + "bbox": [ + 157, + 505, + 453, + 519 + ], + "score": 1.0, + "content": "Table 6: Results of defending the guest against data reconstruction attack.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "table_body", + "bbox": [ + 106, + 520, + 487, + 594 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 106, + 520, + 487, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 487, + 594 + ], + "score": 0.982, + "html": "
EMovieLensBookCrossingMNIST
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We show the defense results against an adversarial host", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 614, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 614, + 505, + 627 + ], + "score": 1.0, + "content": "and an adversarial guest in Table 6 and Table 7, respectively. We note that the MSE is measured", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 628, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 505, + 639 + ], + "score": 1.0, + "content": "after the attack model has been trained sufficiently in all cases. The MSEs measured for the attack", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 639, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 651 + ], + "score": 1.0, + "content": "against baselines of MovieLens, BookCrossing, and MNIST models are 0.2412, 0.2629, and 0.9612", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "score": 1.0, + "content": "by an adversarial host, 0.2369, 0.2402, and 1.6998 by an adversarial guest, respectively. Please note", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 663, + 505, + 675 + ], + "spans": [ + { + "bbox": [ + 106, + 663, + 505, + 675 + ], + "score": 1.0, + "content": "that these attack results against the baselines are frustrating because the reconstruction attack is hard", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 676, + 505, + 686 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 505, + 686 + ], + "score": 1.0, + "content": "to succeed in the semi-honest setting. Meanwhile, data samples in two recommendation datasets are", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 687, + 505, + 698 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 698 + ], + "score": 1.0, + "content": "similar and embedded with the same feature vectors. This leads to similar reconstruction results and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "similar MSEs. But we can still conclude from the results that our solution has dominant performance", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 711, + 381, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 381, + 723 + ], + "score": 1.0, + "content": "in the defense against reconstruction attacks mounted by either side.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 34.5 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 740, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 740, + 309, + 752 + ], + "score": 1.0, + "content": "8", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 88, + 72, + 363, + 84 + ], + "lines": [ + { + "bbox": [ + 85, + 72, + 363, + 86 + ], + "spans": [ + { + "bbox": [ + 85, + 72, + 363, + 86 + ], + "score": 1.0, + "content": "275 4.2 Defense Against Inference and Reconstruction Attacks", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 84, + 357, + 100, + 495 + ], + "lines": [ + { + "bbox": [ + 85, + 358, + 100, + 369 + ], + "spans": [ + { + "bbox": [ + 85, + 358, + 100, + 369 + ], + "score": 1.0, + "content": "282", + "type": "text" + } + ] + }, + { + "bbox": [ + 85, + 374, + 100, + 385 + ], + "spans": [ + { + "bbox": [ + 85, + 374, + 100, + 385 + ], + "score": 1.0, + "content": "283", + "type": "text" + } + ] + }, + { + "bbox": [ + 86, + 385, + 100, + 397 + ], + "spans": [ + { + "bbox": [ + 86, + 385, + 100, + 397 + ], + "score": 1.0, + "content": "284", + "type": "text" + } + ] + }, + { + "bbox": [ + 85, + 397, + 100, + 410 + ], + "spans": [ + { + "bbox": [ + 85, + 397, + 100, + 410 + ], + "score": 1.0, + "content": "285", + "type": "text" + } + ] + }, + { + "bbox": [ + 85, + 409, + 100, + 422 + ], + "spans": [ + { + "bbox": [ + 85, + 409, + 100, + 422 + ], + "score": 1.0, + "content": "286", + "type": "text" + } + ] + }, + { + "bbox": [ + 85, + 420, + 100, + 433 + ], + "spans": [ + { + "bbox": [ + 85, + 420, + 100, + 433 + ], + "score": 1.0, + "content": "287", + "type": "text" + } + ] + }, + { + "bbox": [ + 85, + 433, + 100, + 444 + ], + "spans": [ + { + "bbox": [ + 85, + 433, + 100, + 444 + ], + "score": 1.0, + "content": "288", + "type": "text" + } + ] + }, + { + "bbox": [ + 85, + 444, + 100, + 457 + ], + "spans": [ + { + "bbox": [ + 85, + 444, + 100, + 457 + ], + "score": 1.0, + "content": "289", + "type": "text" + } + ] + }, + { + "bbox": [ + 84, + 456, + 100, + 469 + ], + "spans": [ + { + "bbox": [ + 84, + 456, + 100, + 469 + ], + "score": 1.0, + "content": "290", + "type": "text" + } + ] + }, + { + "bbox": [ + 85, + 469, + 100, + 481 + ], + "spans": [ + { + "bbox": [ + 85, + 469, + 100, + 481 + ], + "score": 1.0, + "content": "291", + "type": "text" + } + ] + }, + { + "bbox": [ + 85, + 481, + 100, + 492 + ], + "spans": [ + { + "bbox": [ + 85, + 481, + 100, + 492 + ], + "score": 1.0, + "content": "292", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 99, + 93, + 505, + 177 + ], + "lines": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "We will evaluate the performance of privacy preservation by comparing attack results against", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "SplitNN with and without the defense. We will mount property inference and data reconstruction", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "score": 1.0, + "content": "attacks against the guest and the host, respectively. Prediction accuracy of the adversary’s inference", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 130, + 507, + 143 + ], + "spans": [ + { + "bbox": [ + 106, + 130, + 507, + 143 + ], + "score": 1.0, + "content": "model will be used to measure the performance of the property inference attack. As for the data re-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 141, + 506, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 506, + 154 + ], + "score": 1.0, + "content": "construction attack, the adversary tries to generate data samples as similar as possible to the target’s", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "score": 1.0, + "content": "private data. In this case, we can use a mean squared error (MSE) between a generated sample and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 166, + 322, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 166, + 322, + 177 + ], + "score": 1.0, + "content": "a target data sample to measure the adversarial effect.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 93, + 507, + 177 + ] + }, + { + "type": "table", + "bbox": [ + 106, + 196, + 502, + 269 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 159, + 181, + 452, + 193 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 158, + 180, + 452, + 195 + ], + "spans": [ + { + "bbox": [ + 158, + 180, + 452, + 195 + ], + "score": 1.0, + "content": "Table 4: Results of defending the guest against property inference attack.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "table_body", + "bbox": [ + 106, + 196, + 502, + 269 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 196, + 502, + 269 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 502, + 269 + ], + "score": 0.978, + "html": "
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.166.99%77.71%60.99%54.76%73.29%55.78%43.27%53.95%44.33%
0.566.16%74.23%64.16%54.97%74.52%56.33%46.92%54.23%45.59%
1.067.19%78.65%68.18%55.03%74.96%58.65%47.58%54.26%47.51%
2.068.65%73.06%68.56%54.85%74.26%58.14%48.06%54.65%52.87%
4.069.14%76.18%71.91%54.92%74.33%60.76%48.47%54.57%55.73%
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EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.153.46%78.59%51.86%54.55%74.35%59.42%60.34%80.29%48.74%
0.553.46%75.64%51.89%54.62%74.36%59.42%59.82%81.92%49.71%
1.053.46%73.54%52.75%54.95%74.39%59.52%59.74%82.80%50.48%
2.053.47%75.05%59.77%54.40%74.39%58.13%60.38%88.88%50.57%
4.0 53.48%79.28%56.52% 54.95%74.39&62.04%60.62%89.73%50.47%
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We give evaluation results of the defensive effect of the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 384, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 506, + 397 + ], + "score": 1.0, + "content": "guest and the host in Table 4 and Table 5, respectively, inferring the property of users in MovieLens", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "score": 1.0, + "content": "and BookCrossing and an image patch in MNIST. The attack accuracy against baselines of Movie-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 349, + 419 + ], + "score": 1.0, + "content": "Lens, BookCrossing, and MNIST models can achieve above", + "type": "text" + }, + { + "bbox": [ + 350, + 407, + 370, + 419 + ], + "score": 0.86, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 407, + 372, + 419 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 373, + 408, + 393, + 419 + ], + "score": 0.86, + "content": "79 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 407, + 413, + 419 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 414, + 407, + 433, + 418 + ], + "score": 0.86, + "content": "94 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "by an adversarial", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 129, + 432 + ], + "score": 1.0, + "content": "host,", + "type": "text" + }, + { + "bbox": [ + 129, + 419, + 149, + 430 + ], + "score": 0.83, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 420, + 153, + 432 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 154, + 419, + 173, + 430 + ], + "score": 0.85, + "content": "78 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 420, + 196, + 432 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 196, + 420, + 216, + 430 + ], + "score": 0.86, + "content": "57 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 420, + 505, + 432 + ], + "score": 1.0, + "content": "by an adversarial guest, respectively. However, our SplitNN solution", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 430, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 445 + ], + "score": 1.0, + "content": "can effectively mitigate the adversarial effect during training and decrease the attack accuracy sig-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 444, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 505, + 456 + ], + "score": 1.0, + "content": "nificantly. It should be noted that the primitive Laplace mechanism frustrates the inference attack", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "badly because the artificial noise added by the mechanism is indiscriminate, leading to conspicuous", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 468, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 468, + 505, + 480 + ], + "score": 1.0, + "content": "damages to the model usability. Even so, our solution has significant advantages on MovieLens and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 479, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 492 + ], + "score": 1.0, + "content": "MNIST datasets. In contrast, the primitive Laplace mechanism cannot cover image classification", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 491, + 291, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 291, + 502 + ], + "score": 1.0, + "content": "cases, while DPSGD cannot defeat the attack.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 372, + 506, + 502 + ] + }, + { + "type": "table", + "bbox": [ + 106, + 520, + 487, + 594 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 157, + 506, + 452, + 518 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 157, + 505, + 453, + 519 + ], + "spans": [ + { + "bbox": [ + 157, + 505, + 453, + 519 + ], + "score": 1.0, + "content": "Table 6: Results of defending the guest against data reconstruction attack.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "table_body", + "bbox": [ + 106, + 520, + 487, + 594 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 106, + 520, + 487, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 487, + 594 + ], + "score": 0.982, + "html": "
EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.10.24590.24550.32230.32160.29070.33291.88491.88852.0181
0.50.24530.24510.32220.32020.29020.33291.80241.81371.9875
1.00.24530.24510.32220.32020.29020.32211.78571.75091.9533
2.00.24520.24510.32220.32020.29020.32211.73361.74691.9391
4.00.24520.24510.32220.32020.29020.32211.70141.74401.9206
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EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplace DPSGDOursLaplaceDPSGDOurs
0.10.40320.24170.54860.42370.2758 0.50661.28871.08751.8257
0.50.40240.24190.53570.42220.2756 0.51491.27781.06851.7758
1.00.40080.24220.52850.42170.2743 0.52351.26021.04221.7528
2.00.39820.24210.50830.42140.2697 0.51501.26131.03331.7334
4.00.39600.24220.48190.41940.2683 0.50461.25490.99961.7262
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The following rows", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 554, + 486, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 360, + 567 + ], + "score": 1.0, + "content": "are attack results against the original SplitNN and our solution", + "type": "text" + }, + { + "bbox": [ + 361, + 554, + 429, + 565 + ], + "score": 0.31, + "content": "\\mathsf { \\bar { \\epsilon } } = 0 . 1 , 1 . 0 , 4 . 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 554, + 486, + 567 + ], + "score": 1.0, + "content": ", respectively.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + } + ], + "index": 25.25 + }, + { + "type": "title", + "bbox": [ + 90, + 587, + 262, + 601 + ], + "lines": [ + { + "bbox": [ + 86, + 586, + 264, + 603 + ], + "spans": [ + { + "bbox": [ + 86, + 586, + 264, + 603 + ], + "score": 1.0, + "content": "318 5 Conclusion and Limitation", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "index", + "bbox": [ + 87, + 614, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 86, + 614, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 86, + 617, + 100, + 627 + ], + "score": 1.0, + "content": "319", + "type": "text" + }, + { + "bbox": [ + 105, + 615, + 417, + 627 + ], + "score": 1.0, + "content": "Our privacy-preserving SplitNN solution, built upon a new activation function", + "type": "text" + }, + { + "bbox": [ + 417, + 614, + 448, + 626 + ], + "score": 0.8, + "content": "\\mathtt { R } ^ { 3 } \\mathtt { e L U }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 615, + 506, + 627 + ], + "score": 1.0, + "content": "and its deriva-", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 626, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 86, + 628, + 100, + 639 + ], + "score": 1.0, + "content": "320", + "type": "text" + }, + { + "bbox": [ + 105, + 626, + 124, + 640 + ], + "score": 1.0, + "content": "tive", + "type": "text" + }, + { + "bbox": [ + 124, + 626, + 136, + 638 + ], + "score": 0.65, + "content": "\\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 626, + 506, + 640 + ], + "score": 1.0, + "content": "eLU-Diff in a randomized-response manner, significantly reduces privacy leakage risk for", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 639, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 86, + 640, + 99, + 651 + ], + "score": 1.0, + "content": "321", + "type": "text" + }, + { + "bbox": [ + 105, + 639, + 505, + 652 + ], + "score": 1.0, + "content": "both the guest and the host. We show that our solution can provide a tight privacy budget for split", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 651, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 86, + 653, + 100, + 663 + ], + "score": 1.0, + "content": "322", + "type": "text" + }, + { + "bbox": [ + 105, + 651, + 505, + 663 + ], + "score": 1.0, + "content": "learning through the privacy analysis. The model usability and privacy loss can be further balanced", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 663, + 506, + 675 + ], + "spans": [ + { + "bbox": [ + 86, + 665, + 100, + 675 + ], + "score": 1.0, + "content": "323", + "type": "text" + }, + { + "bbox": [ + 105, + 663, + 506, + 675 + ], + "score": 1.0, + "content": "by our dynamic privacy budget allocation. The experimental evaluation using different datasets", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 674, + 506, + 687 + ], + "spans": [ + { + "bbox": [ + 86, + 677, + 100, + 687 + ], + "score": 1.0, + "content": "324", + "type": "text" + }, + { + "bbox": [ + 105, + 674, + 506, + 687 + ], + "score": 1.0, + "content": "shows that our solution outperforms the existing privacy-preserving SplitNN solutions in model us-", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 86, + 689, + 100, + 699 + ], + "score": 1.0, + "content": "325", + "type": "text" + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "ability and privacy protection. 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+ "spans": [ + { + "bbox": [ + 89, + 92, + 466, + 108 + ], + "score": 1.0, + "content": "495 Here we give the proof of our Corollary 1 in detail for the privacy analysis in Section 3.5.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 87, + 119, + 504, + 156 + ], + "lines": [ + { + "bbox": [ + 87, + 119, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 87, + 119, + 372, + 134 + ], + "score": 1.0, + "content": "496 Proof. 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c _ { q } } { b } \\right) + \\frac { 1 - p } { 2 } } \\times \\prod _ { i = o + 1 } ^ { N _ { s } } \\exp ( \\frac { | f ( v ^ { \\prime } ) _ { i } - f ( v ) _ { i } | } { b } ) } \\\\ & { \\leq \\displaystyle \\prod _ { i = 1 } ^ { o } \\frac { \\frac { 1 + p } { 2 } } { \\exp \\left( \\frac { - c _ { q } } { b } \\right) } \\times \\prod _ { i = o + 1 } ^ { N _ { s } } \\exp ( \\frac { | f ( v ^ { \\prime } ) _ { i } - f ( v ) _ { i } | } { b } ) } \\\\ & { \\leq ( \\frac { \\frac { 1 + p } { 2 } } { \\exp \\left( \\frac { - c _ { q } } { b } \\right) } ) ^ { o } \\times \\exp ( \\frac { \\Delta f } { b } ) } \\\\ & { = \\exp ( \\epsilon ) } \\end{array}", + "type": "interline_equation", + "image_path": "a0b6df5f8eb0fb453010858ecb638474cf736a0dbba0e5069d9c1c15b503604d.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 196, + 434, + 412, + 449.42857142857144 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 196, + 449.42857142857144, + 412, + 464.8571428571429 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 196, + 464.8571428571429, + 412, + 480.28571428571433 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 196, + 480.28571428571433, + 412, + 495.7142857142858 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 196, + 495.7142857142858, + 412, + 511.1428571428572 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 196, + 511.1428571428572, + 412, + 526.5714285714287 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 196, + 526.5714285714287, + 412, + 542.0000000000001 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 86, + 547, + 291, + 564 + ], + "lines": [ + { + "bbox": [ + 82, + 546, + 289, + 564 + ], + "spans": [ + { + "bbox": [ + 82, + 546, + 166, + 563 + ], + "score": 1.0, + "content": "Thus, we have 500", + "type": "text" + }, + { + "bbox": [ + 166, + 547, + 289, + 564 + ], + "score": 0.92, + "content": "\\begin{array} { r } { N _ { S } ( \\frac { c _ { g } } { \\sigma _ { g } } + \\ln ( \\frac { 1 + p } { 2 } ) ) + \\frac { \\Delta f } { \\sigma _ { g } } = \\epsilon } \\end{array}", + "type": "inline_equation" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "title", + "bbox": [ + 94, + 576, + 380, + 588 + ], + "lines": [ + { + "bbox": [ + 90, + 574, + 381, + 590 + ], + "spans": [ + { + "bbox": [ + 90, + 574, + 381, + 590 + ], + "score": 1.0, + "content": "01 A.3 Evaluation of Dynamic Parameter Importance Estimation", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 86, + 597, + 505, + 657 + ], + "lines": [ + { + "bbox": [ + 86, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 86, + 600, + 100, + 609 + ], + "score": 1.0, + "content": "502", + "type": "text" + }, + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "score": 1.0, + "content": "Additionally, we evaluate the effectiveness of our feature importance estimation method and give", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 85, + 610, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 85, + 611, + 100, + 622 + ], + "score": 1.0, + "content": "503", + "type": "text" + }, + { + "bbox": [ + 106, + 610, + 505, + 622 + ], + "score": 1.0, + "content": "the result here. 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We can conclude from the result that our dynamic parameter importance", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 86, + 646, + 333, + 658 + ], + "spans": [ + { + "bbox": [ + 86, + 648, + 100, + 657 + ], + "score": 1.0, + "content": "506", + "type": "text" + }, + { + "bbox": [ + 104, + 646, + 333, + 658 + ], + "score": 1.0, + "content": "estimation approach can achieve desirable effectiveness.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 86, + 662, + 506, + 723 + ], + "lines": [ + { + "bbox": [ + 86, + 662, + 507, + 677 + ], + "spans": [ + { + "bbox": [ + 86, + 665, + 99, + 675 + ], + "score": 1.0, + "content": "507", + "type": "text" + }, + { + "bbox": [ + 105, + 662, + 507, + 677 + ], + "score": 1.0, + "content": "We aim to estimate the importance of parameters precisely during privacy-preserving split learning.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 86, + 674, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 86, + 677, + 100, + 686 + ], + "score": 1.0, + "content": "508", + "type": "text" + }, + { + "bbox": [ + 105, + 674, + 505, + 687 + ], + "score": 1.0, + "content": "But it is difficult to get the same result with the estimation in a non-perturbed case. By carefully", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 86, + 686, + 507, + 700 + ], + "spans": [ + { + "bbox": [ + 86, + 690, + 100, + 699 + ], + "score": 1.0, + "content": "509", + "type": "text" + }, + { + "bbox": [ + 105, + 686, + 507, + 700 + ], + "score": 1.0, + "content": "constructing the dynamic estimation method, we can obtain dynamic estimation results of noisy pa-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 86, + 698, + 507, + 712 + ], + "spans": [ + { + "bbox": [ + 86, + 701, + 100, + 711 + ], + "score": 1.0, + "content": "510", + "type": "text" + }, + { + "bbox": [ + 105, + 698, + 507, + 712 + ], + "score": 1.0, + "content": "rameters quite close to a baseline estimation result in the stable state without any privacy protection.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 86, + 709, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 86, + 713, + 99, + 722 + ], + "score": 1.0, + "content": "511", + "type": "text" + }, + { + "bbox": [ + 105, + 709, + 506, + 724 + ], + "score": 1.0, + "content": "In Figure 4, we show the result of our dynamic importance estimation approach. We can find that", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38 + } + ], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 494, + 549, + 505, + 560 + ], + "lines": [ + { + "bbox": [ + 495, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 495, + 549, + 505, + 561 + ], + "score": 0.998, + "content": "□", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 89, + 72, + 204, + 84 + ], + "lines": [ + { + "bbox": [ + 86, + 71, + 205, + 87 + ], + "spans": [ + { + "bbox": [ + 86, + 71, + 205, + 87 + ], + "score": 1.0, + "content": "494 A.2 Privacy Analysis", + "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": "15", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 93, + 93, + 464, + 106 + ], + "lines": [ + { + "bbox": [ + 89, + 92, + 466, + 108 + ], + "spans": [ + { + "bbox": [ + 89, + 92, + 466, + 108 + ], + "score": 1.0, + "content": "495 Here we give the proof of our Corollary 1 in detail for the privacy analysis in Section 3.5.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 89, + 92, + 466, + 108 + ] + }, + { + "type": "index", + "bbox": [ + 87, + 119, + 504, + 156 + ], + "lines": [ + { + "bbox": [ + 87, + 119, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 87, + 119, + 372, + 134 + ], + "score": 1.0, + "content": "496 Proof. 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We can conclude from the result that our dynamic parameter importance", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 646, + 333, + 658 + ], + "spans": [ + { + "bbox": [ + 86, + 648, + 100, + 657 + ], + "score": 1.0, + "content": "506", + "type": "text" + }, + { + "bbox": [ + 104, + 646, + 333, + 658 + ], + "score": 1.0, + "content": "estimation approach can achieve desirable effectiveness.", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 662, + 507, + 677 + ], + "spans": [ + { + "bbox": [ + 86, + 665, + 99, + 675 + ], + "score": 1.0, + "content": "507", + "type": "text" + }, + { + "bbox": [ + 105, + 662, + 507, + 677 + ], + "score": 1.0, + "content": "We aim to estimate the importance of parameters precisely during privacy-preserving split learning.", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 674, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 86, + 677, + 100, + 686 + ], + "score": 1.0, + "content": "508", + "type": "text" + }, + { + "bbox": [ + 105, + 674, + 505, + 687 + ], + "score": 1.0, + "content": "But it is difficult to get the same result with the estimation in a non-perturbed case. 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These networks are commonly used in related studies. We", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 86, + 531, + 374, + 543 + ], + "spans": [ + { + "bbox": [ + 86, + 533, + 100, + 542 + ], + "score": 1.0, + "content": "519", + "type": "text" + }, + { + "bbox": [ + 105, + 531, + 374, + 543 + ], + "score": 1.0, + "content": "split them according to the interpretation of SplitNN in [4, 11, 29].", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22 + }, + { + "type": "table", + "bbox": [ + 186, + 543, + 425, + 644 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 186, + 543, + 425, + 644 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 186, + 543, + 425, + 644 + ], + "spans": [ + { + "bbox": [ + 186, + 543, + 425, + 644 + ], + "score": 0.978, + "html": "
Guest LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Host LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Merge Guest Linear(128,128)+ReLU(None,128)16512
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But the growth tendency keep the same as the baseline. 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These networks are commonly used in related studies. We", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 531, + 374, + 543 + ], + "spans": [ + { + "bbox": [ + 86, + 533, + 100, + 542 + ], + "score": 1.0, + "content": "519", + "type": "text" + }, + { + "bbox": [ + 105, + 531, + 374, + 543 + ], + "score": 1.0, + "content": "split them according to the interpretation of SplitNN in [4, 11, 29].", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 661, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 86, + 665, + 99, + 675 + ], + "score": 1.0, + "content": "520", + "type": "text" + }, + { + "bbox": [ + 105, + 661, + 505, + 677 + ], + "score": 1.0, + "content": "To further investigate how our solution affects the learning process of SplitNN, we report learning", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 673, + 506, + 688 + ], + "spans": [ + { + "bbox": [ + 85, + 676, + 99, + 687 + ], + "score": 1.0, + "content": "521", + "type": "text" + }, + { + "bbox": [ + 104, + 673, + 506, + 688 + ], + "score": 1.0, + "content": "results of a MovieLens recommendation model protecting the privacy of the guest and the host", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 685, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 86, + 689, + 99, + 699 + ], + "score": 1.0, + "content": "522", + "type": "text" + }, + { + "bbox": [ + 104, + 685, + 507, + 702 + ], + "score": 1.0, + "content": "in Figure 5 and 6, respectively. In each plot, we show trends of training loss, training accuracy,", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 86, + 701, + 100, + 711 + ], + "score": 1.0, + "content": "523", + "type": "text" + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "and testing accuracy as the training epoch increases. We can conclude from these figures that our", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 710, + 491, + 724 + ], + "spans": [ + { + "bbox": [ + 86, + 713, + 100, + 722 + ], + "score": 1.0, + "content": "524", + "type": "text" + }, + { + "bbox": [ + 105, + 710, + 491, + 724 + ], + "score": 1.0, + "content": "solution achieve satisfying model usability with small privacy budget for either side of SplitNN.", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 364, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 86, + 367, + 99, + 377 + ], + "score": 1.0, + "content": "525", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 364, + 506, + 379 + ], + "score": 1.0, + "content": "We notice that FSHA is sensitive to our privacy-preserving SplitNN solution. In Figure 1 and Fig-", + "type": "text", + "cross_page": true + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 377, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 86, + 380, + 99, + 389 + ], + "score": 1.0, + "content": "526", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "score": 1.0, + "content": "ure 2, we find that neither an adversarial host nor an adversarial guest can reconstruct meaningful", + "type": "text", + "cross_page": true + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 390, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 86, + 392, + 99, + 401 + ], + "score": 1.0, + "content": "527", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 390, + 295, + 402 + ], + "score": 1.0, + "content": "samples, even if the target’s privacy budget is", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 295, + 390, + 321, + 400 + ], + "score": 0.9, + "content": "\\epsilon = 4", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 322, + 390, + 505, + 402 + ], + "score": 1.0, + "content": ". Therefore, we are curious about a practical", + "type": "text", + "cross_page": true + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 85, + 403, + 100, + 414 + ], + "score": 1.0, + "content": "528", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "choice of the privacy budget when dealing with FSHA. To this end, we give more defense results", + "type": "text", + "cross_page": true + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 413, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 86, + 415, + 100, + 425 + ], + "score": 1.0, + "content": "529", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "score": 1.0, + "content": "of our solution against FSHA using various privacy budget values in Table 11. We can conclude", + "type": "text", + "cross_page": true + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 426, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 85, + 427, + 100, + 438 + ], + "score": 1.0, + "content": "530", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 426, + 505, + 438 + ], + "score": 1.0, + "content": "from the MSE results that two recommendation models prefer relatively low privacy budget, such", + "type": "text", + "cross_page": true + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 86, + 440, + 99, + 449 + ], + "score": 1.0, + "content": "531", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 438, + 117, + 450 + ], + "score": 1.0, + "content": "as", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 117, + 438, + 149, + 448 + ], + "score": 0.87, + "content": "\\epsilon = 1 . 0", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 149, + 438, + 505, + 450 + ], + "score": 1.0, + "content": ". 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Guest LayerOutput ShapeParam #
Linear(28*14,128)(None,128)50304
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In Figure 1 and Fig-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 86, + 377, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 86, + 380, + 99, + 389 + ], + "score": 1.0, + "content": "526", + "type": "text" + }, + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "score": 1.0, + "content": "ure 2, we find that neither an adversarial host nor an adversarial guest can reconstruct meaningful", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 86, + 390, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 86, + 392, + 99, + 401 + ], + "score": 1.0, + "content": "527", + "type": "text" + }, + { + "bbox": [ + 106, + 390, + 295, + 402 + ], + "score": 1.0, + "content": "samples, even if the target’s privacy budget is", + "type": "text" + }, + { + "bbox": [ + 295, + 390, + 321, + 400 + ], + "score": 0.9, + "content": "\\epsilon = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 390, + 505, + 402 + ], + "score": 1.0, + "content": ". Therefore, we are curious about a practical", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 85, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 85, + 403, + 100, + 414 + ], + "score": 1.0, + "content": "528", + "type": "text" + }, + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "choice of the privacy budget when dealing with FSHA. To this end, we give more defense results", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 86, + 413, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 86, + 415, + 100, + 425 + ], + "score": 1.0, + "content": "529", + "type": "text" + }, + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "score": 1.0, + "content": "of our solution against FSHA using various privacy budget values in Table 11. We can conclude", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 85, + 426, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 85, + 427, + 100, + 438 + ], + "score": 1.0, + "content": "530", + "type": "text" + }, + { + "bbox": [ + 106, + 426, + 505, + 438 + ], + "score": 1.0, + "content": "from the MSE results that two recommendation models prefer relatively low privacy budget, such", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 86, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 86, + 440, + 99, + 449 + ], + "score": 1.0, + "content": "531", + "type": "text" + }, + { + "bbox": [ + 105, + 438, + 117, + 450 + ], + "score": 1.0, + "content": "as", + "type": "text" + }, + { + "bbox": [ + 117, + 438, + 149, + 448 + ], + "score": 0.87, + "content": "\\epsilon = 1 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 438, + 505, + 450 + ], + "score": 1.0, + "content": ". However, it is interesting to see that FSHA attack against an image classification model", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 86, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 86, + 452, + 99, + 461 + ], + "score": 1.0, + "content": "532", + "type": "text" + }, + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "using SplitNN can be frustrated by our solution using relatively high privacy budget, which also", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 459, + 228, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 228, + 475 + ], + "score": 1.0, + "content": "means a high model usability.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 21 + }, + { + "type": "table", + "bbox": [ + 106, + 493, + 502, + 616 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 160, + 478, + 451, + 490 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 159, + 477, + 451, + 491 + ], + "spans": [ + { + "bbox": [ + 159, + 477, + 451, + 491 + ], + "score": 1.0, + "content": "Table 11: Defense results against FSHA mounted by an adversarial host.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "table_body", + "bbox": [ + 106, + 493, + 502, + 616 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 493, + 502, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 502, + 616 + ], + "score": 0.982, + "html": "
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Guest LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
Host LayerOutput ShapeParam #
Linear(160,128)+ReLU(None,128)20608
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Guest LayerOutput ShapeParam #
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Host LayerOutput ShapeParam #
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EMovieLensBookCrossingMNIST
baselineOursbaselineOursbaselineOurs
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0.250.2652 ×10-373.782483.7606
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LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
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EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.153.46%78.59%51.86%54.55%74.35%59.42%60.34%80.29%48.74%
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2.053.47%75.05%59.77%54.40%74.39%58.13%60.38%88.88%50.57%
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EMovieLensBookCrossingMNIST
LaplaceDPSGDOursLaplaceDPSGDOursLaplaceDPSGDOurs
0.166.99%77.71%60.99%54.76%73.29%55.78%43.27%53.95%44.33%
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1.067.19%78.65%68.18%55.03%74.96%58.65%47.58%54.26%47.51%
2.068.65%73.06%68.56%54.85%74.26%58.14%48.06%54.65%52.87%
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EMovieLensBookCrossingMNIST
baselineOursbaselineOursbaselineOurs
1200Epochs5000 Epochs 455.56761200Epochs5000 Epochs 500.14879000Epochs9000 Epochs 1.98257
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Linear(160,128)+ReLU(None,128)20608
Merge Guest
Linear(128,256)+ReLU Linear(256,128)+ReLU(None,256)33024
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Guest LayerOutput ShapeParam #
Linear(28*14,128)(None,128)50304
BatchNorm+ReLU Linear(128,64)(None,128) (None,64)8256
Host LayerOutput ShapeParam #
Linear(28*14,128) BatchNorm+ReLU(None,128)50304
(None,128)
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Merge Guest(None,64)
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b/parse/dev/gfwON7rAm4/gfwON7rAm4_content_list.json @@ -0,0 +1,4722 @@ +[ + { + "type": "text", + "text": "GLOBAL CONVERGENCE OF MULTI-AGENT POLICY GRADIENT IN MARKOV POTENTIAL GAMES ", + "text_level": 1, + "bbox": [ + 176, + 99, + 823, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Stefanos Leonardos Singapore University of Technology and Design stefanos leonardos@sutd.edu.sg ", + "bbox": [ + 183, + 170, + 500, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "William Overman University of California, Irvine overmana@uci.edu ", + "bbox": [ + 607, + 170, + 813, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Ioannis Panageas ", + "text_level": 1, + "bbox": [ + 184, + 234, + 305, + 247 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "University of California, Irvine ipanagea@ics.uci.edu ", + "bbox": [ + 186, + 248, + 388, + 275 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Georgios Piliouras \nSingapore University of Technology and Design \ngeorgios@sutd.edu.sg ", + "bbox": [ + 450, + 234, + 767, + 275 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 313, + 544, + 327 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Potential games are one of the most important and widely studied classes of normalform games. They define the archetypal setting of multi-agent coordination in which all agents utilities are perfectly aligned via a common potential function. Can we embed this intuitive framework in the setting of Markov games? What are the similarities and differences between multi-agent coordination with and without state dependence? To answer these questions, we study a natural class of Markov Potential Games (MPGs) that generalizes prior attempts to capture complex stateful multi-agent coordination. Counter-intuitively, insights from normal-form potential games do not carry over since MPGs involve Markov games with zero-sum stategames, but Markov games in which all state-games are potential games are not necessarily MPGs. Nevertheless, MPGs showcase standard desirable properties such as the existence of deterministic Nash policies. In our main result, we prove convergence of independent policy gradient and its stochastic counterpart to Nash policies at a rate that is polynomial in the approximation error by adapting single-agent gradient domination properties to multi-agent settings. This answers questions on the convergence of finite-sample, independent policy gradient methods beyond settings of pure conflicting or pure common interests. ", + "bbox": [ + 233, + 342, + 766, + 578 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 603, + 336, + 619 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Multi-agent reinforcement learning (MARL) has been the fundamental driver of numerous recent advances in Artificial Intelligence (AI) and Machine Learning (ML) ranging from super-human performance in competitive game-playing (Silver et al., 2016; 2018; Brown & Sandholm, 2019; Jaderberg et al., 2019) and multi-tasking (Mnih et al., 2015; OpenAI, 2018; Vinyals et al., 2019) to robotics, autonomous-driving and cyber-physical systems (Busoniu et al., 2008; Zhang et al., 2019). However, despite the popularity of MARL algorithms to analyze these systems in practice, the theory that underpins their empirical success lags behind (Dafoe et al., 2020). Many state-of-the-art theoretical results concern single-agent RL systems, typically modelled as single-agent Markov Decision Processes (MDPs) (Bertsekas, 2000; Panait & Luke, 2005; Sutton & Barto, 2018). ", + "bbox": [ + 174, + 633, + 825, + 760 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The main challenge when transitioning from single to multi-agent RL settings is the computation of Nash policies. For $n \\geq 2$ agents, a Nash policy is defined to be a profile of policies $( \\pi _ { 1 } ^ { * } , . . . , \\pi _ { n } ^ { * } )$ so that by fixing the policies of all agents but $i$ , $\\pi _ { i } ^ { * }$ is optimal for the resulting single-agent MDP and this is true for all $1 \\leq i \\leq n ^ { \\mathrm { ~ l ~ } }$ (Definition 1). In multi-agent settings, Nash policies may not be unique in principle and, unlike singe-agent MDPs, agents’ rewards may differ dramatically between them. ", + "bbox": [ + 174, + 767, + 825, + 838 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "A common approach to compute Nash policies in MDPs is the use of policy gradient methods. The significant progress in the analysis of such methods (see Agarwal et al. (2020) and references therein) has mainly concerned the single-agent case or the case of pure common interests (identical agents) (Wang & Sandholm, 2002; Panait & Luke, 2005): the convergence properties of policy gradient in general MARL settings remain poorly understood. Recent steps towards a theory for multi-agent settings involve Daskalakis et al. (2020) who show convergence of independent policy gradient to the optimal policy for two-agent zero-sum stochastic games, Wei et al. (2021) who improve the result of Daskalakis et al. (2020) using optimistic policy gradient and Zhao et al. (2021) who study extensions of Natural Policy Gradient using function approximation. It is worth noting that the positive results of Daskalakis et al. (2020); Wei et al. (2021) and Zhao et al. (2021) depend on the fact that two-agent stochastic zero-sum games satisfy the min-max equals max-min property (Shapley, 1953). ", + "bbox": [ + 174, + 844, + 823, + 901 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 202 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "If we move away from the extremes of single-agent or purely competitive settings (two-agents, zero-sum), a lot of these regularities, and in particular the value-uniqueness property, cease to hold. However, building a theory to analyze problems of cooperation between two or more agents constitutes a primary open challenge for the fields of AI and ML (Dafoe et al., 2020; Dafoe et al., 2021). Based on the above, our work is motivated by the following natural question: ", + "bbox": [ + 174, + 208, + 825, + 277 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Can we get (provable) convergence guarantees for multi-agent RL settings in which agents have aligned incentives, i.e., in which coordination is desirable? ", + "bbox": [ + 235, + 286, + 761, + 314 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Model and Informal Statement of Results. To make progress in this direction, we study a class of $n$ -agent MDPs that naturally generalize normal form potential games (Monderer & Shapley, 1996), the archetypal model of interactions between multiple agents with aligned, yet not necessarily identical interests, called Markov Potential Games $( M P G s )$ . In words, a multi-agent MDP is an MPG as long as there exists a (state-dependent) real-valued potential function $\\Phi$ so that if an agent $i$ changes their policy (and the rest of the agents keep their policy unchanged), the difference in agent $i$ ’s value/utility, $V ^ { i }$ , is captured by the difference in the value of $\\Phi$ (Definition 2). ", + "bbox": [ + 174, + 334, + 825, + 431 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our first task is to understand the structural properties of MPGs and their Nash policies. Rather surprisingly, many insights from normal-form potential games do not carry over as MPGs involve settings with purely competitive (zero-sum) interactions at some states. Moreover, Markov games in which every state-interaction is a potential game are not necessarily MPGs. These findings suggest that MPGs form a class of MDPs with rich structure which challenges our intuition on the nature of cooperation in state-based interactions. On the other hand, MPGs trivially include MDPs of pure common interests (MDPs in which agents have identical rewards) and showcase intuitively expected properties such as the existence of deterministic Nash policies. Our structural results are as follows. ", + "bbox": [ + 174, + 438, + 825, + 549 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Theorem 1.1 (Structural Properties of MPGs). The following facts are true for MPGs with n-agents. \n(a) There always exists a deterministic Nash policy profile (see Theorem 3.1). ", + "bbox": [ + 171, + 555, + 823, + 585 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "(b) We can construct MDPs for which each state is a (normal-form) potential game but which are not MPGs. This can be true regardless of whether the whole MDP is competitive or cooperative in nature (see Examples 1 and 2, respectively). On the opposite side, we can construct MDPs that are MPGs, but which include states that are purely competitive (i.e., zero-sum games), see Figure 3. (c) We provide sufficient conditions so that an MDP is an MPG. These include cases where each state is a (normal-form) potential game and the transition probabilities are not affected by agents actions or the reward functions satisfy certain regularity conditions between different states (see conditions C1 and C2 in Proposition 3.2). ", + "bbox": [ + 173, + 578, + 826, + 695 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We then turn to our motivating question above and, in our main contribution, we answer it in the affirmative. We show that if every agent $i$ independently runs (with simultaneous updates) projected gradient ascent (PGA) on their policy (using their value $V ^ { i }$ ), then, after ${ \\cal O } ( 1 / \\epsilon ^ { \\frac { \\cdot } { 2 } } )$ iterations, the system will reach an $\\epsilon$ -approximate Nash policy. Here, independence means that (PGA) requires only local information to determine the updates, i.e., each agent’s own rewards, actions, and view of the environment. Such protocols are naturally motivated in distributed settings where all information about type of interaction and other agents’ actions is encoded in the agent’s environment. For the finite samples analogue, we show that the system will reach an $\\epsilon$ -approximate Nash policy after ${ \\cal O } ( 1 / \\epsilon ^ { 6 } )$ iterations. Our main convergence results are summarized in the following (informal) Theorem. ", + "bbox": [ + 174, + 709, + 825, + 834 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Theorem 1.2 (Convergence of Policy Gradient (Informal)). Consider an MPG with n agents and let $\\epsilon > 0$ . (a) Exact Gradients: If each agent $i$ runs independent policy gradient using direct parameterization on their policy and the updates are simultaneous, then the learning dynamics reach an $\\epsilon$ -Nash policy after $\\mathcal { O } ( 1 / \\epsilon ^ { 2 } )$ iterations. (b) Finite Samples: If each agent $i$ runs stochastic policy gradient using greedy parameterization (see equation 3) on their policy and the updates are simultaneous, then the learning dynamics reach an $\\epsilon$ -Nash policy after $\\hat { \\mathcal { O } } ( 1 / \\bar { \\epsilon } ^ { \\bar { 6 } } )$ iterations. ", + "bbox": [ + 173, + 839, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The formal statements for cases (a) and (b) are provided in Theorems 4.2 and 4.4, respectively. The technical details are presented in Section 4. The main step in the proof of Theorem 1.2 establishes that Projected Gradient Ascent (PGA) on the potential function generates the same dynamics as each agent running independent PGA on their value function. This follows from a straightforward derivation of an agent-wise version of the single-agent gradient domination property which can be used to show that every (approximate) stationary point (Definition 4) of the potential function is an (approximate) Nash policy (Lemma 4.1). If agents do not have access to exact gradients, the key is to get an unbiased sample for the gradient of the value functions and prove that it has bounded variance (in terms of the parameters of the MPG). This is established by requiring agents to perform stochastic PGA with $\\alpha$ -greedy exploration (equation 3). The main idea is that this parameterization stays away from the boundary of the simplex throughout its trajectory (Daskalakis et al., 2020). ", + "bbox": [ + 173, + 103, + 825, + 256 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Other Related Works. Our paper contributes to the growing literature on cooperative AI and ML (Carroll et al., 2019; Dafoe et al., 2020). The results on convergence of MARL algorithms are scarce and largely restricted to purely competitive (Daskalakis et al., 2020; Wei et al., 2021; Zhao et al., 2021) or purely cooperative (Wang & Sandholm, 2002; Bard et al., 2020) settings. As Daskalakis et al. (2020) argue, the current frontier concerns the extension to settings that are not zero-sum, involve more than two agents and/or are cooperative in nature, albeit likely for weaker solution concepts. Our current paper proceeds precisely in this direction, and in fact, it does so without reverting to a weaker solution concept. Concerning the setup, our paper contributes to the rapidly growing literature on MPGs and variations thereof which is showcased by the works of Marden (2012); Valcarcel Macua et al. (2018); Mguni (2021); Mguni et al. (2021) and the partially concurrent work of Zhang et al. (2021). Marden (2012) study Markov games that are potential at every state and which satisfy a strong additional state-transitivity property. Under the same assumption, Mguni (2021) derive an analogous result to our Theorem 3.1 on the existence of deterministic Nash policies. Valcarcel Macua et al. (2018) provide an analytical way to find a closed-loop Nash policy in a class of Markov games that is more closely related to our current MPG setting (cf. Proposition 3.2). Zhang et al. (2021) study the same class of MPGs, and present additional practical applications. By introducing the notion of averaged MDPs, they derive an alternative, model-based policy evaluation method, which, interestingly, establishes the same sample-complexity (of $\\mathcal { O } ( \\epsilon ^ { - 6 } ) )$ as our model-free estimation. As pointed out by Zhang et al. (2021), it will be instructive to further explore this connection. Concerning the technical parts, our methods are related to Daskalakis et al. (2020); Agarwal et al. (2020); Kakade & Langford (2002) and to Davis & Drusvyatskiy (2018); Bubeck (2015); Nemirovski et al. (2009). ", + "bbox": [ + 173, + 273, + 826, + 565 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2 PRELIMINARIES ", + "text_level": 1, + "bbox": [ + 176, + 587, + 338, + 602 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Markov Decision Processes (MDPs). We consider a setting with $n$ agents who select actions in a shared Markov Decision Process (MDP). Formally, an MDP is a tuple $\\mathcal { G } ^ { \\mathrm { ~ ~ } } =$ $( \\mathcal { S } , \\mathcal { N } , \\{ \\mathcal { A } _ { i } , R _ { i } \\} _ { i \\in \\mathcal { N } } , P , \\gamma , \\rho )$ , where $s$ is a finite state space of size $S = | S |$ , $\\mathcal { N } = \\{ 1 , 2 , \\ldots , n \\}$ is the set of agents, and $\\mathbf { \\mathcal { A } } _ { i }$ is a finite action space of size $A _ { i } = | { \\mathcal { A } } _ { i } |$ for each agent $i \\in \\mathcal N$ with generic element $a _ { i } \\in { \\mathcal { A } } _ { i }$ . We write $\\begin{array} { r } { \\mathcal { A } = \\prod _ { i \\in \\mathcal { N } } \\bar { \\mathcal { A } } _ { i } } \\end{array}$ and $\\begin{array} { r } { \\mathcal { A } _ { - i } = \\prod _ { j \\neq i } \\mathcal { A } _ { j } } \\end{array}$ to denote the joint action spaces of all agents and of all agents other than $i$ with generic elements $\\mathbf { a } = ( a _ { i } ) _ { i \\in \\mathcal { N } }$ and $\\mathbf { a } _ { - \\mathbf { i } } = ( a _ { j } ) _ { j \\neq i }$ , respectively. $R _ { i } : S \\times A [ - 1 , 1 ]$ is the reward function of agent $i \\in \\mathcal N$ , i.e., $R _ { i } ( s , a _ { i } , \\mathbf { a } _ { - i } )$ is the instantaneous reward of agent $i$ when they take action $a _ { i }$ and all other agents take actions $\\mathbf { a } _ { - i }$ at state $s \\in S$ . $P$ is the transition probability function, for which $P ( s ^ { \\prime } \\mid s , \\mathbf { a } )$ is the probability of transitioning from $s$ to $s ^ { \\prime }$ when $\\mathbf { a } \\in { \\mathcal { A } }$ is chosen by the agents. Finally, $\\gamma$ (same for all agents) is a discount factor for future rewards and $\\rho \\in \\Delta ( \\mathcal { S } )$ is a distribution for the initial state at time $t = 0$ .2 ", + "bbox": [ + 173, + 618, + 826, + 775 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Whenever time is relevant, we will index the above terms with $t$ . In particular, at each time step $t ~ \\geq ~ 0$ , all agents $i \\in \\mathcal N$ observe the state $s _ { t } ~ \\in ~ S$ , select actions $\\mathbf { a } _ { t } ~ = ~ ( a _ { i , t } , \\mathbf { a } _ { - i , t } )$ , receive rewards $r _ { i , t } : = R _ { i } ( s _ { t } , \\mathbf { a } _ { t } )$ , and transition to the next state $s _ { t + 1 } \\sim P ( \\cdot \\mid s _ { t } , \\mathbf { a } _ { t } )$ . We will write ${ \\boldsymbol { \\tau } } = ( s _ { t } , \\mathbf { a } _ { t } , \\mathbf { r } _ { t } ) _ { t \\geq 0 }$ to denote the trajectories of the system, where $\\mathbf { r } _ { t } : = ( r _ { i , t } ) , i \\in \\mathcal { N }$ . ", + "bbox": [ + 174, + 781, + 825, + 838 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Policies and Value Functions. For each agent $i \\in \\mathcal N$ , a deterministic, stationary policy $\\pi _ { i } : { \\cal { S } } $ $A _ { i }$ specifies the action of agent $i$ at each state $s \\in S$ , i.e., $\\pi _ { i } ( s ) = a _ { i } \\in { \\mathcal { A } } _ { i }$ for each $s \\in S$ . A stochastic, stationary policy $\\pi _ { i } : S \\to \\Delta ( { \\mathcal { A } } _ { i } )$ specifies a probability distribution over the actions of agent $i$ for each state $s \\in S$ . Accordingly, $\\pi _ { i } \\in \\Pi _ { i } : = \\Delta ( \\mathcal { A } _ { i } ) ^ { S }$ . In this case, we will write $a _ { i } \\sim \\pi _ { i } ( \\cdot \\mid s )$ to denote the randomized action of agent $i$ at state $s \\in { \\mathcal { S } }$ . As above, we will write $\\pi = ( \\pi _ { i } ) _ { i \\in \\mathcal { N } } \\in \\Pi : = \\times _ { i \\in \\mathcal { N } } \\Delta ( \\mathcal { A } _ { i } ) ^ { S }$ and $\\pi _ { - i } = ( \\pi _ { j } ) _ { i \\neq j \\in N } \\in \\Pi _ { - i } : = \\times _ { i \\neq j \\in N } \\Delta ( A _ { j } ) ^ { S }$ to denote the joint policies of all agents and of all agents other than $i$ , respectively. A joint policy $\\pi$ induces a distribution $\\operatorname* { P r } ^ { \\pi }$ over trajectories ${ \\boldsymbol { \\tau } } = ( s _ { t } , \\mathbf { a } _ { t } , \\mathbf { r } _ { t } ) _ { t \\geq 0 } .$ , where $s _ { 0 }$ is drawn from the initial state distribution $\\rho$ and $a _ { i , t }$ is drawn from $\\pi _ { i } ( \\cdot \\mid s _ { t } )$ for all $i \\in \\mathcal { N }$ . ", + "bbox": [ + 176, + 854, + 825, + 897 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 102, + 825, + 189 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The value function, $V _ { s } ^ { i } : \\Pi \\mathbb { R }$ , gives the expected reward of agent $i \\in \\mathcal N$ when $s _ { 0 } = s$ and the agents draw their actions, $\\mathbf { a } _ { t } = \\left( a _ { i , t } , \\mathbf { a } _ { - i , t } \\right)$ , at time $t \\geq 0$ from policy $\\pi = ( \\pi _ { i } , \\pi _ { - i } )$ ", + "bbox": [ + 174, + 194, + 823, + 224 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/b29ab4660d3dc49e4ab93621e3f577d2cf3a5e5048965624aaef46562510c576.jpg", + "text": "$$\nV _ { s } ^ { i } ( \\pi ) : = \\mathbb { E } _ { \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } r _ { i , t } \\mid s _ { 0 } = s \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 369, + 232, + 629, + 260 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We also write $V _ { \\rho } ^ { i } ( \\pi ) = \\mathbb { E } _ { s \\sim \\rho } \\left[ V _ { s } ^ { i } ( \\pi ) \\right]$ if the initial state is random and follows distribution $\\rho$ . The solution concept that we will be focusing on are the Nash Policies which are formally defined next. ", + "bbox": [ + 169, + 267, + 825, + 297 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Definition 1 ( $\\epsilon$ -Nash Policy). A joint policy $\\pi ^ { * } = ( \\pi _ { i } ^ { * } ) _ { i \\in \\mathcal { N } }$ is an $\\epsilon$ -Nash policy if there exists an $\\epsilon \\geq 0$ so that for each agent $i \\in \\mathcal N$ , $V _ { s } ^ { i } ( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } ) \\ge V _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ^ { * } ) - \\epsilon .$ , for all $\\pi _ { i } \\in \\Delta ( { \\mathcal { A } } _ { i } ) ^ { S }$ , and all $s \\in S$ . If $\\epsilon = 0$ , then $\\pi ^ { * }$ is a called a Nash policy. In this case, $\\pi _ { i } ^ { * }$ maximizes each agent $i$ ’s value function for each starting state $s \\in S$ given the policies, $\\pi _ { - i } ^ { * } = ( \\pi _ { j } ^ { * } ) _ { j \\neq i }$ , of all other agents $j \\neq i \\in \\mathcal { N }$ . The definition of a Nash policy remains the same if $s \\sim \\rho$ (random starting state). ", + "bbox": [ + 173, + 301, + 825, + 375 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 MARKOV POTENTIAL GAMES. ", + "text_level": 1, + "bbox": [ + 176, + 395, + 457, + 411 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We are now ready to define the class of MDPs that we will focus on for the rest of the paper. ", + "bbox": [ + 169, + 426, + 776, + 441 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Definition 2 (Markov Potential Game). A Markov Decision Process (MDP), $\\mathcal { G }$ , is called a Markov Potential Game $( M P G )$ if there exists a (state-dependent) function $\\Phi _ { s } : \\Pi \\mathbb { R }$ , with $s \\in S$ , so that ", + "bbox": [ + 173, + 445, + 828, + 474 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/da3bd1088a9d2b16611c648c0808212af2ee3b0c0cdc8dcea7c626591e9c1f3b.jpg", + "text": "$$\nV _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ) - V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) = \\Phi _ { s } ( \\pi _ { i } , \\pi _ { - i } ) - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 307, + 482, + 687, + 501 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "for all agents $i \\in \\mathcal N$ , states $s \\in S$ and policies $\\pi _ { i } , \\pi _ { i } ^ { \\prime } \\in \\Pi _ { i } , \\pi _ { - i } \\in \\Pi _ { - i }$ . Linearity of expectation implies that $\\Phi _ { \\rho } ( \\pi _ { i } , \\pi _ { - i } ) - \\Phi _ { \\rho } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) = V _ { \\rho } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ) { \\stackrel { . . } { - } } V _ { \\rho } ^ { i } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } )$ , where $\\Phi _ { \\rho } ( \\pi ) : = \\mathbb { E } _ { s \\sim \\rho } \\left[ \\Phi _ { s } ( \\pi ) \\right]$ . ", + "bbox": [ + 173, + 507, + 823, + 539 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "As in normal-form games, an immediate consequence of this definition is that the value function of each agent in an MPG can be written as the sum of the potential (common term) and a term that does not depend on that agent’s policy (dummy term), i.e., for each agent $i \\in \\mathcal N$ there exists a function $U _ { s } ^ { i } : \\bar { \\Pi _ { - i } } \\mathbb { R }$ so that $V _ { s } ^ { i } ( \\bar { \\pi } ) = \\mathrm { \\bar { \\Phi } } _ { s } ( \\pi ) + U _ { s } ^ { i } ( \\pi _ { - i } )$ , for all $\\pi \\in \\Pi$ (cf. Proposition B.1 in Appendix B). ", + "bbox": [ + 173, + 547, + 825, + 619 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Definition 3 (Ordinal and Weighted Potential Games). Similar to normal-form games, we can define more general notions of MPGs: weighted or ordinal MPGs. If there exist positive constants $w _ { i } > 0 , i \\in \\mathcal { N }$ so that $w _ { i } \\left[ V _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ) - \\stackrel { . } { V } _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) \\right] = \\Phi _ { s } ( \\pi _ { i } , \\pi _ { - i } ) - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } )$ , then $\\mathcal { G }$ is a Weighted Markov Potential Game (WMPG). If for all agents $i \\in \\mathcal N$ , all states $s \\in S$ and all policies $\\pi _ { i } , \\pi _ { i } ^ { \\prime } \\in \\Pi _ { i } , \\pi _ { - i } \\in \\Pi _ { - i }$ , the function $\\Phi _ { s } , s \\in { \\mathcal { S } }$ satisfies $V _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ) - V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) > \\bar { 0 } \\iff \\iff$ $\\Phi _ { s } ( \\pi _ { i } , \\pi _ { - i } ) - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) > 0$ , then $\\mathcal { G }$ is an Ordinal Markov Potential Game $( O M P G )$ . ", + "bbox": [ + 173, + 623, + 825, + 709 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Such classes are naturally motivated in the setting of multi-agent MDPs. As Example 2 shows, even simple potential-like settings, i.e., settings in which coordination is desirable for all agents, may fail to be exact MPGs (but may still be ordinal or weighted MPGs). From our current perspective, ordinal and weighted MPGs remain relevant since our main convergence results on the convergence of policy gradient carry over (in an exact or asymptotic sense) also in these classes of games (Remark 1). ", + "bbox": [ + 173, + 719, + 825, + 790 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Existence of Deterministic Nash Policies in MPGs. Before studying the types of MDPs that are captured by Definition 2, we first show that MPGs always possess deterministic Nash policies (similar to their single-state counterparts, i.e., to normal-form potential games Monderer & Shapley (1996)). This is established in Theorem 3.1, which settles part (a) of Theorem 1.1. As with the rest of the proofs (and technical details) of Section 3, the proof of Theorem 3.1 is provided in Appendix B. ", + "bbox": [ + 174, + 806, + 826, + 877 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Theorem 3.1 (Deterministic Nash Policy Profile). Let $\\mathcal { G }$ be a Markov Potential Game (MPG). Then, there exists a Nash policy $\\pi ^ { * } \\in \\Delta ( { \\mathcal { A } } ) ^ { S }$ which is deterministic, i.e., for each agent $i \\in \\mathcal N$ and each state $s \\in S$ , there exists an action $a _ { i } \\in { \\mathcal { A } } _ { i }$ so that $\\pi _ { i } ^ { * } ( a _ { i } \\mid s ) = 1$ . ", + "bbox": [ + 174, + 881, + 825, + 925 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/560f7ffc81edc17ff047a84a1f68378943a4fc045c6b33d86fdb4a472ad32e16.jpg", + "image_caption": [ + "Figure 1: an MDP with normal-from potential games at each state which is not an MPG due to conflicting preferences over states. ", + "Figure 2: an MDP with normal-form potential games at each state which is an OMPG but not an MPG despite common preferences over states. " + ], + "image_footnote": [], + "bbox": [ + 199, + 80, + 803, + 199 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The proof of Theorem 3.1 relies on the following iterative reduction process of the non-deterministic components of an arbitrary Nash policy profile that is also a global maximizer of the potential function. At each iteration, we isolate an agent $i \\in \\mathcal N$ , and find a deterministic (optimal) policy for that agent in the (single-agent) MDP in which the policies of all other agents but $i$ remain fixed. The important observation is that the resulting profile is again a global maximizer of the potential and hence, a Nash policy profile. This argument critically relies on the MPG structure (cf. Definition 2) and does not seem to be directly generalizable to MDPs beyond this class. ", + "bbox": [ + 173, + 265, + 825, + 363 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Sufficient Conditions for MPGs. Based on the above, it is tempting to think that MDPs which are potential at every state (i.e., the immediate rewards at every state are captured by a potential game at that state) are trivially MPGs. As we show in Examples 1 and 2, this intuition fails in the most straightforward way: we can construct simple MDPs that are potential at every state but which are purely competitive overall (do not possess a deterministic Nash policy, see Example 1) or which are cooperative in nature overall, but which do not possess an exact potential function, see Example 2. ", + "bbox": [ + 173, + 377, + 825, + 462 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Example 1. Consider the MDP in Figure 1. To show that $\\mathcal { G }$ is not an MPG, it suffices to show that it cannot have a deterministic Nash policy profile as should be the case according to Theorem 3.1 (see Appendix B.1). Intuitively, competition arises in Example 1 because the two agents play a game of matching pennies in terms of the states that they prefer (which can be determined by the actions that they choose) even though immediate rewards at each state are determined by normal form potential games. Example 2 shows that a state-based potential game may fail to be an MPG even if agents have similar preferences over states. ", + "bbox": [ + 173, + 464, + 825, + 563 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Example 2. Consider the MDP in Figure 2. In $s _ { 0 }$ the agents play a Battle of the Sexes game and hence a potential game, while in $s _ { 1 }$ they receive no reward (which is trivially a potential game). A simple calculation shows that there is not an exact potential function due to the dependence of the transitions on agents’ actions (thus, this MDP is not an MPG). However, in the case of Example 2, it is straightforward to show that the game is an ordinal potential game, cf. Appendix B.1. ", + "bbox": [ + 173, + 565, + 825, + 636 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The previous discussion focuses on games that consist of normal-form potential games at every state, which leaves an important question unanswered: are there games which are not potential at every state but which are captured by the current definition of MPGs? Figure 3 answers this question affirmatively. Together with Example 1, this settles the claim in Theorem 1.1, part (b). ", + "bbox": [ + 173, + 645, + 825, + 702 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Proposition 3.2 (Sufficient Conditions for MPGs). Consider an MDP, $\\mathcal { G }$ , in which every state $s \\in S$ is a potential game, i.e., the immediate rewards $R ( s , \\mathbf { a } ) = ( R _ { i } ( s , \\mathbf { a } ) ) _ { i \\in \\mathcal { N } }$ for each state $s \\in S$ are captured by the utilities of a potential game with potential function $\\phi _ { s }$ . If either $C I$ or $C 2$ are true, then $\\mathcal { G }$ is an MPG. ", + "bbox": [ + 173, + 704, + 825, + 761 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "C1. Agent-independent transitions: $P ( s ^ { \\prime } \\mid s , \\mathbf { a } )$ does not depend on a, that is, $P ( s ^ { \\prime } \\mid s , \\mathbf { a } ) = P ( s ^ { \\prime } \\mid$ $s$ ) is just a function of the present state for all states $s , s ^ { \\prime } \\in S$ . ", + "bbox": [ + 173, + 765, + 823, + 792 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "$C 2$ . Constant gradient of dummy terms: $P ( s ^ { \\prime } \\mid s , \\mathbf { a } )$ is arbitrary, but for the decomposition of each agent’s immediate rewards in common and dummy terms, $R _ { i } ( s , a _ { i } , \\mathbf { \\bar { a } } _ { - i } ) = \\phi _ { s } ( a _ { i } , \\mathbf { \\bar { a } } _ { - i } ) + u _ { s } ^ { i } ( \\mathbf { a } _ { - i } )$ with $u _ { s } ^ { i } : \\mathcal { A } _ { - i } \\mathbb { R }$ , it holds that ", + "bbox": [ + 176, + 792, + 825, + 835 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/44a1ad73499650f74584e99e155163a248ae9284e1929c6826bd86314ecec0e1.jpg", + "text": "$$\n\\nabla _ { \\pi _ { i } ( s ) } \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\mid s _ { 0 } = s ^ { \\prime } \\right] = c _ { s } \\mathbf { 1 } ,\n$$", + "text_format": "latex", + "bbox": [ + 325, + 838, + 671, + 866 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "for all states $s ^ { \\prime } , s \\in \\mathcal { S }$ , where $c _ { s } \\in \\mathbb { R } , { \\bf 1 } \\in \\mathbb { R } ^ { A _ { i } }$ , and $\\pi _ { i } ( s )$ is the policy distribution of agent i at s. ", + "bbox": [ + 173, + 869, + 808, + 886 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Condition C1 can be viewed as a special case of condition C2; nevertheless, it is more practical to state it separately. Condition C2 (or variations) have been studied in Marden (2012); Valcarcel Macua et al. (2018). However, Example 2 demonstrates that such conditions are restrictive, in the sense that they do not capture very simple MDPs in which agents have aligned incentives (cooperative in nature). Condition C2 is (trivially) satisfied when $u _ { s } ^ { i }$ does not depend on the state $s$ nor on the actions of other agents, i.e., $u _ { s } ^ { i } ( { \\bf a } _ { - i } ) \\equiv c ^ { i }$ for some constant $c ^ { i } \\in \\mathbb { R }$ for all $\\mathbf { a } _ { - i } \\in \\mathcal { A } _ { - i }$ and all $s \\in S$ . A special case is provided by MDPs in which the instantaneous rewards of all agents are the same at each state, i.e., such that $R _ { i } ( s , a _ { i } , \\mathbf { a } _ { - i } ) = \\phi _ { s } ( a _ { i } , \\mathbf { a } _ { - i } )$ for all agents $i \\in \\mathcal N$ , all actions $a _ { i } \\in { \\mathcal { A } } _ { i }$ and all states $s \\in S$ . MDPs that satisfy this condition form a subclass of the current definition and have been studied under the name Team Markov Games in Wang & Sandholm (2002). These observations motivate the study of ordinal or weighted MPGs (cf. Definition 3) as more glasses classes of cooperative MDPs. ", + "bbox": [ + 174, + 895, + 821, + 924 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/0a92ec2bab69c2b7158562929ef4af4e1cdb93157f9de61dd023cfb06c22aec2.jpg", + "image_caption": [ + "Figure 3: A 2-player MDP which is not potential at every state but which is overall an MPG. While state $s _ { 0 }$ corresponds to a zero-sum game, the states inside the dotted rectangle do form a potential game which can be used to show the MPG property whenever $p _ { 0 }$ does not depend on agents’ actions. " + ], + "image_footnote": [], + "bbox": [ + 258, + 82, + 738, + 189 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 257, + 826, + 383 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 CONVERGENCE OF POLICY GRADIENT IN MARKOV POTENTIAL GAMES ", + "text_level": 1, + "bbox": [ + 173, + 404, + 802, + 420 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In the current section, we present the main results regarding convergence of (projected) policy gradient to approximate Nash policies in Markov Potential Games (MPGs). We analyze the cases of both infinite and finite samples using direct and $\\alpha$ -greedy parameterizations, respectively. All proofs and auxiliary materials are deferred to Appendix D. ", + "bbox": [ + 174, + 434, + 825, + 491 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Independent Policy Gradient and Direct Parameterization. We assume that all agents update their policies independently according to the projected gradient ascent $( P G A )$ or policy gradient algorithm.3 The PGA algorithm is given by ", + "bbox": [ + 173, + 506, + 825, + 547 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/efe1bd4e07bfa721ed3adb44f791fb1df8fea4d69ea8d5ab4324f03f4d6958cc.jpg", + "text": "$$\n\\pi _ { i } ^ { ( t + 1 ) } : = P _ { \\Delta ( A _ { i } ) ^ { S } } \\left( \\pi _ { i } ^ { ( t ) } + \\eta \\nabla _ { \\pi _ { i } } V _ { \\rho } ^ { i } ( \\pi ^ { ( t ) } ) \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 349, + 553, + 647, + 580 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "for each agent $i \\in \\mathcal N$ , where $P _ { \\Delta } ( \\mathcal { A } _ { i } ) ^ { S }$ is the projection onto $\\Delta ( \\mathcal { A } _ { i } ) ^ { S }$ in the Euclidean norm. Here, the additional argument $t \\geq 0$ denotes time. We also assume that all players $i \\in \\mathcal N$ use direct policy parameterizations, i.e., $\\pi _ { i } ( a \\mid s ) = x _ { i , s , a }$ , with $x _ { i , s , a } ~ \\geq ~ 0$ for all $s \\in \\mathcal { S } , a \\in \\mathcal { A } _ { i }$ and $\\begin{array} { r } { \\sum _ { a \\in \\mathcal { A } _ { i } } x _ { i , s , a } = 1 } \\end{array}$ for all $s \\in S$ . This parameterization is complete in the sense that any stochastic policy can be represented in this class Agarwal et al. (2020). ", + "bbox": [ + 173, + 585, + 825, + 656 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In practice, agents use projected stochastic gradient ascent (PSGA), according to which, the actual gradient, $\\nabla _ { \\pi _ { i } } V _ { \\rho } ^ { i } ( \\pi ^ { ( t ) } )$ , is replaced by an estimate thereof that is calculated from a randomly selected (yet finite) sample of trajectories of the MDP. This estimate, $\\hat { \\nabla } _ { \\pi _ { i } } ^ { ( t ) }$ may be derived from a single or a batch of observations which in expectation behave as the actual gradient. We choose the estimator of the gradient of $V _ { \\rho } ^ { i }$ to be ", + "bbox": [ + 173, + 662, + 825, + 739 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/d811ced4f056466f700aedaf289f5d8b05a447d78ba29aa7ed363668739017c9.jpg", + "text": "$$\n\\begin{array} { r } { \\hat { \\nabla } _ { \\pi _ { i } } ^ { ( t ) } = R _ { i } ^ { ( T , t ) } \\sum _ { k = 0 } ^ { T } \\nabla \\log \\pi _ { i } ( { a } _ { k } ^ { ( t ) } \\mid s _ { k } ^ { ( t ) } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 356, + 738, + 640, + 768 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $s _ { 0 } ^ { t } \\sim \\rho$ , and $\\begin{array} { r } { R _ { i } ^ { ( T , t ) } = \\sum _ { k = 0 } ^ { T } r _ { i , t } ^ { k } } \\end{array}$ is the sum of rewards of agent $i$ for a bat h of time horizon $T$ along the trajectory generated by the stochastic gradient ascent algorithm at its $t$ ", + "bbox": [ + 173, + 773, + 826, + 805 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The direct parameterization is not sufficient to ensure that the variance of the gradient estimator is bounded (as policies approach the boundary). In this case, we will require that each agent $i \\in \\mathcal N$ uses instead direct parameterization with $\\alpha$ -greedy exploration as follows ", + "bbox": [ + 174, + 810, + 825, + 853 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/1f6fa5d98f1b5d654395396ceaa195bb025b848302f68b9255180bfe0f6f077a.jpg", + "text": "$$\n\\pi _ { i } ( a \\mid s ) = ( 1 - \\alpha ) x _ { i , s , a } + \\alpha / A _ { i } ,\n$$", + "text_format": "latex", + "bbox": [ + 383, + 859, + 612, + 876 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\alpha$ is the exploration parameter for all agents. For $\\alpha$ -greedy exploration, it can be shown that (2) is unbiased and has bounded variance. In this case, $1 - \\gamma$ captures the probability that the MDP terminates after each round which ensures that the (finite) length of the trajectory is sampled from a geometric distribution. This is necessary for unbiasedness, see Zhang et al. (2020); Paternain et al. (2021) and Lemma 4.3. (PSGA) is given by ", + "bbox": [ + 173, + 103, + 826, + 174 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/d249a28958b7f0a65d8fa6df00af11adce23b81244b08d545af5dc8414a85d5f.jpg", + "text": "$$\n\\pi _ { i } ^ { ( t + 1 ) } : = P _ { \\Delta ( A _ { i } ) ^ { S } } \\left( \\pi _ { i } ^ { ( t ) } + \\eta \\hat { \\nabla } _ { \\pi _ { i } } ^ { ( t ) } \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 377, + 178, + 620, + 204 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Main Technical Tools. The first step is to observe that, in MPGs, the (partial) derivatives of the value functions and the potential function are equal, i.e., $\\nabla _ { \\pi _ { i } } V _ { s } ^ { i } ( \\pi ) = \\bar { \\nabla } _ { \\pi _ { i } } \\Phi ( \\pi )$ for all $i \\in \\mathcal N$ (Proposition B.1). Together with the separability of the projection operator, i.e., the fact that projecting independently for each agent $i$ on $\\Delta ( \\mathcal { \\bar { A } } _ { i } ) ^ { S }$ is the same as jointly projecting on $\\Delta ( \\mathcal { A } ) ^ { S }$ (Lemma D.1), this establishes that running PGA or PSGA on each agent’s value function is equivalent to running PGA or PSGA on the potential function $\\Phi$ . The next step is to study the stationary points of $\\Phi$ . ", + "bbox": [ + 173, + 214, + 825, + 299 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Definition 4 $\\dot { \\epsilon }$ -Stationary Point of $\\Phi$ ). A policy profile $\\underline { { \\pi } } : = ( \\pi _ { 1 } , . . . , \\pi _ { n } ) \\in \\Delta ( . A ) ^ { S }$ is called $\\epsilon$ - stationary for $\\Phi$ w.r.t distribution $\\mu$ as long as max $\\begin{array} { r } { \\dot { \\sum _ { i \\in \\mathcal { N } } } \\delta _ { i } ^ { \\top } \\nabla _ { \\pi _ { i } } \\dot { \\Phi } _ { \\mu } ( { \\boldsymbol { \\pi } } ) \\le \\epsilon } \\end{array}$ , where the max is taken over all $\\boldsymbol { \\delta } = ( \\delta _ { 1 } , \\dots , \\delta _ { n } )$ such that $( \\pi _ { 1 } + \\delta _ { 1 } , \\ldots , \\pi _ { n } + \\delta _ { n } ) \\in \\Delta ( \\mathcal { A } ) ^ { S } , \\sum _ { i \\in \\mathcal { N } } \\| \\delta _ { i } \\| _ { 2 } ^ { 2 } \\leq 1$ . In words, the function $\\Phi ( \\pi )$ cannot increase in value by more than $\\epsilon$ along every possible local direction $\\delta$ that is feasible (namely $\\pi + \\delta$ is also a policy profile). ", + "bbox": [ + 173, + 301, + 826, + 378 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "To state our main result, we will also need the notion of distribution mismatch coefficient (Kakade & Langford, 2002) applied to our setting. For any distribution $\\mu \\in \\Delta ( \\mathcal { S } )$ and any policy $\\pi \\in \\Pi$ , we call $D : = \\operatorname* { m a x } _ { \\pi \\in \\Pi } \\left\\| \\frac { d _ { \\mu } ^ { \\pi } } { \\mu } \\right\\| _ { \\infty }$ the distribution mismatch coefficient, where $d _ { \\mu } ^ { \\pi }$ is the discounted state distribution (7). Lemma 4.1 suggests that as long as policy gradient reaches a point $\\pi ^ { ( t ) }$ with small gradient along the directions in $\\Delta ( { \\mathcal { A } } ) ^ { S }$ , it must be the case that $\\pi ^ { ( t ) }$ is an approximate Nash policy. ", + "bbox": [ + 173, + 387, + 825, + 472 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Lemma 4.1 (Stationarity of $\\Phi$ implies Nash). Let √ $\\epsilon \\geq 0$ , and let $\\pi$ be an $\\epsilon$ -stationary point of $\\Phi$ (see Definition 4). Then, it holds that $\\pi$ is a $\\bar { \\sqrt { S } } D \\epsilon ( 1 - \\gamma ) ^ { - 1 }$ -Nash policy. ", + "bbox": [ + 171, + 474, + 825, + 506 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Lemma 4.1 will be one of two mains ingredients to establish convergence of PGA and PSGA. To prove Lemma 4.1, we will use an agent-wise version of the gradient domination property of singleagent MDPs (cf. Lemma D.3 and Lemma 4.1 in Agarwal et al. (2020)). An important difference in the gradient domination property between (multi-agent) MPGs and single agent MDPs is that the value of each agent at different Nash policies may not be unique4 which implies that the gradient domination property will only be enough to guarantee convergence to one of the optimal (stationary) points of $\\Phi$ (and not necessarily to the absolute maximum of $\\Phi$ ). ", + "bbox": [ + 173, + 515, + 825, + 614 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The second main ingredient will be fact that $\\Phi$ is a $\\beta$ -smooth function (its gradient is Lipschitz) with parameter $\\beta = 2 n \\bar { \\gamma } A _ { \\mathrm { m a x } } ( 1 - \\gamma ) ^ { - 3 }$ , where $A _ { \\operatorname* { m a x } } : = \\operatorname* { m a x } _ { i \\in \\mathcal { N } } | \\mathcal { A } _ { i } |$ , i.e., the maximum number of actions for some agent. Importantly, this implies that $\\beta$ scales linearly in the number of agents. ", + "bbox": [ + 174, + 619, + 825, + 662 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Exact Gradients Case. Theorem 1.2 (restated formally below) about rates of convergence of PGA can now be proved following a standard ascent property of gradient descent algorithms to approximate stationary points in no(Lemma C.1) suggests that for any convex optimizati-smooth function, n Ghadimi, it holds t $\\&$ \n$\\beta$ $f$ $\\begin{array} { r } { f ( x ^ { \\prime } ) - f ( x ) \\geq \\frac { 1 } { 2 \\beta } \\left\\| x ^ { \\prime } - x \\right\\| _ { 2 } ^ { 2 } } \\end{array}$ where $x ^ { \\prime }$ is the next iterate of equation PGA. Thus, having shown in our context that $\\Phi$ is a $\\beta$ -smooth function, this implies that ", + "bbox": [ + 173, + 676, + 825, + 767 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/6ce49ca8edc08d11891b45b3c92de4cba23316392b3250fe228ee4e1a5d52f28.jpg", + "text": "$$\n\\Phi _ { \\mu } ( \\pi ^ { ( t + 1 ) } ) - \\Phi _ { \\mu } ( \\pi ^ { ( t ) } ) \\geq \\frac { ( 1 - \\gamma ) ^ { 3 } } { 4 n \\gamma A _ { \\operatorname* { m a x } } } \\left\\| \\pi ^ { ( t + 1 ) } - \\pi ^ { ( t ) } \\right\\| _ { 2 } ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 313, + 770, + 684, + 804 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Putting everything together, we can show the following result. ", + "bbox": [ + 173, + 808, + 581, + 823 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Theorem 4.2 (Formal Theorem 1.2, part (a)). Let $\\mathcal { G }$ be an MPG and let $A _ { \\operatorname* { m a x } } = \\operatorname* { m a x } _ { i } \\left| \\mathcal { A } _ { i } \\right|$ . For any initial state and any initial policies, if all agents run independent projected gradient ascent $( P G A )$ on their policies with learning rate (step-size) η = (1−γ) 2nγAmax for at least $\\begin{array} { r } { T = \\frac { 1 6 n \\gamma D ^ { 2 } S A _ { \\mathrm { m a x } } \\Phi _ { \\mathrm { m a x } } } { ( 1 - \\gamma ) ^ { 5 } \\epsilon ^ { 2 } } } \\end{array}$ iterations, then there exists a $t \\in \\{ 1 , \\ldots , T \\}$ such that $\\pi ^ { ( t ) }$ is an $\\epsilon$ -approximate Nash policy. ", + "bbox": [ + 173, + 825, + 825, + 892 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Finite Sample Case. In the case of finite samples, we analyze (PSGA) on the value $V ^ { i }$ of each agent $i$ which (as was the case for PGA) can be shown to be the same as applying projected gradient ascent on $\\Phi$ . The key is to get an estimate of the gradient of $\\Phi$ (2) at every iterate. Note that $1 - \\gamma$ now captures the probability for the MDP to terminate after each round (and it does not play the role of a discounted factor since we consider finite length trajectories). Lemma 4.3 argues that the estimator of equation equation 2 is both unbiased and bounded. ", + "bbox": [ + 173, + 103, + 825, + 188 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Lemma 4.3 (Unbiased estimator with bounded variance). It holds that $\\hat { \\nabla } _ { \\pi _ { i } } ^ { ( t ) }$ is an unbiased estimator of $\\nabla _ { \\pi _ { i } } \\Phi$ for all $i \\in \\mathcal N$ , that is $\\mathbb { E } _ { \\pi ^ { ( t ) } } \\hat { \\nabla } _ { \\pi _ { i } } ^ { ( t ) } = \\nabla _ { \\pi _ { i } } \\Phi _ { \\mu } ( \\pi ^ { ( t ) } ) _ $ , for all $i \\in \\mathcal N$ i. Moreover, for all agents $i \\in \\mathcal N$ , it holds that $\\begin{array} { r } { \\mathbb { E } _ { \\pi ^ { ( t ) } } \\left\\| \\hat { \\nabla } _ { \\pi _ { i } } ^ { ( t ) } \\right\\| _ { 2 } ^ { 2 } \\leq \\frac { 2 4 A _ { \\operatorname* { m a x } } ^ { 2 } } { \\epsilon ( 1 - \\gamma ) ^ { 4 } } } \\end{array}$ , for all $i \\in \\mathcal N$ . ", + "bbox": [ + 173, + 191, + 825, + 255 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Using the above, we can now state part (b) of Theorem 1.2. Together with Lemma 4.3 and the stationarity Lemma (Lemma 4.1), the proof of this part uses the smoothness of $\\Phi$ and existing tools from the analysis of stochastic gradient descent for non-convex functions. ", + "bbox": [ + 174, + 263, + 825, + 305 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Theorem 4.4 (Formal Theorem 1.2, part (b)). Let $\\mathcal { G }$ be an MPG. For any initial state and any initial policies, if all agents run projected stochastic gradient ascent (PSGA) on their policies using $\\alpha$ -greedy parameterization with $\\alpha = \\epsilon ^ { 2 }$ and learning rate (step-size) $\\begin{array} { r } { \\eta = \\frac { \\epsilon ^ { 4 } ( 1 - \\gamma ) ^ { 3 } \\bar { \\gamma } } { 4 8 n D ^ { 2 } A _ { \\mathrm { m a x } } ^ { 2 } S } } \\end{array}$ for at least $\\begin{array} { r } { T = \\frac { 4 8 ( 1 - \\gamma ) A _ { \\mathrm { m a x } } \\Phi _ { \\mathrm { m a x } } D ^ { 4 } S ^ { 2 } } { \\epsilon ^ { 6 } \\gamma ^ { 3 } } } \\end{array}$ iterations, then there exists a $t \\in \\{ 1 , \\ldots , T \\}$ such that in expectation, $\\pi ^ { ( t ) }$ is an $\\epsilon$ -approximate Nash policy. ", + "bbox": [ + 173, + 308, + 825, + 396 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Using Markov’s inequality, it is immediate to show that the statement of Theorem 4.4 also holds with high probability. Namely, if we set the number of iterations to $T _ { \\delta } = T / \\delta ^ { 4 }$ and and the learning rate to $\\bar { \\eta } _ { \\delta } \\overset { - } { = } \\delta ^ { 2 } \\eta$ , where $\\delta \\in ( 0 , 1 )$ , then with probability $1 - \\delta$ there exists a $t \\in \\{ 1 , \\ldots , T \\}$ such that $\\pi ^ { ( t ) }$ is an $\\epsilon$ -approximate Nash policy. However, this is a weaker than desired statement, since, optimally, the running time should be logarithmic (instead of polynomial) in $1 / \\delta$ (Nemirovski et al., 2009). Proving such a statement requires bounds on higher moments of the gradient estimator which in turn, require sampling and averaging over multiple trajectories (per iteration). ", + "bbox": [ + 173, + 406, + 826, + 506 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Remark 1 (Convergence in WMPGs and OMPGs). It is rather straightforward to see that our results carry over to WMPGs (cf. Definition 3). The only difference in the running time of PGA is to account for the weights (which are just multiplicative constants). By contrast, the extension to OMPGs is not immediate. The reason is that, in that case, we cannot prove any bound on the smoothness of $\\Phi$ and hence, we cannot have rates of convergence of policy gradient. Nevertheless, it is quite straightforward that PGA converges asymptotically to critical points (in bounded domains) for differentiable functions. Thus, as long as $\\Phi$ is differentiable, it is guaranteed that PGA will asymptotically converge to a critical point of $\\Phi$ . By Lemma 4.1, this point will be a Nash policy. ", + "bbox": [ + 173, + 507, + 825, + 618 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 EXPERIMENTS: CONGESTION GAMES ", + "text_level": 1, + "bbox": [ + 174, + 637, + 517, + 654 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We next study the performance of policy gradient in a general class of MDPs that are congestion games at every state (cf. Roughgarden (2015); Bistritz & Bambos (2020)). As we argued such MDPs are not necessarily MPGs; however, this class of MDPs contains MPGs, e.g., under additional conditions on the transitions, or ordinal (weighted) MPGs under more general conditions. ", + "bbox": [ + 173, + 669, + 825, + 724 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Experimental setup. We consider an experiment (Figure 4) with $N = 8$ agents, $A _ { i } = 4$ facilities (resources or locations) that the agents can select from and $S = 2$ states: a safe state and a distancing state. In both states, all agents prefer to be in the same facility with as many other agents as possible (follow the crowd). In particular, the reward of each agent for being at facility $k$ is equal to a predefined positive weight $w _ { k } ^ { \\mathrm { s a f e } }$ times the number of agents at $k = A , B , C , D$ . The weights satisfy $w _ { A } ^ { \\mathrm { s a f e } } <$ $w _ { B } ^ { \\mathrm { s a f e } } < w _ { C } ^ { \\mathrm { s a f e } } < w _ { D } ^ { \\mathrm { s a f e } }$ , i.e., facility $D$ is the most preferable by all agents. However, if more than $4 = N / 2$ agents find themselves in the same facility, then the game transitions to the distancing state. At the distancing state, the reward structure is the same for all agents, but reward of each agent is reduced by a constant amount, $c$ , where $c > 0$ is a (considerably large) constant. (We also treat the case in which $c$ is different for each facility in Appendix E). To return to the safe state, agents need to achieve maximum distribution over facilities; no more than $2 = N / 4$ agents in a facility. We consider deterministic transitions; however, the results are quantitatively equivalent also when these transitions occur with some probability (Appendix E). ", + "bbox": [ + 174, + 739, + 509, + 897 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/1bb36d8c9327ab6c94780722e6d8d80a3cd6672fdff7b70c5ef23bb2737cc174.jpg", + "image_caption": [ + "Figure 4: The 2-state MDP. " + ], + "image_footnote": [], + "bbox": [ + 544, + 739, + 808, + 873 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 896, + 828, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 174 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Paremeters. We perform episodic updates with $T = 2 0$ steps. At each iteration, we estimate the policy gradients using the average of mini-batches of size 20. We use $\\gamma = 0 . 9 9$ and a common learning rate $\\eta ~ = ~ 0 . 0 0 0 1$ (larger than the theoretical guarantee, $\\begin{array} { r } { \\eta = \\frac { ( 1 - \\gamma ) ^ { 3 } } { 2 \\gamma A _ { \\mathrm { m a x } } n } \\approx 1 e - 0 8 } \\end{array}$ , of Theorem 4.2). Experiments with randomly generated learning rates for each agent, non-deterministic transitions between states and different weights at each facility in the distancing state (which result in non-MPG structure) produce qualitatively equivalent results and are presented in Appendix E. ", + "bbox": [ + 173, + 178, + 825, + 268 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Results. The left panel of Figure 5 shows that the agents learn the expected Nash profile in both states in all runs. Importantly, this (Nash) policy profile is deterministic in line with Theorem 4.2. The panels in the middle and right columns depict the L1-accuracy in the policy space at each iteration which is defined as the average distance between the current policy and the final policy of all 8 agents, i.e., L1-accuracy $\\begin{array} { r } { = \\frac { 1 } { N } \\sum _ { i \\in \\mathcal { N } } \\left| \\pi _ { i } - \\pi _ { i } ^ { \\mathrm { f n a l } } \\right| = \\frac { 1 } { N } \\sum _ { i \\in \\mathcal { N } } \\sum _ { s } \\dot { \\sum _ { a } } \\left| \\tilde { \\pi } _ { i } ( a \\mid s ) - \\pi _ { i } ^ { \\mathrm { f n a l } } ( a \\stackrel { . } { | } s ) \\right| } \\end{array}$ . ", + "bbox": [ + 173, + 272, + 825, + 345 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/3c9808645c27daa7aa3499ae9c5817120dc7d500d8f3759ab503a9814fd78b7d.jpg", + "image_caption": [ + "Figure 5: Policy gradient in the 2-state MDP with 8 agents of Section 5. In all runs, the 8 agents learn one of the deterministic Nash policies that leads to the optimal distribution among states (left). Individual trajectories of the L1-accuracy and averages (with 1-standard deviation error bars) show fast convergence in all cases (middle and right columns). " + ], + "image_footnote": [], + "bbox": [ + 176, + 356, + 815, + 472 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 CONCLUSIONS AND FUTURE DIRECTIONS ", + "text_level": 1, + "bbox": [ + 174, + 545, + 555, + 561 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We presented positive results about the performance of independent policy gradient in Markov Potential Games (MPGs), a class of multi-agent MDPs that naturally generalize normal-form potential games (games in which agents have aligned incentives) to state-based interactions. We found that MPGs exhibit a richer structure than intuitively expected (e.g., they include MDPs that can be purely competitive at some states), but retain important regularity properties, most importantly, the existence of deterministic Nash policies. In our main result, we showed that independent policy gradient with simultaneous updates converges at a polynomial rate in the approximation error to a Nash policy profile even in the case of finite samples (in that case, using direct parameterization with greedy exploration). MPGs are a first step to cover the gap between the extremes of pure coordination (single-agent or MDPs with identical agents) and pure competition (two-agents, zero-sum MDPs). ", + "bbox": [ + 173, + 575, + 825, + 715 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Open Questions. Our examples and counter-examples of MPGs suggest that multi-agent coordination in state-based interactions is still far from understood and constitutes a major direction for future research in which techniques from cooperative AI (Kao et al., 2021; Mao et al., 2021) or linear MDPs (Jin et al., 2020) may turn out to be particularly useful. From an algorithmic perspective, a second direction for future work involves the analysis of policy gradient with different parameterizations (Agarwal et al., 2020) or of other naturally motivated online learning algorithms (Kleinberg et al., 2009; Panageas et al., 2018; Mehta et al., 2015) and the adaptation of advanced techniques (Cohen et al., 2017; Lee et al., 2019) to reproduce convergence and equilibrium selection results from normalform to state-based (Markov) games. Alternatively, it would be interesting to test whether complex behavior (e.g., limit cycles, periodic orbits) of learning dynamics that has been observed in restricted normal-form settings Mertikopoulos et al. (2018); Vlatakis-Gkaragkounis et al. (2020) also emerges in the context of exact, weighted, or ordinal MPGs. Finally, turning to efficiency aspects, it would be interesting to measure the losses due to lack of coordination between agents, e.g., via a Price of Anarchy type of analysis Koutsoupias & Papadimitriou (1999); Roughgarden & Tardos (2002). ", + "bbox": [ + 173, + 729, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 104, + 326, + 117 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This research/project is supported in part by the National Research Foundation, Singapore under its AI Singapore Program (AISG Award No: AISG2-RP-2020-016), NRF 2018 Fellowship NRF-NRFF2018-07, NRF2019-NRF-ANR095 ALIAS grant, grant PIE-SGP-AI-2020-01, AME Programmatic Fund (Grant No. A20H6b0151) from the Agency for Science, Technology and Research $( \\mathbf { A } ^ { * } \\mathbf { S } \\mathbf { T } \\mathbf { A } \\mathbf { R } )$ ), Provost’s Chair Professorship grant RGEPPV2101 and by EPSRC grant EP/R018472/1. ", + "bbox": [ + 174, + 127, + 826, + 198 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REPRODUCIBILITY STATEMENT ", + "text_level": 1, + "bbox": [ + 176, + 215, + 393, + 229 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We included additional technical materials and complete proofs of all the claims and results of the main part in the appendix. We also uploaded the code that was used to run the experiments (policy gradient algorithm) as supplementary material. ", + "bbox": [ + 174, + 241, + 823, + 284 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 174, + 304, + 285, + 319 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "A. Agarwal, S. M. Kakade, J. D. Lee, and G. Mahajan. Optimality and Approximation with Policy Gradient Methods in Markov Decision Processes. In J. Abernethy and S. Agarwal (eds.), Proceedings of 33rd Conference on Learning Theory, volume 125 of PMLR, pp. 64–66, 2020. 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Ren, and N. Li. Gradient play in stochastic games: stationary points, convergence, and sample complexity, 2021. ", + "bbox": [ + 174, + 157, + 823, + 188 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Y. Zhao, Y. Tian, J. D. Lee, and S. S. Du. Provably Efficient Policy Gradient Methods for Two-Player Zero-Sum Markov Games. CoRR, abs/2102.08903, 2021. ", + "bbox": [ + 176, + 198, + 825, + 227 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A ADDITIONAL NOTATION AND DEFINITIONS: SECTION 2 ", + "text_level": 1, + "bbox": [ + 176, + 256, + 673, + 273 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We first provide some additional notation and definitions that will be used in the proofs. ", + "bbox": [ + 171, + 287, + 748, + 304 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Q-value and Advantage Functions. Recall from the main part that the value function, $V _ { s } ^ { i } : \\Pi $ $\\mathbb { R }$ , gives the expected reward of agent $i \\in \\mathcal N$ when $s _ { 0 } ~ = ~ s$ and the agents draw their actions, $\\mathbf { a } _ { t } = \\left( a _ { i , t } , \\mathbf { a } _ { - i , t } \\right)$ , at time $t \\geq 0$ from policies $\\pi = ( \\pi _ { i } , \\pi _ { - i } )$ and is defined as ", + "bbox": [ + 173, + 319, + 826, + 363 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/81dd92bc3534fc250caa52ff7ec4ea2d658db1c2c4938d2a95b9cb5f5cbd5da5.jpg", + "text": "$$\nV _ { s } ^ { i } ( \\pi ) : = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } r _ { i , t } \\mid s _ { 0 } = s \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 359, + 369, + 637, + 398 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Similarly, we will write $V _ { \\rho } ^ { i } ( \\pi ) : = \\mathbb { E } _ { s _ { o } \\sim \\rho } [ V _ { s } ^ { i } ( \\pi ) ]$ to denote the expected value of agent $i \\in \\mathcal N$ under the initial state distribution $\\rho$ . ", + "bbox": [ + 173, + 406, + 821, + 435 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "For any state $s \\in { \\mathcal { S } }$ , the $\\mathbf { Q }$ -value function $Q _ { s } ^ { i } : \\mathcal { P } \\times \\mathcal { A } \\mathbb { R }$ and the advantage function $A _ { s } ^ { i }$ : $\\mathcal { P } \\times \\mathcal { A } \\mathbb { R }$ of agent $i \\in \\mathcal N$ are defined as ", + "bbox": [ + 173, + 440, + 823, + 472 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/445b0bee8e7157e6679d80a4644c0aa01b0044e2f962a4a7f8e109a6359bbd68.jpg", + "text": "$$\n\\begin{array} { r l } & { Q _ { s } ^ { i } ( \\pi , \\mathbf { a } ) : = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } r _ { i , t } \\mid s _ { 0 } = s , \\mathbf { a } _ { 0 } = \\mathbf { a } \\right] , \\mathrm { ~ a n d ~ } } \\\\ & { A _ { s } ^ { i } ( \\pi , \\mathbf { a } ) : = Q _ { s } ^ { i } ( \\pi , \\mathbf { a } ) - V _ { s } ^ { i } ( \\pi ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 308, + 477, + 692, + 534 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Discounted State Distribution. It will be useful to define the discounted state visitation distribution $d _ { s _ { 0 } } ^ { \\pi } ( s )$ for $s \\in S$ that is induced by a (joint) policy $\\pi$ as ", + "bbox": [ + 173, + 545, + 826, + 575 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/eafe597b956b2848360823ef5ef490d3f89c18ccbcf2d98d34bee39c62a75672.jpg", + "text": "$$\nd _ { s _ { 0 } } ^ { \\pi } ( s ) : = ( 1 - \\gamma ) \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\mathrm { P r } ^ { \\pi } ( s _ { t } = s \\mid s _ { 0 } ) , \\quad \\mathrm { ~ f o r ~ a l l ~ } s \\in \\mathcal S .\n$$", + "text_format": "latex", + "bbox": [ + 292, + 583, + 705, + 611 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "As for the value function, we will also write $d _ { \\rho } ^ { \\pi } ( s ) = \\mathbb { E } _ { s _ { 0 } \\sim \\rho } [ d _ { s _ { 0 } } ^ { \\pi } ( s ) ]$ to denote the discounted state visitation distribution when the initial state distribution is $\\rho$ . ", + "bbox": [ + 174, + 617, + 823, + 647 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B OMITTED MATERIALS: SECTION 3 ", + "text_level": 1, + "bbox": [ + 174, + 667, + 498, + 685 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Proposition B.1 (Separability of Value Functions and Equality of Derivatives). Let $\\mathcal { G } = ( \\mathcal { S } , \\mathcal { N } , \\mathcal { A } =$ $\\{ \\mathcal { A } _ { i } \\} _ { i \\in \\mathcal { N } } , P , R , \\rho )$ be a Markov Potential Game (MPG) with potential $\\Phi _ { s }$ , for $s \\in S$ . Then, for the value function $V _ { s } ^ { i } , s \\in \\mathcal { S }$ of each agent $i \\in \\mathcal N$ , the following hold ", + "bbox": [ + 173, + 699, + 826, + 743 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "$P l$ . Separability of Value Functions: there exists a function $U _ { s } ^ { i } : \\Delta ( \\mathcal { A } _ { - i } ) ^ { S } \\mathbb { R }$ such that for each joint policy profile $\\pi = ( \\pi _ { i } , \\pi _ { - i } ) \\in \\Delta ( { \\cal A } ) ^ { S }$ , we have $V _ { s } ^ { i } ( \\pi ) = \\bar { \\Phi } _ { s } ( \\pi ) + U _ { s } ^ { i } ( \\pi _ { - i } )$ . ", + "bbox": [ + 173, + 746, + 820, + 777 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "$P 2$ . Equality of Derivatives: the partial derivatives of agent i’s value function $V _ { s } ^ { i }$ coincide with the partial derivatives of the potential $\\Phi _ { s }$ that correspond to agent i’s parameters, i.e., $\\partial _ { x _ { i , s , a } } V _ { s } ^ { i } ( \\pi ) =$ $\\partial _ { x _ { i , s , a } } \\Phi _ { s } ( \\pi )$ , for all $i \\in \\mathcal N$ and all $s \\in S$ . ", + "bbox": [ + 173, + 781, + 825, + 825 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Proof. To obtain P1, consider any 3 arbitrary policies for agent $i$ , notated by $\\pi _ { i } , \\pi _ { i } ^ { \\prime } , \\pi _ { i } ^ { \\prime \\prime } \\in \\Delta ( \\mathcal { A } _ { i } ) ^ { S }$ Then, by the definition of MPGs, we have that ", + "bbox": [ + 171, + 847, + 825, + 876 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/a5415dcf5323a5a51c99174d13404dc5ca2fefba5c1380181b072ae2ad2eba95.jpg", + "text": "$$\n\\begin{array} { r l } & { \\Phi _ { s } ( \\pi _ { i } , \\pi _ { - i } ) - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) = V _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ) - V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) , } \\\\ & { \\Phi _ { s } ( \\pi _ { i } , \\pi _ { - i } ) - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime \\prime } , \\pi _ { - i } ) = V _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ) - V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime \\prime } , \\pi _ { - i } ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 303, + 881, + 691, + 922 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "for every starting state $s \\in S$ . This implies that we can write $V _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } )$ as both ", + "bbox": [ + 171, + 102, + 704, + 119 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/a838b9c6c8b97da63483c0b91573ae4257c126b4618e0332e6cc4a86a8904787.jpg", + "text": "$$\n\\begin{array} { r l } & { V _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ) = \\Phi _ { s } ( \\pi _ { i } , \\pi _ { - i } ) - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) + V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) } \\\\ & { V _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ) = \\Phi _ { s } ( \\pi _ { i } , \\pi _ { - i } ) - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime \\prime } , \\pi _ { - i } ) + V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime \\prime } , \\pi _ { - i } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 303, + 123, + 691, + 166 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Thus, we have that $- \\Phi _ { s } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) + V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) = - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime \\prime } , \\pi _ { - i } ) + V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime \\prime } , \\pi _ { - i } )$ for any arbitrary pair of policies $\\pi _ { i } ^ { \\prime }$ and $\\pi _ { i } ^ { \\prime \\prime }$ for agent $i$ , implying that agent $i$ ’s policy has no impact on these terms. Accordingly, we can express them as ", + "bbox": [ + 173, + 176, + 825, + 219 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/0f1410e5f1cb20999c6a0a27bb009b8eaf63ecff50ce4255bc6dfe02e68a830b.jpg", + "text": "$$\nU _ { s } ^ { i } ( \\pi _ { - i } ) : = - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) + V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) = - \\Phi _ { s } ( \\pi _ { i } ^ { \\prime \\prime } , \\pi _ { - i } ) + V _ { s } ^ { i } ( \\pi _ { i } ^ { \\prime \\prime } , \\pi _ { - i } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 250, + 224, + 745, + 243 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where $U _ { s } ^ { i } ( \\pi _ { - i } )$ is a function that does not depend on the policy of agent $i$ . Thus, we can express the utility function of any agent $i$ in an MPG as ", + "bbox": [ + 173, + 248, + 826, + 276 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/0fff1b0ef706970dfebae4706cf3c9583b9d5d64e20ecb434ea5df6e5b717523.jpg", + "text": "$$\nV _ { s } ^ { i } ( \\pi ) = \\Phi _ { s } ( \\pi ) + U _ { s } ^ { i } ( \\pi _ { - i } ) .\n$$", + "text_format": "latex", + "bbox": [ + 405, + 281, + 593, + 300 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "as claimed. To obtain P2, we use P1 for a vector $x _ { i }$ parameterizing $\\pi _ { i }$ , and obtain that ", + "bbox": [ + 176, + 305, + 736, + 320 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/65a9d593a01f36dd8527bc564c9bbffe2830b23a43b0a9f28f30052db3fa17f5.jpg", + "text": "$$\n\\partial _ { x _ { i , a } } V ^ { i } ( \\pi ) = \\partial _ { x _ { i , a } } \\Phi ( \\pi ) + 0\n$$", + "text_format": "latex", + "bbox": [ + 401, + 324, + 596, + 344 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "for any coordinate $x _ { i , a }$ with $a \\in A _ { i }$ of $x _ { i }$ , from which we can see that our claim is true. ", + "bbox": [ + 174, + 348, + 745, + 363 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Note that P1 serves as a characterization of MPGs. Namely, a multi-agent MDP is an MPG if and only if the value function of each agent $i \\in \\mathcal N$ can be decomposed in a term that is common for all players (potential function) and in a term that may be different for each agent $i \\in \\mathcal N$ but which depends only on the actions of all agents other than $i$ . This property carries over from normal form (single state) potential games. Also note that both properties, P1 and P2, hold for any (differentiable for P2) policy parameterization and not only for the direct one that we use here. ", + "bbox": [ + 173, + 377, + 825, + 462 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Proof of Theorem 3.1. Let $\\Phi$ be the potential function of $\\mathcal { G }$ . Since the space $\\Delta ( \\mathcal { A } ) ^ { S } = \\Delta ( \\mathcal { A } _ { 1 } ) ^ { S } \\times$ $\\ldots \\times \\bar { \\Delta ( { \\mathcal A } _ { n } ) } ^ { S }$ is compact and $\\Phi$ is continuous, $\\Phi$ has a global maximum $\\Phi _ { \\mathrm { m a x } }$ . Let $( \\pi _ { 1 } ^ { * } , . . . , \\pi _ { n } ^ { * } )$ denote a global maximizer, i.e., a joint policy profile at which $\\Phi _ { \\mathrm { m a x } }$ is attained. By the Definitions of MPGs and Nash policies, this implies, in particular, that $( \\pi _ { 1 } ^ { * } , . . . , \\pi _ { n } ^ { * } )$ is a Nash policy, since ", + "bbox": [ + 173, + 477, + 825, + 535 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/d2f01159ed106a96db211ada21bcc9f08cf2f6c9dc01cece50ef610002d09f4c.jpg", + "text": "$$\n0 < \\Phi _ { s } ( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } ) - \\Phi _ { s } ( \\pi _ { i } , \\pi _ { - i } ^ { * } ) = V _ { s } ^ { i } ( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } ) - V _ { s } ^ { i } ( \\pi _ { i } , \\pi _ { - i } ^ { * } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 289, + 539, + 707, + 559 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "for all $i \\in \\mathcal { N } , s \\in \\mathcal { S }$ and all policies $\\pi _ { i } \\in \\Delta ( \\mathcal { A } _ { i } ) ^ { S }$ . If $\\pi _ { 1 } ^ { * } , . . . , \\pi _ { n } ^ { * }$ are all deterministic we are done. So, we may assume that there exists an $i \\in \\mathcal N$ so that $\\pi _ { i } ^ { * }$ is randomized and consider the MDP $\\mathcal { G } ^ { \\prime }$ in which the policy of all agents other than $i$ has been fixed to $\\pi _ { - i } ^ { * }$ . $\\mathcal { G } ^ { \\prime }$ is a single agent MDP with the same states as $\\mathcal { G }$ , the same actions and rewards for agent $i$ and transition probabilities that are determined by the joint distribution of the environment and the joint policy of all agents other than $i$ . As a single agent MDP, this setting has a deterministic optimal policy, say $\\tilde { \\pi } _ { i }$ , for agent $i$ . Thus, it holds that ", + "bbox": [ + 173, + 564, + 826, + 661 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/f04af21e4ceafb31c551dceef7b7d0e5c09da8e4f3cf0407d06e1cb4c4ca75d2.jpg", + "text": "$$\nV _ { s } ^ { i } ( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } ) \\leq V _ { s } ^ { i } ( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } ) \\leq V _ { s } ^ { i } ( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 354, + 660, + 642, + 679 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where the first inequality follows from the fact that $\\pi ^ { * }$ is a Nash policy and the second from the optimality of $\\tilde { \\pi _ { i } }$ . It follows that ", + "bbox": [ + 171, + 681, + 823, + 709 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/99a8915dce6d7ef83b0359e88ad90d43c240f57961010e942c842aabe69743b2.jpg", + "text": "$$\nV _ { s } ^ { i } ( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } ) = V _ { s } ^ { i } ( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 403, + 713, + 591, + 733 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "i.e., the payoff of agent $i$ at $( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } )$ is the same as in $( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } )$ . Hence, by the definition of the potential function, we have that ", + "bbox": [ + 173, + 737, + 823, + 766 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/ec38b535fd4efae1ed967e3e5ece3d2c197596fea93f1f0c1052fb9669452c34.jpg", + "text": "$$\n0 = V _ { s } ^ { i } ( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } ) - V _ { s } ^ { i } ( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } ) = \\Phi _ { s } ( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } ) - \\Phi _ { s } ( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 289, + 770, + 707, + 790 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "which implies that ", + "bbox": [ + 174, + 794, + 297, + 808 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/c6d4c554f4d14f40df5b51c2fea914bf412bc563caf49d50165087ba689ab678.jpg", + "text": "$$\n\\Phi _ { s } ( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } ) = \\Phi _ { s } ( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } ) = \\Phi _ { \\mathrm { m a x } } .\n$$", + "text_format": "latex", + "bbox": [ + 375, + 808, + 620, + 824 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Thus, $( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } )$ is also a global maximizer of $\\Phi$ which implies that $( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } )$ is a Nash policy by the same reasoning as in equation equation $^ *$ . Note that the value of all players other than $i$ may not be the same at the joint policy profile $( \\tilde { \\pi } _ { i } , \\pi _ { - i } ^ { * } )$ as it is in $( \\pi _ { i } ^ { * } , \\pi _ { - i } ^ { * } )$ . However, what we need for our purpose is that this step reduces the number of randomized policies by one and that it retains the value of the potential function invariant at its global maximum (which ensures that the ensuing policy profile is also a Nash policy). By iterating this process until $\\pi _ { j } ^ { * }$ becomes deterministic for all agents $j \\in \\mathcal N$ , we obtain the claim. □ ", + "bbox": [ + 173, + 825, + 825, + 924 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Proof of Proposition 3.2. The proof is constructive and proceeds by finding the potential function, $\\Phi _ { s } , s \\in { \\cal S }$ in both cases, C1-C2. Since the individual rewards of the agents at each state $s \\in S$ are captured by a potential function $\\phi _ { s }$ , then for the reward, $R _ { i } ( s , \\mathbf { a } )$ of each agent $i$ at the action profile a, it holds that ", + "bbox": [ + 173, + 103, + 825, + 159 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/6d44ac01337edd993661222a7ecb4b65d8c6c4904e4f91337607085ec544a6b9.jpg", + "text": "$$\nR _ { i } ( s , \\mathbf { a } ) = \\phi _ { s } ( \\mathbf { a } ) + u _ { s } ^ { i } ( \\mathbf { a } _ { - i } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 400, + 157, + 596, + 176 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "where $u _ { s } ^ { i } : \\Delta ( \\mathcal { A } _ { - i } ) \\mathbb { R }$ is a function that does not depend on the actions of agent $i$ in any way. Thus, we may write the value function of each agent $i \\in \\mathcal N$ as ", + "bbox": [ + 169, + 179, + 825, + 208 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/68caba581565c096ae45c7e1bad49c25e39dca16faf4ac6998d33e3a68542ad2.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle V _ { s } ^ { i } ( \\pi ) = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } R _ { i } ( s _ { t } , \\mathbf { a } _ { t } ) \\mid s _ { 0 } = s \\right] } } \\\\ { { \\displaystyle \\quad \\quad = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\left( \\phi _ { s _ { t } } ( \\mathbf { a } _ { t } ) + u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\right) \\mid s _ { 0 } = s \\right] } } \\\\ { { \\displaystyle \\quad \\quad = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\phi _ { s _ { t } } ( \\mathbf { a } _ { t } ) \\mid s _ { 0 } = s \\right] + \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\mid s _ { 0 } = s \\right] } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 218, + 213, + 785, + 299 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "where $\\tau \\sim \\pi$ is the random trajectory generated by policy $\\pi$ . To show that $\\mathcal { G }$ is an MPG, it suffices to show that the value function of each agent $i \\in \\mathcal N$ can be decomposed in a term that is common for all agents (and which may depend on the actions of agent $i \\in \\mathcal { N }$ ) and in a term that does not depend (in any way) in the actions of agent $i$ (dummy term), cf. Proposition B.1. The first term in expression equation $\\star$ , i.e., $\\begin{array} { r } { \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\phi _ { s _ { t } } ( \\mathbf { a } _ { t } ) \\ \\middle \\vert \\ \\middle \\vert \\ s _ { 0 } = s \\right] . } \\end{array}$ , depends on the actions of all players and is common for all agents $i \\in \\mathcal N$ (and is thus, a good candidate for the potential function). The second term in expression equation $\\star$ , i.e., $\\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\ | \\ s _ { 0 } = s \\right]$ , does not depend on player $i$ via the payoffs $u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } )$ , but, in general, it does depend on player $i$ via the transitions, $\\tau \\sim \\pi$ . The two cases in the statement of Proposition 3.2 ensure precisely that this term is independent of the policy of agent $i$ , in which case it is a dummy term for agent $i$ or that it is also common for all players and hence, that it can be included in the potential function. ", + "bbox": [ + 173, + 303, + 826, + 459 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Condition C1. If the transitions do not depend on the action of the players, we have that $\\tau \\sim P$ , where $P$ is an exogenously given distribution function (state-wise). In this case, we have that ", + "bbox": [ + 174, + 474, + 825, + 503 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/cd69c26c1274750d17b74f835942f325f4ee837a808118128219059cf2a29602.jpg", + "text": "$$\n\\Phi _ { s } ( \\pi ) : = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\phi _ { s _ { t } } ( \\mathbf { a } _ { t } ) \\mid s _ { 0 } = s \\right]\n$$", + "text_format": "latex", + "bbox": [ + 359, + 510, + 640, + 554 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "is a potential function and $\\begin{array} { r } { U _ { s } ^ { i } ( \\pi _ { - i } ) : = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\mid s _ { 0 } = s \\right] } \\end{array}$ is a dummy term that does not depend (in any way) on the policy of agent $i \\in \\mathcal N$ which proves the claim. ", + "bbox": [ + 173, + 560, + 825, + 590 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Condition C2. We will show again that ", + "bbox": [ + 173, + 599, + 434, + 614 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/62d67227f924de8e82ea3965965f7410de8ddbd9b1e1bd8d909618242a58018a.jpg", + "text": "$$\n\\Phi _ { s ^ { \\prime } } ( \\pi ) : = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\phi _ { s _ { t } } ( \\mathbf { a } ) \\mid s _ { 0 } = s ^ { \\prime } \\right]\n$$", + "text_format": "latex", + "bbox": [ + 357, + 621, + 640, + 664 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "is a potential function for $G$ and that the same decomposition as in condition C1 of the value function of agent $i$ in a common and a dummy term applies. To see this, let $\\pi _ { i } , \\pi _ { i } ^ { \\prime } \\in \\Pi _ { i }$ be two policies of agent $i$ and let $\\pi = ( \\pi _ { i } , \\pi _ { - i } ) , \\pi ^ { \\prime } = ( \\bar { \\pi _ { i } ^ { \\prime } } , \\pi _ { - i } )$ where $\\pi _ { - i }$ is the fixed policy of all agents other than $i$ . Then, using equation $\\star$ , we have that ", + "bbox": [ + 173, + 670, + 826, + 727 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/ca8135049abd2eae2b083c72ed32d47b2b3546fb221cdd1f5afa5ee5b4c01606.jpg", + "text": "$$\n\\begin{array} { r l } & { \\displaystyle V _ { s ^ { \\prime } } ^ { i } ( \\pi ) - V _ { s ^ { \\prime } } ^ { i } ( \\pi ^ { \\prime } ) = } \\\\ & { \\displaystyle = \\Phi _ { s ^ { \\prime } } ( \\pi ) - \\Phi _ { s ^ { \\prime } } ( \\pi ^ { \\prime } ) + \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\mid s _ { 0 } = s ^ { \\prime } \\right] - \\mathbb { E } _ { \\tau \\sim \\pi ^ { \\prime } } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\mid s _ { 0 } = s ^ { \\prime } \\right] . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 731, + 823, + 795 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "The intermediate value theorem implies that there exists a policy $\\xi _ { i }$ which is a convex combination of $\\pi _ { i } , \\pi _ { i } ^ { \\prime }$ such that ", + "bbox": [ + 174, + 801, + 825, + 829 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/fe0b646a7c9c7f4c8f70e79f90b0889b71ae28ab8e6d6891d62bd4ee7057f77e.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\displaystyle \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\mid s _ { 0 } = s ^ { \\prime } \\right] - \\mathbb { E } _ { \\tau \\sim \\pi ^ { \\prime } } \\left[ \\displaystyle \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\mid s _ { 0 } = s ^ { \\prime } \\right] } \\\\ & { \\qquad = ( \\pi _ { i } - \\pi _ { i } ^ { \\prime } ) ^ { \\top } \\nabla _ { \\pi _ { i } } \\mathbb { E } _ { \\tau \\sim ( \\xi _ { i } , \\pi _ { - i } ) } \\left[ \\displaystyle \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\mid s _ { 0 } = s ^ { \\prime } \\right] } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 183, + 835, + 813, + 925 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "The displayed condition in C2 implies that ", + "bbox": [ + 174, + 103, + 455, + 118 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/2b95b7f197b5ad47a640f0550f0e340631a875cfa1115519251c095cb4ad142b.jpg", + "text": "$$\n\\nabla _ { \\pi _ { i } } \\mathbb { E } _ { \\tau \\sim ( \\xi _ { i } , \\pi _ { - i } ) } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } u _ { s _ { t } } ^ { i } ( \\mathbf { a } _ { - i , t } ) \\mid s _ { 0 } = s ^ { \\prime } \\right] = ( c _ { s } \\mathbf { 1 } ) _ { s \\in \\mathcal { S } } ,\n$$", + "text_format": "latex", + "bbox": [ + 303, + 125, + 692, + 167 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "which is enough to ensure that the dot product in the previous equation is equal to 0 since $\\pi _ { i } , \\pi _ { i } ^ { \\prime }$ correspond to probability distributions at every state $s \\in { \\mathcal { S } }$ , and the sum of their component-wise differences is equal to 0. This proves the claim. ", + "bbox": [ + 173, + 175, + 825, + 217 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Summing up, in both cases, C1-C2, $\\mathcal { G }$ is an MPG as claimed. ", + "bbox": [ + 173, + 233, + 573, + 250 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Note that the proof of the (trivial) case in which the instantaneous rewards of all agents $i \\in \\mathcal N$ are equal at each state $s \\in S$ is similar. In this case, it is immediate to see that the instantaneous rewards are precisely given by the potential function at that state, i.e., it holds that $R _ { i } ( s , \\mathbf { a } ) = \\phi _ { s } ( \\mathbf { a } )$ for all $i \\in \\mathcal N$ and all $s \\in S$ . In this case, it holds that $u _ { s } ^ { i } ( \\mathbf { a } _ { - i } ) \\equiv 0$ for all $i \\in \\mathcal N$ and all $s \\in S$ and hence, ", + "bbox": [ + 173, + 265, + 825, + 323 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/39e337bc86a14330d0a6178adfeb401a4694ce12578dd6ded8fc0e12caa9ea02.jpg", + "text": "$$\n\\Phi _ { s } ( \\pi ) : = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\phi _ { s _ { t } } ( \\mathbf { a } ) \\mid s _ { 0 } = s \\right]\n$$", + "text_format": "latex", + "bbox": [ + 362, + 329, + 635, + 372 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "is a potential function for $G$ , and the dummy terms are all equal to 0, i.e., $U _ { s } ^ { i } ( \\pi _ { - i } ) \\equiv 0$ . ", + "bbox": [ + 171, + 378, + 746, + 395 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "B.1 EXAMPLES ", + "text_level": 1, + "bbox": [ + 173, + 411, + 295, + 426 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Example 1 (Continued). We prove the claim that $\\mathcal { G }$ cannot have a deterministic Nash policy profile. To obtain a contradiction, assume that agent $A$ is using a deterministic action $a _ { A } ^ { 0 } \\in \\bar { \\{ 0 , 1 \\} }$ at state 0. Then, agent $B$ , who prefers to move to state 1, will optimize their utility by choosing the action $a _ { B } ^ { 0 } \\in \\{ 0 , \\bar { 1 } \\}$ that yields ${ \\bf \\dot { \\mu } } _ { A } ^ { 0 } \\oplus { \\bf \\dot { \\mu } } _ { B } ^ { 0 } = 1$ . In other words, given any deterministic action of agent $A$ at state 0, agent can choose an action that always moves the sequence of play to state 1. Thus, such an action cannot be optimal for agent $A$ which implies that the MDP does not have a deterministic optimal policy profile as claimed. ", + "bbox": [ + 173, + 436, + 826, + 536 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Example 2 (Continued). At each state, $s \\in \\{ 0 , 1 \\}$ , the agents’ payoffs, $( R _ { s } ^ { 1 } , R _ { s } ^ { 2 } )$ , form a potential game (at that state), and are given as follows ", + "bbox": [ + 171, + 539, + 825, + 569 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/7de7157fbde2144127cc8b95ea3ceb4b39301cd3f1870c22c55daba1c6531553.jpg", + "text": "$$\n\\mathrm { S t a t e } \\ 0 : \\ ( R _ { 0 } ^ { 1 } , R _ { 0 } ^ { 2 } ) = \\ 0 \\left( \\begin{array} { r r r } { { 0 } } & { { 1 } } & { { } } \\\\ { { 5 , \\ 2 } } & { { - 1 , - 2 } } \\\\ { { - 5 , - 4 } } & { { 1 , \\ 4 } } \\end{array} \\right) , \\ \\mathrm { w i t h ~ p o t e n t i a l } \\ \\Phi _ { 0 } = \\left( \\begin{array} { r r } { { 4 } } & { { 0 } } \\\\ { { - 6 } } & { { 2 } } \\end{array} \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 223, + 575, + 771, + 635 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "$\\mathrm { S t a t e \\ 1 : ~ } ( R _ { 1 } ^ { 1 } , R _ { 1 } ^ { 2 } ) = ( 0 , 0 )$ , with potential $\\Phi _ { 1 } = 0$ . ", + "bbox": [ + 225, + 642, + 581, + 660 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "In this MDP, agents need only to select an action at state $s _ { 0 }$ . Thus, we will denote a policy, $\\pi _ { 1 }$ , of agent 1 by $\\pi _ { 1 } = ( p , 1 - p )$ where $p \\in [ 0 , 1 ]$ is the probability with which agent $A$ selects action 0 at state $s _ { 0 }$ . Similarly, we will denote a policy, $\\pi _ { 2 }$ , of agent $B$ by $\\pi _ { 2 } = ( q , 1 - q )$ where $q \\in [ 0 , 1 ]$ is the probability with which agent $B$ selects action 0 at state $s _ { 0 }$ . Moreover, we will slightly abuse notation and write ", + "bbox": [ + 173, + 674, + 826, + 742 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/dd51fe2cd08359dd2786e1cff7f98121f1e8b544a5a9a53730b259eb58660e25.jpg", + "text": "$$\n\\begin{array} { r } { R _ { 0 } ^ { i } ( \\pi ) = R _ { 0 } ^ { i } ( \\pi _ { 1 } , \\pi _ { 2 } ) = \\pi _ { 1 } ^ { \\top } R _ { 0 } ^ { i } \\pi _ { 2 } = [ p , 1 - p ] R _ { 0 } ^ { i } [ q , 1 - q ] ^ { \\top } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 300, + 741, + 697, + 761 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We also assume that the horizon is infinite and there is a discount factor $\\gamma \\in [ 0 , 1 )$ . Accordingly, we can calculate the value functions $V _ { 0 } ^ { i } ( \\pi _ { 1 } , \\pi _ { 2 } )$ of agents $i = A , B$ starting from state $s _ { 0 }$ as follows, ", + "bbox": [ + 174, + 763, + 823, + 792 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/6ffdede74cbced4c56f8b8be535e213e900582d79f3bf49c12652d17d80a2a89.jpg", + "text": "$$\nV _ { 0 } ^ { i } ( \\pi ) = R _ { 0 } ^ { i } ( \\pi ) + \\gamma p q V _ { 0 } ^ { i } ( \\pi ) - \\gamma ( 1 - p q ) \\times 0\n$$", + "text_format": "latex", + "bbox": [ + 343, + 799, + 655, + 819 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "which yields the solution ", + "bbox": [ + 173, + 825, + 339, + 839 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/db039b5e1dc0809c65e7a32d3d47e4c35c367895bc85659360f572e3d049d0bf.jpg", + "text": "$$\nV _ { 0 } ^ { i } ( \\pi ) = \\frac { R _ { 0 } ^ { i } ( \\pi ) } { 1 - \\gamma p q } , \\quad \\mathrm { f o r } i = A , B .\n$$", + "text_format": "latex", + "bbox": [ + 380, + 847, + 616, + 882 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Next, we use the Performance Difference Lemma (Lemma 3.2 by Agarwal et al. (2020)) to determine the difference in the value between two different policies. We will do this for agent 1 (the calculation ", + "bbox": [ + 173, + 895, + 823, + 924 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "is similar for agent 2: we use here 1 for agent 1 and 2 for agent $B$ ). For a policy $\\pi = ( \\pi _ { 1 } , \\pi _ { 2 } )$ , we have at state $s _ { 0 }$ that ", + "bbox": [ + 171, + 102, + 825, + 133 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/4eff615b2c93dbea15f3fc34a4e9f6ddddb91ff64956d770fb0b1e54a7e2d096.jpg", + "text": "$$\n\\begin{array} { r l } & { \\boldsymbol { \\mathbb { E } } _ { a \\sim \\pi _ { 1 } ( \\cdot \\vert s _ { 0 } ) } [ A _ { 0 } ^ { 1 } ( \\pi ^ { \\prime } , \\mathbf { a } ) ] = p A _ { 0 } ^ { 1 } ( \\pi ^ { \\prime } , 0 , a _ { 2 } ) + ( 1 - p ) A ^ { 1 } ( \\pi ^ { \\prime } , 1 , a _ { 2 } ) } \\\\ & { \\phantom { \\sum } = p \\left[ R _ { 0 } ^ { 1 } ( 0 , \\pi _ { 2 } ) + \\gamma q V _ { 0 } ( \\pi ^ { \\prime } ) - V _ { 0 } ( \\pi ^ { \\prime } ) \\right] + ( 1 - p ) \\left[ R _ { 0 } ^ { 1 } ( 1 , \\pi _ { 2 } ) + 0 - V _ { 0 } ( \\pi ^ { \\prime } ) \\right] } \\\\ & { \\phantom { \\sum } = p R _ { 0 } ^ { 1 } ( 0 , \\pi _ { 2 } ) + ( 1 - p ) R _ { 0 } ^ { 1 } ( 0 , \\pi _ { 2 } ) - ( 1 - \\gamma p q ) V _ { 0 } ( \\pi ^ { \\prime } ) } \\\\ & { \\phantom { \\sum } = R _ { 0 } ^ { 1 } ( \\pi ) - ( 1 - \\gamma p q ) V _ { 0 } ( \\pi ^ { \\prime } ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 132, + 823, + 236 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "At state $s _ { 1 }$ , there is only one available action for each agent which yields a payoff of 0. Thus, ", + "bbox": [ + 173, + 238, + 784, + 253 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/b670112307cc80246853cd9d3aea32bf7721d7121e2a2c8ff9e632dcf59be487.jpg", + "text": "$$\n\\begin{array} { r } { \\mathbb { E } _ { a \\sim \\pi _ { 1 } ( \\cdot | s _ { 1 } ) } [ A _ { 1 } ^ { 1 } ( \\pi ^ { \\prime } , \\mathbf { a } ) ] = 0 . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 406, + 255, + 588, + 275 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Moreover, concerning the discounted visitation distribution, we have that ", + "bbox": [ + 174, + 276, + 655, + 291 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/9e0c0a9e30439de8754d8eaf2f66b25ee6111cd7fa2cd32f691def29c1fd2862.jpg", + "text": "$$\nd _ { 0 } ^ { \\pi } ( s _ { 0 } ) = ( 1 - \\gamma ) \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\mathrm { P r } ^ { \\pi } ( s _ { t } = s _ { 0 } \\mid s _ { 0 } ) = ( 1 - \\gamma ) \\left[ 1 + \\gamma p q + ( \\gamma p q ) ^ { 2 } + . . . \\right] = \\frac { 1 - \\gamma } { 1 - \\gamma p q } ,\n$$", + "text_format": "latex", + "bbox": [ + 191, + 295, + 803, + 335 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "and $\\begin{array} { r } { d _ { 0 } ^ { \\pi } ( s _ { 1 } ) = 1 - d _ { 0 } ^ { \\pi } ( s _ { 0 } ) = \\frac { \\gamma ( 1 - p q ) } { 1 - \\gamma p q } . } \\end{array}$ . Thus, using all the above, we have that ", + "bbox": [ + 173, + 339, + 679, + 359 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/8801f9194bc02b642094861c19cc7a18968695b3689c48decea443cdb15e2605.jpg", + "text": "$$\n\\begin{array} { l } { { V _ { 0 } ( \\pi ) - V _ { 0 } ( \\pi ^ { \\prime } ) = \\displaystyle \\frac { 1 } { 1 - \\gamma } \\left[ \\frac { 1 - \\gamma } { 1 - \\gamma p q } \\cdot ( R _ { 0 } ^ { 1 } ( \\pi ) - ( 1 - \\gamma p q ) V _ { 0 } ( \\pi ^ { \\prime } ) ) + \\frac { \\gamma ( 1 - p q ) } { 1 - \\gamma p q } \\cdot 0 \\right] } } \\\\ { { \\displaystyle \\qquad = \\frac { R _ { 0 } ^ { 1 } ( \\pi ) } { 1 - \\gamma p q } - V _ { 0 } ( \\pi ^ { \\prime } ) = V _ { 0 } ( \\pi ) - V _ { 0 } ( \\pi ^ { \\prime } ) . } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 220, + 363, + 777, + 435 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "which shows that our initial calculations conform with the outcome specified by the Performance Difference Lemma. ", + "bbox": [ + 176, + 435, + 823, + 464 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Finally, a direct calculation shows that $\\Phi _ { s } = \\phi _ { s }$ for $s = 0 , 1$ is a valid potential function for which the MDP is an ordinal MPG. ", + "bbox": [ + 174, + 470, + 821, + 498 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Example 3 (Continued). At state $s _ { 0 }$ , we consider the game with action sets $A _ { 1 } ( s _ { 0 } ) = A _ { 2 } ( s _ { 0 } ) =$ $\\{ H , T \\}$ and (instantaneous) payoffs ", + "bbox": [ + 173, + 502, + 821, + 531 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/8f4e3b62fc720c73ea49fbf013b5835c280a7a859f816ba8799f101a4b329585.jpg", + "text": "$$\nR _ { 1 } ( s _ { 0 } , a _ { 1 } , a _ { 2 } ) = { \\cfrac { H } { T } } \\ { \\left( \\begin{array} { l l } { \\quad H } & { T } \\\\ { 1 } & { - 1 } \\\\ { - 1 } & { \\quad 1 } \\end{array} \\right) } \\quad { \\mathrm { a n d } } \\quad R _ { 2 } ( s _ { 0 } , a _ { 1 } , a _ { 2 } ) = { \\cfrac { H } { T } } \\ { \\left( \\begin{array} { l l } { - 1 } & { \\quad 1 } \\\\ { 1 } & { - 1 } \\end{array} \\right) } ,\n$$", + "text_format": "latex", + "bbox": [ + 241, + 534, + 756, + 585 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "where $a _ { 1 }$ denotes the action of agent 1 and $a _ { 2 }$ the action of agent 2 (agent 1 selects rows and agent 2 selects columns in both matrices). This is a constant sum game (equivalent to zero-sum) and hence, it is not an (ordinal) potential game. Apart from the instantaneous rewards, agents’ actions at $s _ { 0 }$ induce a deterministic transition to a state in which the only available actions to the agents are precisely the actions that they chose at state $s _ { 0 }$ and their instantaneous rewards at this state are the rewards of the other agent at $s _ { 0 }$ . In particular, there are four possible transitions to states $s _ { a b }$ with $a , b \\in \\{ H , T \\}$ , with action sets and instantaneous rewards given by ", + "bbox": [ + 173, + 588, + 826, + 685 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/bedf661abaeff30b4dd282c3118d763781e315f71581d7147483ef3fdf7dc21e.jpg", + "text": "$$\nA _ { 1 } ( s _ { a b } ) = \\{ a \\} , A _ { 2 } ( s _ { a b } ) = \\{ b \\} , \\quad R _ { 1 } ( s _ { a b } , a , b ) = R _ { 2 } ( s _ { 0 } , b , a ) , \\ R _ { 2 } ( s _ { a b } , a , b ) = R _ { 1 } ( s _ { 0 } , b , a ) ,\n$$", + "text_format": "latex", + "bbox": [ + 191, + 689, + 805, + 707 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "for agents 1 and 2, respectively. Note that the visitation probability of this states is equal to the visitation probability of state $s _ { 0 }$ . After visiting one of these states, the MDP transitions to state $s _ { 1 }$ which is a potential game, with potential function given by ", + "bbox": [ + 174, + 709, + 825, + 752 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/cdae845de84d2f38ff5a931f37e6d176b51479b8f057ae4a13e2e88eeee10a1c.jpg", + "text": "$$\n\\begin{array} { r l } { L } & { { } R } \\\\ { \\Phi _ { 1 } = \\mathbf { \\Phi } _ { R } ^ { L } \\left( \\begin{array} { l l } { 4 } & { 3 } \\\\ { 3 } & { 0 } \\end{array} \\right) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 431, + 755, + 566, + 806 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "As mentioned above, the game in state $s _ { 0 }$ does not admit a potential function. However, the joined rewards $R J _ { 1 } , R J _ { 2 }$ of agents 1 and 2 which result from selecting an action profile $( a , b ) \\in H , T ^ { 2 }$ at $s _ { 0 }$ and then traversing both $s _ { 0 }$ and the ensuing $s _ { a b }$ (part included in the dotted rectangle in Figure 3), do admit a potential function. The potential function in this case is the sum of agents’ rewards and is given by ", + "bbox": [ + 173, + 808, + 825, + 878 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/9615e0ba0b7d48c68d82894e713b58a51ce4eb56fd3553120b1b76a204202238.jpg", + "text": "$$\n\\Phi _ { 0 a b } = \\frac { H } { T } \\left( \\begin{array} { c c } { { H } } & { { T } } \\\\ { { 1 - 1 } } & { { 1 - 1 } } \\\\ { { 1 - 1 } } & { { 1 - 1 } } \\end{array} \\right) = \\frac { H } { T } \\left( \\begin{array} { c c } { { 0 } } & { { 0 } } \\\\ { { 0 } } & { { 0 } } \\end{array} \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 338, + 877, + 660, + 929 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Let $\\pi _ { 1 } = ( { \\bf x } _ { 0 } , { \\bf x } _ { 1 } )$ denote a policy of agent 1. Here $\\mathbf { x } _ { 0 } ~ = ~ ( x _ { 0 } , 1 - x _ { 0 } )$ , where $x _ { 0 } ~ \\in ~ [ 0 , 1 ]$ is the probability with which agent 1 chooses action $H$ at state $s _ { 0 }$ . Similarly, $\\mathbf { x } _ { 1 } = \\left( x _ { 1 } , 1 - x _ { 1 } \\right)$ where $x _ { 1 } ~ \\in ~ [ 0 , 1 ]$ is the probability with which agent 1 chooses action $L$ at state $s _ { 1 }$ . At states $s _ { a b } , a , b \\in \\{ H , T \\} ^ { 2 }$ , agents only have one action to choose from, so this choice is eliminated from their policy representation. Similarly, we represent a policy of agent 2 by $\\boldsymbol { \\pi } _ { 2 } = \\left( \\mathbf { y } _ { 0 } , \\mathbf { y } _ { 1 } \\right)$ with $y _ { 0 } , y _ { 1 } \\in [ 0 , 1 ]$ . Let also ", + "bbox": [ + 173, + 102, + 826, + 188 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/6f85a5a24350561dd121f0a120162a0fd88f865931b1676f9363511df95e10db.jpg", + "text": "$$\np _ { 0 } : = p _ { 0 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) : = \\mathrm { P r } ( s _ { t + 1 } = s _ { 0 } \\mid s _ { t } = s _ { 1 } , \\pi _ { 1 } , \\pi _ { 2 } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 320, + 194, + 676, + 212 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In the general case, $p _ { 0 }$ , i.e., the transition probability from $s _ { 1 }$ to $s _ { 0 }$ , may depend on the actions of the agents or it may be completely exogenous (i.e., constant with respect to agents’ actions). If we write ", + "bbox": [ + 174, + 217, + 821, + 246 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/692742511d60b45625eebbcdbba14c75047d5e65fe069fd9995cc24d5f307ced.jpg", + "text": "$$\np _ { 0 } ( a _ { 1 } , a _ { 2 } ) : = \\mathrm { P r } ( s _ { t + 1 } = s _ { 0 } \\mid s _ { t } = s _ { 1 } , a _ { 1 } , a _ { 2 } ) , \\quad \\mathrm { f o r } a _ { 1 } , a _ { 2 } \\in \\{ L , R \\} ,\n$$", + "text_format": "latex", + "bbox": [ + 267, + 252, + 727, + 270 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "to denote the probability of transitioning from state $s _ { 1 }$ to state $s _ { 0 }$ given that the agents chose actions $a _ { 1 } , a _ { 2 } \\in \\{ L , \\bar { R } \\}$ at state $s _ { 1 }$ , then we can write $p _ { 0 }$ as ", + "bbox": [ + 171, + 276, + 823, + 304 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/5fa21f61cc1510214c7468e18225177acb8c739519ce56e5ba3495cf785ed4f7.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle p _ { 0 } = \\mathbb { E } _ { ( a _ { 1 } , a _ { 2 } ) \\sim ( \\pi _ { 1 } , \\pi _ { 2 } ) } \\big [ p _ { 0 } ( a _ { 1 } , a _ { 2 } ) \\big ] = \\sum _ { ( a _ { 1 } , a _ { 2 } ) \\in \\{ L , R \\} ^ { 2 } } \\operatorname* { P r } ( a _ { 1 } , a _ { 2 } \\mid \\pi _ { 1 } , \\pi _ { 2 } ) \\cdot p _ { 0 } ( a _ { 1 } , a _ { 2 } ) } \\ ~ } \\\\ { { \\displaystyle ~ = x _ { 1 } y _ { 1 } p _ { 0 } ( L , L ) + x _ { 1 } ( 1 - y _ { 1 } ) p _ { 0 } ( L , R ) + ( 1 - x _ { 1 } ) y _ { 1 } p _ { 0 } ( R , L ) + ( 1 - x _ { 1 } ) ( 1 - y _ { 1 } ) p _ { 0 } ( R , R ) } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 310, + 813, + 368 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Using this notation, we can now proceed to compute the value function of each state of the MDP in Figure 3. Since the value of states $s _ { a , b } , a , b \\in H , T ^ { 2 }$ is equal to a constant reward plus the value of state $s _ { 1 }$ (discounted by $\\gamma$ ), it suffices to calculate the value for states $s _ { 0 }$ and $s _ { 1 }$ . We have that ", + "bbox": [ + 174, + 385, + 825, + 429 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/0b52046e78d4de9306b25934ecdbcb126c3a9917e98b7676883e069b5e3d78c4.jpg", + "text": "$$\n\\begin{array} { r l } & { V _ { 0 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) = \\mathbf { x } _ { 0 } R _ { 0 } ^ { 1 } \\mathbf { y } _ { 0 } + \\gamma \\left( \\mathbf { x } _ { 0 } \\left( R _ { 0 } ^ { 2 } / \\gamma \\right) \\mathbf { y } _ { 0 } \\right) + \\gamma ^ { 2 } V _ { 1 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) } \\\\ & { V _ { 1 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) = \\mathbf { x } _ { 1 } R _ { 1 } ^ { 1 } \\mathbf { y } _ { 1 } + \\gamma \\left[ p _ { 0 } V _ { 0 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) + ( 1 - p _ { 0 } ) V _ { 1 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) \\right] , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 269, + 433, + 723, + 477 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "which after some trivial calculations yield ", + "bbox": [ + 174, + 483, + 449, + 497 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/feeebe174b4dc222c91ab0333d63944e1549d8e200f86d13f35d0fcc50d5d5f5.jpg", + "text": "$$\n\\begin{array} { l } { { { \\displaystyle V _ { 0 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) = { \\bf x } _ { 0 } \\left( R _ { 0 } ^ { 1 } + R _ { 0 } ^ { 1 } \\right) { \\bf y } _ { 0 } + \\gamma ^ { 2 } V _ { 1 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) } \\ ~ } } \\\\ { { { \\displaystyle V _ { 1 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) = \\frac { 1 } { 1 - \\gamma \\left( 1 - p _ { 0 } \\right) } \\left[ { \\bf x } _ { 1 } R _ { 1 } ^ { 1 } { \\bf y } _ { 1 } + \\gamma p _ { 0 } V _ { 0 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) \\right] } . } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 271, + 505, + 674, + 561 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "This is a system of 2 equations in the 2 unknown quantities, $V _ { 0 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right)$ and $V _ { 1 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right)$ . Solving for these two quantities, yields the unique solution ", + "bbox": [ + 171, + 565, + 825, + 595 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/51d9b8ce7af14c2e5138a04faad8fe0cbf1505ca315bad9bd520dd3f3a87ef30.jpg", + "text": "$$\n\\begin{array} { l } { { V _ { 0 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) = \\displaystyle \\frac { 1 } { 1 - \\gamma \\left( 1 - p _ { 0 } \\right) - \\gamma ^ { 3 } p _ { 0 } } \\left[ \\left( 1 - \\gamma \\left( 1 - p _ { 0 } \\right) \\right) \\mathbf { x } _ { 0 } \\left( R _ { 0 } ^ { 1 } + R _ { 0 } ^ { 2 } \\right) \\mathbf { y } _ { 0 } + \\gamma ^ { 2 } \\mathbf { x } _ { 1 } R _ { 1 } ^ { 1 } \\mathbf { y } _ { 1 } \\right] . } } \\\\ { { V _ { 1 } ^ { 1 } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) = \\displaystyle \\frac { 1 } { 1 - \\gamma \\left( 1 - p _ { 0 } \\right) - \\gamma ^ { 3 } p _ { 0 } } \\left[ \\gamma p _ { 0 } \\mathbf { x } _ { 0 } \\left( R _ { 0 } ^ { 1 } + R _ { 0 } ^ { 2 } \\right) \\mathbf { y } _ { 0 } + \\mathbf { x } _ { 1 } R _ { 1 } ^ { 1 } \\mathbf { y } _ { 1 } \\right] . } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 200, + 599, + 797, + 670 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In the case that $p _ { 0 }$ is a constant with respect to $\\pi _ { 1 } , \\pi _ { 2 }$ , then both value functions are of the form ", + "bbox": [ + 169, + 672, + 799, + 688 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/0fee87f6b3cd182602208721b9444c4d558dec7d14e00914dab1713d5642607c.jpg", + "text": "$$\nV _ { s } ^ { i } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) = c _ { 1 } \\left( s \\right) \\cdot \\mathbf { x } _ { 0 } \\left( R _ { 0 } ^ { 1 } + R _ { 0 } ^ { 2 } \\right) \\mathbf { y } _ { 0 } + c _ { 2 } \\left( s \\right) \\cdot \\mathbf { x } _ { 1 } R _ { 1 } ^ { i } \\mathbf { y } _ { 1 } , \\quad { \\mathrm { f o r ~ } } s \\in \\{ s _ { 0 } , s _ { 1 } \\} , { \\mathrm { ~ a n d ~ } } i = \\{ 1 , 2 \\}\n$$", + "text_format": "latex", + "bbox": [ + 186, + 693, + 805, + 713 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "where $c _ { 1 } \\left( s \\right) , c _ { 2 } \\left( s \\right) > 0$ are appropriate constants that depend only the state $s \\in \\{ s _ { 0 } , s _ { 1 } \\}$ and on agents $1 , 2$ . Since the game at $s _ { 1 }$ is a potential game, with potential function given by a $2 \\times 2$ matrix $\\Phi _ { 1 }$ , it is immediate to infer that ", + "bbox": [ + 174, + 718, + 825, + 761 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/0b053ffd3a4807e42b34a6f7390f0f410491324ba3d2906cc115368526e2f292.jpg", + "text": "$$\nV _ { s } ^ { i } \\left( \\pi _ { 1 } ^ { \\prime } , \\pi _ { 2 } \\right) - V _ { s } ^ { i } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) = \\Phi _ { s } \\left( \\pi _ { 1 } ^ { \\prime } , \\pi _ { 2 } \\right) - \\Phi _ { s } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) , \\mathrm { f o r } s \\in \\{ s _ { 0 } , s _ { 1 } \\} ,\n$$", + "text_format": "latex", + "bbox": [ + 258, + 766, + 738, + 785 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "with ", + "bbox": [ + 173, + 791, + 205, + 805 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/2cf75966bb69444197205d2e81c78e09fdc742d0f00f08f2a06210f201c13627.jpg", + "text": "$$\n\\begin{array} { r } { \\Phi _ { s } \\left( \\pi _ { 1 } , \\pi _ { 2 } \\right) : = c _ { 1 } \\left( s \\right) \\mathbf { x } _ { 0 } \\left( R _ { 0 } ^ { 1 } + R _ { 0 } ^ { 2 } \\right) \\mathbf { y } _ { 0 } + c _ { 2 } \\left( s \\right) \\cdot \\mathbf { x } _ { 1 } \\Phi _ { 1 } \\mathbf { y } _ { 1 } , \\mathrm { f o r } ~ s \\in \\left\\{ s _ { 0 } , s _ { 1 } \\right\\} . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 250, + 803, + 746, + 821 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "However, if $p _ { 0 }$ depends on the actual policies of agents 1 and 2, cf. equation equation 9, then it is not immediate to determine a potential (or even to decide whether a (exact) potential exists or not). ", + "bbox": [ + 176, + 824, + 825, + 852 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Remark 2. Several elements of Figure 3 have been selected in the sake of simplicity and are not necessary for the main takeaway, i.e., that there are MDP that are not potential at some states, but which are MPGs. First, the transitions from $s _ { 0 }$ to the states $s _ { a b }$ need not be deterministic. To see this, let $q \\in ( 0 , 1 )$ and assume that if the agents select actions $H , T$ is $s _ { 0 }$ , then the process transitions with probability $q$ to a state $s _ { H T }$ with rewards $( - 1 , 1 ) / q \\gamma$ and with probability $( 1 - q )$ to a state $s _ { H T } ^ { \\prime }$ with rewards $( 1 , - 1 ) / ( 1 - q ) \\gamma$ . The rest remains the same. Accordingly, the expected reward for agent 1 after $( H , T )$ has been selected in $s _ { 0 }$ is the same as in the current format. ", + "bbox": [ + 173, + 854, + 825, + 925 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "", + "bbox": [ + 169, + 103, + 823, + 132 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Second, the construction with states $s _ { 0 }$ and $s _ { a b } , ( a , b ) \\in H , T ^ { 2 }$ is not the only one that leads to such an example. Another very common instance occurs in the case of aliasing between $s _ { 0 }$ and states $s _ { a b }$ i.e., when the agents cannot tell these states apart. The intuition which carries over from the currently presented example is that the roles of the agents are essentially reversed between the two states, but the agents do not know (from the observable features) in which state they are. Thus, any valid policy, selects the same action in both states leading to the same situation as in the presented example. ", + "bbox": [ + 173, + 138, + 825, + 224 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Finally, if the horizon is finite, then the instantaneous rewards in states $s _ { a b }$ still work if we eliminate the scaling factor (here $\\gamma$ ). Thus, the construction works in both episodic and continuing settings. ", + "bbox": [ + 173, + 231, + 820, + 260 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "C AUXILIARY LEMMAS ", + "text_level": 1, + "bbox": [ + 174, + 279, + 387, + 295 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Before proceeding to the omitted materials of Section 4, we first include some auxiliary results that we will use in the proofs presented there. ", + "bbox": [ + 174, + 309, + 823, + 338 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Recall that $P _ { \\mathcal { X } }$ denotes the projection onto some set $\\mathcal { X }$ . ", + "bbox": [ + 173, + 344, + 539, + 359 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Lemma C.1 (Bubeck (2015), Lemma 3.6). Let $f$ be a $\\beta$ -smooth function5 with convex domain $\\mathcal { X }$ Let $x \\in \\mathcal { X }$ , $\\begin{array} { r } { x ^ { + } = P _ { \\mathcal { X } } ( x - \\frac { 1 } { \\beta } \\nabla f ( x ) ) } \\end{array}$ and $g _ { \\mathcal { X } } ( x ) = \\beta ( x - x ^ { + } )$ . Then the following holds true: ", + "bbox": [ + 174, + 361, + 823, + 391 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/4a8802cbfc3f684d01d0a196e9d66859dbf68aa1a70e308bebc9e8db72766bf8.jpg", + "text": "$$\nf ( x ^ { + } ) - f ( x ) \\leq - \\frac { 1 } { 2 \\beta } \\left\\| g _ { \\mathcal { X } } ( x ) \\right\\| _ { 2 } ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 383, + 393, + 612, + 425 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Lemma C.2 (Agarwal et al. (2020), Proposition B.1). Let $f ( \\pi )$ be a $\\beta$ -smooth function in $\\pi \\in$ $\\Delta ( \\mathcal { A } ) ^ { S }$ . Define the gradient mapping ", + "bbox": [ + 174, + 426, + 823, + 455 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/5e11ee639e551aa679c70c5c8c4168e37603504091978d4dd281bfaed8cc7257.jpg", + "text": "$$\nG ( \\pi ) = \\beta \\left( P _ { \\Delta ( A ) ^ { S } } \\left( \\pi + \\frac { 1 } { \\beta } \\nabla _ { \\pi } f ( \\pi ) \\right) - \\pi \\right)\n$$", + "text_format": "latex", + "bbox": [ + 348, + 455, + 650, + 489 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "and the update rule for the projected gradient is $\\begin{array} { r } { \\pi ^ { \\prime } = \\pi + \\frac { 1 } { \\beta } G ( \\pi ) } \\end{array}$ . If $\\| G ( \\pi ) \\| _ { 2 } \\leq \\epsilon ,$ , then ", + "bbox": [ + 169, + 491, + 754, + 508 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/054b2872e3d7f402bec594c1680f7fd038c2b44a911f8d155e07f57141926416.jpg", + "text": "$$\n\\operatorname* { m a x } _ { \\pi + \\delta \\in { \\Delta } ( \\mathcal { A } ) ^ { S } , \\| \\delta \\| _ { 2 } \\le 1 } \\delta ^ { \\top } \\nabla _ { \\pi } f ( \\pi ^ { \\prime } ) \\le 2 \\epsilon .\n$$", + "text_format": "latex", + "bbox": [ + 377, + 511, + 619, + 539 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Lemma C.3. Let $\\Phi _ { \\mu } ( \\pi )$ be the potential function (which is $\\beta$ -smooth) and assume $\\pi \\in \\Delta ( \\mathcal { A } ) ^ { S }$ uses $\\alpha$ -greedy parameterization. Define the gradient mapping ", + "bbox": [ + 178, + 541, + 823, + 570 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/7736491453c0a9b59881ba07888484b69740b2e6fb05a528d3f9ec3a6143eadd.jpg", + "text": "$$\nG ( \\pi ) = \\beta \\left( P _ { \\Delta ( A ) } s \\left( \\pi + \\frac { 1 } { \\beta } \\nabla \\Phi _ { \\mu } ( \\pi ) \\right) - \\pi \\right)\n$$", + "text_format": "latex", + "bbox": [ + 346, + 570, + 651, + 604 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "and the update rule for the projected gradient is $\\begin{array} { r } { \\pi ^ { \\prime } = \\pi + \\frac { 1 } { \\beta } G ( \\pi ) } \\end{array}$ . If $\\| G ( \\pi ) \\| _ { 2 } \\leq \\epsilon ,$ then ", + "bbox": [ + 173, + 606, + 751, + 623 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/246cf276c7fcaa0e65cb85a92d989a356fac7995bfda51394d85e86023981849.jpg", + "text": "$$\n\\operatorname* { m a x } _ { \\substack { \\pi + \\delta \\in \\Delta ( \\mathcal { A } ) ^ { S } , \\| \\delta \\| _ { 2 } \\leq 1 } } \\delta ^ { \\top } \\nabla \\Phi _ { \\mu } ( \\pi ^ { \\prime } ) \\leq 2 \\epsilon + \\sqrt { n \\alpha A _ { \\operatorname* { m a x } } } .\n$$", + "text_format": "latex", + "bbox": [ + 328, + 626, + 666, + 655 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "t is a direct application of Lemma C.2 and the fact that (this is Proposition 3 in page 23 of Daskalakis et al. (2020 $\\Phi _ { \\mu }$ is Lipschitz with parameter $\\frac { \\sqrt { n A _ { \\mathrm { m a x } } } } { ( 1 - \\gamma ) ^ { 2 } }$ ", + "bbox": [ + 176, + 667, + 825, + 703 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Lemma C.4 (Unbiased with bounded variance Daskalakis et al. (2020)). It holds that $\\hat { \\nabla } _ { \\pi _ { i } } ^ { ( t ) }$ is unbiased estimator of $\\nabla _ { \\pi _ { i } } V ^ { i }$ for all $i ,$ , that is $\\mathbb { E } _ { \\pi ^ { ( t ) } } \\hat { \\nabla } _ { \\pi _ { i } } ^ { ( t ) } = \\nabla _ { \\pi _ { i } } V _ { \\rho } ^ { i } ( \\pi ^ { ( t ) } )$ for all $i .$ . Moreover, for all agents $i$ we get that (this is what the authors actually prove), it holds that $\\begin{array} { r } { \\mathbb { E } _ { \\pi ^ { ( t ) } } \\left\\| \\hat { \\nabla } _ { \\pi _ { i } } ^ { ( t ) } \\right\\| _ { 2 } ^ { 2 } \\leq \\frac { 2 4 A _ { \\operatorname* { m a x } } ^ { 2 } } { \\alpha ( 1 - \\gamma ) ^ { 4 } } . } \\end{array}$ . ", + "bbox": [ + 173, + 713, + 825, + 777 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "D OMITTED MATERIALS: SECTION 4 ", + "text_level": 1, + "bbox": [ + 173, + 791, + 500, + 809 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Before we proceed with the formal statements and proofs of this section, we recall the commonly used definition of distribution mismatch coefficient Kakade & Langford (2002) applied to our setting. Definition 5 (Distribution Mismatch coefficient). For any distribution $\\mu \\in \\Delta ( \\mathcal { S } )$ and any policy $\\pi \\in \\Pi$ , we call $\\begin{array} { r } { D : = \\operatorname* { m a x } _ { \\pi \\in \\Pi } \\left\\| \\frac { d _ { \\mu } ^ { \\pi } } { \\mu } \\right\\| _ { \\infty } } \\end{array}$ the distribution mismatch coefficient, where $d _ { \\mu } ^ { \\pi }$ is the discounted state distribution (7). ", + "bbox": [ + 173, + 821, + 826, + 906 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "D.1 EXACT GRADIENTS CASE ", + "text_level": 1, + "bbox": [ + 174, + 103, + 398, + 118 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "The first auxiliary Lemma has to do with the projection operator that is used on top of the independent policy gradient, so that the policy vector $\\pi _ { i } ^ { ( t ) }$ remains a probability distribution for all agents $i \\in \\mathcal N$ (see (PGA)). It is not hard to show (due to separability) that the projection operator being applied independently for each agent $i$ on $\\Delta ( \\mathcal { A } _ { i } ) ^ { S }$ is the same as jointly applying projection on $\\Delta ( \\bar { \\mathcal { A } } ) ^ { \\bar { S } }$ . This is the statement of Lemma D.1. ", + "bbox": [ + 173, + 128, + 826, + 204 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Lemma D.1 (Projection Operator). Let $\\pi : = ( \\pi _ { 1 } , . . . , \\pi _ { n } )$ be the policy profile for all agents and let $\\pi ^ { \\prime } = \\pi + \\eta \\nabla _ { \\pi } \\Phi _ { \\rho } ( \\pi )$ be a gradient step on the potential function for a step-size $\\alpha > 0$ . Then, ", + "bbox": [ + 171, + 207, + 823, + 237 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/1fd2873bfa699cd264a572419af076f605fada2c82c6f1d9ae92f5d26df00c25.jpg", + "text": "$$\nP _ { \\Delta ( \\mathcal { A } ) ^ { S } } ( \\pi ^ { \\prime } ) = \\bigl ( P _ { \\Delta ( \\mathcal { A } _ { 1 } ) ^ { S } } ( \\pi _ { 1 } ^ { \\prime } ) , \\dots , P _ { \\Delta ( \\mathcal { A } _ { n } ) ^ { S } } ( \\pi _ { n } ^ { \\prime } ) \\bigr ) .\n$$", + "text_format": "latex", + "bbox": [ + 331, + 243, + 665, + 262 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Proof of Lemma D.1. Observe that $\\begin{array} { r } { P _ { \\mathcal { X } } ( y ) = \\arg \\operatorname* { m i n } _ { x \\in \\mathcal { X } } \\left\\| x - y \\right\\| _ { 2 } ^ { 2 } } \\end{array}$ for any set $\\mathcal { X } \\subseteq \\mathbb { R } ^ { n }$ . Thus, ", + "bbox": [ + 171, + 280, + 797, + 299 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/bcd8d95289bf91fce606e3b5b5cbc4b0a3cbfcf3da5b5541c41e3db162b75ba3.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { P _ { \\Delta ( A ) ^ { s } } ( y ) = \\underset { x \\in \\Delta ( A ) ^ { s } } { \\mathrm { a r g } \\operatorname* { m i n } } \\left. x - \\pi ^ { \\prime } \\right. _ { 2 } ^ { 2 } = \\underset { x _ { 1 } \\in \\Delta ( A _ { 1 } ) ^ { S } , \\ldots , x _ { n } \\in \\Delta ( A _ { n } ) ^ { S } } { \\mathrm { a r g } \\operatorname* { m i n } } \\underset { i = 1 } { \\overset { n } { \\sum } } \\left. x _ { i } - \\pi _ { i } ^ { \\prime } \\right. _ { 2 } ^ { 2 } } \\\\ & { } & { \\qquad = \\underset { i = 1 } { \\overset { n } { \\sum } } \\underset { x _ { i } \\in \\Delta ( A _ { i } ) ^ { S } } { \\mathrm { a r g } \\operatorname* { m i n } } \\left. x _ { i } - \\pi _ { i } ^ { \\prime } \\right. _ { 2 } ^ { 2 } = \\big ( P _ { \\Delta ( A _ { 1 } ) ^ { S } } ( \\pi _ { 1 } ^ { \\prime } ) , \\ldots , P _ { \\Delta ( A _ { n } ) ^ { S } } ( \\pi _ { n } ^ { \\prime } ) \\big ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 238, + 306, + 756, + 390 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "The main implication of Lemma D.1 along with the equality of the derivatives between value functions and the potential function in MPGs, i.e., $\\nabla _ { \\pi _ { i } } V _ { s } ^ { i } ( \\pi ) = \\mathrm { \\dot { V } } _ { \\pi _ { i } } \\Phi ( \\pi )$ for all $i \\in \\mathcal N$ (see property P2 in Proposition B.1), is that running independent equation PGA on each agent’s value function is equivalent to running equation PGA on the potential function $\\Phi$ . In turn, Lemma 4.1 suggests that as long as policy gradient reaches a point $\\pi ^ { ( t ) }$ with small gradient along the directions in $\\Delta ( \\mathcal { A } ) ^ { S }$ , it must be the case that $\\pi ^ { ( t ) }$ is an approximate Nash policy. Together with Lemma D.1, this will be sufficient to prove convergence of equation PGA. ", + "bbox": [ + 173, + 401, + 826, + 505 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Proof of Lemma 4.1. Fix agent $i$ and suppose that $i$ deviates to an optimal policy $\\pi _ { i } ^ { * }$ (w.r.t the corresponding single agent MDP). Since $\\pi$ is $\\epsilon$ -stationary it holds that (Definition 4) ", + "bbox": [ + 173, + 522, + 825, + 551 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/564bd3bd8cb92f80d4979c0c9554761cd952198b6ed5837b73c3d9ec0621c050.jpg", + "text": "$$\n\\operatorname* { m a x } _ { \\pi _ { i } ^ { \\prime } \\in \\Delta ( A _ { i } ) } ( \\pi _ { i } ^ { \\prime } - \\pi _ { i } ) ^ { \\top } \\nabla _ { \\pi _ { i } } \\Phi _ { \\mu } ( \\pi ) \\leq \\sqrt { S } \\epsilon .\n$$", + "text_format": "latex", + "bbox": [ + 364, + 558, + 635, + 587 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Thus, with $\\pi ^ { * } = ( \\pi _ { i } ^ { * } , \\pi _ { - i } )$ , Lemma D.3 implies that ", + "bbox": [ + 173, + 594, + 517, + 611 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/749e13cd45fdd5b8a1c8cf2ecbc8912e0b04d34f88c2e208c89a2a0000161bc8.jpg", + "text": "$$\n\\Phi _ { \\rho } ( \\pi ^ { * } ) - \\Phi _ { \\rho } ( \\pi ) \\le \\frac { 1 } { 1 - \\gamma } \\left\\| \\frac { d _ { \\rho } ^ { \\pi ^ { * } } } { \\mu } \\right\\| _ { \\infty } \\operatorname* { m a x } _ { \\pi ^ { \\prime } = ( \\pi _ { i } ^ { \\prime } , \\pi - i ) } ( \\pi ^ { \\prime } - \\pi ) ^ { \\top } \\nabla _ { \\pi _ { i } } \\Phi _ { \\mu } ( \\pi ) \\overset { ( 1 1 ) } { \\le } \\frac { D } { 1 - \\gamma } \\sqrt { S } \\epsilon .\n$$", + "text_format": "latex", + "bbox": [ + 204, + 617, + 766, + 661 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Thus, using the definition of the potential function (cf. Definition 2), we obtain that ", + "bbox": [ + 174, + 667, + 720, + 683 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/82b521824d6a44a8273e28c4eafc62357433333d2a7d471eff356669625ac39d.jpg", + "text": "$$\nV _ { \\rho } ^ { i } ( \\pi ^ { \\ast } ) - V _ { \\rho } ^ { i } ( \\pi ) = \\Phi _ { \\rho } ( \\pi ^ { \\ast } ) - \\Phi _ { \\rho } ( \\pi ) \\leq \\frac { \\sqrt { S } D \\epsilon } { 1 - \\gamma } .\n$$", + "text_format": "latex", + "bbox": [ + 334, + 689, + 661, + 726 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Since the choice of $i$ was arbitrary, we conclude that $\\pi$ is an $\\frac { \\sqrt { S } D \\epsilon } { 1 - \\gamma }$ -approximate Nash policy. ", + "bbox": [ + 171, + 733, + 781, + 755 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "To prove Lemma D.3, we will use a multi-agent version of the Performance Difference Lemma (cf. \nAgarwal et al. (2020) for a single agent and Daskalakis et al. (2020) for two agents). ", + "bbox": [ + 174, + 771, + 828, + 801 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Lemma D.2 (Multi-agent Performance Difference Lemma). Consider an n-agent MDP $\\mathcal { G }$ and fix an agent $i \\in \\mathcal N$ . Then, for any policies $\\pi = ( \\pi _ { i } , \\pi _ { - i } ) , \\pi ^ { \\prime } = ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) \\in \\Pi$ and any distribution $\\rho \\in \\Delta ( S )$ , it holds that ", + "bbox": [ + 173, + 805, + 826, + 848 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/d3f5bf3e5395fc437b0265eea92cd3e18cf5a77358c1ad2c64ab7d9a1d858155.jpg", + "text": "$$\nV _ { \\rho } ^ { i } ( \\pi ) - V _ { \\rho } ^ { i } ( \\pi ^ { \\prime } ) = \\frac 1 { 1 - \\gamma } \\mathbb { E } _ { s \\sim d _ { \\rho } ^ { \\pi } } \\mathbb { E } _ { a _ { i } \\sim \\pi _ { i } ( \\cdot \\vert s ) } \\mathbb { E } _ { \\mathbf { a } _ { - i } \\sim \\pi _ { - i } ( \\cdot \\vert s ) } \\left[ A _ { s } ^ { i } ( \\pi ^ { \\prime } , a _ { i } , \\mathbf { a } _ { - i } ) \\right] ,\n$$", + "text_format": "latex", + "bbox": [ + 245, + 856, + 751, + 887 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "where $\\mathbf { a } _ { - i } \\sim \\pi _ { - i } ( \\cdot \\mid s )$ denotes the action profile of all agents other than $i$ that is drawn from the product distribution induced by their policies $\\pi _ { - i } = ( \\pi _ { j } ) _ { j \\neq i \\in \\mathcal { N } } \\in \\Pi _ { - i }$ . ", + "bbox": [ + 171, + 895, + 823, + 926 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Proof. For any initial state $s \\in S$ and joint policies $\\pi = ( \\pi _ { i } , \\pi _ { - i } ) , \\pi ^ { \\prime } = ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) \\in \\Pi$ , it holds that ", + "bbox": [ + 173, + 102, + 825, + 119 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/b0d7f47235b74cd7f89c1f7c1f319d95d0448921d1b25003fde08b6b159cb14b.jpg", + "text": "$$\n\\begin{array} { l } { { V _ { s } ^ { i } ( \\pi ) - V _ { s } ^ { i } ( \\pi ^ { \\prime } ) = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } r _ { i , t } \\mid s _ { 0 } = s \\right] - V _ { s } ^ { i } ( \\pi ^ { \\prime } ) } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\displaystyle = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\left( r _ { i , t } - V _ { s _ { t } } ( \\pi ^ { \\prime } ) + V _ { s _ { t + 1 } } ( \\pi ^ { \\prime } ) \\right) \\mid s _ { 0 } = s \\right] } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\displaystyle = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\left( r _ { i , t } + \\gamma \\mathbb { E } \\left[ V _ { s _ { t + 1 } } ( \\pi ^ { \\prime } ) \\mid s _ { t } , a _ { i , t } , \\mathbf { a } _ { - i , t } \\right] - V _ { s _ { t } } ( \\pi ^ { \\prime } ) \\right) \\mid s _ { 0 } = s \\right] } } \\\\ { { \\ } } \\\\ { { \\ } } \\\\ { { \\displaystyle = \\mathbb { E } _ { \\tau \\sim \\pi } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } A _ { s _ { t } } ^ { i } ( \\pi ^ { \\prime } , \\mathbf { a } _ { t } ) \\mid s _ { 0 } = s \\right] } } \\\\ { { \\ } } \\\\ { { \\displaystyle = \\frac { 1 } { 1 - \\gamma } \\mathbb { E } _ { s ^ { \\prime } \\sim d _ { \\tau } ^ { \\prime } } \\mathbb { E } _ { a _ { i } \\sim \\pi _ { i } \\left( \\cdot \\mid s ^ { \\prime } \\right) } \\mathbb { E } _ { \\mathbf { a } _ { - i } \\sim \\pi - i \\left( \\cdot \\mid s ^ { \\prime } \\right) } \\left[ A _ { s ^ { \\prime } } ^ { i } ( \\pi ^ { \\prime } , \\mathbf { a } ) \\right] . } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 123, + 816, + 292 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Taking expectation over the states $s \\in \\mathcal { S }$ with respect to the distribution $\\rho \\in \\Delta ( \\mathcal { S } )$ yields the result. □ ", + "bbox": [ + 174, + 295, + 823, + 323 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "To prove Lemma 4.1, we will need an agent-wise version of the gradient domination property of single-agent MDPs (cf. Lemma 4.1 in Agarwal et al. (2020)). This is presented in Lemma D.3. ", + "bbox": [ + 173, + 338, + 825, + 367 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Lemma D.3 (Agent-wise Gradient Domination Property in MPGs). Let $\\mathcal { G }$ be an MPG with potential function $\\Phi$ , fix any agent $i \\in \\mathcal N$ , and let $\\pi = ( \\pi _ { i } , \\pi _ { - i } ) \\in \\Delta ( { \\cal A } ) ^ { S }$ be a policy. Let $\\pi _ { i } ^ { * }$ be an optimal policy for agent $i$ in the single agent MDP in which the rest of the agents are fixed to choose $\\pi _ { - i }$ . Then, for the policy $\\pi ^ { * } = ( \\bar { \\pi } _ { i } ^ { * } , \\bar { \\pi _ { - i } } ) \\in \\Delta ( { \\cal A } ) ^ { S }$ that differs from $\\pi$ only in the policy component of agent $i$ , and for any distributions $\\mu , \\rho \\in \\Delta ( { \\cal S } )$ , it holds that ", + "bbox": [ + 173, + 369, + 826, + 440 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/7d60596b6c9eeaab5ad494b98047f293d74548466e270daec254d3a49385ddbf.jpg", + "text": "$$\n\\Phi _ { \\rho } ( \\pi ^ { * } ) - \\Phi _ { \\rho } ( \\pi ) \\leq \\frac { 1 } { 1 - \\gamma } \\left\\| \\frac { d _ { \\rho } ^ { \\pi ^ { * } } } { \\mu } \\right\\| _ { \\infty } \\operatorname* { m a x } _ { \\pi ^ { \\prime } = ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) } ( \\pi ^ { \\prime } - \\pi ) ^ { \\top } \\nabla _ { \\pi _ { i } } \\Phi _ { \\mu } ( \\pi ) ,\n$$", + "text_format": "latex", + "bbox": [ + 269, + 443, + 725, + 486 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Proof of Lemma $D . 3$ . Fix an agent $i \\in \\mathcal N$ and let $\\pi = ( \\pi _ { i } , \\pi _ { - i } ) , \\pi ^ { * } = ( \\pi _ { i } ^ { * } , \\pi _ { - i } ) \\in \\Pi = \\Delta ( A ) ^ { S }$ By the definition of MPGs (cf. Definition 2), it holds that ", + "bbox": [ + 173, + 500, + 825, + 529 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/90534a53417bb394d8a00036df72c4bd584a70a44c2ca925b028b29f217631fa.jpg", + "text": "$$\nV _ { \\rho } ^ { i } ( \\pi ^ { * } ) - V _ { \\rho } ^ { i } ( \\pi ) = \\Phi _ { \\rho } ( \\pi ^ { * } ) - \\Phi _ { \\rho } ( \\pi ) .\n$$", + "text_format": "latex", + "bbox": [ + 372, + 530, + 620, + 551 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Thus, using the multi-agent version of the Performance Difference Lemma (cf. Lemma D.2), we have for any distribution $\\mu \\in \\Delta ( \\mathcal { S } )$ that ", + "bbox": [ + 171, + 551, + 823, + 580 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/0da6d71312c1d1742ae36416e793050b988ef42f6195ccf3145fd541e7600cbb.jpg", + "text": "$$\n\\begin{array} { r l } { \\Phi _ { \\rho } ( \\pi ^ { * } ) - \\Phi _ { \\rho } ( \\pi ) = V _ { \\rho } ^ { i } ( \\pi ^ { * } ) - V _ { \\rho } ^ { i } ( \\pi ) } & { } \\\\ & { \\quad = \\cfrac { 1 } { 1 - \\gamma } \\mathbb { E } _ { s \\sim d _ { \\rho } ^ { * } } \\mathbb { E } _ { a _ { t } \\sim w _ { t } ^ { * } ( \\cdot \\vert s \\vert ) } \\mathbb { E } _ { \\mathbf { a } _ { t } \\sim w _ { t } ^ { * } ( \\cdot \\vert s ) } [ A _ { s } ^ { i } ( \\pi , a _ { i } , t , \\mathbf { a } _ { - i } , t ) ] } \\\\ & { \\quad \\le \\cfrac { 1 } { 1 - \\gamma } \\operatorname* { m a x } _ { i \\in \\mathbb { N } _ { i } } \\{ \\displaystyle \\sum _ { s \\in S } d _ { \\rho } ^ { \\pi ^ { * } } ( s ) \\mathbb { E } _ { a _ { t } \\sim w _ { t } ^ { * } ( \\cdot \\vert s ) } \\mathbb { E } _ { \\mathbf { a } _ { - i } \\sim w _ { t } ^ { * } ( \\cdot \\vert s ) } [ A _ { s } ^ { i } ( \\pi , a _ { i } , \\mathbf { a } _ { - i } ) ] \\} , } \\\\ & { \\quad = \\cfrac { 1 } { 1 - \\gamma } \\operatorname* { m a x } _ { i \\in \\mathbb { N } _ { i } } \\{ \\displaystyle \\sum _ { s \\in S } \\frac { d _ { \\rho } ^ { \\pi ^ { * } } ( s ) } { d _ { \\mu } ^ { \\pi } ( s ) } d _ { \\mu } ^ { \\pi } ( s ) \\mathbb { E } _ { a _ { i } \\sim w _ { t } ^ { * } ( \\cdot \\vert s ) } \\mathbb { E } _ { \\mathbf { a } _ { - i } \\sim w _ { t } ^ { * } ( \\cdot \\vert s ) } [ A _ { s } ^ { i } ( \\pi , a _ { i } , \\mathbf { a } _ { - i } ) ] \\} , } \\\\ & \\quad \\le \\cfrac { 1 } { 1 - \\gamma } \\| \\displaystyle \\frac { d _ { \\rho } ^ { \\pi ^ { * } } } { d _ { \\mu } ^ { \\pi } } \\| _ { \\infty } \\operatorname* { m a x } _ { i \\in \\mathbb { N } _ { i } } \\{ \\displaystyle \\sum _ { s \\in S } d _ { \\mu } ^ { \\pi } ( s ) \\mathbb { E } _ { \\mathbf { a } _ { i } \\sim w _ { t } ^ { * } ( \\cdot \\vert s ) } \\mathbb { E } _ \\mathbf { a } _ { - i } \\sim w \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 583, + 820, + 770 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "To proceed, observe that ", + "bbox": [ + 174, + 771, + 336, + 785 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/2d4ec5919571fbfeb07192e136ffa07e275bbdf029b3672c3120381fc2a2f9df.jpg", + "text": "$$\n\\begin{array} { r } { \\mathbb { E } _ { a _ { i } \\sim \\pi _ { i } ( \\cdot | s ) } \\mathbb { E } _ { { \\mathbf a } _ { - i } \\sim \\pi _ { - i } ^ { * } ( \\cdot | s ) } \\left[ A _ { s } ^ { i } ( \\pi , a _ { i } , \\mathbf { a } _ { - i } ) \\right] = 0 . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 341, + 786, + 653, + 806 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Thus, for any $\\pi _ { i } ^ { \\prime } \\in \\Pi _ { i }$ and any state $s \\in S$ , it holds that ", + "bbox": [ + 173, + 810, + 539, + 825 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/bec8208d8871d108f216e875359338904118cd8459a1f265169e3dbe742f6ad1.jpg", + "text": "$$\n\\begin{array} { r l } { { } } & { { \\mathbb { E } _ { a _ { i } \\sim \\pi _ { i } ^ { \\prime } ( \\cdot \\vert s ) } \\mathbb { E } _ { { \\mathbf a } _ { - i } \\sim \\pi _ { - i } ^ { * } ( \\cdot \\vert s ) } \\left[ A _ { s } ^ { i } ( \\pi , a _ { i } , { \\mathbf a } _ { - i } ) \\right] = } } \\\\ { { } } & { { = \\displaystyle \\sum _ { a _ { i } \\in A _ { i } } \\left( \\pi _ { i } ^ { \\prime } ( a _ { i } \\mid s ) - \\pi _ { i } ( a _ { i } \\mid s ) \\right) \\mathbb { E } _ { { \\mathbf a } _ { - i } \\sim \\pi _ { - i } ^ { * } ( \\cdot \\vert s ) } \\left[ A _ { s } ^ { i } ( \\pi , a _ { i } , { \\mathbf a } _ { - i } ) \\right] } } \\\\ { { } } & { { = \\displaystyle \\sum _ { a _ { i } \\in A _ { i } } \\left( \\pi _ { i } ^ { \\prime } ( a _ { i } \\mid s ) - \\pi _ { i } ( a _ { i } \\mid s ) \\right) \\mathbb { E } _ { { \\mathbf a } _ { - i } \\sim \\pi _ { - i } ^ { * } ( \\cdot \\vert s ) } \\left[ Q _ { s } ^ { i } ( \\pi , a _ { i } , { \\mathbf a } _ { - i } ) \\right] } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 287, + 829, + 709, + 922 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "since $V _ { s } ^ { i } ( \\pi )$ does not depend on $a _ { i }$ . Substituting back in the last inequality of the previous calculations, we obtain that ", + "bbox": [ + 169, + 103, + 826, + 133 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/b6dfe9fac1a84f7309ec4b8e56cf9a324a785c8615ed8503fa1c621946c7bb26.jpg", + "text": "$$\n\\begin{array} { r l } & { \\Phi _ { \\rho } ( \\pi ^ { * } ) - \\Phi _ { \\rho } ( \\pi ) \\le } \\\\ & { \\le \\left\\| \\frac { d _ { \\rho } ^ { \\pi ^ { * } } } { d _ { \\mu } ^ { \\pi } } \\right\\| _ { \\infty } \\underset { \\pi _ { i } ^ { \\pi } \\in \\Pi _ { i } } { \\operatorname* { m a x } } \\left\\{ \\sum _ { s , a _ { i } } \\frac { d _ { \\mu } ^ { \\pi } ( s ) } { 1 - \\gamma } \\left( \\pi _ { i } ^ { \\prime } ( a _ { i } \\mid s ) - \\pi _ { i } ( a _ { i } \\mid s ) \\right) \\mathbb { E } _ { \\mathbf { a } _ { - i } \\sim \\pi _ { - i } ^ { * } ( \\cdot \\vert s ) } \\left[ Q _ { s } ^ { i } ( \\pi , a _ { i } , \\mathbf { a } _ { - i } ) \\right] \\right\\} } \\\\ & { = \\left\\| \\frac { d _ { \\rho } ^ { \\pi ^ { * } } } { d _ { \\mu } ^ { \\pi } } \\right\\| _ { \\infty } \\underset { \\pi _ { i } ^ { \\tau } \\in \\Pi _ { i } } { \\operatorname* { m a x } } ( \\pi _ { i } ^ { \\prime } - \\pi _ { i } ) ^ { \\top } \\nabla _ { \\pi _ { i } } V _ { \\mu } ^ { i } ( \\pi ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 207, + 154, + 790, + 262 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "where we used the policy gradient theorem (Agarwal et al. (2020); Sutton & Barto (2018)) under the assumption of direct policy parameterization. We can further upper bound the last expression by using that $d _ { \\mu } ^ { \\pi } ( s ) \\geq ( 1 - \\gamma ) \\mu ( \\bar { s } )$ which follows immediately from the definition of the discounted visitation distribution $d _ { \\mu } ^ { \\pi } ( s )$ for any initial state distribution $\\mu$ . Finally, property P2 of Proposition B.1, implies that $\\nabla _ { \\pi _ { i } } V _ { \\rho } ^ { i } ( \\pi ) = \\nabla _ { \\pi _ { i } } \\Phi _ { \\rho } ( \\pi )$ (making crucial use of the MPG structure). Putting these together, we have that ", + "bbox": [ + 173, + 261, + 826, + 349 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/2adf8efde548e8e7a2ea4c488fc5cbb69c91b455d51f8434035b0efbd3092c1b.jpg", + "text": "$$\n\\begin{array} { r l } & { \\Phi _ { \\rho } ( \\pi ^ { * } ) - \\Phi _ { \\rho } ( \\pi ) \\leq \\displaystyle \\frac { 1 } { 1 - \\gamma } \\left\\| \\frac { d _ { \\rho } ^ { \\pi ^ { * } } } { \\mu } \\right\\| _ { \\infty } \\displaystyle \\operatorname* { m a x } _ { \\pi ^ { \\prime } = ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ^ { * } ) } ( \\pi ^ { \\prime } - \\pi ) ^ { \\top } \\nabla _ { \\pi _ { i } } V _ { \\mu } ^ { i } ( \\pi ) } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad = \\displaystyle \\frac { 1 } { 1 - \\gamma } \\left\\| \\frac { d _ { \\rho } ^ { \\pi ^ { * } } } { \\mu } \\right\\| _ { \\infty } \\displaystyle \\operatorname* { m a x } _ { \\pi ^ { \\prime } = ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ^ { * } ) } ( \\pi ^ { \\prime } - \\pi ) ^ { \\top } \\nabla _ { \\pi _ { i } } \\Phi _ { \\mu } ( \\pi ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 269, + 351, + 727, + 439 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "as claimed. ", + "bbox": [ + 173, + 438, + 250, + 452 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Remark 3. Intuitively, Lemma D.3 implies that there is a best response structure in the agents’ updates that we can exploit to show convergence of (projected) policy gradient to a Nash policy profile. In particular, given a fixed policy profile of all agents other than $i$ , the decision of agent $i$ is equivalent to the decision of that agent in a single MDP. Thus, the following inequality ", + "bbox": [ + 174, + 459, + 825, + 515 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/5c39e3662d22e7157382293c5e2ddbac22ddaa0ed5a9cf87d9d0f52121310989.jpg", + "text": "$$\nV _ { s } ^ { i } ( \\pi ^ { * } ) - V _ { s } ^ { i } ( \\pi ) \\leq \\frac { 1 } { 1 - \\gamma } \\left\\| \\frac { d _ { s } ^ { \\pi ^ { * } } } { \\mu } \\right\\| _ { \\infty } \\operatorname* { m a x } _ { \\pi ^ { \\prime } = ( \\pi _ { i } ^ { \\prime } , \\pi _ { - i } ) } ( \\pi ^ { \\prime } - \\pi ) ^ { \\top } \\nabla _ { \\pi _ { i } } V _ { \\mu } ^ { i } ( \\pi )\n$$", + "text_format": "latex", + "bbox": [ + 274, + 517, + 723, + 554 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "(which stems directly from the gradient domination property in the single MDP) implies that any stationary point of $V _ { s } ^ { \\bar { i } }$ (w.r.t the variables $x _ { i , s , a }$ of agent’s $i$ policy with the rest of the variables being fixed) is an optimal policy for $i$ , i.e., a best response given the policies of all other agents. ", + "bbox": [ + 174, + 555, + 823, + 598 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Lemma D.3 also suggests that there is an important difference in the gradient domination property between (multi-agent) MPGs and single agent MDPs. Specifically, for MPGs, the value of each agent at different Nash policies may not be unique6 which implies that the gradient domination property, as stated in Lemma D.3, will only be enough to guarantee convergence to one of the optimal (stationary) points of $\\Phi$ (and not necessarily to the absolute maximum of $\\Phi$ ). ", + "bbox": [ + 173, + 603, + 825, + 674 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "The last critical step before the formal statement and proof of Theorem 1.2 is to show that the potential function $\\Phi$ is smooth. Importantly, the smoothness parameter, involves $A _ { \\operatorname* { m a x } } : = \\operatorname* { m a x } _ { i \\in \\mathcal { N } } | \\mathcal { A } _ { i } |$ , i.e., the maximum number of actions for some agent, which scales linearly in the number of agents. ", + "bbox": [ + 174, + 681, + 825, + 724 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Lemma D.4 (Smoothness of $\\Phi$ ). Let $A _ { \\operatorname* { m a x } } : = \\operatorname* { m a x } _ { i \\in \\mathcal { N } } \\left| \\mathcal { A } _ { i } \\right|$ (the maximum number of actions for some agent). Then, for any initial state $s _ { 0 } \\in S$ (and hence for every distribution $\\mu \\in \\Delta ( \\mathcal { S } )$ on states), $\\Phi _ { \\mu } ( \\pi )$ i s 2nγAmax(1−γ)3 -smooth, i.e., it holds that ", + "bbox": [ + 174, + 726, + 826, + 773 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/d4302052f80da614136401309ee4578e600cccdd26d1ec33d5058b296766ad1b.jpg", + "text": "$$\n\\| \\nabla _ { \\pi } \\Phi _ { s _ { 0 } } ( \\pi ) - \\nabla _ { \\pi } \\Phi _ { s _ { 0 } } ( \\pi ^ { \\prime } ) \\| _ { 2 } \\le \\frac { 2 n \\gamma A _ { \\operatorname* { m a x } } } { ( 1 - \\gamma ) ^ { 3 } } \\| \\pi - \\pi ^ { \\prime } \\| _ { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 323, + 775, + 676, + 809 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Proof of Lemma $D . 4 .$ . It suffices to show that the maximum eigenvalue in absolute value of the Hessian of $\\Phi$ is at most 2nγAmax(1−γ)3 , i.e., that ", + "bbox": [ + 173, + 820, + 825, + 854 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/000e85db0efa7b0622dcdcbe3a579268e67f3b9652b0f03428b0f563bc5e3d8c.jpg", + "text": "$$\n\\bigl \\| \\nabla ^ { 2 } \\Phi _ { \\mu } \\bigr \\| _ { 2 } \\leq \\frac { 2 n \\gamma A _ { \\mathrm { m a x } } } { ( 1 - \\gamma ) ^ { 3 } } .\n$$", + "text_format": "latex", + "bbox": [ + 415, + 857, + 583, + 890 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "We first prove the following intermediate claim. ", + "bbox": [ + 173, + 103, + 486, + 118 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Claim D.5. Consider the symmetric block matrix $C$ with $n \\times n$ matrices so that $\\| C _ { i j } \\| _ { 2 } \\leq L$ . Then, it holds that $\\| C \\| _ { 2 } \\leq n L$ , i.e., if all block submatrices have spectral norm at most $L$ , then $C$ has spectral norm at most $n L$ . ", + "bbox": [ + 173, + 125, + 826, + 167 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Proof. We will prove the claim by induction on $n$ . For $n = 2$ we need to show that ", + "bbox": [ + 173, + 181, + 715, + 198 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/3d8d9d8f204bd33177e27bd4c1095b7b9a226f12fdc84e464697c76fcb82b962.jpg", + "text": "$$\n\\left. C \\right. _ { 2 } : = \\left. \\left( \\begin{array} { l l } { C _ { 1 1 } } & { C _ { 1 2 } } \\\\ { C _ { 2 1 } } & { C _ { 2 2 } } \\end{array} \\right) \\right. _ { 2 } \\leq 2 L\n$$", + "text_format": "latex", + "bbox": [ + 377, + 203, + 620, + 239 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "if $\\left. C _ { 1 1 } \\right. _ { 2 } , \\left. C _ { 1 2 } \\right. _ { 2 } , \\left. C _ { 2 1 } \\right. _ { 2 } , \\left. C _ { 2 2 } \\right. _ { 2 } \\leq L$ . Define matrix $W$ to be ", + "bbox": [ + 173, + 244, + 607, + 262 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/ea884aae504732bf0290c3e02c86af315ebfc5a9dbcba07cc2a067327eed0813.jpg", + "text": "$$\nW : = 2 L \\cdot I - C = \\left( \\begin{array} { c c } { { 2 L \\cdot I - C _ { 1 1 } } } & { { - C _ { 1 2 } } } \\\\ { { - C _ { 2 1 } } } & { { 2 L \\cdot I - C _ { 2 2 } } } \\end{array} \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 310, + 266, + 686, + 301 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $I$ is the identity matrix (of appropriate size). If we show that $W$ is positive semi-definite, then it follows that $W$ has only non-negative eigenvalues, which, in turn, implies that the spectral norm of $C$ is at most $2 L$ . To see this, set ", + "bbox": [ + 173, + 306, + 825, + 349 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/c7504dba35d55cb3977f53d6f90bb747d151b04c251691567dfb818e43bd4a5b.jpg", + "text": "$$\nW _ { 1 } : = \\left( \\begin{array} { c c } { { L \\cdot I - C _ { 1 1 } } } & { { 0 } } \\\\ { { 0 } } & { { L \\cdot I - C _ { 2 2 } } } \\end{array} \\right) , W _ { 2 } : = \\left( \\begin{array} { c c } { { L \\cdot I } } & { { - C _ { 1 2 } } } \\\\ { { - C _ { 2 1 } } } & { { L \\cdot I } } \\end{array} \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 267, + 353, + 730, + 390 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "$W _ { 1 }$ is positive semi-definite as a block diagonal matrix with diagonal blocks positive semi-definite matrices. Moreover, by Schur complement we get that $W _ { 2 }$ is positive semi-definite as long as $L \\cdot I$ is positive semi-definite and $L \\cdot I - \\mathit { \\Pi } _ { L } ^ { \\mathrm { ~ \\tiny ~ 1 ~ } } \\cdot C _ { 1 2 } C _ { 2 1 }$ is positive semidefinite. By assumption, we have that ", + "bbox": [ + 173, + 395, + 825, + 439 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/5e8e0c6cbf43a27850e5461d5848941ec332b3b3d4e7ae93dabfc0fcab496674.jpg", + "text": "$$\n\\frac { 1 } { L } \\left\\| C _ { 1 2 } C _ { 2 1 } \\right\\| _ { 2 } \\leq \\frac { 1 } { L } \\left\\| C _ { 1 2 } \\right\\| _ { 2 } \\left\\| C _ { 1 2 } \\right\\| _ { 2 } \\leq L ,\n$$", + "text_format": "latex", + "bbox": [ + 362, + 444, + 633, + 474 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "which implies that $\\begin{array} { r } { L { \\cdot } I - \\frac { 1 } { L } { \\cdot } C _ { 1 2 } C _ { 2 1 } } \\end{array}$ has non-negative eigenvalues. Thus, $W _ { 2 }$ is positive semi-definite. We conclude that $W _ { 1 } + W _ { 2 } ^ { }$ is positive semi-definite (sum of positive semi-definite matrices is positive semi-definite) and the claim follows. ", + "bbox": [ + 173, + 481, + 826, + 525 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "For the induction step, suppose that the claim holds for an $n = k - 1 \\ge 2$ . To establish that it also holds for $k$ , we need to show that ", + "bbox": [ + 173, + 530, + 823, + 559 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/915cb12faba052ec3055927a9f17c6ce3efa1c50268501711997a1739b8e68e2.jpg", + "text": "$$\n\\| C \\| _ { 2 } : = \\left\\| \\left( \\begin{array} { c c c c } { C _ { 1 1 } } & { C _ { 1 2 } } & { . . . } & { C _ { 1 k } } \\\\ { C _ { 2 1 } } & { C _ { 2 2 } } & { . . . } & { C _ { 2 k } } \\\\ { \\vdots } & { \\vdots } & { \\vdots } & { \\vdots } \\\\ { C _ { k 1 } } & { C _ { k 2 } } & { . . . } & { C _ { k k } } \\end{array} \\right) \\right\\| _ { 2 } \\leq k L\n$$", + "text_format": "latex", + "bbox": [ + 334, + 564, + 663, + 635 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "as long as $\\| C _ { i j } \\| _ { 2 } \\leq L$ for all $i , j$ . Let $W = k L \\cdot I - C$ . To show that $W$ is positive semi-definite consider ", + "bbox": [ + 171, + 640, + 825, + 670 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/8b74cdc5cceaac6956944073c75a1d3e996bacd2f2b77cc6174481ef763dbc37.jpg", + "text": "$$\nW _ { 1 } : = \\left( \\begin{array} { c c c c c } { { k L \\cdot I - C _ { 1 1 } } } & { { - C _ { 1 2 } } } & { { - C _ { 1 3 } } } & { { \\ldots } } & { { - C _ { 1 k } } } \\\\ { { - C _ { 2 1 } } } & { { L \\cdot I } } & { { 0 } } & { { \\ldots } } & { { 0 } } \\\\ { { \\vdots } } & { { \\vdots } } & { { \\vdots } } & { { \\vdots } } & { { } } \\\\ { { - C _ { k 1 } } } & { { 0 } } & { { 0 } } & { { \\ldots } } & { { L \\cdot I } } \\end{array} \\right) , W _ { 2 } : = W - W _ { 1 } .\n$$", + "text_format": "latex", + "bbox": [ + 243, + 671, + 753, + 742 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "By induction, it follows that $W _ { 2 }$ is positive semi-definite. We need to show that the same holds for $W _ { 1 }$ . By Schur complement we obtain that $W _ { 1 }$ is positive semi-definite if and only if $k L \\cdot I - C _ { 1 1 } -$ 1L Pki=2 C1iCi1 is positive semi-definite. It follows that ", + "bbox": [ + 176, + 747, + 823, + 792 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/80926cc2bfcdb870e73f2e55a20c095b297fa2b24cf1fd6e8e8e30a5ac1f1de6.jpg", + "text": "$$\n\\left\\| C _ { 1 1 } - { \\frac { 1 } { L } } \\sum _ { i } C _ { 1 i } C _ { i 1 } \\right\\| _ { 2 } \\leq \\left\\| C _ { 1 1 } \\right\\| _ { 2 } + { \\frac { 1 } { L } } \\sum _ { i = 2 } ^ { k } \\left\\| C _ { 1 i } \\right\\| _ { 2 } \\left\\| C _ { i 1 } \\right\\| _ { 2 } \\leq L + ( k - 1 ) L = k L .\n$$", + "text_format": "latex", + "bbox": [ + 215, + 799, + 777, + 844 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Hence $W _ { 1 }$ is positive semi-definite and the induction is complete. ", + "bbox": [ + 173, + 849, + 604, + 864 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Returning to the statement of Lemma D.4, we will show that ", + "bbox": [ + 173, + 878, + 573, + 895 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/8a643eddaa892c7e268aa52342b639e3c1c69ddb900f6078046f40d2117bee5d.jpg", + "text": "$$\n\\left. \\nabla _ { \\pi _ { j } \\pi _ { i } } ^ { 2 } V _ { \\mu } ^ { j } \\right. _ { 2 } \\leq C ,\n$$", + "text_format": "latex", + "bbox": [ + 436, + 900, + 563, + 928 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "for all $i , j \\in \\mathcal { N }$ with $C$ chosen to be 2γAmax(1−γ)3 . Assuming we have shown (14), we conclude from Claim D.5 that $\\left. \\nabla ^ { 2 } \\Phi _ { \\mu } \\right. _ { 2 } \\leq n C$ , and hence $\\Phi$ will be $n C$ -smooth (the proof of Lemma D.4 will follow). ", + "bbox": [ + 173, + 102, + 826, + 151 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "To prove (14), we follow the same proof steps as in the proof of Agarwal et al. (2020), Lemma D.3. We will need to prove an upper bound on the largest eigenvalue (in absolute value) of the matrix ", + "bbox": [ + 173, + 156, + 823, + 186 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/9d6f93b29836cd0eb1fe99a0cb785d841d3196e0834ed7845c1d7fe4e48961cd.jpg", + "text": "$$\n\\nabla _ { \\pi _ { j } \\pi _ { i } } ^ { 2 } V _ { \\mu } ^ { j } = \\nabla _ { \\pi _ { j } \\pi _ { i } } ^ { 2 } V _ { \\mu } ^ { i } ,\n$$", + "text_format": "latex", + "bbox": [ + 423, + 189, + 573, + 210 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "along the direction where only agent $i$ is allowed to change policy. ", + "bbox": [ + 173, + 213, + 611, + 229 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Fix policy $\\pi = ( \\pi _ { 1 } , . . . , \\pi _ { n } )$ , agents $i \\neq j$ , scalars $t , s \\geq 0$ , state $s _ { 0 }$ and $u , v$ be unit vectors such that $\\pi _ { i } + t \\cdot u \\in \\Delta ( \\mathcal { A } _ { i } ) ^ { S }$ and $\\pi _ { j } + s \\cdot v \\in \\Delta ( { \\mathcal { A } } _ { j } ) ^ { S }$ . Moreover, let $V ( t ) = V _ { s _ { 0 } } ^ { i } ( \\pi _ { i } + t \\cdot u , \\pi _ { - i } )$ . and $W ( t , s ) = V _ { s _ { 0 } } ^ { i } ( \\pi _ { i } + t \\cdot u , \\pi _ { j } + s \\cdot v , \\pi _ { - i , - j } )$ . It suffices to show that ", + "bbox": [ + 173, + 234, + 826, + 281 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/d706209e2a0bd3d6a73e32b28f2fa168ab73e449d3112f1f2061245b0b0599ba.jpg", + "text": "$$\n\\operatorname* { m a x } _ { \\| u \\| _ { 2 } = 1 } \\left| \\frac { d ^ { 2 } V ( 0 ) } { d t ^ { 2 } } \\right| \\leq \\frac { 2 \\gamma | \\mathcal { A } _ { i } | } { ( 1 - \\gamma ) ^ { 3 } } \\mathrm { ~ a n d ~ } \\operatorname* { m a x } _ { \\| u \\| _ { 2 } = 1 } \\left| \\frac { d ^ { 2 } W ( 0 , 0 ) } { d t d s } \\right| \\leq \\frac { 2 \\gamma \\sqrt { | \\mathcal { A } _ { i } | | \\mathcal { A } _ { j } | } } { ( 1 - \\gamma ) ^ { 3 } } .\n$$", + "text_format": "latex", + "bbox": [ + 256, + 286, + 743, + 324 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "• We first focus on $V ( t )$ . It holds that ", + "bbox": [ + 174, + 335, + 434, + 351 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/5c28f9e74faa64cb7a0c33ddfbc563497e3d575b3a7d77a3b4d0314fd0982626.jpg", + "text": "$$\nV ( t ) = \\sum _ { a \\in A _ { i } } \\sum _ { \\mathbf { a } \\in A _ { - i } } \\left( x _ { i , s _ { 0 } , a } + t u _ { i , s _ { 0 } , a } \\right) \\prod _ { j \\neq i } x _ { j , s _ { 0 } , a _ { j } } Q _ { s _ { 0 } } ^ { i } ( ( \\pi _ { i } + t u , \\pi _ { - i } ) , ( a , \\mathbf { a } ) )\n$$", + "text_format": "latex", + "bbox": [ + 243, + 356, + 753, + 391 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "(note that $\\begin{array} { r } { \\sum _ { a \\in A _ { i } } \\sum _ { { \\bf a } \\in A _ { - i } } ( x _ { i , s _ { 0 } , a } + t u _ { i , s _ { 0 } , a } ) \\prod _ { j \\not = i } x _ { j , s _ { 0 } , a _ { j } } = 1 } \\end{array}$ since it is a distribution), hence taking the second derivative we have ", + "bbox": [ + 173, + 396, + 825, + 428 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/42ea8fd2f9b2a07a6bf8284baef95d5d15e5deb9e00c3de9742b6b0eb4b1ff71.jpg", + "text": "$$\n\\begin{array} { c } { \\displaystyle \\frac { d ^ { 2 } V ( 0 ) } { d t ^ { 2 } } = \\sum _ { a \\in A _ { i } } \\displaystyle \\sum _ { \\mathbf { a } \\in A _ { - i } } { ( x _ { i , s _ { 0 } , a } + t u _ { i , s _ { 0 } , a } ) \\prod _ { j \\neq i } { x _ { j , s _ { 0 } , a _ { j } } \\frac { d ^ { 2 } Q _ { s _ { 0 } } ^ { i } ( \\pi , ( a , \\mathbf { a } ) ) } { d t ^ { 2 } } } } } \\\\ { \\displaystyle + \\sum _ { a \\in A _ { i } } \\sum _ { \\mathbf { a } \\in A _ { - i } } { u _ { i , s _ { 0 } , a } \\prod _ { j \\neq i } { x _ { j , s _ { 0 } , a _ { j } } \\frac { d Q _ { s _ { 0 } } ^ { i } ( \\pi , ( a , \\mathbf { a } ) ) } { d t } } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 266, + 431, + 730, + 518 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "For the remaining of the first part of the proof, we shall show ", + "bbox": [ + 173, + 522, + 575, + 536 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/353c257a648219b17612ad73a6ec36dcb58dfc7db243159ba47d934834e4f094.jpg", + "text": "$$\n\\left. \\frac { d Q _ { s _ { 0 } } ^ { i } ( \\pi , ( a , \\mathbf { a } ) ) } { d t } \\right. \\leq \\frac { \\gamma \\sqrt { | A _ { i } | } } { ( 1 - \\gamma ) ^ { 2 } } \\mathrm { ~ a n d ~ } \\left. \\frac { d ^ { 2 } Q _ { s _ { 0 } } ^ { i } ( \\pi , ( a , \\mathbf { a } ) ) } { d t ^ { 2 } } \\right. \\leq \\frac { 2 \\gamma ^ { 2 } | A _ { i } | } { ( 1 - \\gamma ) ^ { 3 } } ,\n$$", + "text_format": "latex", + "bbox": [ + 272, + 541, + 722, + 579 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "and then combining with (16) we get ", + "bbox": [ + 174, + 582, + 418, + 597 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/f25218c521f54a0379d2d70c4a80258a40011f8a56b4821217fb910a1eea73b0.jpg", + "text": "$$\n\\Big | \\frac { d ^ { 2 } V ( 0 ) } { d t ^ { 2 } } \\Big | \\leq \\frac { 2 \\gamma \\sqrt { | \\mathcal { A } _ { i } | } } { ( 1 - \\gamma ) ^ { 2 } } \\sum _ { a \\in \\mathcal { A } _ { i } } | u _ { i , s _ { 0 } , a } | + \\frac { 2 \\gamma ^ { 2 } | \\mathcal { A } _ { i } | } { ( 1 - \\gamma ) ^ { 3 } } \\leq \\frac { 2 \\gamma | \\mathcal { A } _ { i } | } { ( 1 - \\gamma ) ^ { 2 } } + \\frac { 2 \\gamma ^ { 2 } | \\mathcal { A } _ { i } | } { ( 1 - \\gamma ) ^ { 3 } } \\leq \\frac { 2 \\gamma \\mathcal { A } _ { \\operatorname* { m a x } } } { ( 1 - \\gamma ) ^ { 3 } } .\n$$", + "text_format": "latex", + "bbox": [ + 207, + 601, + 787, + 642 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "To bound the derivative of the $Q$ -function, observe that $Q _ { s _ { 0 } } ^ { i } ( ( \\pi _ { i } + t u , \\pi _ { - i } ) , ( a , \\mathbf a ) ) = e _ { s _ { 0 } , a } ^ { \\top } ( I -$ ${ \\gamma } P ( t ) ) ^ { - 1 } r$ , where $r ( s _ { 0 } , a )$ is the expected reward of agent $i$ (w.r.t the randomness of the remaining agents) if he chooses action $a$ at state $s _ { 0 }$ and $P ( t )$ is state-action transition matrix of w.r.t the joint distribution of all agents but $i$ , i.e., $\\pi _ { - i }$ and the environment. ", + "bbox": [ + 173, + 648, + 826, + 709 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "It is clear that $\\begin{array} { r } { \\frac { d ^ { 2 } P } { d t ^ { 2 } } = 0 } \\end{array}$ (linear with respect to √ √ $t$ due to the direct parameterization) and that $\\begin{array} { r } { \\left. \\frac { d P } { d t } \\right. _ { \\infty } \\le \\sum _ { a \\in \\mathcal { A } _ { i } } \\left| u _ { i , s _ { 0 } , a } \\right| \\le \\sqrt { \\mathcal { A } _ { i } } \\le \\sqrt { A _ { \\operatorname* { m a x } } } . } \\end{array}$ . Using that $\\begin{array} { r } { \\left\\| ( I - \\gamma P ( t ) ) ^ { - 1 } \\right\\| _ { \\infty } \\leq \\frac { 1 } { 1 - \\gamma } } \\end{array}$ , we get ", + "bbox": [ + 173, + 717, + 825, + 753 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/edd01976aa229572af279ddb40b9a07be961b39084d53628c3c7b9163177e847.jpg", + "text": "$$\n\\left. \\frac { d Q _ { s _ { 0 } } ^ { i } ( \\pi , ( a , \\mathbf { a } ) ) } { d t } \\right. = \\gamma \\left. e _ { s _ { 0 } , a } ^ { \\top } ( I - \\gamma P ( 0 ) ) ^ { - 1 } \\frac { d P ( 0 ) } { d t } ( I - \\gamma P ( 0 ) ) ^ { - 1 } r \\right. \\leq \\frac { \\gamma \\sqrt { | A _ { i } | } } { ( 1 - \\gamma ) ^ { 2 } } \\leq \\frac { \\gamma \\sqrt { A _ { \\operatorname* { m a x } } } } { ( 1 - \\gamma ) ^ { 2 } } ,\n$$", + "text_format": "latex", + "bbox": [ + 184, + 757, + 810, + 795 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "and also ", + "bbox": [ + 173, + 818, + 232, + 830 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/73ff5c513f0d64dc7bb1b40b3ea2520e75592f16c4993145b24e2f29e5dd8dd4.jpg", + "text": "$$\n\\begin{array} { r l r } { { \\frac { d ^ { 2 } Q _ { s _ { 0 } } ^ { i } ( \\pi , ( a , { \\mathbf a } ) ) } { d t ^ { 2 } } = 2 \\gamma ^ { 2 } e _ { s _ { 0 } , a } ^ { \\top } ( I - \\gamma P ( 0 ) ) ^ { - 1 } \\frac { d P ( 0 ) } { d t } ( I - \\gamma P ( 0 ) ) ^ { - 1 } \\frac { d P ( 0 ) } { d t } ( I - \\gamma P ( 0 ) ) ^ { - 1 } r } } \\\\ & { } & { \\leq \\frac { 2 \\gamma ^ { 2 } A _ { i } } { ( 1 - \\gamma ) ^ { 3 } } \\leq \\frac { 2 \\gamma ^ { 2 } A _ { \\operatorname* { m a x } } } { ( 1 - \\gamma ) ^ { 3 } } , \\qquad ( 1 \\pi \\gamma ) ^ { - 1 } \\beta } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 186, + 834, + 810, + 909 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Since $u$ is arbitrary, the first part of (15) is proved. ", + "bbox": [ + 173, + 909, + 503, + 924 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "• For the second part, we focus on $W ( t )$ which is equal to ", + "bbox": [ + 173, + 102, + 570, + 118 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/201c23879653c7cfd781e9365bc3b7cbb4e7b4ee8dfde13c0d70ca12a81dd49f.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle W ( t , s ) = \\sum _ { a \\in \\mathcal { A } _ { i } } \\sum _ { b \\in \\mathcal { A } _ { j } } \\sum _ { \\mathbf { a } \\in \\mathcal { A } _ { - i , - j } } ( x _ { i , s _ { 0 } , a } + t u _ { i , s _ { 0 } , a } ) ( x _ { j , s _ { 0 } , b } + s v _ { j , s _ { 0 } , b } ) } . } \\\\ { { \\displaystyle \\qquad \\cdot \\prod _ { j ^ { \\prime } \\neq i , j } x _ { j ^ { \\prime } , s _ { 0 } , a _ { j ^ { \\prime } } } Q _ { s _ { 0 } } ^ { i } ( ( \\pi _ { i } + t u , \\pi _ { j } + s v , \\pi _ { - i , - j } ) , ( a , b , \\mathbf { a } ) ) } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 269, + 119, + 725, + 191 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "We consider the derivative of $W$ (19) and we get ", + "bbox": [ + 173, + 193, + 493, + 207 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/79f9db20fb65c091db4958c9cdda74556cc48efdd0b93134df1700e9c9172ee8.jpg", + "text": "$$\n\\begin{array} { r l } { \\cfrac { d W ( 0 , 0 ) } { d t d s } = \\displaystyle \\sum _ { a \\in \\mathcal { A } _ { i } } \\displaystyle \\sum _ { b \\in \\mathcal { A } _ { j } } \\displaystyle \\sum _ { \\mathbf { a } \\in \\mathcal { A } _ { - i , - j } } u _ { i , s _ { 0 } , a } v _ { j , s _ { 0 } , b } \\cdot \\displaystyle \\prod _ { j ^ { \\prime } \\neq i , j } x _ { j ^ { \\prime } , s _ { 0 } , a _ { j ^ { \\prime } } } Q _ { s _ { 0 } } ^ { i } ( \\pi , ( a , b , \\mathbf { a } ) ) } & { } \\\\ { \\displaystyle } & { + \\displaystyle \\sum _ { a \\in \\mathcal { A } _ { i } } \\displaystyle \\sum _ { \\mathbf { a } \\in \\mathcal { A } _ { - i } } u _ { i , s _ { 0 } , a } \\cdot \\displaystyle \\prod _ { j ^ { \\prime } \\neq i } x _ { j ^ { \\prime } , s _ { 0 } , a _ { j ^ { \\prime } } } \\frac { d Q _ { s _ { 0 } } ^ { i } ( \\pi , ( a , \\mathbf { a } ) ) } { d t } } \\\\ { \\displaystyle } & { + \\displaystyle \\sum _ { b \\in \\mathcal { A } _ { j } } \\displaystyle \\sum _ { \\mathbf { a } \\in \\mathcal { A } _ { - j } } v _ { j , s _ { 0 } , b } \\cdot \\displaystyle \\prod _ { j ^ { \\prime } \\neq j } x _ { j ^ { \\prime } , s _ { 0 } , a _ { j ^ { \\prime } } } \\frac { d Q _ { s _ { 0 } } ^ { i } ( \\pi , ( b , \\mathbf { a } ) ) } { d t } + \\displaystyle \\sum _ { \\mathbf { a } \\in \\mathcal { A } } \\displaystyle \\prod _ { j ^ { \\prime } } x _ { j ^ { \\prime } , s _ { 0 } , a _ { j ^ { \\prime } } } \\frac { d ^ { 2 } Q _ { s _ { 0 } } ^ { i } ( \\pi , \\mathbf { a } ) } { d t d s } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 183, + 210, + 816, + 337 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "The first term of the sum in absolute value is at most $\\frac { \\sqrt { | \\mathcal { A } _ { i } | | \\mathcal { A } _ { j } | } } { 1 - \\gamma }$ (assuming rewards lie in $[ 0 , 1 ]$ .) Moreover, using (17) the second term of the sum in absolute value is bounded by $\\frac { \\gamma \\sqrt { | \\mathcal { A } _ { i } | } \\sqrt { | \\mathcal { A } _ { i } | } } { ( 1 - \\gamma ) ^ { 2 } }$ and the third term by γ |Aj | |Ai| . To bound the $\\frac { d ^ { 2 } Q _ { s _ { 0 } } ^ { i } ( \\pi , \\mathbf { a } ) } { d t d s }$ , the same approach works that we used to prove (18) with the extra fact that the state-action transition matrix is $P ( t , s )$ and moreover, the reward $r ( s _ { 0 } , a , b )$ is the expected reward of agent $i$ (w.r.t the randomness of all agents but $i , j )$ if $i$ chooses action $a$ and $j$ chooses $b$ at state $s _ { 0 }$ . Finally, for the fourth term we get that ", + "bbox": [ + 173, + 337, + 826, + 454 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/eb313f780048f8d985a899a7a97d41aa5f3d72fccdb3bb2b30dbd331064bca72.jpg", + "text": "$$\n\\begin{array} { r l } & { \\left| \\frac { \\langle \\boldsymbol { u } ^ { \\top } \\boldsymbol { \\mathfrak { c } } _ { \\mathrm { s o } } ( T , \\mathfrak { a } , \\mathfrak { u } ) \\rangle } { \\boldsymbol { d t } d \\mathfrak { s } } \\right| \\leq } \\\\ & { \\leq \\gamma ^ { 2 } \\left| \\boldsymbol { \\mathfrak { c } } _ { \\mathrm { s o } , a } ^ { \\top } ( I - \\gamma P ( 0 , 0 ) ) ^ { - 1 } \\frac { d P ( 0 , 0 ) } { d s } ( I - \\gamma P ( 0 , 0 ) ) ^ { - 1 } \\frac { d P ( 0 , 0 ) } { d t } ( I - \\gamma P ( 0 , 0 ) ) ^ { - 1 } r \\right| + } \\\\ & { + \\gamma ^ { 2 } \\left| \\boldsymbol { \\mathfrak { c } } _ { \\mathrm { s o } , a } ^ { \\top } ( I - \\gamma P ( 0 , 0 ) ) ^ { - 1 } \\frac { d P ( 0 , 0 ) } { d t } ( I - \\gamma P ( 0 , 0 ) ) ^ { - 1 } \\frac { d P ( 0 , 0 ) } { d s } ( I - \\gamma P ( 0 , 0 ) ) ^ { - 1 } r \\right| + } \\\\ & { + \\gamma \\left| \\boldsymbol { \\mathfrak { c } } _ { \\mathrm { s o } , a } ^ { \\top } ( I - \\gamma P ( 0 , 0 ) ) ^ { - 1 } \\frac { d ^ { 2 } P ( 0 , 0 ) } { d t ^ { 2 } } ( I - \\gamma P ( 0 , 0 ) ) ^ { - 1 } r \\right| } \\\\ & { \\leq \\frac { \\gamma ^ { 2 } \\sqrt { | \\mathfrak { A } _ { i } | | | \\mathcal { A } _ { j } | } } { ( 1 - \\gamma ) ^ { 3 } } + \\frac { \\gamma ^ { 2 } \\sqrt { | \\mathfrak { A } _ { i } | | | \\mathcal { A } _ { j } | } } { ( 1 - \\gamma ) ^ { 3 } } + \\frac { \\gamma \\sqrt { | \\mathfrak { A } _ { i } | | | \\mathcal { A } _ { j } | } } { ( 1 - \\gamma ) ^ { 2 } } \\leq \\frac { 2 \\gamma \\sqrt { | \\mathfrak { A } _ { i } | | | \\mathcal { A } _ { j } | } } { ( 1 - \\gamma ) ^ { 3 } } \\leq \\frac { 2 \\gamma \\mathcal { A } _ { \\operatorname* { m a x } } } { ( 1 - \\gamma ) ^ { 3 } } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 207, + 462, + 792, + 636 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Proof of Theorem 4.2. The first step is to show that $\\Phi$ is a $\\beta$ -smooth function, in particular, that $\\nabla _ { \\pi } \\Phi$ is $\\beta$ -Lipschitz with 2nγAmax(1−γ)3 as established in Lemma D.4. Then, a standard ascent lemma for Gradient Ascent (see Lemma C.1 from Bubeck (2015)) implies that for any $\\beta$ -smooth function $f$ it holds that $\\begin{array} { r } { f ( x ^ { \\prime } ) - f ( x ) \\geq \\frac { 1 } { 2 \\beta } \\left\\| x ^ { \\prime } - x \\right\\| _ { 2 } ^ { 2 } } \\end{array}$ where $x ^ { \\prime }$ is the next iterate of equation PGA. Applied to our setting, this gives ", + "bbox": [ + 173, + 645, + 826, + 724 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/82c5d76d84edd36f2d7ba1271f503800a6c8c09ad99b5fa3efe093c4df63dc87.jpg", + "text": "$$\n\\Phi _ { \\mu } ( \\pi ^ { ( t + 1 ) } ) - \\Phi _ { \\mu } ( \\pi ^ { ( t ) } ) \\geq \\frac { ( 1 - \\gamma ) ^ { 3 } } { 4 n \\gamma A _ { \\operatorname* { m a x } } } \\left\\| \\pi ^ { ( t + 1 ) } - \\pi ^ { ( t ) } \\right\\| _ { 2 } ^ { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 316, + 726, + 681, + 760 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Thus, if the number of iterates, $T$ , is $\\frac { 1 6 n \\gamma D ^ { 2 } S A _ { \\mathrm { m a x } } } { ( 1 - \\gamma ) ^ { 5 } \\epsilon ^ { 2 } }$ , then there must exist a $1 \\leq t \\leq T$ so that $\\begin{array} { r } { \\left. \\pi ^ { ( t + 1 ) } - \\pi ^ { ( t ) } \\right. _ { 2 } \\leq \\frac { \\epsilon ( 1 - \\gamma ) } { 2 D \\sqrt { S } } } \\end{array}$ \u000f(1−γ)2D√S . Using a standard approximation property (see Lemma C.2), we then conclude that $\\pi ^ { ( t + 1 ) }$ will be a $\\frac { \\epsilon ( 1 - \\gamma ) } { D \\sqrt { S } }$ -stationary point for the potential function $\\Phi$ . Hence, by Lemma 4.1, it follows that $\\pi ^ { ( t + 1 ) }$ is an $\\epsilon$ -Nash policy and the proof is complete. □ ", + "bbox": [ + 173, + 761, + 826, + 840 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "D.2 FINITE SAMPLE CASE ", + "text_level": 1, + "bbox": [ + 174, + 854, + 372, + 871 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Proof of Lemma 4.3. It is straightforward from Lemma C.4 and the equality of the partial derivatives between the value functions and the potential, i.e., $\\nabla _ { \\pi _ { i } } \\Phi _ { \\mu } = \\nabla _ { \\pi _ { i } } V _ { \\mu } ^ { i }$ for all $i \\in \\mathcal N$ (see property P2 in Proposition B.1). □ ", + "bbox": [ + 174, + 881, + 825, + 924 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Proof of Theorem 4.4. Let $\\delta _ { t } = \\hat { \\nabla } _ { \\pi } ^ { ( t ) } - \\nabla _ { \\pi } \\Phi _ { \\mu } ( \\pi ^ { ( t ) } )$ and set $\\begin{array} { r } { \\lambda = \\frac { ( 1 - \\gamma ) ^ { 3 } } { 2 n \\gamma A _ { \\mathrm { { m a x } } } } } \\end{array}$ (the inverse of the smooth parameter in D.4). Moreover, we set $y ^ { ( t + 1 ) } = P _ { \\Delta ( A ) ^ { S } } ( \\pi ^ { ( t ) } + \\eta \\nabla _ { \\pi } \\Phi ( \\pi ^ { ( t ) } ) ) \\left( y ^ { ( t + 1 ) } \\right.$ captures the next iterate of the projected (deterministic) gradient ascent). We follow the analysis of Projected Stochastic Gradient Ascent for non-convex smooth-functions (see Davis & Drusvyatskiy (2018), Theorem 2.1) that makes use of the Moreau envelope. Let ", + "bbox": [ + 173, + 101, + 826, + 180 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/4dd8fb5b52e12528e7b15c80505b784c92b3dc6775c320055c5585a55cb87535.jpg", + "text": "$$\n\\phi _ { \\lambda } ( x ) = \\underset { y \\in \\Delta ( \\mathcal { A } ) } { \\arg \\operatorname* { m i n } } \\left\\{ - \\Phi _ { \\mu } ( y ) + \\frac { 1 } { \\lambda } \\left. x - y \\right. _ { 2 } ^ { 2 } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 346, + 184, + 650, + 220 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "(definition of Moreau envelope for our objective $\\Phi$ ). From the definition of $\\phi$ and a standard property of projection we get ", + "bbox": [ + 176, + 224, + 823, + 256 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/2528ab822f31935216d4f40a0fe0460a25feb86d0632432d7571250cc3edd4cd.jpg", + "text": "$$\n\\begin{array} { r l r } { { \\phi _ { \\lambda } ( \\pi ^ { ( t + 1 ) } ) \\leq - \\Phi _ { \\mu } ( y ^ { ( t + 1 ) } ) + \\frac { 1 } { \\lambda } \\| \\pi ^ { ( t + 1 ) } - y ^ { ( t + 1 ) } \\| _ { 2 } ^ { 2 } } } \\\\ & { } & { \\quad \\leq - \\Phi _ { \\mu } ( y ^ { ( t + 1 ) } ) + \\frac { 1 } { \\lambda } \\| \\pi ^ { ( t ) } + \\eta \\hat { \\nabla } _ { \\pi } ^ { ( t ) } - y ^ { ( t + 1 ) } \\| _ { 2 } ^ { 2 } } \\\\ & { } & { \\quad = - \\Phi _ { \\mu } ( y ^ { ( t + 1 ) } ) + \\frac { 1 } { \\lambda } \\| \\pi ^ { ( t ) } - y ^ { ( t + 1 ) } \\| _ { 2 } ^ { 2 } + \\frac { \\eta ^ { 2 } } { \\lambda } \\| \\hat { \\nabla } _ { \\pi } ^ { ( t ) } \\| _ { 2 } ^ { 2 } + \\frac { 2 \\eta } { \\lambda } ( \\pi ^ { ( t ) } - y ^ { ( t + 1 ) } ) ^ { \\top } \\hat { \\nabla } _ { \\pi } ^ { ( t ) } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 192, + 258, + 807, + 354 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Since $\\hat { \\nabla } _ { \\pi } ^ { ( t ) }$ is unbiased (Lemma 4.3) we have that $\\mathbb { E } [ \\delta _ { t } | \\pi ^ { ( t ) } ] = 0$ , therefore $\\mathbb { E } \\left[ \\delta _ { t } ^ { \\top } ( y ^ { ( t + 1 ) } - \\pi ^ { ( t ) } ) \\right] =$ 0. Additionally, by Lemma 4.3 (applied for all agents $\\romannumeral 1$ ) we also have $\\begin{array} { r } { \\mathbb { E } \\left[ \\left\\| \\hat { \\nabla } _ { \\pi } ^ { ( t ) } \\right\\| _ { 2 } ^ { 2 } \\right] \\leq \\frac { 2 4 n A _ { \\operatorname* { m a x } } ^ { 2 } } { \\epsilon ( 1 - \\gamma ) ^ { 4 } } } \\end{array}$ . Hence by taking expectation on (21) we have: ", + "bbox": [ + 173, + 358, + 825, + 422 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/2a381b322d3973bb5f4e153e18dc701fe1d301f33e75f5ab0d458d859bc86063.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\mathtt { c } [ \\phi _ { \\lambda } ( \\pi ^ { ( t + 1 ) } ) ] \\le } \\\\ { \\displaystyle \\le \\mathbb { E } \\left[ - \\Phi _ { \\mu } ( y ^ { ( t + 1 ) } ) + \\frac { 1 } { \\lambda } \\left\\| \\pi ^ { ( t ) } - y ^ { ( t + 1 ) } \\right\\| _ { 2 } ^ { 2 } \\right] + \\frac { 2 \\eta } { \\lambda } \\mathbb { E } [ ( \\pi ^ { ( t ) } - y ^ { ( t + 1 ) } ) ^ { \\top } \\nabla _ { \\pi } \\Phi _ { \\mu } ( \\pi ^ { ( t ) } ) ] + \\frac { 2 4 \\eta ^ { 2 } n A _ { \\operatorname* { m a x } } ^ { 2 } } { \\lambda \\epsilon ( 1 - \\gamma ) ^ { 4 } } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 173, + 426, + 826, + 483 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Using the definition of Moreau envelope and the fact that $\\Phi$ is $\\textstyle { \\frac { 1 } { \\lambda } }$ -smooth (Lemma D.4, after the parameterization, the smoothness parameter does not increase) we conclude that ", + "bbox": [ + 173, + 487, + 823, + 517 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/68b270dc318c189a8fa12961653e1052c8ef1d6c719e5332244e5d3abaede9a7.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { E } [ \\phi _ { \\lambda } ( \\pi ^ { ( t + 1 ) } ) ] \\leq } \\\\ & { \\leq \\mathbb { E } [ \\phi _ { \\lambda } ( \\pi ^ { ( t ) } ) ] + \\frac { 2 \\eta } { \\lambda } \\mathbb { E } [ ( \\pi ^ { ( t ) } - y ^ { ( t + 1 ) } ) ^ { \\top } \\nabla _ { \\pi } \\Phi _ { \\mu } ( \\pi ^ { ( t ) } ) ] + \\frac { 2 4 \\eta ^ { 2 } n A _ { \\operatorname* { m a x } } ^ { 2 } } { \\lambda \\epsilon ( 1 - \\gamma ) ^ { 4 } } } \\\\ & { \\leq \\mathbb { E } [ \\phi _ { \\lambda } ( \\pi ^ { ( t ) } ) ] + \\frac { 2 \\eta } { \\lambda } \\mathbb { E } \\left[ \\Phi _ { \\mu } ( \\pi ^ { ( t ) } ) - \\Phi _ { \\mu } ( y ^ { ( t + 1 ) } ) + \\frac { 1 } { 2 \\lambda } \\left\\| \\pi ^ { ( t ) } - y ^ { ( t + 1 ) } \\right\\| _ { 2 } ^ { 2 } \\right] + \\frac { 2 4 \\eta ^ { 2 } n A _ { \\operatorname* { m a x } } ^ { 2 } } { \\lambda \\epsilon ( 1 - \\gamma ) ^ { 4 } } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 202, + 521, + 794, + 614 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "or equivalently ", + "bbox": [ + 173, + 617, + 274, + 632 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/f2384a9c38f82d9465635876e894e464b673fbd2ed6791c84bf1b2e88f8c8a12.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { E } [ \\phi _ { \\lambda } ( \\pi ^ { ( t + 1 ) } ) ] - \\mathbb { E } [ \\phi _ { \\lambda } ( \\pi ^ { ( t ) } ) ] \\le } \\\\ & { \\le \\displaystyle \\frac { 2 \\eta } { \\lambda } \\mathbb { E } \\left[ \\Phi _ { \\mu } ( \\pi ^ { ( t ) } ) - \\Phi _ { \\mu } ( y ^ { ( t + 1 ) } ) + \\frac { 1 } { 2 \\lambda } \\left\\| \\pi ^ { ( t ) } - y ^ { ( t + 1 ) } \\right\\| _ { 2 } ^ { 2 } \\right] + \\frac { 2 4 \\eta ^ { 2 } n A _ { \\operatorname* { m a x } } ^ { 2 } } { \\lambda \\epsilon ( 1 - \\gamma ) ^ { 4 } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 253, + 636, + 743, + 694 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Adding telescopically (22), dividing by $T$ and because w.l.o.g $- \\Phi \\in [ - 1 , 0 ]$ , we get that ", + "bbox": [ + 171, + 696, + 753, + 713 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/4bc59b0ad4ced458a3a65846ac25369a24806959d074b4af22e7c86d18c1b6a4.jpg", + "text": "$$\n\\begin{array} { r l } & { \\displaystyle \\frac { 1 } { T } + \\frac { 2 4 \\eta ^ { 2 } n A _ { \\operatorname* { m a x } } ^ { 2 } } { \\lambda \\epsilon ( 1 - \\gamma ) ^ { 4 } } \\geq \\frac { 2 \\eta } { \\lambda T } \\sum _ { t = 1 } ^ { T } \\mathbb { E } [ \\Phi _ { \\mu } \\bigl ( y ^ { ( t + 1 ) } \\bigr ) - \\Phi _ { \\mu } \\bigl ( \\pi ^ { ( t ) } \\bigr ) ] - \\frac { \\eta } { \\lambda ^ { 2 } T } \\sum _ { t = 1 } ^ { T } \\mathbb { E } [ y ^ { ( t + 1 ) } - \\pi ^ { ( t ) } _ { 2 } ^ { 2 } ] } \\\\ & { \\qquad \\geq \\displaystyle \\operatorname* { m i n } _ { t \\in [ T ] } \\{ \\frac { 2 \\eta } { \\lambda } \\mathbb { E } [ \\Phi _ { \\mu } \\bigl ( y ^ { ( t + 1 ) } \\bigr ) - \\Phi _ { \\mu } \\bigl ( \\pi ^ { ( t ) } \\bigr ) ] - \\frac { \\eta } { \\lambda ^ { 2 } } \\mathbb { E } \\bigl [ y ^ { ( t + 1 ) } - \\pi ^ { ( t ) } _ { 2 } ^ { 2 } ] \\} } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 183, + 717, + 785, + 797 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Let $^ { t * }$ be the time index that minimizes the above. We show the following inequality (which provides a lower bound on the RHS of (23): ", + "bbox": [ + 173, + 806, + 825, + 837 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/7e41c3ca886858f0d0f56253818d784bdd05d360d1274a4a80148155bdb2865e.jpg", + "text": "$$\n\\mathbb { E } \\left[ \\Phi _ { \\mu } \\big ( y ^ { ( t * + 1 ) } \\big ) - \\Phi _ { \\mu } \\big ( \\pi ^ { ( t * ) } \\big ) \\right] - \\frac { 1 } { 2 \\lambda } \\mathbb { E } \\left[ \\left\\| y ^ { ( t * + 1 ) } - \\pi ^ { ( t * ) } \\right\\| _ { 2 } ^ { 2 } \\right] \\geq \\frac { 1 } { \\lambda } \\mathbb { E } \\left[ \\left\\| y ^ { ( t * + 1 ) } - \\pi ^ { ( t * ) } \\right\\| _ { 2 } ^ { 2 } \\right]\n$$", + "text_format": "latex", + "bbox": [ + 191, + 840, + 779, + 876 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Observe that by convex and mor $\\textstyle { \\frac { 1 } { \\lambda } }$ -smver, ss of is th $\\Phi _ { \\mu }$ we get thainimizer of $\\begin{array} { r } { H ( x ) : = - \\Phi _ { \\mu } ( x ) + \\frac { 1 } { \\lambda } \\left\\| x - \\pi ^ { ( t * ) } \\right\\| _ { 2 } ^ { 2 } } \\end{array}$ $\\textstyle { \\frac { 1 } { \\lambda } }$ $y ^ { ( t + 1 ) }$ $H$ $H ( \\pi ^ { t * } ) - H ( y ^ { t * + 1 } ) \\geq$ ", + "bbox": [ + 176, + 888, + 825, + 925 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "$\\begin{array} { r l } { { { \\frac { 1 } { 2 \\lambda } } \\| \\pi ^ { t * } - y ^ { t * + 1 } \\| _ { 2 } ^ { 2 } } } \\end{array}$ , or equivalently ", + "bbox": [ + 176, + 101, + 408, + 122 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/5540623fdd96bbdbe68b8c3cad9894b28f9a2d1b547364eaa0082027e23136b0.jpg", + "text": "$$\n\\Phi _ { \\mu } ( y ^ { t * + 1 } ) - \\Phi _ { \\mu } ( \\pi ^ { t * } ) - \\frac { 1 } { \\lambda } \\left\\| \\pi ^ { t * } - y ^ { t * + 1 } \\right\\| _ { 2 } ^ { 2 } \\geq \\frac { 1 } { 2 \\lambda } \\left\\| \\pi ^ { t * } - y ^ { t * + 1 } \\right\\| _ { 2 } ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 274, + 125, + 723, + 155 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "By taking expectation of terms above, (24) follows. Combining (23) with (24) we conclude that ", + "bbox": [ + 171, + 157, + 799, + 172 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/848c92e363021a34f489e9a147bc5f9071ec6aa0ed8609042421e19093189523.jpg", + "text": "$$\n\\frac { 1 } { T } + \\frac { 2 4 \\eta ^ { 2 } n A _ { \\operatorname* { m a x } } ^ { 2 } } { \\lambda \\epsilon ( 1 - \\gamma ) ^ { 4 } } \\geq \\frac { 2 \\eta } { \\lambda ^ { 2 } } \\mathbb { E } \\left[ \\left. \\pi ^ { t * } - y ^ { t * + 1 } \\right. _ { 2 } ^ { 2 } \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 346, + 176, + 651, + 212 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "By Jensen’s inequality it occurs that ", + "bbox": [ + 174, + 215, + 413, + 229 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/9ec66589f547422f64aa94930031391d4f56d8056620e0c2980e0496ad75c535.jpg", + "text": "$$\n\\mathbb { E } \\left[ \\left. y ^ { ( t * + 1 ) } - \\pi ^ { ( t * ) } \\right. _ { 2 } \\right] \\leq \\sqrt { \\frac { \\lambda ^ { 2 } } { 2 \\eta T } + \\eta \\frac { 1 2 n \\lambda A _ { \\operatorname* { m a x } } ^ { 2 } } { \\epsilon ( 1 - \\gamma ) ^ { 4 } } } .\n$$", + "text_format": "latex", + "bbox": [ + 328, + 233, + 668, + 276 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "To get an $\\epsilon$ -Nash policy, we have to bound $\\begin{array} { r } { \\left\\| y ^ { ( t * + 1 ) } - \\pi ^ { ( t * ) } \\right\\| _ { 2 } \\le \\frac { \\epsilon ( 1 - \\gamma ) } { 2 D \\sqrt { S } ( 2 + \\sqrt { n A _ { m a x } } ) } } \\end{array}$ and choose $\\alpha = \\epsilon ^ { 2 }$ in the greedy parameterization. This is true because of Lemma C.3 Lemma 4.1. Hence, we need to choose $\\eta , T$ so that ", + "bbox": [ + 173, + 281, + 825, + 332 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/2106d71073bf44b9b69c19cec4c3a84d4ea53287bc76b7fc8980d7f00127bc41.jpg", + "text": "$$\n\\sqrt { \\frac { \\lambda ^ { 2 } } { 2 \\eta T } + \\eta \\frac { 1 2 n \\lambda A _ { \\operatorname* { m a x } } ^ { 2 } } { \\epsilon ^ { 2 } ( 1 - \\gamma ) ^ { 4 } } } \\leq \\frac { \\epsilon ( 1 - \\gamma ) } { 2 D \\sqrt { S } ( 2 + \\sqrt { n A _ { m a x } } ) } .\n$$", + "text_format": "latex", + "bbox": [ + 328, + 335, + 666, + 377 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "We conclude that $\\eta$ can be chosen to be $\\frac { \\epsilon ^ { 4 } ( 1 - \\gamma ) ^ { 3 } \\gamma } { 4 8 n D ^ { 2 } A _ { \\mathrm { m a x } } ^ { 2 } S }$ and $T$ to be $\\frac { 4 8 ( 1 - \\gamma ) A _ { \\mathrm { m a x } } D ^ { 4 } S ^ { 2 } } { \\epsilon ^ { 6 } \\gamma ^ { 3 } }$ ", + "bbox": [ + 174, + 382, + 722, + 406 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "E ADDITIONAL EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 421, + 442, + 438 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "In this part, we analyze variations of the experimental setting in Section 5. ", + "bbox": [ + 174, + 450, + 658, + 467 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Coordination beyond MPGs. As mentioned in Remark 1, we know that policy gradient converges also in other cooperative settings (e.g., in weighted and asymptotically also in ordinal MPGs). To study such cases, we modify our experiment from Section 5. The setting remains mostly the same, except now in the distancing state the rewards are reduced by a differing (yet still sufficiently large) amount, $c _ { k }$ , for each facility $k = A , B , C , D$ . Despite this asymmetry, agents still have aligned incentives. In fact, if the $c _ { k }$ ’s for all $k = A , B , C , D$ are taken to be greater than $c$ in the MDP from Section 5, then the agents can be said to have even “stronger” incentive to cooperate. The results of running independent policy gradient on this variant are shown in Figure 6. Despite requiring more iterations compared to the symmetric setting, the algorithm still converges to the same Nash policy. ", + "bbox": [ + 173, + 481, + 826, + 608 + ], + "page_idx": 26 + }, + { + "type": "image", + "img_path": "images/ea60c56279a1cd87c8c5d03d532d8a46fc02a9ab2c60cdea498f2530dd8a8aac.jpg", + "image_caption": [ + "Figure 6: Figures similar to Figure 5, except now with $c > c _ { A } > c _ { B } > c _ { C } > c _ { D }$ as described in the text. Independent policy gradient requires more iterations to converge compared to the symmetric shift setting, but still arrives at the same Nash policy. " + ], + "image_footnote": [], + "bbox": [ + 176, + 619, + 816, + 736 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Coordination with more agents and facilities. We next test the performance of the independent policy gradient algorithm in a larger setting with $N = 1 6$ agents and $A _ { i } = 5$ facilities, $\\mathbf { \\mathcal { A } } _ { i } ~ =$ $\\{ A , \\dot { B } , \\mathsf { \\bar { C } } , D , E \\}$ with $w _ { A } < w _ { B } < w _ { C } < w _ { D } < w _ { E }$ (i.e., $E$ is the most preferable by all agents). We use a learning rate $\\eta = 0 . 0 0 0 1$ for all agents (which is again much larger than the theoretical guarantee of Theorem 4.2). All runs lead to convergence to an (optimal) Nash policy as shown in the middle and rightmost panels. The leftmost panel shows the distribution of the agents among facilities in both states, which is the same (and the optimal one) in all Nash policies that are reached by the algorithm. The results are shown in Figure 7. ", + "bbox": [ + 173, + 811, + 825, + 924 + ], + "page_idx": 26 + }, + { + "type": "image", + "img_path": "images/eee78fffd845f99549ded579d7eeb733fdc033280fb0945151d4baca0c57ea2d.jpg", + "image_caption": [ + "Figure 7: Convergence to deterministic Nash policies of independent policy gradient in a variation of the MDP of Section 5 with $N = 1 6$ agents and $A _ { i } = 5$ facilities, $\\mathcal { A } _ { i } = \\{ A , B , C , D , E \\}$ with $w _ { A } < w _ { B } < w _ { C } < w _ { D } < w _ { E }$ (i.e., $E$ is the most preferable by all agents). Again, while there are several (symmetric) deterministic Nash policies, all of them yield the same distribution of agents among states (leftmost panel). All runs converge successfully to that outcome. " + ], + "image_footnote": [], + "bbox": [ + 178, + 101, + 813, + 219 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Coordination with random transitions Next, we study the effect of adding randomness to the transitions on the performance of the individual policy gradient algorithm. In this case, we experiment with the same setting as in Section 5 (i.e., $N = 8$ agents and $A _ { i } = 4$ facilities that each agent $i \\in \\mathcal N$ can choose from), but use the following stochastic transition rule instead: in addition to the existing transition rules, the sequence of play may transition from the safe to the distancing state with probability $p \\%$ regardless of the distribution of the agents and may remain at the distancing state with probability $q \\%$ again regardless of the distribution of the agents there. ", + "bbox": [ + 173, + 330, + 825, + 428 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Two sets of results are presented in Figure 8. In the first (upper panels), we use $p , q = 1 \\%$ , $1 0 \\%$ and in the second $p , q = 5 \\%$ , $2 0 \\%$ . In both cases, we use a learning rate $\\eta = 0 . 0 0 0 1$ (several orders of magnitude higher than what is required by Theorem 4.4). Independent policy gradient converges in both cases to deterministic Nash policies despite the randomness in the transitions. However, for higher levels of randomness (lower panels), the algorithm remains at an $\\epsilon$ -Nash policy for a high number of iterations. This is in line with the theoretical predictions of Theorem 4.4. ", + "bbox": [ + 173, + 435, + 825, + 518 + ], + "page_idx": 27 + }, + { + "type": "image", + "img_path": "images/f29e489d52bf13c5d57f2f30e74e8d32384afe3342a06623d3f3312064c30b39.jpg", + "image_caption": [ + "Figure 8: Convergence to deterministic Nash policies of independent policy gradient in two variations of the MDP of Section 5 with stochastic transitions between states. " + ], + "image_footnote": [], + "bbox": [ + 176, + 532, + 823, + 777 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Independent Policy Gradient in a Different Environment. A subsequent work to this paper introduced a different multi-agent MDP environment that they prove is an MPG, which they refer to as stochastic congestion games (Fox et al., 2021). This stochastic congestion or routing game was already well-studied before this paper, especially in Mguni et al. (2021), so it is valuable to see that this MPG framework captures such games. In this environment, there is an underlying directed acyclic graph $G$ that has a source node $s$ and a sink node $t$ . There are $N$ agents. The actual states of the finite-horizon MDP are all the possible positions of the agents on the graph. When the state consisting of all agents being at $t$ is reached, the MDP terminates. At each time step, each agent chooses an action, which in this case is an edge $e$ to transverse, and the cost they experience is a function of the load of the edge, which is the total number of agents choosing edge e. A more complete description and proof that this environment is an MPG is provided in Fox et al. (2021). ", + "bbox": [ + 173, + 840, + 825, + 924 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 174 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "We implemented this environment with $N = 4$ agents, matching the number of agents in Fox et al. (2021), but we were actually able to increase the size of the underlying graph from the 6 vertices done in that paper to 8. The game is visualized in Figure 9. ", + "bbox": [ + 174, + 180, + 825, + 223 + ], + "page_idx": 28 + }, + { + "type": "image", + "img_path": "images/3133696b4678c21cd6ca4c45634bf6b1f16dc5d3951fcca16029ec3fc0780859.jpg", + "image_caption": [ + "Figure 9: The stochastic congestion game with $N = 4$ agents and 8 nodes. In this discrete time MPG, all agents start at $s$ and at each point in time, they move to one of the nodes of the next layer. Their goal is to reach $t$ at a minimum cost (as expressed by the congestion on the the vertices). The left panel shows the starting state and the right panel shows one possible state after two transitions (with intermediate states in pale colors). " + ], + "image_footnote": [], + "bbox": [ + 215, + 234, + 761, + 333 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "We used our implementation of the independent policy gradient algorithm with the same parameters as in our experiment from Section 5, specifically we have $T = 2 0$ , $\\gamma = 0 . 9 9$ , and $\\eta = 0 . 0 0 0 1$ . The results are shown in Figure 10. ", + "bbox": [ + 174, + 439, + 825, + 481 + ], + "page_idx": 28 + }, + { + "type": "image", + "img_path": "images/fe9c83e969cd4ed548aa3bc6ce9137f5b4b689bb24bda8f96ebd938e3c26f050.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 501, + 503, + 781, + 659 + ], + "page_idx": 28 + }, + { + "type": "image", + "img_path": "images/ad8dd788689a177dbec5474ee93be6d216822bf3b1ca07d0fa759202f773c6be.jpg", + "image_caption": [ + "Figure 10: Convergence of independent policy gradient in the stochastic congestion game with $N = 4$ and 6 vertices between source and target (3 layers of 2 vertices each) as shown in Figure 9. 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Allen School of Computer Science, University of Washington 5 Institute for AI Industry Research, Tsinghua University luost@helixon.com,luost26@gmail.com swang@cs.washington.edu,jianpeng@illinois.edu,majianzhu@tsinghua.edu.cn + +# Abstract + +Antibodies are immune system proteins that protect the host by binding to specific antigens such as viruses and bacteria. The binding between antibodies and antigens is mainly determined by the complementarity-determining regions (CDR) of the antibodies. In this work, we develop a deep generative model that jointly models sequences and structures of CDRs based on diffusion probabilistic models and equivariant neural networks. Our method is the first deep learning-based method that generates antibodies explicitly targeting specific antigen structures and is one of the earliest diffusion probabilistic models for protein structures. The model is a “Swiss Army Knife” capable of sequence-structure co-design, sequence design for given backbone structures, and antibody optimization. We conduct extensive experiments to evaluate the quality of both sequences and structures of designed antibodies. We find that our model could yield competitive results in binding affinity measured by biophysical energy functions and other protein design metrics. + +# 1 Introduction + +Antibodies are important immune proteins generated during an immune response to recognize and neutralize the pathogen [Janeway et al., 2001]. As illustrated in Figure 1a, an antibody contains two heavy chains and two light chains, and their overall structure is similar. Six variable regions determine the specificity of an antibody to the antigens. They are called the Complementarity Determining Regions (CDRs), denoted as H1, H2, H3, L1, L2, and L3. Therefore, the most important step for developing effective therapeutic antibodies is to design CDRs that bind to the specific antigen [Presta, 1992, Akbar et al., 2022a]. + +Similar to other protein design tasks, the search space of CDRs is vast. A CDR sequence with $L$ amino acids has up to $\mathrm { 2 0 } ^ { L }$ possible protein sequences. It is not feasible to test all the possible sequences using experimental approaches, so computational methods are needed. Traditional computational approaches rely on sampling protein sequences and structures from complex biophysical energy functions [Pantazes and Maranas, 2010, Lapidoth et al., 2015, Adolf-Bryfogle et al., 2018, Warszawski et al., 2019]. They are generally time-consuming and are prone to get trapped in local optima. Recently, various deep generative models have been developed to design antibodies [Saka et al., 2021, Akbar et al., 2022b, Jin et al., 2022]. Compared to conventional algorithms, deep generative models could directly capture higher-order interactions among amino acids on antibodies and antigens and generate antibodies more efficiently [Akbar et al., 2022a]. Recently, Jin et al. proposed a generative model for antibody structure-sequence co-design. Their model addresses two important computational challenges: First is how to model the intrinsic relation between CDR sequences and 3D structures, and second is how to model the distribution of CDRs conditional on the rest of the antibody sequence. However, there is still a large gap to fill before generative models become practical for antibody design. + +![](images/b13068984583b136a9a4b5a96fdef9461462ae5998653b129d3d19f3058c2a91.jpg) +Figure 1: (a) Antibody-antigen complex structure and CDR structure. (b) The orientations of amino acids (represented by triangles) determine their side-chain orientations, which are key to inter-aminoacid interactions. + +Here, we identify another three challenges for antibody sequence-structure co-design. First, the model should be explicitly conditional on the 3D structures of the antigen and generate CDRs that fit the antigen structure in the 3D space. This is indispensable for the model to generalize to new antigens. Second, the interactions between amino acids are mainly determined by side-chains which are groups of atoms stretching out from the protein backbone (Figure 1b) [Liljas et al., 2016]. Therefore, the model should be able to consider both the position and orientation of amino acids. Third, in drug discovery, pharmacologists collect multiple initial antibodies either from humanized mice or patients [Presta, 1992, Barlow et al., 2018, Warszawski et al., 2019]. Therefore, instead of de novo design, the model should be applicable to another realistic scenario: optimizing a particular antibody to increase the binding affinity to the antigen. To the best of our knowledge, no previous machine learning model satisfies all of the above design principles. + +To address these challenges, we propose a diffusion-based generative model [Sohl-Dickstein et al., 2015, Song and Ermon, 2019, Ho et al., 2020, Yang et al., 2022] capable of jointly sampling antibody CDR sequences and structures. More importantly, the joint distribution of a CDR sequence and its structure is directly conditional on antigen structures. Given a protein complex consisting of an antigen and an antibody framework as input2 (as illustrated in Figure 2), we first initialize the CDR with an arbitrary sequence, positions, and orientations. The diffusion model first aggregates information from the antigen and the antibody framework. Then, it iteratively updates the amino acid type, position, and orientation of each amino acid on CDRs. In the last step, we reconstruct the CDR structure at the atom level using side-chain packing algorithms based on the predicted orientations [Alford et al., 2017]. From the perspective of model capability, one of the most important reasons for us to choose the diffusion-based model over other generative models such as generative adversarial networks [Goodfellow et al., 2014] and variational auto-encoders [Kingma and Welling, 2013] is that it generates CDR candidates iteratively in the sequence-structure space so that we can interfere and impose constraints on the sampling process to support a broader range of design tasks. + +![](images/bb8be12f301b7bc8947974b8f56749b9807a630d717934dc48f1a85c6efbf65e.jpg) +Figure 2: The task in this work is to design CDRs for a given antigen structure and an antibody framework. + +We summarize our contributions as follows: + +• We propose the first deep learning models to perform antibody sequence-structure design by considering the 3D structures of the antigen. • In our model, we not only design protein sequences and coordinates but also side-chain orientations (represented as SO(3) element) of each amino acid. It is the first deep learning model that could achieve atomic-resolution antibody design and is equivariant to rotation and translation. + +• We show that our model can be applied to a wide range of antibody design tasks, including sequence-structure co-design, fix-backbone CDR design, and antibody optimization. + +# 2 Related Work + +Computational Antibody Design Conventional computational approaches are mainly based on sampling algorithms over hand-crafted and statistical energy functions and iteratively modify protein sequences and structures [Adolf-Bryfogle et al., 2018, Lapidoth et al., 2015, Warszawski et al., 2019, Pantazes and Maranas, 2010, Ruffolo et al., 2021]. These methods are inefficient and prone to getting stuck at local optima due to the rough energy landscape. In recent years, deep learning methods have shown potential in antibody design by using language models to generate protein sequences [Alley et al., 2019, Shin et al., 2021, Saka et al., 2021, Akbar et al., 2022b]. Although much more efficient, the sequence-based methods can only generate new antibodies based on previously observed antibodies but can hardly generate antibodies for specific antigen structures. + +Jin et al. proposed the first CDR sequence-structure co-design deep generative model which focuses on designing antibodies to neutralize SARS-CoV-2. It relies on an additional antigen-specific predictor to predict the neutralization of the designed antibodies, which is not generalizable to arbitrary antigens. In comparison to their model, we explicitly model the 3D structure of an antigen, opening the door to generalizing the prediction to unseen antigens with solved 3D structures. Another advantage of our model is that we consider not only backbone atom coordinates but also the orientation of amino acids. The orientation is critical to protein-protein interactions as most of the atoms interacting between antibodies and antigens are in the side-chain [Liljas et al., 2016] (as illustrated in Figure 1b). Lastly, the model proposed by Jin et al. is not equivariant by construction, which is fundamental in molecular modeling. + +Protein Structure Prediction Protein structure prediction algorithms take protein sequences and Multiple Sequence Alignments (MSAs) as input and translate them to 3D structures [Jumper et al., 2021, Baek et al., 2021, Yang et al., 2020]. Accurate protein structure prediction models predict not only the position of amino acids but also their orientation [Jumper et al., 2021, Yang et al., 2020]. The orientation of amino acids determines the direction in which its side chain stretches, so it is indispensable for reconstructing full-atom structures. AlphaFold2 [Jumper et al., 2021] predicts per-amino-acid orientations in an iterative fashion, similar to our proposed model. However, it is not generative, unable to efficiently sample diverse structures for protein design. Recently, based on prior protein structure prediction algorithms, methods for predicting antibody CDR structures have emerged [Ruffolo et al., 2022b,a], but they are not able to design CDR sequences. + +Diffusion-Based Generative Models Diffusion probabilistic models learn to generate data via denoising samples from a prior distribution [Sohl-Dickstein et al., 2015, Song and Ermon, 2019, Ho et al., 2020]. Recently, progress has been made in developing equivariant diffusion models for molecular 3D structures [Shi et al., 2021, Hoogeboom et al., 2022, Jing et al., 2022, Xu et al., 2022]. Atoms in a molecule do not have natural orientations, so the generation process differs from generating protein structures. Diffusion models have also been extended to non-Euclidean data, such as data in the Riemannian manifolds [Leach et al., 2022, De Bortoli et al., 2022]. These models are relevant to modeling orientations which are represented by elements in SO(3). In addition, diffusion models can also be used to generate discrete categorical data [Hoogeboom et al., 2021, Austin et al., 2021]. Concurrently with this work, various diffusion probabilistic models have been developed for proteins [Anand and Achim, 2022, Trippe et al., 2022, Wu et al., 2022]. + +# 3 Methods + +This section is organized as follows: Section 3.1 introduces notations used throughout the paper and formally states the problem. Section 3.2 formulates the diffusion process for modeling antibodies. Section 3.3 introduces details about the neural network parameterization for the diffusion processes. Section 3.4 presents sampling algorithms for various antibody design tasks. + +# 3.1 Definitions and Notations + +An amino acid in a protein complex can be represented by its type, $\mathrm { C } _ { \alpha }$ atom coordinate, and the orientation, denoted as $s _ { i } \in \left\{ \tt A C D E F G H I K L M N P Q R S T V W Y \right\}$ , $\dot { \pmb { x } } _ { i } \in \mathbb { R } ^ { \bar { 3 } } , O _ { i } \in \mathrm { S O ( 3 ) }$ , respectively. Here $i = 1 \ldots N$ , and $N$ is the number of amino acids in the protein complex3. + +In this work, we assume the antigen structure and the antibody framework is given (Figure 2), and we focus on designing CDRs on the antibody framework. Assume the CDR to be generated has $m$ amino acids with index from $l + 1$ to $l + m$ . They are denoted as $\mathcal { R } = \{ ( \mathbf { s } _ { j } , \mathbf { x } _ { j } , \mathbf { O } _ { j } ) \mid \bar { j } = l + 1 , \ldots , l + m \}$ Formally, our goal is to jointly model the distribution of $\mathcal { R }$ given the structure of the antibody-antigen complex $\mathcal { C } = \bar { \{ } ( s _ { i } , \mathbf { x } _ { i } , \bar { \mathbf { O } } _ { i } ) | \dot { \ i } \in \{ 1 \ldots N \} \backslash \{ l + 1 , \ldots , l + m \} \}$ . + +# 3.2 Diffusion Processes + +A diffusion probabilistic model defines two Markov chains of diffusion processes. The forward diffusion process gradually adds noise to the data until the data distribution approximately reaches the prior distribution. The generative diffusion process starts from the prior distribution and iteratively transforms it to the desired distribution. Training the model relies on the forward diffusion process to simulate the noisy data. Let $\left( \mathbf { s } _ { j } ^ { t } , \mathbf { x } _ { j } ^ { t } , \mathbf { O } _ { j } ^ { t } \right)$ denote the intermediate state of amino acid $j$ at time step $t$ . $\mathcal { R } ^ { t } = \{ \mathbf { s } _ { j } ^ { t } , \mathbf { x } _ { j } ^ { t } , \mathbf { O } _ { j } ^ { t } \} _ { j = l + 1 } ^ { l + m }$ represents the sequence and structure sampled at step $t$ . $t = 0$ represents the state of real data (observed sequences and structures of CDRs) and $t = T$ represents samples from the prior distribution. Forward diffusion goes from $t = 0$ to $T$ , and generative diffusion proceeds in the opposite way. The diffusion processes for amino acid types $\mathrm { s } _ { j } ^ { t }$ , coordinates $\mathbf { x } _ { j } ^ { t }$ , and orientations $\mathbf { O } _ { j } ^ { t }$ are defined as follows: + +Multinomial Diffusion for Amino Acid Types The forward diffusion process for amino acid types is based on the multinomial distribution defined as follows [Hoogeboom et al., 2021]: + +$$ +q ( \mathbf { s } _ { j } ^ { t } | \mathbf { s } _ { j } ^ { t - 1 } ) = \mathrm { M u l t i n o m i a l } \left( ( 1 - \beta _ { \mathrm { t y p e } } ^ { t } ) \cdot \mathsf { o n e h o t } ( \mathbf { s } _ { j } ^ { t - 1 } ) + \beta _ { \mathrm { t y p e } } ^ { t } \cdot \frac { 1 } { 2 0 } \cdot \mathbf { 1 } \right) , +$$ + +where onehot represents a function that converts amino acid type to a 20-dimensional one-hot vector and 1 is an all-one vector. $\beta _ { \mathrm { t y p e } } ^ { t }$ is the probability of resampling another amino acid over 20 types uniformly. When $t \to T$ , $\beta _ { \mathrm { t y p e } } ^ { t }$ is set close to 1 and the distribution is closer to the uniform distribution. The following probability density provides an efficient way to perturb $\mathbf { s } _ { j } ^ { 0 }$ for timestep $t$ during training [Hoogeboom et al., 2021]: + +$$ +q ( \mathrm { s } _ { j } ^ { t } | \mathrm { s } _ { j } ^ { 0 } ) = \mathrm { M u l t i n o m i a l } \left( \bar { \alpha } _ { \mathrm { t y p e } } ^ { t } \cdot \mathrm { o n e h o t } ( \mathrm { s } _ { j } ^ { 0 } ) + ( 1 - \bar { \alpha } _ { \mathrm { t y p e } } ^ { t } ) \cdot \frac { 1 } { 2 0 } \cdot \mathbf { 1 } \right) , +$$ + +where $\begin{array} { r } { \bar { \alpha } _ { \mathrm { t y p e } } ^ { t } = \prod _ { \tau = 1 } ^ { t } ( 1 - \beta _ { \mathrm { t y p e } } ^ { \tau } ) } \end{array}$ + +The generative diffusion process is defined as: + +$$ +p ( \mathbf { s } _ { j } ^ { t - 1 } | \mathcal { R } ^ { t } , \mathcal { C } ) = \mathrm { M u l t i n o m i a l } \left( F ( \mathcal { R } ^ { t } , \mathcal { C } ) [ j ] \right) , +$$ + +where $F ( \cdot ) [ j ]$ is a neural network model taking the structure context (antigen and antibody framework) and the CDR state from the previous step as input and predicts the probability of the amino acid type for the $j$ -th amino acid on the CDR. Note that, different from the forward diffusion process, the generative diffusion process must rely on the structure context $\mathcal { C }$ and the CDR state of the previous step including positions and orientations. The main difference between these two processes is that the forward diffusion process adds noise to data so it is irrelevant to data or contexts but the generative diffusion process depends on the given condition and full observation of the previous step. The generative diffusion process needs to approximate the posterior $\boldsymbol { q } ( \mathrm { s } _ { j } ^ { t - 1 } | \mathrm { s } _ { j } ^ { t } , \mathrm { s } _ { j } ^ { 0 } )$ derived from Eq.1 and Eq.2 to denoise. Therefore, the objective of training the generative diffusion process for amino acid types is to minimize the expected KL divergence between Eq.3 and the posterior distribution: + +$$ +L _ { \mathrm { t y p e } } ^ { t } = \mathbb { E } _ { \mathcal { R } ^ { t } \sim p } \left[ \frac { 1 } { m } \sum _ { j } D _ { \mathrm { K L } } \left( q ( \mathbf { s } _ { j } ^ { t - 1 } | \mathbf { s } _ { j } ^ { t } , \mathbf { s } _ { j } ^ { 0 } ) \Big | \Big | p ( \mathbf { s } _ { j } ^ { t - 1 } | \mathcal { R } ^ { t } , \mathcal { C } ) \right) \right] . +$$ + +![](images/763df5ad9ab18b5b5ffb241a7ba532baf80459a901f750f4f12452181b94276c.jpg) +Figure 3: Illustration of the generative diffusion process. At each step, the network takes the current CDR state as input and parameterizes the distribution of the CDR’s sequences, positions, and orientations for the next step. In the end, full-atom structures are constructed by the side-chain packing algorithm. + +Diffusion for $\mathrm { C } _ { \alpha }$ Coordinates As the coordinate of an atom could be an arbitrary value, we scale and shift the coordinates of the whole structure such that the distribution of atom coordinates roughly match the standard normal distribution. We define the forward diffusion for the normalized $\mathrm { C } _ { \alpha }$ coordinate $\mathbf { x } _ { j }$ as follows: + +$$ +\begin{array} { r } { q \left( \mathbf { x } _ { j } ^ { t } \mid \mathbf { x } _ { j } ^ { t - 1 } \right) = \mathcal { N } \left( \mathbf { x } _ { j } ^ { t } \Big | \sqrt { 1 - \beta _ { \mathrm { p o s } } ^ { t } } \cdot \mathbf { x } _ { j } ^ { t - 1 } , \beta _ { \mathrm { p o s } } ^ { t } I \right) , } \\ { q \left( \mathbf { x } _ { j } ^ { t } \mid \mathbf { x } _ { j } ^ { 0 } \right) = \mathcal { N } \left( \mathbf { x } _ { j } ^ { t } \Big | \sqrt { \bar { \alpha } _ { \mathrm { p o s } } ^ { 0 } } \cdot \mathbf { x } _ { j } ^ { 0 } , ( 1 - \bar { \alpha } _ { \mathrm { p o s } } ^ { 0 } ) I \right) , } \end{array} +$$ + +where $\beta _ { \mathrm { p o s } } ^ { t }$ controls the rate of diffusion and its value increases from 0 to 1 as time step goes from 0 to $t$ , and $\begin{array} { r } { \bar { \alpha } _ { \mathrm { p o s } } ^ { t } = \prod _ { \tau = 1 } ^ { t } ( 1 - \beta _ { \mathrm { p o s } } ^ { \tau } ) } \end{array}$ . Using the reparameterization trick proposed by Ho et al., the generative diffusion process is defined as: + +$$ +\begin{array} { r l } & { p \left( \mathbf { x } _ { j } ^ { t - 1 } \middle | \mathcal { R } ^ { t } , \mathcal { C } \right) = \mathcal { N } \left( \mathbf { x } _ { j } ^ { t - 1 } \middle | \mu _ { p } \left( \mathcal { R } ^ { t } , \mathcal { C } \right) , \beta _ { \mathrm { p o s } } ^ { t } I \right) , } \\ & { ~ \mu _ { p } \left( \mathcal { R } ^ { t } , \mathcal { C } \right) = \frac { 1 } { \sqrt { \alpha _ { \mathrm { p o s } } ^ { t } } } \left( \mathbf { x } _ { j } ^ { t } - \frac { \beta _ { \mathrm { p o s } } ^ { t } } { \sqrt { 1 - \bar { \alpha } _ { \mathrm { p o s } } ^ { t } } } G ( \mathcal { R } ^ { t } , \mathcal { C } ) [ j ] \right) . } \end{array} +$$ + +Here, $G ( \cdot ) [ j ]$ is a neural network that predicts the standard Gaussian noise $\epsilon _ { j } \sim \mathcal { N } ( \mathbf { 0 } , I )$ added to $\sqrt { \bar { \alpha } _ { \mathrm { p o s } } ^ { 0 } } \mathbf { x } _ { j } ^ { 0 }$ (scaled coordinate of amino acid $j$ ) based on the reparameterization of Eq.6: $\mathbf { x } _ { j } ^ { t } = $ $\sqrt { \bar { \alpha } _ { \mathrm { p o s } } ^ { 0 } } \mathbf { x } _ { j } ^ { 0 } + \sqrt { 1 - \bar { \alpha } _ { \mathrm { p o s } } ^ { 0 } } \epsilon _ { j }$ . The objective function of training the generative process is the expected MSE between $G$ and $\epsilon _ { j }$ , which is simplified from aligning distribution $p$ to the posterior $q ( \mathbf { x } _ { j } ^ { t - 1 } \mid$ $\mathbf { x } _ { j } ^ { t } , \mathbf { x } _ { j } ^ { 0 } )$ [Ho et al., 2020]: + +$$ +L _ { \mathrm { p o s } } ^ { t } = \mathbb { E } \left[ \frac { 1 } { m } \sum _ { j } \left\| \epsilon _ { j } - G ( \mathcal { R } ^ { t } , \mathcal { C } ) \right\| ^ { 2 } \right] . +$$ + +SO(3) Denoising for Amino Acid Orientations We empirically formulate an iterative perturbdenoise scheme for learning and generating amino acid orientations represented by SO(3) elements [Leach et al., 2022]. Note that we do not use the term diffusion because the formulation does not strictly follow the framework of diffusion probabilistic models though the overall principle is the same. Similar to the typical diffusion process, the distribution of orientations perturbed for $t$ steps is defined as, according to Leach et al. [2022]: + +$$ +q \left( \mathbf { O } _ { j } ^ { t } \mid \mathbf { O } _ { j } ^ { 0 } \right) = \mathcal { Z } \mathcal { G } _ { \mathrm { S O ( 3 ) } } \left( \mathbf { O } _ { j } ^ { t } \middle | \mathrm { S c a l e R o t } \left( \sqrt { \bar { \alpha } _ { \mathrm { o r i } } ^ { t } } , \mathbf { O } _ { j } ^ { 0 } \right) , 1 - \bar { \alpha } _ { \mathrm { o r i } } ^ { t } \right) . +$$ + +$\mathcal { T G } _ { \mathrm { S O ( 3 ) } }$ denotes the isotropic Gaussian distribution on SO(3) parameterized by a mean rotation and a scalar variance [Leach et al., 2022, Matthies et al., 1970, Nikolayev and Savyolov, 1970]. ScaleRot modifies the rotation matrix by scaling its rotation angle with the rotation axis fixed [Gallier and Xu, + +2003]. $\begin{array} { r } { \bar { \alpha } _ { \mathrm { o r i } } ^ { t } = \prod _ { \tau = 1 } ^ { t } ( 1 - \beta _ { \mathrm { o r i } } ^ { \tau } ) } \end{array}$ , where $\beta _ { \mathrm { o r i } } ^ { t }$ is the variance increases with the step $t$ . The conditional distribution used for the generation process of orientations is defined as: + +$$ +p \left( \mathbf { O } _ { j } ^ { t - 1 } \Big | \mathcal { R } ^ { t } , \mathcal { C } \right) = \mathcal { Z } \mathcal { G } _ { \mathrm { S O ( 3 ) } } \left( \mathbf { O } _ { j } ^ { t - 1 } \Big | H ( \mathcal { R } ^ { t } , \mathcal { C } ) [ j ] , \beta _ { \mathrm { o r i } } ^ { t } \right) , +$$ + +where $H ( \cdot ) [ j ]$ is a neural network that denoises the orientation and outputs the denoised orientation matrix of amino acid $j$ . Training the conditional distribution requires aligning the predicted orientation from $H ( \cdot )$ to the real orientation. Hence, we formulate the training object that minimizes the expected discrepancy measured by the inner product between the real and the predicted orientation matrices: + +$$ +L _ { \mathrm { o r i } } ^ { t } = \mathbb { E } \left[ \frac { 1 } { m } \sum _ { j } \left. \left( \mathbf { O } _ { j } ^ { 0 } \right) ^ { \intercal } \widehat { \mathbf { O } } _ { j } ^ { t - 1 } - I \right. _ { F } ^ { 2 } \right] , +$$ + +where $\widehat { \mathbf { O } } _ { j } ^ { t - 1 } = H ( \cdot ) [ j ]$ is the predicted orientation for amino acid $j$ . + +The Overall Training Objective By summing Eq.4, 9, and 12 and taking the expectation w.r.t. $t$ , we obtain the final training objective function: + +$$ +L = \mathbb { E } _ { t \sim \mathrm { U n i f o r m } ( 1 . . . T ) } \left[ L _ { \mathrm { t y p e } } ^ { t } + L _ { \mathrm { p o s } } ^ { t } + L _ { \mathrm { o r i } } ^ { t } \right] . +$$ + +To train the model, we first sample a time step $t$ and then sample noisy states $\{ \mathbf { s } _ { j } ^ { t } , \mathbf { x } _ { j } ^ { t } , \mathbf { O } _ { j } ^ { t } \} _ { j = l + 1 } ^ { l + m } \sim p$ by adding noise to the training sample using the diffusion process defined by Eq.2, 6, and 10. We compute the loss using the noisy data and backpropagate the loss to update model parameters. + +# 3.3 Parameterization with Neural Networks + +In this section, we briefly introduce the neural network architectures used in different components of the diffusion process. The purpose of the networks is to encode the CDR state at a time step along with the context structure: $\{ \mathbf { s } _ { j } ^ { t } , \mathbf { x } _ { j } ^ { t } , \mathbf { O } _ { j } ^ { t } \} _ { j = l + 1 } ^ { l + m } \cup \{ s _ { i } ^ { t } , \mathbf { x } _ { i } ^ { t } , O _ { i } ^ { t } \} _ { i = \{ 1 \ldots N \} \setminus \{ l + 1 \ldots l + m \} }$ , and then denoises the CDR amino acid types $( F )$ , positions $( G )$ , and orientations $( H )$ . + +First, we adopt Multiple Layer Perceptrons (MLPs) to generate embeddings for single and pairs of amino acids. The single amino-acid embedding MLP creates vector $e _ { i }$ for amino acid $i$ , which encodes the information of amino acid types, torsional angles, and 3D coordinates of all the heavy atoms. The pairwise embedding MLP encodes the Euclidean distances and dihedral angles between amino acid $i$ and $j$ to feature vectors $z _ { i j }$ . We adopt IPA [Jumper et al., 2021], an orientation-aware roto-translation invariant network to transform $e _ { i }$ and $z _ { i j }$ into hidden representations $\boldsymbol { h } _ { i }$ , which aims to represent the amino acid itself and its environment. Next, the representations are fed to three different MLPs to denoise the amino acid types, 3D positions, and orientations of the CDR, respectively. + +In particular, the MLP for denoising amino acid types outputs a 20-dimensional vector representing the posterior probabilities. The MLP for denoising $\mathrm { C } _ { \alpha }$ coordinates predicts the scaled change of the coordinate in terms of the current orientation of the amino acid. As the coordinate deviation is calculated in the local frame, we left-multiply it by the orientation matrix and transform it back to the global frame. Formally, this can be expressed as $\hat { \epsilon } _ { j } = \mathbf { O } _ { j } ^ { t } \mathrm { M L P } _ { G } \left( h _ { j } \right)$ . Predicting coordinate deviations in the local frame and projecting it to the global frame ensures the equivariance of the prediction, as when the entire 3D structure rotates by a particular angle, the coordinate deviations also rotate by the same angle. The MLP for denoising orientations first predicts a $s o ( 3 )$ vector [Gallier and Xu, 2003]. The vector is converted to a rotation matrix $M _ { j } \in \mathrm { S O } ( 3 )$ right-multiplied to the orientation to produce a new mean orientation for the next generative step: $\widehat { \mathbf { O } } _ { j } ^ { t - 1 } \gets \mathbf { O } _ { j } ^ { t } M _ { j }$ . The proposed networks are equivariant to the rotation and translation of the overall structure: + +Proposition 1. For any proper rotation matrix $R \in \mathrm { S O } ( 3 )$ and any $3 D$ vector $\pmb { r } \in \mathbb { R } ^ { 3 }$ (rigid transformation $( R , r ) \in \mathrm { S E } ( 3 )$ ), $F$ , $G$ and $H$ satisfy the following equivariance properties: + +$$ +\begin{array} { r l } & { F ( R \mathcal { R } ^ { t } + r , R \mathcal { C } + r ) = F ( \mathcal { R } ^ { t } , \mathcal { C } ) , } \\ & { G ( R \mathcal { R } ^ { t } + r , R \mathcal { C } + r ) = R G ( \mathcal { R } ^ { t } , \mathcal { C } ) , } \\ & { H ( R \mathcal { R } ^ { t } + r , R \mathcal { C } + r ) = R H ( \mathcal { R } ^ { t } , \mathcal { C } ) , } \end{array} +$$ + +where $R \mathcal { R } ^ { t } { + } r : = \{ \mathrm { s } _ { j } ^ { t } , \mathrm { \mathbf { x } } _ { j } ^ { t } { + } r , R \mathbf { O } _ { j } ^ { t } \} _ { j = l + 1 } ^ { l { + } m }$ and $R { \mathcal { C } } + r : = \{ s _ { i } , x _ { i } + r , R O _ { i } \} _ { i \in \{ 1 . . . N \} \setminus \{ l + 1 , . . . , l + m \} }$ denote the rotated and translated structure. Note that $F$ , $G$ , and $H$ are not single MLPs. Each of them includes the shared encoder and a specific MLP. + +# 3.4 Sampling Algorithms + +The sampling algorithm first samples amino acid types from the uniform distribution over 20 classes: $s _ { j } ^ { T } \sim \bar { \mathrm { U n i f o r m } ( 2 0 ) }$ , $\mathrm { C } _ { \alpha }$ positions from the standard normal distribution: $\mathbf { x } _ { j } ^ { T } \sim \mathcal { N } ( \mathbf { 0 } , I _ { 3 } )$ , and orientations from the uniform distribution over SO(3): $\mathbf { O } _ { j } ^ { T } \sim \mathrm { U n i f o r m } ( \bar { \mathrm { S O } } ( 3 ) )$ . Note that we normalize the coordinates of the structure in the same way as training such that $\mathrm { C } _ { \alpha }$ positions in the CDR roughly follow the standard normal distribution. Next, we iteratively sample sequences and structures from the generative diffusion kernel by denoising amino acid types, $\mathrm { C } _ { \alpha }$ coordinates, and orientations until $t = 0$ . To build a full atom 3D structure, we construct the coordinates of N, $\mathrm { C } _ { \alpha }$ , C, O, and side-chain $\mathrm { C } _ { \beta }$ (except glycine that does not have $\mathrm { C } _ { \beta }$ ) according to their ideal local coordinates relative to the $\mathrm { C } _ { \alpha }$ position and orientation of each amino acid [Engh and Huber, 2012]. Based on the five reconstructed atoms, the rest of the side-chain atoms are constructed using the side-chain packing function implemented in Rosetta [Alford et al., 2017]. In the end, we adopt the AMBER99 force field [Lindorff-Larsen et al., 2010] in OpenMM [Eastman et al., 2017] to refine the full atom structure. + +In addition to the joint design of sequences and structures, we can constrain partial states for other design tasks. For example, by fixing the backbone structure (positions and orientations) and sampling only sequences, we can do fix-backbone sequence design. Another usage is to optimize an existing antibody. Specifically, we first add noise to the existing antibody for $t$ steps and denoise the perturbed antibody sequence starting from the $t$ -th step of the generative diffusion process. + +# 4 Experiments + +We present the application of our model, named DiffAb4, in three antibody design tasks: sequencestructure co-design (Section 4.1), antibody sequence design based on antibody backbones (Section 4.2), and antibody optimization (Section 4.3). In Section 4.4, we show how to use our model without known antibody frameworks bound to the antigen. + +# 4.1 Sequence-Structure Co-design + +The dataset for training the model is derived from the SAbDab database[Dunbar et al., 2014]. We first remove structures whose resolution is worse than $4 \mathring \mathrm { A }$ and discard antibodies targeting non-protein antigens. We cluster antibodies in the database according to CDR-H3 sequences at $50 \%$ sequence identity. We manually select five clusters as the test set, containing 19 antibody-antigen complexes in total. The test set includes antigens from several well-known pathogens including SARS-CoV-2, MERS, influenza, and so on. Structures in the remaining clusters are used for training. + +To evaluate the performance, we remove the original CDR from the antibody-antigen complex in the test set and sample both the sequence and structure of the removed region. We set the length of the CDR to be identical to the length of the original CDR for simplicity. In practice, one can enumerate different lengths of CDRs. We compare our model to RosettaAntibodyDesign (RAbD) [Adolf-Bryfogle et al., 2018], an antibody design software based on Rosetta energy functions. For each model, we draw 100 samples for each CDR. Both the original structures and designed structures from different methods are refined by OpenMM and Rosetta. + +We use the following metrics to evaluate designed antibodies: (1) IMP: is the percentage of designed CDRs with lower (better) binding energy $( \Delta G )$ than the original CDR. The binding energy is calculated by InterfaceAnalyzer in the Rosetta software package [Alford et al., 2017]. (2) RMSD: is the $\mathrm { C } _ { \alpha }$ root-mean-square deviation (RMSD) between the generated structure and the original structure with only antibody frameworks aligned. (3) AAR: is the amino acid recovery rate measured by the sequence identity between the reference CDR sequences and the generated sequences [AdolfBryfogle et al., 2018]. Note that different from Jin et al. [2022], we do not use neutralization prediction models because they are sequence-based and are specified to a limited class of antigens, which deviates from our goal of developing a general antibody design model. + +Table 1 shows that our model (DiffAb) recovers CDR sequences more accurately than RAbD (higher AAR). The RMSDs of CDRs generated by DiffAb are higher in CDR-H3, which indicates that our generated samples are more diverse structurally. The IMP score of DiffAb is on par with RAbD in + +
CDRMethodAARRMSDIMP
H1RAbD22.85%2.261A43.88% 53.63%
DiffAb65.75%1.188A
H2RAbD25.50%1.641A53.50%
DiffAb49.31%1.076A29.84%
H3RAbD22.14%2.900A23.25%
DiffAb26.78%3.597A23.63%
+ +Table 1: Evaluation of the generated antibody CDRs (sequence-structure co-design) by RAbD and our DiffAb model. + +
CDRMethodAARRMSDIMP
L1RAbD34.27%1.204A46.81% 45.58%
DiffAb56.67%1.388A
L2RAbD26.30%1.767A56.94% 49.95%
DiffAb59.32%1.373A
L3RAbD20.73%1.624A55.63%
DiffAb46.47%1.627A47.32%
+ +![](images/f841f961e4a52f14035e6f02665232d757f1ac6b45b7af9b9c24aa229956fe8e.jpg) +Figure 4: Examples of CDR-H3 designed by the sequence-structure co-design method and the distribution of their interaction energy and RMSD. The antigen-antibody template is derived from PDB:7chf, where the antigen is SARS-CoV-2 RBD. Sample 1 has better complementarity to the antigen while Sample 3 fits the antigen worse. This could explain their difference in the binding energy $( \Delta G )$ . + +CDR-H3, and lower in other CDRs. However, it should be noted that RAbD optimizes the Rosetta energy function, which is also used for evaluation. Our model achieves reasonably good binding energy without explicit supervision signal from Rosetta energy functions. Figure 4 presents three generated examples of CDR-H3 targeting SARS-CoV-2 RBD. Sample 1 has the lowest binding energy and it can be observed that it has better complementarity to the antigen. The binding energy of Sample 3 is higher than the original one and visually, the shape of the CDR does not fit the antigen well. + +# 4.2 Fix-Backbone Sequence Design and Structure Prediction + +In this setting, the backbone structure of CDRs is given and we only need to design the CDR sequence, which transforms the task into a constrained sampling problem. Fix-backbone design is a common setting in the area of protein design [Ingraham et al., 2019, Hsu et al., 2022, Anishchenko et al., 2021, Strokach et al., 2020, Tischer et al., 2020]. For this task, we consider FixBB, a Rosetta-based sequence design software given CDR backbone structure, as the baseline. We use the AAR metric introduced in Section 4.1 to evaluate the designed CDRs. + +As shown in Table 2, our model achieves better AAR in all the CDRs. This shows that our model is also powerful in modeling the conditional probability of sequences given backbone structures. Admittedly, the training data is clustered only by CDR-H3 sequences, so the model might have seen other CDRs in the test set during training, leading to even higher AAR. However, we believe this is not an issue as CDRs other than H3 are generally conserved and contribute less to the specificity $\mathrm { X u }$ and Davis [2000]. + +Our model can predict CDR structures by fixing the sequence. Table 3 shows that it accurately predicts the structure of CDR H1, H2, L1, L2, and L3 $\mathrm { R i M S D } \le 1 . 5 \mathring \mathrm { A } ;$ ). The accuracy of CDR-H3 prediction is lower due to the high variability. Figure 5a separately shows the accuracy of different CDR-H3 lengths. The prediction is generally more accurate for shorter ones. When the CDR-H3 contains more than 10 amino acids, the prediction accuracy drops. + +Table 2: Comparison of FixBB and DiffAb in terms of amino acid recovery (AAR) in the fix-backbone CDR design task. DiffAb achieves higher AAR. The AAR of DiffAb on CDR-H3 is lower than other CDRs since H3 is much more versatile. + +
CDRMethodAARCDRMethodAAR
H1FixBB DiffAb37.14% 87.83%L1FixBB DiffAb33.80% 86.63%
H2FixBB DiffAb43.08% 79.70%L2FixBB DiffAb28.54% 88.91%
H3FixBB DiffAb30.74% 59.48%L3FixBB DiffAb17.92% 78.69%
+ +Table 3: The accuracy of CDR structures predicted by DiffAb in RMSD. + +
CDRRMSD
H10.901A
H21.044A
H33.246A
L11.365A
L21.321A
L31.492A
+ +![](images/27850727702d41cefe4304b703014b0bd35e4cfc0f6ac13def48512bdc838705.jpg) +Figure 5: (a) RMSD of predicted CDR-H3 structures grouped by lengths. (b) The antibody optimization algorithm first perturbs the initial CDR for $t$ steps using the forward diffusion process and then denoises it by the backward diffusion process into the optimized CDR. (c) IMP, RMSD, and SeqID of the CDRs optimized with different numbers of steps. Dashed lines represent the results of de novo design. When $t = 4$ , the optimized CDRs reach an IMP score close to de novo CDRs but remain structurally similar to the original one. + +# 4.3 Antibody Optimization + +We use our model to optimize existing antibodies which is another common pharmaceutical application. To optimize an antibody, we first perturb the CDR sequence and structure for $t$ steps using the forward diffusion process. Then, we denoise the sequences starting from the $( T - t )$ -th step $t$ steps remaining) of the generative diffusion process and obtain a set of optimized antibodies. This process is illustrated in Figure 5b. We optimize CDR-H3 of the antibodies in the test set with various $t$ values. For each antibody and $t$ , we perturb the CDR independently 100 times and collect 100 optimized CDRs different from the original CDR. We report the percentage of optimized antibodies with improved binding energy (IMP), RMSD, and sequence identity (SeqID) of the optimized CDR in comparison to the original antibody. We also compare the optimized antibodies with the de novo ( $t = T = 1 0 0$ ) designed antibodies introduced in Section 4.1. As shown in Table 4 and Figure 5c, the optimization method could produce antibodies with improved binding energy measured by the Rosetta energy function. In contrast to redesigning CDRs, optimization improves binding energy while keeping the optimized CDR similar to the original one, which is desired in many practical applications. + +Table 4: Evaluation of optimized CDR-H3s with different numbers of optimization steps. In contrast to redesigning the CDR, the optimization method can improve binding energy while keeping the optimized CDR similar to the original one. Figure 5c shows the line plot of the results. + +
tIMPRMSDSeqID
118.52%1.194A92.42%
216.67%1.252A91.61%
423.29%1.290A91.16%
822.01%1.447A88.78%
1618.02%1.759A78.43%
3216.43%2.623A40.58%
6415.47%3.380A27.30%
T23.63%3.597A26.78%
+ +![](images/4fe2809ba79f7e335832e5954a3e35332119a5205e0e71d7925506c427f1a016.jpg) +Figure 6: A human antibody framework docked to SARS-CoV-2 Omicron RBD using HDOCK. CDR-H3s are designed based on the docking structure. + +# 4.4 Design Without Bound Antibody Frameworks + +In the last experiment, we consider designing antibodies without a known binding pose against the antigen, a more general and challenging setting. We show that this challenging task could be achieved with docking software. Specifically, we create an antibody template from an existing antibody structure by removing its CDR-H3. This is because CDR-H3 is the most variable one and accounts for most of the specificity, while other CDRs are much more conserved [Xu and Davis, 2000]. Next, we use HDOCK [Yan et al., 2017] to dock the antibody template to the target antigen to produce the antibody-antigen complex. In this way, the problem reduces to the original problem so we can adapt our model to design the CDR-H3 sequence and structure and re-design other CDRs. We demonstrate using this method to design antibodies for the SARS-CoV-2 Omicron RDB structure (PDB: 7wvn, residue A322-A590, the structure is not bound to any antibodies). The antibody template is derived from a human antibody against influenza (PDB: 3qhf). Figure 6 shows the docking structure, five designed CDR-H3s, and the binding energy distribution. It is hard to confidently conclude that the generated antibodies are effective without a reference antibody. However, according to the binding energy distribution, we can still say the generated antibodies are at least reasonable. + +# 5 Conclusions and Limitations + +In this work, we propose a diffusion-based generative model for antibody design. Our model is capable of a wide range of antibody design tasks and can achieve competitive performance. One main limitation of this work is that it relies on an antibody framework bound to the target antigen. Therefore, we leave it for future work to design an effective model for generating antibodies without bound structures. Another limitation is that it remains unclear whether the generated antibodies can be produced in the wet lab and actually binds to the target. More efforts are needed to design a biologically effective antibody. + +# Acknowledgments and Disclosure of Funding + +Supported by National Key R&D Program of China No. 2021YFF1201600. + +# References + +Jared Adolf-Bryfogle, Oleks Kalyuzhniy, Michael Kubitz, Brian D Weitzner, Xiaozhen Hu, Yumiko Adachi, William R Schief, and Roland L Dunbrack Jr. Rosettaantibodydesign (rabd): A general framework for computational antibody design. 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Proceedings of the National Academy of Sciences, 117(3):1496–1503, 2020. \ No newline at end of file diff --git a/parse/dev/jSorGn2Tjg/jSorGn2Tjg_content_list.json b/parse/dev/jSorGn2Tjg/jSorGn2Tjg_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..ae4d50605689040f34b4e6e6564b6eeae9e9a09a --- /dev/null +++ b/parse/dev/jSorGn2Tjg/jSorGn2Tjg_content_list.json @@ -0,0 +1,1773 @@ +[ + { + "type": "text", + "text": "Antigen-Specific Antibody Design and Optimization with Diffusion-Based Generative Models for Protein Structures ", + "text_level": 1, + "bbox": [ + 186, + 122, + 813, + 196 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Shitong $\\mathbf { L u o ^ { 1 * } }$ , Yufeng $\\mathbf { S u ^ { 2 * } }$ , Xingang Peng3, Sheng Wang4, Jian Peng1,2, Jianzhu Ma1,5 ", + "bbox": [ + 187, + 246, + 803, + 262 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Helixon Research 2 University of Illinois Urbana-Champaign 3 School of Intelligence Science and Technology, Peking University 4 Paul G. Allen School of Computer Science, University of Washington 5 Institute for AI Industry Research, Tsinghua University luost@helixon.com,luost26@gmail.com swang@cs.washington.edu,jianpeng@illinois.edu,majianzhu@tsinghua.edu.cn ", + "bbox": [ + 192, + 262, + 803, + 361 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 396, + 535, + 412 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Antibodies are immune system proteins that protect the host by binding to specific antigens such as viruses and bacteria. The binding between antibodies and antigens is mainly determined by the complementarity-determining regions (CDR) of the antibodies. In this work, we develop a deep generative model that jointly models sequences and structures of CDRs based on diffusion probabilistic models and equivariant neural networks. Our method is the first deep learning-based method that generates antibodies explicitly targeting specific antigen structures and is one of the earliest diffusion probabilistic models for protein structures. The model is a “Swiss Army Knife” capable of sequence-structure co-design, sequence design for given backbone structures, and antibody optimization. We conduct extensive experiments to evaluate the quality of both sequences and structures of designed antibodies. We find that our model could yield competitive results in binding affinity measured by biophysical energy functions and other protein design metrics. ", + "bbox": [ + 233, + 428, + 766, + 608 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 632, + 310, + 650 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Antibodies are important immune proteins generated during an immune response to recognize and neutralize the pathogen [Janeway et al., 2001]. As illustrated in Figure 1a, an antibody contains two heavy chains and two light chains, and their overall structure is similar. Six variable regions determine the specificity of an antibody to the antigens. They are called the Complementarity Determining Regions (CDRs), denoted as H1, H2, H3, L1, L2, and L3. Therefore, the most important step for developing effective therapeutic antibodies is to design CDRs that bind to the specific antigen [Presta, 1992, Akbar et al., 2022a]. ", + "bbox": [ + 174, + 665, + 825, + 761 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Similar to other protein design tasks, the search space of CDRs is vast. A CDR sequence with $L$ amino acids has up to $\\mathrm { 2 0 } ^ { L }$ possible protein sequences. It is not feasible to test all the possible sequences using experimental approaches, so computational methods are needed. Traditional computational approaches rely on sampling protein sequences and structures from complex biophysical energy functions [Pantazes and Maranas, 2010, Lapidoth et al., 2015, Adolf-Bryfogle et al., 2018, Warszawski et al., 2019]. They are generally time-consuming and are prone to get trapped in local optima. Recently, various deep generative models have been developed to design antibodies [Saka et al., 2021, Akbar et al., 2022b, Jin et al., 2022]. Compared to conventional algorithms, deep generative models could directly capture higher-order interactions among amino acids on antibodies and antigens and generate antibodies more efficiently [Akbar et al., 2022a]. Recently, Jin et al. proposed a generative model for antibody structure-sequence co-design. Their model addresses two important computational challenges: First is how to model the intrinsic relation between CDR sequences and 3D structures, and second is how to model the distribution of CDRs conditional on the rest of the antibody sequence. However, there is still a large gap to fill before generative models become practical for antibody design. ", + "bbox": [ + 174, + 767, + 825, + 878 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/b13068984583b136a9a4b5a96fdef9461462ae5998653b129d3d19f3058c2a91.jpg", + "image_caption": [ + "Figure 1: (a) Antibody-antigen complex structure and CDR structure. (b) The orientations of amino acids (represented by triangles) determine their side-chain orientations, which are key to inter-aminoacid interactions. " + ], + "image_footnote": [], + "bbox": [ + 220, + 88, + 777, + 202 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 256, + 826, + 353 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Here, we identify another three challenges for antibody sequence-structure co-design. First, the model should be explicitly conditional on the 3D structures of the antigen and generate CDRs that fit the antigen structure in the 3D space. This is indispensable for the model to generalize to new antigens. Second, the interactions between amino acids are mainly determined by side-chains which are groups of atoms stretching out from the protein backbone (Figure 1b) [Liljas et al., 2016]. Therefore, the model should be able to consider both the position and orientation of amino acids. Third, in drug discovery, pharmacologists collect multiple initial antibodies either from humanized mice or patients [Presta, 1992, Barlow et al., 2018, Warszawski et al., 2019]. Therefore, instead of de novo design, the model should be applicable to another realistic scenario: optimizing a particular antibody to increase the binding affinity to the antigen. To the best of our knowledge, no previous machine learning model satisfies all of the above design principles. ", + "bbox": [ + 173, + 359, + 825, + 511 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To address these challenges, we propose a diffusion-based generative model [Sohl-Dickstein et al., 2015, Song and Ermon, 2019, Ho et al., 2020, Yang et al., 2022] capable of jointly sampling antibody CDR sequences and structures. More importantly, the joint distribution of a CDR sequence and its structure is directly conditional on antigen structures. Given a protein complex consisting of an antigen and an antibody framework as input2 (as illustrated in Figure 2), we first initialize the CDR with an arbitrary sequence, positions, and orientations. The diffusion model first aggregates information from the antigen and the antibody framework. Then, it iteratively updates the amino acid type, position, and orientation of each amino acid on CDRs. In the last step, we reconstruct the CDR structure at the atom level using side-chain packing algorithms based on the predicted orientations [Alford et al., 2017]. From the perspective of model capability, one of the most important reasons for us to choose the diffusion-based model over other generative models such as generative adversarial networks [Goodfellow et al., 2014] and variational auto-encoders [Kingma and Welling, 2013] is that it generates CDR candidates iteratively in the sequence-structure space so that we can interfere and impose constraints on the sampling process to support a broader range of design tasks. ", + "bbox": [ + 174, + 517, + 549, + 683 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/bb8be12f301b7bc8947974b8f56749b9807a630d717934dc48f1a85c6efbf65e.jpg", + "image_caption": [ + "Figure 2: The task in this work is to design CDRs for a given antigen structure and an antibody framework. " + ], + "image_footnote": [], + "bbox": [ + 566, + 522, + 816, + 618 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 684, + 826, + 780 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We summarize our contributions as follows: ", + "bbox": [ + 176, + 786, + 462, + 800 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• We propose the first deep learning models to perform antibody sequence-structure design by considering the 3D structures of the antigen. • In our model, we not only design protein sequences and coordinates but also side-chain orientations (represented as SO(3) element) of each amino acid. It is the first deep learning model that could achieve atomic-resolution antibody design and is equivariant to rotation and translation. ", + "bbox": [ + 217, + 813, + 825, + 869 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 225, + 92, + 823, + 118 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "• We show that our model can be applied to a wide range of antibody design tasks, including sequence-structure co-design, fix-backbone CDR design, and antibody optimization. ", + "bbox": [ + 220, + 119, + 823, + 147 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 176, + 321, + 194 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Computational Antibody Design Conventional computational approaches are mainly based on sampling algorithms over hand-crafted and statistical energy functions and iteratively modify protein sequences and structures [Adolf-Bryfogle et al., 2018, Lapidoth et al., 2015, Warszawski et al., 2019, Pantazes and Maranas, 2010, Ruffolo et al., 2021]. These methods are inefficient and prone to getting stuck at local optima due to the rough energy landscape. In recent years, deep learning methods have shown potential in antibody design by using language models to generate protein sequences [Alley et al., 2019, Shin et al., 2021, Saka et al., 2021, Akbar et al., 2022b]. Although much more efficient, the sequence-based methods can only generate new antibodies based on previously observed antibodies but can hardly generate antibodies for specific antigen structures. ", + "bbox": [ + 174, + 202, + 825, + 327 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Jin et al. proposed the first CDR sequence-structure co-design deep generative model which focuses on designing antibodies to neutralize SARS-CoV-2. It relies on an additional antigen-specific predictor to predict the neutralization of the designed antibodies, which is not generalizable to arbitrary antigens. In comparison to their model, we explicitly model the 3D structure of an antigen, opening the door to generalizing the prediction to unseen antigens with solved 3D structures. Another advantage of our model is that we consider not only backbone atom coordinates but also the orientation of amino acids. The orientation is critical to protein-protein interactions as most of the atoms interacting between antibodies and antigens are in the side-chain [Liljas et al., 2016] (as illustrated in Figure 1b). Lastly, the model proposed by Jin et al. is not equivariant by construction, which is fundamental in molecular modeling. ", + "bbox": [ + 173, + 333, + 825, + 472 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Protein Structure Prediction Protein structure prediction algorithms take protein sequences and Multiple Sequence Alignments (MSAs) as input and translate them to 3D structures [Jumper et al., 2021, Baek et al., 2021, Yang et al., 2020]. Accurate protein structure prediction models predict not only the position of amino acids but also their orientation [Jumper et al., 2021, Yang et al., 2020]. The orientation of amino acids determines the direction in which its side chain stretches, so it is indispensable for reconstructing full-atom structures. AlphaFold2 [Jumper et al., 2021] predicts per-amino-acid orientations in an iterative fashion, similar to our proposed model. However, it is not generative, unable to efficiently sample diverse structures for protein design. Recently, based on prior protein structure prediction algorithms, methods for predicting antibody CDR structures have emerged [Ruffolo et al., 2022b,a], but they are not able to design CDR sequences. ", + "bbox": [ + 174, + 484, + 825, + 622 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Diffusion-Based Generative Models Diffusion probabilistic models learn to generate data via denoising samples from a prior distribution [Sohl-Dickstein et al., 2015, Song and Ermon, 2019, Ho et al., 2020]. Recently, progress has been made in developing equivariant diffusion models for molecular 3D structures [Shi et al., 2021, Hoogeboom et al., 2022, Jing et al., 2022, Xu et al., 2022]. Atoms in a molecule do not have natural orientations, so the generation process differs from generating protein structures. Diffusion models have also been extended to non-Euclidean data, such as data in the Riemannian manifolds [Leach et al., 2022, De Bortoli et al., 2022]. These models are relevant to modeling orientations which are represented by elements in SO(3). In addition, diffusion models can also be used to generate discrete categorical data [Hoogeboom et al., 2021, Austin et al., 2021]. Concurrently with this work, various diffusion probabilistic models have been developed for proteins [Anand and Achim, 2022, Trippe et al., 2022, Wu et al., 2022]. ", + "bbox": [ + 173, + 636, + 825, + 787 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Methods ", + "text_level": 1, + "bbox": [ + 174, + 818, + 277, + 834 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "This section is organized as follows: Section 3.1 introduces notations used throughout the paper and formally states the problem. Section 3.2 formulates the diffusion process for modeling antibodies. Section 3.3 introduces details about the neural network parameterization for the diffusion processes. Section 3.4 presents sampling algorithms for various antibody design tasks. ", + "bbox": [ + 176, + 856, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 Definitions and Notations ", + "text_level": 1, + "bbox": [ + 174, + 90, + 390, + 106 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "An amino acid in a protein complex can be represented by its type, $\\mathrm { C } _ { \\alpha }$ atom coordinate, and the orientation, denoted as $s _ { i } \\in \\left\\{ \\tt A C D E F G H I K L M N P Q R S T V W Y \\right\\}$ , $\\dot { \\pmb { x } } _ { i } \\in \\mathbb { R } ^ { \\bar { 3 } } , O _ { i } \\in \\mathrm { S O ( 3 ) }$ , respectively. Here $i = 1 \\ldots N$ , and $N$ is the number of amino acids in the protein complex3. ", + "bbox": [ + 173, + 116, + 823, + 159 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In this work, we assume the antigen structure and the antibody framework is given (Figure 2), and we focus on designing CDRs on the antibody framework. Assume the CDR to be generated has $m$ amino acids with index from $l + 1$ to $l + m$ . They are denoted as $\\mathcal { R } = \\{ ( \\mathbf { s } _ { j } , \\mathbf { x } _ { j } , \\mathbf { O } _ { j } ) \\mid \\bar { j } = l + 1 , \\ldots , l + m \\}$ Formally, our goal is to jointly model the distribution of $\\mathcal { R }$ given the structure of the antibody-antigen complex $\\mathcal { C } = \\bar { \\{ } ( s _ { i } , \\mathbf { x } _ { i } , \\bar { \\mathbf { O } } _ { i } ) | \\dot { \\ i } \\in \\{ 1 \\ldots N \\} \\backslash \\{ l + 1 , \\ldots , l + m \\} \\}$ . ", + "bbox": [ + 173, + 165, + 825, + 236 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 Diffusion Processes ", + "text_level": 1, + "bbox": [ + 174, + 251, + 348, + 266 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "A diffusion probabilistic model defines two Markov chains of diffusion processes. The forward diffusion process gradually adds noise to the data until the data distribution approximately reaches the prior distribution. The generative diffusion process starts from the prior distribution and iteratively transforms it to the desired distribution. Training the model relies on the forward diffusion process to simulate the noisy data. Let $\\left( \\mathbf { s } _ { j } ^ { t } , \\mathbf { x } _ { j } ^ { t } , \\mathbf { O } _ { j } ^ { t } \\right)$ denote the intermediate state of amino acid $j$ at time step $t$ . $\\mathcal { R } ^ { t } = \\{ \\mathbf { s } _ { j } ^ { t } , \\mathbf { x } _ { j } ^ { t } , \\mathbf { O } _ { j } ^ { t } \\} _ { j = l + 1 } ^ { l + m }$ represents the sequence and structure sampled at step $t$ . $t = 0$ represents the state of real data (observed sequences and structures of CDRs) and $t = T$ represents samples from the prior distribution. Forward diffusion goes from $t = 0$ to $T$ , and generative diffusion proceeds in the opposite way. The diffusion processes for amino acid types $\\mathrm { s } _ { j } ^ { t }$ , coordinates $\\mathbf { x } _ { j } ^ { t }$ , and orientations $\\mathbf { O } _ { j } ^ { t }$ are defined as follows: ", + "bbox": [ + 173, + 275, + 826, + 422 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Multinomial Diffusion for Amino Acid Types The forward diffusion process for amino acid types is based on the multinomial distribution defined as follows [Hoogeboom et al., 2021]: ", + "bbox": [ + 173, + 425, + 825, + 454 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/89f3dc6e30e46a1238a22bfc5b4b6f1c11ff8a0ba7b480b9c194183c2a242965.jpg", + "text": "$$\nq ( \\mathbf { s } _ { j } ^ { t } | \\mathbf { s } _ { j } ^ { t - 1 } ) = \\mathrm { M u l t i n o m i a l } \\left( ( 1 - \\beta _ { \\mathrm { t y p e } } ^ { t } ) \\cdot \\mathsf { o n e h o t } ( \\mathbf { s } _ { j } ^ { t - 1 } ) + \\beta _ { \\mathrm { t y p e } } ^ { t } \\cdot \\frac { 1 } { 2 0 } \\cdot \\mathbf { 1 } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 253, + 460, + 743, + 496 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where onehot represents a function that converts amino acid type to a 20-dimensional one-hot vector and 1 is an all-one vector. $\\beta _ { \\mathrm { t y p e } } ^ { t }$ is the probability of resampling another amino acid over 20 types uniformly. When $t \\to T$ , $\\beta _ { \\mathrm { t y p e } } ^ { t }$ is set close to 1 and the distribution is closer to the uniform distribution. The following probability density provides an efficient way to perturb $\\mathbf { s } _ { j } ^ { 0 }$ for timestep $t$ during training [Hoogeboom et al., 2021]: ", + "bbox": [ + 173, + 501, + 826, + 577 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/ae9e605f433a5f9f7823afac41be411bd6dd6ce69d4b8f952849c80919548908.jpg", + "text": "$$\nq ( \\mathrm { s } _ { j } ^ { t } | \\mathrm { s } _ { j } ^ { 0 } ) = \\mathrm { M u l t i n o m i a l } \\left( \\bar { \\alpha } _ { \\mathrm { t y p e } } ^ { t } \\cdot \\mathrm { o n e h o t } ( \\mathrm { s } _ { j } ^ { 0 } ) + ( 1 - \\bar { \\alpha } _ { \\mathrm { t y p e } } ^ { t } ) \\cdot \\frac { 1 } { 2 0 } \\cdot \\mathbf { 1 } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 266, + 583, + 730, + 617 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { \\bar { \\alpha } _ { \\mathrm { t y p e } } ^ { t } = \\prod _ { \\tau = 1 } ^ { t } ( 1 - \\beta _ { \\mathrm { t y p e } } ^ { \\tau } ) } \\end{array}$ ", + "bbox": [ + 174, + 625, + 385, + 645 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The generative diffusion process is defined as: ", + "bbox": [ + 174, + 648, + 475, + 662 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/842d25c79251ce5ea5f55f20efcf380a2a0a772aeb246de3f4766e2c59e93a4d.jpg", + "text": "$$\np ( \\mathbf { s } _ { j } ^ { t - 1 } | \\mathcal { R } ^ { t } , \\mathcal { C } ) = \\mathrm { M u l t i n o m i a l } \\left( F ( \\mathcal { R } ^ { t } , \\mathcal { C } ) [ j ] \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 344, + 670, + 651, + 690 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $F ( \\cdot ) [ j ]$ is a neural network model taking the structure context (antigen and antibody framework) and the CDR state from the previous step as input and predicts the probability of the amino acid type for the $j$ -th amino acid on the CDR. Note that, different from the forward diffusion process, the generative diffusion process must rely on the structure context $\\mathcal { C }$ and the CDR state of the previous step including positions and orientations. The main difference between these two processes is that the forward diffusion process adds noise to data so it is irrelevant to data or contexts but the generative diffusion process depends on the given condition and full observation of the previous step. The generative diffusion process needs to approximate the posterior $\\boldsymbol { q } ( \\mathrm { s } _ { j } ^ { t - 1 } | \\mathrm { s } _ { j } ^ { t } , \\mathrm { s } _ { j } ^ { 0 } )$ derived from Eq.1 and Eq.2 to denoise. Therefore, the objective of training the generative diffusion process for amino acid types is to minimize the expected KL divergence between Eq.3 and the posterior distribution: ", + "bbox": [ + 173, + 696, + 825, + 838 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/5270413e193acd4394fa9abda9be2d33cee0d2bfb444233458509ed41b64050c.jpg", + "text": "$$\nL _ { \\mathrm { t y p e } } ^ { t } = \\mathbb { E } _ { \\mathcal { R } ^ { t } \\sim p } \\left[ \\frac { 1 } { m } \\sum _ { j } D _ { \\mathrm { K L } } \\left( q ( \\mathbf { s } _ { j } ^ { t - 1 } | \\mathbf { s } _ { j } ^ { t } , \\mathbf { s } _ { j } ^ { 0 } ) \\Big | \\Big | p ( \\mathbf { s } _ { j } ^ { t - 1 } | \\mathcal { R } ^ { t } , \\mathcal { C } ) \\right) \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 285, + 843, + 712, + 878 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/763df5ad9ab18b5b5ffb241a7ba532baf80459a901f750f4f12452181b94276c.jpg", + "image_caption": [ + "Figure 3: Illustration of the generative diffusion process. At each step, the network takes the current CDR state as input and parameterizes the distribution of the CDR’s sequences, positions, and orientations for the next step. In the end, full-atom structures are constructed by the side-chain packing algorithm. " + ], + "image_footnote": [], + "bbox": [ + 173, + 89, + 823, + 217 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Diffusion for $\\mathrm { C } _ { \\alpha }$ Coordinates As the coordinate of an atom could be an arbitrary value, we scale and shift the coordinates of the whole structure such that the distribution of atom coordinates roughly match the standard normal distribution. We define the forward diffusion for the normalized $\\mathrm { C } _ { \\alpha }$ coordinate $\\mathbf { x } _ { j }$ as follows: ", + "bbox": [ + 174, + 306, + 825, + 364 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/7d074df6338b4c3e4f2efb03d237bc617ed301fb7928fe7f4caa0923e772534b.jpg", + "text": "$$\n\\begin{array} { r } { q \\left( \\mathbf { x } _ { j } ^ { t } \\mid \\mathbf { x } _ { j } ^ { t - 1 } \\right) = \\mathcal { N } \\left( \\mathbf { x } _ { j } ^ { t } \\Big | \\sqrt { 1 - \\beta _ { \\mathrm { p o s } } ^ { t } } \\cdot \\mathbf { x } _ { j } ^ { t - 1 } , \\beta _ { \\mathrm { p o s } } ^ { t } I \\right) , } \\\\ { q \\left( \\mathbf { x } _ { j } ^ { t } \\mid \\mathbf { x } _ { j } ^ { 0 } \\right) = \\mathcal { N } \\left( \\mathbf { x } _ { j } ^ { t } \\Big | \\sqrt { \\bar { \\alpha } _ { \\mathrm { p o s } } ^ { 0 } } \\cdot \\mathbf { x } _ { j } ^ { 0 } , ( 1 - \\bar { \\alpha } _ { \\mathrm { p o s } } ^ { 0 } ) I \\right) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 328, + 372, + 668, + 431 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\beta _ { \\mathrm { p o s } } ^ { t }$ controls the rate of diffusion and its value increases from 0 to 1 as time step goes from 0 to $t$ , and $\\begin{array} { r } { \\bar { \\alpha } _ { \\mathrm { p o s } } ^ { t } = \\prod _ { \\tau = 1 } ^ { t } ( 1 - \\beta _ { \\mathrm { p o s } } ^ { \\tau } ) } \\end{array}$ . Using the reparameterization trick proposed by Ho et al., the generative diffusion process is defined as: ", + "bbox": [ + 174, + 436, + 825, + 484 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/a65df5ad6969e444496ece7bcc2e93d5f529112366eea7f94e34c3757f7eb9b3.jpg", + "text": "$$\n\\begin{array} { r l } & { p \\left( \\mathbf { x } _ { j } ^ { t - 1 } \\middle | \\mathcal { R } ^ { t } , \\mathcal { C } \\right) = \\mathcal { N } \\left( \\mathbf { x } _ { j } ^ { t - 1 } \\middle | \\mu _ { p } \\left( \\mathcal { R } ^ { t } , \\mathcal { C } \\right) , \\beta _ { \\mathrm { p o s } } ^ { t } I \\right) , } \\\\ & { ~ \\mu _ { p } \\left( \\mathcal { R } ^ { t } , \\mathcal { C } \\right) = \\frac { 1 } { \\sqrt { \\alpha _ { \\mathrm { p o s } } ^ { t } } } \\left( \\mathbf { x } _ { j } ^ { t } - \\frac { \\beta _ { \\mathrm { p o s } } ^ { t } } { \\sqrt { 1 - \\bar { \\alpha } _ { \\mathrm { p o s } } ^ { t } } } G ( \\mathcal { R } ^ { t } , \\mathcal { C } ) [ j ] \\right) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 294, + 491, + 702, + 574 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Here, $G ( \\cdot ) [ j ]$ is a neural network that predicts the standard Gaussian noise $\\epsilon _ { j } \\sim \\mathcal { N } ( \\mathbf { 0 } , I )$ added to $\\sqrt { \\bar { \\alpha } _ { \\mathrm { p o s } } ^ { 0 } } \\mathbf { x } _ { j } ^ { 0 }$ (scaled coordinate of amino acid $j$ ) based on the reparameterization of Eq.6: $\\mathbf { x } _ { j } ^ { t } = $ $\\sqrt { \\bar { \\alpha } _ { \\mathrm { p o s } } ^ { 0 } } \\mathbf { x } _ { j } ^ { 0 } + \\sqrt { 1 - \\bar { \\alpha } _ { \\mathrm { p o s } } ^ { 0 } } \\epsilon _ { j }$ . The objective function of training the generative process is the expected MSE between $G$ and $\\epsilon _ { j }$ , which is simplified from aligning distribution $p$ to the posterior $q ( \\mathbf { x } _ { j } ^ { t - 1 } \\mid$ $\\mathbf { x } _ { j } ^ { t } , \\mathbf { x } _ { j } ^ { 0 } )$ [Ho et al., 2020]: ", + "bbox": [ + 171, + 579, + 826, + 679 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/50b8eec6b760b0bd7883b0edf90f639196eb06033fe80bc4230dddbda681e913.jpg", + "text": "$$\nL _ { \\mathrm { p o s } } ^ { t } = \\mathbb { E } \\left[ \\frac { 1 } { m } \\sum _ { j } \\left\\| \\epsilon _ { j } - G ( \\mathcal { R } ^ { t } , \\mathcal { C } ) \\right\\| ^ { 2 } \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 364, + 688, + 632, + 722 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "SO(3) Denoising for Amino Acid Orientations We empirically formulate an iterative perturbdenoise scheme for learning and generating amino acid orientations represented by SO(3) elements [Leach et al., 2022]. Note that we do not use the term diffusion because the formulation does not strictly follow the framework of diffusion probabilistic models though the overall principle is the same. Similar to the typical diffusion process, the distribution of orientations perturbed for $t$ steps is defined as, according to Leach et al. [2022]: ", + "bbox": [ + 173, + 733, + 826, + 819 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/d00c6690b905578b29a576e27de973bc7d01f6b6aa7014713d6ba09b93fedd65.jpg", + "text": "$$\nq \\left( \\mathbf { O } _ { j } ^ { t } \\mid \\mathbf { O } _ { j } ^ { 0 } \\right) = \\mathcal { Z } \\mathcal { G } _ { \\mathrm { S O ( 3 ) } } \\left( \\mathbf { O } _ { j } ^ { t } \\middle | \\mathrm { S c a l e R o t } \\left( \\sqrt { \\bar { \\alpha } _ { \\mathrm { o r i } } ^ { t } } , \\mathbf { O } _ { j } ^ { 0 } \\right) , 1 - \\bar { \\alpha } _ { \\mathrm { o r i } } ^ { t } \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 277, + 825, + 720, + 861 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "$\\mathcal { T G } _ { \\mathrm { S O ( 3 ) } }$ denotes the isotropic Gaussian distribution on SO(3) parameterized by a mean rotation and a scalar variance [Leach et al., 2022, Matthies et al., 1970, Nikolayev and Savyolov, 1970]. ScaleRot modifies the rotation matrix by scaling its rotation angle with the rotation axis fixed [Gallier and Xu, ", + "bbox": [ + 174, + 868, + 825, + 912 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "2003]. $\\begin{array} { r } { \\bar { \\alpha } _ { \\mathrm { o r i } } ^ { t } = \\prod _ { \\tau = 1 } ^ { t } ( 1 - \\beta _ { \\mathrm { o r i } } ^ { \\tau } ) } \\end{array}$ , where $\\beta _ { \\mathrm { o r i } } ^ { t }$ is the variance increases with the step $t$ . The conditional distribution used for the generation process of orientations is defined as: ", + "bbox": [ + 171, + 90, + 823, + 119 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/86274340918522b0d70c179ccae1736e92a9fa9442a2d425a564897fea687b22.jpg", + "text": "$$\np \\left( \\mathbf { O } _ { j } ^ { t - 1 } \\Big | \\mathcal { R } ^ { t } , \\mathcal { C } \\right) = \\mathcal { Z } \\mathcal { G } _ { \\mathrm { S O ( 3 ) } } \\left( \\mathbf { O } _ { j } ^ { t - 1 } \\Big | H ( \\mathcal { R } ^ { t } , \\mathcal { C } ) [ j ] , \\beta _ { \\mathrm { o r i } } ^ { t } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 310, + 122, + 686, + 156 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $H ( \\cdot ) [ j ]$ is a neural network that denoises the orientation and outputs the denoised orientation matrix of amino acid $j$ . Training the conditional distribution requires aligning the predicted orientation from $H ( \\cdot )$ to the real orientation. Hence, we formulate the training object that minimizes the expected discrepancy measured by the inner product between the real and the predicted orientation matrices: ", + "bbox": [ + 174, + 159, + 825, + 214 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/5729a6f7cb44a327d9839b8f1c3b331fa8dd1c38d94fe9438692a1b4c5258d40.jpg", + "text": "$$\nL _ { \\mathrm { o r i } } ^ { t } = \\mathbb { E } \\left[ \\frac { 1 } { m } \\sum _ { j } \\left. \\left( \\mathbf { O } _ { j } ^ { 0 } \\right) ^ { \\intercal } \\widehat { \\mathbf { O } } _ { j } ^ { t - 1 } - I \\right. _ { F } ^ { 2 } \\right] ,\n$$", + "text_format": "latex", + "bbox": [ + 356, + 217, + 640, + 252 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\widehat { \\mathbf { O } } _ { j } ^ { t - 1 } = H ( \\cdot ) [ j ]$ is the predicted orientation for amino acid $j$ . ", + "bbox": [ + 174, + 256, + 622, + 272 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The Overall Training Objective By summing Eq.4, 9, and 12 and taking the expectation w.r.t. $t$ , we obtain the final training objective function: ", + "bbox": [ + 171, + 273, + 828, + 301 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/e61a380294985e4edc109f88e511f63fc2478c16b817ada7892dc00d00fb8775.jpg", + "text": "$$\nL = \\mathbb { E } _ { t \\sim \\mathrm { U n i f o r m } ( 1 . . . T ) } \\left[ L _ { \\mathrm { t y p e } } ^ { t } + L _ { \\mathrm { p o s } } ^ { t } + L _ { \\mathrm { o r i } } ^ { t } \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 354, + 304, + 643, + 324 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To train the model, we first sample a time step $t$ and then sample noisy states $\\{ \\mathbf { s } _ { j } ^ { t } , \\mathbf { x } _ { j } ^ { t } , \\mathbf { O } _ { j } ^ { t } \\} _ { j = l + 1 } ^ { l + m } \\sim p$ by adding noise to the training sample using the diffusion process defined by Eq.2, 6, and 10. We compute the loss using the noisy data and backpropagate the loss to update model parameters. ", + "bbox": [ + 173, + 334, + 826, + 380 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.3 Parameterization with Neural Networks ", + "text_level": 1, + "bbox": [ + 174, + 393, + 493, + 409 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In this section, we briefly introduce the neural network architectures used in different components of the diffusion process. The purpose of the networks is to encode the CDR state at a time step along with the context structure: $\\{ \\mathbf { s } _ { j } ^ { t } , \\mathbf { x } _ { j } ^ { t } , \\mathbf { O } _ { j } ^ { t } \\} _ { j = l + 1 } ^ { l + m } \\cup \\{ s _ { i } ^ { t } , \\mathbf { x } _ { i } ^ { t } , O _ { i } ^ { t } \\} _ { i = \\{ 1 \\ldots N \\} \\setminus \\{ l + 1 \\ldots l + m \\} }$ , and then denoises the CDR amino acid types $( F )$ , positions $( G )$ , and orientations $( H )$ . ", + "bbox": [ + 173, + 420, + 825, + 479 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "First, we adopt Multiple Layer Perceptrons (MLPs) to generate embeddings for single and pairs of amino acids. The single amino-acid embedding MLP creates vector $e _ { i }$ for amino acid $i$ , which encodes the information of amino acid types, torsional angles, and 3D coordinates of all the heavy atoms. The pairwise embedding MLP encodes the Euclidean distances and dihedral angles between amino acid $i$ and $j$ to feature vectors $z _ { i j }$ . We adopt IPA [Jumper et al., 2021], an orientation-aware roto-translation invariant network to transform $e _ { i }$ and $z _ { i j }$ into hidden representations $\\boldsymbol { h } _ { i }$ , which aims to represent the amino acid itself and its environment. Next, the representations are fed to three different MLPs to denoise the amino acid types, 3D positions, and orientations of the CDR, respectively. ", + "bbox": [ + 173, + 484, + 825, + 611 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In particular, the MLP for denoising amino acid types outputs a 20-dimensional vector representing the posterior probabilities. The MLP for denoising $\\mathrm { C } _ { \\alpha }$ coordinates predicts the scaled change of the coordinate in terms of the current orientation of the amino acid. As the coordinate deviation is calculated in the local frame, we left-multiply it by the orientation matrix and transform it back to the global frame. Formally, this can be expressed as $\\hat { \\epsilon } _ { j } = \\mathbf { O } _ { j } ^ { t } \\mathrm { M L P } _ { G } \\left( h _ { j } \\right)$ . Predicting coordinate deviations in the local frame and projecting it to the global frame ensures the equivariance of the prediction, as when the entire 3D structure rotates by a particular angle, the coordinate deviations also rotate by the same angle. The MLP for denoising orientations first predicts a $s o ( 3 )$ vector [Gallier and Xu, 2003]. The vector is converted to a rotation matrix $M _ { j } \\in \\mathrm { S O } ( 3 )$ right-multiplied to the orientation to produce a new mean orientation for the next generative step: $\\widehat { \\mathbf { O } } _ { j } ^ { t - 1 } \\gets \\mathbf { O } _ { j } ^ { t } M _ { j }$ . The proposed networks are equivariant to the rotation and translation of the overall structure: ", + "bbox": [ + 173, + 614, + 825, + 772 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Proposition 1. For any proper rotation matrix $R \\in \\mathrm { S O } ( 3 )$ and any $3 D$ vector $\\pmb { r } \\in \\mathbb { R } ^ { 3 }$ (rigid transformation $( R , r ) \\in \\mathrm { S E } ( 3 )$ ), $F$ , $G$ and $H$ satisfy the following equivariance properties: ", + "bbox": [ + 173, + 773, + 825, + 803 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/cdd2d4e9b8b2712a936383573efb0f8f6bc1626bf931b1abf04734122fa50f6e.jpg", + "text": "$$\n\\begin{array} { r l } & { F ( R \\mathcal { R } ^ { t } + r , R \\mathcal { C } + r ) = F ( \\mathcal { R } ^ { t } , \\mathcal { C } ) , } \\\\ & { G ( R \\mathcal { R } ^ { t } + r , R \\mathcal { C } + r ) = R G ( \\mathcal { R } ^ { t } , \\mathcal { C } ) , } \\\\ & { H ( R \\mathcal { R } ^ { t } + r , R \\mathcal { C } + r ) = R H ( \\mathcal { R } ^ { t } , \\mathcal { C } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 367, + 804, + 629, + 863 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $R \\mathcal { R } ^ { t } { + } r : = \\{ \\mathrm { s } _ { j } ^ { t } , \\mathrm { \\mathbf { x } } _ { j } ^ { t } { + } r , R \\mathbf { O } _ { j } ^ { t } \\} _ { j = l + 1 } ^ { l { + } m }$ and $R { \\mathcal { C } } + r : = \\{ s _ { i } , x _ { i } + r , R O _ { i } \\} _ { i \\in \\{ 1 . . . N \\} \\setminus \\{ l + 1 , . . . , l + m \\} }$ denote the rotated and translated structure. Note that $F$ , $G$ , and $H$ are not single MLPs. Each of them includes the shared encoder and a specific MLP. ", + "bbox": [ + 174, + 866, + 826, + 911 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.4 Sampling Algorithms ", + "text_level": 1, + "bbox": [ + 174, + 92, + 361, + 106 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The sampling algorithm first samples amino acid types from the uniform distribution over 20 classes: $s _ { j } ^ { T } \\sim \\bar { \\mathrm { U n i f o r m } ( 2 0 ) }$ , $\\mathrm { C } _ { \\alpha }$ positions from the standard normal distribution: $\\mathbf { x } _ { j } ^ { T } \\sim \\mathcal { N } ( \\mathbf { 0 } , I _ { 3 } )$ , and orientations from the uniform distribution over SO(3): $\\mathbf { O } _ { j } ^ { T } \\sim \\mathrm { U n i f o r m } ( \\bar { \\mathrm { S O } } ( 3 ) )$ . Note that we normalize the coordinates of the structure in the same way as training such that $\\mathrm { C } _ { \\alpha }$ positions in the CDR roughly follow the standard normal distribution. Next, we iteratively sample sequences and structures from the generative diffusion kernel by denoising amino acid types, $\\mathrm { C } _ { \\alpha }$ coordinates, and orientations until $t = 0$ . To build a full atom 3D structure, we construct the coordinates of N, $\\mathrm { C } _ { \\alpha }$ , C, O, and side-chain $\\mathrm { C } _ { \\beta }$ (except glycine that does not have $\\mathrm { C } _ { \\beta }$ ) according to their ideal local coordinates relative to the $\\mathrm { C } _ { \\alpha }$ position and orientation of each amino acid [Engh and Huber, 2012]. Based on the five reconstructed atoms, the rest of the side-chain atoms are constructed using the side-chain packing function implemented in Rosetta [Alford et al., 2017]. In the end, we adopt the AMBER99 force field [Lindorff-Larsen et al., 2010] in OpenMM [Eastman et al., 2017] to refine the full atom structure. ", + "bbox": [ + 173, + 117, + 825, + 286 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In addition to the joint design of sequences and structures, we can constrain partial states for other design tasks. For example, by fixing the backbone structure (positions and orientations) and sampling only sequences, we can do fix-backbone sequence design. Another usage is to optimize an existing antibody. Specifically, we first add noise to the existing antibody for $t$ steps and denoise the perturbed antibody sequence starting from the $t$ -th step of the generative diffusion process. ", + "bbox": [ + 174, + 292, + 825, + 362 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 Experiments ", + "text_level": 1, + "bbox": [ + 174, + 383, + 312, + 400 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We present the application of our model, named DiffAb4, in three antibody design tasks: sequencestructure co-design (Section 4.1), antibody sequence design based on antibody backbones (Section 4.2), and antibody optimization (Section 4.3). In Section 4.4, we show how to use our model without known antibody frameworks bound to the antigen. ", + "bbox": [ + 174, + 415, + 825, + 472 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 Sequence-Structure Co-design ", + "text_level": 1, + "bbox": [ + 176, + 489, + 423, + 506 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The dataset for training the model is derived from the SAbDab database[Dunbar et al., 2014]. We first remove structures whose resolution is worse than $4 \\mathring \\mathrm { A }$ and discard antibodies targeting non-protein antigens. We cluster antibodies in the database according to CDR-H3 sequences at $50 \\%$ sequence identity. We manually select five clusters as the test set, containing 19 antibody-antigen complexes in total. The test set includes antigens from several well-known pathogens including SARS-CoV-2, MERS, influenza, and so on. Structures in the remaining clusters are used for training. ", + "bbox": [ + 174, + 516, + 825, + 601 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "To evaluate the performance, we remove the original CDR from the antibody-antigen complex in the test set and sample both the sequence and structure of the removed region. We set the length of the CDR to be identical to the length of the original CDR for simplicity. In practice, one can enumerate different lengths of CDRs. We compare our model to RosettaAntibodyDesign (RAbD) [Adolf-Bryfogle et al., 2018], an antibody design software based on Rosetta energy functions. For each model, we draw 100 samples for each CDR. Both the original structures and designed structures from different methods are refined by OpenMM and Rosetta. ", + "bbox": [ + 174, + 607, + 825, + 704 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We use the following metrics to evaluate designed antibodies: (1) IMP: is the percentage of designed CDRs with lower (better) binding energy $( \\Delta G )$ than the original CDR. The binding energy is calculated by InterfaceAnalyzer in the Rosetta software package [Alford et al., 2017]. (2) RMSD: is the $\\mathrm { C } _ { \\alpha }$ root-mean-square deviation (RMSD) between the generated structure and the original structure with only antibody frameworks aligned. (3) AAR: is the amino acid recovery rate measured by the sequence identity between the reference CDR sequences and the generated sequences [AdolfBryfogle et al., 2018]. Note that different from Jin et al. [2022], we do not use neutralization prediction models because they are sequence-based and are specified to a limited class of antigens, which deviates from our goal of developing a general antibody design model. ", + "bbox": [ + 174, + 710, + 825, + 835 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 1 shows that our model (DiffAb) recovers CDR sequences more accurately than RAbD (higher AAR). The RMSDs of CDRs generated by DiffAb are higher in CDR-H3, which indicates that our generated samples are more diverse structurally. The IMP score of DiffAb is on par with RAbD in ", + "bbox": [ + 178, + 842, + 825, + 883 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/8931ecf11c3f565643b0f9bc6dd5619fe4ff7cc34d6808e27f466a73a84f6f55.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
CDRMethodAARRMSDIMP
H1RAbD22.85%2.261A43.88% 53.63%
DiffAb65.75%1.188A
H2RAbD25.50%1.641A53.50%
DiffAb49.31%1.076A29.84%
H3RAbD22.14%2.900A23.25%
DiffAb26.78%3.597A23.63%
", + "bbox": [ + 174, + 126, + 491, + 253 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/e5fa29ac9336d028e91f86e196add41ab084af4f7e220b118898356864616525.jpg", + "table_caption": [ + "Table 1: Evaluation of the generated antibody CDRs (sequence-structure co-design) by RAbD and our DiffAb model. " + ], + "table_footnote": [], + "table_body": "
CDRMethodAARRMSDIMP
L1RAbD34.27%1.204A46.81% 45.58%
DiffAb56.67%1.388A
L2RAbD26.30%1.767A56.94% 49.95%
DiffAb59.32%1.373A
L3RAbD20.73%1.624A55.63%
DiffAb46.47%1.627A47.32%
", + "bbox": [ + 503, + 125, + 820, + 253 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/f841f961e4a52f14035e6f02665232d757f1ac6b45b7af9b9c24aa229956fe8e.jpg", + "image_caption": [ + "Figure 4: Examples of CDR-H3 designed by the sequence-structure co-design method and the distribution of their interaction energy and RMSD. The antigen-antibody template is derived from PDB:7chf, where the antigen is SARS-CoV-2 RBD. Sample 1 has better complementarity to the antigen while Sample 3 fits the antigen worse. This could explain their difference in the binding energy $( \\Delta G )$ . " + ], + "image_footnote": [], + "bbox": [ + 178, + 268, + 823, + 367 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "CDR-H3, and lower in other CDRs. However, it should be noted that RAbD optimizes the Rosetta energy function, which is also used for evaluation. Our model achieves reasonably good binding energy without explicit supervision signal from Rosetta energy functions. Figure 4 presents three generated examples of CDR-H3 targeting SARS-CoV-2 RBD. Sample 1 has the lowest binding energy and it can be observed that it has better complementarity to the antigen. The binding energy of Sample 3 is higher than the original one and visually, the shape of the CDR does not fit the antigen well. ", + "bbox": [ + 173, + 462, + 825, + 559 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.2 Fix-Backbone Sequence Design and Structure Prediction ", + "text_level": 1, + "bbox": [ + 173, + 575, + 607, + 590 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In this setting, the backbone structure of CDRs is given and we only need to design the CDR sequence, which transforms the task into a constrained sampling problem. Fix-backbone design is a common setting in the area of protein design [Ingraham et al., 2019, Hsu et al., 2022, Anishchenko et al., 2021, Strokach et al., 2020, Tischer et al., 2020]. For this task, we consider FixBB, a Rosetta-based sequence design software given CDR backbone structure, as the baseline. We use the AAR metric introduced in Section 4.1 to evaluate the designed CDRs. ", + "bbox": [ + 173, + 602, + 825, + 685 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "As shown in Table 2, our model achieves better AAR in all the CDRs. This shows that our model is also powerful in modeling the conditional probability of sequences given backbone structures. Admittedly, the training data is clustered only by CDR-H3 sequences, so the model might have seen other CDRs in the test set during training, leading to even higher AAR. However, we believe this is not an issue as CDRs other than H3 are generally conserved and contribute less to the specificity $\\mathrm { X u }$ and Davis [2000]. ", + "bbox": [ + 174, + 691, + 825, + 775 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Our model can predict CDR structures by fixing the sequence. Table 3 shows that it accurately predicts the structure of CDR H1, H2, L1, L2, and L3 $\\mathrm { R i M S D } \\le 1 . 5 \\mathring \\mathrm { A } ;$ ). The accuracy of CDR-H3 prediction is lower due to the high variability. Figure 5a separately shows the accuracy of different CDR-H3 lengths. The prediction is generally more accurate for shorter ones. When the CDR-H3 contains more than 10 amino acids, the prediction accuracy drops. ", + "bbox": [ + 174, + 781, + 825, + 852 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/c3538dca10f1c2723716ec36881ebcb0ff708b8b1bc08f1fc1b511717f514629.jpg", + "table_caption": [ + "Table 2: Comparison of FixBB and DiffAb in terms of amino acid recovery (AAR) in the fix-backbone CDR design task. DiffAb achieves higher AAR. The AAR of DiffAb on CDR-H3 is lower than other CDRs since H3 is much more versatile. " + ], + "table_footnote": [], + "table_body": "
CDRMethodAARCDRMethodAAR
H1FixBB DiffAb37.14% 87.83%L1FixBB DiffAb33.80% 86.63%
H2FixBB DiffAb43.08% 79.70%L2FixBB DiffAb28.54% 88.91%
H3FixBB DiffAb30.74% 59.48%L3FixBB DiffAb17.92% 78.69%
", + "bbox": [ + 199, + 152, + 568, + 272 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/d4e7d80fc6f41d9f3e9c65bc15a8ab9e9bb95ac3876de13e9994b1fecc51e691.jpg", + "table_caption": [ + "Table 3: The accuracy of CDR structures predicted by DiffAb in RMSD. " + ], + "table_footnote": [], + "table_body": "
CDRRMSD
H10.901A
H21.044A
H33.246A
L11.365A
L21.321A
L31.492A
", + "bbox": [ + 660, + 154, + 776, + 268 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/27850727702d41cefe4304b703014b0bd35e4cfc0f6ac13def48512bdc838705.jpg", + "image_caption": [ + "Figure 5: (a) RMSD of predicted CDR-H3 structures grouped by lengths. (b) The antibody optimization algorithm first perturbs the initial CDR for $t$ steps using the forward diffusion process and then denoises it by the backward diffusion process into the optimized CDR. (c) IMP, RMSD, and SeqID of the CDRs optimized with different numbers of steps. Dashed lines represent the results of de novo design. When $t = 4$ , the optimized CDRs reach an IMP score close to de novo CDRs but remain structurally similar to the original one. " + ], + "image_footnote": [], + "bbox": [ + 174, + 299, + 812, + 421 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4.3 Antibody Optimization ", + "text_level": 1, + "bbox": [ + 176, + 560, + 374, + 575 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We use our model to optimize existing antibodies which is another common pharmaceutical application. To optimize an antibody, we first perturb the CDR sequence and structure for $t$ steps using the forward diffusion process. Then, we denoise the sequences starting from the $( T - t )$ -th step $t$ steps remaining) of the generative diffusion process and obtain a set of optimized antibodies. This process is illustrated in Figure 5b. We optimize CDR-H3 of the antibodies in the test set with various $t$ values. For each antibody and $t$ , we perturb the CDR independently 100 times and collect 100 optimized CDRs different from the original CDR. We report the percentage of optimized antibodies with improved binding energy (IMP), RMSD, and sequence identity (SeqID) of the optimized CDR in comparison to the original antibody. We also compare the optimized antibodies with the de novo ( $t = T = 1 0 0$ ) designed antibodies introduced in Section 4.1. As shown in Table 4 and Figure 5c, the optimization method could produce antibodies with improved binding energy measured by the Rosetta energy function. In contrast to redesigning CDRs, optimization improves binding energy while keeping the optimized CDR similar to the original one, which is desired in many practical applications. ", + "bbox": [ + 174, + 593, + 517, + 869 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/088925f0f84512174818eb9019ef663a91d41d53127277120d435d57e368cbc7.jpg", + "table_caption": [ + "Table 4: Evaluation of optimized CDR-H3s with different numbers of optimization steps. In contrast to redesigning the CDR, the optimization method can improve binding energy while keeping the optimized CDR similar to the original one. Figure 5c shows the line plot of the results. " + ], + "table_footnote": [], + "table_body": "
tIMPRMSDSeqID
118.52%1.194A92.42%
216.67%1.252A91.61%
423.29%1.290A91.16%
822.01%1.447A88.78%
1618.02%1.759A78.43%
3216.43%2.623A40.58%
6415.47%3.380A27.30%
T23.63%3.597A26.78%
", + "bbox": [ + 549, + 703, + 799, + 864 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 869, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/4fe2809ba79f7e335832e5954a3e35332119a5205e0e71d7925506c427f1a016.jpg", + "image_caption": [ + "Figure 6: A human antibody framework docked to SARS-CoV-2 Omicron RBD using HDOCK. CDR-H3s are designed based on the docking structure. " + ], + "image_footnote": [], + "bbox": [ + 209, + 88, + 794, + 284 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "4.4 Design Without Bound Antibody Frameworks ", + "text_level": 1, + "bbox": [ + 174, + 345, + 532, + 361 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "In the last experiment, we consider designing antibodies without a known binding pose against the antigen, a more general and challenging setting. We show that this challenging task could be achieved with docking software. Specifically, we create an antibody template from an existing antibody structure by removing its CDR-H3. This is because CDR-H3 is the most variable one and accounts for most of the specificity, while other CDRs are much more conserved [Xu and Davis, 2000]. Next, we use HDOCK [Yan et al., 2017] to dock the antibody template to the target antigen to produce the antibody-antigen complex. In this way, the problem reduces to the original problem so we can adapt our model to design the CDR-H3 sequence and structure and re-design other CDRs. We demonstrate using this method to design antibodies for the SARS-CoV-2 Omicron RDB structure (PDB: 7wvn, residue A322-A590, the structure is not bound to any antibodies). The antibody template is derived from a human antibody against influenza (PDB: 3qhf). Figure 6 shows the docking structure, five designed CDR-H3s, and the binding energy distribution. It is hard to confidently conclude that the generated antibodies are effective without a reference antibody. However, according to the binding energy distribution, we can still say the generated antibodies are at least reasonable. ", + "bbox": [ + 174, + 372, + 825, + 565 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5 Conclusions and Limitations ", + "text_level": 1, + "bbox": [ + 176, + 583, + 444, + 601 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "In this work, we propose a diffusion-based generative model for antibody design. Our model is capable of a wide range of antibody design tasks and can achieve competitive performance. One main limitation of this work is that it relies on an antibody framework bound to the target antigen. Therefore, we leave it for future work to design an effective model for generating antibodies without bound structures. Another limitation is that it remains unclear whether the generated antibodies can be produced in the wet lab and actually binds to the target. More efforts are needed to design a biologically effective antibody. ", + "bbox": [ + 174, + 614, + 825, + 712 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgments and Disclosure of Funding ", + "text_level": 1, + "bbox": [ + 174, + 731, + 553, + 748 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Supported by National Key R&D Program of China No. 2021YFF1201600. 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They are generally time-consuming and are prone to get trapped in local optima.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 673, + 506, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 506, + 686 + ], + "score": 1.0, + "content": "Recently, various deep generative models have been developed to design antibodies [Saka et al., 2021,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 684, + 505, + 696 + ], + "spans": [ + { + "bbox": [ + 105, + 684, + 505, + 696 + ], + "score": 1.0, + "content": "Akbar et al., 2022b, Jin et al., 2022]. 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We find that our model could yield competitive results in binding", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 470, + 471, + 483 + ], + "spans": [ + { + "bbox": [ + 141, + 470, + 471, + 483 + ], + "score": 1.0, + "content": "affinity measured by biophysical energy functions and other protein design metrics.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 18, + "bbox_fs": [ + 141, + 339, + 471, + 483 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 501, + 190, + 515 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 192, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 192, + 517 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 527, + 505, + 603 + ], + "lines": [ + { + "bbox": [ + 105, + 525, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 540 + ], + "score": 1.0, + "content": "Antibodies are important immune proteins generated during an immune response to recognize and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "neutralize the pathogen [Janeway et al., 2001]. 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They are generally time-consuming and are prone to get trapped in local optima.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 673, + 506, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 506, + 686 + ], + "score": 1.0, + "content": "Recently, various deep generative models have been developed to design antibodies [Saka et al., 2021,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 684, + 505, + 696 + ], + "spans": [ + { + "bbox": [ + 105, + 684, + 505, + 696 + ], + "score": 1.0, + "content": "Akbar et al., 2022b, Jin et al., 2022]. Compared to conventional algorithms, deep generative models", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "score": 1.0, + "content": "could directly capture higher-order interactions among amino acids on antibodies and antigens and", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "score": 1.0, + "content": "generate antibodies more efficiently [Akbar et al., 2022a]. Recently, Jin et al. proposed a generative", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 225, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 506, + 237 + ], + "score": 1.0, + "content": "model for antibody structure-sequence co-design. Their model addresses two important computational", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "challenges: First is how to model the intrinsic relation between CDR sequences and 3D structures,", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "score": 1.0, + "content": "and second is how to model the distribution of CDRs conditional on the rest of the antibody sequence.", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 257, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 104, + 257, + 506, + 271 + ], + "score": 1.0, + "content": "However, there is still a large gap to fill before generative models become practical for antibody", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 267, + 138, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 138, + 282 + ], + "score": 1.0, + "content": "design.", + "type": "text", + "cross_page": true + } + ], + "index": 12 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 608, + 506, + 696 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 135, + 70, + 476, + 160 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 135, + 70, + 476, + 160 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 135, + 70, + 476, + 160 + ], + "spans": [ + { + "bbox": [ + 135, + 70, + 476, + 160 + ], + "score": 0.963, + "type": "image", + "image_path": "b13068984583b136a9a4b5a96fdef9461462ae5998653b129d3d19f3058c2a91.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 135, + 70, + 476, + 100.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 135, + 100.0, + 476, + 130.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 135, + 130.0, + 476, + 160.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 166, + 505, + 199 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "score": 1.0, + "content": "Figure 1: (a) Antibody-antigen complex structure and CDR structure. (b) The orientations of amino", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 177, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 506, + 189 + ], + "score": 1.0, + "content": "acids (represented by triangles) determine their side-chain orientations, which are key to inter-amino-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 188, + 177, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 177, + 199 + ], + "score": 1.0, + "content": "acid interactions.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 203, + 506, + 280 + ], + "lines": [ + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "score": 1.0, + "content": "could directly capture higher-order interactions among amino acids on antibodies and antigens and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "score": 1.0, + "content": "generate antibodies more efficiently [Akbar et al., 2022a]. Recently, Jin et al. proposed a generative", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 225, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 506, + 237 + ], + "score": 1.0, + "content": "model for antibody structure-sequence co-design. Their model addresses two important computational", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "challenges: First is how to model the intrinsic relation between CDR sequences and 3D structures,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "score": 1.0, + "content": "and second is how to model the distribution of CDRs conditional on the rest of the antibody sequence.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 257, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 104, + 257, + 506, + 271 + ], + "score": 1.0, + "content": "However, there is still a large gap to fill before generative models become practical for antibody", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 267, + 138, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 138, + 282 + ], + "score": 1.0, + "content": "design.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 285, + 505, + 405 + ], + "lines": [ + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "score": 1.0, + "content": "Here, we identify another three challenges for antibody sequence-structure co-design. First, the model", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 295, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 505, + 308 + ], + "score": 1.0, + "content": "should be explicitly conditional on the 3D structures of the antigen and generate CDRs that fit the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 306, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 506, + 319 + ], + "score": 1.0, + "content": "antigen structure in the 3D space. This is indispensable for the model to generalize to new antigens.", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "score": 1.0, + "content": "Second, the interactions between amino acids are mainly determined by side-chains which are groups", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 328, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 505, + 340 + ], + "score": 1.0, + "content": "of atoms stretching out from the protein backbone (Figure 1b) [Liljas et al., 2016]. Therefore, the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 338, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 104, + 338, + 506, + 353 + ], + "score": 1.0, + "content": "model should be able to consider both the position and orientation of amino acids. Third, in drug", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 350, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 350, + 505, + 363 + ], + "score": 1.0, + "content": "discovery, pharmacologists collect multiple initial antibodies either from humanized mice or patients", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "[Presta, 1992, Barlow et al., 2018, Warszawski et al., 2019]. Therefore, instead of de novo design, the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "score": 1.0, + "content": "model should be applicable to another realistic scenario: optimizing a particular antibody to increase", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "score": 1.0, + "content": "the binding affinity to the antigen. To the best of our knowledge, no previous machine learning model", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 394, + 276, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 276, + 406 + ], + "score": 1.0, + "content": "satisfies all of the above design principles.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 410, + 336, + 541 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 336, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 336, + 422 + ], + "score": 1.0, + "content": "To address these challenges, we propose a diffusion-based", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 421, + 336, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 336, + 433 + ], + "score": 1.0, + "content": "generative model [Sohl-Dickstein et al., 2015, Song and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 432, + 336, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 336, + 444 + ], + "score": 1.0, + "content": "Ermon, 2019, Ho et al., 2020, Yang et al., 2022] capable", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 443, + 338, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 338, + 455 + ], + "score": 1.0, + "content": "of jointly sampling antibody CDR sequences and struc-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 454, + 337, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 337, + 466 + ], + "score": 1.0, + "content": "tures. 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Given a protein complex consisting of an", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 487, + 337, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 337, + 499 + ], + "score": 1.0, + "content": "antigen and an antibody framework as input2 (as illustrated", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 498, + 337, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 337, + 510 + ], + "score": 1.0, + "content": "in Figure 2), we first initialize the CDR with an arbitrary", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 509, + 336, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 336, + 519 + ], + "score": 1.0, + "content": "sequence, positions, and orientations. The diffusion model", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 519, + 338, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 338, + 532 + ], + "score": 1.0, + "content": "first aggregates information from the antigen and the an-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 530, + 337, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 530, + 337, + 543 + ], + "score": 1.0, + "content": "tibody framework. 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In the last step, we reconstruct", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "score": 1.0, + "content": "the CDR structure at the atom level using side-chain packing algorithms based on the predicted", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 563, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 575 + ], + "score": 1.0, + "content": "orientations [Alford et al., 2017]. From the perspective of model capability, one of the most important", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "score": 1.0, + "content": "reasons for us to choose the diffusion-based model over other generative models such as generative", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 583, + 507, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 507, + 599 + ], + "score": 1.0, + "content": "adversarial networks [Goodfellow et al., 2014] and variational auto-encoders [Kingma and Welling,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 595, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 506, + 609 + ], + "score": 1.0, + "content": "2013] is that it generates CDR candidates iteratively in the sequence-structure space so that we can", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 607, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 506, + 619 + ], + "score": 1.0, + "content": "interfere and impose constraints on the sampling process to support a broader range of design tasks.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 108, + 623, + 283, + 634 + ], + "lines": [ + { + "bbox": [ + 106, + 622, + 284, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 284, + 635 + ], + "score": 1.0, + "content": "We summarize our contributions as follows:", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 48 + }, + { + "type": "text", + "bbox": [ + 133, + 644, + 505, + 689 + ], + "lines": [ + { + "bbox": [ + 132, + 642, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 132, + 642, + 505, + 658 + ], + "score": 1.0, + "content": "• We propose the first deep learning models to perform antibody sequence-structure design by", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 141, + 655, + 322, + 668 + ], + "spans": [ + { + "bbox": [ + 141, + 655, + 322, + 668 + ], + "score": 1.0, + "content": "considering the 3D structures of the antigen.", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 132, + 666, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 132, + 666, + 506, + 680 + ], + "score": 1.0, + "content": "• In our model, we not only design protein sequences and coordinates but also side-chain", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 141, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 141, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "orientations (represented as SO(3) element) of each amino acid. It is the first deep learning", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 50.5 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 701, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 118, + 700, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 118, + 700, + 505, + 714 + ], + "score": 1.0, + "content": "2The structure of the antigen-antibody framework can be obtained either from existing antigen-antibody", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 711, + 335, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 335, + 723 + ], + "score": 1.0, + "content": "structure or by docking an initial antibody to the target antigen.", + "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": "image", + "bbox": [ + 135, + 70, + 476, + 160 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 135, + 70, + 476, + 160 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 135, + 70, + 476, + 160 + ], + "spans": [ + { + "bbox": [ + 135, + 70, + 476, + 160 + ], + "score": 0.963, + "type": "image", + "image_path": "b13068984583b136a9a4b5a96fdef9461462ae5998653b129d3d19f3058c2a91.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 135, + 70, + 476, + 100.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 135, + 100.0, + 476, + 130.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 135, + 130.0, + 476, + 160.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 166, + 505, + 199 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "score": 1.0, + "content": "Figure 1: (a) Antibody-antigen complex structure and CDR structure. (b) The orientations of amino", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 177, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 506, + 189 + ], + "score": 1.0, + "content": "acids (represented by triangles) determine their side-chain orientations, which are key to inter-amino-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 188, + 177, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 177, + 199 + ], + "score": 1.0, + "content": "acid interactions.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 203, + 506, + 280 + ], + "lines": [], + "index": 9, + "bbox_fs": [ + 104, + 203, + 506, + 282 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 285, + 505, + 405 + ], + "lines": [ + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "score": 1.0, + "content": "Here, we identify another three challenges for antibody sequence-structure co-design. First, the model", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 295, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 505, + 308 + ], + "score": 1.0, + "content": "should be explicitly conditional on the 3D structures of the antigen and generate CDRs that fit the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 306, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 506, + 319 + ], + "score": 1.0, + "content": "antigen structure in the 3D space. This is indispensable for the model to generalize to new antigens.", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "score": 1.0, + "content": "Second, the interactions between amino acids are mainly determined by side-chains which are groups", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 328, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 505, + 340 + ], + "score": 1.0, + "content": "of atoms stretching out from the protein backbone (Figure 1b) [Liljas et al., 2016]. Therefore, the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 338, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 104, + 338, + 506, + 353 + ], + "score": 1.0, + "content": "model should be able to consider both the position and orientation of amino acids. Third, in drug", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 350, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 350, + 505, + 363 + ], + "score": 1.0, + "content": "discovery, pharmacologists collect multiple initial antibodies either from humanized mice or patients", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "[Presta, 1992, Barlow et al., 2018, Warszawski et al., 2019]. Therefore, instead of de novo design, the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "score": 1.0, + "content": "model should be applicable to another realistic scenario: optimizing a particular antibody to increase", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "score": 1.0, + "content": "the binding affinity to the antigen. To the best of our knowledge, no previous machine learning model", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 394, + 276, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 276, + 406 + ], + "score": 1.0, + "content": "satisfies all of the above design principles.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18, + "bbox_fs": [ + 104, + 284, + 506, + 406 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 410, + 336, + 541 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 336, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 336, + 422 + ], + "score": 1.0, + "content": "To address these challenges, we propose a diffusion-based", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 421, + 336, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 336, + 433 + ], + "score": 1.0, + "content": "generative model [Sohl-Dickstein et al., 2015, Song and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 432, + 336, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 336, + 444 + ], + "score": 1.0, + "content": "Ermon, 2019, Ho et al., 2020, Yang et al., 2022] capable", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 443, + 338, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 338, + 455 + ], + "score": 1.0, + "content": "of jointly sampling antibody CDR sequences and struc-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 454, + 337, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 337, + 466 + ], + "score": 1.0, + "content": "tures. More importantly, the joint distribution of a CDR", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 466, + 338, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 338, + 476 + ], + "score": 1.0, + "content": "sequence and its structure is directly conditional on anti-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 477, + 337, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 337, + 487 + ], + "score": 1.0, + "content": "gen structures. Given a protein complex consisting of an", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 487, + 337, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 337, + 499 + ], + "score": 1.0, + "content": "antigen and an antibody framework as input2 (as illustrated", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 498, + 337, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 337, + 510 + ], + "score": 1.0, + "content": "in Figure 2), we first initialize the CDR with an arbitrary", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 509, + 336, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 336, + 519 + ], + "score": 1.0, + "content": "sequence, positions, and orientations. The diffusion model", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 519, + 338, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 338, + 532 + ], + "score": 1.0, + "content": "first aggregates information from the antigen and the an-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 530, + 337, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 530, + 337, + 543 + ], + "score": 1.0, + "content": "tibody framework. Then, it iteratively updates the amino", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 541, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 553 + ], + "score": 1.0, + "content": "acid type, position, and orientation of each amino acid on CDRs. In the last step, we reconstruct", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "score": 1.0, + "content": "the CDR structure at the atom level using side-chain packing algorithms based on the predicted", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 563, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 575 + ], + "score": 1.0, + "content": "orientations [Alford et al., 2017]. From the perspective of model capability, one of the most important", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "score": 1.0, + "content": "reasons for us to choose the diffusion-based model over other generative models such as generative", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 583, + 507, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 507, + 599 + ], + "score": 1.0, + "content": "adversarial networks [Goodfellow et al., 2014] and variational auto-encoders [Kingma and Welling,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 595, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 506, + 609 + ], + "score": 1.0, + "content": "2013] is that it generates CDR candidates iteratively in the sequence-structure space so that we can", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 607, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 506, + 619 + ], + "score": 1.0, + "content": "interfere and impose constraints on the sampling process to support a broader range of design tasks.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 410, + 338, + 543 + ] + }, + { + "type": "image", + "bbox": [ + 347, + 414, + 500, + 490 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 347, + 414, + 500, + 490 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 347, + 414, + 500, + 490 + ], + "spans": [ + { + "bbox": [ + 347, + 414, + 500, + 490 + ], + "score": 0.956, + "type": "image", + "image_path": "bb8be12f301b7bc8947974b8f56749b9807a630d717934dc48f1a85c6efbf65e.jpg" + } + ] + } + ], + "index": 35.5, + "virtual_lines": [ + { + "bbox": [ + 347, + 414, + 500, + 452.0 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 347, + 452.0, + 500, + 490.0 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 344, + 497, + 505, + 530 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 343, + 496, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 343, + 496, + 506, + 508 + ], + "score": 1.0, + "content": "Figure 2: The task in this work is to de-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 343, + 507, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 343, + 507, + 505, + 520 + ], + "score": 1.0, + "content": "sign CDRs for a given antigen structure", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 344, + 519, + 458, + 530 + ], + "spans": [ + { + "bbox": [ + 344, + 519, + 458, + 530 + ], + "score": 1.0, + "content": "and an antibody framework.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39 + } + ], + "index": 37.25 + }, + { + "type": "text", + "bbox": [ + 107, + 542, + 506, + 618 + ], + "lines": [], + "index": 44, + "bbox_fs": [ + 105, + 541, + 507, + 619 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 108, + 623, + 283, + 634 + ], + "lines": [ + { + "bbox": [ + 106, + 622, + 284, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 284, + 635 + ], + "score": 1.0, + "content": "We summarize our contributions as follows:", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 48, + "bbox_fs": [ + 106, + 622, + 284, + 635 + ] + }, + { + "type": "text", + "bbox": [ + 133, + 644, + 505, + 689 + ], + "lines": [ + { + "bbox": [ + 132, + 642, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 132, + 642, + 505, + 658 + ], + "score": 1.0, + "content": "• We propose the first deep learning models to perform antibody sequence-structure design by", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 141, + 655, + 322, + 668 + ], + "spans": [ + { + "bbox": [ + 141, + 655, + 322, + 668 + ], + "score": 1.0, + "content": "considering the 3D structures of the antigen.", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 132, + 666, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 132, + 666, + 506, + 680 + ], + "score": 1.0, + "content": "• In our model, we not only design protein sequences and coordinates but also side-chain", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 141, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 141, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "orientations (represented as SO(3) element) of each amino acid. It is the first deep learning", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 141, + 71, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 141, + 71, + 505, + 86 + ], + "score": 1.0, + "content": "model that could achieve atomic-resolution antibody design and is equivariant to rotation", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 142, + 83, + 206, + 95 + ], + "spans": [ + { + "bbox": [ + 142, + 83, + 206, + 95 + ], + "score": 1.0, + "content": "and translation.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 50.5, + "bbox_fs": [ + 132, + 642, + 506, + 691 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 138, + 73, + 504, + 94 + ], + "lines": [ + { + "bbox": [ + 141, + 71, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 141, + 71, + 505, + 86 + ], + "score": 1.0, + "content": "model that could achieve atomic-resolution antibody design and is equivariant to rotation", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 142, + 83, + 206, + 95 + ], + "spans": [ + { + "bbox": [ + 142, + 83, + 206, + 95 + ], + "score": 1.0, + "content": "and translation.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 135, + 95, + 504, + 117 + ], + "lines": [ + { + "bbox": [ + 133, + 92, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 133, + 92, + 505, + 108 + ], + "score": 1.0, + "content": "• We show that our model can be applied to a wide range of antibody design tasks, including", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 141, + 105, + 481, + 118 + ], + "spans": [ + { + "bbox": [ + 141, + 105, + 481, + 118 + ], + "score": 1.0, + "content": "sequence-structure co-design, fix-backbone CDR design, and antibody optimization.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 107, + 140, + 197, + 154 + ], + "lines": [ + { + "bbox": [ + 105, + 139, + 198, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 198, + 155 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 259 + ], + "lines": [ + { + "bbox": [ + 107, + 161, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 107, + 161, + 505, + 172 + ], + "score": 1.0, + "content": "Computational Antibody Design Conventional computational approaches are mainly based on", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "score": 1.0, + "content": "sampling algorithms over hand-crafted and statistical energy functions and iteratively modify protein", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 182, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 194 + ], + "score": 1.0, + "content": "sequences and structures [Adolf-Bryfogle et al., 2018, Lapidoth et al., 2015, Warszawski et al., 2019,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 191, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 104, + 191, + 506, + 207 + ], + "score": 1.0, + "content": "Pantazes and Maranas, 2010, Ruffolo et al., 2021]. These methods are inefficient and prone to getting", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 205, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 216 + ], + "score": 1.0, + "content": "stuck at local optima due to the rough energy landscape. In recent years, deep learning methods", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 214, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 228 + ], + "score": 1.0, + "content": "have shown potential in antibody design by using language models to generate protein sequences", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "score": 1.0, + "content": "[Alley et al., 2019, Shin et al., 2021, Saka et al., 2021, Akbar et al., 2022b]. Although much more", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 237, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 505, + 249 + ], + "score": 1.0, + "content": "efficient, the sequence-based methods can only generate new antibodies based on previously observed", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 247, + 412, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 412, + 261 + ], + "score": 1.0, + "content": "antibodies but can hardly generate antibodies for specific antigen structures.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 264, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "score": 1.0, + "content": "Jin et al. proposed the first CDR sequence-structure co-design deep generative model which focuses", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 274, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 505, + 288 + ], + "score": 1.0, + "content": "on designing antibodies to neutralize SARS-CoV-2. It relies on an additional antigen-specific", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 286, + 505, + 298 + ], + "spans": [ + { + "bbox": [ + 104, + 286, + 505, + 298 + ], + "score": 1.0, + "content": "predictor to predict the neutralization of the designed antibodies, which is not generalizable to", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 297, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 505, + 310 + ], + "score": 1.0, + "content": "arbitrary antigens. In comparison to their model, we explicitly model the 3D structure of an", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 308, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 308, + 506, + 321 + ], + "score": 1.0, + "content": "antigen, opening the door to generalizing the prediction to unseen antigens with solved 3D structures.", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "Another advantage of our model is that we consider not only backbone atom coordinates but also", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "score": 1.0, + "content": "the orientation of amino acids. The orientation is critical to protein-protein interactions as most of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 339, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 506, + 354 + ], + "score": 1.0, + "content": "the atoms interacting between antibodies and antigens are in the side-chain [Liljas et al., 2016] (as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "illustrated in Figure 1b). Lastly, the model proposed by Jin et al. is not equivariant by construction,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 361, + 289, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 289, + 375 + ], + "score": 1.0, + "content": "which is fundamental in molecular modeling.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 493 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "score": 1.0, + "content": "Protein Structure Prediction Protein structure prediction algorithms take protein sequences and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "score": 1.0, + "content": "Multiple Sequence Alignments (MSAs) as input and translate them to 3D structures [Jumper et al.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 405, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 505, + 418 + ], + "score": 1.0, + "content": "2021, Baek et al., 2021, Yang et al., 2020]. Accurate protein structure prediction models predict not", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "only the position of amino acids but also their orientation [Jumper et al., 2021, Yang et al., 2020].", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 427, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 506, + 440 + ], + "score": 1.0, + "content": "The orientation of amino acids determines the direction in which its side chain stretches, so it is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "indispensable for reconstructing full-atom structures. AlphaFold2 [Jumper et al., 2021] predicts", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 449, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 505, + 461 + ], + "score": 1.0, + "content": "per-amino-acid orientations in an iterative fashion, similar to our proposed model. However, it is", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "not generative, unable to efficiently sample diverse structures for protein design. Recently, based on", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "prior protein structure prediction algorithms, methods for predicting antibody CDR structures have", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 481, + 435, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 435, + 495 + ], + "score": 1.0, + "content": "emerged [Ruffolo et al., 2022b,a], but they are not able to design CDR sequences.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 28.5 + }, + { + "type": "text", + "bbox": [ + 106, + 504, + 505, + 624 + ], + "lines": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "score": 1.0, + "content": "Diffusion-Based Generative Models Diffusion probabilistic models learn to generate data via", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "denoising samples from a prior distribution [Sohl-Dickstein et al., 2015, Song and Ermon, 2019,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "Ho et al., 2020]. Recently, progress has been made in developing equivariant diffusion models", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "for molecular 3D structures [Shi et al., 2021, Hoogeboom et al., 2022, Jing et al., 2022, Xu et al.,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 547, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 505, + 559 + ], + "score": 1.0, + "content": "2022]. Atoms in a molecule do not have natural orientations, so the generation process differs from", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 559, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 505, + 570 + ], + "score": 1.0, + "content": "generating protein structures. Diffusion models have also been extended to non-Euclidean data, such", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 569, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 505, + 581 + ], + "score": 1.0, + "content": "as data in the Riemannian manifolds [Leach et al., 2022, De Bortoli et al., 2022]. These models are", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 580, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 505, + 591 + ], + "score": 1.0, + "content": "relevant to modeling orientations which are represented by elements in SO(3). In addition, diffusion", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "score": 1.0, + "content": "models can also be used to generate discrete categorical data [Hoogeboom et al., 2021, Austin et al.,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 602, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 602, + 505, + 613 + ], + "score": 1.0, + "content": "2021]. Concurrently with this work, various diffusion probabilistic models have been developed for", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 613, + 394, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 394, + 625 + ], + "score": 1.0, + "content": "proteins [Anand and Achim, 2022, Trippe et al., 2022, Wu et al., 2022].", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 39 + }, + { + "type": "title", + "bbox": [ + 107, + 648, + 170, + 661 + ], + "lines": [ + { + "bbox": [ + 104, + 646, + 172, + 664 + ], + "spans": [ + { + "bbox": [ + 104, + 646, + 172, + 664 + ], + "score": 1.0, + "content": "3 Methods", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 108, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "This section is organized as follows: Section 3.1 introduces notations used throughout the paper and", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "formally states the problem. Section 3.2 formulates the diffusion process for modeling antibodies.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 700, + 507, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 507, + 712 + ], + "score": 1.0, + "content": "Section 3.3 introduces details about the neural network parameterization for the diffusion processes.", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 711, + 410, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 410, + 723 + ], + "score": 1.0, + "content": "Section 3.4 presents sampling algorithms for various antibody design tasks.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 303, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 138, + 73, + 504, + 94 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 141, + 71, + 505, + 95 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 135, + 95, + 504, + 117 + ], + "lines": [ + { + "bbox": [ + 133, + 92, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 133, + 92, + 505, + 108 + ], + "score": 1.0, + "content": "• We show that our model can be applied to a wide range of antibody design tasks, including", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 141, + 105, + 481, + 118 + ], + "spans": [ + { + "bbox": [ + 141, + 105, + 481, + 118 + ], + "score": 1.0, + "content": "sequence-structure co-design, fix-backbone CDR design, and antibody optimization.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 133, + 92, + 505, + 118 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 140, + 197, + 154 + ], + "lines": [ + { + "bbox": [ + 105, + 139, + 198, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 198, + 155 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 259 + ], + "lines": [ + { + "bbox": [ + 107, + 161, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 107, + 161, + 505, + 172 + ], + "score": 1.0, + "content": "Computational Antibody Design Conventional computational approaches are mainly based on", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "score": 1.0, + "content": "sampling algorithms over hand-crafted and statistical energy functions and iteratively modify protein", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 182, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 194 + ], + "score": 1.0, + "content": "sequences and structures [Adolf-Bryfogle et al., 2018, Lapidoth et al., 2015, Warszawski et al., 2019,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 191, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 104, + 191, + 506, + 207 + ], + "score": 1.0, + "content": "Pantazes and Maranas, 2010, Ruffolo et al., 2021]. These methods are inefficient and prone to getting", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 205, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 216 + ], + "score": 1.0, + "content": "stuck at local optima due to the rough energy landscape. In recent years, deep learning methods", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 214, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 228 + ], + "score": 1.0, + "content": "have shown potential in antibody design by using language models to generate protein sequences", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "score": 1.0, + "content": "[Alley et al., 2019, Shin et al., 2021, Saka et al., 2021, Akbar et al., 2022b]. Although much more", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 237, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 505, + 249 + ], + "score": 1.0, + "content": "efficient, the sequence-based methods can only generate new antibodies based on previously observed", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 247, + 412, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 412, + 261 + ], + "score": 1.0, + "content": "antibodies but can hardly generate antibodies for specific antigen structures.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9, + "bbox_fs": [ + 104, + 161, + 506, + 261 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 264, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "score": 1.0, + "content": "Jin et al. proposed the first CDR sequence-structure co-design deep generative model which focuses", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 274, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 505, + 288 + ], + "score": 1.0, + "content": "on designing antibodies to neutralize SARS-CoV-2. It relies on an additional antigen-specific", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 286, + 505, + 298 + ], + "spans": [ + { + "bbox": [ + 104, + 286, + 505, + 298 + ], + "score": 1.0, + "content": "predictor to predict the neutralization of the designed antibodies, which is not generalizable to", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 297, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 505, + 310 + ], + "score": 1.0, + "content": "arbitrary antigens. In comparison to their model, we explicitly model the 3D structure of an", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 308, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 308, + 506, + 321 + ], + "score": 1.0, + "content": "antigen, opening the door to generalizing the prediction to unseen antigens with solved 3D structures.", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "Another advantage of our model is that we consider not only backbone atom coordinates but also", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "score": 1.0, + "content": "the orientation of amino acids. The orientation is critical to protein-protein interactions as most of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 339, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 506, + 354 + ], + "score": 1.0, + "content": "the atoms interacting between antibodies and antigens are in the side-chain [Liljas et al., 2016] (as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "illustrated in Figure 1b). Lastly, the model proposed by Jin et al. is not equivariant by construction,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 361, + 289, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 289, + 375 + ], + "score": 1.0, + "content": "which is fundamental in molecular modeling.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18.5, + "bbox_fs": [ + 104, + 263, + 506, + 375 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 493 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "score": 1.0, + "content": "Protein Structure Prediction Protein structure prediction algorithms take protein sequences and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "score": 1.0, + "content": "Multiple Sequence Alignments (MSAs) as input and translate them to 3D structures [Jumper et al.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 405, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 505, + 418 + ], + "score": 1.0, + "content": "2021, Baek et al., 2021, Yang et al., 2020]. Accurate protein structure prediction models predict not", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "only the position of amino acids but also their orientation [Jumper et al., 2021, Yang et al., 2020].", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 427, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 506, + 440 + ], + "score": 1.0, + "content": "The orientation of amino acids determines the direction in which its side chain stretches, so it is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "indispensable for reconstructing full-atom structures. AlphaFold2 [Jumper et al., 2021] predicts", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 449, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 505, + 461 + ], + "score": 1.0, + "content": "per-amino-acid orientations in an iterative fashion, similar to our proposed model. However, it is", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "not generative, unable to efficiently sample diverse structures for protein design. Recently, based on", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "prior protein structure prediction algorithms, methods for predicting antibody CDR structures have", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 481, + 435, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 435, + 495 + ], + "score": 1.0, + "content": "emerged [Ruffolo et al., 2022b,a], but they are not able to design CDR sequences.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 383, + 506, + 495 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 504, + 505, + 624 + ], + "lines": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "score": 1.0, + "content": "Diffusion-Based Generative Models Diffusion probabilistic models learn to generate data via", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "denoising samples from a prior distribution [Sohl-Dickstein et al., 2015, Song and Ermon, 2019,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "Ho et al., 2020]. Recently, progress has been made in developing equivariant diffusion models", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "for molecular 3D structures [Shi et al., 2021, Hoogeboom et al., 2022, Jing et al., 2022, Xu et al.,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 547, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 505, + 559 + ], + "score": 1.0, + "content": "2022]. Atoms in a molecule do not have natural orientations, so the generation process differs from", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 559, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 505, + 570 + ], + "score": 1.0, + "content": "generating protein structures. Diffusion models have also been extended to non-Euclidean data, such", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 569, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 505, + 581 + ], + "score": 1.0, + "content": "as data in the Riemannian manifolds [Leach et al., 2022, De Bortoli et al., 2022]. These models are", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 580, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 505, + 591 + ], + "score": 1.0, + "content": "relevant to modeling orientations which are represented by elements in SO(3). In addition, diffusion", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "score": 1.0, + "content": "models can also be used to generate discrete categorical data [Hoogeboom et al., 2021, Austin et al.,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 602, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 602, + 505, + 613 + ], + "score": 1.0, + "content": "2021]. 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Section 3.2 formulates the diffusion process for modeling antibodies.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 700, + 507, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 507, + 712 + ], + "score": 1.0, + "content": "Section 3.3 introduces details about the neural network parameterization for the diffusion processes.", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 711, + 410, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 410, + 723 + ], + "score": 1.0, + "content": "Section 3.4 presents sampling algorithms for various antibody design tasks.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47.5, + "bbox_fs": [ + 105, + 678, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 72, + 239, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 239, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 239, + 86 + ], + "score": 1.0, + "content": "3.1 Definitions and Notations", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 92, + 504, + 126 + ], + "lines": [ + { + "bbox": [ + 105, + 92, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 385, + 106 + ], + "score": 1.0, + "content": "An amino acid in a protein complex can be represented by its type,", + "type": "text" + }, + { + "bbox": [ + 385, + 93, + 399, + 104 + ], + "score": 0.87, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 92, + 506, + 106 + ], + "score": 1.0, + "content": "atom coordinate, and the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 103, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 103, + 199, + 117 + ], + "score": 1.0, + "content": "orientation, denoted as", + "type": "text" + }, + { + "bbox": [ + 199, + 104, + 334, + 116 + ], + "score": 0.74, + "content": "s _ { i } \\in \\left\\{ \\tt A C D E F G H I K L M N P Q R S T V W Y \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 103, + 338, + 117 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 338, + 103, + 427, + 115 + ], + "score": 0.56, + "content": "\\dot { \\pmb { x } } _ { i } \\in \\mathbb { R } ^ { \\bar { 3 } } , O _ { i } \\in \\mathrm { S O ( 3 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 103, + 506, + 117 + ], + "score": 1.0, + "content": ", respectively. 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Hence, we formulate the training object that minimizes the expected", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 159, + 504, + 171 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 504, + 171 + ], + "score": 1.0, + "content": "discrepancy measured by the inner product between the real and the predicted orientation matrices:", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5.5 + }, + { + "type": "interline_equation", + "bbox": [ + 218, + 172, + 392, + 200 + ], + "lines": [ + { + "bbox": [ + 218, + 172, + 392, + 200 + ], + "spans": [ + { + "bbox": [ + 218, + 172, + 392, + 200 + ], + "score": 0.94, + "content": "L _ { \\mathrm { o r i } } ^ { t } = \\mathbb { E } \\left[ \\frac { 1 } { m } \\sum _ { j } \\left. \\left( \\mathbf { O } _ { j } ^ { 0 } \\right) ^ { \\intercal } \\widehat { \\mathbf { O } } _ { j } ^ { t - 1 } - I \\right. _ { F } ^ { 2 } \\right] ,", + "type": "interline_equation", + "image_path": "5729a6f7cb44a327d9839b8f1c3b331fa8dd1c38d94fe9438692a1b4c5258d40.jpg" + } + ] + } + ], + "index": 8.5, + "virtual_lines": [ + { + "bbox": [ + 218, + 172, + 392, + 186.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 218, + 186.0, + 392, + 200.0 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 203, + 381, + 216 + ], + "lines": [ + { + "bbox": [ + 104, + 200, + 381, + 219 + ], + "spans": [ + { + "bbox": [ + 104, + 200, + 133, + 219 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 202, + 199, + 218 + ], + "score": 0.93, + "content": "\\widehat { \\mathbf { O } } _ { j } ^ { t - 1 } = H ( \\cdot ) [ j ]", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 200, + 370, + 219 + ], + "score": 1.0, + "content": "is the predicted orientation for amino acid", + "type": "text" + }, + { + "bbox": [ + 370, + 204, + 376, + 216 + ], + "score": 0.81, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 200, + 381, + 219 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 105, + 217, + 507, + 239 + ], + "lines": [ + { + "bbox": [ + 105, + 216, + 506, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 497, + 231 + ], + "score": 1.0, + "content": "The Overall Training Objective By summing Eq.4, 9, and 12 and taking the expectation w.r.t.", + "type": "text" + }, + { + "bbox": [ + 497, + 219, + 502, + 227 + ], + "score": 0.66, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 216, + 506, + 231 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 228, + 293, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 293, + 241 + ], + "score": 1.0, + "content": "we obtain the final training objective function:", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 241, + 394, + 257 + ], + "lines": [ + { + "bbox": [ + 217, + 241, + 394, + 257 + ], + "spans": [ + { + "bbox": [ + 217, + 241, + 394, + 257 + ], + "score": 0.92, + "content": "L = \\mathbb { E } _ { t \\sim \\mathrm { U n i f o r m } ( 1 . . . T ) } \\left[ L _ { \\mathrm { t y p e } } ^ { t } + L _ { \\mathrm { p o s } } ^ { t } + L _ { \\mathrm { o r i } } ^ { t } \\right] .", + "type": "interline_equation", + "image_path": "e61a380294985e4edc109f88e511f63fc2478c16b817ada7892dc00d00fb8775.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 217, + 241, + 394, + 257 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 265, + 506, + 301 + ], + "lines": [ + { + "bbox": [ + 101, + 262, + 504, + 282 + ], + "spans": [ + { + "bbox": [ + 101, + 262, + 290, + 282 + ], + "score": 1.0, + "content": "To train the model, we first sample a time step", + "type": "text" + }, + { + "bbox": [ + 290, + 267, + 296, + 276 + ], + "score": 0.76, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 262, + 412, + 282 + ], + "score": 1.0, + "content": "and then sample noisy states", + "type": "text" + }, + { + "bbox": [ + 412, + 264, + 504, + 280 + ], + "score": 0.92, + "content": "\\{ \\mathbf { s } _ { j } ^ { t } , \\mathbf { x } _ { j } ^ { t } , \\mathbf { O } _ { j } ^ { t } \\} _ { j = l + 1 } ^ { l + m } \\sim p", + "type": "inline_equation" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 278, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 278, + 506, + 291 + ], + "score": 1.0, + "content": "by adding noise to the training sample using the diffusion process defined by Eq.2, 6, and 10. We", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 290, + 483, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 483, + 301 + ], + "score": 1.0, + "content": "compute the loss using the noisy data and backpropagate the loss to update model parameters.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 107, + 312, + 302, + 324 + ], + "lines": [ + { + "bbox": [ + 106, + 312, + 302, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 302, + 325 + ], + "score": 1.0, + "content": "3.3 Parameterization with Neural Networks", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 333, + 505, + 380 + ], + "lines": [ + { + "bbox": [ + 106, + 333, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 506, + 344 + ], + "score": 1.0, + "content": "In this section, we briefly introduce the neural network architectures used in different components of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 342, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 474, + 357 + ], + "score": 1.0, + "content": "the diffusion process. The purpose of the networks is to encode the CDR state at a time step", + "type": "text" + }, + { + "bbox": [ + 480, + 342, + 506, + 357 + ], + "score": 1.0, + "content": "along", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 101, + 348, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 101, + 348, + 212, + 376 + ], + "score": 1.0, + "content": "with the context structure:", + "type": "text" + }, + { + "bbox": [ + 212, + 354, + 429, + 370 + ], + "score": 0.9, + "content": "\\{ \\mathbf { s } _ { j } ^ { t } , \\mathbf { x } _ { j } ^ { t } , \\mathbf { O } _ { j } ^ { t } \\} _ { j = l + 1 } ^ { l + m } \\cup \\{ s _ { i } ^ { t } , \\mathbf { x } _ { i } ^ { t } , O _ { i } ^ { t } \\} _ { i = \\{ 1 \\ldots N \\} \\setminus \\{ l + 1 \\ldots l + m \\} }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 348, + 506, + 376 + ], + "score": 1.0, + "content": ", and then denoises", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 367, + 380, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 214, + 381 + ], + "score": 1.0, + "content": "the CDR amino acid types", + "type": "text" + }, + { + "bbox": [ + 215, + 369, + 229, + 379 + ], + "score": 0.76, + "content": "( F )", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 367, + 273, + 381 + ], + "score": 1.0, + "content": ", positions", + "type": "text" + }, + { + "bbox": [ + 273, + 369, + 287, + 379 + ], + "score": 0.71, + "content": "( G )", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 367, + 358, + 381 + ], + "score": 1.0, + "content": ", and orientations", + "type": "text" + }, + { + "bbox": [ + 358, + 369, + 374, + 379 + ], + "score": 0.7, + "content": "( H )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 367, + 380, + 381 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 106, + 384, + 505, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 384, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 506, + 397 + ], + "score": 1.0, + "content": "First, we adopt Multiple Layer Perceptrons (MLPs) to generate embeddings for single and pairs", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 396, + 408 + ], + "score": 1.0, + "content": "of amino acids. The single amino-acid embedding MLP creates vector", + "type": "text" + }, + { + "bbox": [ + 396, + 397, + 406, + 407 + ], + "score": 0.84, + "content": "e _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 396, + 469, + 408 + ], + "score": 1.0, + "content": "for amino acid", + "type": "text" + }, + { + "bbox": [ + 469, + 396, + 474, + 406 + ], + "score": 0.72, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 396, + 505, + 408 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "score": 1.0, + "content": "encodes the information of amino acid types, torsional angles, and 3D coordinates of all the heavy", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "atoms. The pairwise embedding MLP encodes the Euclidean distances and dihedral angles between", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 153, + 441 + ], + "score": 1.0, + "content": "amino acid", + "type": "text" + }, + { + "bbox": [ + 153, + 429, + 158, + 438 + ], + "score": 0.73, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 428, + 176, + 441 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 176, + 429, + 182, + 440 + ], + "score": 0.83, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 428, + 255, + 441 + ], + "score": 1.0, + "content": "to feature vectors", + "type": "text" + }, + { + "bbox": [ + 255, + 429, + 269, + 441 + ], + "score": 0.88, + "content": "z _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 428, + 506, + 441 + ], + "score": 1.0, + "content": ". We adopt IPA [Jumper et al., 2021], an orientation-aware", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 301, + 452 + ], + "score": 1.0, + "content": "roto-translation invariant network to transform", + "type": "text" + }, + { + "bbox": [ + 301, + 441, + 312, + 450 + ], + "score": 0.85, + "content": "e _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 439, + 331, + 452 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 331, + 441, + 345, + 452 + ], + "score": 0.89, + "content": "z _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 439, + 461, + 452 + ], + "score": 1.0, + "content": "into hidden representations", + "type": "text" + }, + { + "bbox": [ + 461, + 439, + 473, + 450 + ], + "score": 0.87, + "content": "\\boldsymbol { h } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 439, + 505, + 452 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "score": 1.0, + "content": "aims to represent the amino acid itself and its environment. Next, the representations are fed to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 460, + 507, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 507, + 474 + ], + "score": 1.0, + "content": "three different MLPs to denoise the amino acid types, 3D positions, and orientations of the CDR,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 472, + 159, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 159, + 486 + ], + "score": 1.0, + "content": "respectively.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 487, + 505, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 487, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 502 + ], + "score": 1.0, + "content": "In particular, the MLP for denoising amino acid types outputs a 20-dimensional vector representing", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 499, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 106, + 499, + 318, + 512 + ], + "score": 1.0, + "content": "the posterior probabilities. The MLP for denoising", + "type": "text" + }, + { + "bbox": [ + 318, + 500, + 333, + 510 + ], + "score": 0.88, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 499, + 506, + 512 + ], + "score": 1.0, + "content": "coordinates predicts the scaled change of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 510, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 506, + 523 + ], + "score": 1.0, + "content": "the coordinate in terms of the current orientation of the amino acid. As the coordinate deviation is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 520, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 505, + 533 + ], + "score": 1.0, + "content": "calculated in the local frame, we left-multiply it by the orientation matrix and transform it back to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 531, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 322, + 545 + ], + "score": 1.0, + "content": "the global frame. Formally, this can be expressed as", + "type": "text" + }, + { + "bbox": [ + 322, + 532, + 410, + 545 + ], + "score": 0.92, + "content": "\\hat { \\epsilon } _ { j } = \\mathbf { O } _ { j } ^ { t } \\mathrm { M L P } _ { G } \\left( h _ { j } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 531, + 506, + 545 + ], + "score": 1.0, + "content": ". Predicting coordinate", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 543, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 505, + 556 + ], + "score": 1.0, + "content": "deviations in the local frame and projecting it to the global frame ensures the equivariance of the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 554, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 505, + 566 + ], + "score": 1.0, + "content": "prediction, as when the entire 3D structure rotates by a particular angle, the coordinate deviations also", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 564, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 419, + 577 + ], + "score": 1.0, + "content": "rotate by the same angle. The MLP for denoising orientations first predicts a", + "type": "text" + }, + { + "bbox": [ + 419, + 565, + 442, + 577 + ], + "score": 0.9, + "content": "s o ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 564, + 505, + 577 + ], + "score": 1.0, + "content": "vector [Gallier", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 354, + 588 + ], + "score": 1.0, + "content": "and Xu, 2003]. The vector is converted to a rotation matrix", + "type": "text" + }, + { + "bbox": [ + 354, + 576, + 410, + 588 + ], + "score": 0.91, + "content": "M _ { j } \\in \\mathrm { S O } ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 576, + 505, + 588 + ], + "score": 1.0, + "content": "right-multiplied to the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 586, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 104, + 586, + 414, + 603 + ], + "score": 1.0, + "content": "orientation to produce a new mean orientation for the next generative step:", + "type": "text" + }, + { + "bbox": [ + 414, + 587, + 482, + 603 + ], + "score": 0.92, + "content": "\\widehat { \\mathbf { O } } _ { j } ^ { t - 1 } \\gets \\mathbf { O } _ { j } ^ { t } M _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 586, + 506, + 603 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 600, + 462, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 462, + 613 + ], + "score": 1.0, + "content": "proposed networks are equivariant to the rotation and translation of the overall structure:", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 106, + 613, + 505, + 636 + ], + "lines": [ + { + "bbox": [ + 106, + 612, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 306, + 627 + ], + "score": 1.0, + "content": "Proposition 1. 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The purpose of the networks is to encode the CDR state at a time step", + "type": "text" + }, + { + "bbox": [ + 480, + 342, + 506, + 357 + ], + "score": 1.0, + "content": "along", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 101, + 348, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 101, + 348, + 212, + 376 + ], + "score": 1.0, + "content": "with the context structure:", + "type": "text" + }, + { + "bbox": [ + 212, + 354, + 429, + 370 + ], + "score": 0.9, + "content": "\\{ \\mathbf { s } _ { j } ^ { t } , \\mathbf { x } _ { j } ^ { t } , \\mathbf { O } _ { j } ^ { t } \\} _ { j = l + 1 } ^ { l + m } \\cup \\{ s _ { i } ^ { t } , \\mathbf { x } _ { i } ^ { t } , O _ { i } ^ { t } \\} _ { i = \\{ 1 \\ldots N \\} \\setminus \\{ l + 1 \\ldots l + m \\} }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 348, + 506, + 376 + ], + "score": 1.0, + "content": ", and then denoises", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 367, + 380, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 214, + 381 + ], + "score": 1.0, + "content": "the CDR amino acid types", + "type": "text" + }, + { + "bbox": [ + 215, + 369, + 229, + 379 + ], + "score": 0.76, + "content": "( F )", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 367, + 273, + 381 + ], + "score": 1.0, + "content": ", positions", + "type": "text" + }, + { + "bbox": [ + 273, + 369, + 287, + 379 + ], + "score": 0.71, + "content": "( G )", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 367, + 358, + 381 + ], + "score": 1.0, + "content": ", and orientations", + "type": "text" + }, + { + "bbox": [ + 358, + 369, + 374, + 379 + ], + "score": 0.7, + "content": "( H )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 367, + 380, + 381 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5, + "bbox_fs": [ + 101, + 333, + 506, + 381 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 384, + 505, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 384, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 506, + 397 + ], + "score": 1.0, + "content": "First, we adopt Multiple Layer Perceptrons (MLPs) to generate embeddings for single and pairs", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 396, + 408 + ], + "score": 1.0, + "content": "of amino acids. The single amino-acid embedding MLP creates vector", + "type": "text" + }, + { + "bbox": [ + 396, + 397, + 406, + 407 + ], + "score": 0.84, + "content": "e _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 396, + 469, + 408 + ], + "score": 1.0, + "content": "for amino acid", + "type": "text" + }, + { + "bbox": [ + 469, + 396, + 474, + 406 + ], + "score": 0.72, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 396, + 505, + 408 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "score": 1.0, + "content": "encodes the information of amino acid types, torsional angles, and 3D coordinates of all the heavy", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "atoms. The pairwise embedding MLP encodes the Euclidean distances and dihedral angles between", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 153, + 441 + ], + "score": 1.0, + "content": "amino acid", + "type": "text" + }, + { + "bbox": [ + 153, + 429, + 158, + 438 + ], + "score": 0.73, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 428, + 176, + 441 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 176, + 429, + 182, + 440 + ], + "score": 0.83, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 428, + 255, + 441 + ], + "score": 1.0, + "content": "to feature vectors", + "type": "text" + }, + { + "bbox": [ + 255, + 429, + 269, + 441 + ], + "score": 0.88, + "content": "z _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 428, + 506, + 441 + ], + "score": 1.0, + "content": ". We adopt IPA [Jumper et al., 2021], an orientation-aware", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 301, + 452 + ], + "score": 1.0, + "content": "roto-translation invariant network to transform", + "type": "text" + }, + { + "bbox": [ + 301, + 441, + 312, + 450 + ], + "score": 0.85, + "content": "e _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 439, + 331, + 452 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 331, + 441, + 345, + 452 + ], + "score": 0.89, + "content": "z _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 439, + 461, + 452 + ], + "score": 1.0, + "content": "into hidden representations", + "type": "text" + }, + { + "bbox": [ + 461, + 439, + 473, + 450 + ], + "score": 0.87, + "content": "\\boldsymbol { h } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 439, + 505, + 452 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "score": 1.0, + "content": "aims to represent the amino acid itself and its environment. Next, the representations are fed to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 460, + 507, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 507, + 474 + ], + "score": 1.0, + "content": "three different MLPs to denoise the amino acid types, 3D positions, and orientations of the CDR,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 472, + 159, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 159, + 486 + ], + "score": 1.0, + "content": "respectively.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 384, + 507, + 486 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 487, + 505, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 487, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 502 + ], + "score": 1.0, + "content": "In particular, the MLP for denoising amino acid types outputs a 20-dimensional vector representing", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 499, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 106, + 499, + 318, + 512 + ], + "score": 1.0, + "content": "the posterior probabilities. The MLP for denoising", + "type": "text" + }, + { + "bbox": [ + 318, + 500, + 333, + 510 + ], + "score": 0.88, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 499, + 506, + 512 + ], + "score": 1.0, + "content": "coordinates predicts the scaled change of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 510, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 506, + 523 + ], + "score": 1.0, + "content": "the coordinate in terms of the current orientation of the amino acid. 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Predicting coordinate", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 543, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 505, + 556 + ], + "score": 1.0, + "content": "deviations in the local frame and projecting it to the global frame ensures the equivariance of the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 554, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 505, + 566 + ], + "score": 1.0, + "content": "prediction, as when the entire 3D structure rotates by a particular angle, the coordinate deviations also", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 564, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 419, + 577 + ], + "score": 1.0, + "content": "rotate by the same angle. 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The vector is converted to a rotation matrix", + "type": "text" + }, + { + "bbox": [ + 354, + 576, + 410, + 588 + ], + "score": 0.91, + "content": "M _ { j } \\in \\mathrm { S O } ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 576, + 505, + 588 + ], + "score": 1.0, + "content": "right-multiplied to the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 586, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 104, + 586, + 414, + 603 + ], + "score": 1.0, + "content": "orientation to produce a new mean orientation for the next generative step:", + "type": "text" + }, + { + "bbox": [ + 414, + 587, + 482, + 603 + ], + "score": 0.92, + "content": "\\widehat { \\mathbf { O } } _ { j } ^ { t - 1 } \\gets \\mathbf { O } _ { j } ^ { t } M _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 586, + 506, + 603 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 600, + 462, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 462, + 613 + ], + "score": 1.0, + "content": "proposed networks are equivariant to the rotation and translation of the overall structure:", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36, + "bbox_fs": [ + 104, + 487, + 506, + 613 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 613, + 505, + 636 + ], + "lines": [ + { + "bbox": [ + 106, + 612, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 306, + 627 + ], + "score": 1.0, + "content": "Proposition 1. For any proper rotation matrix", + "type": "text" + }, + { + "bbox": [ + 307, + 613, + 358, + 625 + ], + "score": 0.86, + "content": "R \\in \\mathrm { S O } ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 612, + 397, + 627 + ], + "score": 1.0, + "content": "and any", + "type": "text" + }, + { + "bbox": [ + 397, + 614, + 412, + 624 + ], + "score": 0.72, + "content": "3 D", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 612, + 442, + 627 + ], + "score": 1.0, + "content": "vector", + "type": "text" + }, + { + "bbox": [ + 442, + 613, + 477, + 624 + ], + "score": 0.9, + "content": "\\pmb { r } \\in \\mathbb { R } ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 612, + 506, + 627 + ], + "score": 1.0, + "content": "(rigid", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 624, + 476, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 169, + 638 + ], + "score": 1.0, + "content": "transformation", + "type": "text" + }, + { + "bbox": [ + 169, + 625, + 234, + 637 + ], + "score": 0.87, + "content": "( R , r ) \\in \\mathrm { S E } ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 624, + 240, + 638 + ], + "score": 1.0, + "content": "),", + "type": "text" + }, + { + "bbox": [ + 241, + 625, + 249, + 635 + ], + "score": 0.62, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 624, + 253, + 638 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 254, + 625, + 263, + 635 + ], + "score": 0.6, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 624, + 281, + 638 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 281, + 625, + 291, + 635 + ], + "score": 0.79, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 624, + 476, + 638 + ], + "score": 1.0, + "content": "satisfy the following equivariance properties:", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 612, + 506, + 638 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 637, + 385, + 684 + ], + "lines": [ + { + "bbox": [ + 225, + 637, + 385, + 684 + ], + "spans": [ + { + "bbox": [ + 225, + 637, + 385, + 684 + ], + "score": 0.57, + "content": "\\begin{array} { r l } & { F ( R \\mathcal { R } ^ { t } + r , R \\mathcal { C } + r ) = F ( \\mathcal { R } ^ { t } , \\mathcal { C } ) , } \\\\ & { G ( R \\mathcal { R } ^ { t } + r , R \\mathcal { C } + r ) = R G ( \\mathcal { R } ^ { t } , \\mathcal { C } ) , } \\\\ & { H ( R \\mathcal { R } ^ { t } + r , R \\mathcal { C } + r ) = R H ( \\mathcal { R } ^ { t } , \\mathcal { C } ) , } \\end{array}", + "type": "interline_equation", + "image_path": "cdd2d4e9b8b2712a936383573efb0f8f6bc1626bf931b1abf04734122fa50f6e.jpg" + } + ] + } + ], + "index": 45, + "virtual_lines": [ + { + "bbox": [ + 225, + 637, + 385, + 652.6666666666666 + ], + "spans": [], + "index": 44 + }, + { + "bbox": [ + 225, + 652.6666666666666, + 385, + 668.3333333333333 + ], + "spans": [], + "index": 45 + }, + { + "bbox": [ + 225, + 668.3333333333333, + 385, + 683.9999999999999 + ], + "spans": [], + "index": 46 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 686, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 103, + 684, + 504, + 705 + ], + "spans": [ + { + "bbox": [ + 103, + 684, + 132, + 705 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 132, + 686, + 279, + 701 + ], + "score": 0.88, + "content": "R \\mathcal { R } ^ { t } { + } r : = \\{ \\mathrm { s } _ { j } ^ { t } , \\mathrm { \\mathbf { x } } _ { j } ^ { t } { + } r , R \\mathbf { O } _ { j } ^ { t } \\} _ { j = l + 1 } ^ { l { + } m }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 684, + 296, + 705 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 296, + 687, + 504, + 702 + ], + "score": 0.85, + "content": "R { \\mathcal { C } } + r : = \\{ s _ { i } , x _ { i } + r , R O _ { i } \\} _ { i \\in \\{ 1 . . . N \\} \\setminus \\{ l + 1 , . . . , l + m \\} }", + "type": "inline_equation" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 698, + 507, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 327, + 713 + ], + "score": 1.0, + "content": "denote the rotated and translated structure. Note that", + "type": "text" + }, + { + "bbox": [ + 327, + 701, + 335, + 710 + ], + "score": 0.69, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 698, + 340, + 713 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 340, + 701, + 349, + 710 + ], + "score": 0.63, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 698, + 371, + 713 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 371, + 701, + 381, + 710 + ], + "score": 0.74, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 698, + 507, + 713 + ], + "score": 1.0, + "content": "are not single MLPs. Each of", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 710, + 323, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 323, + 723 + ], + "score": 1.0, + "content": "them includes the shared encoder and a specific MLP.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 48, + "bbox_fs": [ + 103, + 684, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 73, + 221, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 71, + 223, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 223, + 87 + ], + "score": 1.0, + "content": "3.4 Sampling Algorithms", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 93, + 505, + 227 + ], + "lines": [ + { + "bbox": [ + 105, + 93, + 506, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 105 + ], + "score": 1.0, + "content": "The sampling algorithm first samples amino acid types from the uniform distribution over 20 classes:", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 101, + 507, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 188, + 118 + ], + "score": 0.37, + "content": "s _ { j } ^ { T } \\sim \\bar { \\mathrm { U n i f o r m } ( 2 0 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 101, + 193, + 118 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 194, + 104, + 208, + 116 + ], + "score": 0.85, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 101, + 415, + 118 + ], + "score": 1.0, + "content": "positions from the standard normal distribution:", + "type": "text" + }, + { + "bbox": [ + 415, + 104, + 483, + 117 + ], + "score": 0.92, + "content": "\\mathbf { x } _ { j } ^ { T } \\sim \\mathcal { N } ( \\mathbf { 0 } , I _ { 3 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 101, + 507, + 118 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 116, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 338, + 130 + ], + "score": 1.0, + "content": "orientations from the uniform distribution over SO(3):", + "type": "text" + }, + { + "bbox": [ + 339, + 116, + 440, + 131 + ], + "score": 0.75, + "content": "\\mathbf { O } _ { j } ^ { T } \\sim \\mathrm { U n i f o r m } ( \\bar { \\mathrm { S O } } ( 3 ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 116, + 506, + 130 + ], + "score": 1.0, + "content": ". Note that we", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 426, + 141 + ], + "score": 1.0, + "content": "normalize the coordinates of the structure in the same way as training such that", + "type": "text" + }, + { + "bbox": [ + 426, + 129, + 440, + 140 + ], + "score": 0.88, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 128, + 505, + 141 + ], + "score": 1.0, + "content": "positions in the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 139, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 505, + 152 + ], + "score": 1.0, + "content": "CDR roughly follow the standard normal distribution. Next, we iteratively sample sequences and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 150, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 421, + 163 + ], + "score": 1.0, + "content": "structures from the generative diffusion kernel by denoising amino acid types,", + "type": "text" + }, + { + "bbox": [ + 421, + 150, + 435, + 162 + ], + "score": 0.89, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 150, + 506, + 163 + ], + "score": 1.0, + "content": "coordinates, and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 161, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 176, + 174 + ], + "score": 1.0, + "content": "orientations until", + "type": "text" + }, + { + "bbox": [ + 176, + 162, + 199, + 172 + ], + "score": 0.89, + "content": "t = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 161, + 476, + 174 + ], + "score": 1.0, + "content": ". To build a full atom 3D structure, we construct the coordinates of N,", + "type": "text" + }, + { + "bbox": [ + 476, + 162, + 490, + 172 + ], + "score": 0.85, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 161, + 506, + 174 + ], + "score": 1.0, + "content": ", C,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 172, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 177, + 184 + ], + "score": 1.0, + "content": "O, and side-chain", + "type": "text" + }, + { + "bbox": [ + 178, + 172, + 191, + 184 + ], + "score": 0.87, + "content": "\\mathrm { C } _ { \\beta }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 172, + 326, + 184 + ], + "score": 1.0, + "content": "(except glycine that does not have", + "type": "text" + }, + { + "bbox": [ + 326, + 172, + 340, + 185 + ], + "score": 0.89, + "content": "\\mathrm { C } _ { \\beta }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 172, + 506, + 184 + ], + "score": 1.0, + "content": ") according to their ideal local coordinates", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 183, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 162, + 195 + ], + "score": 1.0, + "content": "relative to the", + "type": "text" + }, + { + "bbox": [ + 162, + 183, + 177, + 194 + ], + "score": 0.89, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 183, + 505, + 195 + ], + "score": 1.0, + "content": "position and orientation of each amino acid [Engh and Huber, 2012]. Based on the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "score": 1.0, + "content": "five reconstructed atoms, the rest of the side-chain atoms are constructed using the side-chain packing", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "function implemented in Rosetta [Alford et al., 2017]. In the end, we adopt the AMBER99 force field", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 216, + 497, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 497, + 228 + ], + "score": 1.0, + "content": "[Lindorff-Larsen et al., 2010] in OpenMM [Eastman et al., 2017] to refine the full atom structure.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 107, + 232, + 505, + 287 + ], + "lines": [ + { + "bbox": [ + 105, + 232, + 506, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 506, + 245 + ], + "score": 1.0, + "content": "In addition to the joint design of sequences and structures, we can constrain partial states for other", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 241, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 257 + ], + "score": 1.0, + "content": "design tasks. For example, by fixing the backbone structure (positions and orientations) and sampling", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "only sequences, we can do fix-backbone sequence design. Another usage is to optimize an existing", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 375, + 277 + ], + "score": 1.0, + "content": "antibody. Specifically, we first add noise to the existing antibody for", + "type": "text" + }, + { + "bbox": [ + 375, + 266, + 380, + 275 + ], + "score": 0.69, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "steps and denoise the perturbed", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 275, + 430, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 252, + 289 + ], + "score": 1.0, + "content": "antibody sequence starting from the", + "type": "text" + }, + { + "bbox": [ + 252, + 277, + 257, + 286 + ], + "score": 0.77, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 275, + 430, + 289 + ], + "score": 1.0, + "content": "-th step of the generative diffusion process.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 107, + 304, + 191, + 317 + ], + "lines": [ + { + "bbox": [ + 104, + 302, + 193, + 321 + ], + "spans": [ + { + "bbox": [ + 104, + 302, + 193, + 321 + ], + "score": 1.0, + "content": "4 Experiments", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 329, + 507, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 507, + 343 + ], + "score": 1.0, + "content": "We present the application of our model, named DiffAb4, in three antibody design tasks: sequence-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 341, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 341, + 505, + 353 + ], + "score": 1.0, + "content": "structure co-design (Section 4.1), antibody sequence design based on antibody backbones (Section", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "score": 1.0, + "content": "4.2), and antibody optimization (Section 4.3). In Section 4.4, we show how to use our model without", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 362, + 309, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 309, + 375 + ], + "score": 1.0, + "content": "known antibody frameworks bound to the antigen.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 108, + 388, + 259, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 386, + 261, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 261, + 403 + ], + "score": 1.0, + "content": "4.1 Sequence-Structure Co-design", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 409, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "The dataset for training the model is derived from the SAbDab database[Dunbar et al., 2014]. We first", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 420, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 308, + 434 + ], + "score": 1.0, + "content": "remove structures whose resolution is worse than", + "type": "text" + }, + { + "bbox": [ + 308, + 420, + 323, + 432 + ], + "score": 0.5, + "content": "4 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 420, + 505, + 434 + ], + "score": 1.0, + "content": "and discard antibodies targeting non-protein", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 431, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 444, + 446 + ], + "score": 1.0, + "content": "antigens. We cluster antibodies in the database according to CDR-H3 sequences at", + "type": "text" + }, + { + "bbox": [ + 444, + 433, + 464, + 443 + ], + "score": 0.86, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 431, + 505, + 446 + ], + "score": 1.0, + "content": "sequence", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "identity. We manually select five clusters as the test set, containing 19 antibody-antigen complexes", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 452, + 507, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 507, + 468 + ], + "score": 1.0, + "content": "in total. The test set includes antigens from several well-known pathogens including SARS-CoV-2,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 464, + 452, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 452, + 479 + ], + "score": 1.0, + "content": "MERS, influenza, and so on. Structures in the remaining clusters are used for training.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 105, + 481, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 505, + 493 + ], + "score": 1.0, + "content": "To evaluate the performance, we remove the original CDR from the antibody-antigen complex in", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "the test set and sample both the sequence and structure of the removed region. We set the length", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "of the CDR to be identical to the length of the original CDR for simplicity. In practice, one can", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "enumerate different lengths of CDRs. We compare our model to RosettaAntibodyDesign (RAbD)", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 524, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 538 + ], + "score": 1.0, + "content": "[Adolf-Bryfogle et al., 2018], an antibody design software based on Rosetta energy functions. For", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "each model, we draw 100 samples for each CDR. Both the original structures and designed structures", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 547, + 352, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 352, + 559 + ], + "score": 1.0, + "content": "from different methods are refined by OpenMM and Rosetta.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 563, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "We use the following metrics to evaluate designed antibodies: (1) IMP: is the percentage of designed", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 573, + 507, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 284, + 588 + ], + "score": 1.0, + "content": "CDRs with lower (better) binding energy", + "type": "text" + }, + { + "bbox": [ + 284, + 574, + 307, + 586 + ], + "score": 0.68, + "content": "( \\Delta G )", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 573, + 507, + 588 + ], + "score": 1.0, + "content": "than the original CDR. The binding energy is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "calculated by InterfaceAnalyzer in the Rosetta software package [Alford et al., 2017]. (2) RMSD:", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 132, + 609 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 132, + 596, + 146, + 607 + ], + "score": 0.89, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "root-mean-square deviation (RMSD) between the generated structure and the original", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "score": 1.0, + "content": "structure with only antibody frameworks aligned. (3) AAR: is the amino acid recovery rate measured", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "by the sequence identity between the reference CDR sequences and the generated sequences [Adolf-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 628, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 505, + 640 + ], + "score": 1.0, + "content": "Bryfogle et al., 2018]. Note that different from Jin et al. [2022], we do not use neutralization", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "prediction models because they are sequence-based and are specified to a limited class of antigens,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 650, + 416, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 416, + 663 + ], + "score": 1.0, + "content": "which deviates from our goal of developing a general antibody design model.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 109, + 667, + 505, + 700 + ], + "lines": [ + { + "bbox": [ + 106, + 666, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 506, + 680 + ], + "score": 1.0, + "content": "Table 1 shows that our model (DiffAb) recovers CDR sequences more accurately than RAbD (higher", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "AAR). The RMSDs of CDRs generated by DiffAb are higher in CDR-H3, which indicates that our", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "score": 1.0, + "content": "generated samples are more diverse structurally. The IMP score of DiffAb is on par with RAbD in", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 118, + 712, + 391, + 722 + ], + "lines": [ + { + "bbox": [ + 119, + 709, + 392, + 723 + ], + "spans": [ + { + "bbox": [ + 119, + 709, + 392, + 723 + ], + "score": 1.0, + "content": "4Code and data are available at https://github.com/luost26/diffab.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 741, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 73, + 221, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 71, + 223, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 223, + 87 + ], + "score": 1.0, + "content": "3.4 Sampling Algorithms", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 93, + 505, + 227 + ], + "lines": [ + { + "bbox": [ + 105, + 93, + 506, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 105 + ], + "score": 1.0, + "content": "The sampling algorithm first samples amino acid types from the uniform distribution over 20 classes:", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 101, + 507, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 188, + 118 + ], + "score": 0.37, + "content": "s _ { j } ^ { T } \\sim \\bar { \\mathrm { U n i f o r m } ( 2 0 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 101, + 193, + 118 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 194, + 104, + 208, + 116 + ], + "score": 0.85, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 101, + 415, + 118 + ], + "score": 1.0, + "content": "positions from the standard normal distribution:", + "type": "text" + }, + { + "bbox": [ + 415, + 104, + 483, + 117 + ], + "score": 0.92, + "content": "\\mathbf { x } _ { j } ^ { T } \\sim \\mathcal { N } ( \\mathbf { 0 } , I _ { 3 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 101, + 507, + 118 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 116, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 338, + 130 + ], + "score": 1.0, + "content": "orientations from the uniform distribution over SO(3):", + "type": "text" + }, + { + "bbox": [ + 339, + 116, + 440, + 131 + ], + "score": 0.75, + "content": "\\mathbf { O } _ { j } ^ { T } \\sim \\mathrm { U n i f o r m } ( \\bar { \\mathrm { S O } } ( 3 ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 116, + 506, + 130 + ], + "score": 1.0, + "content": ". Note that we", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 426, + 141 + ], + "score": 1.0, + "content": "normalize the coordinates of the structure in the same way as training such that", + "type": "text" + }, + { + "bbox": [ + 426, + 129, + 440, + 140 + ], + "score": 0.88, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 128, + 505, + 141 + ], + "score": 1.0, + "content": "positions in the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 139, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 505, + 152 + ], + "score": 1.0, + "content": "CDR roughly follow the standard normal distribution. Next, we iteratively sample sequences and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 150, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 421, + 163 + ], + "score": 1.0, + "content": "structures from the generative diffusion kernel by denoising amino acid types,", + "type": "text" + }, + { + "bbox": [ + 421, + 150, + 435, + 162 + ], + "score": 0.89, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 150, + 506, + 163 + ], + "score": 1.0, + "content": "coordinates, and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 161, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 176, + 174 + ], + "score": 1.0, + "content": "orientations until", + "type": "text" + }, + { + "bbox": [ + 176, + 162, + 199, + 172 + ], + "score": 0.89, + "content": "t = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 161, + 476, + 174 + ], + "score": 1.0, + "content": ". To build a full atom 3D structure, we construct the coordinates of N,", + "type": "text" + }, + { + "bbox": [ + 476, + 162, + 490, + 172 + ], + "score": 0.85, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 161, + 506, + 174 + ], + "score": 1.0, + "content": ", C,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 172, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 177, + 184 + ], + "score": 1.0, + "content": "O, and side-chain", + "type": "text" + }, + { + "bbox": [ + 178, + 172, + 191, + 184 + ], + "score": 0.87, + "content": "\\mathrm { C } _ { \\beta }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 172, + 326, + 184 + ], + "score": 1.0, + "content": "(except glycine that does not have", + "type": "text" + }, + { + "bbox": [ + 326, + 172, + 340, + 185 + ], + "score": 0.89, + "content": "\\mathrm { C } _ { \\beta }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 172, + 506, + 184 + ], + "score": 1.0, + "content": ") according to their ideal local coordinates", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 183, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 162, + 195 + ], + "score": 1.0, + "content": "relative to the", + "type": "text" + }, + { + "bbox": [ + 162, + 183, + 177, + 194 + ], + "score": 0.89, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 183, + 505, + 195 + ], + "score": 1.0, + "content": "position and orientation of each amino acid [Engh and Huber, 2012]. Based on the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "score": 1.0, + "content": "five reconstructed atoms, the rest of the side-chain atoms are constructed using the side-chain packing", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "function implemented in Rosetta [Alford et al., 2017]. In the end, we adopt the AMBER99 force field", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 216, + 497, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 497, + 228 + ], + "score": 1.0, + "content": "[Lindorff-Larsen et al., 2010] in OpenMM [Eastman et al., 2017] to refine the full atom structure.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 6.5, + "bbox_fs": [ + 105, + 93, + 507, + 228 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 232, + 505, + 287 + ], + "lines": [ + { + "bbox": [ + 105, + 232, + 506, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 506, + 245 + ], + "score": 1.0, + "content": "In addition to the joint design of sequences and structures, we can constrain partial states for other", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 241, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 257 + ], + "score": 1.0, + "content": "design tasks. For example, by fixing the backbone structure (positions and orientations) and sampling", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "only sequences, we can do fix-backbone sequence design. Another usage is to optimize an existing", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 375, + 277 + ], + "score": 1.0, + "content": "antibody. Specifically, we first add noise to the existing antibody for", + "type": "text" + }, + { + "bbox": [ + 375, + 266, + 380, + 275 + ], + "score": 0.69, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "steps and denoise the perturbed", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 275, + 430, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 252, + 289 + ], + "score": 1.0, + "content": "antibody sequence starting from the", + "type": "text" + }, + { + "bbox": [ + 252, + 277, + 257, + 286 + ], + "score": 0.77, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 275, + 430, + 289 + ], + "score": 1.0, + "content": "-th step of the generative diffusion process.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 232, + 506, + 289 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 304, + 191, + 317 + ], + "lines": [ + { + "bbox": [ + 104, + 302, + 193, + 321 + ], + "spans": [ + { + "bbox": [ + 104, + 302, + 193, + 321 + ], + "score": 1.0, + "content": "4 Experiments", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 329, + 507, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 507, + 343 + ], + "score": 1.0, + "content": "We present the application of our model, named DiffAb4, in three antibody design tasks: sequence-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 341, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 341, + 505, + 353 + ], + "score": 1.0, + "content": "structure co-design (Section 4.1), antibody sequence design based on antibody backbones (Section", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "score": 1.0, + "content": "4.2), and antibody optimization (Section 4.3). In Section 4.4, we show how to use our model without", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 362, + 309, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 309, + 375 + ], + "score": 1.0, + "content": "known antibody frameworks bound to the antigen.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 329, + 507, + 375 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 388, + 259, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 386, + 261, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 261, + 403 + ], + "score": 1.0, + "content": "4.1 Sequence-Structure Co-design", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 409, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "The dataset for training the model is derived from the SAbDab database[Dunbar et al., 2014]. We first", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 420, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 308, + 434 + ], + "score": 1.0, + "content": "remove structures whose resolution is worse than", + "type": "text" + }, + { + "bbox": [ + 308, + 420, + 323, + 432 + ], + "score": 0.5, + "content": "4 \\mathring \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 420, + 505, + 434 + ], + "score": 1.0, + "content": "and discard antibodies targeting non-protein", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 431, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 444, + 446 + ], + "score": 1.0, + "content": "antigens. We cluster antibodies in the database according to CDR-H3 sequences at", + "type": "text" + }, + { + "bbox": [ + 444, + 433, + 464, + 443 + ], + "score": 0.86, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 431, + 505, + 446 + ], + "score": 1.0, + "content": "sequence", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "identity. We manually select five clusters as the test set, containing 19 antibody-antigen complexes", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 452, + 507, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 507, + 468 + ], + "score": 1.0, + "content": "in total. The test set includes antigens from several well-known pathogens including SARS-CoV-2,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 464, + 452, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 452, + 479 + ], + "score": 1.0, + "content": "MERS, influenza, and so on. Structures in the remaining clusters are used for training.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 409, + 507, + 479 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 105, + 481, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 505, + 493 + ], + "score": 1.0, + "content": "To evaluate the performance, we remove the original CDR from the antibody-antigen complex in", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "the test set and sample both the sequence and structure of the removed region. We set the length", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "of the CDR to be identical to the length of the original CDR for simplicity. In practice, one can", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "enumerate different lengths of CDRs. We compare our model to RosettaAntibodyDesign (RAbD)", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 524, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 538 + ], + "score": 1.0, + "content": "[Adolf-Bryfogle et al., 2018], an antibody design software based on Rosetta energy functions. For", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "each model, we draw 100 samples for each CDR. Both the original structures and designed structures", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 547, + 352, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 352, + 559 + ], + "score": 1.0, + "content": "from different methods are refined by OpenMM and Rosetta.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 481, + 506, + 559 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 563, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "We use the following metrics to evaluate designed antibodies: (1) IMP: is the percentage of designed", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 573, + 507, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 284, + 588 + ], + "score": 1.0, + "content": "CDRs with lower (better) binding energy", + "type": "text" + }, + { + "bbox": [ + 284, + 574, + 307, + 586 + ], + "score": 0.68, + "content": "( \\Delta G )", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 573, + 507, + 588 + ], + "score": 1.0, + "content": "than the original CDR. The binding energy is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "calculated by InterfaceAnalyzer in the Rosetta software package [Alford et al., 2017]. (2) RMSD:", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 132, + 609 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 132, + 596, + 146, + 607 + ], + "score": 0.89, + "content": "\\mathrm { C } _ { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "root-mean-square deviation (RMSD) between the generated structure and the original", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "score": 1.0, + "content": "structure with only antibody frameworks aligned. (3) AAR: is the amino acid recovery rate measured", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "by the sequence identity between the reference CDR sequences and the generated sequences [Adolf-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 628, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 505, + 640 + ], + "score": 1.0, + "content": "Bryfogle et al., 2018]. Note that different from Jin et al. [2022], we do not use neutralization", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "prediction models because they are sequence-based and are specified to a limited class of antigens,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 650, + 416, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 416, + 663 + ], + "score": 1.0, + "content": "which deviates from our goal of developing a general antibody design model.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 563, + 507, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 109, + 667, + 505, + 700 + ], + "lines": [ + { + "bbox": [ + 106, + 666, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 506, + 680 + ], + "score": 1.0, + "content": "Table 1 shows that our model (DiffAb) recovers CDR sequences more accurately than RAbD (higher", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "AAR). 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CDRMethodAARRMSDIMP
H1RAbD22.85%2.261A43.88% 53.63%
DiffAb65.75%1.188A
H2RAbD25.50%1.641A53.50%
DiffAb49.31%1.076A29.84%
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DiffAb26.78%3.597A23.63%
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CDRMethodAARRMSDIMP
L1RAbD34.27%1.204A46.81% 45.58%
DiffAb56.67%1.388A
L2RAbD26.30%1.767A56.94% 49.95%
DiffAb59.32%1.373A
L3RAbD20.73%1.624A55.63%
DiffAb46.47%1.627A47.32%
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Sample 1 has the lowest binding", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 410, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 425 + ], + "score": 1.0, + "content": "energy and it can be observed that it has better complementarity to the antigen. The binding energy", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 421, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 506, + 435 + ], + "score": 1.0, + "content": "of Sample 3 is higher than the original one and visually, the shape of the CDR does not fit the antigen", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 432, + 129, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 129, + 444 + ], + "score": 1.0, + "content": "well.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 106, + 456, + 372, + 468 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 373, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 373, + 470 + ], + "score": 1.0, + "content": "4.2 Fix-Backbone Sequence Design and Structure Prediction", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 477, + 505, + 543 + ], + "lines": [ + { + "bbox": [ + 105, + 476, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 490 + ], + "score": 1.0, + "content": "In this setting, the backbone structure of CDRs is given and we only need to design the CDR sequence,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 488, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 506, + 500 + ], + "score": 1.0, + "content": "which transforms the task into a constrained sampling problem. 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However, we believe this is", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 592, + 504, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 490, + 604 + ], + "score": 1.0, + "content": "not an issue as CDRs other than H3 are generally conserved and contribute less to the specificity", + "type": "text" + }, + { + "bbox": [ + 490, + 592, + 504, + 602 + ], + "score": 0.31, + "content": "\\mathrm { X u }", + "type": "inline_equation" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 602, + 180, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 602, + 180, + 614 + ], + "score": 1.0, + "content": "and Davis [2000].", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 107, + 619, + 505, + 675 + ], + "lines": [ + { + "bbox": [ + 106, + 619, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 505, + 632 + ], + "score": 1.0, + "content": "Our model can predict CDR structures by fixing the sequence. 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CDRMethodAARRMSDIMP
H1RAbD22.85%2.261A43.88% 53.63%
DiffAb65.75%1.188A
H2RAbD25.50%1.641A53.50%
DiffAb49.31%1.076A29.84%
H3RAbD22.14%2.900A23.25%
DiffAb26.78%3.597A23.63%
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CDRMethodAARRMSDIMP
L1RAbD34.27%1.204A46.81% 45.58%
DiffAb56.67%1.388A
L2RAbD26.30%1.767A56.94% 49.95%
DiffAb59.32%1.373A
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DiffAb46.47%1.627A47.32%
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The antigen-antibody template is derived from", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 321, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 505, + 335 + ], + "score": 1.0, + "content": "PDB:7chf, where the antigen is SARS-CoV-2 RBD. Sample 1 has better complementarity to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 332, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 332, + 506, + 347 + ], + "score": 1.0, + "content": "antigen while Sample 3 fits the antigen worse. This could explain their difference in the binding", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 343, + 164, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 343, + 136, + 357 + ], + "score": 1.0, + "content": "energy", + "type": "text" + }, + { + "bbox": [ + 137, + 344, + 159, + 355 + ], + "score": 0.66, + "content": "( \\Delta G )", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 343, + 164, + 357 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21 + } + ], + "index": 19.0 + }, + { + "type": "text", + "bbox": [ + 106, + 366, + 505, + 443 + ], + "lines": [ + { + "bbox": [ + 106, + 366, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 505, + 379 + ], + "score": 1.0, + "content": "CDR-H3, and lower in other CDRs. However, it should be noted that RAbD optimizes the Rosetta", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 378, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 392 + ], + "score": 1.0, + "content": "energy function, which is also used for evaluation. Our model achieves reasonably good binding", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "energy without explicit supervision signal from Rosetta energy functions. Figure 4 presents three", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 399, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 104, + 399, + 506, + 414 + ], + "score": 1.0, + "content": "generated examples of CDR-H3 targeting SARS-CoV-2 RBD. Sample 1 has the lowest binding", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 410, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 425 + ], + "score": 1.0, + "content": "energy and it can be observed that it has better complementarity to the antigen. The binding energy", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 421, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 506, + 435 + ], + "score": 1.0, + "content": "of Sample 3 is higher than the original one and visually, the shape of the CDR does not fit the antigen", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 432, + 129, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 129, + 444 + ], + "score": 1.0, + "content": "well.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 366, + 506, + 444 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 456, + 372, + 468 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 373, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 373, + 470 + ], + "score": 1.0, + "content": "4.2 Fix-Backbone Sequence Design and Structure Prediction", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 477, + 505, + 543 + ], + "lines": [ + { + "bbox": [ + 105, + 476, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 490 + ], + "score": 1.0, + "content": "In this setting, the backbone structure of CDRs is given and we only need to design the CDR sequence,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 488, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 506, + 500 + ], + "score": 1.0, + "content": "which transforms the task into a constrained sampling problem. Fix-backbone design is a common", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 499, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 499, + 506, + 510 + ], + "score": 1.0, + "content": "setting in the area of protein design [Ingraham et al., 2019, Hsu et al., 2022, Anishchenko et al.,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "2021, Strokach et al., 2020, Tischer et al., 2020]. For this task, we consider FixBB, a Rosetta-based", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 520, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 533 + ], + "score": 1.0, + "content": "sequence design software given CDR backbone structure, as the baseline. We use the AAR metric", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 531, + 336, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 336, + 542 + ], + "score": 1.0, + "content": "introduced in Section 4.1 to evaluate the designed CDRs.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 476, + 506, + 542 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 548, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 106, + 548, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 548, + 505, + 559 + ], + "score": 1.0, + "content": "As shown in Table 2, our model achieves better AAR in all the CDRs. This shows that our model", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 558, + 507, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 507, + 571 + ], + "score": 1.0, + "content": "is also powerful in modeling the conditional probability of sequences given backbone structures.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "score": 1.0, + "content": "Admittedly, the training data is clustered only by CDR-H3 sequences, so the model might have seen", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 580, + 506, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 506, + 593 + ], + "score": 1.0, + "content": "other CDRs in the test set during training, leading to even higher AAR. However, we believe this is", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 592, + 504, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 490, + 604 + ], + "score": 1.0, + "content": "not an issue as CDRs other than H3 are generally conserved and contribute less to the specificity", + "type": "text" + }, + { + "bbox": [ + 490, + 592, + 504, + 602 + ], + "score": 0.31, + "content": "\\mathrm { X u }", + "type": "inline_equation" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 602, + 180, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 602, + 180, + 614 + ], + "score": 1.0, + "content": "and Davis [2000].", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 548, + 507, + 614 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 619, + 505, + 675 + ], + "lines": [ + { + "bbox": [ + 106, + 619, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 505, + 632 + ], + "score": 1.0, + "content": "Our model can predict CDR structures by fixing the sequence. Table 3 shows that it accurately", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 630, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 328, + 644 + ], + "score": 1.0, + "content": "predicts the structure of CDR H1, H2, L1, L2, and L3", + "type": "text" + }, + { + "bbox": [ + 328, + 630, + 393, + 642 + ], + "score": 0.84, + "content": "\\mathrm { R i M S D } \\le 1 . 5 \\mathring \\mathrm { A } ;", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 630, + 505, + 644 + ], + "score": 1.0, + "content": "). The accuracy of CDR-H3", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 642, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 505, + 655 + ], + "score": 1.0, + "content": "prediction is lower due to the high variability. Figure 5a separately shows the accuracy of different", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 652, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 505, + 666 + ], + "score": 1.0, + "content": "CDR-H3 lengths. The prediction is generally more accurate for shorter ones. When the CDR-H3", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 662, + 372, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 372, + 677 + ], + "score": 1.0, + "content": "contains more than 10 amino acids, the prediction accuracy drops.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 46, + "bbox_fs": [ + 105, + 619, + 505, + 677 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 122, + 121, + 348, + 216 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 366, + 120 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 367, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 367, + 90 + ], + "score": 1.0, + "content": "Table 2: Comparison of FixBB and DiffAb in terms of amino acid", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 87, + 367, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 87, + 367, + 101 + ], + "score": 1.0, + "content": "recovery (AAR) in the fix-backbone CDR design task. DiffAb", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 99, + 367, + 111 + ], + "spans": [ + { + "bbox": [ + 106, + 99, + 367, + 111 + ], + "score": 1.0, + "content": "achieves higher AAR. The AAR of DiffAb on CDR-H3 is lower", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 110, + 309, + 122 + ], + "spans": [ + { + "bbox": [ + 106, + 110, + 309, + 122 + ], + "score": 1.0, + "content": "than other CDRs since H3 is much more versatile.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "table_body", + "bbox": [ + 122, + 121, + 348, + 216 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 122, + 121, + 348, + 216 + ], + "spans": [ + { + "bbox": [ + 122, + 121, + 348, + 216 + ], + "score": 0.97, + "html": "
CDRMethodAARCDRMethodAAR
H1FixBB DiffAb37.14% 87.83%L1FixBB DiffAb33.80% 86.63%
H2FixBB DiffAb43.08% 79.70%L2FixBB DiffAb28.54% 88.91%
H3FixBB DiffAb30.74% 59.48%L3FixBB DiffAb17.92% 78.69%
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CDRRMSD
H10.901A
H21.044A
H33.246A
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(b) The antibody optimiza-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 296, + 366 + ], + "score": 1.0, + "content": "tion algorithm first perturbs the initial CDR for", + "type": "text" + }, + { + "bbox": [ + 297, + 354, + 302, + 363 + ], + "score": 0.54, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 353, + 506, + 366 + ], + "score": 1.0, + "content": "steps using the forward diffusion process and then", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 363, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 505, + 376 + ], + "score": 1.0, + "content": "denoises it by the backward diffusion process into the optimized CDR. (c) IMP, RMSD, and SeqID", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "score": 1.0, + "content": "of the CDRs optimized with different numbers of steps. Dashed lines represent the results of de novo", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 386, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 386, + 166, + 397 + ], + "score": 1.0, + "content": "design. 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This process", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 558, + 317, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 317, + 570 + ], + "score": 1.0, + "content": "is illustrated in Figure 5b. We optimize CDR-H3", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 569, + 318, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 293, + 580 + ], + "score": 1.0, + "content": "of the antibodies in the test set with various", + "type": "text" + }, + { + "bbox": [ + 293, + 570, + 299, + 579 + ], + "score": 0.72, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 569, + 318, + 580 + ], + "score": 1.0, + "content": "val-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 580, + 317, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 221, + 591 + ], + "score": 1.0, + "content": "ues. 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tIMPRMSDSeqID
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216.67%1.252A91.61%
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CDRMethodAARCDRMethodAAR
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CDRRMSD
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Then, we denoise the se-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 525, + 318, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 217, + 538 + ], + "score": 1.0, + "content": "quences starting from the", + "type": "text" + }, + { + "bbox": [ + 217, + 525, + 250, + 537 + ], + "score": 0.92, + "content": "( T - t )", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 525, + 286, + 538 + ], + "score": 1.0, + "content": "-th step", + "type": "text" + }, + { + "bbox": [ + 286, + 527, + 292, + 536 + ], + "score": 0.57, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 525, + 318, + 538 + ], + "score": 1.0, + "content": "steps", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 537, + 317, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 317, + 548 + ], + "score": 1.0, + "content": "remaining) of the generative diffusion process and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 547, + 317, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 317, + 559 + ], + "score": 1.0, + "content": "obtain a set of optimized antibodies. This process", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 558, + 317, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 317, + 570 + ], + "score": 1.0, + "content": "is illustrated in Figure 5b. We optimize CDR-H3", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 569, + 318, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 293, + 580 + ], + "score": 1.0, + "content": "of the antibodies in the test set with various", + "type": "text" + }, + { + "bbox": [ + 293, + 570, + 299, + 579 + ], + "score": 0.72, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 569, + 318, + 580 + ], + "score": 1.0, + "content": "val-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 580, + 317, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 221, + 591 + ], + "score": 1.0, + "content": "ues. For each antibody and", + "type": "text" + }, + { + "bbox": [ + 222, + 581, + 227, + 590 + ], + "score": 0.61, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 580, + 317, + 591 + ], + "score": 1.0, + "content": ", we perturb the CDR", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 591, + 317, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 317, + 603 + ], + "score": 1.0, + "content": "independently 100 times and collect 100 optimized", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 601, + 317, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 317, + 613 + ], + "score": 1.0, + "content": "CDRs different from the original CDR. 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As shown in", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 677, + 317, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 317, + 690 + ], + "score": 1.0, + "content": "Table 4 and Figure 5c, the optimization method could", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "score": 1.0, + "content": "produce antibodies with improved binding energy measured by the Rosetta energy function. 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We show that this challenging task could be achieved", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "score": 1.0, + "content": "with docking software. Specifically, we create an antibody template from an existing antibody", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "score": 1.0, + "content": "structure by removing its CDR-H3. This is because CDR-H3 is the most variable one and accounts", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 339, + 506, + 350 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 506, + 350 + ], + "score": 1.0, + "content": "for most of the specificity, while other CDRs are much more conserved [Xu and Davis, 2000]. Next,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 348, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 506, + 362 + ], + "score": 1.0, + "content": "we use HDOCK [Yan et al., 2017] to dock the antibody template to the target antigen to produce the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 361, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 505, + 372 + ], + "score": 1.0, + "content": "antibody-antigen complex. In this way, the problem reduces to the original problem so we can adapt", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 371, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 506, + 384 + ], + "score": 1.0, + "content": "our model to design the CDR-H3 sequence and structure and re-design other CDRs. We demonstrate", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 383, + 506, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 506, + 394 + ], + "score": 1.0, + "content": "using this method to design antibodies for the SARS-CoV-2 Omicron RDB structure (PDB: 7wvn,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "residue A322-A590, the structure is not bound to any antibodies). The antibody template is derived", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "from a human antibody against influenza (PDB: 3qhf). Figure 6 shows the docking structure, five", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "score": 1.0, + "content": "designed CDR-H3s, and the binding energy distribution. It is hard to confidently conclude that the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 425, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 104, + 425, + 506, + 440 + ], + "score": 1.0, + "content": "generated antibodies are effective without a reference antibody. However, according to the binding", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 437, + 443, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 443, + 448 + ], + "score": 1.0, + "content": "energy distribution, we can still say the generated antibodies are at least reasonable.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 108, + 462, + 272, + 476 + ], + "lines": [ + { + "bbox": [ + 104, + 461, + 273, + 478 + ], + "spans": [ + { + "bbox": [ + 104, + 461, + 273, + 478 + ], + "score": 1.0, + "content": "5 Conclusions and Limitations", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 564 + ], + "lines": [ + { + "bbox": [ + 106, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "In this work, we propose a diffusion-based generative model for antibody design. Our model is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "capable of a wide range of antibody design tasks and can achieve competitive performance. One", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "score": 1.0, + "content": "main limitation of this work is that it relies on an antibody framework bound to the target antigen.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "score": 1.0, + "content": "Therefore, we leave it for future work to design an effective model for generating antibodies without", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "bound structures. Another limitation is that it remains unclear whether the generated antibodies can", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 542, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 506, + 554 + ], + "score": 1.0, + "content": "be produced in the wet lab and actually binds to the target. More efforts are needed to design a", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 553, + 232, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 553, + 232, + 565 + ], + "score": 1.0, + "content": "biologically effective antibody.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24 + }, + { + "type": "title", + "bbox": [ + 107, + 579, + 339, + 593 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 340, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 340, + 596 + ], + "score": 1.0, + "content": "Acknowledgments and Disclosure of Funding", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 108, + 603, + 411, + 615 + ], + "lines": [ + { + "bbox": [ + 105, + 603, + 412, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 412, + 617 + ], + "score": 1.0, + "content": "Supported by National Key R&D Program of China No. 2021YFF1201600.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "title", + "bbox": [ + 107, + 630, + 163, + 643 + ], + "lines": [ + { + "bbox": [ + 106, + 628, + 165, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 165, + 645 + ], + "score": 1.0, + "content": "References", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 649, + 505, + 692 + ], + "lines": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "Jared Adolf-Bryfogle, Oleks Kalyuzhniy, Michael Kubitz, Brian D Weitzner, Xiaozhen Hu, Yumiko", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 116, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 116, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "Adachi, William R Schief, and Roland L Dunbrack Jr. Rosettaantibodydesign (rabd): A general", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 115, + 669, + 507, + 684 + ], + "spans": [ + { + "bbox": [ + 115, + 669, + 507, + 684 + ], + "score": 1.0, + "content": "framework for computational antibody design. 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Next,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 348, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 506, + 362 + ], + "score": 1.0, + "content": "we use HDOCK [Yan et al., 2017] to dock the antibody template to the target antigen to produce the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 361, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 505, + 372 + ], + "score": 1.0, + "content": "antibody-antigen complex. In this way, the problem reduces to the original problem so we can adapt", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 371, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 506, + 384 + ], + "score": 1.0, + "content": "our model to design the CDR-H3 sequence and structure and re-design other CDRs. 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Figure 6 shows the docking structure, five", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "score": 1.0, + "content": "designed CDR-H3s, and the binding energy distribution. It is hard to confidently conclude that the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 425, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 104, + 425, + 506, + 440 + ], + "score": 1.0, + "content": "generated antibodies are effective without a reference antibody. 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100644 index 0000000000000000000000000000000000000000..5175a7499bbb49eb1f4f672bf3ad53d8f8390feb --- /dev/null +++ b/parse/dev/jtiQ26sCJi/jtiQ26sCJi.md @@ -0,0 +1,357 @@ +# Simple and Controllable Music Generation + +Jade Copet♠♢ Felix Kreuk♠♢ Itai Gat Tal Remez David Kant Gabriel Synnaeve ♢ Yossi Adi∗♢ Alexandre Défossez ♢ $\spadesuit$ : equal contributions, $\diamondsuit$ : core team Meta AI {jadecopet, felixkreuk, adiyoss}@meta.com + +# Abstract + +We tackle the task of conditional music generation. We introduce MUSICGEN, a single Language Model (LM) that operates over several streams of compressed discrete music representation, i.e., tokens. Unlike prior work, MUSICGEN is comprised of a single-stage transformer LM together with efficient token interleaving patterns, which eliminates the need for cascading several models, e.g., hierarchically or upsampling. Following this approach, we demonstrate how MUSICGEN can generate high-quality samples, both mono and stereo, while being conditioned on textual description or melodic features, allowing better controls over the generated output. We conduct extensive empirical evaluation, considering both automatic and human studies, showing the proposed approach is superior to the evaluated baselines on a standard text-to-music benchmark. Through ablation studies, we shed light over the importance of each of the components comprising MUSICGEN. Music samples, code, and models are available at github.com/facebookresearch/audiocraft. + +# 1 Introduction + +Text-to-music is the task of generating musical pieces given text descriptions, e.g., “90s rock song with a guitar riff”. Generating music is a challenging task as it requires modeling long range sequences. Unlike speech, music requires the use of the full frequency spectrum [Müller, 2015]. That means sampling the signal at a higher rate, i.e., the standard sampling rates of music recordings are 44.1 $\mathrm { k H z }$ or $4 8 ~ \mathrm { k H z }$ vs. $1 6 \ \mathrm { k H z }$ for speech. Moreover, music contains harmonies and melodies from different instruments, which create complex structures. Human listeners are highly sensitive to disharmony [Fedorenko et al., 2012, Norman-Haignere et al., 2019], hence generating music does not leave a lot of room for making melodic errors. Lastly, the ability to control the generation process in a diverse set of methods, e.g., key, instruments, melody, genre, etc. is essential for music creators. + +Recent advances in self-supervised audio representation learning [Balestriero et al., 2023], sequential modeling [Touvron et al., 2023], and audio synthesis [Tan et al., 2021] provide the conditions to develop such models. To make audio modeling more tractable, recent studies proposed representing audio signals as multiple streams of discrete tokens representing the same signal [Défossez et al., 2022]. This allows both high-quality audio generation and effective audio modeling. However, this comes at the cost of jointly modeling several parallel dependent streams. + +Kharitonov et al. [2022], Kreuk et al. [2022] proposed modeling multi-streams of speech tokens in parallel following a delay approach, i.e., introduce offsets between the different streams. Agostinelli et al. [2023] proposed representing musical segments using multiple sequences of discrete tokens at different granularity and model them using a hierarchy of autoregressive models. In parallel, Donahue et al. [2023] follows a similar approach but for the task of singing to accompaniment generation. Recently, Wang et al. [2023] proposed tackling this problem in two stages: (i) modeling the first stream of tokens only; (ii) then, apply a post-network to jointly model the rest of the streams in a non-autoregressive manner. + +![](images/f93f4ce6ccc89b8fcdac36ca78401927b4de68dc197f39c2385570ea079b7943.jpg) +Figure 1: Codebook interleaving patterns presented in Section 2.2. Each time step $t _ { 1 } , t _ { 2 } , \ldots , t _ { n }$ is composed of 4 quantized values (corresponding to $k _ { 1 } , \ldots , k _ { 4 } )$ . When doing autoregressive modelling, we can flatten or interleave them in various ways, resulting in a new sequence with 4 parallel streams and steps $s _ { 1 } , s _ { 2 } , \ldots , s _ { m }$ . The total number of sequence steps $S$ depends on the pattern and original number of steps $T , 0$ is a special token indicating empty positions in the pattern. + +In this work, we introduce MUSICGEN, a simple and controllable music generation model, which is able to generate high-quality music given textual description. We propose a general framework for modeling multiple parallel streams of acoustic tokens, which serves as a generalization of previous studies (see Figure 1). We show how this framework allows to extend generation to stereo audio at no extra computational cost. To improve controllability of the generated samples, we additionally introduce unsupervised melody conditioning, which allows the model to generate music that matches a given harmonic and melodic structure. We conduct an extensive evaluation of MUSICGEN and show the proposed method is superior to the evaluated baselines by a large margin, with a subjective rating of 84.8 out of 100 for MUSICGEN against 80.5 for the best baseline. We additionally provide an ablation study which sheds light on the importance of each of the components on the overall model performance. Lastly, human evaluation suggests that MUSICGEN yields high quality samples which are better melodically aligned with a given harmonic structure, while adhering to a textual description. + +Our contribution: (i) We introduce a simple and efficient model to generate high quality music at $3 2 \mathrm { k H z }$ . We show that MUSICGEN can generate consistent music with a single-stage language model through an efficient codebook interleaving strategy. (ii) We present a single model to perform both text and melody-conditioned generation and demonstrate that the generated audio is coherent with the provided melody and faithful to the text conditioning information. (iii) We provide extensive objective and human evaluations on the key design choices behind our method. + +# 2 Method + +MUSICGEN consists in an autoregressive transformer-based decoder [Vaswani et al., 2017], conditioned on a text or melody representation. The (language) model is over the quantized units from an EnCodec [Défossez et al., 2022] audio tokenizer, which provides high fidelity reconstruction from a low frame rate discrete representation. Compression models such as [Défossez et al., 2022, Zeghidour et al., 2021] employ Residual Vector Quantization (RVQ) which results in several parallel streams. Under this setting, each stream is comprised of discrete tokens originating from different learned codebooks. Prior work, proposed several modeling strategies to handle this issue [Kharitonov et al., 2022, Agostinelli et al., 2023, Wang et al., 2023]. In this work, we introduce a novel modeling framework, which generalizes to various codebook interleaving patterns, and we explore several + +variants. Through patterns, we can leverage the internal structure of the quantized audio tokens. +Finally, MUSICGEN supports conditional generation based on either text or melody. + +# 2.1 Audio tokenization + +We use EnCodec [Défossez et al., 2022], a convolutional auto-encoder with a latent space quantized using Residual Vector Quantization (RVQ) [Zeghidour et al., 2021], and an adversarial reconstruction loss. Given a reference audio random variable $\breve { X } \in \mathbb { R } ^ { d \cdot f _ { s } }$ with $d$ the audio duration and $f _ { s }$ the sample rate, EnCodec encodes it into a continuous tensor with a frame rate $f _ { r } \ll f _ { s }$ . This representation is then quantized into $Q \in \{ 1 , \dots , M \} ^ { d \cdot f _ { r } \times K }$ , with $K$ being the number of codebooks used in RVQ and $M$ being the codebook size. Notice, after quantization we are left with $K$ parallel discrete tokens sequences, each of length $T = d \cdot f _ { r }$ , representing the audio sample. In RVQ, each quantizer encodes the quantization error left by the previous quantizer, thus quantized values for different codebooks are in general not independent, and the first codebook is the most important one. + +# 2.2 Codebook interleaving patterns (see Figure 1) + +Exact flattened autoregressive decomposition. An autoregressive model requires a discrete random sequence $U \in \{ 1 , \dotsc , \bar { M } \} ^ { S }$ with $S$ the sequence length. By convention, we will take $U _ { 0 } = 0$ , a deterministic special token indicating the beginning of the sequence. We can then model the distribution + +$$ +\forall t > 0 , p _ { t } ( U _ { t - 1 } , \ldots , U _ { 0 } ) \triangleq \mathbb { P } \left[ U _ { t } | U _ { t - 1 } , \ldots , U _ { 0 } \right] . +$$ + +Let us build a second sequence of random variables $\tilde { U }$ using the auto-regressive density $p$ , e.g. we define recursively $\tilde { U } _ { 0 } = \bar { 0 }$ , and for all $t > 0$ , + +$$ +\forall t > 0 , \mathbb { P } \left[ \tilde { U } _ { t } | \tilde { U } _ { t - 1 } \dots , \tilde { U } _ { 0 } \right] = p _ { t } \left( \tilde { U } _ { t - 1 } , \dots , \tilde { U } _ { 0 } \right) . +$$ + +Then, we immediately have that $U$ and $\tilde { U }$ follow the same distribution. This means that if we can fit a perfect estimate $\hat { p }$ of $p$ with a deep learning model, then we can fit exactly the distribution of $U$ . + +As stated before, the main issue with the representation $Q$ we obtained from the EnCodec model is that there are $K$ codebooks for each time step. One solution would be to flatten out $Q$ , thus taking $S = d \cdot f _ { r } \cdot K$ , e.g. first predicting the first codebook of the first time step, then the second codebook of the first time step, etc. Then, using eq. (1) and eq. (2), we could theoretically fit an exact model of the distribution of $Q$ . The downside however is the increased complexity, with part of the gain coming from the lowest sample rate $f _ { r }$ being lost. + +More than one possible flattening exists, and not all the $\hat { p } _ { t }$ functions need to be estimated through a single model. For instance, MusicLM [Agostinelli et al., 2023] uses two models, one modeling the flattened first $K / 2$ codebooks, and a second one the other $K / 2$ flattened codebooks, conditioned on the decision of the first model. In that case, the number of autoregressive steps is still $d f _ { r } \cdot K$ . + +Inexact autoregressive decomposition. Another possibility is to consider an autoregressive decomposition, where some codebooks are predicted in parallel. For instance, let us define another sequence with $V _ { 0 } = 0$ and for all $t \in \{ 1 , \ldots , T \}$ , $k \in \{ 1 , \ldots , K \}$ , $V _ { t , k } = Q _ { t , k }$ . When dropping the codebook index $k$ , e.g. $V _ { t }$ , we mean the concatenation of all the codebooks at time $t$ . + +$$ +p _ { t , k } \left( V _ { t - 1 } , \ldots , V _ { 0 } \right) \triangleq \mathbb { P } \left[ V _ { t , k } | V _ { t - 1 } , \cdot , \ldots , V _ { 0 } \right] . +$$ + +Let’s define again recursively $\tilde { V } _ { 0 } = 0$ and for all $t > 0$ , + +$$ +\forall t > 0 , \forall k , \mathbb { P } \left[ \tilde { V } _ { t , k } \right] = p _ { t , k } \left( \tilde { V } _ { t - 1 } , \ldots , \tilde { V } _ { 0 } \right) . +$$ + +Unlike in (2), we no longer have in the general case that $\tilde { V }$ follows the same distribution as $V$ , even assuming we have access to the exact distribution $_ { p _ { t , k } }$ . In fact, we would only have a proper generative model if for all $t$ , $( V _ { t , k } ) _ { k }$ are independent conditionally on $V _ { t - 1 } , \ldots , V _ { 0 }$ . As $t$ increases, the errors will compound and the two distributions can grow further apart. Such a decomposition is inexact, but allows to keep the original frame rate which can considerably speed up training and inference, especially for long sequences. + +Arbitrary codebook interleaving patterns. In order to experiment with various such decompositions, and measure exactly the impact of using an inexact decomposition, we introduce codebook interleaving patterns. Let us consider $\Omega = \{ ( t , \bar { k } ) : \{ 1 , \dots , d \cdot f _ { r } \} , k \in \{ 1 , \dots , K \} \}$ be the set of all pairs of time steps and codebook indexes. A codebook pattern is a sequence $P = ( P _ { 0 } , P _ { 1 } , P _ { 2 } , . . . , P _ { S } )$ , with $P _ { 0 } = \emptyset$ , and for all $0 < s \le S$ , $P _ { s } \subset \Omega$ , such that $P$ is partition of $\Omega$ . We model $Q$ by predicting in parallel all the positions in $P _ { s }$ , conditionally on all the positions in $P _ { 0 } , P _ { 1 } , \dots , P _ { s - 1 }$ . Pragmatically, we restrict ourselves to patterns where each codebook index appears at most once in any of the $P _ { s }$ . + +We can now easily define a number of decompositions, for instance the “parallel” pattern given by + +$$ +P _ { s } = \{ ( s , k ) : k \in \{ 1 , \ldots , K \} \} . +$$ + +It is also possible to introduce a “delay” between the codebooks, as in Kharitonov et al. [2022], e.g., + +$$ +P _ { s } = \{ ( s - k + 1 , k ) : k \in \{ 1 , \ldots , K \} , s - k \geq 0 \} . +$$ + +Through empirical evaluations, we show the benefits and drawbacks of various codebook patterns, shedding light on the importance of exact modeling of the parallel codebook sequences. + +# 2.3 Model conditioning + +Text conditioning. Given a textual description matching the input audio $X$ , we compute a conditioning tensor $\check { C } \in \mathbb { R } ^ { T _ { C } \times D }$ with $D$ being the inner dimension used in the autoregressive model. Generally, there are three main approaches for representing text for conditional audio generation. Kreuk et al. [2022] proposed using a pretrained text encoder, specifically T5 [Raffel et al., 2020]. Chung et al. [2022] show that using instruct-based language models provide superior performance. Lastly, Agostinelli et al. [2023], Liu et al. [2023], Huang et al. [2023a], Sheffer and Adi [2023] claimed that joint text-audio representation, such as CLAP $\mathrm { [ W u ^ { * } }$ et al., 2023], provides better-quality generations. We experiment with all of the above, respectively: T5 encoder, FLAN-T5, and CLAP. + +Melody conditioning. While text is the prominent approach in conditional generative models nowadays, a more natural approach for music is conditioning on a melodic structure from another audio track or even whistling or humming. Such an approach also allows for an iterative refinement of the model’s output. To support that, we experiment with controlling the melodic structure via jointly conditioning on the input’s chromagram and text description. In preliminary experiments, we observed that conditioning on the raw chromagram often led to reconstructing the original sample, resulting in overfitting. To reduce it, we introduce an information bottleneck by choosing the dominant time-frequency bin in each time step. While a similar capability was shown in Agostinelli et al. [2023], the authors used supervised proprietary data, which is tedious and costly to collect. In this work, we take an unsupervised approach, eliminating the requirement for supervised data. + +# 2.4 Model architecture + +Codebook projection and positional embedding. Given a codebook pattern, only some codebooks are present at each pattern step $P _ { s }$ . We retrieve from $Q$ the values corresponding to the indices in $P _ { s }$ . As noted in Section 2.2, each codebook is present at most once in $P _ { s }$ or not at all. If it is present, we use a learned embedding table with $N$ entries and dimension $D$ to represent the associated value from $Q$ . Otherwise, we use a special token indicating its absence. We sum the contribution from each codebook after this transformation. As $P _ { 0 } = \emptyset$ , the first input is always the sum of all the special tokens. Finally, we sum a sinusoidal embedding to encode the current step $s$ [Vaswani et al., 2017]. + +Transformer decoder. The input is fed into a transformer with $L$ layers and a dimension $D$ . Each layer consists of a causal self-attention block. We then use a cross-attention block that is fed with the conditioning signal $C$ . When using melody conditioning, we instead provide the conditioning tensor $C$ as a prefix to the transformer input. The layer ends with a fully connected block consisting of a linear layer from $D$ to $4 \cdot D$ channels, a ReLU, and a linear layer back to $D$ channels. The attention and fully connected blocks are wrapped with a residual skip connection. Layer normalization [Ba et al., 2016] is applied to each block before being summed with the residual skip connection (“pre-norm”). + +Logits prediction. The output from the transformer decoder at pattern step $P _ { s }$ is transformed into logits prediction for the values of $Q$ taken at the indices given by $P _ { s + 1 }$ . Each codebook is present at most once in $P _ { s + 1 }$ . If a codebook is present, the logits prediction is obtained by applying a codebook specific linear layer from $D$ channels to $N$ . + +# 3 Experimental setup + +# 3.1 Models and hyperparameters + +Audio tokenization model. We use a non-causal five layers EnCodec model for $3 2 \mathrm { k H z }$ monophonic audio with a stride of 640, resulting in a frame rate of $5 0 \mathrm { H z }$ , and an initial hidden size of 64, doubling at each of the model’s five layers. The embeddings are quantized with a RVQ with four quantizers, each with a codebook size of 2048. We follow Défossez et al. [2022] to train the model on one-second audio segments cropped at random in the audio sequence. + +Transformer model. We train autoregressive transformer models at different sizes: 300M, 1.5B, 3.3B parameters. We use a memory efficient Flash attention [Dao et al., 2022] from the xFormers package [Lefaudeux et al., 2022] to improve both speed and memory usage with long sequences. We study the impact of the size of the model in Section 4. We use the 300M-parameter model for all of our ablations. We train on 30-second audio crops sampled at random from the full track. We train the models for 1M steps with the AdamW optimizer [Loshchilov and Hutter, 2017], a batch size of 192 examples, $\beta _ { 1 } = 0 . 9$ , $\beta _ { 2 } = 0 . 9 5$ , a decoupled weight decay of 0.1 and gradient clipping of 1.0. We further rely on D-Adaptation based automatic step-sizes [Defazio and Mishchenko, 2023] for the 300M model as it improves model convergence but showed no gain for the bigger models. We use a cosine learning rate schedule with a warmup of 4000 steps. Additionally, we use an exponential moving average with a decay of 0.99. We train the 300M, 1.5B and 3.3B parameter models, using respectively 32, 64 and 96 GPUs, with mixed precision. More specifically, we use float16 as bfloat16 was leading to instabilities in our setup. Finally, for sampling, we employ top- $\mathbf { \nabla } \cdot \mathbf { k }$ sampling [Fan et al., 2018] with keeping the top 250 tokens and a temperature of 1.0. + +Text preprocessing. Kreuk et al. [2022] proposed a text normalization scheme, in which stop words are omitted and the remaining text is lemmatized. We denote this method by text-normalization. When considering musical datasets, additional annotations tags such as musical key, tempo, type of instruments, etc. are often available. We also experiment with concatenating such annotations to the text description. We denote this approach by condition-merging. Finally, we explored using word dropout as another text augmentation strategy. For the final models, we used condition-merging with a probability of 0.25. Upon merging, we apply a text description dropout with a probability of 0.5. We use a word dropout with a probability of 0.3 on the resulting text. A full comparison of the different text preprocessing strategies can be found in Appendix A.2. + +Codebook patterns and conditioning. We use the “delay” interleaving pattern from Section 2.2, This translates 30 seconds of audio into 1500 autoregressive steps. For text conditioning, we use the T5 [Raffel et al., 2020] text encoder, optionally with the addition of the melody conditioning presented in Section 2.3. We also experiment with FLAN-T5 [Chung et al., 2022], and CLAP $\mathrm { [ W u ^ { * } }$ et al., 2023] and compare the performance of MUSICGEN using each of these text encoders in the Appendix A.2. For melody conditioning, we compute the chromagrams with a window size of $2 ^ { 1 4 }$ and a hop size of $2 ^ { 1 2 }$ . Using a large window prevents the model from recovering fine temporal details. We further quantize the chromagram by taking the argmax at each time step. We follow a similar approach to Kreuk et al. [2022] and implement classifier-free guidance when sampling from the model’s logits. Specifically, during training we drop the condition with a probability of 0.2 and during inference we use a guidance scale of 3.0. + +# 3.2 Datasets + +Training datasets. We use 20K hours of licensed music to train MUSICGEN. Specifically, we rely on an internal dataset of 10K high-quality music tracks, and on the ShutterStock and Pond5 music data collections2 with respectively 25K and 365K instrument-only music tracks. All datasets consist of full-length music sampled at $3 2 \mathrm { k H z }$ with metadata composed of a textual description and information such as the genre, BPM, and tags. We downmix the audio to mono unless stated otherwise. + +Evaluation datasets. For the main results and comparison with prior work, we evaluate the proposed method on the MusicCaps benchmark [Agostinelli et al., 2023]. MusicCaps is composed of 5.5K samples (ten-second long) prepared by expert musicians and a 1K subset balanced across genres. We report objective metrics on the unbalanced set, while we sample examples from the genre-balanced set for qualitative evaluations. For melody evaluation and the ablation studies, we use samples from an in-domain held out evaluation set of 528 music tracks, with no artist overlap with the training set. + +Table 1: Text-to-Music generation. We compare objective and subjective metrics for MUSICGEN against a number of baselines. We report both mean and CI95 scores. The Mousai model is retrained on the same dataset, while for MusicLM we use the public API for human studies. We report the original FAD on MusicCaps for Noise2Music and MusicLM. “MUSICGEN w. random melody” refers to MUSICGEN trained with chromagram and text. At evaluation time, we sample the chromagrams at random from a held-out set. + +
MODELMUSICCAPS Test Set
FADuggKL↓CLAPscr↑OvL. ↑REL.个
Riffusion14.82.060.1979.31±1.3774.20±2.17
Mousai7.51.590.2376.11±1.5677.35±1.72
MusicLM4.01180.51±1.0782.35±1.36
Noise2Music2.11111
MUSICGEN w.o melody (300M)3.11.280.3178.43±1.3081.11±1.31
MUSICGEN w.o melody (1.5B)3.41.230.3280.74±1.1783.70±1.21
MUSICGEN w.o melody (3.3B)3.81.220.3184.81±0.9582.47±1.25
MUSICGEN w. random melody (1.5B)5.01.310.2881.30±1.2981.98±1.79
+ +# 3.3 Evaluation + +Baselines. We compare MUSICGEN to two baselines for text-to-music generation: Riffusion [Forsgren and Martiros] and Mousai [Schneider et al., 2023]. We use the open source Riffusion model to run inference 3. For Mousai, we train a model using our dataset for a fair comparison, using the open source implementation provided by the authors4. Additionally, when possible, we compare to MusicLM [Agostinelli et al., 2023] and Noise2Music [Huang et al., 2023b]. + +Evaluation metrics. We evaluate the proposed method using objective and subjective metrics. For the objective methods, we use three metrics: the Fréchet Audio Distance (FAD), the Kullback-Leiber Divergence (KL) and the CLAP score (CLAP). We report the FAD [Kilgour et al., 2018] using the official implementation in Tensorflow with the VGGish model 5. A low FAD score indicates the generated audio is plausible. Following Kreuk et al. [2022], we use a state-of-the-art audio classifier trained for classification on AudioSet [Koutini et al., 2021] to compute the KL-divergence over the probabilities of the labels between the original and the generated music. The generated music is expected to share similar concepts with the reference music when the KL is low. Last, the CLAP score $[ \mathrm { W u ^ { * } }$ et al., 2023, Huang et al., 2023a] is computed between the track description and the generated audio to quantify audio-text alignment, using the official pretrained CLAP model 6. + +For the human studies, we follow the same setup as in Kreuk et al. [2022]. We ask human raters to evaluate two aspects of the audio samples (i) overall quality (OVL), and (ii) relevance to the text input (REL). For the overall quality test, raters were asked to rate the perceptual quality of the provided samples in a range of 1 to 100. For the text relevance test, raters were asked to rate the match between audio and text on a scale of 1 to 100. Raters were recruited using the Amazon Mechanical Turk platform. We evaluate randomly sampled files, where each sample was evaluated by at least 5 raters. We use the CrowdMOS package7 to filter noisy annotations and outliers. We remove annotators who did not listen to the full recordings, annotators who rate the reference recordings less than 85, and the rest of the recommended recipes from CrowdMOS [Ribeiro et al., 2011]. For fairness, all samples are normalized at −14dB LUFS [ITU-R, 2017]. + +Table 2: We report cosine similarity between reference and generated melody (SIM.) and subjective metrics including alignment with the melody (MEL.). All results are reported for MUSICGEN 1.5B. + +
In Domain Test Set
TRAIN CONDITIONTEST CONDITIONSIM.↑|MEL.个OvL. ↑REL.个
TextText0.1064.44±0.8382.18±1.2181.54±1.22
Text+ChromaText0.1061.89±0.9681.65±1.1382.50±0.98
Text+ChromaText+Chroma0.6672.87±0.9383.94±1.9980.28±1.06
+ +# 4 Results + +We start by presenting results of the proposed method on the task of text-to-music generation and compare MUSICGEN to prior work in the field. Next, we evaluate the ability of the proposed method to generate music conditioned on melodic features. We further show how to simply extend our codebook patterns for stereo audio generation. We conclude with an ablation study. Music samples, code, and models are available at github.com/facebookresearch/audiocraft. + +# 4.1 Comparison with the baselines + +Table 1 presents the comparison of the proposed method against Mousai, Riffusion, MusicLM, and Noise2Music. As there is no official implementation of Noise2Music, nor pre-trained model, we report only FAD on MusicCaps, which is reported in the Noise2Music manuscript. Similarly, MusicLM implementation is not public. We use the MusicLM public demo8 for our subjective tests while reporting the FAD as reported by the authors. While the original MusicLM model is trained on data with vocals, the model behind the API is instrument-only. For the human study, we restrict ourselves to 40 instrument-only samples from MusicCaps. To prevent leakage in MUSICGEN trained with chromagram, we sample chromagrams at random from a held-out set during test time. + +Results suggest that MUSICGEN performs better than the evaluated baselines as evaluated by human listeners, both in terms of audio quality and adherence to the provided text description. Noise2Music performs the best in terms of FAD on MusicCaps, followed by MUSICGEN trained with text conditioning. Interestingly, adding a melody conditioning degrades the objective metrics, however, it does not significantly affect human ratings, while still being superior to the evaluated baselines. + +We notice that for the worst rated model, the FAD is correlated with the overall subjective rating, but it is not the case for the best rated models. We noticed that a large number of samples in MusicCaps [Agostinelli et al., 2023] contains a description stating that the recording is "noisy". It is possible that due to those noisy samples, improvements in the quality of the generated audio might deteriorate the FAD on MusicCaps once a certain quality threshold is achieved. + +# 4.2 Melody evaluation + +We evaluate MUSICGEN, conditioned jointly on textual and melodic representations, using objective and subjective metric on the held out evaluation set. For the objective evaluation, we introduce a new metric: chroma cosine-similarity, which measures the average cosine-similarity between frames corresponding to the same time steps, taken from the quantized chroma of the reference and the generated samples. We evaluate using 1000 randomly sampled files from a held-out set. To better evaluate the relation between the conditioned melody to the generated music, we introduce another human study. To that end, we present human raters with a reference musical piece, followed by a set of generated pieces. For each generated sample, the listeners are asked to rate how well the melody of the generated piece matches that of the reference on a scale of 1 to 100. We use 40 samples of 10 seconds at random from the held-out set. Results are reported in Table 2. Results suggest that MUSICGEN trained with chromagram conditioning successfully generates music that follows a given melody. Thus, allowing for better control over the generated output. Interestingly, MUSICGEN is robust to dropping the chroma at inference time with both OVL. and REL. staying roughly the same. + +![](images/cee658017b0d9cb932bec544c4f8bcb78dd6d39e278ac31975d68a7b7fc719d3.jpg) + +(a) Visualizing codebook patterns for stereo models with two possible interleaving of the left (blue) and right (red) codebooks. For a given codebook index, the “stereo delay” pattern uses different delays for the left and right channels, while the “stereo partial delay” predicts the two channels in parallel. + +![](images/88de985d81a19c8f5d16025954fbca924e975955bfb980c47de992d8d285d182.jpg) + +(b) Memorization results for the first codebook tokens on 5-second audio generations, considering exact (solid line) and $80 \%$ partial (dashed line) matches when prompted with extracts of varying duration from the train set. + +Figure 2: Stereo codebooks (left) and memorization results (right) +Table 3: Stereophonic Text-to-Music generation. EnCodec processes separately the left and right channels, giving us 8 codebooks instead of 4. We experiment with two codebook patterns, depicted in Figure 2a. We also measure one of the stereo model after being downmixed to mono. We use a 1.5B MUSICGEN model conditioned only on text. + +
CB.PATTERN STEREO?MUSICCAPS Test Set
OvL. ↑REL. 个
Mono DelayX84.95±1.6080.61±1.22
Stereo Partial DelayX*84.49±1.8079.39±1.16
Stereo Partial Delay√86.73±1.0680.41±1.15
Stereo Delay√85.51±1.2178.32 ±1.21
+ +\*: downmixed to mono after generation. + +# 4.3 Fine-tuning for stereophonic generation + +We experiment with for extending generation to stereophonic data. We use the same EnCodec tokenizer, which we applied independently to the left and right channels, providing $2 \cdot K = 8$ codebooks per frame. Starting from a pre-trained monophonic MUSICGEN model, we fine tune it for 200K batches the same dataset with stereo audio. We reuse the “delay” pattern, with two possible variations: (i) “stereo delay” introduces a delay between the left and right channels for the same codebook level, while (ii) “stereo partial delay” apply the same delay to the left and right channel codebooks for a given level, as depicted in Figure 2a. Note that using this simple strategy, we can generate stereo audio at no extra computational cost. We provide in Table 3 the subjective evaluations for those models. We notice that when downmixing the stereo output to mono, we are almost equivalent in perceived quality to a mono model. Stereo audio was overall rated higher than the mono counterpart, and the “stereo partial delay” benefits from a small boost both in overall quality and text relevance compared with the “stereo delay” pattern. + +# 4.4 Ablation + +This section provides an ablation study for the different codebook patterns, together with results for model scales and a memorization study. Additionally, we present results for different text augmentation strategies, text encoders, and audio tokenization models in Appendix A.2. All ablations are performed using 1K samples of 30 seconds, randomly sampled from the held-out evaluation set. + +The effect of the codebook interleaving patterns. We evaluate various codebook patterns using the framework from Section 2.2, with $K = 4$ , given by the audio tokenization model. Table 1 reports results with the “delay” pattern. The “partial delay” consists in delaying by the same amount the codebooks 2, 3, and 4. The “parallel” pattern predicts all the codebooks from the same time step in parallel. The “coarse first” pattern first predicts codebook 1 for all steps, then predicts in parallel codebooks 2, 3, and 4. Thus, this pattern has twice the steps compared to other patterns. “Partial flattening” is similar, but instead of sampling first codebook 1 for all steps, it interleaves them with the parallel sampling of codebooks 2, 3, and 4. Finally, the “flattening” pattern consists in flattening all the codebooks, similar to MusicLM [Agostinelli et al., 2023]. We report objective and subjective evaluations in Table 4. While flattening improves generation, it comes at a high computational cost and similar performance can be reached for a fraction of this cost using a simple delay approach. + +Table 4: Codebook patterns. We compare different codebook interleaving patterns on 30-seconds, audio sequences. The “flattening” pattern achieves the best scores. The “delay” and “partial flattening” patterns achieve similar scores, while “parallel” obtains worse scores. + +
In Domain Test Set
CONFIGURATION丨Nb. stepsFADvggKL↓CLAPscr↑|OvL.↑REL.个
Delay15000.960.520.3579.69±1.4679.67±1.41
Partial delay15001.510.540.3279.13±1.5679.67±1.46
Parallel15002.580.620.2772.21±2.4980.30±1.43
Partial flattening30001.320.540.3478.56±1.8679.18±1.49
Coarse first30001.980.560.3074.42±2.2876.55±1.67
Flattening60000.860.510.3779.71±1.5882.03±1.1
+ +Table 5: Model scale. We compare 3 scales for our method, and evaluate it on an internal test set to limit the impact of the out of domain prediction issues we observed with MusicCaps. In terms of objective metrics we observe a continuous improvement of the metrics, although subjective quality stop improving at 1.5B parameters. A 3.3B model however seems to better fit the text prompt. + +
Dim.HeadsDepth#Param.PPL↓FADvggKL↓CLAPscr 个OvL. ↑REL.个
10241624300M56.10.960.520.3578.3±1.482.5 ±1.6
153624481.5B48.40.860.500.3581.9±1.482.9±1.5
204832483.3B46.10.820.500.3679.2±1.383.5±1.3
+ +The effect of model size. In Table 5 we report results for different model sizes, namely 300M, 1.5B, and 3.3B parameter models. As expected, scaling the model size results in better scores, however this comes at the expense of longer training and inference time. Regarding subjective evaluations, the overall quality is optimal at 1.5B, but a larger model can better understand the text prompt. + +Memorization experiment. Following [Agostinelli et al., 2023], we analyze the memorization abilities of MUSICGEN. We only consider the first stream of codebooks from MUSICGEN as it contains the coarser-grain information. We randomly select $N = 2 0$ , 000 examples from our training set and for each one we feed the model with a prompt of EnCodec codebooks corresponding to the original audio and the conditioning information. We generate a continuation of 250 audio tokens (5 second-long audio) using greedy decoding. We report exact matches as the fraction of examples for which the generated audio tokens and source audio tokens are identical over the whole sequence. In addition, we report partial matches as the fraction of the training examples for which the generated and source sequences have at least $8 0 \%$ of the audio tokens matching. We present the memorization results for the different model sizes when varying the length of the audio prompt in Figure 2b. + +# 5 Related work + +Audio representation. In recent years, the prominent approach is to represent the music signals in a compressed representation, discrete or continuous, and apply a generative model on top of it. Lakhotia et al. [2021] proposed quantizing speech representation using $\mathbf { k }$ -means to construct speech language models. Recently, Défossez et al. [2022], Zeghidour et al. [2021] proposed to apply a VQ-VAE directly on the raw waveform using residual vector quantization. Later, several studies used such representation for text-to-audio generation. Next, we discuss the recent research in audio generation. + +Music generation. Music generation has been long studied under various setups. Dong et al. [2018] proposed a GAN-based approach for symbolic music generation. Bassan et al. [2022] proposed an unsupervised segmentation for symbolic music which can be later used for generation. Ycart et al. + +[2017] proposed modeling polyphonic music modeling using recurrent neural networks. Ji et al. +[2020] conducted a comprehensive survey therein for deep learning methods for music generation. + +Dhariwal et al. [2020] proposed representing music samples in multiple streams of discrete representations using a hierarchical VQ-VAE. Next, two sparse transformers applied over the sequences to generate music. Gan et al. [2020] proposed generating music for a given video, while predicting its midi notes. Recently, Agostinelli et al. [2023] proposed representing music using multiple streams of “semantic tokens” and “acoustic tokens”. Then, they applied a cascade of transformer decoders conditioned on a textual-music joint representation [Huang et al., 2022]. Donahue et al. [2023] followed a similar modeling approach, but for the task of singing-to-accompaniment generation. + +An alternative approach is using diffusion models. Schneider et al. [2023], Huang et al. [2023b], Maina [2023], Forsgren and Martiros proposed using a latent diffusion model for the task of text-to-music. Schneider et al. [2023] proposed using diffusion models for both audio encoder-decoder and latent generation. Huang et al. [2023b] proposed a cascade of diffusion model to generate audio and gradually increase its sampling rate. Forsgren and Martiros proposed fine-tuning Stable Diffusion Rombach et al. [2022] using spectrograms to generate five-second segments, then, using image-to-image mapping and latent interpolation to generate long sequences. + +Audio generation. Several studies were proposed for text-to-audio (environmental sounds) generation. Yang et al. [2022] proposed representing audio spectrograms using a VQ-VAE, then applying a discrete diffusion model conditioned on textual CLIP embeddings for the generation part [Radford et al., 2021]. Kreuk et al. [2022] proposed applying a transformer language model over discrete audio representation, obtained by quantizing directly time-domain signals using EnCodec [Défossez et al., 2022]. Sheffer and Adi [2023] followed a similar approach to Kreuk et al. [2022] for image-to-audio generation. Huang et al. [2023a], Liu et al. [2023] proposed using latent diffusion models for the task of text-to-audio, while extending it to various other tasks such as inpainting, image-to-audio, etc. + +# 6 Discussion + +We introduced MUSICGEN, a state-of-the-art single stage controllable music generation model that can be conditioned on text and melody. We demonstrated that simple codebook interleaving strategies can be used to achieve high quality generation, even in stereo, while reducing the number of autoregressive time steps compared to the flattening approach. We provided a comprehensive study of the impact of model sizes, conditioning methods, and text pre-processing techniques. We also introduced a simple chromagram-based conditioning for controlling the melody of the generated audio. + +Limitations Our simple generation method does not allow us to have fine-grained control over adherence of the generation to the conditioning, we rely mostly on CF guidance. Also, while it is relatively straightforward to do data augmentation for text conditioning, conditioning on audio warrants further research on data augmentation, types and amount of guidance. + +Broader impact. Large scale generative models present ethical challenges. We first ensured that all the data we trained on was covered by legal agreements with the right holders, in particular through an agreement with ShutterStock. A second aspect is the potential lack of diversity in the dataset we used, which contains a larger proportion of western-style music. However, we believe the simplification we operate in this work, e.g., using a single stage language model and a reduced number of auto-regressive steps, can help broaden the applications to new datasets. Generative models can represent an unfair competition for artists, which is an open problem. Open research can ensure that all actors have equal access to these models. Through the development of more advanced controls, such as the melody conditioning we introduced, we hope that such models can become useful both to music amateurs and professionals. + +# Acknowledgements. + +The authors would like to thank Mary Williamson, Rashel Moritz and Joelle Pineau for supporting this project, thank Justin Luk, Prash Jain, Sidd Srinivasan, Rod Duenes, and Philip Woods for the dataset, and thank the xformers team: Daniel Haziza, Francisco Massa, and Michael Ramamonjisoa for the technical discussions. + +Authors note. This paper was submitted in the wake of the tragic terror attack perpetrated by Hamas on October 7, 2023, which has left the Israeli nation profoundly devastated. The assault greatly impacted us at a personal level, thereby significantly impacting the course of this research work. This paper was finalized while we grieve and mourn our friends and family, under great stress, with scientific considerations being the last thing on our minds. It may contain subtle errors. + +In memory of the countless lives shattered by Hamas actions. + +# References + +Meinard Müller. Fundamentals of music processing: Audio, analysis, algorithms, applications, volume 5. Springer, 2015. + +Evelina Fedorenko, Josh H McDermott, Sam Norman-Haignere, and Nancy Kanwisher. Sensitivity to musical structure in the human brain. Journal of neurophysiology, 108(12):3289–3300, 2012. + +Sam V Norman-Haignere, Nancy Kanwisher, Josh H McDermott, and Bevil R Conway. Divergence in the functional organization of human and macaque auditory cortex revealed by fmri responses to harmonic tones. Nature neuroscience, 22(7):1057–1060, 2019. + +Randall Balestriero, Mark Ibrahim, Vlad Sobal, Ari Morcos, Shashank Shekhar, Tom Goldstein, Florian Bordes, Adrien Bardes, Gregoire Mialon, Yuandong Tian, et al. 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Mo\ˆ usai: Text-to-music generation with long-context latent diffusion. arXiv preprint arXiv:2301.11757, 2023. + +Qingqing Huang, Daniel S Park, Tao Wang, Timo I Denk, Andy Ly, Nanxin Chen, Zhengdong Zhang, Zhishuai Zhang, Jiahui Yu, Christian Frank, et al. Noise2music: Text-conditioned music generation with diffusion models. arXiv preprint arXiv:2302.03917, 2023b. + +Kevin Kilgour, Mauricio Zuluaga, Dominik Roblek, and Matthew Sharifi. Fr\’echet audio distance: A metric for evaluating music enhancement algorithms. arXiv preprint arXiv:1812.08466, 2018. + +Khaled Koutini, Jan Schlüter, Hamid Eghbal-zadeh, and Gerhard Widmer. Efficient training of audio transformers with patchout. arXiv preprint arXiv:2110.05069, 2021. + +Flávio Ribeiro, Dinei Florêncio, Cha Zhang, and Michael Seltzer. Crowdmos: An approach for crowdsourcing mean opinion score studies. In 2011 IEEE international conference on acoustics, speech and signal processing (ICASSP), pages 2416–2419. IEEE, 2011. + +ITU-R. Algorithms to measure audio programme loudness and true-peak audio level, 2017. + +Kushal Lakhotia, Eugene Kharitonov, Wei-Ning Hsu, Yossi Adi, Adam Polyak, Benjamin Bolte, Tu-Anh Nguyen, Jade Copet, Alexei Baevski, Abdelrahman Mohamed, et al. On generative spoken language modeling from raw audio. Transactions of the Association for Computational Linguistics, 9:1336–1354, 2021. + +Hao-Wen Dong, Wen-Yi Hsiao, Li-Chia Yang, and Yi-Hsuan Yang. Musegan: Multi-track sequential generative adversarial networks for symbolic music generation and accompaniment. In Proceedings of the AAAI Conference on Artificial Intelligence, volume 32, 2018. + +Shahaf Bassan, Yossi Adi, and Jeffrey S Rosenschein. Unsupervised symbolic music segmentation using ensemble temporal prediction errors. arXiv preprint arXiv:2207.00760, 2022. + +Adrien Ycart, Emmanouil Benetos, et al. A study on lstm networks for polyphonic music sequence modelling. ISMIR, 2017. + +Shulei Ji, Jing Luo, and Xinyu Yang. A comprehensive survey on deep music generation: Multi-level representations, algorithms, evaluations, and future directions. arXiv preprint arXiv:2011.06801, 2020. + +Prafulla Dhariwal, Heewoo Jun, Christine Payne, Jong Wook Kim, Alec Radford, and Ilya Sutskever. Jukebox: A generative model for music. arXiv preprint arXiv:2005.00341, 2020. + +Chuang Gan, Deng Huang, Peihao Chen, Joshua B Tenenbaum, and Antonio Torralba. Foley music: Learning to generate music from videos. In Computer Vision–ECCV 2020: 16th European Conference, Glasgow, UK, August 23–28, 2020, Proceedings, Part XI 16, pages 758–775. Springer, 2020. + +Qingqing Huang, Aren Jansen, Joonseok Lee, Ravi Ganti, Judith Yue Li, and Daniel PW Ellis. Mulan: A joint embedding of music audio and natural language. arXiv preprint arXiv:2208.12415, 2022. + +Kinyugo Maina. Msanii: High fidelity music synthesis on a shoestring budget. arXiv preprint arXiv:2301.06468, 2023. + +Robin Rombach, Andreas Blattmann, Dominik Lorenz, Patrick Esser, and Björn Ommer. Highresolution image synthesis with latent diffusion models. In Proceedings of the IEEE/CVF Conference on Computer Vision and Pattern Recognition, pages 10684–10695, 2022. + +Dongchao Yang, Jianwei Yu, Helin Wang, Wen Wang, Chao Weng, Yuexian Zou, and Dong Yu. Diffsound: Discrete diffusion model for text-to-sound generation. arXiv preprint arXiv:2207.09983, 2022. + +Alec Radford, Jong Wook Kim, Chris Hallacy, Aditya Ramesh, Gabriel Goh, Sandhini Agarwal, Girish Sastry, Amanda Askell, Pamela Mishkin, Jack Clark, et al. Learning transferable visual models from natural language supervision. In International conference on machine learning, pages 8748–8763. PMLR, 2021. + +Alexandre Défossez, Nicolas Usunier, Léon Bottou, and Francis Bach. Music source separation in the waveform domain. arXiv preprint arXiv:1911.13254, 2019. + +Rithesh Kumar, Prem Seetharaman, Alejandro Luebs, Ishaan Kumar, and Kundan Kumar. Highfidelity audio compression with improved rvqgan. arXiv preprint arXiv:2306.06546, 2023. + +![](images/06a1439bc3ea0cc42ea73f9f2511683ff0699833f5f665a17ea01e4d785f982d.jpg) +Figure A.1: Visualizing partial flattening and partial delays codebook patterns applied on a sequence with 4 parallel streams of quantized values (corresponding to $k _ { 1 } , \ldots , k _ { 4 } )$ and $N$ time steps $( t _ { 1 } , \ldots$ $k _ { n , \astrosun }$ ). “Partial flattening” separates the first codebook in dedicated steps and interleaves them with the parallel sampling of codebooks 2, 3, and 4, leading the number of interleaved sequences steps $M$ to be twice the number of original steps $N$ . The “partial delay” pattern consists in delaying by the same amount the codebooks 2, 3, and 4, in our case we use a delay of 1. The total number of steps of the interleave sequences is $N$ (excluding the last step for simplicity). + +# A.1 Experimental details + +Codebook interleaving patterns. Figure A.1 provides a visual description of the additional codebook patterns introduced for the ablation in Section 4, namely “partial flattening” and “partial delay” patterns. The intuition behind such patterns is driven by the fact that the first codebook from RVQ is the most important one and predicting the rest of the codebooks in parallel would allow to limit the introduced flattening or delay while maintaining good modeling performance. + +Melody conditioning. In this work, we provide an unsupervised approach for melody conditioning through conditioning on the chromagram representation. As shown in Figure A.2, chromagram-based conditioning successfully preserves the melodic structure when generating novel music samples. In preliminary experiments, we noticed that the chromagram tends to be dominated by the lower frequency instruments, mainly by the drums and bass. To mitigate that, we used Demucs [Défossez et al., 2019] to first decompose the reference track into four components: drums, bass, vocals, and other. Next, we omit the drums and bass to recover the melodic structure of the residual waveform. Finally, we extract the quantized chromagram to create the conditioning that is later fed to the model. + +Distribution of genres. We provide in Figure A.3 a histogram of the top 50 musical genres present in the dataset. We notice a clear dominance of the Dance/EDM genre, which in our experience is also one of the genres that is best generated by MUSICGEN. While we tried to explore a number of resampling scheme to boost the importance of other genres, we observed that oversampling less represented genres would often lead to a worse model overall. + +# A.2 Additional experimental results + +We provide further ablation studies on the core components of MUSICGEN, namely the text encoder used for text conditioning described in Section 2.3, text augmentation strategies presented in Section 3.1, and the used audio tokenization model. We report results on the MusicCaps dataset to better understand out-of-domain generalization abilities of the different approaches. Finally, we share additional experimental results on optimization methods. + +The effect of text encoder. We investigate the impact of the text encoder, comparing three different encoders: T5 [Raffel et al., 2020] 9, Flan-T5 [Chung et al., $2 0 2 2 ] ^ { 1 0 }$ and CLAP $[ \mathrm { W u ^ { * } }$ et al., 2023] 11 with a quantization bottleneck. For the CLAP-based encoder, similarly to Agostinelli et al. [2023] we rely on the music embeddings during training and the text embeddings at inference time and we train a RVQ layer on top of the extracted embeddings. More specifically, we first normalize the embeddings and use RVQ with 12 quantizers, each with a codebook size of 1024. Quantizing the CLAP embeddings leads to a homogeneous representation with the discrete tokens further reducing the gap between the audio encoding used at train time and text encoding at test time. We report results for the different text encoders in Table A.1. Both T5 and Flan-T5 perform similarly in terms of objective metrics, the overall quality being slighly better for T5. The CLAP-based model however suffers worse objective and subjective metrics, with the exception of the CLAP score which rely on the same underlying audio and text encoder. + +Table A.1: Text encoder results. We report results for T5, Flan-T5, and CLAP as text encoders. We observe similar results for T5 and Flan-T5 on all the objective metrics. Note that T5 is the text encoder used for the main MUSICGEN models. CLAP encoder performs consistently worse on all the metrics but CLAP score. All comparisons are done with a 300M MUSICGEN model using text conditioning only. + +
MODELMUSICCAPS Test Set
FADuggKL↓CLAPscr 个OvL. ↑REL.↑
T53.121.290.3185.04±1.2387.33±1.9
Flan-T53.361.300.3285.54±1.0185.00±1.63
CLAP4.161.360.3582.13±1.2983.56±1.54
CLAP (no normalization)4.141.380.3584.87±1.2585.06±1.72
CLAP (no quantization)5.071.370.3784.13±1.0284.67±1.42
+ +Table A.2: Text augmentations strategies results. We report objective metrics using only the original text description (no augmentation) and for different text augmentation strategies: using condition merging to augment the text description with metadata, using text-normalization (text-norm.) and applying word dropout on the resulting text. We use 300M MUSICGEN models trained for 500K steps. Condition merging improves the result over training only over the original text description. Other augmentations perform worst on all metrics. We use the Condition Merging with Word dropout, showing the best text relevance, in our main models. + +
CONFIGURATIONMUSICCAPs Test Set
FADugg√KL↓CLAPscrOVL. ↑REL.↑
No augmentation3.681.280.3183.40±1.4481.16±1.29
Condition Merging (CM)3.281.260.3182.60±1.4184.45 ±1.16
CM+ Text-norm. (TN)3.781.300.2980.57±2.1482.40±1.09
CM+ Word dropout (WD)3.311.310.3082.52±1.5585.27±0.97
CM + TN+ WD3.411.390.3081.18±1.9184.32 ±1.59
+ +The effect of text augmentations. We examine the impact of text augmentation strategies for the proposed method. In particular, we study the use of condition merging (i.e. concatenating additional metadata to the text description), text normalization (text-norm.) and word dropout. We report objective metrics for the different augmentation strategies in Table A.2. We observe a gain in FAD and KL when leveraging the additional metadata with condition merging. However, neither text normalization or word dropout improves the results in terms of objective metrics. + +The effect of the audio tokenizer. We experiment with replacing EnCodec with Descript Audio Codec (DAC) [Kumar et al., $2 0 2 3 ] ^ { 1 2 }$ , a similar audio compression models, that uses a different training set, a similar adversarial loss enhanced with multiband discriminators, but performs quantization in a lower dimension space to improve codebook usage. DAC compresses audio at $4 4 . 1 \mathrm { k H z }$ with 9 codebooks, and a framerate of $8 6 \mathrm { H z }$ . We trained a small (300M parameters) and a medium (1.5B parameters) MUSICGEN model using both DAC and EnCodec as an audio tokenizer, on a vocal-free version of our dataset. The results provided in Table A.3 show a worse FAD and KL on our in domain test set. On MusicCaps, the FAD is improved by using DAC, although the KL is worse, as well as the subjective evaluations. The EnCodec model used in this work was specifically designed to operate at a lower frame rate $( 5 0 \ : \mathrm { H z } )$ than DAC $( 8 6 ~ \mathrm { H z } )$ ), thus reducing by $40 \%$ the inference runtime for producing the same audio. Note finally that DAC was trained on a different dataset than EnCodec, and further experiments would be required to understand exactly what influences the fitness of such compression models to be used with auto-regressive language models. + +Table A.3: We test replacing EnCodec with DAC [Kumar et al., 2023] using their implementation. DAC is a $4 4 . 1 \mathrm { k H z }$ model with 9 codebooks and a frame rate of $8 6 \mathrm { H z }$ . Those models are trained on a vocal-free version of our dataset, hence the objective metrics will not match those reported in the other tables. We report objective metrics both on our in domain test set and MusicCaps [Agostinelli et al., 2023], and subjective metrics only on MusicCaps. + +
MODELIn Domain Test SetMUSICCAPS Test Set
FADvgg↓KL←FADvggKL↓OvL.↑
MUSICGEN + DAC small3.450.584.461.3583.32±0.95
MUSICGEN + DAC medium2.420.574.321.3084.46±0.97
MUSICGEN + EnCodec small0.670.545.261.2784.69±0.90
MUSICGEN + EnCodec medium0.490.525.051.2386.09±0.88
+ +# Effect of D-Adaptation. + +D-Adaptation is a novel automated way of selecting the overall learning rate of the Adam optimizer, i.e. its $\alpha$ parameter, dynamically throughout the training, introduced by Defazio and Mishchenko [2023]. We observed improved convergence for the 300M parameter model, although for larger models, e.g. 1.5B and 3.3B, we observed the automated rule led to deteriorated performance, both on the train and validation set. Further investigation is required to better understand the effect of D-Adaptation, and whether it can scale to the largest model. The convergence for both methods can be observed on the train and validation set in Figure A.4. + +![](images/c7b94433854486df6dd87a44c477b4f4d8f12ccac31d53b39b7bb5439a8a4bd7.jpg) +Figure A.2: Visualization of quantized chromagram bins over time from reference melody (left), generated music conditioned on chroma and text (middle) and generated music with text-only conditioning (right). Each row is generated using a different chroma condition, all rows share the same text condition: “90s rock song with electric guitar and heavy drums”. We observe strong adherence to the input melody for the music samples generated with chroma conditioning while rendering novel styles guided by the input text. + +![](images/535211230bc54e0735ed0301696dea87403165379337d5c15f58a107554f02c4.jpg) +Figure A.3: Histogram of the top 50 musical genres in the training dataset. + +![](images/3d568dad8999317dba853df45165594a37818b43469ff81abaedc336f14403d7.jpg) +Figure A.4: Comparison of Adam and Adam with D-Adaptation [Defazio and Mishchenko, 2023]. While D-Adaptation provided consistent gains for the 300M parameters model, we observed worse convergence both on the train (left) and validation (right) set for the 1.5B parameters model. \ No newline at end of file diff --git a/parse/dev/jtiQ26sCJi/jtiQ26sCJi_content_list.json b/parse/dev/jtiQ26sCJi/jtiQ26sCJi_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..469e855409f681375588204a0787d2ea9faadeeb --- /dev/null +++ b/parse/dev/jtiQ26sCJi/jtiQ26sCJi_content_list.json @@ -0,0 +1,1931 @@ +[ + { + "type": "text", + "text": "Simple and Controllable Music Generation ", + "text_level": 1, + "bbox": [ + 235, + 122, + 761, + 147 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jade Copet♠♢ Felix Kreuk♠♢ Itai Gat Tal Remez David Kant Gabriel Synnaeve ♢ Yossi Adi∗♢ Alexandre Défossez ♢ $\\spadesuit$ : equal contributions, $\\diamondsuit$ : core team Meta AI {jadecopet, felixkreuk, adiyoss}@meta.com ", + "bbox": [ + 259, + 199, + 758, + 273 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 309, + 535, + 325 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We tackle the task of conditional music generation. We introduce MUSICGEN, a single Language Model (LM) that operates over several streams of compressed discrete music representation, i.e., tokens. Unlike prior work, MUSICGEN is comprised of a single-stage transformer LM together with efficient token interleaving patterns, which eliminates the need for cascading several models, e.g., hierarchically or upsampling. Following this approach, we demonstrate how MUSICGEN can generate high-quality samples, both mono and stereo, while being conditioned on textual description or melodic features, allowing better controls over the generated output. We conduct extensive empirical evaluation, considering both automatic and human studies, showing the proposed approach is superior to the evaluated baselines on a standard text-to-music benchmark. Through ablation studies, we shed light over the importance of each of the components comprising MUSICGEN. Music samples, code, and models are available at github.com/facebookresearch/audiocraft. ", + "bbox": [ + 232, + 340, + 767, + 518 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 544, + 310, + 560 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Text-to-music is the task of generating musical pieces given text descriptions, e.g., “90s rock song with a guitar riff”. Generating music is a challenging task as it requires modeling long range sequences. Unlike speech, music requires the use of the full frequency spectrum [Müller, 2015]. That means sampling the signal at a higher rate, i.e., the standard sampling rates of music recordings are 44.1 $\\mathrm { k H z }$ or $4 8 ~ \\mathrm { k H z }$ vs. $1 6 \\ \\mathrm { k H z }$ for speech. Moreover, music contains harmonies and melodies from different instruments, which create complex structures. Human listeners are highly sensitive to disharmony [Fedorenko et al., 2012, Norman-Haignere et al., 2019], hence generating music does not leave a lot of room for making melodic errors. Lastly, the ability to control the generation process in a diverse set of methods, e.g., key, instruments, melody, genre, etc. is essential for music creators. ", + "bbox": [ + 174, + 575, + 825, + 700 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Recent advances in self-supervised audio representation learning [Balestriero et al., 2023], sequential modeling [Touvron et al., 2023], and audio synthesis [Tan et al., 2021] provide the conditions to develop such models. To make audio modeling more tractable, recent studies proposed representing audio signals as multiple streams of discrete tokens representing the same signal [Défossez et al., 2022]. This allows both high-quality audio generation and effective audio modeling. However, this comes at the cost of jointly modeling several parallel dependent streams. ", + "bbox": [ + 174, + 707, + 825, + 790 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Kharitonov et al. [2022], Kreuk et al. [2022] proposed modeling multi-streams of speech tokens in parallel following a delay approach, i.e., introduce offsets between the different streams. Agostinelli et al. [2023] proposed representing musical segments using multiple sequences of discrete tokens at different granularity and model them using a hierarchy of autoregressive models. In parallel, Donahue et al. [2023] follows a similar approach but for the task of singing to accompaniment generation. Recently, Wang et al. [2023] proposed tackling this problem in two stages: (i) modeling the first stream of tokens only; (ii) then, apply a post-network to jointly model the rest of the streams in a non-autoregressive manner. ", + "bbox": [ + 174, + 796, + 825, + 878 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/f93f4ce6ccc89b8fcdac36ca78401927b4de68dc197f39c2385570ea079b7943.jpg", + "image_caption": [ + "Figure 1: Codebook interleaving patterns presented in Section 2.2. Each time step $t _ { 1 } , t _ { 2 } , \\ldots , t _ { n }$ is composed of 4 quantized values (corresponding to $k _ { 1 } , \\ldots , k _ { 4 } )$ . When doing autoregressive modelling, we can flatten or interleave them in various ways, resulting in a new sequence with 4 parallel streams and steps $s _ { 1 } , s _ { 2 } , \\ldots , s _ { m }$ . The total number of sequence steps $S$ depends on the pattern and original number of steps $T , 0$ is a special token indicating empty positions in the pattern. " + ], + "image_footnote": [], + "bbox": [ + 209, + 90, + 794, + 338 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 444, + 823, + 473 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this work, we introduce MUSICGEN, a simple and controllable music generation model, which is able to generate high-quality music given textual description. We propose a general framework for modeling multiple parallel streams of acoustic tokens, which serves as a generalization of previous studies (see Figure 1). We show how this framework allows to extend generation to stereo audio at no extra computational cost. To improve controllability of the generated samples, we additionally introduce unsupervised melody conditioning, which allows the model to generate music that matches a given harmonic and melodic structure. We conduct an extensive evaluation of MUSICGEN and show the proposed method is superior to the evaluated baselines by a large margin, with a subjective rating of 84.8 out of 100 for MUSICGEN against 80.5 for the best baseline. We additionally provide an ablation study which sheds light on the importance of each of the components on the overall model performance. Lastly, human evaluation suggests that MUSICGEN yields high quality samples which are better melodically aligned with a given harmonic structure, while adhering to a textual description. ", + "bbox": [ + 174, + 479, + 825, + 645 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our contribution: (i) We introduce a simple and efficient model to generate high quality music at $3 2 \\mathrm { k H z }$ . We show that MUSICGEN can generate consistent music with a single-stage language model through an efficient codebook interleaving strategy. (ii) We present a single model to perform both text and melody-conditioned generation and demonstrate that the generated audio is coherent with the provided melody and faithful to the text conditioning information. (iii) We provide extensive objective and human evaluations on the key design choices behind our method. ", + "bbox": [ + 174, + 651, + 825, + 734 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Method ", + "text_level": 1, + "bbox": [ + 174, + 753, + 269, + 771 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "MUSICGEN consists in an autoregressive transformer-based decoder [Vaswani et al., 2017], conditioned on a text or melody representation. The (language) model is over the quantized units from an EnCodec [Défossez et al., 2022] audio tokenizer, which provides high fidelity reconstruction from a low frame rate discrete representation. Compression models such as [Défossez et al., 2022, Zeghidour et al., 2021] employ Residual Vector Quantization (RVQ) which results in several parallel streams. Under this setting, each stream is comprised of discrete tokens originating from different learned codebooks. Prior work, proposed several modeling strategies to handle this issue [Kharitonov et al., 2022, Agostinelli et al., 2023, Wang et al., 2023]. In this work, we introduce a novel modeling framework, which generalizes to various codebook interleaving patterns, and we explore several ", + "bbox": [ + 174, + 786, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "variants. Through patterns, we can leverage the internal structure of the quantized audio tokens. \nFinally, MUSICGEN supports conditional generation based on either text or melody. ", + "bbox": [ + 171, + 90, + 825, + 119 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.1 Audio tokenization ", + "text_level": 1, + "bbox": [ + 174, + 137, + 344, + 152 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We use EnCodec [Défossez et al., 2022], a convolutional auto-encoder with a latent space quantized using Residual Vector Quantization (RVQ) [Zeghidour et al., 2021], and an adversarial reconstruction loss. Given a reference audio random variable $\\breve { X } \\in \\mathbb { R } ^ { d \\cdot f _ { s } }$ with $d$ the audio duration and $f _ { s }$ the sample rate, EnCodec encodes it into a continuous tensor with a frame rate $f _ { r } \\ll f _ { s }$ . This representation is then quantized into $Q \\in \\{ 1 , \\dots , M \\} ^ { d \\cdot f _ { r } \\times K }$ , with $K$ being the number of codebooks used in RVQ and $M$ being the codebook size. Notice, after quantization we are left with $K$ parallel discrete tokens sequences, each of length $T = d \\cdot f _ { r }$ , representing the audio sample. In RVQ, each quantizer encodes the quantization error left by the previous quantizer, thus quantized values for different codebooks are in general not independent, and the first codebook is the most important one. ", + "bbox": [ + 173, + 162, + 826, + 289 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 Codebook interleaving patterns (see Figure 1) ", + "text_level": 1, + "bbox": [ + 174, + 305, + 531, + 320 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Exact flattened autoregressive decomposition. An autoregressive model requires a discrete random sequence $U \\in \\{ 1 , \\dotsc , \\bar { M } \\} ^ { S }$ with $S$ the sequence length. By convention, we will take $U _ { 0 } = 0$ , a deterministic special token indicating the beginning of the sequence. We can then model the distribution ", + "bbox": [ + 173, + 332, + 826, + 387 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/7fc2ae12e2f35f761758f581a12b739914fe6ae86f075f3169c17288762a6314.jpg", + "text": "$$\n\\forall t > 0 , p _ { t } ( U _ { t - 1 } , \\ldots , U _ { 0 } ) \\triangleq \\mathbb { P } \\left[ U _ { t } | U _ { t - 1 } , \\ldots , U _ { 0 } \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 330, + 386, + 666, + 405 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let us build a second sequence of random variables $\\tilde { U }$ using the auto-regressive density $p$ , e.g. we define recursively $\\tilde { U } _ { 0 } = \\bar { 0 }$ , and for all $t > 0$ , ", + "bbox": [ + 174, + 411, + 825, + 443 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/e91d42b07a05d0b4d43887a1b332f91f67eaa73775f1499e5c1004d2f476c5c6.jpg", + "text": "$$\n\\forall t > 0 , \\mathbb { P } \\left[ \\tilde { U } _ { t } | \\tilde { U } _ { t - 1 } \\dots , \\tilde { U } _ { 0 } \\right] = p _ { t } \\left( \\tilde { U } _ { t - 1 } , \\dots , \\tilde { U } _ { 0 } \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 326, + 450, + 669, + 478 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Then, we immediately have that $U$ and $\\tilde { U }$ follow the same distribution. This means that if we can fit a perfect estimate $\\hat { p }$ of $p$ with a deep learning model, then we can fit exactly the distribution of $U$ . ", + "bbox": [ + 173, + 487, + 826, + 517 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "As stated before, the main issue with the representation $Q$ we obtained from the EnCodec model is that there are $K$ codebooks for each time step. One solution would be to flatten out $Q$ , thus taking $S = d \\cdot f _ { r } \\cdot K$ , e.g. first predicting the first codebook of the first time step, then the second codebook of the first time step, etc. Then, using eq. (1) and eq. (2), we could theoretically fit an exact model of the distribution of $Q$ . The downside however is the increased complexity, with part of the gain coming from the lowest sample rate $f _ { r }$ being lost. ", + "bbox": [ + 173, + 522, + 825, + 606 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "More than one possible flattening exists, and not all the $\\hat { p } _ { t }$ functions need to be estimated through a single model. For instance, MusicLM [Agostinelli et al., 2023] uses two models, one modeling the flattened first $K / 2$ codebooks, and a second one the other $K / 2$ flattened codebooks, conditioned on the decision of the first model. In that case, the number of autoregressive steps is still $d f _ { r } \\cdot K$ . ", + "bbox": [ + 174, + 612, + 825, + 667 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Inexact autoregressive decomposition. Another possibility is to consider an autoregressive decomposition, where some codebooks are predicted in parallel. For instance, let us define another sequence with $V _ { 0 } = 0$ and for all $t \\in \\{ 1 , \\ldots , T \\}$ , $k \\in \\{ 1 , \\ldots , K \\}$ , $V _ { t , k } = Q _ { t , k }$ . When dropping the codebook index $k$ , e.g. $V _ { t }$ , we mean the concatenation of all the codebooks at time $t$ . ", + "bbox": [ + 173, + 674, + 825, + 731 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/d9a5508b461d4cd4ad46828299e51d84f13bc05166bb84f20e0343d61076bd42.jpg", + "text": "$$\np _ { t , k } \\left( V _ { t - 1 } , \\ldots , V _ { 0 } \\right) \\triangleq \\mathbb { P } \\left[ V _ { t , k } | V _ { t - 1 } , \\cdot , \\ldots , V _ { 0 } \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 344, + 738, + 653, + 757 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let’s define again recursively $\\tilde { V } _ { 0 } = 0$ and for all $t > 0$ , ", + "bbox": [ + 173, + 766, + 534, + 782 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/f5ebe16d20b55176ed0caf301ed5d2d250c6e3447313c818b94312b6568a3a7b.jpg", + "text": "$$\n\\forall t > 0 , \\forall k , \\mathbb { P } \\left[ \\tilde { V } _ { t , k } \\right] = p _ { t , k } \\left( \\tilde { V } _ { t - 1 } , \\ldots , \\tilde { V } _ { 0 } \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 349, + 790, + 647, + 818 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Unlike in (2), we no longer have in the general case that $\\tilde { V }$ follows the same distribution as $V$ , even assuming we have access to the exact distribution $_ { p _ { t , k } }$ . In fact, we would only have a proper generative model if for all $t$ , $( V _ { t , k } ) _ { k }$ are independent conditionally on $V _ { t - 1 } , \\ldots , V _ { 0 }$ . As $t$ increases, the errors will compound and the two distributions can grow further apart. Such a decomposition is inexact, but allows to keep the original frame rate which can considerably speed up training and inference, especially for long sequences. ", + "bbox": [ + 174, + 827, + 825, + 912 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Arbitrary codebook interleaving patterns. In order to experiment with various such decompositions, and measure exactly the impact of using an inexact decomposition, we introduce codebook interleaving patterns. Let us consider $\\Omega = \\{ ( t , \\bar { k } ) : \\{ 1 , \\dots , d \\cdot f _ { r } \\} , k \\in \\{ 1 , \\dots , K \\} \\}$ be the set of all pairs of time steps and codebook indexes. A codebook pattern is a sequence $P = ( P _ { 0 } , P _ { 1 } , P _ { 2 } , . . . , P _ { S } )$ , with $P _ { 0 } = \\emptyset$ , and for all $0 < s \\le S$ , $P _ { s } \\subset \\Omega$ , such that $P$ is partition of $\\Omega$ . We model $Q$ by predicting in parallel all the positions in $P _ { s }$ , conditionally on all the positions in $P _ { 0 } , P _ { 1 } , \\dots , P _ { s - 1 }$ . Pragmatically, we restrict ourselves to patterns where each codebook index appears at most once in any of the $P _ { s }$ . ", + "bbox": [ + 174, + 90, + 825, + 189 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We can now easily define a number of decompositions, for instance the “parallel” pattern given by ", + "bbox": [ + 171, + 194, + 815, + 209 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/107ff89d0233dba04ffdf0d73cab2f52fef2f1888792b9b4df51ea2e01cd7943.jpg", + "text": "$$\nP _ { s } = \\{ ( s , k ) : k \\in \\{ 1 , \\ldots , K \\} \\} .\n$$", + "text_format": "latex", + "bbox": [ + 390, + 212, + 607, + 229 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "It is also possible to introduce a “delay” between the codebooks, as in Kharitonov et al. [2022], e.g., ", + "bbox": [ + 173, + 238, + 825, + 252 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/25aff2fb0b39eaf46b0e5569c35babea99d05876d3e0575239cebb55f41d3856.jpg", + "text": "$$\nP _ { s } = \\{ ( s - k + 1 , k ) : k \\in \\{ 1 , \\ldots , K \\} , s - k \\geq 0 \\} .\n$$", + "text_format": "latex", + "bbox": [ + 323, + 256, + 673, + 273 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Through empirical evaluations, we show the benefits and drawbacks of various codebook patterns, shedding light on the importance of exact modeling of the parallel codebook sequences. ", + "bbox": [ + 173, + 282, + 828, + 311 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.3 Model conditioning ", + "text_level": 1, + "bbox": [ + 176, + 327, + 348, + 342 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Text conditioning. Given a textual description matching the input audio $X$ , we compute a conditioning tensor $\\check { C } \\in \\mathbb { R } ^ { T _ { C } \\times D }$ with $D$ being the inner dimension used in the autoregressive model. Generally, there are three main approaches for representing text for conditional audio generation. Kreuk et al. [2022] proposed using a pretrained text encoder, specifically T5 [Raffel et al., 2020]. Chung et al. [2022] show that using instruct-based language models provide superior performance. Lastly, Agostinelli et al. [2023], Liu et al. [2023], Huang et al. [2023a], Sheffer and Adi [2023] claimed that joint text-audio representation, such as CLAP $\\mathrm { [ W u ^ { * } }$ et al., 2023], provides better-quality generations. We experiment with all of the above, respectively: T5 encoder, FLAN-T5, and CLAP. ", + "bbox": [ + 173, + 352, + 826, + 463 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Melody conditioning. While text is the prominent approach in conditional generative models nowadays, a more natural approach for music is conditioning on a melodic structure from another audio track or even whistling or humming. Such an approach also allows for an iterative refinement of the model’s output. To support that, we experiment with controlling the melodic structure via jointly conditioning on the input’s chromagram and text description. In preliminary experiments, we observed that conditioning on the raw chromagram often led to reconstructing the original sample, resulting in overfitting. To reduce it, we introduce an information bottleneck by choosing the dominant time-frequency bin in each time step. While a similar capability was shown in Agostinelli et al. [2023], the authors used supervised proprietary data, which is tedious and costly to collect. In this work, we take an unsupervised approach, eliminating the requirement for supervised data. ", + "bbox": [ + 174, + 469, + 825, + 608 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.4 Model architecture ", + "text_level": 1, + "bbox": [ + 174, + 623, + 346, + 637 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Codebook projection and positional embedding. Given a codebook pattern, only some codebooks are present at each pattern step $P _ { s }$ . We retrieve from $Q$ the values corresponding to the indices in $P _ { s }$ . As noted in Section 2.2, each codebook is present at most once in $P _ { s }$ or not at all. If it is present, we use a learned embedding table with $N$ entries and dimension $D$ to represent the associated value from $Q$ . Otherwise, we use a special token indicating its absence. We sum the contribution from each codebook after this transformation. As $P _ { 0 } = \\emptyset$ , the first input is always the sum of all the special tokens. Finally, we sum a sinusoidal embedding to encode the current step $s$ [Vaswani et al., 2017]. ", + "bbox": [ + 174, + 648, + 825, + 746 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Transformer decoder. The input is fed into a transformer with $L$ layers and a dimension $D$ . Each layer consists of a causal self-attention block. We then use a cross-attention block that is fed with the conditioning signal $C$ . When using melody conditioning, we instead provide the conditioning tensor $C$ as a prefix to the transformer input. The layer ends with a fully connected block consisting of a linear layer from $D$ to $4 \\cdot D$ channels, a ReLU, and a linear layer back to $D$ channels. The attention and fully connected blocks are wrapped with a residual skip connection. Layer normalization [Ba et al., 2016] is applied to each block before being summed with the residual skip connection (“pre-norm”). ", + "bbox": [ + 174, + 752, + 825, + 849 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Logits prediction. The output from the transformer decoder at pattern step $P _ { s }$ is transformed into logits prediction for the values of $Q$ taken at the indices given by $P _ { s + 1 }$ . Each codebook is present at most once in $P _ { s + 1 }$ . If a codebook is present, the logits prediction is obtained by applying a codebook specific linear layer from $D$ channels to $N$ . ", + "bbox": [ + 176, + 856, + 823, + 911 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 Experimental setup ", + "text_level": 1, + "bbox": [ + 176, + 89, + 369, + 107 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.1 Models and hyperparameters ", + "text_level": 1, + "bbox": [ + 176, + 121, + 416, + 136 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Audio tokenization model. We use a non-causal five layers EnCodec model for $3 2 \\mathrm { k H z }$ monophonic audio with a stride of 640, resulting in a frame rate of $5 0 \\mathrm { H z }$ , and an initial hidden size of 64, doubling at each of the model’s five layers. The embeddings are quantized with a RVQ with four quantizers, each with a codebook size of 2048. We follow Défossez et al. [2022] to train the model on one-second audio segments cropped at random in the audio sequence. ", + "bbox": [ + 174, + 148, + 825, + 217 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Transformer model. We train autoregressive transformer models at different sizes: 300M, 1.5B, 3.3B parameters. We use a memory efficient Flash attention [Dao et al., 2022] from the xFormers package [Lefaudeux et al., 2022] to improve both speed and memory usage with long sequences. We study the impact of the size of the model in Section 4. We use the 300M-parameter model for all of our ablations. We train on 30-second audio crops sampled at random from the full track. We train the models for 1M steps with the AdamW optimizer [Loshchilov and Hutter, 2017], a batch size of 192 examples, $\\beta _ { 1 } = 0 . 9$ , $\\beta _ { 2 } = 0 . 9 5$ , a decoupled weight decay of 0.1 and gradient clipping of 1.0. We further rely on D-Adaptation based automatic step-sizes [Defazio and Mishchenko, 2023] for the 300M model as it improves model convergence but showed no gain for the bigger models. We use a cosine learning rate schedule with a warmup of 4000 steps. Additionally, we use an exponential moving average with a decay of 0.99. We train the 300M, 1.5B and 3.3B parameter models, using respectively 32, 64 and 96 GPUs, with mixed precision. More specifically, we use float16 as bfloat16 was leading to instabilities in our setup. Finally, for sampling, we employ top- $\\mathbf { \\nabla } \\cdot \\mathbf { k }$ sampling [Fan et al., 2018] with keeping the top 250 tokens and a temperature of 1.0. ", + "bbox": [ + 173, + 223, + 826, + 417 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Text preprocessing. Kreuk et al. [2022] proposed a text normalization scheme, in which stop words are omitted and the remaining text is lemmatized. We denote this method by text-normalization. When considering musical datasets, additional annotations tags such as musical key, tempo, type of instruments, etc. are often available. We also experiment with concatenating such annotations to the text description. We denote this approach by condition-merging. Finally, we explored using word dropout as another text augmentation strategy. For the final models, we used condition-merging with a probability of 0.25. Upon merging, we apply a text description dropout with a probability of 0.5. We use a word dropout with a probability of 0.3 on the resulting text. A full comparison of the different text preprocessing strategies can be found in Appendix A.2. ", + "bbox": [ + 174, + 424, + 825, + 547 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Codebook patterns and conditioning. We use the “delay” interleaving pattern from Section 2.2, This translates 30 seconds of audio into 1500 autoregressive steps. For text conditioning, we use the T5 [Raffel et al., 2020] text encoder, optionally with the addition of the melody conditioning presented in Section 2.3. We also experiment with FLAN-T5 [Chung et al., 2022], and CLAP $\\mathrm { [ W u ^ { * } }$ et al., 2023] and compare the performance of MUSICGEN using each of these text encoders in the Appendix A.2. For melody conditioning, we compute the chromagrams with a window size of $2 ^ { 1 4 }$ and a hop size of $2 ^ { 1 2 }$ . Using a large window prevents the model from recovering fine temporal details. We further quantize the chromagram by taking the argmax at each time step. We follow a similar approach to Kreuk et al. [2022] and implement classifier-free guidance when sampling from the model’s logits. Specifically, during training we drop the condition with a probability of 0.2 and during inference we use a guidance scale of 3.0. ", + "bbox": [ + 174, + 554, + 825, + 707 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 Datasets ", + "text_level": 1, + "bbox": [ + 174, + 724, + 271, + 739 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Training datasets. We use 20K hours of licensed music to train MUSICGEN. Specifically, we rely on an internal dataset of 10K high-quality music tracks, and on the ShutterStock and Pond5 music data collections2 with respectively 25K and 365K instrument-only music tracks. All datasets consist of full-length music sampled at $3 2 \\mathrm { k H z }$ with metadata composed of a textual description and information such as the genre, BPM, and tags. We downmix the audio to mono unless stated otherwise. ", + "bbox": [ + 174, + 751, + 823, + 820 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Evaluation datasets. For the main results and comparison with prior work, we evaluate the proposed method on the MusicCaps benchmark [Agostinelli et al., 2023]. MusicCaps is composed of 5.5K samples (ten-second long) prepared by expert musicians and a 1K subset balanced across genres. We report objective metrics on the unbalanced set, while we sample examples from the genre-balanced set for qualitative evaluations. For melody evaluation and the ablation studies, we use samples from an in-domain held out evaluation set of 528 music tracks, with no artist overlap with the training set. ", + "bbox": [ + 176, + 827, + 823, + 882 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/fa43b60b05e605a8c89ed67e3a1261a37a4c2c47140dedd1855b5055a0b6d721.jpg", + "table_caption": [ + "Table 1: Text-to-Music generation. We compare objective and subjective metrics for MUSICGEN against a number of baselines. We report both mean and CI95 scores. The Mousai model is retrained on the same dataset, while for MusicLM we use the public API for human studies. We report the original FAD on MusicCaps for Noise2Music and MusicLM. “MUSICGEN w. random melody” refers to MUSICGEN trained with chromagram and text. At evaluation time, we sample the chromagrams at random from a held-out set. " + ], + "table_footnote": [], + "table_body": "
MODELMUSICCAPS Test Set
FADuggKL↓CLAPscr↑OvL. ↑REL.个
Riffusion14.82.060.1979.31±1.3774.20±2.17
Mousai7.51.590.2376.11±1.5677.35±1.72
MusicLM4.01180.51±1.0782.35±1.36
Noise2Music2.11111
MUSICGEN w.o melody (300M)3.11.280.3178.43±1.3081.11±1.31
MUSICGEN w.o melody (1.5B)3.41.230.3280.74±1.1783.70±1.21
MUSICGEN w.o melody (3.3B)3.81.220.3184.81±0.9582.47±1.25
MUSICGEN w. random melody (1.5B)5.01.310.2881.30±1.2981.98±1.79
", + "bbox": [ + 176, + 180, + 825, + 340 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 375, + 825, + 402 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.3 Evaluation ", + "text_level": 1, + "bbox": [ + 174, + 428, + 289, + 443 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Baselines. We compare MUSICGEN to two baselines for text-to-music generation: Riffusion [Forsgren and Martiros] and Mousai [Schneider et al., 2023]. We use the open source Riffusion model to run inference 3. For Mousai, we train a model using our dataset for a fair comparison, using the open source implementation provided by the authors4. Additionally, when possible, we compare to MusicLM [Agostinelli et al., 2023] and Noise2Music [Huang et al., 2023b]. ", + "bbox": [ + 174, + 457, + 825, + 526 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Evaluation metrics. We evaluate the proposed method using objective and subjective metrics. For the objective methods, we use three metrics: the Fréchet Audio Distance (FAD), the Kullback-Leiber Divergence (KL) and the CLAP score (CLAP). We report the FAD [Kilgour et al., 2018] using the official implementation in Tensorflow with the VGGish model 5. A low FAD score indicates the generated audio is plausible. Following Kreuk et al. [2022], we use a state-of-the-art audio classifier trained for classification on AudioSet [Koutini et al., 2021] to compute the KL-divergence over the probabilities of the labels between the original and the generated music. The generated music is expected to share similar concepts with the reference music when the KL is low. Last, the CLAP score $[ \\mathrm { W u ^ { * } }$ et al., 2023, Huang et al., 2023a] is computed between the track description and the generated audio to quantify audio-text alignment, using the official pretrained CLAP model 6. ", + "bbox": [ + 174, + 534, + 825, + 672 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "For the human studies, we follow the same setup as in Kreuk et al. [2022]. We ask human raters to evaluate two aspects of the audio samples (i) overall quality (OVL), and (ii) relevance to the text input (REL). For the overall quality test, raters were asked to rate the perceptual quality of the provided samples in a range of 1 to 100. For the text relevance test, raters were asked to rate the match between audio and text on a scale of 1 to 100. Raters were recruited using the Amazon Mechanical Turk platform. We evaluate randomly sampled files, where each sample was evaluated by at least 5 raters. We use the CrowdMOS package7 to filter noisy annotations and outliers. We remove annotators who did not listen to the full recordings, annotators who rate the reference recordings less than 85, and the rest of the recommended recipes from CrowdMOS [Ribeiro et al., 2011]. For fairness, all samples are normalized at −14dB LUFS [ITU-R, 2017]. ", + "bbox": [ + 173, + 678, + 826, + 816 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/016a5a7822450d6629d5db5530187223e5aac1ab46477a5e22309015fc67b924.jpg", + "table_caption": [ + "Table 2: We report cosine similarity between reference and generated melody (SIM.) and subjective metrics including alignment with the melody (MEL.). All results are reported for MUSICGEN 1.5B. " + ], + "table_footnote": [], + "table_body": "
In Domain Test Set
TRAIN CONDITIONTEST CONDITIONSIM.↑|MEL.个OvL. ↑REL.个
TextText0.1064.44±0.8382.18±1.2181.54±1.22
Text+ChromaText0.1061.89±0.9681.65±1.1382.50±0.98
Text+ChromaText+Chroma0.6672.87±0.9383.94±1.9980.28±1.06
", + "bbox": [ + 220, + 126, + 776, + 208 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 Results ", + "text_level": 1, + "bbox": [ + 173, + 236, + 266, + 252 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We start by presenting results of the proposed method on the task of text-to-music generation and compare MUSICGEN to prior work in the field. Next, we evaluate the ability of the proposed method to generate music conditioned on melodic features. We further show how to simply extend our codebook patterns for stereo audio generation. We conclude with an ablation study. Music samples, code, and models are available at github.com/facebookresearch/audiocraft. ", + "bbox": [ + 174, + 270, + 825, + 339 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 Comparison with the baselines ", + "text_level": 1, + "bbox": [ + 176, + 361, + 426, + 376 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 1 presents the comparison of the proposed method against Mousai, Riffusion, MusicLM, and Noise2Music. As there is no official implementation of Noise2Music, nor pre-trained model, we report only FAD on MusicCaps, which is reported in the Noise2Music manuscript. Similarly, MusicLM implementation is not public. We use the MusicLM public demo8 for our subjective tests while reporting the FAD as reported by the authors. While the original MusicLM model is trained on data with vocals, the model behind the API is instrument-only. For the human study, we restrict ourselves to 40 instrument-only samples from MusicCaps. To prevent leakage in MUSICGEN trained with chromagram, we sample chromagrams at random from a held-out set during test time. ", + "bbox": [ + 174, + 387, + 825, + 498 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Results suggest that MUSICGEN performs better than the evaluated baselines as evaluated by human listeners, both in terms of audio quality and adherence to the provided text description. Noise2Music performs the best in terms of FAD on MusicCaps, followed by MUSICGEN trained with text conditioning. Interestingly, adding a melody conditioning degrades the objective metrics, however, it does not significantly affect human ratings, while still being superior to the evaluated baselines. ", + "bbox": [ + 174, + 505, + 825, + 574 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We notice that for the worst rated model, the FAD is correlated with the overall subjective rating, but it is not the case for the best rated models. We noticed that a large number of samples in MusicCaps [Agostinelli et al., 2023] contains a description stating that the recording is \"noisy\". It is possible that due to those noisy samples, improvements in the quality of the generated audio might deteriorate the FAD on MusicCaps once a certain quality threshold is achieved. ", + "bbox": [ + 174, + 580, + 825, + 650 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.2 Melody evaluation ", + "text_level": 1, + "bbox": [ + 174, + 671, + 341, + 686 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We evaluate MUSICGEN, conditioned jointly on textual and melodic representations, using objective and subjective metric on the held out evaluation set. For the objective evaluation, we introduce a new metric: chroma cosine-similarity, which measures the average cosine-similarity between frames corresponding to the same time steps, taken from the quantized chroma of the reference and the generated samples. We evaluate using 1000 randomly sampled files from a held-out set. To better evaluate the relation between the conditioned melody to the generated music, we introduce another human study. To that end, we present human raters with a reference musical piece, followed by a set of generated pieces. For each generated sample, the listeners are asked to rate how well the melody of the generated piece matches that of the reference on a scale of 1 to 100. We use 40 samples of 10 seconds at random from the held-out set. Results are reported in Table 2. Results suggest that MUSICGEN trained with chromagram conditioning successfully generates music that follows a given melody. Thus, allowing for better control over the generated output. Interestingly, MUSICGEN is robust to dropping the chroma at inference time with both OVL. and REL. staying roughly the same. ", + "bbox": [ + 174, + 699, + 825, + 878 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/cee658017b0d9cb932bec544c4f8bcb78dd6d39e278ac31975d68a7b7fc719d3.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 176, + 90, + 531, + 219 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "(a) Visualizing codebook patterns for stereo models with two possible interleaving of the left (blue) and right (red) codebooks. For a given codebook index, the “stereo delay” pattern uses different delays for the left and right channels, while the “stereo partial delay” predicts the two channels in parallel. ", + "bbox": [ + 173, + 227, + 553, + 290 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/88de985d81a19c8f5d16025954fbca924e975955bfb980c47de992d8d285d182.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 596, + 92, + 820, + 218 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "(b) Memorization results for the first codebook tokens on 5-second audio generations, considering exact (solid line) and $80 \\%$ partial (dashed line) matches when prompted with extracts of varying duration from the train set. ", + "bbox": [ + 594, + 227, + 825, + 303 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/b9be3dce5159ba45753ffc2b48286bbf45e5a30edd5e10d1c8e6c786fa7af1f9.jpg", + "table_caption": [ + "Figure 2: Stereo codebooks (left) and memorization results (right) ", + "Table 3: Stereophonic Text-to-Music generation. EnCodec processes separately the left and right channels, giving us 8 codebooks instead of 4. We experiment with two codebook patterns, depicted in Figure 2a. We also measure one of the stereo model after being downmixed to mono. We use a 1.5B MUSICGEN model conditioned only on text. " + ], + "table_footnote": [ + "\\*: downmixed to mono after generation. " + ], + "table_body": "
CB.PATTERN STEREO?MUSICCAPS Test Set
OvL. ↑REL. 个
Mono DelayX84.95±1.6080.61±1.22
Stereo Partial DelayX*84.49±1.8079.39±1.16
Stereo Partial Delay√86.73±1.0680.41±1.15
Stereo Delay√85.51±1.2178.32 ±1.21
", + "bbox": [ + 289, + 405, + 709, + 508 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.3 Fine-tuning for stereophonic generation ", + "text_level": 1, + "bbox": [ + 173, + 546, + 490, + 561 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We experiment with for extending generation to stereophonic data. We use the same EnCodec tokenizer, which we applied independently to the left and right channels, providing $2 \\cdot K = 8$ codebooks per frame. Starting from a pre-trained monophonic MUSICGEN model, we fine tune it for 200K batches the same dataset with stereo audio. We reuse the “delay” pattern, with two possible variations: (i) “stereo delay” introduces a delay between the left and right channels for the same codebook level, while (ii) “stereo partial delay” apply the same delay to the left and right channel codebooks for a given level, as depicted in Figure 2a. Note that using this simple strategy, we can generate stereo audio at no extra computational cost. We provide in Table 3 the subjective evaluations for those models. We notice that when downmixing the stereo output to mono, we are almost equivalent in perceived quality to a mono model. Stereo audio was overall rated higher than the mono counterpart, and the “stereo partial delay” benefits from a small boost both in overall quality and text relevance compared with the “stereo delay” pattern. ", + "bbox": [ + 173, + 569, + 825, + 734 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.4 Ablation ", + "text_level": 1, + "bbox": [ + 174, + 743, + 274, + 758 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "This section provides an ablation study for the different codebook patterns, together with results for model scales and a memorization study. Additionally, we present results for different text augmentation strategies, text encoders, and audio tokenization models in Appendix A.2. All ablations are performed using 1K samples of 30 seconds, randomly sampled from the held-out evaluation set. ", + "bbox": [ + 174, + 766, + 825, + 821 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "The effect of the codebook interleaving patterns. We evaluate various codebook patterns using the framework from Section 2.2, with $K = 4$ , given by the audio tokenization model. Table 1 reports results with the “delay” pattern. The “partial delay” consists in delaying by the same amount the codebooks 2, 3, and 4. The “parallel” pattern predicts all the codebooks from the same time step in parallel. The “coarse first” pattern first predicts codebook 1 for all steps, then predicts in parallel codebooks 2, 3, and 4. Thus, this pattern has twice the steps compared to other patterns. “Partial flattening” is similar, but instead of sampling first codebook 1 for all steps, it interleaves them with the parallel sampling of codebooks 2, 3, and 4. Finally, the “flattening” pattern consists in flattening all the codebooks, similar to MusicLM [Agostinelli et al., 2023]. We report objective and subjective evaluations in Table 4. While flattening improves generation, it comes at a high computational cost and similar performance can be reached for a fraction of this cost using a simple delay approach. ", + "bbox": [ + 174, + 828, + 823, + 911 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/c1ea1d70a9ae8ad1858423082b919125ab7cf32204f2391a96b2d9b479486a77.jpg", + "table_caption": [ + "Table 4: Codebook patterns. We compare different codebook interleaving patterns on 30-seconds, audio sequences. The “flattening” pattern achieves the best scores. The “delay” and “partial flattening” patterns achieve similar scores, while “parallel” obtains worse scores. " + ], + "table_footnote": [], + "table_body": "
In Domain Test Set
CONFIGURATION丨Nb. stepsFADvggKL↓CLAPscr↑|OvL.↑REL.个
Delay15000.960.520.3579.69±1.4679.67±1.41
Partial delay15001.510.540.3279.13±1.5679.67±1.46
Parallel15002.580.620.2772.21±2.4980.30±1.43
Partial flattening30001.320.540.3478.56±1.8679.18±1.49
Coarse first30001.980.560.3074.42±2.2876.55±1.67
Flattening60000.860.510.3779.71±1.5882.03±1.1
", + "bbox": [ + 205, + 138, + 787, + 277 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/bb103752c4897ab4db040f28e96b38ded473a03d3c65b35d1e2a67af224b36ca.jpg", + "table_caption": [ + "Table 5: Model scale. We compare 3 scales for our method, and evaluate it on an internal test set to limit the impact of the out of domain prediction issues we observed with MusicCaps. In terms of objective metrics we observe a continuous improvement of the metrics, although subjective quality stop improving at 1.5B parameters. A 3.3B model however seems to better fit the text prompt. " + ], + "table_footnote": [], + "table_body": "
Dim.HeadsDepth#Param.PPL↓FADvggKL↓CLAPscr 个OvL. ↑REL.个
10241624300M56.10.960.520.3578.3±1.482.5 ±1.6
153624481.5B48.40.860.500.3581.9±1.482.9±1.5
204832483.3B46.10.820.500.3679.2±1.383.5±1.3
", + "bbox": [ + 187, + 356, + 808, + 438 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 458, + 825, + 529 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The effect of model size. In Table 5 we report results for different model sizes, namely 300M, 1.5B, and 3.3B parameter models. As expected, scaling the model size results in better scores, however this comes at the expense of longer training and inference time. Regarding subjective evaluations, the overall quality is optimal at 1.5B, but a larger model can better understand the text prompt. ", + "bbox": [ + 174, + 535, + 825, + 590 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Memorization experiment. Following [Agostinelli et al., 2023], we analyze the memorization abilities of MUSICGEN. We only consider the first stream of codebooks from MUSICGEN as it contains the coarser-grain information. We randomly select $N = 2 0$ , 000 examples from our training set and for each one we feed the model with a prompt of EnCodec codebooks corresponding to the original audio and the conditioning information. We generate a continuation of 250 audio tokens (5 second-long audio) using greedy decoding. We report exact matches as the fraction of examples for which the generated audio tokens and source audio tokens are identical over the whole sequence. In addition, we report partial matches as the fraction of the training examples for which the generated and source sequences have at least $8 0 \\%$ of the audio tokens matching. We present the memorization results for the different model sizes when varying the length of the audio prompt in Figure 2b. ", + "bbox": [ + 174, + 595, + 825, + 736 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 Related work ", + "text_level": 1, + "bbox": [ + 174, + 750, + 316, + 767 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Audio representation. In recent years, the prominent approach is to represent the music signals in a compressed representation, discrete or continuous, and apply a generative model on top of it. Lakhotia et al. [2021] proposed quantizing speech representation using $\\mathbf { k }$ -means to construct speech language models. Recently, Défossez et al. [2022], Zeghidour et al. [2021] proposed to apply a VQ-VAE directly on the raw waveform using residual vector quantization. Later, several studies used such representation for text-to-audio generation. Next, we discuss the recent research in audio generation. ", + "bbox": [ + 174, + 779, + 825, + 863 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Music generation. Music generation has been long studied under various setups. Dong et al. [2018] proposed a GAN-based approach for symbolic music generation. Bassan et al. [2022] proposed an unsupervised segmentation for symbolic music which can be later used for generation. Ycart et al. ", + "bbox": [ + 176, + 869, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "[2017] proposed modeling polyphonic music modeling using recurrent neural networks. Ji et al. \n[2020] conducted a comprehensive survey therein for deep learning methods for music generation. ", + "bbox": [ + 173, + 92, + 825, + 119 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Dhariwal et al. [2020] proposed representing music samples in multiple streams of discrete representations using a hierarchical VQ-VAE. Next, two sparse transformers applied over the sequences to generate music. Gan et al. [2020] proposed generating music for a given video, while predicting its midi notes. Recently, Agostinelli et al. [2023] proposed representing music using multiple streams of “semantic tokens” and “acoustic tokens”. Then, they applied a cascade of transformer decoders conditioned on a textual-music joint representation [Huang et al., 2022]. Donahue et al. [2023] followed a similar modeling approach, but for the task of singing-to-accompaniment generation. ", + "bbox": [ + 174, + 126, + 825, + 223 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "An alternative approach is using diffusion models. Schneider et al. [2023], Huang et al. [2023b], Maina [2023], Forsgren and Martiros proposed using a latent diffusion model for the task of text-to-music. Schneider et al. [2023] proposed using diffusion models for both audio encoder-decoder and latent generation. Huang et al. [2023b] proposed a cascade of diffusion model to generate audio and gradually increase its sampling rate. Forsgren and Martiros proposed fine-tuning Stable Diffusion Rombach et al. [2022] using spectrograms to generate five-second segments, then, using image-to-image mapping and latent interpolation to generate long sequences. ", + "bbox": [ + 174, + 228, + 825, + 327 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Audio generation. Several studies were proposed for text-to-audio (environmental sounds) generation. Yang et al. [2022] proposed representing audio spectrograms using a VQ-VAE, then applying a discrete diffusion model conditioned on textual CLIP embeddings for the generation part [Radford et al., 2021]. Kreuk et al. [2022] proposed applying a transformer language model over discrete audio representation, obtained by quantizing directly time-domain signals using EnCodec [Défossez et al., 2022]. Sheffer and Adi [2023] followed a similar approach to Kreuk et al. [2022] for image-to-audio generation. Huang et al. [2023a], Liu et al. [2023] proposed using latent diffusion models for the task of text-to-audio, while extending it to various other tasks such as inpainting, image-to-audio, etc. ", + "bbox": [ + 174, + 332, + 825, + 443 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6 Discussion ", + "text_level": 1, + "bbox": [ + 174, + 457, + 294, + 473 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We introduced MUSICGEN, a state-of-the-art single stage controllable music generation model that can be conditioned on text and melody. We demonstrated that simple codebook interleaving strategies can be used to achieve high quality generation, even in stereo, while reducing the number of autoregressive time steps compared to the flattening approach. We provided a comprehensive study of the impact of model sizes, conditioning methods, and text pre-processing techniques. We also introduced a simple chromagram-based conditioning for controlling the melody of the generated audio. ", + "bbox": [ + 174, + 482, + 825, + 565 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Limitations Our simple generation method does not allow us to have fine-grained control over adherence of the generation to the conditioning, we rely mostly on CF guidance. Also, while it is relatively straightforward to do data augmentation for text conditioning, conditioning on audio warrants further research on data augmentation, types and amount of guidance. ", + "bbox": [ + 174, + 571, + 825, + 627 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Broader impact. Large scale generative models present ethical challenges. We first ensured that all the data we trained on was covered by legal agreements with the right holders, in particular through an agreement with ShutterStock. A second aspect is the potential lack of diversity in the dataset we used, which contains a larger proportion of western-style music. However, we believe the simplification we operate in this work, e.g., using a single stage language model and a reduced number of auto-regressive steps, can help broaden the applications to new datasets. Generative models can represent an unfair competition for artists, which is an open problem. Open research can ensure that all actors have equal access to these models. Through the development of more advanced controls, such as the melody conditioning we introduced, we hope that such models can become useful both to music amateurs and professionals. ", + "bbox": [ + 174, + 633, + 825, + 772 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgements. ", + "text_level": 1, + "bbox": [ + 176, + 791, + 341, + 808 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "The authors would like to thank Mary Williamson, Rashel Moritz and Joelle Pineau for supporting this project, thank Justin Luk, Prash Jain, Sidd Srinivasan, Rod Duenes, and Philip Woods for the dataset, and thank the xformers team: Daniel Haziza, Francisco Massa, and Michael Ramamonjisoa for the technical discussions. ", + "bbox": [ + 174, + 820, + 825, + 876 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Authors note. This paper was submitted in the wake of the tragic terror attack perpetrated by Hamas on October 7, 2023, which has left the Israeli nation profoundly devastated. The assault greatly impacted us at a personal level, thereby significantly impacting the course of this research work. This paper was finalized while we grieve and mourn our friends and family, under great stress, with scientific considerations being the last thing on our minds. 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", + "bbox": [ + 171, + 704, + 825, + 733 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Rithesh Kumar, Prem Seetharaman, Alejandro Luebs, Ishaan Kumar, and Kundan Kumar. Highfidelity audio compression with improved rvqgan. arXiv preprint arXiv:2306.06546, 2023. ", + "bbox": [ + 171, + 741, + 825, + 771 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/06a1439bc3ea0cc42ea73f9f2511683ff0699833f5f665a17ea01e4d785f982d.jpg", + "image_caption": [ + "Figure A.1: Visualizing partial flattening and partial delays codebook patterns applied on a sequence with 4 parallel streams of quantized values (corresponding to $k _ { 1 } , \\ldots , k _ { 4 } )$ and $N$ time steps $( t _ { 1 } , \\ldots$ $k _ { n , \\astrosun }$ ). “Partial flattening” separates the first codebook in dedicated steps and interleaves them with the parallel sampling of codebooks 2, 3, and 4, leading the number of interleaved sequences steps $M$ to be twice the number of original steps $N$ . The “partial delay” pattern consists in delaying by the same amount the codebooks 2, 3, and 4, in our case we use a delay of 1. The total number of steps of the interleave sequences is $N$ (excluding the last step for simplicity). " + ], + "image_footnote": [], + "bbox": [ + 210, + 133, + 777, + 250 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.1 Experimental details ", + "text_level": 1, + "bbox": [ + 176, + 383, + 361, + 398 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Codebook interleaving patterns. Figure A.1 provides a visual description of the additional codebook patterns introduced for the ablation in Section 4, namely “partial flattening” and “partial delay” patterns. The intuition behind such patterns is driven by the fact that the first codebook from RVQ is the most important one and predicting the rest of the codebooks in parallel would allow to limit the introduced flattening or delay while maintaining good modeling performance. ", + "bbox": [ + 174, + 409, + 825, + 478 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Melody conditioning. In this work, we provide an unsupervised approach for melody conditioning through conditioning on the chromagram representation. As shown in Figure A.2, chromagram-based conditioning successfully preserves the melodic structure when generating novel music samples. In preliminary experiments, we noticed that the chromagram tends to be dominated by the lower frequency instruments, mainly by the drums and bass. To mitigate that, we used Demucs [Défossez et al., 2019] to first decompose the reference track into four components: drums, bass, vocals, and other. Next, we omit the drums and bass to recover the melodic structure of the residual waveform. Finally, we extract the quantized chromagram to create the conditioning that is later fed to the model. ", + "bbox": [ + 174, + 484, + 825, + 595 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Distribution of genres. We provide in Figure A.3 a histogram of the top 50 musical genres present in the dataset. We notice a clear dominance of the Dance/EDM genre, which in our experience is also one of the genres that is best generated by MUSICGEN. While we tried to explore a number of resampling scheme to boost the importance of other genres, we observed that oversampling less represented genres would often lead to a worse model overall. ", + "bbox": [ + 174, + 602, + 825, + 671 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.2 Additional experimental results ", + "text_level": 1, + "bbox": [ + 176, + 689, + 434, + 703 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We provide further ablation studies on the core components of MUSICGEN, namely the text encoder used for text conditioning described in Section 2.3, text augmentation strategies presented in Section 3.1, and the used audio tokenization model. We report results on the MusicCaps dataset to better understand out-of-domain generalization abilities of the different approaches. Finally, we share additional experimental results on optimization methods. ", + "bbox": [ + 174, + 714, + 825, + 784 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "The effect of text encoder. We investigate the impact of the text encoder, comparing three different encoders: T5 [Raffel et al., 2020] 9, Flan-T5 [Chung et al., $2 0 2 2 ] ^ { 1 0 }$ and CLAP $[ \\mathrm { W u ^ { * } }$ et al., 2023] 11 with a quantization bottleneck. For the CLAP-based encoder, similarly to Agostinelli et al. [2023] we rely on the music embeddings during training and the text embeddings at inference time and we train a RVQ layer on top of the extracted embeddings. More specifically, we first normalize the embeddings and use RVQ with 12 quantizers, each with a codebook size of 1024. Quantizing the CLAP embeddings leads to a homogeneous representation with the discrete tokens further reducing the gap between the audio encoding used at train time and text encoding at test time. We report results for the different text encoders in Table A.1. Both T5 and Flan-T5 perform similarly in terms of objective metrics, the overall quality being slighly better for T5. The CLAP-based model however suffers worse objective and subjective metrics, with the exception of the CLAP score which rely on the same underlying audio and text encoder. ", + "bbox": [ + 174, + 790, + 823, + 847 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/bca81b240dc1456226a7851e15a94fa50f83f64da75967f1597e46a1c992e80c.jpg", + "table_caption": [ + "Table A.1: Text encoder results. We report results for T5, Flan-T5, and CLAP as text encoders. We observe similar results for T5 and Flan-T5 on all the objective metrics. Note that T5 is the text encoder used for the main MUSICGEN models. CLAP encoder performs consistently worse on all the metrics but CLAP score. All comparisons are done with a 300M MUSICGEN model using text conditioning only. " + ], + "table_footnote": [], + "table_body": "
MODELMUSICCAPS Test Set
FADuggKL↓CLAPscr 个OvL. ↑REL.↑
T53.121.290.3185.04±1.2387.33±1.9
Flan-T53.361.300.3285.54±1.0185.00±1.63
CLAP4.161.360.3582.13±1.2983.56±1.54
CLAP (no normalization)4.141.380.3584.87±1.2585.06±1.72
CLAP (no quantization)5.071.370.3784.13±1.0284.67±1.42
", + "bbox": [ + 202, + 166, + 794, + 285 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/605df422b9b3e61287d3dd4750e158bcd74e8c0c2eefc683d6845024d69fc110.jpg", + "table_caption": [ + "Table A.2: Text augmentations strategies results. We report objective metrics using only the original text description (no augmentation) and for different text augmentation strategies: using condition merging to augment the text description with metadata, using text-normalization (text-norm.) and applying word dropout on the resulting text. We use 300M MUSICGEN models trained for 500K steps. Condition merging improves the result over training only over the original text description. Other augmentations perform worst on all metrics. We use the Condition Merging with Word dropout, showing the best text relevance, in our main models. " + ], + "table_footnote": [], + "table_body": "
CONFIGURATIONMUSICCAPs Test Set
FADugg√KL↓CLAPscrOVL. ↑REL.↑
No augmentation3.681.280.3183.40±1.4481.16±1.29
Condition Merging (CM)3.281.260.3182.60±1.4184.45 ±1.16
CM+ Text-norm. (TN)3.781.300.2980.57±2.1482.40±1.09
CM+ Word dropout (WD)3.311.310.3082.52±1.5585.27±0.97
CM + TN+ WD3.411.390.3081.18±1.9184.32 ±1.59
", + "bbox": [ + 209, + 406, + 792, + 525 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 551, + 825, + 662 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "The effect of text augmentations. We examine the impact of text augmentation strategies for the proposed method. In particular, we study the use of condition merging (i.e. concatenating additional metadata to the text description), text normalization (text-norm.) and word dropout. We report objective metrics for the different augmentation strategies in Table A.2. We observe a gain in FAD and KL when leveraging the additional metadata with condition merging. However, neither text normalization or word dropout improves the results in terms of objective metrics. ", + "bbox": [ + 174, + 670, + 825, + 752 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "The effect of the audio tokenizer. We experiment with replacing EnCodec with Descript Audio Codec (DAC) [Kumar et al., $2 0 2 3 ] ^ { 1 2 }$ , a similar audio compression models, that uses a different training set, a similar adversarial loss enhanced with multiband discriminators, but performs quantization in a lower dimension space to improve codebook usage. DAC compresses audio at $4 4 . 1 \\mathrm { k H z }$ with 9 codebooks, and a framerate of $8 6 \\mathrm { H z }$ . We trained a small (300M parameters) and a medium (1.5B parameters) MUSICGEN model using both DAC and EnCodec as an audio tokenizer, on a vocal-free version of our dataset. The results provided in Table A.3 show a worse FAD and KL on our in domain test set. On MusicCaps, the FAD is improved by using DAC, although the KL is worse, as well as the subjective evaluations. The EnCodec model used in this work was specifically designed to operate at a lower frame rate $( 5 0 \\ : \\mathrm { H z } )$ than DAC $( 8 6 ~ \\mathrm { H z } )$ ), thus reducing by $40 \\%$ the inference runtime for producing the same audio. Note finally that DAC was trained on a different dataset than EnCodec, and further experiments would be required to understand exactly what influences the fitness of such compression models to be used with auto-regressive language models. ", + "bbox": [ + 174, + 758, + 825, + 883 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/287f646a058a7b95bc374abd485f248d2e90bcbac89c2a2a944d6cf3aa919105.jpg", + "table_caption": [ + "Table A.3: We test replacing EnCodec with DAC [Kumar et al., 2023] using their implementation. DAC is a $4 4 . 1 \\mathrm { k H z }$ model with 9 codebooks and a frame rate of $8 6 \\mathrm { H z }$ . Those models are trained on a vocal-free version of our dataset, hence the objective metrics will not match those reported in the other tables. We report objective metrics both on our in domain test set and MusicCaps [Agostinelli et al., 2023], and subjective metrics only on MusicCaps. " + ], + "table_footnote": [], + "table_body": "
MODELIn Domain Test SetMUSICCAPS Test Set
FADvgg↓KL←FADvggKL↓OvL.↑
MUSICGEN + DAC small3.450.584.461.3583.32±0.95
MUSICGEN + DAC medium2.420.574.321.3084.46±0.97
MUSICGEN + EnCodec small0.670.545.261.2784.69±0.90
MUSICGEN + EnCodec medium0.490.525.051.2386.09±0.88
", + "bbox": [ + 202, + 167, + 794, + 279 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 304, + 825, + 359 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Effect of D-Adaptation. ", + "text_level": 1, + "bbox": [ + 174, + 366, + 338, + 381 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D-Adaptation is a novel automated way of selecting the overall learning rate of the Adam optimizer, i.e. its $\\alpha$ parameter, dynamically throughout the training, introduced by Defazio and Mishchenko [2023]. We observed improved convergence for the 300M parameter model, although for larger models, e.g. 1.5B and 3.3B, we observed the automated rule led to deteriorated performance, both on the train and validation set. Further investigation is required to better understand the effect of D-Adaptation, and whether it can scale to the largest model. The convergence for both methods can be observed on the train and validation set in Figure A.4. ", + "bbox": [ + 173, + 387, + 825, + 484 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/c7b94433854486df6dd87a44c477b4f4d8f12ccac31d53b39b7bb5439a8a4bd7.jpg", + "image_caption": [ + "Figure A.2: Visualization of quantized chromagram bins over time from reference melody (left), generated music conditioned on chroma and text (middle) and generated music with text-only conditioning (right). Each row is generated using a different chroma condition, all rows share the same text condition: “90s rock song with electric guitar and heavy drums”. We observe strong adherence to the input melody for the music samples generated with chroma conditioning while rendering novel styles guided by the input text. " + ], + "image_footnote": [], + "bbox": [ + 178, + 90, + 820, + 361 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/535211230bc54e0735ed0301696dea87403165379337d5c15f58a107554f02c4.jpg", + "image_caption": [ + "Figure A.3: Histogram of the top 50 musical genres in the training dataset. " + ], + "image_footnote": [], + "bbox": [ + 343, + 470, + 653, + 667 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/3d568dad8999317dba853df45165594a37818b43469ff81abaedc336f14403d7.jpg", + "image_caption": [ + "Figure A.4: Comparison of Adam and Adam with D-Adaptation [Defazio and Mishchenko, 2023]. While D-Adaptation provided consistent gains for the 300M parameters model, we observed worse convergence both on the train (left) and validation (right) set for the 1.5B parameters model. " + ], + "image_footnote": [], + "bbox": [ + 199, + 705, + 799, + 854 + ], + "page_idx": 16 + } +] \ No newline at end of file diff --git a/parse/dev/lXuByUeHhd/lXuByUeHhd.md b/parse/dev/lXuByUeHhd/lXuByUeHhd.md new file mode 100644 index 0000000000000000000000000000000000000000..0668a66e5305b2073e5a5895925c56bca56fe48c --- /dev/null +++ b/parse/dev/lXuByUeHhd/lXuByUeHhd.md @@ -0,0 +1,412 @@ +# DoReMi: Optimizing Data Mixtures Speeds Up Language Model Pretraining + +Sang Michael Xie1,2, Hieu Pham1, Xuanyi $\mathbf { D o n g } ^ { 1 }$ , $\mathbf { N a n D u } ^ { 1 }$ , Hanxiao Liu1, Yifeng ${ { \bf { L } } { \bf { u } } ^ { 1 } }$ , Percy Liang2, Quoc V. Le1, Tengyu $\mathbf { M } \mathbf { a } ^ { 2 }$ , and Adams Wei ${ { \bf { Y } } { \bf { u } } ^ { 1 } }$ + +1Google DeepMind +2Stanford University + +# Abstract + +The mixture proportions of pretraining data domains (e.g., Wikipedia, books, web text) greatly affect language model (LM) performance. In this paper, we propose Domain Reweighting with Minimax Optimization (DoReMi), which first trains a small proxy model using group distributionally robust optimization (Group DRO) over domains to produce domain weights (mixture proportions) without knowledge of downstream tasks. We then resample a dataset with these domain weights and train a larger, full-sized model. In our experiments, we use DoReMi on a 280Mparameter proxy model to set the domain weights for training an 8B-parameter model $3 0 \mathrm { x }$ larger) more efficiently. On The Pile, DoReMi improves perplexity across all domains, even when it downweights a domain. DoReMi improves average few-shot downstream accuracy by $6 . 5 \%$ points over a baseline model trained using The Pile’s default domain weights and reaches the baseline accuracy with $2 . 6 \mathbf { x }$ fewer training steps. On the GLaM dataset, DoReMi, which has no knowledge of downstream tasks, even matches the performance of using domain weights tuned on downstream tasks. + +# 1 Introduction + +Datasets for training language models (LMs) are typically sampled from a mixture of many domains [17; 13; 10; 9]. For example, The Pile [17], a large publicly available dataset, is composed of $24 \%$ web data, $9 \%$ Wikipedia, $4 \%$ GitHub, etc.1 The composition of the pretraining data greatly affects the effectiveness of an LM [13; 20; 55]. However, it is unclear how much of each domain to include to produce a model that performs well for a wide variety of downstream tasks. + +Existing works determine domain weights (the sampling probabilities for each domain) by using intuition or a set of downstream tasks. For example, The Pile uses heuristically-chosen domain weights, which could be suboptimal. On the other hand, existing LMs such as PaLM [10] and GLaM [13] tune the domain weights based on a set of downstream tasks, but requires training potentially thousands of LMs on different domain weights and risks overfitting to the particular set of downstream tasks. + +Instead of optimizing domain weights based on a set of downstream tasks, our approach aims to find domain weights which lead to models that perform well on all domains by minimizing the worst-case excess loss over domains, following Oren et al. [35]; Mindermann et al. [30]. The excess loss is the loss gap between the model being evaluated and a pretrained reference model. + +This motivates our algorithm, Domain Reweighting with Minimax Optimization (DoReMi), which leverages distributionally robust optimization (DRO) to tune the domain weights without knowledge of downstream tasks (Figure 1). First, DoReMi trains a small reference model (e.g., 280M parameters) + +![](images/802b06a872d2a882e61776f24d03e21bab96468a7fc08146717bda0d654e5947.jpg) +Figure 1: Given a dataset with a set of domains, Domain Reweighting with Minimax Optimization (DoReMi) optimizes the domain weights to improve language models trained on the dataset. First, DoReMi uses some initial reference domain weights to train a reference model (Step 1). The reference model is used to guide the training of a small proxy model using group distributionally robust optimization (Group DRO) over domains [35; 43; 34], which we adapt to output domain weights instead of a robust model (Step 2). We then use the tuned domain weights to train a large model (Step 3). + +![](images/96d2221b4834c165481b9139b62b76392dff7626a21e975bb26a83c2ac2f0071.jpg) +Figure 2: DoReMi optimizes domain weights with a small model (280M params) and uses these domain weights to train a much larger model (8B params, $3 0 \mathrm { x }$ larger). Here, optimizing the domain weights (training a small model twice) takes $8 \%$ of the compute of training the large model. DoReMi improves average one-shot downstream accuracy by $6 . 5 \%$ points and reaches the baseline accuracy $2 . 6 \mathbf { x }$ faster when pretraining on The Pile. + +in a standard way. Second, DoReMi trains a small distributionally robust language model (DRO-LM) [35], which minimizes the worst-case excess loss (relative to the reference’s model’s loss) across all domains. Notably, rather than using the robust LM, we take the domain weights produced by DRO training. Finally, we train a large (8B) LM on a new dataset defined by these domain weights. + +Our approach adapts the DRO-LM framework [35] to optimize domain weights instead of producing a robust model. To do this, DoReMi uses the online learning-based optimizer from Group DRO [43; 34], which dynamically updates domain weights according to the loss on each domain for rescaling the training objective, instead of sub-selecting examples from a minibatch as in Oren et al. [35]; Mindermann et al. [30]. Finally, DoReMi takes the averaged domain weights over DRO training steps. + +In Section 3, we run DoReMi on 280M proxy and reference models to optimize domain weights on The Pile [17] and the GLaM dataset [13] (used in PaLM [10]). The DoReMi domain weights are used to train an 8B parameter LM (over $3 0 \mathrm { x }$ larger). On The Pile, DoReMi reduces perplexity on all domains over baseline domain weights, even when it downweights a domain. DoReMi improves average downstream accuracy over a baseline model trained on The Pile’s default domain weights by $6 . 5 \%$ points on generative few-shot tasks and achieves the baseline downstream accuracy $2 . 6 \mathbf { x }$ faster (Figure 2). In Section 4, we find that DoReMi consistently improves LM training when varying the sizes of the proxy model and the main model trained with optimized domain weights. On the + +GLaM dataset where domain weights tuned on downstream tasks are available, DoReMi even performs comparably to tuning domain weights on downstream task performance.2 + +# 2 Domain Reweighting with Minimax Optimization (DoReMi) + +In this section we define DoReMi, an algorithm for using a small proxy model to optimize the domain weights of a language modeling dataset, which then improves the training of a large model. + +Setup. Suppose that we have $k$ domains (e.g., Wikipedia, GitHub), where for each domain $i$ , we have a set of examples $D _ { i }$ . Domain weights $\alpha \in \bar { \Delta } ^ { k }$ specify a probability distribution over the $k$ domains, and consequently a distribution over the training data: $\begin{array} { r } { P _ { \alpha } = \sum _ { i = 1 } ^ { k } \alpha _ { i } \cdot \mathbf { u n i f } ( D _ { i } ) } \end{array}$ where $\mathrm { u n i f } ( D ) =$ $\textstyle { \frac { 1 } { | D | } } \sum _ { x \in D } \delta _ { x }$ is the uniform distribution over the examples in $D$ and $\delta _ { x } ( x ^ { \prime } )$ is 1 if $x ^ { \prime } = x$ and 0 otherwise. + +DoReMi. The inputs of DoReMi are the data $D _ { 1 } , \ldots , D _ { k }$ , reference domain weights $\alpha _ { \mathrm { r e f } }$ (e.g., uniform or based on raw token count of each domain), and training hyperparameters for the large, full-size model (number of training steps $T$ and batch size $b$ ). DoReMi returns optimized domain weights $\bar { \alpha }$ and ultimately, a large model trained on $P _ { \bar { \alpha } }$ . + +Step 1: Obtain a small reference model. We first train a model $p _ { \mathrm { r e f } }$ on some reference domain weights $\alpha _ { \mathrm { r e f } }$ (e.g., based on raw token count as a default) for $T$ steps, batch size $b$ . This model serves as the reference model for step 2 and captures a baseline level of difficulty of each example/domain. The reference model can be a relatively small model (280M parameters in our experiments). + +Step 2: Train proxy model with Group DRO to obtain domain weights. To obtain domain weights, we train a small proxy model $p _ { \theta }$ in the distributionally robust language modeling (DROLM) [35] framework with the Group DRO optimizer [43], where $\theta$ are the weights of the proxy model. This framework trains a robust model by optimizing the worst-case loss over domains, which is equivalent to the following minimax objective: + +$$ +\operatorname* { m i n } _ { \theta } \operatorname* { m a x } _ { \alpha \in \Delta ^ { k } } L ( \theta , \alpha ) : = \sum _ { i = 1 } ^ { k } \alpha _ { i } \cdot \left[ \frac { 1 } { \sum _ { \boldsymbol { x } \in D _ { i } } \left| \boldsymbol { x } \right| } \sum _ { \boldsymbol { x } \in D _ { i } } \ell _ { \theta } ( \boldsymbol { x } ) - \ell _ { \mathrm { r e f } } ( \boldsymbol { x } ) \right] +$$ + +where the losses $\ell _ { \theta } ( x ) = - \log \ p _ { \theta } ( x )$ and $\ell _ { \mathrm { { r e f } } } ( x ) = - \log \ p _ { \mathrm { { r e f } } } ( x )$ are the negative log-likelihoods of the proxy and reference models respectively in this paper, and $| x |$ is the number of tokens in an example $x$ . The objective aims to minimize the worst-case excess loss across domains because the inner maximization over $\alpha$ puts all the weight on the domain with the highest excess loss. + +Intuitively, the excess loss $( \ell _ { \theta } ( x ) - \ell _ { \mathrm { r e f } } ( x ) )$ measures the headroom for the proxy model to improve, with respect to the reference model, on example $x$ . Examples with higher excess loss are those where the reference model achieves low loss (such that the example is “learnable”) but the proxy model still has high loss. Examples with low excess loss may be very high entropy (i.e. optimal loss is high, and thus the reference loss is high) or very low entropy (i.e., easy to learn, and thus the proxy loss is low). The Group DRO optimizer works by interleaving exponentiated gradient ascent updates on domain weights $\alpha _ { t }$ with gradient updates on the proxy model weights $\theta _ { t }$ over training steps $t$ . The optimizer updates $\alpha _ { t }$ to upweight domains with high excess loss, which scales up the proxy model’s gradient update on examples from these domains. Following Nemirovski et al. [34], we return the average weights over the training trajectory $\begin{array} { r } { \bar { \alpha } = \frac { 1 } { T } \sum _ { i = 1 } ^ { T } \alpha _ { t } } \end{array}$ as the optimized domain weights to use in step 3. + +Step 3: Train large model with new domain weights. The tuned domain weights $\bar { \alpha }$ define a new training distribution $P _ { \bar { \alpha } }$ . We resample the data from this new distribution to train a main model (larger than the reference/proxy models), using a standard training procedure. + +Details for Step 2. Algorithm 1 provides the pseudocode for Step 2. The main structure of Algorithm 1 is a training loop which updates the proxy model over $T$ steps. At each step, we follow Sagawa et al. [43] and sample a minibatch with uniform domain weights (regardless of the reference domain weights $\alpha _ { \mathrm { r e f } }$ , which only affects the reference model). We then compute the per-domain excess losses, normalized by the total number of tokens in each domain, and use them to update the domain weights $\alpha _ { t }$ at each step. We first compute the per-domain excess loss at a per-token level and then aggregate, where the token-level losses at index $j$ are $\ell _ { \theta _ { t - 1 } , j } ( \boldsymbol { x } ) = - \mathrm { l o g } p _ { \theta _ { t - 1 } } \bar { ( x _ { j } | x _ { 1 } , \ldots , x _ { j - 1 } ) }$ and $\bar { \ell _ { \mathrm { r e f } , j } } ( \bar { x } ) = - \log p _ { \mathrm { r e f } } ( x _ { j } | x _ { 1 } , . . . , x _ { j - 1 } )$ . Since the Group DRO optimizer [43] requires a non-negative loss, we clip the per-token excess loss at 0. Finally, we update the proxy model for the objective $L ( \theta _ { t - 1 } , \alpha _ { t } )$ using a standard optimizer such as Adam [26] or Adafactor [46]. All experiments in this paper use Adafactor. We set the domain weight update step size to $\eta = 1$ and the smoothing parameter to $c { = } 1 \mathrm { e } { - } 3$ in all our experiments and did not extensively tune these hyperparameters. + +Algorithm 1 DoReMi domain reweighting (Step 2) + +
Require: Domain data D1,.,Dk,number of training steps T, batch size b,step size n, smoothing parameterc∈ [0,1] (e.g.,c=1e-3 in our implementation).
Initialize proxy weights 0o
Initialize domain weights αo = 11
for t from 1 to T doSample minibatch B={xi1,,xj} of size b from Pu, where u= 1
Let |x| be the token length of example x (|x|≤ L)
Compute per-domain excess losses for each domain i∈ {1,2,.,k} (le.,j(x) is j-th token-level
loss): 1 1|xmax{lθt-1,j(x)-lref,j(x),0}
入t[i]←Ω∈BnD ∑xEBnDi∑j=11 |xUpdate domain weights (exp is entrywise): αt ← αt-1exp(n入t)
Renormalize and smooth domain weights: αt ← (1-c)a +cu
end forUpdate proxy model weights 0t for the objective L(0t-1,αt) (using Adam, Adafactor, etc.)
+ +Iterated DoReMi. We extend DoReMi by running it for multiple rounds, setting the reference domain weights $\alpha _ { \mathrm { r e f } }$ for the next round to be $\bar { \alpha }$ from the previous round. We call this iterated DoReMi. The entire iterated process still only uses small models for tuning domain weights. We stop iterating when the domain weights converge, which we define as when maximum change in any domain weight $\left\| \bar { \alpha } - \alpha _ { \mathrm { r e f } } \right\| _ { \infty }$ is less than 1e-3. Empirically, this takes only 3 rounds on the GLaM dataset (Section 3.2). + +# 3 DoReMi Improves LM Training Efficiency and Performance + +In this section, we use DoReMi domain weights optimized with a 280M-parameter proxy model to train a 8B-parameter main model $3 0 \mathrm { x }$ larger). We consider two datasets, The Pile [17] and the GLaM dataset [13]. On The Pile, DoReMi reduces perplexity significantly on every domain, improves average downstream accuracy on generative one-shot tasks by $6 . 5 \%$ , and achieves the baseline accuracy $2 . 6 \mathbf { x }$ faster. On the GLaM dataset where domain weights tuned on downstream datasets are available, DoReMi finds domain weights with comparable performance to downstream-tuned domain weights. + +# 3.1 Experimental setup + +The Pile dataset. The Pile [17] is a 800GB text dataset with 22 domains (Table 1). The default domain weights were determined heuristically. We use the default domain weights from The Pile dataset to train the baseline and as the reference domain weights $\alpha _ { \mathrm { r e f } }$ in DoReMi (see Appendix C). + +GLaM dataset. The GLaM dataset [13] (also used in training PaLM [10]) includes text from 8 domains (Table 2). For comparison, the GLaM domain weights (downstream-tuned) were tuned according to the downstream performance of models trained on each domain and the size of each domain [13]. We consider this an oracle comparison, since these domain weights are tuned on downstream tasks that are in our evaluation set. We use uniform domain weights both for training the baseline and the reference domain weights $\alpha _ { \mathrm { r e f } }$ for DoReMi. + +Training setup. We train Transformer [51] decoder-only LMs with the standard next-token language modeling loss. We conduct a controlled comparison by equalizing the amount of compute, measured by the number of tokens processed during training. For The Pile, we train each model for $2 0 0 \mathrm { k }$ steps; for the GLaM dataset, we train each model for 300k steps. All models use a batch size of 512 and maximum token length of 1024. The proxy and reference models have 280M parameters. All models are trained from scratch (other hyperparameters are in Appendix C). + +Evaluation. We use held-out validation data to measure the perplexity on each domain. For downstream evaluation, we use the generative one-shot tasks from the GPT-3 paper [9]: TriviaQA [21], NaturalQuestions [27], WebQuestions [5], SQuADv2 [41], and LAMBADA [36]. We use the standard exact-match accuracy metric for the these datasets. The performance on these datasets (particularly TriviaQA) has been shown to correlate well with model scale even at the 100M–1B range [9]. + +Compute used for optimizing domain weights. We train two 280M models (the reference and proxy models) to optimize the domain weights. This is $8 \%$ of the FLOPs required to train the main 8B model. All FLOPs come from standard forward and backward passes. + +Notation for model sizes in DoReMi. We denote the size of the reference/proxy models (which are always the same size in our experiments) and the size of the main model trained with DoReMi domain weights as “DoReMi (size of reference/proxy size of main model)”: for example, DoReMi $( 2 8 0 \mathbf { M } \partial \mathbf { B }$ ). When we are discussing the optimized domain weights independently of the main model, we only include one number (e.g., DoReMi (280M)) which refers to the reference/proxy model size. + +![](images/c82c4572a83e6ad2e7483af0c2e22ab035cfb92531469998ba3d8ae1e4fb02b7.jpg) +Figure 3: Average one-shot downstream accuracy (exact match) on 5 tasks, with 8B parameter models trained on The Pile (left) and the GLaM dataset (right). On The Pile, DoReMi improves downstream accuracy by $6 . 5 \%$ points and achieves the baseline accuracy $2 . 6 \mathbf { x }$ faster (same plot as Figure 2). On the GLaM dataset, iterated DoReMi (round 2) attains comparable performance to oracle domain weights tuned with downstream tasks that are in our evaluation set. + +![](images/64db13502c3c7e8c7a388b92d08f0371f846dfcb89d586027d08d7177ce7e65e.jpg) +Figure 4: Per-domain log-perplexity of 8B models on The Pile. Despite downweighting some domains, DoReMi improves log-perplexity on all domains. + +Table 1: Domain weights on The Pile. Baseline domain weights are computed from the default Pile dataset. DoReMi (280M) uses a 280M proxy model to optimize the domain weights. + +
DomainBaselineDoReMi (280M)DifferenceDomainBaselineDoReMi(280M)Difference
Pile-CC0.11210.6057+0.4936DMMathematics0.01980.0018-0.0180
YoutubeSubtitles0.00420.0502+0.0460Wikipedia (en)0.09190.0699-0.0220
PhilPapers0.00270.0274+0.0247OpenWebText20.12470.1019-0.0228
HackerNews0.00750.0134+0.0059Github0.04270.0179-0.0248
Enron Emails0.00300.0070+0.0040FreeLaw0.03860.0043-0.0343
EuroParl0.00430.0062+0.0019USPTO Backgrounds0.04200.0036-0.0384
Ubuntu IRC0.00740.0093+0.0019Books30.06760.0224-0.0452
BookCorpus20.00440.0061+0.0017PubMed Abstracts0.08450.0113-0.0732
NIH ExPorter0.00520.0063+0.0011StackExchange0.09290.0153-0.0776
OpenSubtitles0.01240.0047-0.0077ArXiv0.10520.0036-0.1016
Gutenberg (PG-19)0.01990.0072-0.0127PubMed Central0.10710.0046-0.1025
+ +Table 2: Domain weights in the GLaM dataset. Iterated DoReMi (280M) converges within 3 rounds, with a similar overall pattern to domain weights tuned on downstream tasks. + +
Round 1Round 2Round 3Downstream-tuned
Wikipedia0.090.050.050.06
Filtered webpages0.440.510.510.42
Conversations0.100.220.220.27
Forums0.160.040.040.02
Books0.110.170.170.20
News0.100.020.020.02
+ +# 3.2 DoReMi improves perplexity and downstream accuracy + +We show that DoReMi significantly improves both the perplexity and downstream accuracy of 8B models trained on The Pile and the GLaM dataset over their respective baseline domain weights. + +Downstream accuracy improves on The Pile. Figure 3 (left) shows the average downstream performance for baseline and DoReMi $2 8 0 { \mathbf { M } } { } 8 { \mathbf { B } }$ ) models on The Pile. DoReMi improves the downstream accuracy by $6 . 5 \%$ points and achieves the baseline accuracy within $7 5 \mathrm { k }$ steps — $2 . 6 \mathbf { x }$ faster than the baseline (200k steps). Thus, DoReMi can dramatically speed up training and improve downstream performance. + +DoReMi can reduce perplexity across all domains without a tradeoff. Figure 4 shows the per-domain log-perplexity of the 8B models on The Pile. DoReMi significantly reduces the perplexity over the baseline across all domains, despite allocating lower weight to some domains. How can this occur? One hypothesis is that the domains with the lowest and highest entropy can be downweighted without impacting the perplexity much. The lowest entropy domains statistically require few samples to learn. The highest entropy domains have token distributions that are close to common uniform priors — for example, models at random initialization tend to output a uniform next token distribution. Thus, we need less samples to fit these domains. Positive transfer from allocating more samples to medium entropy domains can then improve perplexity on all domains. In Appendix D, we provide a simple example where reweighting domains can improve perplexity on all domains and DoReMi finds such domain weights in simulations. + +Iterated DoReMi achieves performance of downstream-tuned weights on the GLaM dataset. We employ iterated DoReMi on the GLaM dataset over 3 rounds. We find that the second and third round domain weights are almost identical (Table 2). Figure 3 (right) shows one-shot results for the first two rounds of iterated DoReMi. After the first round, the DoReMi main model has comparable downstream accuracy to the baseline (uniform domain weights). After the second round, the DoReMi main model achieves comparable downstream accuracy to oracle domain weights tuned on downstream tasks in our evaluation set. Overall, domain reweighting has a smaller effect on GLaM, possibly because there are only 8 domains compared to 22 in The Pile. + +Inspecting the DoReMi domain weights. Tables 1 and 2 present the DoReMi domain weights for The Pile and the GLaM dataset. When running DoReMi on a 280M proxy model (DoReMi (280M)), most weight is put on the diverse Pile-CC web text domain. Note that Wikipedia is downweighted in comparison to the baseline, but DoReMi still improves the downstream accuracy on tasks derived from Wikipedia (e.g., TriviaQA, Appendix Table 5). Domain weights for a 1B proxy model (Appendix 8) + +![](images/71c32d2e230a40f442298feb84ed512cca3fbcd62e3af1e07ee3e7160ffae8e3.jpg) +Figure 5: Average one-shot downstream accuracy across 4 model scales (280M, 510M, 760M, 1B) where the reference/proxy models for DoReMi are the same size as the main model trained with DoReMi domain weights. DoReMi consistently improves downstream accuracy across scales, with a similar $3 \%$ accuracy gap at $2 0 0 \mathrm { k }$ steps at most scales (except for 510M). DoReMi achieves the baseline accuracy 4x faster on average across scales. + +shows a different trend, where OpenWebText is the mostly upweighted instead of Pile-CC. This suggests that there may be multiple possible local minima in the domain weight space. On the GLaM dataset, the DoReMi weights have the same general pattern as the downstream-tuned domain weights. DoReMi is able to recover a similar set of domain weights by starting from uniform initial reference domain weights, without any use of downstream data. + +# 4 Ablations and Analysis Across Scales + +Previously in Section 3, we showed that DoReMi finds domain weights using 280M models that can improve training of 8B models. In this section, we conduct an analysis of DoReMi where we vary the scale of the proxy model in relation to the main model and ablate the components of the excess loss objective. + +DoReMi improves LMs consistently across scales. We consider using proxy and main models of the same size to analyze DoReMi’s behavior in a simple setting, without the need for the domain weights to generalize across scales. Note that this is just for scientific purposes since this does not save compute in practice. In particular, we run DoReMi $( \mathrm { X } { \to } \mathrm { X } )$ where X is 280M, 510M, 760M, or 1B on The Pile. Figure 5 shows that DoReMi consistently improves downstream accuracy over the baseline by $2 \%$ and achieves the baseline accuracy $4 \mathbf { x }$ faster on average across scales, and this improvement does not shrink with larger model size. DoReMi improves the worst-case perplexity on all scales and improves 18 of 22 individual domain perplexities on average across scales (Appendix Table 6). These experiments give a rough picture of how much is lost when using a smaller proxy model; our DoReMi $( 2 8 0 \mathbf { M } \partial \mathbf { B }$ ) model achieves the baseline accuracy $2 . 6 \mathbf { x }$ faster, while matching the proxy and main model sizes results in a $4 \mathbf { x }$ average speedup. + +Proxy model underperforms main model, especially at larger sizes. Recall that DoReMi uses Group DRO to train a proxy model, which reweights the objective with the domain weights. In contrast, the main model is trained by resampling on the domain weights from DoReMi. When the proxy model and the main model are the same size, which one is the better model? Table 3b shows that the proxy + +![](images/86f6c4e476ffc540c35cc5d3a31b178a9414dd7f93d7c729636e9c48772b7873.jpg) +Figure 6: Average downstream accuracy for models trained on The Pile. (Left) Increasing the size of the reference/proxy models from 70M to 280M in DoReMi improves downstream accuracy for a 8B main model, but the trend does not continue for the 1B proxy model. We hypothesize that the Group DRO optimizer is worse for larger proxy models. Right) Optimizing for the hardest or easiest domains rather than excess loss (which combines both) do not achieve the same average downstream accuracy as DoReMi (280M models). + +Table 3: Summary of per-domain log-perplexities on The Pile (22 total domains). Average log-perplexity is an unweighted average of the per-domain log-perplexities. + +(a) Varying the size of the proxy/reference model and training at 8B. + +
Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (8B)1.711.640/22
DoReMi(70M->8B)1.631.5322/22
DoReMi(150M->8B)1.561.5222/22
DoReMi(280M->8B)1.461.4022/22
DoReMi(1B->8B)1.581.5422/22
+ +(b) Perplexity of the DoReMi main model and proxy model of the same size. Although the 1B proxy model is relatively poor quality, the resulting domain weights still improve the main model. + +
Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (280M)2.392.320/22
DoReMi(280M->280M)2.192.1322/22
Proxy (280M)2.332.2719/22
Baseline (1B)1.941.870/22
DoReMi(1B->1B)1.921.8319/22
Proxy (1B)2.112.020/22
+ +model typically underperforms the main model in this case. The gap between the proxy and main model increases with scale, as the 1B proxy model not only underperforms the 1B main model but also the 1B baseline model, while the 280M proxy model achieves better perplexity than the 280M baseline model on 19/22 domains. Despite the relatively poor quality of the 1B proxy model, the domain weights still allow the 1B main model to achieve the baseline performance over $2 \mathbf { x }$ faster. This suggests that DoReMi can succeed even if the proxy model is not trained well. However, we hypothesize that the mismatch between the proxy and main model training (loss reweighting vs. resampling) explains their performance difference and therefore a resampling-based Group DRO optimizer may improve DoReMi for larger proxy models. + +Effect of proxy model scale on larger main model’s performance. We consider 70M, 150M, 280M, and 1B scales for the DoReMi proxy model while fixing the main model size at 8B (DoReMi $( \mathrm { X } \to 8 \mathrm { B } )$ ). From 70M to 280M, increasing the proxy model size improves downstream accuracy at 8B (Figure 6 left). We hypothesize that this trend does not continue for the 1B proxy model because the Group DRO optimizer is worse at larger scales (Table 3b). While DoReMi $2 8 0 { \mathbf { M } } { } 8 { \mathbf { B } }$ ) results in the most improvement at 8B, DoReMi ( $1 5 0 { \mathbf { M } } { } 8 { \mathbf { B } }$ ) and DoReMi ( $1 \mathrm { B } \to 8 \mathrm { B }$ ) still achieve the baseline accuracy almost $2 \mathbf { x }$ faster. This suggests that DoReMi is robust to the proxy model scale. In practice, we suggest choosing a relatively small proxy model size (280M) to save compute. + +Choosing the easiest or hardest domains do not suffice. We ablate the components of the excess loss metric $\ell _ { \theta } ( x ) - \ell _ { \mathrm { r e f } } ( x )$ by running DoReMi using only the loss of the proxy model $p _ { \theta }$ on example $x$ , i.e. $\ell _ { \theta } ( x )$ (prefer hardest domains for the proxy model) or only the negative loss of the reference $- \ell _ { \mathrm { r e f } } ( x )$ (prefer easiest domains for the reference model). Figure 6 (right) shows that neither of the components of the excess loss alone are sufficient to achieve the gains of DoReMi. + +# 5 Related Work + +Curating pretraining data for LMs. Most closely related is the GLaM dataset [13] (also used for training PaLM [10]), which has domain weights that are tuned using downstream data. Optimizing domain weights for downstream tasks can be expensive and could require search/zero-order optimization [48], RL [56], or heuristic assumptions on how positive/negative transfer between domains work. Example-level filtering also brings benefits for LM training. The C4 dataset [39] shows gains over CommonCrawl via heuristic data cleaning methods. Du et al. [13]; Xie et al. [55] show that filtering the data at an example level for high-quality text that look like Wikipedia and books can significantly improve downstream performance for LMs. In contrast to these works, DoReMi sets domain weights automatically with only two small LM training runs and does not make assumptions about the type of data to prefer (Wikipedia-like, etc.). + +General data selection methods. Moore-Lewis selection [32; 3; 15] selects examples with high cross-entropy difference (similar to excess log-perplexity) between language models trained on target and raw data. In contrast, DoReMi reweights the data without a target distribution. Coleman et al. [11] select examples based on the uncertainty of a small proxy model for active learning, while DoReMi uses DRO on the excess loss with respect to a reference model, and focuses on data mixture reweighting. Mindermann et al. [30] select examples in an online fashion by taking the top $k$ examples in a minibatch according to excess loss. DoReMi optimizes the data mixture before training, allowing the larger main model to train in a standard way. Many other works on data selection are in vision [49; 22; 24; 23; 25; 53; 54; 38; 31; 45] and mainly focus on example-level subset selection with metrics such as gradient matching. Overall, these methods do not address data selection for pretraining, where the downstream data distribution may be very different from the pretraining distribution. DoReMi aims to address the pretraining/downstream distribution shift with a robust optimization approach. To the best of our knowledge, we are the first to show that reweighting the data according to losses of a small proxy LM can improve the training efficiency of much larger LM. + +Distributionally robust optimization. Within DRO methods for deep learning [4; 47; 35; 43], we target a restricted form of shift called group shifts [14; 35; 43], where the test distribution can be an unknown mixture of groups (domains). We follow DRO-LM [35], which employs DRO for LMs in the group shift setting. DRO-LM also uses a baselined loss, but with a simple bigram reference model. DoReMi uses a reference model of the same size and architecture as the proxy model to ensure that the losses are on a similar scale. During optimization, DRO-LM takes a worst-case subset of each minibatch to update the model on, while we use the Group DRO optimizer [43] which doesn’t require online subselection. If we equalize the number of examples in each minibatch used for gradient updates, online subselelction is more expensive than Group DRO since it requires running forward passes on a larger minibatch (e.g., double the minibatch size) before selecting a subset to update the model with. In comparison, the Group DRO optimizer updates the model on all examples in a weighted fashion. Overall, in contrast to these DRO methods which aim to produce robust models, we use DRO to optimize the data for training larger models more efficiently. + +Data-centric AI. Large-scale datasets and benchmarks have driven much of the recent progress in AI, including vision, NLP, and multimodal models [12; 42; 52; 40; 39; 17; 44; 16]. However, most datasets are still painstakingly created with human-generated data, manual work, and heuristics [12; 39; 17; 44; 16]. DoReMi is a principled data-centric method that aims to improve language model training efficiency. We hope that DoReMi can provide a starting point for a general data-centric framework for language modeling via robust optimization. + +# 6 Discussion and Limitations + +Saving compute in DoReMi with extrapolation. In Section 2, we run DoReMi for the number of training steps that will be used to train the final model, which could be unnecessarily expensive. A future direction for saving compute would be to stop running DoReMi at an early step and extrapolate the domain weights for the desired number of steps, since we found that most of the variation in the domain weights during a DoReMi run seems to occur in the beginning of training (Appendix Figure 8). + +Choice of reference model. The choice of reference model can affect the domain weights found by DoReMi. For example, iterated DoReMi (Section 3) improves performance by using a reference model trained on the tuned domain weights from a previous round of DoReMi. Further directions include varying the reference model size and using specialized reference models to optimize domain weights for a specific application area. + +What is a domain? We define a domain by data provenance in our experiments, but this only enables coarse-grained control. Using fine-grained domains could improve the gains from DoReMi. For example, DoReMi is more effective on The Pile (22 domains) than the GLaM dataset (8 domains). Open directions include automatically finding fine-grained domains (e.g., via clustering as in DRO-LM [35]) and reweighting the data at an example level. When domains are very fine-grained, it will be important to control the pessimism of DRO (e.g., DRO can put all the weight on a small set of worst-case examples). + +Transferability of domain weights across scales. We optimized the domain weights with a small proxy model (280M) and directly used these domain weights to improve training at a larger scale (8B). Understanding why the domain weights can be transferred across scales and the limits of how far these domain weights transfer are important questions to answer in future work. + +Broader impacts. Large language models are We hope to improve training efficiency and reduce the environmental impact of training large LMs [50; 28; 37; 29]. In particular, by reducing the training time by $2 \mathbf { x }$ , we can halve the cost and energy consumption of training large language models. Since such efficiency improvements may be used to develop even larger models, there may be no absolute improvement in energy consumption. Ultimately, we hope to improve the training efficiency and cost of developing future language models relative to existing methods. + +Large LMs have also been well-documented to have risks and biases [1; 33; 7; 6; 18]. For example, GPT-3 tends to have an anti-Muslim bias, where Muslims are frequently related to violence or terrorism in analogy and completion tasks [1]. As large language models are increasingly relied upon in applications, the magnitude of the risks increases [8]. Distributionally robust optimization (DRO), which is used in DoReMi to optimize the data mixture, can have a favorable impact on fairness [19]. While the standard approach of minimizing the average loss can lead to disparate performance on minority subgroups that do not contribute heavily to the loss [2], DRO promotes good performance on all groups via a worst-case loss. In this way, DRO-style data-centric methods such as DoReMi can improve the representation disparity between majority and minority subgroups in a dataset. + +# 7 Conclusion + +We introduced DoReMi, an algorithm reweighting data domains for training language models. DoReMi is able to run on small models and transfer the benefits to $3 0 \mathrm { x }$ larger models, resulting in a $2 . 6 \mathrm { x }$ speedup in training on the Pile just by changing the sampling probabilities on domains. We hope to instigate more research on data-centric approaches for improving language model training efficiency. + +# Acknowledgments + +We thank Xiangning Chen, Andrew Dai, Zoubin Ghahramani, Balaji Lakshminarayanan, Paul Michel, Yonghui Wu, Steven Zheng, Chen Zhu, anonymous reviewers, and the broader Google Bard team members for insightful discussions and pointers. + +# References + +[1] Abubakar Abid, Maheen Farooqi, and James Zou. Persistent anti-muslim bias in large language models. arXiv preprint arXiv:2101.05783, 2021. +[2] Dario Amodei et al. Deep speech 2 end to end speech recognition in English and mandarin. In International Conference on Machine Learning (ICML), pages 173–182, 2016. +[3] Amittai Axelrod. Cynical selection of language model training data. CoRR, abs/1709.02279, 2017. URL http://arxiv.org/abs/1709.02279. + +[4] Aharon Ben-Tal, Dick den Hertog, Anja De Waegenaere, Bertrand Melenberg, and Gijs Rennen. 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Neural architecture search with reinforcement learning. arXiv preprint arXiv:1611.01578, 2016. + +![](images/cb779d969e36a0ca190388a347d8ff75c662c7ef023b2d6db099af85803eea4a.jpg) +Figure 7: Average one-shot downstream accuracy across 4 model scales, where the reference/proxy models for DoReMi are the same size as the final model trained with DoReMi domain weights. All models in this figure are trained on the GLaM dataset. DoReMi consistently improves downstream accuracy across scales. + +# A Results Across Scales on the GLaM dataset + +Figure 7 presents results across different scales (280M, 510M, 760M, 1B) on the GLaM dataset, where the proxy/reference models are the same size as the main model trained with DoReMi domain weights. Across all scales, DoReMi is comparable or better than both the baseline (uniform) domain weights and downstream-tuned domain weights. Interestingly, for iterated DoReMi at the 280M scale, the second round weights achieve slightly worse downstream accuracy than the round 1 weights when used to train 280M models, but transfer better to training 8B models. + +# B Detailed Results for The Pile + +Per-domain perplexities for 8B models. Table 4 shows per-domain perplexities for 8B models trained on the Pile. The reference/proxy models in this case are 70M, 150M, 280M, and 1B. DoReMi improves the perplexity on each domain compared to the baseline domain weights. + +Per-task accuracies for 8B models. Table 5 shows the accuracies on one-shot generative tasks for various reference/proxy model sizes from 70M to 1B. All DoReMi models improve downstream performance significantly over the baseline. + +Summary of perplexity results across scales. Table 6 shows a summary of per-domain perplexities for DoReMi across 4 scales (280M, 510M, 760M, 1B). Here, the reference/proxy models are the same size as the main model trained with DoReMi domain weights. On average, DoReMi improves perplexity on 18.25 out of 22 domains from The Pile. The worst-case perplexity is always reduced (or comparable in the 510M case) with respect to the baseline domain weights. + +Table 4: Per-domain log-perplexities for 8B models trained on The Pile where the reference/proxy models are or smaller sizes (70M, 150M, 280M, 1B). Models trained with DoReMi domain weights have lower perplexity on all domains than the baseline weights. + +
Baseline (8B)DoReMi(70M->8B)DoReMi(150M->8B)DoReMi(280M->8B)DoReMi(1B->8B)
Pile-CC1.641.511.481.411.55
PubMed Central1.601.581.541.461.56
Books31.651.521.501.421.57
OpenWebText21.661.481.541.361.58
ArXiv1.641.561.531.381.51
Github1.651.551.541.421.53
FreeLaw1.641.551.541.451.55
StackExchange1.611.521.541.391.55
USPTO Backgrounds1.701.531.501.411.56
PubMed Abstracts1.611.561.511.441.55
Gutenberg (PG-19)1.701.561.541.351.52
OpenSubtitles1.581.561.521.401.55
Wikipedia (en)1.661.491.531.351.56
DMMathematics1.631.501.561.381.48
Ubuntu IRC1.711.531.491.421.48
BookCorpus21.641.571.541.431.57
EuroParl1.591.521.511.371.53
HackerNews1.661.501.551.451.55
YoutubeSubtitles1.671.631.551.421.53
PhilPapers1.671.551.491.391.53
NIHExPorter1.631.511.481.361.52
Enron Emails1.621.481.521.441.56
+ +Table 5: Per-task exact-match accuracies for generative one-shot tasks. All DoReMi models improve downstream performance significantly over the baseline domain weights. + +
BaselineDoReMi(1B->8B)DoReMi(280M->8B)DoReMi(150M->8B)DoReMi(70M->8B)
LAMBADA20.1022.5529.1920.5926.20
NaturalQuestions4.356.017.736.265.10
SQuADv244.4342.2251.8946.5340.99
TriviaQA24.5532.2534.8630.0126.30
WebQuestions6.748.719.159.156.99
Average20.0322.3526.5622.5121.11
+ +Table 6: Summary of per-domain log-perplexities for 280M, 510M, 760M, and 1B models trained on The Pile, where the reference/proxy models are the same size. DoReMi improves the worst-case and average perplexity of the baseline domain weights in all cases. On average, DoReMi improves perplexity on 18 out of 22 domains. + +
Worst-case log-pplAvg log-ppl# domains beating baseline
Baseline (280M)2.392.32 0/22
DoReMi(280M->280M)2.192.13 22/22
Proxy (280M)2.33 2.2719/22
Baseline (510M)2.142.08 0/22
DoReMi(510M->510M)2.142.06 15/22
Proxy (510M)2.232.18 0/22
Baseline (760M)2.051.97 0/22
DoReMi(760M->760M)2.001.94 17/22
Proxy (760M)2.15 2.100/22
Baseline (1B)1.941.87 0/22
DoReMi(1B->1B)1.921.83 19/22
Proxy (1B)2.11 2.020/22
+ +Table 7: Summary of perplexity results for ablations on the DRO objective (excess loss). The individual components (which prefer hardest and easiest domains respectively) do not reduce perplexity over the baseline. + +
Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (280M)2.392.320
DoReMi(280M->280M)2.192.1322/22
Hardest (280M->280M)2.662.620/22
Easiest (280M->280M)4.274.180/22
+ +![](images/98d5164e14af1d1f0a75b5fa38c1d7b4681262296752da611d2cf71701f6ab6d.jpg) +Figure 8: Exponential moving average of domain weights throughout a DoReMi run for 280M and 1B reference/proxy models. In the beginning of the run, the domain weights change quickly and then become more stable after $5 0 \mathrm { k }$ steps. This suggests that 1) smaller compute budgets may require drastically different domain weights, and 2) we may be able to save compute by extrapolating the domain weights after 50k steps. + +Perplexity results for ablations. Table 7 shows the perplexities for ablations on the DRO objective. We change the DRO objective and use these to tune domain weights on 280M reference/proxy models. These tuned domain weights are then used to train a main 280M model. Hardest refers to optimizing the domain-level log-perplexity without baselining with a reference model. Easiest refers to optimizing for the domains with lowest log-perplexity under the reference model. Both ablations do not improve perplexity on any domain over the baseline. Optimizing for the “hardest” domain does not actually result in improving worst-case perplexity, supporting the results of Oren et al. [35], which also employs DRO for language modeling with a baselined loss. + +Trajectory of domain weights. Figure 8 shows the exponential moving average (smoothing parameter 0.99) of domain weights during a run of DoReMi. In both cases, there are domains with very high weight initially and decrease in weight very quickly (within 50k steps). Since we compute the final domain weights by integrating these curves over steps and normalizing, this suggests that if we have a smaller compute budget, these domains could become more important — this highlights the dependence of the mixture weights on the compute budget. At the same time, the domain weights tend to quickly stabilize after 50k steps, suggesting that the optimal domain weights should be similar for larger compute budgets. We may also be able to take advantage of this stability after $5 0 \mathrm { k }$ steps to run DoReMi for a smaller number of steps and extrapolate the domain weights to save compute. + +Comparison of domain weights for 280M and 1B. Table 8 presents the DoReMi domain weights for The Pile at 280M and 1B proxy models. Different proxy model sizes can result in different domain weights, which suggests that there may be multiple local minima in domain weight space. With a 280M proxy model, most of the weight is put on the Pile-CC web text domain, while DoReMi with a + +Table 8: Domain weights on The Pile. Baseline domain weights are computed from the default Pile dataset. With different proxy model sizes, DoReMi (280M) and DoReMi (1B) result in different domain weights. Despite the differences, the qualitative patterns are similar other than the which web domain has the most weight. + +
BaselineDoReMi(280M)DoReMi(1B)
Pile-CC0.11210.60570.1199
PubMed Central0.10710.00460.0149
Books30.06760.02240.0739
OpenWebText20.12470.10190.3289
ArXiv0.10520.00360.0384
Github0.04270.01790.0129
FreeLaw0.03860.00430.0148
StackExchange0.09290.01530.0452
USPTO Backgrounds0.04200.00360.0260
PubMed Abstracts0.08450.01130.1461
Gutenberg (PG-19)0.01990.00720.0250
OpenSubtitles0.01240.00470.0017
Wikipedia (en)0.09190.06990.0962
DMMathematics0.01980.00180.0004
Ubuntu IRC0.00740.00930.0044
BookCorpus20.00440.00610.0029
EuroParl0.00430.00620.0078
HackerNews0.00750.01340.0058
YoutubeSubtitles0.00420.05020.0159
PhilPapers0.00270.02740.0063
NIHExPorter0.00520.00630.0094
Enron Emails0.00300.00700.0033
+ +1B proxy model puts most of the weight on OpenWebText2. The overall pattern of the domain weights for the rest of the domains are similar. + +# C Training Details + +Data preprocessing. For all datasets, we preprocessed the data by chunking into length 1024 examples with respect to a SentencePiece tokenizer with $2 5 6 \mathrm { k }$ vocabulary size. The examples are separated by domain to facilitate hierarchical sampling (first sample a domain according to some domain weights, then sample an example from that domain at random). To reduce the amount of padding tokens, we made an effort to pack examples (possibly from different domains) together into the same sequence. When doing such a packing, we compute the domain perplexities on a per-token level in DoReMi. + +Baseline domain weights for The Pile. The baseline domain weights for The Pile were computed from The Pile dataset and the number of epochs for each domain given in Gao et al. [17]. After chunking into length 1024 examples, we counted the number of examples in each domain and multiplied by the number of epochs that domain specified in Gao et al. [17]. We then normalized these counts to obtain the baseline domain weights. + +Training setup. For all training runs (including DRO runs), we train with a batch size of 512, initial learning rate of 1e-3, weight decay of 1e-2, and gradient clipping to norm 1. We decay the learning rate exponentially until it reaches a minimum of 1e-4 at the end of training, with a linear warmup of $6 \%$ of the total training steps. We train for 200k steps on The Pile and 300k steps on the GLaM dataset. Models under 1B parameters were trained with TPUv3 accelerators, while 1B and 8B models were trained with TPUv4. + +Model architectures. Table 9 shows the architecture hyperparameters for the model sizes used in the paper. All the models we use are vanilla Transformer decoder-only models with a 256k vocab size. + +# D Simple Example Where Data Reweighting Has No Tradeoff + +Motivated by the findings in Section 3.2, we present a simple language modeling example where reweighting the training data from different domains improves perplexity on all domains. The example shows that DoReMi downweights domains that are extremely high or low entropy. + +Setup. Suppose the ground-truth distribution of text $p ^ { * }$ is a mixture over $k$ domains, where each domain $z \in \left\{ 1 , . . . , k \right\}$ is defined by a different unigram distribution $p ^ { * } ( x | z )$ over $m$ tokens. Given a budget of $n$ training samples, the goal is choose domain weights $p ( z )$ $k$ scalars that add to 1) to sample training data with such that we learn the parameters of the unigram distributions $p ^ { * } ( \cdot | z )$ well for all $z$ from 1 to $k$ . Notably, we do not aim to estimate the ground truth mixture proportions across domains. + +Table 9: Architecture hyperparameters for various model scales used in the paper. All models are vanilla Transformer decoder-only models and use vocabulary size 256k. + +
LayersAttention headsAttention head dimModel dimHidden dim
70M34642561024
150M68645122048
280M1212647683072
510M12166410248192
760M12206412808192
1B16326420488192
8B3232128409624576
+ +Data. Given some domain weights $p ( z )$ , we sample training data hierarchically: first we determine the number of samples $n _ { z }$ per domain $z$ by drawing from a multinomial distribution over $k$ possibilities with probabilities defined by $p ( z )$ and $n$ total trials. Then, for each domain $z$ , we sample $n _ { z }$ tokens from $p ^ { * } ( \cdot | z )$ , forming a vector of tokens $X _ { z }$ with length $n _ { z }$ . + +Model. For each domain $z$ , we consider a Bayesian model of the unigram distribution $p ( x | z ; \theta )$ with a Dirichlet prior $p ( \boldsymbol { \theta } | \boldsymbol { z } ; \beta )$ over the unigram distribution parameters $\theta \in \Delta ^ { m }$ . The Dirichlet prior has hyperparameters $\beta \in \mathbb { R } ^ { m }$ , which can be viewed as a “pseudo-count” for each token. For each domain $z$ , we estimate the parameters $\hat { \theta } _ { z }$ by computing the mean of the posterior distribution conditioned on the data: + +$$ +\hat { \theta } _ { z } ( x ) = \frac { 1 } { n _ { z } + s _ { z } } \left[ \lambda _ { z } ( x ) + \sum _ { i = 1 } ^ { n _ { z } } \mathbf { 1 } [ X _ { z } [ i ] = x ] \right] \mathrm { ~ f o r ~ a l l ~ } x \in \{ 1 , . . . , m \} +$$ + +where $s _ { z } = \sum _ { x } \lambda _ { z } ( x )$ is the sum of pseudocounts. + +For a domain $z$ , we can write the parameter error of this estimator as a function of the “difficulty” $H _ { z }$ of predicting the next token and the “quality” of the prior $\Delta _ { z }$ , defined below. + +Lemma D.1. For domain index $z$ with $n _ { z }$ samples, the parameter error is + +$$ +\sum _ { x } \mathbb { E } [ ( \hat { \theta } _ { z } ( x ) - p ^ { * } ( x \mid z ) ) ^ { 2 } ] = \frac { n _ { z } H _ { z } + s _ { z } ^ { 2 } \Delta _ { z } } { ( n _ { z } + s _ { z } ) ^ { 2 } } +$$ + +where + +$$ +\begin{array} { l } { \displaystyle { H _ { z } = \sum _ { x } p ^ { * } ( x \mid z ) ( 1 - p ^ { * } ( x \mid z ) ) } } \\ { \displaystyle { \Delta _ { z } = \sum _ { x } \biggl ( p ^ { * } ( x \mid z ) - \frac { \lambda _ { z } ( x ) } { s _ { z } } \biggr ) ^ { 2 } . } } \end{array} +$$ + +Proof. The parameter error is + +$$ +\sum _ { x } \mathbb { E } [ ( \hat { \theta } _ { z } ( x ) - p ^ { * } ( x | z ) ) ^ { 2 } ] = \sum _ { x } \mathbb { E } [ \hat { \theta } _ { z } ( x ) ^ { 2 } ] - 2 \mathbb { E } [ \hat { \theta } _ { z } ( x ) ] p ^ { * } ( x | z ) + p ^ { * } ( x | z ) ^ { 2 } . +$$ + +Evaluating the terms separately, + +$$ +\begin{array} { l } { \displaystyle \mathbb { E } [ \hat { \theta } _ { z } ( x ) ] = \frac { 1 } { n _ { z } + s _ { z } } \Bigg [ \lambda _ { z } ( x ) + \sum _ { i = 1 } ^ { n _ { z } } \mathbf { 1 } [ X _ { z } [ i ] = x ] \Bigg ] } \\ { \displaystyle \quad = \frac { 1 } { n _ { z } + s _ { z } } ( \lambda _ { z } ( x ) + n _ { z } p ^ { * } ( x | z ) ) } \\ { \displaystyle \mathbb { E } [ \hat { \theta } _ { z } ( x ) ^ { 2 } ] = \frac { 1 } { ( n _ { z } + s _ { z } ) ^ { 2 } } \mathbb { E } [ ( \lambda _ { z } ( x ) + \sum _ { i = 1 } ^ { n _ { z } } \mathbf { 1 } [ X _ { z } [ i ] = x ] ) ^ { 2 } ] } \\ { \displaystyle \quad = \frac { 1 } { ( n _ { z } + s _ { z } ) ^ { 2 } } [ \lambda _ { z } ( x ) ^ { 2 } + 2 \lambda _ { z } ( x ) n _ { z } p ^ { * } ( x | z ) + n _ { z } p ^ { * } ( x | z ) + ( n _ { z } ^ { 2 } - n _ { z } ) p ^ { * } ( x | z ) ^ { 2 } ] } \end{array} +$$ + +Putting it all together, the parameter error can be written as + +$$ +\begin{array} { c l } { { \displaystyle \sum _ { x } \mathbb { E } [ ( \hat { \theta } _ { z } ( x ) - p ^ { * } ( x \mid z ) ) ^ { 2 } ] = \sum _ { x } \frac { ( s _ { z } ^ { 2 } - n _ { z } ) p ^ { * } ( x \mid z ) ^ { 2 } + \lambda _ { z } ( x ) ^ { 2 } + ( n _ { z } - 2 s _ { z } \lambda _ { z } ( x ) ) p ^ { * } ( x \mid z ) } { ( n _ { z } + s _ { z } ) ^ { 2 } } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \end{array} = \sum _ { x } \frac { n _ { z } p ^ { * } ( x \mid z ) ( 1 - p ^ { * } ( x \mid z ) ) + s _ { z } ^ { 2 } \Big ( p ^ { * } ( x \mid z ) - \frac { \lambda _ { z } ( x ) } { s _ { z } } \Big ) ^ { 2 } } { ( n _ { z } + s _ { z } ) ^ { 2 } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { { { } } } \\ { } \\ { { { { } } } } \\ { } \\ +$$ + +No-tradeoff example. Suppose there are 3 domains $z \in \{ 1 , 2 , 3 \}$ and $m = 3$ vocabulary tokens $x \in \{ 1 , 2 , 3 \}$ . We use a symmetric Dirichlet prior (preferring a uniform token distribution) where $\lambda _ { z } ( x ) = 1 / 3$ for all tokens $x$ and domains $z$ . Here, $\begin{array} { r } { \bar { s _ { z } } = \sum _ { x } \bar { \lambda _ { z } } ( x ) = 1 } \end{array}$ . In this setting, we show that there is a set of domain weights that has strictly lower parameter error than the baseline where we sample the same number of tokens from each domain: $n _ { z }$ are equal for all domains $z$ . + +Suppose the ground truth paramaters for the unigram distributions are + +$$ +\begin{array} { r } { \left[ \begin{array} { c c c } { 1 } & { 0 } & { 0 } \\ { 0 . 7 } & { 0 . 2 } & { 0 . 1 } \\ { 1 / 3 } & { 1 / 3 } & { 1 / 3 } \end{array} \right] , } \end{array} +$$ + +where row $z$ contains the parameters for domain $z$ . For example, token 1 has probability 1 under domain 1’s unigram distribution. + +For domain $z = 1$ (non-noisy domain), we have $H _ { 1 } = 0$ so the parameter error (according to Lemma D.1) is + +$$ +\frac { s _ { 1 } ^ { 2 } \Delta _ { 1 } } { ( n _ { 1 } + s _ { 1 } ) ^ { 2 } } +$$ + +which is strictly decreasing in the number of samples $n _ { 1 }$ + +For domain $z = 3$ (noisy domain), we have $\Delta _ { 3 } = 0$ so the parameter error is + +$$ +\frac { n _ { 3 } H _ { 3 } } { ( n _ { 3 } + s _ { 3 } ) ^ { 2 } } , +$$ + +by Lemma D.1. This error is minimized to zero at $n _ { 3 } = 0$ (no samples). This means that we can allocate samples elsewhere while still reducing error. + +For $z = 2$ (intermediate entropy domain), we have $\Delta _ { 2 } = 0 . 2 0 7$ and $H _ { 2 } = 0 . 4 6$ . The derivative of the parameter error with respect to the number of samples $n _ { 2 }$ is + +$$ +\frac { \partial } { \partial n _ { 2 } } \frac { n _ { 2 } H _ { 2 } + s _ { 2 } ^ { 2 } \Delta _ { 2 } } { ( n _ { 2 } + s _ { 2 } ) ^ { 2 } } = \frac { H _ { 2 } ( s _ { 2 } - n _ { 2 } ) - 2 s _ { 2 } ^ { 2 } \Delta _ { 2 } } { ( n _ { 2 } + s _ { 2 } ) ^ { 3 } } +$$ + +which is negative when + +$$ +n _ { 2 } > s _ { 2 } - \frac { 2 s _ { 2 } ^ { 2 } \Delta _ { 2 } } { H _ { 2 } } . +$$ + +This inequality holds in this case since $\begin{array} { r } { \frac { 2 \Delta _ { 2 } } { H _ { 2 } } < 1 } \end{array}$ and $s _ { 2 } = 1$ . Therefore the parameter error is decreasing in the number of samples $n _ { 2 }$ . + +Thus, any domain weights that reallocate the examples from domain 3 to domains 1 and 2 reduces the parameter error for all domains. + +What kind of domains are downweighted? Intuitively, we can downweight the very noisy (high entropy/difficulty) domain 3 because the initialization perfectly matches the ground truth. This allows us to reallocate samples to the other domains 1 and 2. Between these, domain 1 requires less additional samples since the parameter error decreases very quickly with the number of samples $n _ { 1 }$ (the difficulty $H _ { 1 }$ is zero). Thus, the easiest domains should also receive relatively less weight. In practice, positive transfer between domains (which is not captured here) can also contribute to scenarios where reweighting results in no tradeoff across domains. + +Simulation with DoReMi. We consider running DoReMi on the above no-tradeoff instance of the simple example with the ground truth unigram distributions in Equation 14. Note that DoReMi’s domain reweighting step (Step 2, Algorithm 1) involves a loop over $T$ iterative model updates, while the estimator from Equation 2 is computed in closed form. To adapt the estimator for DoReMi, we consider an iterative version where the average is computed in an online fashion. We run DoReMi for $T = 5 0 0$ steps using minibatch size 1 over the $n { = } 5 0 0$ training examples with domain weight update rate $\eta { = } 0 . 5$ . For the model update at step $t$ on an example $x$ from domain $z$ , we increase the pseudo-count $\widehat { \theta } _ { z } ( x )$ by the current domain weight $\alpha _ { t }$ corresponding to domain $z$ . Instead of using the examples in the minibatch (which is only size 1 and doesn’t represent all domains), we compute the per-domain excess log-perplexities in Algorithm 1 using a fixed, independent evaluation set of 30 examples. + +We compare DoReMi against a model trained with baseline domain weights, which are uniform over the 3 domains. All models are trained on $n { = } 5 0 0$ training examples. We evaluate the log-perplexity of a model on each domain in closed form using the ground truth unigram distribution parameters. + +On this simple example, DoReMi returns domain weights [0.39,0.61,0.0] after rounding to 2 decimal places. These weights correspond to our intuitions — the first domain (non-noisy) is increased by a small amount, the third domain (noisy) is decreased to 0 weight, and most of the weight is allocated to the second domain. We use these domain weights to generate a new dataset of 500 examples. The model trained with this new dataset improves over the baseline model in perplexity on all domains. \ No newline at end of file diff --git a/parse/dev/lXuByUeHhd/lXuByUeHhd_content_list.json b/parse/dev/lXuByUeHhd/lXuByUeHhd_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..b491443e82e5fd2db5a04f16255d3bbc6000879b --- /dev/null +++ b/parse/dev/lXuByUeHhd/lXuByUeHhd_content_list.json @@ -0,0 +1,1956 @@ +[ + { + "type": "text", + "text": "DoReMi: Optimizing Data Mixtures Speeds Up Language Model Pretraining ", + "text_level": 1, + "bbox": [ + 258, + 122, + 736, + 174 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Sang Michael Xie1,2, Hieu Pham1, Xuanyi $\\mathbf { D o n g } ^ { 1 }$ , $\\mathbf { N a n D u } ^ { 1 }$ , Hanxiao Liu1, Yifeng ${ { \\bf { L } } { \\bf { u } } ^ { 1 } }$ , Percy Liang2, Quoc V. Le1, Tengyu $\\mathbf { M } \\mathbf { a } ^ { 2 }$ , and Adams Wei ${ { \\bf { Y } } { \\bf { u } } ^ { 1 } }$ ", + "bbox": [ + 205, + 222, + 794, + 252 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1Google DeepMind \n2Stanford University ", + "bbox": [ + 431, + 263, + 565, + 292 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 333, + 535, + 349 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The mixture proportions of pretraining data domains (e.g., Wikipedia, books, web text) greatly affect language model (LM) performance. In this paper, we propose Domain Reweighting with Minimax Optimization (DoReMi), which first trains a small proxy model using group distributionally robust optimization (Group DRO) over domains to produce domain weights (mixture proportions) without knowledge of downstream tasks. We then resample a dataset with these domain weights and train a larger, full-sized model. In our experiments, we use DoReMi on a 280Mparameter proxy model to set the domain weights for training an 8B-parameter model $3 0 \\mathrm { x }$ larger) more efficiently. On The Pile, DoReMi improves perplexity across all domains, even when it downweights a domain. DoReMi improves average few-shot downstream accuracy by $6 . 5 \\%$ points over a baseline model trained using The Pile’s default domain weights and reaches the baseline accuracy with $2 . 6 \\mathbf { x }$ fewer training steps. On the GLaM dataset, DoReMi, which has no knowledge of downstream tasks, even matches the performance of using domain weights tuned on downstream tasks. ", + "bbox": [ + 233, + 366, + 766, + 559 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 585, + 310, + 603 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Datasets for training language models (LMs) are typically sampled from a mixture of many domains [17; 13; 10; 9]. For example, The Pile [17], a large publicly available dataset, is composed of $24 \\%$ web data, $9 \\%$ Wikipedia, $4 \\%$ GitHub, etc.1 The composition of the pretraining data greatly affects the effectiveness of an LM [13; 20; 55]. However, it is unclear how much of each domain to include to produce a model that performs well for a wide variety of downstream tasks. ", + "bbox": [ + 174, + 617, + 823, + 686 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Existing works determine domain weights (the sampling probabilities for each domain) by using intuition or a set of downstream tasks. For example, The Pile uses heuristically-chosen domain weights, which could be suboptimal. On the other hand, existing LMs such as PaLM [10] and GLaM [13] tune the domain weights based on a set of downstream tasks, but requires training potentially thousands of LMs on different domain weights and risks overfitting to the particular set of downstream tasks. ", + "bbox": [ + 174, + 694, + 825, + 763 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Instead of optimizing domain weights based on a set of downstream tasks, our approach aims to find domain weights which lead to models that perform well on all domains by minimizing the worst-case excess loss over domains, following Oren et al. [35]; Mindermann et al. [30]. The excess loss is the loss gap between the model being evaluated and a pretrained reference model. ", + "bbox": [ + 174, + 770, + 825, + 825 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "This motivates our algorithm, Domain Reweighting with Minimax Optimization (DoReMi), which leverages distributionally robust optimization (DRO) to tune the domain weights without knowledge of downstream tasks (Figure 1). First, DoReMi trains a small reference model (e.g., 280M parameters) ", + "bbox": [ + 176, + 832, + 823, + 873 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/802b06a872d2a882e61776f24d03e21bab96468a7fc08146717bda0d654e5947.jpg", + "image_caption": [ + "Figure 1: Given a dataset with a set of domains, Domain Reweighting with Minimax Optimization (DoReMi) optimizes the domain weights to improve language models trained on the dataset. First, DoReMi uses some initial reference domain weights to train a reference model (Step 1). The reference model is used to guide the training of a small proxy model using group distributionally robust optimization (Group DRO) over domains [35; 43; 34], which we adapt to output domain weights instead of a robust model (Step 2). We then use the tuned domain weights to train a large model (Step 3). " + ], + "image_footnote": [], + "bbox": [ + 174, + 88, + 825, + 226 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/96d2221b4834c165481b9139b62b76392dff7626a21e975bb26a83c2ac2f0071.jpg", + "image_caption": [ + "Figure 2: DoReMi optimizes domain weights with a small model (280M params) and uses these domain weights to train a much larger model (8B params, $3 0 \\mathrm { x }$ larger). Here, optimizing the domain weights (training a small model twice) takes $8 \\%$ of the compute of training the large model. DoReMi improves average one-shot downstream accuracy by $6 . 5 \\%$ points and reaches the baseline accuracy $2 . 6 \\mathbf { x }$ faster when pretraining on The Pile. " + ], + "image_footnote": [], + "bbox": [ + 289, + 343, + 777, + 545 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "in a standard way. Second, DoReMi trains a small distributionally robust language model (DRO-LM) [35], which minimizes the worst-case excess loss (relative to the reference’s model’s loss) across all domains. Notably, rather than using the robust LM, we take the domain weights produced by DRO training. Finally, we train a large (8B) LM on a new dataset defined by these domain weights. ", + "bbox": [ + 174, + 662, + 825, + 718 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our approach adapts the DRO-LM framework [35] to optimize domain weights instead of producing a robust model. To do this, DoReMi uses the online learning-based optimizer from Group DRO [43; 34], which dynamically updates domain weights according to the loss on each domain for rescaling the training objective, instead of sub-selecting examples from a minibatch as in Oren et al. [35]; Mindermann et al. [30]. Finally, DoReMi takes the averaged domain weights over DRO training steps. ", + "bbox": [ + 174, + 724, + 825, + 794 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In Section 3, we run DoReMi on 280M proxy and reference models to optimize domain weights on The Pile [17] and the GLaM dataset [13] (used in PaLM [10]). The DoReMi domain weights are used to train an 8B parameter LM (over $3 0 \\mathrm { x }$ larger). On The Pile, DoReMi reduces perplexity on all domains over baseline domain weights, even when it downweights a domain. DoReMi improves average downstream accuracy over a baseline model trained on The Pile’s default domain weights by $6 . 5 \\%$ points on generative few-shot tasks and achieves the baseline downstream accuracy $2 . 6 \\mathbf { x }$ faster (Figure 2). In Section 4, we find that DoReMi consistently improves LM training when varying the sizes of the proxy model and the main model trained with optimized domain weights. On the ", + "bbox": [ + 173, + 800, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "GLaM dataset where domain weights tuned on downstream tasks are available, DoReMi even performs comparably to tuning domain weights on downstream task performance.2 ", + "bbox": [ + 171, + 90, + 823, + 119 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2 Domain Reweighting with Minimax Optimization (DoReMi) ", + "text_level": 1, + "bbox": [ + 173, + 138, + 702, + 156 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section we define DoReMi, an algorithm for using a small proxy model to optimize the domain weights of a language modeling dataset, which then improves the training of a large model. ", + "bbox": [ + 174, + 170, + 821, + 198 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Setup. Suppose that we have $k$ domains (e.g., Wikipedia, GitHub), where for each domain $i$ , we have a set of examples $D _ { i }$ . Domain weights $\\alpha \\in \\bar { \\Delta } ^ { k }$ specify a probability distribution over the $k$ domains, and consequently a distribution over the training data: $\\begin{array} { r } { P _ { \\alpha } = \\sum _ { i = 1 } ^ { k } \\alpha _ { i } \\cdot \\mathbf { u n i f } ( D _ { i } ) } \\end{array}$ where $\\mathrm { u n i f } ( D ) =$ $\\textstyle { \\frac { 1 } { | D | } } \\sum _ { x \\in D } \\delta _ { x }$ is the uniform distribution over the examples in $D$ and $\\delta _ { x } ( x ^ { \\prime } )$ is 1 if $x ^ { \\prime } = x$ and 0 otherwise. ", + "bbox": [ + 173, + 212, + 826, + 276 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "DoReMi. The inputs of DoReMi are the data $D _ { 1 } , \\ldots , D _ { k }$ , reference domain weights $\\alpha _ { \\mathrm { r e f } }$ (e.g., uniform or based on raw token count of each domain), and training hyperparameters for the large, full-size model (number of training steps $T$ and batch size $b$ ). DoReMi returns optimized domain weights $\\bar { \\alpha }$ and ultimately, a large model trained on $P _ { \\bar { \\alpha } }$ . ", + "bbox": [ + 174, + 290, + 825, + 347 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Step 1: Obtain a small reference model. We first train a model $p _ { \\mathrm { r e f } }$ on some reference domain weights $\\alpha _ { \\mathrm { r e f } }$ (e.g., based on raw token count as a default) for $T$ steps, batch size $b$ . This model serves as the reference model for step 2 and captures a baseline level of difficulty of each example/domain. The reference model can be a relatively small model (280M parameters in our experiments). ", + "bbox": [ + 174, + 361, + 825, + 416 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Step 2: Train proxy model with Group DRO to obtain domain weights. To obtain domain weights, we train a small proxy model $p _ { \\theta }$ in the distributionally robust language modeling (DROLM) [35] framework with the Group DRO optimizer [43], where $\\theta$ are the weights of the proxy model. This framework trains a robust model by optimizing the worst-case loss over domains, which is equivalent to the following minimax objective: ", + "bbox": [ + 173, + 430, + 825, + 501 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/26a99ce724346337e17d068538dace428b3f31d055480a2ab91c2e2637a8867b.jpg", + "text": "$$\n\\operatorname* { m i n } _ { \\theta } \\operatorname* { m a x } _ { \\alpha \\in \\Delta ^ { k } } L ( \\theta , \\alpha ) : = \\sum _ { i = 1 } ^ { k } \\alpha _ { i } \\cdot \\left[ \\frac { 1 } { \\sum _ { \\boldsymbol { x } \\in D _ { i } } \\left| \\boldsymbol { x } \\right| } \\sum _ { \\boldsymbol { x } \\in D _ { i } } \\ell _ { \\theta } ( \\boldsymbol { x } ) - \\ell _ { \\mathrm { r e f } } ( \\boldsymbol { x } ) \\right]\n$$", + "text_format": "latex", + "bbox": [ + 300, + 507, + 696, + 551 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where the losses $\\ell _ { \\theta } ( x ) = - \\log \\ p _ { \\theta } ( x )$ and $\\ell _ { \\mathrm { { r e f } } } ( x ) = - \\log \\ p _ { \\mathrm { { r e f } } } ( x )$ are the negative log-likelihoods of the proxy and reference models respectively in this paper, and $| x |$ is the number of tokens in an example $x$ . The objective aims to minimize the worst-case excess loss across domains because the inner maximization over $\\alpha$ puts all the weight on the domain with the highest excess loss. ", + "bbox": [ + 174, + 558, + 825, + 614 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Intuitively, the excess loss $( \\ell _ { \\theta } ( x ) - \\ell _ { \\mathrm { r e f } } ( x ) )$ measures the headroom for the proxy model to improve, with respect to the reference model, on example $x$ . Examples with higher excess loss are those where the reference model achieves low loss (such that the example is “learnable”) but the proxy model still has high loss. Examples with low excess loss may be very high entropy (i.e. optimal loss is high, and thus the reference loss is high) or very low entropy (i.e., easy to learn, and thus the proxy loss is low). The Group DRO optimizer works by interleaving exponentiated gradient ascent updates on domain weights $\\alpha _ { t }$ with gradient updates on the proxy model weights $\\theta _ { t }$ over training steps $t$ . The optimizer updates $\\alpha _ { t }$ to upweight domains with high excess loss, which scales up the proxy model’s gradient update on examples from these domains. Following Nemirovski et al. [34], we return the average weights over the training trajectory $\\begin{array} { r } { \\bar { \\alpha } = \\frac { 1 } { T } \\sum _ { i = 1 } ^ { T } \\alpha _ { t } } \\end{array}$ as the optimized domain weights to use in step 3. ", + "bbox": [ + 173, + 619, + 825, + 763 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Step 3: Train large model with new domain weights. The tuned domain weights $\\bar { \\alpha }$ define a new training distribution $P _ { \\bar { \\alpha } }$ . We resample the data from this new distribution to train a main model (larger than the reference/proxy models), using a standard training procedure. ", + "bbox": [ + 173, + 776, + 825, + 819 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Details for Step 2. Algorithm 1 provides the pseudocode for Step 2. The main structure of Algorithm 1 is a training loop which updates the proxy model over $T$ steps. At each step, we follow Sagawa et al. [43] and sample a minibatch with uniform domain weights (regardless of the reference domain weights $\\alpha _ { \\mathrm { r e f } }$ , which only affects the reference model). We then compute the per-domain excess losses, normalized by the total number of tokens in each domain, and use them to update the domain weights $\\alpha _ { t }$ at each step. We first compute the per-domain excess loss at a per-token level and then aggregate, where the token-level losses at index $j$ are $\\ell _ { \\theta _ { t - 1 } , j } ( \\boldsymbol { x } ) = - \\mathrm { l o g } p _ { \\theta _ { t - 1 } } \\bar { ( x _ { j } | x _ { 1 } , \\ldots , x _ { j - 1 } ) }$ and $\\bar { \\ell _ { \\mathrm { r e f } , j } } ( \\bar { x } ) = - \\log p _ { \\mathrm { r e f } } ( x _ { j } | x _ { 1 } , . . . , x _ { j - 1 } )$ . Since the Group DRO optimizer [43] requires a non-negative loss, we clip the per-token excess loss at 0. Finally, we update the proxy model for the objective $L ( \\theta _ { t - 1 } , \\alpha _ { t } )$ using a standard optimizer such as Adam [26] or Adafactor [46]. All experiments in this paper use Adafactor. We set the domain weight update step size to $\\eta = 1$ and the smoothing parameter to $c { = } 1 \\mathrm { e } { - } 3$ in all our experiments and did not extensively tune these hyperparameters. ", + "bbox": [ + 174, + 833, + 825, + 876 + ], + "page_idx": 2 + }, + { + "type": "table", + "img_path": "images/7655669a086565133177bf533969ede41b6f156f44faea32aa140fb6cdb1364b.jpg", + "table_caption": [ + "Algorithm 1 DoReMi domain reweighting (Step 2) " + ], + "table_footnote": [], + "table_body": "
Require: Domain data D1,.,Dk,number of training steps T, batch size b,step size n, smoothing parameterc∈ [0,1] (e.g.,c=1e-3 in our implementation).
Initialize proxy weights 0o
Initialize domain weights αo = 11
for t from 1 to T doSample minibatch B={xi1,,xj} of size b from Pu, where u= 1
Let |x| be the token length of example x (|x|≤ L)
Compute per-domain excess losses for each domain i∈ {1,2,.,k} (le.,j(x) is j-th token-level
loss): 1 1|xmax{lθt-1,j(x)-lref,j(x),0}
入t[i]←Ω∈BnD ∑xEBnDi∑j=11 |xUpdate domain weights (exp is entrywise): αt ← αt-1exp(n入t)
Renormalize and smooth domain weights: αt ← (1-c)a +cu
end forUpdate proxy model weights 0t for the objective L(0t-1,αt) (using Adam, Adafactor, etc.)
", + "bbox": [ + 171, + 104, + 828, + 343 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 371, + 825, + 497 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Iterated DoReMi. We extend DoReMi by running it for multiple rounds, setting the reference domain weights $\\alpha _ { \\mathrm { r e f } }$ for the next round to be $\\bar { \\alpha }$ from the previous round. We call this iterated DoReMi. The entire iterated process still only uses small models for tuning domain weights. We stop iterating when the domain weights converge, which we define as when maximum change in any domain weight $\\left\\| \\bar { \\alpha } - \\alpha _ { \\mathrm { r e f } } \\right\\| _ { \\infty }$ is less than 1e-3. Empirically, this takes only 3 rounds on the GLaM dataset (Section 3.2). ", + "bbox": [ + 174, + 513, + 825, + 584 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 DoReMi Improves LM Training Efficiency and Performance ", + "text_level": 1, + "bbox": [ + 174, + 604, + 702, + 623 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In this section, we use DoReMi domain weights optimized with a 280M-parameter proxy model to train a 8B-parameter main model $3 0 \\mathrm { x }$ larger). We consider two datasets, The Pile [17] and the GLaM dataset [13]. On The Pile, DoReMi reduces perplexity significantly on every domain, improves average downstream accuracy on generative one-shot tasks by $6 . 5 \\%$ , and achieves the baseline accuracy $2 . 6 \\mathbf { x }$ faster. On the GLaM dataset where domain weights tuned on downstream datasets are available, DoReMi finds domain weights with comparable performance to downstream-tuned domain weights. ", + "bbox": [ + 174, + 638, + 825, + 722 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 Experimental setup ", + "text_level": 1, + "bbox": [ + 174, + 741, + 348, + 757 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The Pile dataset. The Pile [17] is a 800GB text dataset with 22 domains (Table 1). The default domain weights were determined heuristically. We use the default domain weights from The Pile dataset to train the baseline and as the reference domain weights $\\alpha _ { \\mathrm { r e f } }$ in DoReMi (see Appendix C). ", + "bbox": [ + 174, + 767, + 825, + 810 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "GLaM dataset. The GLaM dataset [13] (also used in training PaLM [10]) includes text from 8 domains (Table 2). For comparison, the GLaM domain weights (downstream-tuned) were tuned according to the downstream performance of models trained on each domain and the size of each domain [13]. We consider this an oracle comparison, since these domain weights are tuned on downstream tasks that are in our evaluation set. We use uniform domain weights both for training the baseline and the reference domain weights $\\alpha _ { \\mathrm { r e f } }$ for DoReMi. ", + "bbox": [ + 174, + 827, + 823, + 911 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Training setup. We train Transformer [51] decoder-only LMs with the standard next-token language modeling loss. We conduct a controlled comparison by equalizing the amount of compute, measured by the number of tokens processed during training. For The Pile, we train each model for $2 0 0 \\mathrm { k }$ steps; for the GLaM dataset, we train each model for 300k steps. All models use a batch size of 512 and maximum token length of 1024. The proxy and reference models have 280M parameters. All models are trained from scratch (other hyperparameters are in Appendix C). ", + "bbox": [ + 173, + 90, + 825, + 174 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Evaluation. We use held-out validation data to measure the perplexity on each domain. For downstream evaluation, we use the generative one-shot tasks from the GPT-3 paper [9]: TriviaQA [21], NaturalQuestions [27], WebQuestions [5], SQuADv2 [41], and LAMBADA [36]. We use the standard exact-match accuracy metric for the these datasets. The performance on these datasets (particularly TriviaQA) has been shown to correlate well with model scale even at the 100M–1B range [9]. ", + "bbox": [ + 173, + 191, + 825, + 261 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Compute used for optimizing domain weights. We train two 280M models (the reference and proxy models) to optimize the domain weights. This is $8 \\%$ of the FLOPs required to train the main 8B model. All FLOPs come from standard forward and backward passes. ", + "bbox": [ + 176, + 277, + 821, + 319 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Notation for model sizes in DoReMi. We denote the size of the reference/proxy models (which are always the same size in our experiments) and the size of the main model trained with DoReMi domain weights as “DoReMi (size of reference/proxy size of main model)”: for example, DoReMi $( 2 8 0 \\mathbf { M } \\partial \\mathbf { B }$ ). When we are discussing the optimized domain weights independently of the main model, we only include one number (e.g., DoReMi (280M)) which refers to the reference/proxy model size. ", + "bbox": [ + 173, + 335, + 825, + 406 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/c82c4572a83e6ad2e7483af0c2e22ab035cfb92531469998ba3d8ae1e4fb02b7.jpg", + "image_caption": [ + "Figure 3: Average one-shot downstream accuracy (exact match) on 5 tasks, with 8B parameter models trained on The Pile (left) and the GLaM dataset (right). On The Pile, DoReMi improves downstream accuracy by $6 . 5 \\%$ points and achieves the baseline accuracy $2 . 6 \\mathbf { x }$ faster (same plot as Figure 2). On the GLaM dataset, iterated DoReMi (round 2) attains comparable performance to oracle domain weights tuned with downstream tasks that are in our evaluation set. " + ], + "image_footnote": [], + "bbox": [ + 174, + 431, + 821, + 614 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/64db13502c3c7e8c7a388b92d08f0371f846dfcb89d586027d08d7177ce7e65e.jpg", + "image_caption": [ + "Figure 4: Per-domain log-perplexity of 8B models on The Pile. Despite downweighting some domains, DoReMi improves log-perplexity on all domains. " + ], + "image_footnote": [], + "bbox": [ + 210, + 707, + 784, + 871 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/ef045a6a34d2f111e546030232c27fed1f147462bba22f464519d56abeba20fc.jpg", + "table_caption": [ + "Table 1: Domain weights on The Pile. Baseline domain weights are computed from the default Pile dataset. DoReMi (280M) uses a 280M proxy model to optimize the domain weights. " + ], + "table_footnote": [], + "table_body": "
DomainBaselineDoReMi (280M)DifferenceDomainBaselineDoReMi(280M)Difference
Pile-CC0.11210.6057+0.4936DMMathematics0.01980.0018-0.0180
YoutubeSubtitles0.00420.0502+0.0460Wikipedia (en)0.09190.0699-0.0220
PhilPapers0.00270.0274+0.0247OpenWebText20.12470.1019-0.0228
HackerNews0.00750.0134+0.0059Github0.04270.0179-0.0248
Enron Emails0.00300.0070+0.0040FreeLaw0.03860.0043-0.0343
EuroParl0.00430.0062+0.0019USPTO Backgrounds0.04200.0036-0.0384
Ubuntu IRC0.00740.0093+0.0019Books30.06760.0224-0.0452
BookCorpus20.00440.0061+0.0017PubMed Abstracts0.08450.0113-0.0732
NIH ExPorter0.00520.0063+0.0011StackExchange0.09290.0153-0.0776
OpenSubtitles0.01240.0047-0.0077ArXiv0.10520.0036-0.1016
Gutenberg (PG-19)0.01990.0072-0.0127PubMed Central0.10710.0046-0.1025
", + "bbox": [ + 210, + 126, + 787, + 241 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/4e35b4e70011a96b9bba367fde0e1ba486173e19677983fd0cc90e41144c653a.jpg", + "table_caption": [ + "Table 2: Domain weights in the GLaM dataset. Iterated DoReMi (280M) converges within 3 rounds, with a similar overall pattern to domain weights tuned on downstream tasks. " + ], + "table_footnote": [], + "table_body": "
Round 1Round 2Round 3Downstream-tuned
Wikipedia0.090.050.050.06
Filtered webpages0.440.510.510.42
Conversations0.100.220.220.27
Forums0.160.040.040.02
Books0.110.170.170.20
News0.100.020.020.02
", + "bbox": [ + 303, + 284, + 694, + 369 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.2 DoReMi improves perplexity and downstream accuracy ", + "text_level": 1, + "bbox": [ + 173, + 395, + 594, + 410 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We show that DoReMi significantly improves both the perplexity and downstream accuracy of 8B models trained on The Pile and the GLaM dataset over their respective baseline domain weights. ", + "bbox": [ + 174, + 420, + 820, + 449 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Downstream accuracy improves on The Pile. Figure 3 (left) shows the average downstream performance for baseline and DoReMi $2 8 0 { \\mathbf { M } } { } 8 { \\mathbf { B } }$ ) models on The Pile. DoReMi improves the downstream accuracy by $6 . 5 \\%$ points and achieves the baseline accuracy within $7 5 \\mathrm { k }$ steps — $2 . 6 \\mathbf { x }$ faster than the baseline (200k steps). Thus, DoReMi can dramatically speed up training and improve downstream performance. ", + "bbox": [ + 174, + 463, + 825, + 534 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "DoReMi can reduce perplexity across all domains without a tradeoff. Figure 4 shows the per-domain log-perplexity of the 8B models on The Pile. DoReMi significantly reduces the perplexity over the baseline across all domains, despite allocating lower weight to some domains. How can this occur? One hypothesis is that the domains with the lowest and highest entropy can be downweighted without impacting the perplexity much. The lowest entropy domains statistically require few samples to learn. The highest entropy domains have token distributions that are close to common uniform priors — for example, models at random initialization tend to output a uniform next token distribution. Thus, we need less samples to fit these domains. Positive transfer from allocating more samples to medium entropy domains can then improve perplexity on all domains. In Appendix D, we provide a simple example where reweighting domains can improve perplexity on all domains and DoReMi finds such domain weights in simulations. ", + "bbox": [ + 173, + 549, + 825, + 700 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Iterated DoReMi achieves performance of downstream-tuned weights on the GLaM dataset. We employ iterated DoReMi on the GLaM dataset over 3 rounds. We find that the second and third round domain weights are almost identical (Table 2). Figure 3 (right) shows one-shot results for the first two rounds of iterated DoReMi. After the first round, the DoReMi main model has comparable downstream accuracy to the baseline (uniform domain weights). After the second round, the DoReMi main model achieves comparable downstream accuracy to oracle domain weights tuned on downstream tasks in our evaluation set. Overall, domain reweighting has a smaller effect on GLaM, possibly because there are only 8 domains compared to 22 in The Pile. ", + "bbox": [ + 173, + 715, + 825, + 827 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Inspecting the DoReMi domain weights. Tables 1 and 2 present the DoReMi domain weights for The Pile and the GLaM dataset. When running DoReMi on a 280M proxy model (DoReMi (280M)), most weight is put on the diverse Pile-CC web text domain. Note that Wikipedia is downweighted in comparison to the baseline, but DoReMi still improves the downstream accuracy on tasks derived from Wikipedia (e.g., TriviaQA, Appendix Table 5). Domain weights for a 1B proxy model (Appendix 8) ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/71c32d2e230a40f442298feb84ed512cca3fbcd62e3af1e07ee3e7160ffae8e3.jpg", + "image_caption": [ + "Figure 5: Average one-shot downstream accuracy across 4 model scales (280M, 510M, 760M, 1B) where the reference/proxy models for DoReMi are the same size as the main model trained with DoReMi domain weights. DoReMi consistently improves downstream accuracy across scales, with a similar $3 \\%$ accuracy gap at $2 0 0 \\mathrm { k }$ steps at most scales (except for 510M). DoReMi achieves the baseline accuracy 4x faster on average across scales. " + ], + "image_footnote": [], + "bbox": [ + 173, + 88, + 823, + 409 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "shows a different trend, where OpenWebText is the mostly upweighted instead of Pile-CC. This suggests that there may be multiple possible local minima in the domain weight space. On the GLaM dataset, the DoReMi weights have the same general pattern as the downstream-tuned domain weights. DoReMi is able to recover a similar set of domain weights by starting from uniform initial reference domain weights, without any use of downstream data. ", + "bbox": [ + 174, + 513, + 825, + 583 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 Ablations and Analysis Across Scales ", + "text_level": 1, + "bbox": [ + 174, + 602, + 511, + 619 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Previously in Section 3, we showed that DoReMi finds domain weights using 280M models that can improve training of 8B models. In this section, we conduct an analysis of DoReMi where we vary the scale of the proxy model in relation to the main model and ablate the components of the excess loss objective. ", + "bbox": [ + 174, + 632, + 826, + 674 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "DoReMi improves LMs consistently across scales. We consider using proxy and main models of the same size to analyze DoReMi’s behavior in a simple setting, without the need for the domain weights to generalize across scales. Note that this is just for scientific purposes since this does not save compute in practice. In particular, we run DoReMi $( \\mathrm { X } { \\to } \\mathrm { X } )$ where X is 280M, 510M, 760M, or 1B on The Pile. Figure 5 shows that DoReMi consistently improves downstream accuracy over the baseline by $2 \\%$ and achieves the baseline accuracy $4 \\mathbf { x }$ faster on average across scales, and this improvement does not shrink with larger model size. DoReMi improves the worst-case perplexity on all scales and improves 18 of 22 individual domain perplexities on average across scales (Appendix Table 6). These experiments give a rough picture of how much is lost when using a smaller proxy model; our DoReMi $( 2 8 0 \\mathbf { M } \\partial \\mathbf { B }$ ) model achieves the baseline accuracy $2 . 6 \\mathbf { x }$ faster, while matching the proxy and main model sizes results in a $4 \\mathbf { x }$ average speedup. ", + "bbox": [ + 174, + 689, + 825, + 842 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Proxy model underperforms main model, especially at larger sizes. Recall that DoReMi uses Group DRO to train a proxy model, which reweights the objective with the domain weights. In contrast, the main model is trained by resampling on the domain weights from DoReMi. When the proxy model and the main model are the same size, which one is the better model? Table 3b shows that the proxy ", + "bbox": [ + 176, + 856, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/86f6c4e476ffc540c35cc5d3a31b178a9414dd7f93d7c729636e9c48772b7873.jpg", + "image_caption": [ + "Figure 6: Average downstream accuracy for models trained on The Pile. (Left) Increasing the size of the reference/proxy models from 70M to 280M in DoReMi improves downstream accuracy for a 8B main model, but the trend does not continue for the 1B proxy model. We hypothesize that the Group DRO optimizer is worse for larger proxy models. Right) Optimizing for the hardest or easiest domains rather than excess loss (which combines both) do not achieve the same average downstream accuracy as DoReMi (280M models). " + ], + "image_footnote": [], + "bbox": [ + 173, + 90, + 820, + 250 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Table 3: Summary of per-domain log-perplexities on The Pile (22 total domains). Average log-perplexity is an unweighted average of the per-domain log-perplexities. ", + "bbox": [ + 171, + 367, + 823, + 397 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/58957bf510b14866027634e8a3c1e1957be643a1b8229fcd85203dc6faaa099c.jpg", + "table_caption": [ + "(a) Varying the size of the proxy/reference model and training at 8B. " + ], + "table_footnote": [], + "table_body": "
Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (8B)1.711.640/22
DoReMi(70M->8B)1.631.5322/22
DoReMi(150M->8B)1.561.5222/22
DoReMi(280M->8B)1.461.4022/22
DoReMi(1B->8B)1.581.5422/22
", + "bbox": [ + 173, + 454, + 486, + 530 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/8ba952666fef4ed1877837923cbc2faa1a199176b53ba5941175178df46f5bb7.jpg", + "table_caption": [ + "(b) Perplexity of the DoReMi main model and proxy model of the same size. Although the 1B proxy model is relatively poor quality, the resulting domain weights still improve the main model. " + ], + "table_footnote": [], + "table_body": "
Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (280M)2.392.320/22
DoReMi(280M->280M)2.192.1322/22
Proxy (280M)2.332.2719/22
Baseline (1B)1.941.870/22
DoReMi(1B->1B)1.921.8319/22
Proxy (1B)2.112.020/22
", + "bbox": [ + 509, + 462, + 825, + 546 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "model typically underperforms the main model in this case. The gap between the proxy and main model increases with scale, as the 1B proxy model not only underperforms the 1B main model but also the 1B baseline model, while the 280M proxy model achieves better perplexity than the 280M baseline model on 19/22 domains. Despite the relatively poor quality of the 1B proxy model, the domain weights still allow the 1B main model to achieve the baseline performance over $2 \\mathbf { x }$ faster. This suggests that DoReMi can succeed even if the proxy model is not trained well. However, we hypothesize that the mismatch between the proxy and main model training (loss reweighting vs. resampling) explains their performance difference and therefore a resampling-based Group DRO optimizer may improve DoReMi for larger proxy models. ", + "bbox": [ + 173, + 573, + 825, + 698 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Effect of proxy model scale on larger main model’s performance. We consider 70M, 150M, 280M, and 1B scales for the DoReMi proxy model while fixing the main model size at 8B (DoReMi $( \\mathrm { X } \\to 8 \\mathrm { B } )$ ). From 70M to 280M, increasing the proxy model size improves downstream accuracy at 8B (Figure 6 left). We hypothesize that this trend does not continue for the 1B proxy model because the Group DRO optimizer is worse at larger scales (Table 3b). While DoReMi $2 8 0 { \\mathbf { M } } { } 8 { \\mathbf { B } }$ ) results in the most improvement at 8B, DoReMi ( $1 5 0 { \\mathbf { M } } { } 8 { \\mathbf { B } }$ ) and DoReMi ( $1 \\mathrm { B } \\to 8 \\mathrm { B }$ ) still achieve the baseline accuracy almost $2 \\mathbf { x }$ faster. This suggests that DoReMi is robust to the proxy model scale. In practice, we suggest choosing a relatively small proxy model size (280M) to save compute. ", + "bbox": [ + 173, + 714, + 825, + 825 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Choosing the easiest or hardest domains do not suffice. We ablate the components of the excess loss metric $\\ell _ { \\theta } ( x ) - \\ell _ { \\mathrm { r e f } } ( x )$ by running DoReMi using only the loss of the proxy model $p _ { \\theta }$ on example $x$ , i.e. $\\ell _ { \\theta } ( x )$ (prefer hardest domains for the proxy model) or only the negative loss of the reference $- \\ell _ { \\mathrm { r e f } } ( x )$ (prefer easiest domains for the reference model). Figure 6 (right) shows that neither of the components of the excess loss alone are sufficient to achieve the gains of DoReMi. ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 89, + 320, + 106 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Curating pretraining data for LMs. Most closely related is the GLaM dataset [13] (also used for training PaLM [10]), which has domain weights that are tuned using downstream data. Optimizing domain weights for downstream tasks can be expensive and could require search/zero-order optimization [48], RL [56], or heuristic assumptions on how positive/negative transfer between domains work. Example-level filtering also brings benefits for LM training. The C4 dataset [39] shows gains over CommonCrawl via heuristic data cleaning methods. Du et al. [13]; Xie et al. [55] show that filtering the data at an example level for high-quality text that look like Wikipedia and books can significantly improve downstream performance for LMs. In contrast to these works, DoReMi sets domain weights automatically with only two small LM training runs and does not make assumptions about the type of data to prefer (Wikipedia-like, etc.). ", + "bbox": [ + 174, + 123, + 825, + 262 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "General data selection methods. Moore-Lewis selection [32; 3; 15] selects examples with high cross-entropy difference (similar to excess log-perplexity) between language models trained on target and raw data. In contrast, DoReMi reweights the data without a target distribution. Coleman et al. [11] select examples based on the uncertainty of a small proxy model for active learning, while DoReMi uses DRO on the excess loss with respect to a reference model, and focuses on data mixture reweighting. Mindermann et al. [30] select examples in an online fashion by taking the top $k$ examples in a minibatch according to excess loss. DoReMi optimizes the data mixture before training, allowing the larger main model to train in a standard way. Many other works on data selection are in vision [49; 22; 24; 23; 25; 53; 54; 38; 31; 45] and mainly focus on example-level subset selection with metrics such as gradient matching. Overall, these methods do not address data selection for pretraining, where the downstream data distribution may be very different from the pretraining distribution. DoReMi aims to address the pretraining/downstream distribution shift with a robust optimization approach. To the best of our knowledge, we are the first to show that reweighting the data according to losses of a small proxy LM can improve the training efficiency of much larger LM. ", + "bbox": [ + 174, + 284, + 825, + 477 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Distributionally robust optimization. Within DRO methods for deep learning [4; 47; 35; 43], we target a restricted form of shift called group shifts [14; 35; 43], where the test distribution can be an unknown mixture of groups (domains). We follow DRO-LM [35], which employs DRO for LMs in the group shift setting. DRO-LM also uses a baselined loss, but with a simple bigram reference model. DoReMi uses a reference model of the same size and architecture as the proxy model to ensure that the losses are on a similar scale. During optimization, DRO-LM takes a worst-case subset of each minibatch to update the model on, while we use the Group DRO optimizer [43] which doesn’t require online subselection. If we equalize the number of examples in each minibatch used for gradient updates, online subselelction is more expensive than Group DRO since it requires running forward passes on a larger minibatch (e.g., double the minibatch size) before selecting a subset to update the model with. In comparison, the Group DRO optimizer updates the model on all examples in a weighted fashion. Overall, in contrast to these DRO methods which aim to produce robust models, we use DRO to optimize the data for training larger models more efficiently. ", + "bbox": [ + 174, + 497, + 825, + 676 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Data-centric AI. Large-scale datasets and benchmarks have driven much of the recent progress in AI, including vision, NLP, and multimodal models [12; 42; 52; 40; 39; 17; 44; 16]. However, most datasets are still painstakingly created with human-generated data, manual work, and heuristics [12; 39; 17; 44; 16]. DoReMi is a principled data-centric method that aims to improve language model training efficiency. We hope that DoReMi can provide a starting point for a general data-centric framework for language modeling via robust optimization. ", + "bbox": [ + 174, + 698, + 825, + 781 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 Discussion and Limitations ", + "text_level": 1, + "bbox": [ + 176, + 806, + 429, + 824 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Saving compute in DoReMi with extrapolation. In Section 2, we run DoReMi for the number of training steps that will be used to train the final model, which could be unnecessarily expensive. A future direction for saving compute would be to stop running DoReMi at an early step and extrapolate the domain weights for the desired number of steps, since we found that most of the variation in the domain weights during a DoReMi run seems to occur in the beginning of training (Appendix Figure 8). ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Choice of reference model. The choice of reference model can affect the domain weights found by DoReMi. For example, iterated DoReMi (Section 3) improves performance by using a reference model trained on the tuned domain weights from a previous round of DoReMi. Further directions include varying the reference model size and using specialized reference models to optimize domain weights for a specific application area. ", + "bbox": [ + 174, + 92, + 825, + 160 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "What is a domain? We define a domain by data provenance in our experiments, but this only enables coarse-grained control. Using fine-grained domains could improve the gains from DoReMi. For example, DoReMi is more effective on The Pile (22 domains) than the GLaM dataset (8 domains). Open directions include automatically finding fine-grained domains (e.g., via clustering as in DRO-LM [35]) and reweighting the data at an example level. When domains are very fine-grained, it will be important to control the pessimism of DRO (e.g., DRO can put all the weight on a small set of worst-case examples). ", + "bbox": [ + 174, + 176, + 825, + 260 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Transferability of domain weights across scales. We optimized the domain weights with a small proxy model (280M) and directly used these domain weights to improve training at a larger scale (8B). Understanding why the domain weights can be transferred across scales and the limits of how far these domain weights transfer are important questions to answer in future work. ", + "bbox": [ + 174, + 275, + 825, + 330 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Broader impacts. Large language models are We hope to improve training efficiency and reduce the environmental impact of training large LMs [50; 28; 37; 29]. In particular, by reducing the training time by $2 \\mathbf { x }$ , we can halve the cost and energy consumption of training large language models. Since such efficiency improvements may be used to develop even larger models, there may be no absolute improvement in energy consumption. Ultimately, we hope to improve the training efficiency and cost of developing future language models relative to existing methods. ", + "bbox": [ + 174, + 345, + 825, + 429 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Large LMs have also been well-documented to have risks and biases [1; 33; 7; 6; 18]. For example, GPT-3 tends to have an anti-Muslim bias, where Muslims are frequently related to violence or terrorism in analogy and completion tasks [1]. As large language models are increasingly relied upon in applications, the magnitude of the risks increases [8]. Distributionally robust optimization (DRO), which is used in DoReMi to optimize the data mixture, can have a favorable impact on fairness [19]. While the standard approach of minimizing the average loss can lead to disparate performance on minority subgroups that do not contribute heavily to the loss [2], DRO promotes good performance on all groups via a worst-case loss. In this way, DRO-style data-centric methods such as DoReMi can improve the representation disparity between majority and minority subgroups in a dataset. ", + "bbox": [ + 174, + 435, + 825, + 560 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "7 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 579, + 299, + 597 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We introduced DoReMi, an algorithm reweighting data domains for training language models. DoReMi is able to run on small models and transfer the benefits to $3 0 \\mathrm { x }$ larger models, resulting in a $2 . 6 \\mathrm { x }$ speedup in training on the Pile just by changing the sampling probabilities on domains. We hope to instigate more research on data-centric approaches for improving language model training efficiency. ", + "bbox": [ + 174, + 612, + 825, + 667 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgments ", + "text_level": 1, + "bbox": [ + 176, + 688, + 328, + 704 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We thank Xiangning Chen, Andrew Dai, Zoubin Ghahramani, Balaji Lakshminarayanan, Paul Michel, Yonghui Wu, Steven Zheng, Chen Zhu, anonymous reviewers, and the broader Google Bard team members for insightful discussions and pointers. 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DoReMi consistently improves downstream accuracy across scales. " + ], + "image_footnote": [], + "bbox": [ + 173, + 92, + 821, + 459 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "A Results Across Scales on the GLaM dataset ", + "text_level": 1, + "bbox": [ + 174, + 551, + 563, + 569 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Figure 7 presents results across different scales (280M, 510M, 760M, 1B) on the GLaM dataset, where the proxy/reference models are the same size as the main model trained with DoReMi domain weights. Across all scales, DoReMi is comparable or better than both the baseline (uniform) domain weights and downstream-tuned domain weights. Interestingly, for iterated DoReMi at the 280M scale, the second round weights achieve slightly worse downstream accuracy than the round 1 weights when used to train 280M models, but transfer better to training 8B models. ", + "bbox": [ + 174, + 584, + 826, + 667 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "B Detailed Results for The Pile ", + "text_level": 1, + "bbox": [ + 176, + 689, + 442, + 707 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Per-domain perplexities for 8B models. Table 4 shows per-domain perplexities for 8B models trained on the Pile. The reference/proxy models in this case are 70M, 150M, 280M, and 1B. DoReMi improves the perplexity on each domain compared to the baseline domain weights. ", + "bbox": [ + 174, + 723, + 825, + 765 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Per-task accuracies for 8B models. Table 5 shows the accuracies on one-shot generative tasks for various reference/proxy model sizes from 70M to 1B. All DoReMi models improve downstream performance significantly over the baseline. ", + "bbox": [ + 174, + 782, + 823, + 824 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Summary of perplexity results across scales. Table 6 shows a summary of per-domain perplexities for DoReMi across 4 scales (280M, 510M, 760M, 1B). Here, the reference/proxy models are the same size as the main model trained with DoReMi domain weights. On average, DoReMi improves perplexity on 18.25 out of 22 domains from The Pile. The worst-case perplexity is always reduced (or comparable in the 510M case) with respect to the baseline domain weights. ", + "bbox": [ + 174, + 842, + 823, + 911 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/7701609798795b5487fac2b7e5b358cfdd38e215d228941b73cf433147ff8f77.jpg", + "table_caption": [ + "Table 4: Per-domain log-perplexities for 8B models trained on The Pile where the reference/proxy models are or smaller sizes (70M, 150M, 280M, 1B). Models trained with DoReMi domain weights have lower perplexity on all domains than the baseline weights. " + ], + "table_footnote": [], + "table_body": "
Baseline (8B)DoReMi(70M->8B)DoReMi(150M->8B)DoReMi(280M->8B)DoReMi(1B->8B)
Pile-CC1.641.511.481.411.55
PubMed Central1.601.581.541.461.56
Books31.651.521.501.421.57
OpenWebText21.661.481.541.361.58
ArXiv1.641.561.531.381.51
Github1.651.551.541.421.53
FreeLaw1.641.551.541.451.55
StackExchange1.611.521.541.391.55
USPTO Backgrounds1.701.531.501.411.56
PubMed Abstracts1.611.561.511.441.55
Gutenberg (PG-19)1.701.561.541.351.52
OpenSubtitles1.581.561.521.401.55
Wikipedia (en)1.661.491.531.351.56
DMMathematics1.631.501.561.381.48
Ubuntu IRC1.711.531.491.421.48
BookCorpus21.641.571.541.431.57
EuroParl1.591.521.511.371.53
HackerNews1.661.501.551.451.55
YoutubeSubtitles1.671.631.551.421.53
PhilPapers1.671.551.491.391.53
NIHExPorter1.631.511.481.361.52
Enron Emails1.621.481.521.441.56
", + "bbox": [ + 202, + 140, + 792, + 358 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/2933a0f4b74c124eff78b407a292daee49c0bf8b083e5fb61f70d334849600d7.jpg", + "table_caption": [ + "Table 5: Per-task exact-match accuracies for generative one-shot tasks. All DoReMi models improve downstream performance significantly over the baseline domain weights. " + ], + "table_footnote": [], + "table_body": "
BaselineDoReMi(1B->8B)DoReMi(280M->8B)DoReMi(150M->8B)DoReMi(70M->8B)
LAMBADA20.1022.5529.1920.5926.20
NaturalQuestions4.356.017.736.265.10
SQuADv244.4342.2251.8946.5340.99
TriviaQA24.5532.2534.8630.0126.30
WebQuestions6.748.719.159.156.99
Average20.0322.3526.5622.5121.11
", + "bbox": [ + 204, + 406, + 792, + 489 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/cc4b96ad72accdbf651f33758163d78cd626bc8414194c5bd1d9577c86e5b3a3.jpg", + "table_caption": [ + "Table 6: Summary of per-domain log-perplexities for 280M, 510M, 760M, and 1B models trained on The Pile, where the reference/proxy models are the same size. DoReMi improves the worst-case and average perplexity of the baseline domain weights in all cases. On average, DoReMi improves perplexity on 18 out of 22 domains. " + ], + "table_footnote": [], + "table_body": "
Worst-case log-pplAvg log-ppl# domains beating baseline
Baseline (280M)2.392.32 0/22
DoReMi(280M->280M)2.192.13 22/22
Proxy (280M)2.33 2.2719/22
Baseline (510M)2.142.08 0/22
DoReMi(510M->510M)2.142.06 15/22
Proxy (510M)2.232.18 0/22
Baseline (760M)2.051.97 0/22
DoReMi(760M->760M)2.001.94 17/22
Proxy (760M)2.15 2.100/22
Baseline (1B)1.941.87 0/22
DoReMi(1B->1B)1.921.83 19/22
Proxy (1B)2.11 2.020/22
", + "bbox": [ + 204, + 564, + 794, + 766 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/584a7ae047c973b25efc01e1496b5c7255060d1926ed445d25092e55b773f9ed.jpg", + "table_caption": [ + "Table 7: Summary of perplexity results for ablations on the DRO objective (excess loss). The individual components (which prefer hardest and easiest domains respectively) do not reduce perplexity over the baseline. " + ], + "table_footnote": [], + "table_body": "
Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (280M)2.392.320
DoReMi(280M->280M)2.192.1322/22
Hardest (280M->280M)2.662.620/22
Easiest (280M->280M)4.274.180/22
", + "bbox": [ + 205, + 828, + 792, + 909 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/98d5164e14af1d1f0a75b5fa38c1d7b4681262296752da611d2cf71701f6ab6d.jpg", + "image_caption": [ + "Figure 8: Exponential moving average of domain weights throughout a DoReMi run for 280M and 1B reference/proxy models. In the beginning of the run, the domain weights change quickly and then become more stable after $5 0 \\mathrm { k }$ steps. This suggests that 1) smaller compute budgets may require drastically different domain weights, and 2) we may be able to save compute by extrapolating the domain weights after 50k steps. " + ], + "image_footnote": [], + "bbox": [ + 173, + 93, + 820, + 462 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Perplexity results for ablations. Table 7 shows the perplexities for ablations on the DRO objective. We change the DRO objective and use these to tune domain weights on 280M reference/proxy models. These tuned domain weights are then used to train a main 280M model. Hardest refers to optimizing the domain-level log-perplexity without baselining with a reference model. Easiest refers to optimizing for the domains with lowest log-perplexity under the reference model. Both ablations do not improve perplexity on any domain over the baseline. Optimizing for the “hardest” domain does not actually result in improving worst-case perplexity, supporting the results of Oren et al. [35], which also employs DRO for language modeling with a baselined loss. ", + "bbox": [ + 174, + 575, + 825, + 686 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Trajectory of domain weights. Figure 8 shows the exponential moving average (smoothing parameter 0.99) of domain weights during a run of DoReMi. In both cases, there are domains with very high weight initially and decrease in weight very quickly (within 50k steps). Since we compute the final domain weights by integrating these curves over steps and normalizing, this suggests that if we have a smaller compute budget, these domains could become more important — this highlights the dependence of the mixture weights on the compute budget. At the same time, the domain weights tend to quickly stabilize after 50k steps, suggesting that the optimal domain weights should be similar for larger compute budgets. We may also be able to take advantage of this stability after $5 0 \\mathrm { k }$ steps to run DoReMi for a smaller number of steps and extrapolate the domain weights to save compute. ", + "bbox": [ + 174, + 708, + 825, + 833 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Comparison of domain weights for 280M and 1B. Table 8 presents the DoReMi domain weights for The Pile at 280M and 1B proxy models. Different proxy model sizes can result in different domain weights, which suggests that there may be multiple local minima in domain weight space. With a 280M proxy model, most of the weight is put on the Pile-CC web text domain, while DoReMi with a ", + "bbox": [ + 176, + 856, + 823, + 911 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/84d06542a6a166ee655d324bdce397441d56cca57d7f52e473a61bbc48918cb0.jpg", + "table_caption": [ + "Table 8: Domain weights on The Pile. Baseline domain weights are computed from the default Pile dataset. With different proxy model sizes, DoReMi (280M) and DoReMi (1B) result in different domain weights. Despite the differences, the qualitative patterns are similar other than the which web domain has the most weight. " + ], + "table_footnote": [], + "table_body": "
BaselineDoReMi(280M)DoReMi(1B)
Pile-CC0.11210.60570.1199
PubMed Central0.10710.00460.0149
Books30.06760.02240.0739
OpenWebText20.12470.10190.3289
ArXiv0.10520.00360.0384
Github0.04270.01790.0129
FreeLaw0.03860.00430.0148
StackExchange0.09290.01530.0452
USPTO Backgrounds0.04200.00360.0260
PubMed Abstracts0.08450.01130.1461
Gutenberg (PG-19)0.01990.00720.0250
OpenSubtitles0.01240.00470.0017
Wikipedia (en)0.09190.06990.0962
DMMathematics0.01980.00180.0004
Ubuntu IRC0.00740.00930.0044
BookCorpus20.00440.00610.0029
EuroParl0.00430.00620.0078
HackerNews0.00750.01340.0058
YoutubeSubtitles0.00420.05020.0159
PhilPapers0.00270.02740.0063
NIHExPorter0.00520.00630.0094
Enron Emails0.00300.00700.0033
", + "bbox": [ + 341, + 154, + 655, + 371 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "1B proxy model puts most of the weight on OpenWebText2. The overall pattern of the domain weights for the rest of the domains are similar. ", + "bbox": [ + 176, + 393, + 823, + 422 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "C Training Details ", + "text_level": 1, + "bbox": [ + 174, + 440, + 343, + 458 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Data preprocessing. For all datasets, we preprocessed the data by chunking into length 1024 examples with respect to a SentencePiece tokenizer with $2 5 6 \\mathrm { k }$ vocabulary size. The examples are separated by domain to facilitate hierarchical sampling (first sample a domain according to some domain weights, then sample an example from that domain at random). To reduce the amount of padding tokens, we made an effort to pack examples (possibly from different domains) together into the same sequence. When doing such a packing, we compute the domain perplexities on a per-token level in DoReMi. ", + "bbox": [ + 173, + 470, + 826, + 554 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Baseline domain weights for The Pile. The baseline domain weights for The Pile were computed from The Pile dataset and the number of epochs for each domain given in Gao et al. [17]. After chunking into length 1024 examples, we counted the number of examples in each domain and multiplied by the number of epochs that domain specified in Gao et al. [17]. We then normalized these counts to obtain the baseline domain weights. ", + "bbox": [ + 174, + 568, + 825, + 638 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Training setup. For all training runs (including DRO runs), we train with a batch size of 512, initial learning rate of 1e-3, weight decay of 1e-2, and gradient clipping to norm 1. We decay the learning rate exponentially until it reaches a minimum of 1e-4 at the end of training, with a linear warmup of $6 \\%$ of the total training steps. We train for 200k steps on The Pile and 300k steps on the GLaM dataset. Models under 1B parameters were trained with TPUv3 accelerators, while 1B and 8B models were trained with TPUv4. ", + "bbox": [ + 174, + 651, + 825, + 734 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Model architectures. Table 9 shows the architecture hyperparameters for the model sizes used in the paper. All the models we use are vanilla Transformer decoder-only models with a 256k vocab size. ", + "bbox": [ + 174, + 750, + 823, + 777 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "D Simple Example Where Data Reweighting Has No Tradeoff ", + "text_level": 1, + "bbox": [ + 173, + 795, + 699, + 814 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Motivated by the findings in Section 3.2, we present a simple language modeling example where reweighting the training data from different domains improves perplexity on all domains. The example shows that DoReMi downweights domains that are extremely high or low entropy. ", + "bbox": [ + 176, + 827, + 821, + 869 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Setup. Suppose the ground-truth distribution of text $p ^ { * }$ is a mixture over $k$ domains, where each domain $z \\in \\left\\{ 1 , . . . , k \\right\\}$ is defined by a different unigram distribution $p ^ { * } ( x | z )$ over $m$ tokens. Given a budget of $n$ training samples, the goal is choose domain weights $p ( z )$ $k$ scalars that add to 1) to sample training data with such that we learn the parameters of the unigram distributions $p ^ { * } ( \\cdot | z )$ well for all $z$ from 1 to $k$ . Notably, we do not aim to estimate the ground truth mixture proportions across domains. ", + "bbox": [ + 174, + 882, + 821, + 911 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/b59f5a807414d47c08bf216ffd071923e22b1f1ae8177ebca99ab83878f991d1.jpg", + "table_caption": [ + "Table 9: Architecture hyperparameters for various model scales used in the paper. All models are vanilla Transformer decoder-only models and use vocabulary size 256k. " + ], + "table_footnote": [], + "table_body": "
LayersAttention headsAttention head dimModel dimHidden dim
70M34642561024
150M68645122048
280M1212647683072
510M12166410248192
760M12206412808192
1B16326420488192
8B3232128409624576
", + "bbox": [ + 209, + 126, + 789, + 252 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 285, + 825, + 328 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Data. Given some domain weights $p ( z )$ , we sample training data hierarchically: first we determine the number of samples $n _ { z }$ per domain $z$ by drawing from a multinomial distribution over $k$ possibilities with probabilities defined by $p ( z )$ and $n$ total trials. Then, for each domain $z$ , we sample $n _ { z }$ tokens from $p ^ { * } ( \\cdot | z )$ , forming a vector of tokens $X _ { z }$ with length $n _ { z }$ . ", + "bbox": [ + 173, + 351, + 825, + 409 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Model. For each domain $z$ , we consider a Bayesian model of the unigram distribution $p ( x | z ; \\theta )$ with a Dirichlet prior $p ( \\boldsymbol { \\theta } | \\boldsymbol { z } ; \\beta )$ over the unigram distribution parameters $\\theta \\in \\Delta ^ { m }$ . The Dirichlet prior has hyperparameters $\\beta \\in \\mathbb { R } ^ { m }$ , which can be viewed as a “pseudo-count” for each token. For each domain $z$ , we estimate the parameters $\\hat { \\theta } _ { z }$ by computing the mean of the posterior distribution conditioned on the data: ", + "bbox": [ + 173, + 431, + 826, + 491 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/a24c340e1d5ca0a4f06d0be342aa1a1003240e597ddd15ca3fd080b1ed90f970.jpg", + "text": "$$\n\\hat { \\theta } _ { z } ( x ) = \\frac { 1 } { n _ { z } + s _ { z } } \\left[ \\lambda _ { z } ( x ) + \\sum _ { i = 1 } ^ { n _ { z } } \\mathbf { 1 } [ X _ { z } [ i ] = x ] \\right] \\mathrm { ~ f o r ~ a l l ~ } x \\in \\{ 1 , . . . , m \\}\n$$", + "text_format": "latex", + "bbox": [ + 290, + 505, + 707, + 547 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "where $s _ { z } = \\sum _ { x } \\lambda _ { z } ( x )$ is the sum of pseudocounts. ", + "bbox": [ + 173, + 563, + 495, + 579 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "For a domain $z$ , we can write the parameter error of this estimator as a function of the “difficulty” $H _ { z }$ of predicting the next token and the “quality” of the prior $\\Delta _ { z }$ , defined below. ", + "bbox": [ + 174, + 584, + 823, + 613 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Lemma D.1. For domain index $z$ with $n _ { z }$ samples, the parameter error is ", + "bbox": [ + 173, + 621, + 651, + 636 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/bd60a15f3c58e4e36ce60af8b92d24a731412405c30abbb8529b794f6914ab72.jpg", + "text": "$$\n\\sum _ { x } \\mathbb { E } [ ( \\hat { \\theta } _ { z } ( x ) - p ^ { * } ( x \\mid z ) ) ^ { 2 } ] = \\frac { n _ { z } H _ { z } + s _ { z } ^ { 2 } \\Delta _ { z } } { ( n _ { z } + s _ { z } ) ^ { 2 } }\n$$", + "text_format": "latex", + "bbox": [ + 356, + 650, + 640, + 690 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "where ", + "bbox": [ + 173, + 704, + 215, + 718 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/099d6bcdb77181174f321c8b9f9407513fb769f71f4ef6a6e54c80ec8cf96b75.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle { H _ { z } = \\sum _ { x } p ^ { * } ( x \\mid z ) ( 1 - p ^ { * } ( x \\mid z ) ) } } \\\\ { \\displaystyle { \\Delta _ { z } = \\sum _ { x } \\biggl ( p ^ { * } ( x \\mid z ) - \\frac { \\lambda _ { z } ( x ) } { s _ { z } } \\biggr ) ^ { 2 } . } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 392, + 731, + 606, + 806 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Proof. The parameter error is ", + "bbox": [ + 174, + 847, + 369, + 861 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/d6c6fb1f3fd6b5caf5752bf193931492c05414b2ad9c824b2fa568b21f4bb075.jpg", + "text": "$$\n\\sum _ { x } \\mathbb { E } [ ( \\hat { \\theta } _ { z } ( x ) - p ^ { * } ( x | z ) ) ^ { 2 } ] = \\sum _ { x } \\mathbb { E } [ \\hat { \\theta } _ { z } ( x ) ^ { 2 } ] - 2 \\mathbb { E } [ \\hat { \\theta } _ { z } ( x ) ] p ^ { * } ( x | z ) + p ^ { * } ( x | z ) ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 251, + 876, + 743, + 910 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Evaluating the terms separately, ", + "bbox": [ + 173, + 92, + 382, + 106 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/c8c9cfa6a1f9cba889f303b9e8ab5696779c8076e7381f8e1b9bde6aaa054e97.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\mathbb { E } [ \\hat { \\theta } _ { z } ( x ) ] = \\frac { 1 } { n _ { z } + s _ { z } } \\Bigg [ \\lambda _ { z } ( x ) + \\sum _ { i = 1 } ^ { n _ { z } } \\mathbf { 1 } [ X _ { z } [ i ] = x ] \\Bigg ] } \\\\ { \\displaystyle \\quad = \\frac { 1 } { n _ { z } + s _ { z } } ( \\lambda _ { z } ( x ) + n _ { z } p ^ { * } ( x | z ) ) } \\\\ { \\displaystyle \\mathbb { E } [ \\hat { \\theta } _ { z } ( x ) ^ { 2 } ] = \\frac { 1 } { ( n _ { z } + s _ { z } ) ^ { 2 } } \\mathbb { E } [ ( \\lambda _ { z } ( x ) + \\sum _ { i = 1 } ^ { n _ { z } } \\mathbf { 1 } [ X _ { z } [ i ] = x ] ) ^ { 2 } ] } \\\\ { \\displaystyle \\quad = \\frac { 1 } { ( n _ { z } + s _ { z } ) ^ { 2 } } [ \\lambda _ { z } ( x ) ^ { 2 } + 2 \\lambda _ { z } ( x ) n _ { z } p ^ { * } ( x | z ) + n _ { z } p ^ { * } ( x | z ) + ( n _ { z } ^ { 2 } - n _ { z } ) p ^ { * } ( x | z ) ^ { 2 } ] } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 197, + 113, + 771, + 265 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Putting it all together, the parameter error can be written as ", + "bbox": [ + 173, + 270, + 553, + 285 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/aa90db4c8e34b2e4f85ebbb1529513bc5d92a41708a16401218deb382da66bd2.jpg", + "text": "$$\n\\begin{array} { c l } { { \\displaystyle \\sum _ { x } \\mathbb { E } [ ( \\hat { \\theta } _ { z } ( x ) - p ^ { * } ( x \\mid z ) ) ^ { 2 } ] = \\sum _ { x } \\frac { ( s _ { z } ^ { 2 } - n _ { z } ) p ^ { * } ( x \\mid z ) ^ { 2 } + \\lambda _ { z } ( x ) ^ { 2 } + ( n _ { z } - 2 s _ { z } \\lambda _ { z } ( x ) ) p ^ { * } ( x \\mid z ) } { ( n _ { z } + s _ { z } ) ^ { 2 } } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\end{array} = \\sum _ { x } \\frac { n _ { z } p ^ { * } ( x \\mid z ) ( 1 - p ^ { * } ( x \\mid z ) ) + s _ { z } ^ { 2 } \\Big ( p ^ { * } ( x \\mid z ) - \\frac { \\lambda _ { z } ( x ) } { s _ { z } } \\Big ) ^ { 2 } } { ( n _ { z } + s _ { z } ) ^ { 2 } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { } \\\\ { { { { } } } } \\\\ { } \\\\ \n$$", + "text_format": "latex", + "bbox": [ + 196, + 291, + 772, + 420 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "No-tradeoff example. Suppose there are 3 domains $z \\in \\{ 1 , 2 , 3 \\}$ and $m = 3$ vocabulary tokens $x \\in \\{ 1 , 2 , 3 \\}$ . We use a symmetric Dirichlet prior (preferring a uniform token distribution) where $\\lambda _ { z } ( x ) = 1 / 3$ for all tokens $x$ and domains $z$ . Here, $\\begin{array} { r } { \\bar { s _ { z } } = \\sum _ { x } \\bar { \\lambda _ { z } } ( x ) = 1 } \\end{array}$ . In this setting, we show that there is a set of domain weights that has strictly lower parameter error than the baseline where we sample the same number of tokens from each domain: $n _ { z }$ are equal for all domains $z$ . ", + "bbox": [ + 173, + 457, + 825, + 529 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Suppose the ground truth paramaters for the unigram distributions are ", + "bbox": [ + 173, + 534, + 624, + 549 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/85eef5258dfc4144c0fdbea5de723409ca5ea836a2d658d8be10b5026b719975.jpg", + "text": "$$\n\\begin{array} { r } { \\left[ \\begin{array} { c c c } { 1 } & { 0 } & { 0 } \\\\ { 0 . 7 } & { 0 . 2 } & { 0 . 1 } \\\\ { 1 / 3 } & { 1 / 3 } & { 1 / 3 } \\end{array} \\right] , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 429, + 556, + 565, + 602 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "where row $z$ contains the parameters for domain $z$ . For example, token 1 has probability 1 under domain 1’s unigram distribution. ", + "bbox": [ + 173, + 608, + 825, + 637 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "For domain $z = 1$ (non-noisy domain), we have $H _ { 1 } = 0$ so the parameter error (according to Lemma D.1) is ", + "bbox": [ + 176, + 642, + 823, + 672 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/0c5137b6f9be41dddcede034697ec5ee37c9fa23130eff89301388735e8bce38.jpg", + "text": "$$\n\\frac { s _ { 1 } ^ { 2 } \\Delta _ { 1 } } { ( n _ { 1 } + s _ { 1 } ) ^ { 2 } }\n$$", + "text_format": "latex", + "bbox": [ + 460, + 679, + 535, + 714 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "which is strictly decreasing in the number of samples $n _ { 1 }$ ", + "bbox": [ + 173, + 720, + 540, + 736 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "For domain $z = 3$ (noisy domain), we have $\\Delta _ { 3 } = 0$ so the parameter error is ", + "bbox": [ + 173, + 742, + 656, + 757 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/6e7c2f3e9216c1cda8a657c7e3df940f45bcd76b7ebf557326f35981819806a9.jpg", + "text": "$$\n\\frac { n _ { 3 } H _ { 3 } } { ( n _ { 3 } + s _ { 3 } ) ^ { 2 } } ,\n$$", + "text_format": "latex", + "bbox": [ + 459, + 763, + 537, + 797 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "by Lemma D.1. This error is minimized to zero at $n _ { 3 } = 0$ (no samples). This means that we can allocate samples elsewhere while still reducing error. ", + "bbox": [ + 173, + 804, + 825, + 833 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "For $z = 2$ (intermediate entropy domain), we have $\\Delta _ { 2 } = 0 . 2 0 7$ and $H _ { 2 } = 0 . 4 6$ . The derivative of the parameter error with respect to the number of samples $n _ { 2 }$ is ", + "bbox": [ + 173, + 838, + 823, + 867 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/399e46dc6df5ec8e161020c0855de1f92d42a57a003e29f48845c2c2c942367f.jpg", + "text": "$$\n\\frac { \\partial } { \\partial n _ { 2 } } \\frac { n _ { 2 } H _ { 2 } + s _ { 2 } ^ { 2 } \\Delta _ { 2 } } { ( n _ { 2 } + s _ { 2 } ) ^ { 2 } } = \\frac { H _ { 2 } ( s _ { 2 } - n _ { 2 } ) - 2 s _ { 2 } ^ { 2 } \\Delta _ { 2 } } { ( n _ { 2 } + s _ { 2 } ) ^ { 3 } }\n$$", + "text_format": "latex", + "bbox": [ + 356, + 875, + 642, + 910 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "which is negative when ", + "bbox": [ + 173, + 92, + 326, + 106 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/c8378fd3a6f67afc0350d31e1153f46a4b318ef9fe88c8362c4284fc96aafca7.jpg", + "text": "$$\nn _ { 2 } > s _ { 2 } - \\frac { 2 s _ { 2 } ^ { 2 } \\Delta _ { 2 } } { H _ { 2 } } .\n$$", + "text_format": "latex", + "bbox": [ + 439, + 112, + 558, + 146 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "This inequality holds in this case since $\\begin{array} { r } { \\frac { 2 \\Delta _ { 2 } } { H _ { 2 } } < 1 } \\end{array}$ and $s _ { 2 } = 1$ . Therefore the parameter error is decreasing in the number of samples $n _ { 2 }$ . ", + "bbox": [ + 173, + 154, + 825, + 184 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Thus, any domain weights that reallocate the examples from domain 3 to domains 1 and 2 reduces the parameter error for all domains. ", + "bbox": [ + 173, + 190, + 823, + 219 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "What kind of domains are downweighted? Intuitively, we can downweight the very noisy (high entropy/difficulty) domain 3 because the initialization perfectly matches the ground truth. This allows us to reallocate samples to the other domains 1 and 2. Between these, domain 1 requires less additional samples since the parameter error decreases very quickly with the number of samples $n _ { 1 }$ (the difficulty $H _ { 1 }$ is zero). Thus, the easiest domains should also receive relatively less weight. In practice, positive transfer between domains (which is not captured here) can also contribute to scenarios where reweighting results in no tradeoff across domains. ", + "bbox": [ + 174, + 233, + 825, + 330 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Simulation with DoReMi. We consider running DoReMi on the above no-tradeoff instance of the simple example with the ground truth unigram distributions in Equation 14. Note that DoReMi’s domain reweighting step (Step 2, Algorithm 1) involves a loop over $T$ iterative model updates, while the estimator from Equation 2 is computed in closed form. To adapt the estimator for DoReMi, we consider an iterative version where the average is computed in an online fashion. We run DoReMi for $T = 5 0 0$ steps using minibatch size 1 over the $n { = } 5 0 0$ training examples with domain weight update rate $\\eta { = } 0 . 5$ . For the model update at step $t$ on an example $x$ from domain $z$ , we increase the pseudo-count $\\widehat { \\theta } _ { z } ( x )$ by the current domain weight $\\alpha _ { t }$ corresponding to domain $z$ . Instead of using the examples in the minibatch (which is only size 1 and doesn’t represent all domains), we compute the per-domain excess log-perplexities in Algorithm 1 using a fixed, independent evaluation set of 30 examples. ", + "bbox": [ + 173, + 344, + 825, + 486 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "We compare DoReMi against a model trained with baseline domain weights, which are uniform over the 3 domains. All models are trained on $n { = } 5 0 0$ training examples. We evaluate the log-perplexity of a model on each domain in closed form using the ground truth unigram distribution parameters. ", + "bbox": [ + 176, + 492, + 823, + 535 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "On this simple example, DoReMi returns domain weights [0.39,0.61,0.0] after rounding to 2 decimal places. These weights correspond to our intuitions — the first domain (non-noisy) is increased by a small amount, the third domain (noisy) is decreased to 0 weight, and most of the weight is allocated to the second domain. We use these domain weights to generate a new dataset of 500 examples. The model trained with this new dataset improves over the baseline model in perplexity on all domains. 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We then resample a dataset with these domain weights and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 355, + 471, + 368 + ], + "spans": [ + { + "bbox": [ + 141, + 355, + 471, + 368 + ], + "score": 1.0, + "content": "train a larger, full-sized model. In our experiments, we use DoReMi on a 280M-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 367, + 470, + 378 + ], + "spans": [ + { + "bbox": [ + 141, + 367, + 470, + 378 + ], + "score": 1.0, + "content": "parameter proxy model to set the domain weights for training an 8B-parameter model", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 145, + 377, + 470, + 389 + ], + "spans": [ + { + "bbox": [ + 145, + 378, + 162, + 388 + ], + "score": 0.57, + "content": "3 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 377, + 470, + 389 + ], + "score": 1.0, + "content": "larger) more efficiently. 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On the GLaM dataset, DoReMi, which has no knowledge of downstream tasks,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 432, + 466, + 444 + ], + "spans": [ + { + "bbox": [ + 141, + 432, + 466, + 444 + ], + "score": 1.0, + "content": "even matches the performance of using domain weights tuned on downstream tasks.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 13.5, + "bbox_fs": [ + 141, + 289, + 471, + 444 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 464, + 190, + 478 + ], + "lines": [ + { + "bbox": [ + 105, + 463, + 192, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 192, + 480 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 489, + 504, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 488, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 502 + ], + "score": 1.0, + "content": "Datasets for training language models (LMs) are typically sampled from a mixture of many", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "domains [17; 13; 10; 9]. For example, The Pile [17], a large publicly available dataset, is composed", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 117, + 524 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 512, + 137, + 522 + ], + "score": 0.88, + "content": "24 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 511, + 178, + 524 + ], + "score": 1.0, + "content": "web data,", + "type": "text" + }, + { + "bbox": [ + 178, + 512, + 194, + 522 + ], + "score": 0.85, + "content": "9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 511, + 240, + 524 + ], + "score": 1.0, + "content": "Wikipedia,", + "type": "text" + }, + { + "bbox": [ + 241, + 512, + 256, + 522 + ], + "score": 0.85, + "content": "4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "GitHub, etc.1 The composition of the pretraining data greatly", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 523, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 505, + 534 + ], + "score": 1.0, + "content": "affects the effectiveness of an LM [13; 20; 55]. However, it is unclear how much of each domain to", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 533, + 445, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 445, + 546 + ], + "score": 1.0, + "content": "include to produce a model that performs well for a wide variety of downstream tasks.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 488, + 505, + 546 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 550, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 105, + 548, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 505, + 563 + ], + "score": 1.0, + "content": "Existing works determine domain weights (the sampling probabilities for each domain) by using", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "score": 1.0, + "content": "intuition or a set of downstream tasks. 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First,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "score": 1.0, + "content": "DoReMi uses some initial reference domain weights to train a reference model (Step 1). The reference", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 218, + 506, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 506, + 231 + ], + "score": 1.0, + "content": "model is used to guide the training of a small proxy model using group distributionally robust", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 229, + 506, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 506, + 241 + ], + "score": 1.0, + "content": "optimization (Group DRO) over domains [35; 43; 34], which we adapt to output domain weights", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 239, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 505, + 253 + ], + "score": 1.0, + "content": "instead of a robust model (Step 2). 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Here, optimizing the domain", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 282, + 473 + ], + "score": 1.0, + "content": "weights (training a small model twice) takes", + "type": "text" + }, + { + "bbox": [ + 282, + 461, + 297, + 471 + ], + "score": 0.87, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "of the compute of training the large model. 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Second, DoReMi trains a small distributionally robust language model (DRO-LM)", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 536, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 505, + 548 + ], + "score": 1.0, + "content": "[35], which minimizes the worst-case excess loss (relative to the reference’s model’s loss) across all", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "domains. Notably, rather than using the robust LM, we take the domain weights produced by DRO", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 559, + 473, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 473, + 570 + ], + "score": 1.0, + "content": "training. 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Finally, DoReMi takes the averaged domain weights over DRO training steps.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "In Section 3, we run DoReMi on 280M proxy and reference models to optimize domain weights", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "on The Pile [17] and the GLaM dataset [13] (used in PaLM [10]). 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First,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "score": 1.0, + "content": "DoReMi uses some initial reference domain weights to train a reference model (Step 1). 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Suppose that we have", + "type": "text" + }, + { + "bbox": [ + 228, + 169, + 235, + 179 + ], + "score": 0.82, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 168, + 463, + 181 + ], + "score": 1.0, + "content": "domains (e.g., Wikipedia, GitHub), where for each domain", + "type": "text" + }, + { + "bbox": [ + 464, + 170, + 468, + 179 + ], + "score": 0.66, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 168, + 506, + 181 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 180, + 507, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 177, + 192 + ], + "score": 1.0, + "content": "a set of examples", + "type": "text" + }, + { + "bbox": [ + 177, + 180, + 189, + 191 + ], + "score": 0.89, + "content": "D _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 180, + 262, + 192 + ], + "score": 1.0, + "content": ". Domain weights", + "type": "text" + }, + { + "bbox": [ + 262, + 180, + 291, + 190 + ], + "score": 0.9, + "content": "\\alpha \\in \\bar { \\Delta } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 180, + 459, + 192 + ], + "score": 1.0, + "content": "specify a probability distribution over the", + "type": "text" + }, + { + "bbox": [ + 459, + 180, + 466, + 190 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 180, + 507, + 192 + ], + "score": 1.0, + "content": "domains,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 190, + 506, + 209 + ], + "spans": [ + { + "bbox": [ + 104, + 190, + 330, + 209 + ], + "score": 1.0, + "content": "and consequently a distribution over the training data:", + "type": "text" + }, + { + "bbox": [ + 330, + 191, + 431, + 205 + ], + "score": 0.94, + "content": "\\begin{array} { r } { P _ { \\alpha } = \\sum _ { i = 1 } ^ { k } \\alpha _ { i } \\cdot \\mathbf { u n i f } ( D _ { i } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 190, + 460, + 209 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 460, + 192, + 506, + 205 + ], + "score": 0.8, + "content": "\\mathrm { u n i f } ( D ) =", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 107, + 204, + 508, + 220 + ], + "spans": [ + { + "bbox": [ + 107, + 204, + 158, + 220 + ], + "score": 0.92, + "content": "\\textstyle { \\frac { 1 } { | D | } } \\sum _ { x \\in D } \\delta _ { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 204, + 340, + 219 + ], + "score": 1.0, + "content": "is the uniform distribution over the examples in", + "type": "text" + }, + { + "bbox": [ + 340, + 206, + 350, + 215 + ], + "score": 0.8, + "content": "D", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 204, + 366, + 219 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 366, + 205, + 393, + 217 + ], + "score": 0.92, + "content": "\\delta _ { x } ( x ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 204, + 416, + 219 + ], + "score": 1.0, + "content": "is 1 if", + "type": "text" + }, + { + "bbox": [ + 416, + 205, + 441, + 216 + ], + "score": 0.9, + "content": "x ^ { \\prime } = x", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 204, + 508, + 219 + ], + "score": 1.0, + "content": "and 0 otherwise.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 107, + 230, + 505, + 275 + ], + "lines": [ + { + "bbox": [ + 104, + 228, + 507, + 244 + ], + "spans": [ + { + "bbox": [ + 104, + 228, + 305, + 244 + ], + "score": 1.0, + "content": "DoReMi. 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The objective aims to minimize the worst-case excess loss across domains because the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 476, + 459, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 205, + 488 + ], + "score": 1.0, + "content": "inner maximization over", + "type": "text" + }, + { + "bbox": [ + 205, + 478, + 213, + 486 + ], + "score": 0.77, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 476, + 459, + 488 + ], + "score": 1.0, + "content": "puts all the weight on the domain with the highest excess loss.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 106, + 491, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 105, + 490, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 214, + 505 + ], + "score": 1.0, + "content": "Intuitively, the excess loss", + "type": "text" + }, + { + "bbox": [ + 214, + 491, + 277, + 504 + ], + "score": 0.91, + "content": "( \\ell _ { \\theta } ( x ) - \\ell _ { \\mathrm { r e f } } ( x ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 490, + 506, + 505 + ], + "score": 1.0, + "content": "measures the headroom for the proxy model to improve,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 296, + 516 + ], + "score": 1.0, + "content": "with respect to the reference model, on example", + "type": "text" + }, + { + "bbox": [ + 296, + 505, + 303, + 513 + ], + "score": 0.71, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 502, + 506, + 516 + ], + "score": 1.0, + "content": ". Examples with higher excess loss are those where", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 513, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 505, + 526 + ], + "score": 1.0, + "content": "the reference model achieves low loss (such that the example is “learnable”) but the proxy model still", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 524, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 537 + ], + "score": 1.0, + "content": "has high loss. Examples with low excess loss may be very high entropy (i.e. optimal loss is high, and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 534, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 549 + ], + "score": 1.0, + "content": "thus the reference loss is high) or very low entropy (i.e., easy to learn, and thus the proxy loss is low).", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "score": 1.0, + "content": "The Group DRO optimizer works by interleaving exponentiated gradient ascent updates on domain", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 557, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 139, + 570 + ], + "score": 1.0, + "content": "weights", + "type": "text" + }, + { + "bbox": [ + 140, + 559, + 150, + 568 + ], + "score": 0.86, + "content": "\\alpha _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 557, + 352, + 570 + ], + "score": 1.0, + "content": "with gradient updates on the proxy model weights", + "type": "text" + }, + { + "bbox": [ + 352, + 558, + 361, + 568 + ], + "score": 0.88, + "content": "\\theta _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 557, + 437, + 570 + ], + "score": 1.0, + "content": "over training steps", + "type": "text" + }, + { + "bbox": [ + 438, + 559, + 443, + 567 + ], + "score": 0.69, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 557, + 506, + 570 + ], + "score": 1.0, + "content": ". 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The main structure of Algo-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 671, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 345, + 684 + ], + "score": 1.0, + "content": "rithm 1 is a training loop which updates the proxy model over", + "type": "text" + }, + { + "bbox": [ + 346, + 673, + 354, + 681 + ], + "score": 0.84, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 671, + 505, + 684 + ], + "score": 1.0, + "content": "steps. At each step, we follow Sagawa", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 682, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 505, + 694 + ], + "score": 1.0, + "content": "et al. [43] and sample a minibatch with uniform domain weights (regardless of the reference domain", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 105, + 701, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 118, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 118, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "2A public re-implementation of DoReMi and optimized domain weights for The Pile can be found at", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 711, + 299, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 299, + 722 + ], + "score": 1.0, + "content": "https://github.com/sangmichaelxie/doremi.", + "type": "text" + } + ] + } + ] + }, + { + "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": [ + 105, + 72, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 505, + 85 + ], + "score": 1.0, + "content": "GLaM dataset where domain weights tuned on downstream tasks are available, DoReMi even performs", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 83, + 399, + 96 + ], + "spans": [ + { + "bbox": [ + 104, + 83, + 399, + 96 + ], + "score": 1.0, + "content": "comparably to tuning domain weights on downstream task performance.2", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 104, + 72, + 505, + 96 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 110, + 430, + 124 + ], + "lines": [ + { + "bbox": [ + 104, + 108, + 432, + 127 + ], + "spans": [ + { + "bbox": [ + 104, + 108, + 432, + 127 + ], + "score": 1.0, + "content": "2 Domain Reweighting with Minimax Optimization (DoReMi)", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 135, + 503, + 157 + ], + "lines": [ + { + "bbox": [ + 105, + 134, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 105, + 134, + 505, + 148 + ], + "score": 1.0, + "content": "In this section we define DoReMi, an algorithm for using a small proxy model to optimize the domain", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 145, + 465, + 158 + ], + "spans": [ + { + "bbox": [ + 105, + 145, + 465, + 158 + ], + "score": 1.0, + "content": "weights of a language modeling dataset, which then improves the training of a large model.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 134, + 505, + 158 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 168, + 506, + 219 + ], + "lines": [ + { + "bbox": [ + 105, + 168, + 506, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 228, + 181 + ], + "score": 1.0, + "content": "Setup. 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To obtain domain", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 353, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 353, + 264, + 365 + ], + "score": 1.0, + "content": "weights, we train a small proxy model", + "type": "text" + }, + { + "bbox": [ + 264, + 354, + 275, + 364 + ], + "score": 0.82, + "content": "p _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 353, + 505, + 365 + ], + "score": 1.0, + "content": "in the distributionally robust language modeling (DRO-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 363, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 360, + 377 + ], + "score": 1.0, + "content": "LM) [35] framework with the Group DRO optimizer [43], where", + "type": "text" + }, + { + "bbox": [ + 360, + 365, + 366, + 374 + ], + "score": 0.79, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 363, + 506, + 377 + ], + "score": 1.0, + "content": "are the weights of the proxy model.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 374, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 506, + 388 + ], + "score": 1.0, + "content": "This framework trains a robust model by optimizing the worst-case loss over domains, which is", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 386, + 293, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 293, + 398 + ], + "score": 1.0, + "content": "equivalent to the following minimax objective:", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 342, + 506, + 398 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 184, + 402, + 426, + 437 + ], + "lines": [ + { + "bbox": [ + 184, + 402, + 426, + 437 + ], + "spans": [ + { + "bbox": [ + 184, + 402, + 426, + 437 + ], + "score": 0.94, + "content": "\\operatorname* { m i n } _ { \\theta } \\operatorname* { m a x } _ { \\alpha \\in \\Delta ^ { k } } L ( \\theta , \\alpha ) : = \\sum _ { i = 1 } ^ { k } \\alpha _ { i } \\cdot \\left[ \\frac { 1 } { \\sum _ { \\boldsymbol { x } \\in D _ { i } } \\left| \\boldsymbol { x } \\right| } \\sum _ { \\boldsymbol { x } \\in D _ { i } } \\ell _ { \\theta } ( \\boldsymbol { x } ) - \\ell _ { \\mathrm { r e f } } ( \\boldsymbol { x } ) \\right]", + "type": "interline_equation", + "image_path": "26a99ce724346337e17d068538dace428b3f31d055480a2ab91c2e2637a8867b.jpg" + } + ] + } + ], + "index": 22.5, + "virtual_lines": [ + { + "bbox": [ + 184, + 402, + 426, + 419.5 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 184, + 419.5, + 426, + 437.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 442, + 505, + 487 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 176, + 456 + ], + "score": 1.0, + "content": "where the losses", + "type": "text" + }, + { + "bbox": [ + 176, + 443, + 261, + 455 + ], + "score": 0.92, + "content": "\\ell _ { \\theta } ( x ) = - \\log \\ p _ { \\theta } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 443, + 280, + 456 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 280, + 442, + 372, + 455 + ], + "score": 0.9, + "content": "\\ell _ { \\mathrm { { r e f } } } ( x ) = - \\log \\ p _ { \\mathrm { { r e f } } } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "are the negative log-likelihoods", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 371, + 466 + ], + "score": 1.0, + "content": "of the proxy and reference models respectively in this paper, and", + "type": "text" + }, + { + "bbox": [ + 372, + 454, + 384, + 466 + ], + "score": 0.89, + "content": "| x |", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 454, + 505, + 466 + ], + "score": 1.0, + "content": "is the number of tokens in an", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 465, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 143, + 476 + ], + "score": 1.0, + "content": "example", + "type": "text" + }, + { + "bbox": [ + 143, + 466, + 150, + 474 + ], + "score": 0.77, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 465, + 505, + 476 + ], + "score": 1.0, + "content": ". The objective aims to minimize the worst-case excess loss across domains because the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 476, + 459, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 205, + 488 + ], + "score": 1.0, + "content": "inner maximization over", + "type": "text" + }, + { + "bbox": [ + 205, + 478, + 213, + 486 + ], + "score": 0.77, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 476, + 459, + 488 + ], + "score": 1.0, + "content": "puts all the weight on the domain with the highest excess loss.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 442, + 505, + 488 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 491, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 105, + 490, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 214, + 505 + ], + "score": 1.0, + "content": "Intuitively, the excess loss", + "type": "text" + }, + { + "bbox": [ + 214, + 491, + 277, + 504 + ], + "score": 0.91, + "content": "( \\ell _ { \\theta } ( x ) - \\ell _ { \\mathrm { r e f } } ( x ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 490, + 506, + 505 + ], + "score": 1.0, + "content": "measures the headroom for the proxy model to improve,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 296, + 516 + ], + "score": 1.0, + "content": "with respect to the reference model, on example", + "type": "text" + }, + { + "bbox": [ + 296, + 505, + 303, + 513 + ], + "score": 0.71, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 502, + 506, + 516 + ], + "score": 1.0, + "content": ". Examples with higher excess loss are those where", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 513, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 505, + 526 + ], + "score": 1.0, + "content": "the reference model achieves low loss (such that the example is “learnable”) but the proxy model still", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 524, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 537 + ], + "score": 1.0, + "content": "has high loss. Examples with low excess loss may be very high entropy (i.e. optimal loss is high, and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 534, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 549 + ], + "score": 1.0, + "content": "thus the reference loss is high) or very low entropy (i.e., easy to learn, and thus the proxy loss is low).", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "score": 1.0, + "content": "The Group DRO optimizer works by interleaving exponentiated gradient ascent updates on domain", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 557, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 139, + 570 + ], + "score": 1.0, + "content": "weights", + "type": "text" + }, + { + "bbox": [ + 140, + 559, + 150, + 568 + ], + "score": 0.86, + "content": "\\alpha _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 557, + 352, + 570 + ], + "score": 1.0, + "content": "with gradient updates on the proxy model weights", + "type": "text" + }, + { + "bbox": [ + 352, + 558, + 361, + 568 + ], + "score": 0.88, + "content": "\\theta _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 557, + 437, + 570 + ], + "score": 1.0, + "content": "over training steps", + "type": "text" + }, + { + "bbox": [ + 438, + 559, + 443, + 567 + ], + "score": 0.69, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 557, + 506, + 570 + ], + "score": 1.0, + "content": ". The optimizer", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 568, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 140, + 582 + ], + "score": 1.0, + "content": "updates", + "type": "text" + }, + { + "bbox": [ + 140, + 570, + 151, + 579 + ], + "score": 0.85, + "content": "\\alpha _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 568, + 506, + 582 + ], + "score": 1.0, + "content": "to upweight domains with high excess loss, which scales up the proxy model’s gradient", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "score": 1.0, + "content": "update on examples from these domains. Following Nemirovski et al. [34], we return the average", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 590, + 502, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 246, + 608 + ], + "score": 1.0, + "content": "weights over the training trajectory", + "type": "text" + }, + { + "bbox": [ + 246, + 590, + 305, + 605 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\bar { \\alpha } = \\frac { 1 } { T } \\sum _ { i = 1 } ^ { T } \\alpha _ { t } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 591, + 502, + 608 + ], + "score": 1.0, + "content": "as the optimized domain weights to use in step 3.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 490, + 506, + 608 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 615, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 106, + 614, + 506, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 614, + 444, + 628 + ], + "score": 1.0, + "content": "Step 3: Train large model with new domain weights. The tuned domain weights", + "type": "text" + }, + { + "bbox": [ + 444, + 617, + 452, + 625 + ], + "score": 0.75, + "content": "\\bar { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 614, + 506, + 628 + ], + "score": 1.0, + "content": "define a new", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 626, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 186, + 638 + ], + "score": 1.0, + "content": "training distribution", + "type": "text" + }, + { + "bbox": [ + 187, + 627, + 199, + 637 + ], + "score": 0.87, + "content": "P _ { \\bar { \\alpha } }", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 626, + 505, + 638 + ], + "score": 1.0, + "content": ". We resample the data from this new distribution to train a main model (larger", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 637, + 385, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 385, + 649 + ], + "score": 1.0, + "content": "than the reference/proxy models), using a standard training procedure.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39, + "bbox_fs": [ + 106, + 614, + 506, + 649 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 660, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 106, + 659, + 507, + 673 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 507, + 673 + ], + "score": 1.0, + "content": "Details for Step 2. Algorithm 1 provides the pseudocode for Step 2. The main structure of Algo-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 671, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 345, + 684 + ], + "score": 1.0, + "content": "rithm 1 is a training loop which updates the proxy model over", + "type": "text" + }, + { + "bbox": [ + 346, + 673, + 354, + 681 + ], + "score": 0.84, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 671, + 505, + 684 + ], + "score": 1.0, + "content": "steps. At each step, we follow Sagawa", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 682, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 505, + 694 + ], + "score": 1.0, + "content": "et al. [43] and sample a minibatch with uniform domain weights (regardless of the reference domain", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 294, + 506, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 141, + 308 + ], + "score": 1.0, + "content": "weights", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 141, + 297, + 157, + 306 + ], + "score": 0.86, + "content": "\\alpha _ { \\mathrm { r e f } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 158, + 294, + 506, + 308 + ], + "score": 1.0, + "content": ", which only affects the reference model). We then compute the per-domain excess", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 306, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 306, + 505, + 318 + ], + "score": 1.0, + "content": "losses, normalized by the total number of tokens in each domain, and use them to update the domain", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 317, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 140, + 329 + ], + "score": 1.0, + "content": "weights", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 140, + 318, + 151, + 328 + ], + "score": 0.84, + "content": "\\alpha _ { t }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 151, + 317, + 506, + 329 + ], + "score": 1.0, + "content": "at each step. 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Since the Group DRO optimizer [43] requires a non-negative", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "loss, we clip the per-token excess loss at 0. Finally, we update the proxy model for the objective", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 359, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 107, + 360, + 153, + 372 + ], + "score": 0.92, + "content": "L ( \\theta _ { t - 1 } , \\alpha _ { t } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 153, + 359, + 506, + 374 + ], + "score": 1.0, + "content": "using a standard optimizer such as Adam [26] or Adafactor [46]. All experiments in this", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 370, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 366, + 384 + ], + "score": 1.0, + "content": "paper use Adafactor. We set the domain weight update step size to", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 366, + 372, + 388, + 383 + ], + "score": 0.91, + "content": "\\eta = 1", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 388, + 370, + 506, + 384 + ], + "score": 1.0, + "content": "and the smoothing parameter", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 381, + 442, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 116, + 395 + ], + "score": 1.0, + "content": "to", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 117, + 383, + 148, + 392 + ], + "score": 0.87, + "content": "c { = } 1 \\mathrm { e } { - } 3", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 149, + 381, + 442, + 395 + ], + "score": 1.0, + "content": "in all our experiments and did not extensively tune these hyperparameters.", + "type": "text", + "cross_page": true + } + ], + "index": 12 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 659, + 507, + 694 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 105, + 83, + 507, + 272 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 108, + 72, + 310, + 84 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 69, + 312, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 312, + 87 + ], + "score": 1.0, + "content": "Algorithm 1 DoReMi domain reweighting (Step 2)", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 105, + 83, + 507, + 272 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 83, + 507, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 507, + 272 + ], + "score": 0.938, + "html": "
Require: Domain data D1,.,Dk,number of training steps T, batch size b,step size n, smoothing parameterc∈ [0,1] (e.g.,c=1e-3 in our implementation).
Initialize proxy weights 0o
Initialize domain weights αo = 11
for t from 1 to T doSample minibatch B={xi1,,xj} of size b from Pu, where u= 1
Let |x| be the token length of example x (|x|≤ L)
Compute per-domain excess losses for each domain i∈ {1,2,.,k} (le.,j(x) is j-th token-level
loss): 1 1|xmax{lθt-1,j(x)-lref,j(x),0}
入t[i]←Ω∈BnD ∑xEBnDi∑j=11 |xUpdate domain weights (exp is entrywise): αt ← αt-1exp(n入t)
Renormalize and smooth domain weights: αt ← (1-c)a +cu
end forUpdate proxy model weights 0t for the objective L(0t-1,αt) (using Adam, Adafactor, etc.)
", + "type": "table", + "image_path": "7655669a086565133177bf533969ede41b6f156f44faea32aa140fb6cdb1364b.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 105, + 83, + 507, + 146.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 105, + 146.0, + 507, + 209.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 105, + 209.0, + 507, + 272.0 + ], + "spans": [], + "index": 3 + } + ] + } + ], + "index": 1.0 + }, + { + "type": "text", + "bbox": [ + 106, + 294, + 505, + 394 + ], + "lines": [ + { + "bbox": [ + 106, + 294, + 506, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 141, + 308 + ], + "score": 1.0, + "content": "weights", + "type": "text" + }, + { + "bbox": [ + 141, + 297, + 157, + 306 + ], + "score": 0.86, + "content": "\\alpha _ { \\mathrm { r e f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 294, + 506, + 308 + ], + "score": 1.0, + "content": ", which only affects the reference model). We then compute the per-domain excess", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 306, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 306, + 505, + 318 + ], + "score": 1.0, + "content": "losses, normalized by the total number of tokens in each domain, and use them to update the domain", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 317, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 140, + 329 + ], + "score": 1.0, + "content": "weights", + "type": "text" + }, + { + "bbox": [ + 140, + 318, + 151, + 328 + ], + "score": 0.84, + "content": "\\alpha _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 317, + 506, + 329 + ], + "score": 1.0, + "content": "at each step. We first compute the per-domain excess loss at a per-token level and then", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 326, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 301, + 343 + ], + "score": 1.0, + "content": "aggregate, where the token-level losses at index", + "type": "text" + }, + { + "bbox": [ + 301, + 329, + 307, + 339 + ], + "score": 0.82, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 326, + 323, + 343 + ], + "score": 1.0, + "content": "are", + "type": "text" + }, + { + "bbox": [ + 323, + 327, + 487, + 340 + ], + "score": 0.91, + "content": "\\ell _ { \\theta _ { t - 1 } , j } ( \\boldsymbol { x } ) = - \\mathrm { l o g } p _ { \\theta _ { t - 1 } } \\bar { ( x _ { j } | x _ { 1 } , \\ldots , x _ { j - 1 } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 326, + 506, + 343 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 337, + 507, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 254, + 351 + ], + "score": 0.93, + "content": "\\bar { \\ell _ { \\mathrm { r e f } , j } } ( \\bar { x } ) = - \\log p _ { \\mathrm { r e f } } ( x _ { j } | x _ { 1 } , . . . , x _ { j - 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 337, + 507, + 353 + ], + "score": 1.0, + "content": ". Since the Group DRO optimizer [43] requires a non-negative", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "loss, we clip the per-token excess loss at 0. Finally, we update the proxy model for the objective", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 359, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 107, + 360, + 153, + 372 + ], + "score": 0.92, + "content": "L ( \\theta _ { t - 1 } , \\alpha _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 359, + 506, + 374 + ], + "score": 1.0, + "content": "using a standard optimizer such as Adam [26] or Adafactor [46]. All experiments in this", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 370, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 366, + 384 + ], + "score": 1.0, + "content": "paper use Adafactor. We set the domain weight update step size to", + "type": "text" + }, + { + "bbox": [ + 366, + 372, + 388, + 383 + ], + "score": 0.91, + "content": "\\eta = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 370, + 506, + 384 + ], + "score": 1.0, + "content": "and the smoothing parameter", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 381, + 442, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 116, + 395 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 383, + 148, + 392 + ], + "score": 0.87, + "content": "c { = } 1 \\mathrm { e } { - } 3", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 381, + 442, + 395 + ], + "score": 1.0, + "content": "in all our experiments and did not extensively tune these hyperparameters.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 107, + 407, + 505, + 463 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 506, + 420 + ], + "score": 1.0, + "content": "Iterated DoReMi. We extend DoReMi by running it for multiple rounds, setting the reference", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 418, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 171, + 430 + ], + "score": 1.0, + "content": "domain weights", + "type": "text" + }, + { + "bbox": [ + 171, + 420, + 187, + 430 + ], + "score": 0.88, + "content": "\\alpha _ { \\mathrm { r e f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 418, + 280, + 430 + ], + "score": 1.0, + "content": "for the next round to be", + "type": "text" + }, + { + "bbox": [ + 280, + 420, + 288, + 428 + ], + "score": 0.77, + "content": "\\bar { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 418, + 506, + 430 + ], + "score": 1.0, + "content": "from the previous round. We call this iterated DoReMi.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 427, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 506, + 444 + ], + "score": 1.0, + "content": "The entire iterated process still only uses small models for tuning domain weights. We stop iterating", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 439, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 505, + 453 + ], + "score": 1.0, + "content": "when the domain weights converge, which we define as when maximum change in any domain weight", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 451, + 502, + 464 + ], + "spans": [ + { + "bbox": [ + 107, + 451, + 155, + 463 + ], + "score": 0.92, + "content": "\\left\\| \\bar { \\alpha } - \\alpha _ { \\mathrm { r e f } } \\right\\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 451, + 502, + 464 + ], + "score": 1.0, + "content": "is less than 1e-3. Empirically, this takes only 3 rounds on the GLaM dataset (Section 3.2).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 107, + 479, + 430, + 494 + ], + "lines": [ + { + "bbox": [ + 104, + 479, + 433, + 497 + ], + "spans": [ + { + "bbox": [ + 104, + 479, + 433, + 497 + ], + "score": 1.0, + "content": "3 DoReMi Improves LM Training Efficiency and Performance", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 506, + 505, + 572 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 505, + 518 + ], + "score": 1.0, + "content": "In this section, we use DoReMi domain weights optimized with a 280M-parameter proxy model to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 518, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 241, + 529 + ], + "score": 1.0, + "content": "train a 8B-parameter main model", + "type": "text" + }, + { + "bbox": [ + 241, + 518, + 258, + 528 + ], + "score": 0.52, + "content": "3 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 518, + 505, + 529 + ], + "score": 1.0, + "content": "larger). We consider two datasets, The Pile [17] and the GLaM", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 527, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 542 + ], + "score": 1.0, + "content": "dataset [13]. On The Pile, DoReMi reduces perplexity significantly on every domain, improves average", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 320, + 552 + ], + "score": 1.0, + "content": "downstream accuracy on generative one-shot tasks by", + "type": "text" + }, + { + "bbox": [ + 321, + 540, + 343, + 550 + ], + "score": 0.87, + "content": "6 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 539, + 485, + 552 + ], + "score": 1.0, + "content": ", and achieves the baseline accuracy", + "type": "text" + }, + { + "bbox": [ + 485, + 540, + 505, + 550 + ], + "score": 0.46, + "content": "2 . 6 \\mathbf { x }", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 551, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 506, + 562 + ], + "score": 1.0, + "content": "faster. On the GLaM dataset where domain weights tuned on downstream datasets are available,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 561, + 503, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 503, + 573 + ], + "score": 1.0, + "content": "DoReMi finds domain weights with comparable performance to downstream-tuned domain weights.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5 + }, + { + "type": "title", + "bbox": [ + 107, + 587, + 213, + 600 + ], + "lines": [ + { + "bbox": [ + 105, + 585, + 214, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 214, + 603 + ], + "score": 1.0, + "content": "3.1 Experimental setup", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 608, + 505, + 642 + ], + "lines": [ + { + "bbox": [ + 106, + 608, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 505, + 621 + ], + "score": 1.0, + "content": "The Pile dataset. The Pile [17] is a 800GB text dataset with 22 domains (Table 1). The default", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 620, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 620, + 505, + 631 + ], + "score": 1.0, + "content": "domain weights were determined heuristically. 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The GLaM dataset [13] (also used in training PaLM [10]) includes text from 8", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "domains (Table 2). For comparison, the GLaM domain weights (downstream-tuned) were tuned", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "according to the downstream performance of models trained on each domain and the size of each", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "score": 1.0, + "content": "domain [13]. 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Require: Domain data D1,.,Dk,number of training steps T, batch size b,step size n, smoothing parameterc∈ [0,1] (e.g.,c=1e-3 in our implementation).
Initialize proxy weights 0o
Initialize domain weights αo = 11
for t from 1 to T doSample minibatch B={xi1,,xj} of size b from Pu, where u= 1
Let |x| be the token length of example x (|x|≤ L)
Compute per-domain excess losses for each domain i∈ {1,2,.,k} (le.,j(x) is j-th token-level
loss): 1 1|xmax{lθt-1,j(x)-lref,j(x),0}
入t[i]←Ω∈BnD ∑xEBnDi∑j=11 |xUpdate domain weights (exp is entrywise): αt ← αt-1exp(n入t)
Renormalize and smooth domain weights: αt ← (1-c)a +cu
end forUpdate proxy model weights 0t for the objective L(0t-1,αt) (using Adam, Adafactor, etc.)
", + "type": "table", + "image_path": "7655669a086565133177bf533969ede41b6f156f44faea32aa140fb6cdb1364b.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 105, + 83, + 507, + 146.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 105, + 146.0, + 507, + 209.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 105, + 209.0, + 507, + 272.0 + ], + "spans": [], + "index": 3 + } + ] + } + ], + "index": 1.0 + }, + { + "type": "text", + "bbox": [ + 106, + 294, + 505, + 394 + ], + "lines": [], + "index": 8, + "bbox_fs": [ + 105, + 294, + 507, + 395 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 407, + 505, + 463 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 506, + 420 + ], + "score": 1.0, + "content": "Iterated DoReMi. We extend DoReMi by running it for multiple rounds, setting the reference", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 418, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 171, + 430 + ], + "score": 1.0, + "content": "domain weights", + "type": "text" + }, + { + "bbox": [ + 171, + 420, + 187, + 430 + ], + "score": 0.88, + "content": "\\alpha _ { \\mathrm { r e f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 418, + 280, + 430 + ], + "score": 1.0, + "content": "for the next round to be", + "type": "text" + }, + { + "bbox": [ + 280, + 420, + 288, + 428 + ], + "score": 0.77, + "content": "\\bar { \\alpha }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 418, + 506, + 430 + ], + "score": 1.0, + "content": "from the previous round. We call this iterated DoReMi.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 427, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 506, + 444 + ], + "score": 1.0, + "content": "The entire iterated process still only uses small models for tuning domain weights. We stop iterating", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 439, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 505, + 453 + ], + "score": 1.0, + "content": "when the domain weights converge, which we define as when maximum change in any domain weight", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 451, + 502, + 464 + ], + "spans": [ + { + "bbox": [ + 107, + 451, + 155, + 463 + ], + "score": 0.92, + "content": "\\left\\| \\bar { \\alpha } - \\alpha _ { \\mathrm { r e f } } \\right\\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 451, + 502, + 464 + ], + "score": 1.0, + "content": "is less than 1e-3. Empirically, this takes only 3 rounds on the GLaM dataset (Section 3.2).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 406, + 506, + 464 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 479, + 430, + 494 + ], + "lines": [ + { + "bbox": [ + 104, + 479, + 433, + 497 + ], + "spans": [ + { + "bbox": [ + 104, + 479, + 433, + 497 + ], + "score": 1.0, + "content": "3 DoReMi Improves LM Training Efficiency and Performance", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 506, + 505, + 572 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 505, + 518 + ], + "score": 1.0, + "content": "In this section, we use DoReMi domain weights optimized with a 280M-parameter proxy model to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 518, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 241, + 529 + ], + "score": 1.0, + "content": "train a 8B-parameter main model", + "type": "text" + }, + { + "bbox": [ + 241, + 518, + 258, + 528 + ], + "score": 0.52, + "content": "3 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 518, + 505, + 529 + ], + "score": 1.0, + "content": "larger). We consider two datasets, The Pile [17] and the GLaM", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 527, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 542 + ], + "score": 1.0, + "content": "dataset [13]. On The Pile, DoReMi reduces perplexity significantly on every domain, improves average", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 320, + 552 + ], + "score": 1.0, + "content": "downstream accuracy on generative one-shot tasks by", + "type": "text" + }, + { + "bbox": [ + 321, + 540, + 343, + 550 + ], + "score": 0.87, + "content": "6 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 539, + 485, + 552 + ], + "score": 1.0, + "content": ", and achieves the baseline accuracy", + "type": "text" + }, + { + "bbox": [ + 485, + 540, + 505, + 550 + ], + "score": 0.46, + "content": "2 . 6 \\mathbf { x }", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 551, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 506, + 562 + ], + "score": 1.0, + "content": "faster. On the GLaM dataset where domain weights tuned on downstream datasets are available,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 561, + 503, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 503, + 573 + ], + "score": 1.0, + "content": "DoReMi finds domain weights with comparable performance to downstream-tuned domain weights.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 507, + 506, + 573 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 587, + 213, + 600 + ], + "lines": [ + { + "bbox": [ + 105, + 585, + 214, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 214, + 603 + ], + "score": 1.0, + "content": "3.1 Experimental setup", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 608, + 505, + 642 + ], + "lines": [ + { + "bbox": [ + 106, + 608, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 505, + 621 + ], + "score": 1.0, + "content": "The Pile dataset. The Pile [17] is a 800GB text dataset with 22 domains (Table 1). The default", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 620, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 620, + 505, + 631 + ], + "score": 1.0, + "content": "domain weights were determined heuristically. We use the default domain weights from The Pile", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 630, + 496, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 360, + 643 + ], + "score": 1.0, + "content": "dataset to train the baseline and as the reference domain weights", + "type": "text" + }, + { + "bbox": [ + 360, + 632, + 376, + 642 + ], + "score": 0.86, + "content": "\\alpha _ { \\mathrm { r e f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 630, + 496, + 643 + ], + "score": 1.0, + "content": "in DoReMi (see Appendix C).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 608, + 505, + 643 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "GLaM dataset. The GLaM dataset [13] (also used in training PaLM [10]) includes text from 8", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "domains (Table 2). For comparison, the GLaM domain weights (downstream-tuned) were tuned", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "according to the downstream performance of models trained on each domain and the size of each", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "score": 1.0, + "content": "domain [13]. We consider this an oracle comparison, since these domain weights are tuned on", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 698, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 714 + ], + "score": 1.0, + "content": "downstream tasks that are in our evaluation set. We use uniform domain weights both for training", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 710, + 360, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 290, + 723 + ], + "score": 1.0, + "content": "the baseline and the reference domain weights", + "type": "text" + }, + { + "bbox": [ + 290, + 712, + 306, + 722 + ], + "score": 0.87, + "content": "\\alpha _ { \\mathrm { r e f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 710, + 360, + 723 + ], + "score": 1.0, + "content": "for DoReMi.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 655, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "Training setup. We train Transformer [51] decoder-only LMs with the standard next-token language", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "modeling loss. We conduct a controlled comparison by equalizing the amount of compute, measured", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 92, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 458, + 108 + ], + "score": 1.0, + "content": "by the number of tokens processed during training. For The Pile, we train each model for", + "type": "text" + }, + { + "bbox": [ + 459, + 95, + 480, + 105 + ], + "score": 0.3, + "content": "2 0 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 92, + 506, + 108 + ], + "score": 1.0, + "content": "steps;", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 117 + ], + "score": 1.0, + "content": "for the GLaM dataset, we train each model for 300k steps. All models use a batch size of 512 and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "maximum token length of 1024. The proxy and reference models have 280M parameters. All models", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 128, + 375, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 375, + 139 + ], + "score": 1.0, + "content": "are trained from scratch (other hyperparameters are in Appendix C).", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 152, + 505, + 207 + ], + "lines": [ + { + "bbox": [ + 106, + 151, + 506, + 164 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 506, + 164 + ], + "score": 1.0, + "content": "Evaluation. We use held-out validation data to measure the perplexity on each domain. For", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 163, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 106, + 163, + 506, + 174 + ], + "score": 1.0, + "content": "downstream evaluation, we use the generative one-shot tasks from the GPT-3 paper [9]: TriviaQA [21],", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 173, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 106, + 173, + 506, + 186 + ], + "score": 1.0, + "content": "NaturalQuestions [27], WebQuestions [5], SQuADv2 [41], and LAMBADA [36]. We use the standard", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 184, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 184, + 505, + 198 + ], + "score": 1.0, + "content": "exact-match accuracy metric for the these datasets. The performance on these datasets (particularly", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 194, + 474, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 474, + 208 + ], + "score": 1.0, + "content": "TriviaQA) has been shown to correlate well with model scale even at the 100M–1B range [9].", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 108, + 220, + 503, + 253 + ], + "lines": [ + { + "bbox": [ + 106, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 106, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "Compute used for optimizing domain weights. We train two 280M models (the reference and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 231, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 329, + 244 + ], + "score": 1.0, + "content": "proxy models) to optimize the domain weights. This is", + "type": "text" + }, + { + "bbox": [ + 329, + 231, + 344, + 242 + ], + "score": 0.86, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 231, + 505, + 244 + ], + "score": 1.0, + "content": "of the FLOPs required to train the main", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 241, + 397, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 397, + 254 + ], + "score": 1.0, + "content": "8B model. All FLOPs come from standard forward and backward passes.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 266, + 505, + 322 + ], + "lines": [ + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "score": 1.0, + "content": "Notation for model sizes in DoReMi. We denote the size of the reference/proxy models (which", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 277, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 505, + 290 + ], + "score": 1.0, + "content": "are always the same size in our experiments) and the size of the main model trained with DoReMi", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 288, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 318, + 302 + ], + "score": 1.0, + "content": "domain weights as “DoReMi (size of reference/proxy", + "type": "text" + }, + { + "bbox": [ + 318, + 290, + 329, + 299 + ], + "score": 0.79, + "content": "", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 288, + 505, + 302 + ], + "score": 1.0, + "content": "size of main model)”: for example, DoReMi", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 108, + 299, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 108, + 300, + 156, + 311 + ], + "score": 0.79, + "content": "( 2 8 0 \\mathbf { M } \\partial \\mathbf { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 299, + 506, + 313 + ], + "score": 1.0, + "content": "). When we are discussing the optimized domain weights independently of the main model,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 310, + 502, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 502, + 323 + ], + "score": 1.0, + "content": "we only include one number (e.g., DoReMi (280M)) which refers to the reference/proxy model size.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16 + }, + { + "type": "image", + "bbox": [ + 107, + 342, + 503, + 487 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 107, + 342, + 503, + 487 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 342, + 503, + 487 + ], + "spans": [ + { + "bbox": [ + 107, + 342, + 503, + 487 + ], + "score": 0.97, + "type": "image", + "image_path": "c82c4572a83e6ad2e7483af0c2e22ab035cfb92531469998ba3d8ae1e4fb02b7.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 107, + 342, + 503, + 390.3333333333333 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 107, + 390.3333333333333, + 503, + 438.66666666666663 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 107, + 438.66666666666663, + 503, + 486.99999999999994 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 493, + 506, + 548 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "Figure 3: Average one-shot downstream accuracy (exact match) on 5 tasks, with 8B parameter models", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 503, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 517 + ], + "score": 1.0, + "content": "trained on The Pile (left) and the GLaM dataset (right). On The Pile, DoReMi improves downstream", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 514, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 155, + 528 + ], + "score": 1.0, + "content": "accuracy by", + "type": "text" + }, + { + "bbox": [ + 155, + 515, + 177, + 526 + ], + "score": 0.86, + "content": "6 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 514, + 339, + 528 + ], + "score": 1.0, + "content": "points and achieves the baseline accuracy", + "type": "text" + }, + { + "bbox": [ + 340, + 515, + 358, + 525 + ], + "score": 0.26, + "content": "2 . 6 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 359, + 514, + 506, + 528 + ], + "score": 1.0, + "content": "faster (same plot as Figure 2). On the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 525, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 539 + ], + "score": 1.0, + "content": "GLaM dataset, iterated DoReMi (round 2) attains comparable performance to oracle domain weights", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 537, + 336, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 336, + 548 + ], + "score": 1.0, + "content": "tuned with downstream tasks that are in our evaluation set.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24 + } + ], + "index": 22.0 + }, + { + "type": "image", + "bbox": [ + 129, + 560, + 480, + 690 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 129, + 560, + 480, + 690 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 129, + 560, + 480, + 690 + ], + "spans": [ + { + "bbox": [ + 129, + 560, + 480, + 690 + ], + "score": 0.967, + "type": "image", + "image_path": "64db13502c3c7e8c7a388b92d08f0371f846dfcb89d586027d08d7177ce7e65e.jpg" + } + ] + } + ], + "index": 28, + "virtual_lines": [ + { + "bbox": [ + 129, + 560, + 480, + 603.3333333333334 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 129, + 603.3333333333334, + 480, + 646.6666666666667 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 129, + 646.6666666666667, + 480, + 690.0000000000001 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 104, + 696, + 506, + 719 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 695, + 507, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 695, + 507, + 711 + ], + "score": 1.0, + "content": "Figure 4: Per-domain log-perplexity of 8B models on The Pile. Despite downweighting some domains,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 707, + 303, + 720 + ], + "spans": [ + { + "bbox": [ + 105, + 707, + 303, + 720 + ], + "score": 1.0, + "content": "DoReMi improves log-perplexity on all domains.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5 + } + ], + "index": 29.25 + } + ], + "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": [ + 106, + 72, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "Training setup. We train Transformer [51] decoder-only LMs with the standard next-token language", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "modeling loss. We conduct a controlled comparison by equalizing the amount of compute, measured", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 92, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 458, + 108 + ], + "score": 1.0, + "content": "by the number of tokens processed during training. For The Pile, we train each model for", + "type": "text" + }, + { + "bbox": [ + 459, + 95, + 480, + 105 + ], + "score": 0.3, + "content": "2 0 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 92, + 506, + 108 + ], + "score": 1.0, + "content": "steps;", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 117 + ], + "score": 1.0, + "content": "for the GLaM dataset, we train each model for 300k steps. All models use a batch size of 512 and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "maximum token length of 1024. The proxy and reference models have 280M parameters. All models", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 128, + 375, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 375, + 139 + ], + "score": 1.0, + "content": "are trained from scratch (other hyperparameters are in Appendix C).", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 72, + 506, + 139 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 152, + 505, + 207 + ], + "lines": [ + { + "bbox": [ + 106, + 151, + 506, + 164 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 506, + 164 + ], + "score": 1.0, + "content": "Evaluation. We use held-out validation data to measure the perplexity on each domain. 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The performance on these datasets (particularly", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 194, + 474, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 474, + 208 + ], + "score": 1.0, + "content": "TriviaQA) has been shown to correlate well with model scale even at the 100M–1B range [9].", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 151, + 506, + 208 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 220, + 503, + 253 + ], + "lines": [ + { + "bbox": [ + 106, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 106, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "Compute used for optimizing domain weights. We train two 280M models (the reference and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 231, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 329, + 244 + ], + "score": 1.0, + "content": "proxy models) to optimize the domain weights. This is", + "type": "text" + }, + { + "bbox": [ + 329, + 231, + 344, + 242 + ], + "score": 0.86, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 231, + 505, + 244 + ], + "score": 1.0, + "content": "of the FLOPs required to train the main", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 241, + 397, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 397, + 254 + ], + "score": 1.0, + "content": "8B model. All FLOPs come from standard forward and backward passes.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 220, + 505, + 254 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 266, + 505, + 322 + ], + "lines": [ + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "score": 1.0, + "content": "Notation for model sizes in DoReMi. We denote the size of the reference/proxy models (which", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 277, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 505, + 290 + ], + "score": 1.0, + "content": "are always the same size in our experiments) and the size of the main model trained with DoReMi", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 288, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 318, + 302 + ], + "score": 1.0, + "content": "domain weights as “DoReMi (size of reference/proxy", + "type": "text" + }, + { + "bbox": [ + 318, + 290, + 329, + 299 + ], + "score": 0.79, + "content": "", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 288, + 505, + 302 + ], + "score": 1.0, + "content": "size of main model)”: for example, DoReMi", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 108, + 299, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 108, + 300, + 156, + 311 + ], + "score": 0.79, + "content": "( 2 8 0 \\mathbf { M } \\partial \\mathbf { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 299, + 506, + 313 + ], + "score": 1.0, + "content": "). When we are discussing the optimized domain weights independently of the main model,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 310, + 502, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 502, + 323 + ], + "score": 1.0, + "content": "we only include one number (e.g., DoReMi (280M)) which refers to the reference/proxy model size.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 267, + 506, + 323 + ] + }, + { + "type": "image", + "bbox": [ + 107, + 342, + 503, + 487 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 107, + 342, + 503, + 487 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 342, + 503, + 487 + ], + "spans": [ + { + "bbox": [ + 107, + 342, + 503, + 487 + ], + "score": 0.97, + "type": "image", + "image_path": "c82c4572a83e6ad2e7483af0c2e22ab035cfb92531469998ba3d8ae1e4fb02b7.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 107, + 342, + 503, + 390.3333333333333 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 107, + 390.3333333333333, + 503, + 438.66666666666663 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 107, + 438.66666666666663, + 503, + 486.99999999999994 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 493, + 506, + 548 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "Figure 3: Average one-shot downstream accuracy (exact match) on 5 tasks, with 8B parameter models", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 503, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 517 + ], + "score": 1.0, + "content": "trained on The Pile (left) and the GLaM dataset (right). 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Despite downweighting some domains,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 707, + 303, + 720 + ], + "spans": [ + { + "bbox": [ + 105, + 707, + 303, + 720 + ], + "score": 1.0, + "content": "DoReMi improves log-perplexity on all domains.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5 + } + ], + "index": 29.25 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 129, + 100, + 482, + 191 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 77, + 503, + 99 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 505, + 90 + ], + "score": 1.0, + "content": "Table 1: Domain weights on The Pile. 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Round 1Round 2Round 3Downstream-tuned
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Filtered webpages0.440.510.510.42
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Thus, DoReMi can dramatically speed up training and improve", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 412, + 212, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 212, + 424 + ], + "score": 1.0, + "content": "downstream performance.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 435, + 505, + 555 + ], + "lines": [ + { + "bbox": [ + 106, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "DoReMi can reduce perplexity across all domains without a tradeoff. Figure 4 shows the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "per-domain log-perplexity of the 8B models on The Pile. DoReMi significantly reduces the perplexity", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 104, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "over the baseline across all domains, despite allocating lower weight to some domains. How can this", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "score": 1.0, + "content": "occur? One hypothesis is that the domains with the lowest and highest entropy can be downweighted", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "score": 1.0, + "content": "without impacting the perplexity much. The lowest entropy domains statistically require few samples", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "score": 1.0, + "content": "to learn. The highest entropy domains have token distributions that are close to common uniform priors", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 500, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 104, + 500, + 506, + 513 + ], + "score": 1.0, + "content": "— for example, models at random initialization tend to output a uniform next token distribution. Thus,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "we need less samples to fit these domains. Positive transfer from allocating more samples to medium", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 522, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 505, + 534 + ], + "score": 1.0, + "content": "entropy domains can then improve perplexity on all domains. 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Round 1Round 2Round 3Downstream-tuned
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Filtered webpages0.440.510.510.42
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DoReMi improves the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 389, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 209, + 403 + ], + "score": 1.0, + "content": "downstream accuracy by", + "type": "text" + }, + { + "bbox": [ + 209, + 390, + 232, + 400 + ], + "score": 0.87, + "content": "6 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 389, + 432, + 403 + ], + "score": 1.0, + "content": "points and achieves the baseline accuracy within", + "type": "text" + }, + { + "bbox": [ + 432, + 390, + 449, + 400 + ], + "score": 0.7, + "content": "7 5 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 389, + 484, + 403 + ], + "score": 1.0, + "content": "steps —", + "type": "text" + }, + { + "bbox": [ + 484, + 390, + 505, + 401 + ], + "score": 0.36, + "content": "2 . 6 \\mathbf { x }", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 398, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 104, + 398, + 506, + 415 + ], + "score": 1.0, + "content": "faster than the baseline (200k steps). Thus, DoReMi can dramatically speed up training and improve", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 412, + 212, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 212, + 424 + ], + "score": 1.0, + "content": "downstream performance.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17, + "bbox_fs": [ + 104, + 367, + 506, + 424 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 435, + 505, + 555 + ], + "lines": [ + { + "bbox": [ + 106, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "DoReMi can reduce perplexity across all domains without a tradeoff. Figure 4 shows the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "per-domain log-perplexity of the 8B models on The Pile. DoReMi significantly reduces the perplexity", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 104, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "over the baseline across all domains, despite allocating lower weight to some domains. How can this", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "score": 1.0, + "content": "occur? One hypothesis is that the domains with the lowest and highest entropy can be downweighted", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "score": 1.0, + "content": "without impacting the perplexity much. The lowest entropy domains statistically require few samples", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "score": 1.0, + "content": "to learn. The highest entropy domains have token distributions that are close to common uniform priors", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 500, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 104, + 500, + 506, + 513 + ], + "score": 1.0, + "content": "— for example, models at random initialization tend to output a uniform next token distribution. Thus,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "we need less samples to fit these domains. 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These", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "experiments give a rough picture of how much is lost when using a smaller proxy model; our DoReMi", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 108, + 644, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 108, + 645, + 157, + 655 + ], + "score": 0.81, + "content": "( 2 8 0 \\mathbf { M } \\partial \\mathbf { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 644, + 313, + 658 + ], + "score": 1.0, + "content": ") model achieves the baseline accuracy", + "type": "text" + }, + { + "bbox": [ + 313, + 645, + 333, + 655 + ], + "score": 0.6, + "content": "2 . 6 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 644, + 505, + 658 + ], + "score": 1.0, + "content": "faster, while matching the proxy and main", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 655, + 280, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 199, + 668 + ], + "score": 1.0, + "content": "model sizes results in a", + "type": "text" + }, + { + "bbox": [ + 199, + 656, + 210, + 666 + ], + "score": 0.66, + "content": "4 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 655, + 280, + 668 + ], + "score": 1.0, + "content": "average speedup.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 546, + 506, + 668 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "Proxy model underperforms main model, especially at larger sizes. Recall that DoReMi uses", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "score": 1.0, + "content": "Group DRO to train a proxy model, which reweights the objective with the domain weights. In contrast,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "the main model is trained by resampling on the domain weights from DoReMi. When the proxy model", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 709, + 506, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 725 + ], + "score": 1.0, + "content": "and the main model are the same size, which one is the better model? Table 3b shows that the proxy", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 678, + 506, + 725 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 72, + 502, + 198 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 72, + 502, + 198 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 72, + 502, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 502, + 198 + ], + "score": 0.94, + "type": "image", + "image_path": "86f6c4e476ffc540c35cc5d3a31b178a9414dd7f93d7c729636e9c48772b7873.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 72, + 502, + 114.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 114.0, + 502, + 156.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 156.0, + 502, + 198.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 206, + 505, + 272 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 206, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 206, + 505, + 219 + ], + "score": 1.0, + "content": "Figure 6: Average downstream accuracy for models trained on The Pile. (Left) Increasing the size", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 217, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 217, + 505, + 230 + ], + "score": 1.0, + "content": "of the reference/proxy models from 70M to 280M in DoReMi improves downstream accuracy for", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "a 8B main model, but the trend does not continue for the 1B proxy model. We hypothesize that the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 239, + 505, + 252 + ], + "score": 1.0, + "content": "Group DRO optimizer is worse for larger proxy models. Right) Optimizing for the hardest or easiest", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 250, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 505, + 263 + ], + "score": 1.0, + "content": "domains rather than excess loss (which combines both) do not achieve the same average downstream", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 261, + 256, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 256, + 273 + ], + "score": 1.0, + "content": "accuracy as DoReMi (280M models).", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "text", + "bbox": [ + 105, + 291, + 504, + 315 + ], + "lines": [ + { + "bbox": [ + 105, + 290, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 505, + 306 + ], + "score": 1.0, + "content": "Table 3: Summary of per-domain log-perplexities on The Pile (22 total domains). Average", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 303, + 405, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 405, + 316 + ], + "score": 1.0, + "content": "log-perplexity is an unweighted average of the per-domain log-perplexities.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5 + }, + { + "type": "table", + "bbox": [ + 106, + 360, + 298, + 420 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 334, + 298, + 355 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 334, + 299, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 299, + 346 + ], + "score": 1.0, + "content": "(a) Varying the size of the proxy/reference model and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 344, + 160, + 355 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 160, + 355 + ], + "score": 1.0, + "content": "training at 8B.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 360, + 298, + 420 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 360, + 298, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 298, + 420 + ], + "score": 0.794, + "html": "
Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (8B)1.711.640/22
DoReMi(70M->8B)1.631.5322/22
DoReMi(150M->8B)1.561.5222/22
DoReMi(280M->8B)1.461.4022/22
DoReMi(1B->8B)1.581.5422/22
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Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (280M)2.392.320/22
DoReMi(280M->280M)2.192.1322/22
Proxy (280M)2.332.2719/22
Baseline (1B)1.941.870/22
DoReMi(1B->1B)1.921.8319/22
Proxy (1B)2.112.020/22
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The gap between the proxy and main", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "model increases with scale, as the 1B proxy model not only underperforms the 1B main model but also", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "score": 1.0, + "content": "the 1B baseline model, while the 280M proxy model achieves better perplexity than the 280M baseline", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "model on 19/22 domains. Despite the relatively poor quality of the 1B proxy model, the domain", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 412, + 511 + ], + "score": 1.0, + "content": "weights still allow the 1B main model to achieve the baseline performance over", + "type": "text" + }, + { + "bbox": [ + 412, + 499, + 424, + 508 + ], + "score": 0.45, + "content": "2 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "faster. This suggests", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "score": 1.0, + "content": "that DoReMi can succeed even if the proxy model is not trained well. However, we hypothesize that", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "score": 1.0, + "content": "the mismatch between the proxy and main model training (loss reweighting vs. resampling) explains", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 529, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 545 + ], + "score": 1.0, + "content": "their performance difference and therefore a resampling-based Group DRO optimizer may improve", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 542, + 241, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 241, + 555 + ], + "score": 1.0, + "content": "DoReMi for larger proxy models.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 566, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 565, + 506, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 579 + ], + "score": 1.0, + "content": "Effect of proxy model scale on larger main model’s performance. We consider 70M, 150M,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 576, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 506, + 590 + ], + "score": 1.0, + "content": "280M, and 1B scales for the DoReMi proxy model while fixing the main model size at 8B (DoReMi", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 587, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 107, + 588, + 142, + 599 + ], + "score": 0.84, + "content": "( \\mathrm { X } \\to 8 \\mathrm { B } )", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 587, + 506, + 602 + ], + "score": 1.0, + "content": "). From 70M to 280M, increasing the proxy model size improves downstream accuracy at", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 599, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 106, + 599, + 505, + 612 + ], + "score": 1.0, + "content": "8B (Figure 6 left). We hypothesize that this trend does not continue for the 1B proxy model because", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 610, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 416, + 622 + ], + "score": 1.0, + "content": "the Group DRO optimizer is worse at larger scales (Table 3b). While DoReMi", + "type": "text" + }, + { + "bbox": [ + 416, + 610, + 463, + 621 + ], + "score": 0.79, + "content": "2 8 0 { \\mathbf { M } } { } 8 { \\mathbf { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 610, + 505, + 622 + ], + "score": 1.0, + "content": ") results in", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 621, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 262, + 633 + ], + "score": 1.0, + "content": "the most improvement at 8B, DoReMi (", + "type": "text" + }, + { + "bbox": [ + 262, + 621, + 309, + 632 + ], + "score": 0.8, + "content": "1 5 0 { \\mathbf { M } } { } 8 { \\mathbf { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 621, + 369, + 633 + ], + "score": 1.0, + "content": ") and DoReMi (", + "type": "text" + }, + { + "bbox": [ + 369, + 621, + 403, + 632 + ], + "score": 0.82, + "content": "1 \\mathrm { B } \\to 8 \\mathrm { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 621, + 505, + 633 + ], + "score": 1.0, + "content": ") still achieve the baseline", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 632, + 506, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 172, + 645 + ], + "score": 1.0, + "content": "accuracy almost", + "type": "text" + }, + { + "bbox": [ + 173, + 632, + 184, + 642 + ], + "score": 0.34, + "content": "2 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 632, + 506, + 645 + ], + "score": 1.0, + "content": "faster. This suggests that DoReMi is robust to the proxy model scale. In practice,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 644, + 429, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 429, + 655 + ], + "score": 1.0, + "content": "we suggest choosing a relatively small proxy model size (280M) to save compute.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 666, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 505, + 680 + ], + "score": 1.0, + "content": "Choosing the easiest or hardest domains do not suffice. 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Right) Optimizing for the hardest or easiest", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 250, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 505, + 263 + ], + "score": 1.0, + "content": "domains rather than excess loss (which combines both) do not achieve the same average downstream", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 261, + 256, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 256, + 273 + ], + "score": 1.0, + "content": "accuracy as DoReMi (280M models).", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "text", + "bbox": [ + 105, + 291, + 504, + 315 + ], + "lines": [ + { + "bbox": [ + 105, + 290, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 505, + 306 + ], + "score": 1.0, + "content": "Table 3: Summary of per-domain log-perplexities on The Pile (22 total domains). Average", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 303, + 405, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 405, + 316 + ], + "score": 1.0, + "content": "log-perplexity is an unweighted average of the per-domain log-perplexities.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 290, + 505, + 316 + ] + }, + { + "type": "table", + "bbox": [ + 106, + 360, + 298, + 420 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 334, + 298, + 355 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 334, + 299, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 299, + 346 + ], + "score": 1.0, + "content": "(a) Varying the size of the proxy/reference model and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 344, + 160, + 355 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 160, + 355 + ], + "score": 1.0, + "content": "training at 8B.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 360, + 298, + 420 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 360, + 298, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 298, + 420 + ], + "score": 0.794, + "html": "
Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (8B)1.711.640/22
DoReMi(70M->8B)1.631.5322/22
DoReMi(150M->8B)1.561.5222/22
DoReMi(280M->8B)1.461.4022/22
DoReMi(1B->8B)1.581.5422/22
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Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (280M)2.392.320/22
DoReMi(280M->280M)2.192.1322/22
Proxy (280M)2.332.2719/22
Baseline (1B)1.941.870/22
DoReMi(1B->1B)1.921.8319/22
Proxy (1B)2.112.020/22
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We ablate the components of the excess", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 152, + 691 + ], + "score": 1.0, + "content": "loss metric", + "type": "text" + }, + { + "bbox": [ + 152, + 678, + 209, + 690 + ], + "score": 0.95, + "content": "\\ell _ { \\theta } ( x ) - \\ell _ { \\mathrm { r e f } } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 677, + 444, + 691 + ], + "score": 1.0, + "content": "by running DoReMi using only the loss of the proxy model", + "type": "text" + }, + { + "bbox": [ + 445, + 680, + 456, + 689 + ], + "score": 0.81, + "content": "p _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "on example", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 107, + 688, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 107, + 691, + 114, + 699 + ], + "score": 0.72, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 688, + 132, + 701 + ], + "score": 1.0, + "content": ", i.e.", + "type": "text" + }, + { + "bbox": [ + 132, + 689, + 155, + 700 + ], + "score": 0.91, + "content": "\\ell _ { \\theta } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 688, + 505, + 701 + ], + "score": 1.0, + "content": "(prefer hardest domains for the proxy model) or only the negative loss of the reference", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 107, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 107, + 700, + 141, + 712 + ], + "score": 0.92, + "content": "- \\ell _ { \\mathrm { r e f } } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "(prefer easiest domains for the reference model). Figure 6 (right) shows that neither of the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 711, + 432, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 432, + 723 + ], + "score": 1.0, + "content": "components of the excess loss alone are sufficient to achieve the gains of DoReMi.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 45, + "bbox_fs": [ + 105, + 666, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 196, + 84 + ], + "lines": [ + { + "bbox": [ + 104, + 70, + 198, + 85 + ], + "spans": [ + { + "bbox": [ + 104, + 70, + 198, + 85 + ], + "score": 1.0, + "content": "5 Related Work", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 98, + 505, + 208 + ], + "lines": [ + { + "bbox": [ + 107, + 99, + 505, + 110 + ], + "spans": [ + { + "bbox": [ + 107, + 99, + 505, + 110 + ], + "score": 1.0, + "content": "Curating pretraining data for LMs. Most closely related is the GLaM dataset [13] (also used for", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 108, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 108, + 506, + 123 + ], + "score": 1.0, + "content": "training PaLM [10]), which has domain weights that are tuned using downstream data. Optimizing", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 121, + 505, + 132 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 505, + 132 + ], + "score": 1.0, + "content": "domain weights for downstream tasks can be expensive and could require search/zero-order", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 131, + 505, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 131, + 505, + 144 + ], + "score": 1.0, + "content": "optimization [48], RL [56], or heuristic assumptions on how positive/negative transfer between", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 143, + 505, + 154 + ], + "spans": [ + { + "bbox": [ + 106, + 143, + 505, + 154 + ], + "score": 1.0, + "content": "domains work. Example-level filtering also brings benefits for LM training. The C4 dataset [39] shows", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 153, + 506, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 506, + 166 + ], + "score": 1.0, + "content": "gains over CommonCrawl via heuristic data cleaning methods. Du et al. [13]; Xie et al. [55] show", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 164, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 177 + ], + "score": 1.0, + "content": "that filtering the data at an example level for high-quality text that look like Wikipedia and books can", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 175, + 505, + 187 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 505, + 187 + ], + "score": 1.0, + "content": "significantly improve downstream performance for LMs. In contrast to these works, DoReMi sets", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 186, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 505, + 198 + ], + "score": 1.0, + "content": "domain weights automatically with only two small LM training runs and does not make assumptions", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 317, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 317, + 209 + ], + "score": 1.0, + "content": "about the type of data to prefer (Wikipedia-like, etc.).", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 107, + 225, + 505, + 378 + ], + "lines": [ + { + "bbox": [ + 106, + 224, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 224, + 505, + 237 + ], + "score": 1.0, + "content": "General data selection methods. Moore-Lewis selection [32; 3; 15] selects examples with high", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 235, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 505, + 248 + ], + "score": 1.0, + "content": "cross-entropy difference (similar to excess log-perplexity) between language models trained on", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 246, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 505, + 259 + ], + "score": 1.0, + "content": "target and raw data. In contrast, DoReMi reweights the data without a target distribution. Coleman", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 256, + 507, + 271 + ], + "spans": [ + { + "bbox": [ + 104, + 256, + 507, + 271 + ], + "score": 1.0, + "content": "et al. [11] select examples based on the uncertainty of a small proxy model for active learning,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "score": 1.0, + "content": "while DoReMi uses DRO on the excess loss with respect to a reference model, and focuses on data", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 279, + 504, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 497, + 293 + ], + "score": 1.0, + "content": "mixture reweighting. Mindermann et al. [30] select examples in an online fashion by taking the top", + "type": "text" + }, + { + "bbox": [ + 497, + 280, + 504, + 289 + ], + "score": 0.7, + "content": "k", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 289, + 507, + 304 + ], + "spans": [ + { + "bbox": [ + 104, + 289, + 507, + 304 + ], + "score": 1.0, + "content": "examples in a minibatch according to excess loss. DoReMi optimizes the data mixture before training,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 302, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 506, + 313 + ], + "score": 1.0, + "content": "allowing the larger main model to train in a standard way. Many other works on data selection are in", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 311, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 104, + 311, + 506, + 325 + ], + "score": 1.0, + "content": "vision [49; 22; 24; 23; 25; 53; 54; 38; 31; 45] and mainly focus on example-level subset selection with", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 322, + 507, + 337 + ], + "spans": [ + { + "bbox": [ + 104, + 322, + 507, + 337 + ], + "score": 1.0, + "content": "metrics such as gradient matching. Overall, these methods do not address data selection for pretraining,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 333, + 507, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 507, + 347 + ], + "score": 1.0, + "content": "where the downstream data distribution may be very different from the pretraining distribution.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 344, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 357 + ], + "score": 1.0, + "content": "DoReMi aims to address the pretraining/downstream distribution shift with a robust optimization", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 355, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 370 + ], + "score": 1.0, + "content": "approach. To the best of our knowledge, we are the first to show that reweighting the data according", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 366, + 443, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 443, + 379 + ], + "score": 1.0, + "content": "to losses of a small proxy LM can improve the training efficiency of much larger LM.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 536 + ], + "lines": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "score": 1.0, + "content": "Distributionally robust optimization. Within DRO methods for deep learning [4; 47; 35; 43], we", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "score": 1.0, + "content": "target a restricted form of shift called group shifts [14; 35; 43], where the test distribution can be an", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 417, + 504, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 504, + 428 + ], + "score": 1.0, + "content": "unknown mixture of groups (domains). We follow DRO-LM [35], which employs DRO for LMs", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "score": 1.0, + "content": "in the group shift setting. DRO-LM also uses a baselined loss, but with a simple bigram reference", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "model. DoReMi uses a reference model of the same size and architecture as the proxy model to ensure", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 448, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 462 + ], + "score": 1.0, + "content": "that the losses are on a similar scale. During optimization, DRO-LM takes a worst-case subset of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 460, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 505, + 471 + ], + "score": 1.0, + "content": "each minibatch to update the model on, while we use the Group DRO optimizer [43] which doesn’t", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 471, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 483 + ], + "score": 1.0, + "content": "require online subselection. If we equalize the number of examples in each minibatch used for gradient", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "score": 1.0, + "content": "updates, online subselelction is more expensive than Group DRO since it requires running forward", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "passes on a larger minibatch (e.g., double the minibatch size) before selecting a subset to update the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "model with. In comparison, the Group DRO optimizer updates the model on all examples in a weighted", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "fashion. Overall, in contrast to these DRO methods which aim to produce robust models, we use DRO", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 525, + 357, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 357, + 538 + ], + "score": 1.0, + "content": "to optimize the data for training larger models more efficiently.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 553, + 505, + 619 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 566 + ], + "score": 1.0, + "content": "Data-centric AI. Large-scale datasets and benchmarks have driven much of the recent progress", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 563, + 507, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 507, + 577 + ], + "score": 1.0, + "content": "in AI, including vision, NLP, and multimodal models [12; 42; 52; 40; 39; 17; 44; 16]. However,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "score": 1.0, + "content": "most datasets are still painstakingly created with human-generated data, manual work, and", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "score": 1.0, + "content": "heuristics [12; 39; 17; 44; 16]. DoReMi is a principled data-centric method that aims to improve", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "score": 1.0, + "content": "language model training efficiency. We hope that DoReMi can provide a starting point for a general", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 607, + 388, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 388, + 620 + ], + "score": 1.0, + "content": "data-centric framework for language modeling via robust optimization.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5 + }, + { + "type": "title", + "bbox": [ + 108, + 639, + 263, + 653 + ], + "lines": [ + { + "bbox": [ + 105, + 638, + 264, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 264, + 655 + ], + "score": 1.0, + "content": "6 Discussion and Limitations", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "Saving compute in DoReMi with extrapolation. In Section 2, we run DoReMi for the number of", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "training steps that will be used to train the final model, which could be unnecessarily expensive. A", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "future direction for saving compute would be to stop running DoReMi at an early step and extrapolate", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "the domain weights for the desired number of steps, since we found that most of the variation in the", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "domain weights during a DoReMi run seems to occur in the beginning of training (Appendix Figure 8).", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47 + } + ], + "page_idx": 8, + "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": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 196, + 84 + ], + "lines": [ + { + "bbox": [ + 104, + 70, + 198, + 85 + ], + "spans": [ + { + "bbox": [ + 104, + 70, + 198, + 85 + ], + "score": 1.0, + "content": "5 Related Work", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 98, + 505, + 208 + ], + "lines": [ + { + "bbox": [ + 107, + 99, + 505, + 110 + ], + "spans": [ + { + "bbox": [ + 107, + 99, + 505, + 110 + ], + "score": 1.0, + "content": "Curating pretraining data for LMs. Most closely related is the GLaM dataset [13] (also used for", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 108, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 108, + 506, + 123 + ], + "score": 1.0, + "content": "training PaLM [10]), which has domain weights that are tuned using downstream data. Optimizing", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 121, + 505, + 132 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 505, + 132 + ], + "score": 1.0, + "content": "domain weights for downstream tasks can be expensive and could require search/zero-order", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 131, + 505, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 131, + 505, + 144 + ], + "score": 1.0, + "content": "optimization [48], RL [56], or heuristic assumptions on how positive/negative transfer between", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 143, + 505, + 154 + ], + "spans": [ + { + "bbox": [ + 106, + 143, + 505, + 154 + ], + "score": 1.0, + "content": "domains work. Example-level filtering also brings benefits for LM training. The C4 dataset [39] shows", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 153, + 506, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 506, + 166 + ], + "score": 1.0, + "content": "gains over CommonCrawl via heuristic data cleaning methods. Du et al. [13]; Xie et al. [55] show", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 164, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 177 + ], + "score": 1.0, + "content": "that filtering the data at an example level for high-quality text that look like Wikipedia and books can", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 175, + 505, + 187 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 505, + 187 + ], + "score": 1.0, + "content": "significantly improve downstream performance for LMs. In contrast to these works, DoReMi sets", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 186, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 505, + 198 + ], + "score": 1.0, + "content": "domain weights automatically with only two small LM training runs and does not make assumptions", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 317, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 317, + 209 + ], + "score": 1.0, + "content": "about the type of data to prefer (Wikipedia-like, etc.).", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 99, + 506, + 209 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 225, + 505, + 378 + ], + "lines": [ + { + "bbox": [ + 106, + 224, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 224, + 505, + 237 + ], + "score": 1.0, + "content": "General data selection methods. Moore-Lewis selection [32; 3; 15] selects examples with high", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 235, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 505, + 248 + ], + "score": 1.0, + "content": "cross-entropy difference (similar to excess log-perplexity) between language models trained on", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 246, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 505, + 259 + ], + "score": 1.0, + "content": "target and raw data. In contrast, DoReMi reweights the data without a target distribution. Coleman", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 256, + 507, + 271 + ], + "spans": [ + { + "bbox": [ + 104, + 256, + 507, + 271 + ], + "score": 1.0, + "content": "et al. [11] select examples based on the uncertainty of a small proxy model for active learning,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "score": 1.0, + "content": "while DoReMi uses DRO on the excess loss with respect to a reference model, and focuses on data", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 279, + 504, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 497, + 293 + ], + "score": 1.0, + "content": "mixture reweighting. Mindermann et al. [30] select examples in an online fashion by taking the top", + "type": "text" + }, + { + "bbox": [ + 497, + 280, + 504, + 289 + ], + "score": 0.7, + "content": "k", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 289, + 507, + 304 + ], + "spans": [ + { + "bbox": [ + 104, + 289, + 507, + 304 + ], + "score": 1.0, + "content": "examples in a minibatch according to excess loss. DoReMi optimizes the data mixture before training,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 302, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 506, + 313 + ], + "score": 1.0, + "content": "allowing the larger main model to train in a standard way. Many other works on data selection are in", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 311, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 104, + 311, + 506, + 325 + ], + "score": 1.0, + "content": "vision [49; 22; 24; 23; 25; 53; 54; 38; 31; 45] and mainly focus on example-level subset selection with", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 322, + 507, + 337 + ], + "spans": [ + { + "bbox": [ + 104, + 322, + 507, + 337 + ], + "score": 1.0, + "content": "metrics such as gradient matching. Overall, these methods do not address data selection for pretraining,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 333, + 507, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 507, + 347 + ], + "score": 1.0, + "content": "where the downstream data distribution may be very different from the pretraining distribution.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 344, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 357 + ], + "score": 1.0, + "content": "DoReMi aims to address the pretraining/downstream distribution shift with a robust optimization", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 355, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 370 + ], + "score": 1.0, + "content": "approach. To the best of our knowledge, we are the first to show that reweighting the data according", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 366, + 443, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 443, + 379 + ], + "score": 1.0, + "content": "to losses of a small proxy LM can improve the training efficiency of much larger LM.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 17.5, + "bbox_fs": [ + 104, + 224, + 507, + 379 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 536 + ], + "lines": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "score": 1.0, + "content": "Distributionally robust optimization. Within DRO methods for deep learning [4; 47; 35; 43], we", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "score": 1.0, + "content": "target a restricted form of shift called group shifts [14; 35; 43], where the test distribution can be an", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 417, + 504, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 504, + 428 + ], + "score": 1.0, + "content": "unknown mixture of groups (domains). We follow DRO-LM [35], which employs DRO for LMs", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 441 + ], + "score": 1.0, + "content": "in the group shift setting. DRO-LM also uses a baselined loss, but with a simple bigram reference", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "model. DoReMi uses a reference model of the same size and architecture as the proxy model to ensure", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 448, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 462 + ], + "score": 1.0, + "content": "that the losses are on a similar scale. During optimization, DRO-LM takes a worst-case subset of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 460, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 505, + 471 + ], + "score": 1.0, + "content": "each minibatch to update the model on, while we use the Group DRO optimizer [43] which doesn’t", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 471, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 483 + ], + "score": 1.0, + "content": "require online subselection. If we equalize the number of examples in each minibatch used for gradient", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "score": 1.0, + "content": "updates, online subselelction is more expensive than Group DRO since it requires running forward", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "passes on a larger minibatch (e.g., double the minibatch size) before selecting a subset to update the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "model with. In comparison, the Group DRO optimizer updates the model on all examples in a weighted", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "fashion. Overall, in contrast to these DRO methods which aim to produce robust models, we use DRO", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 525, + 357, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 357, + 538 + ], + "score": 1.0, + "content": "to optimize the data for training larger models more efficiently.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 394, + 506, + 538 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 553, + 505, + 619 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 566 + ], + "score": 1.0, + "content": "Data-centric AI. Large-scale datasets and benchmarks have driven much of the recent progress", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 563, + 507, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 507, + 577 + ], + "score": 1.0, + "content": "in AI, including vision, NLP, and multimodal models [12; 42; 52; 40; 39; 17; 44; 16]. However,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "score": 1.0, + "content": "most datasets are still painstakingly created with human-generated data, manual work, and", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "score": 1.0, + "content": "heuristics [12; 39; 17; 44; 16]. DoReMi is a principled data-centric method that aims to improve", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "score": 1.0, + "content": "language model training efficiency. We hope that DoReMi can provide a starting point for a general", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 607, + 388, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 388, + 620 + ], + "score": 1.0, + "content": "data-centric framework for language modeling via robust optimization.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 552, + 507, + 620 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 639, + 263, + 653 + ], + "lines": [ + { + "bbox": [ + 105, + 638, + 264, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 264, + 655 + ], + "score": 1.0, + "content": "6 Discussion and Limitations", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "Saving compute in DoReMi with extrapolation. In Section 2, we run DoReMi for the number of", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "training steps that will be used to train the final model, which could be unnecessarily expensive. A", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "future direction for saving compute would be to stop running DoReMi at an early step and extrapolate", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "the domain weights for the desired number of steps, since we found that most of the variation in the", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "domain weights during a DoReMi run seems to occur in the beginning of training (Appendix Figure 8).", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 667, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 127 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 84 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 84 + ], + "score": 1.0, + "content": "Choice of reference model. The choice of reference model can affect the domain weights found", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 82, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 97 + ], + "score": 1.0, + "content": "by DoReMi. For example, iterated DoReMi (Section 3) improves performance by using a reference", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "model trained on the tuned domain weights from a previous round of DoReMi. Further directions", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "include varying the reference model size and using specialized reference models to optimize domain", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 117, + 259, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 259, + 130 + ], + "score": 1.0, + "content": "weights for a specific application area.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 140, + 505, + 206 + ], + "lines": [ + { + "bbox": [ + 106, + 140, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 106, + 140, + 505, + 152 + ], + "score": 1.0, + "content": "What is a domain? We define a domain by data provenance in our experiments, but this only enables", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 151, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 505, + 163 + ], + "score": 1.0, + "content": "coarse-grained control. Using fine-grained domains could improve the gains from DoReMi. For", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 162, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 506, + 174 + ], + "score": 1.0, + "content": "example, DoReMi is more effective on The Pile (22 domains) than the GLaM dataset (8 domains). Open", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 506, + 185 + ], + "score": 1.0, + "content": "directions include automatically finding fine-grained domains (e.g., via clustering as in DRO-LM [35])", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "score": 1.0, + "content": "and reweighting the data at an example level. When domains are very fine-grained, it will be important to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "control the pessimism of DRO (e.g., DRO can put all the weight on a small set of worst-case examples).", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 218, + 505, + 262 + ], + "lines": [ + { + "bbox": [ + 106, + 218, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 505, + 230 + ], + "score": 1.0, + "content": "Transferability of domain weights across scales. We optimized the domain weights with a small", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 229, + 507, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 507, + 241 + ], + "score": 1.0, + "content": "proxy model (280M) and directly used these domain weights to improve training at a larger scale (8B).", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "score": 1.0, + "content": "Understanding why the domain weights can be transferred across scales and the limits of how far these", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 250, + 399, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 399, + 263 + ], + "score": 1.0, + "content": "domain weights transfer are important questions to answer in future work.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 274, + 505, + 340 + ], + "lines": [ + { + "bbox": [ + 106, + 273, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 505, + 287 + ], + "score": 1.0, + "content": "Broader impacts. Large language models are We hope to improve training efficiency and reduce", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 283, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 506, + 299 + ], + "score": 1.0, + "content": "the environmental impact of training large LMs [50; 28; 37; 29]. In particular, by reducing the training", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 295, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 138, + 310 + ], + "score": 1.0, + "content": "time by", + "type": "text" + }, + { + "bbox": [ + 139, + 297, + 150, + 307 + ], + "score": 0.68, + "content": "2 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 295, + 506, + 310 + ], + "score": 1.0, + "content": ", we can halve the cost and energy consumption of training large language models. Since", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 307, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 505, + 319 + ], + "score": 1.0, + "content": "such efficiency improvements may be used to develop even larger models, there may be no absolute", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "improvement in energy consumption. Ultimately, we hope to improve the training efficiency and cost", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 328, + 370, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 370, + 341 + ], + "score": 1.0, + "content": "of developing future language models relative to existing methods.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 107, + 345, + 505, + 444 + ], + "lines": [ + { + "bbox": [ + 106, + 345, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 506, + 357 + ], + "score": 1.0, + "content": "Large LMs have also been well-documented to have risks and biases [1; 33; 7; 6; 18]. For example,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "score": 1.0, + "content": "GPT-3 tends to have an anti-Muslim bias, where Muslims are frequently related to violence or", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "terrorism in analogy and completion tasks [1]. As large language models are increasingly relied upon", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "score": 1.0, + "content": "in applications, the magnitude of the risks increases [8]. Distributionally robust optimization (DRO),", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 388, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 506, + 402 + ], + "score": 1.0, + "content": "which is used in DoReMi to optimize the data mixture, can have a favorable impact on fairness [19].", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 398, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 414 + ], + "score": 1.0, + "content": "While the standard approach of minimizing the average loss can lead to disparate performance on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 411, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 506, + 424 + ], + "score": 1.0, + "content": "minority subgroups that do not contribute heavily to the loss [2], DRO promotes good performance", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "on all groups via a worst-case loss. 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Persistent anti-muslim bias in large language", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 127, + 650, + 324, + 662 + ], + "spans": [ + { + "bbox": [ + 127, + 650, + 324, + 662 + ], + "score": 1.0, + "content": "models. arXiv preprint arXiv:2101.05783, 2021.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 111, + 669, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 111, + 669, + 505, + 683 + ], + "score": 1.0, + "content": "[2] Dario Amodei et al. Deep speech 2 end to end speech recognition in English and mandarin. In", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 127, + 680, + 441, + 694 + ], + "spans": [ + { + "bbox": [ + 127, + 680, + 441, + 694 + ], + "score": 1.0, + "content": "International Conference on Machine Learning (ICML), pages 173–182, 2016.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 111, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 111, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "[3] Amittai Axelrod. Cynical selection of language model training data. CoRR, abs/1709.02279,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 127, + 711, + 342, + 724 + ], + "spans": [ + { + "bbox": [ + 127, + 711, + 342, + 724 + ], + "score": 1.0, + "content": "2017. 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Open", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 506, + 185 + ], + "score": 1.0, + "content": "directions include automatically finding fine-grained domains (e.g., via clustering as in DRO-LM [35])", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "score": 1.0, + "content": "and reweighting the data at an example level. 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Since", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 307, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 505, + 319 + ], + "score": 1.0, + "content": "such efficiency improvements may be used to develop even larger models, there may be no absolute", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "improvement in energy consumption. 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For example,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "score": 1.0, + "content": "GPT-3 tends to have an anti-Muslim bias, where Muslims are frequently related to violence or", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "terrorism in analogy and completion tasks [1]. As large language models are increasingly relied upon", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "score": 1.0, + "content": "in applications, the magnitude of the risks increases [8]. Distributionally robust optimization (DRO),", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 388, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 506, + 402 + ], + "score": 1.0, + "content": "which is used in DoReMi to optimize the data mixture, can have a favorable impact on fairness [19].", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 398, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 414 + ], + "score": 1.0, + "content": "While the standard approach of minimizing the average loss can lead to disparate performance on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 411, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 506, + 424 + ], + "score": 1.0, + "content": "minority subgroups that do not contribute heavily to the loss [2], DRO promotes good performance", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "on all groups via a worst-case loss. 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We hope to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 517, + 503, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 503, + 531 + ], + "score": 1.0, + "content": "instigate more research on data-centric approaches for improving language model training efficiency.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 484, + 506, + 531 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 545, + 201, + 558 + ], + "lines": [ + { + "bbox": [ + 106, + 543, + 203, + 561 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 203, + 561 + ], + "score": 1.0, + "content": "Acknowledgments", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 570, + 505, + 603 + ], + "lines": [ + { + "bbox": [ + 105, + 569, + 507, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 507, + 583 + ], + "score": 1.0, + "content": "We thank Xiangning Chen, Andrew Dai, Zoubin Ghahramani, Balaji Lakshminarayanan, Paul Michel,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 580, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 593 + ], + "score": 1.0, + "content": "Yonghui Wu, Steven Zheng, Chen Zhu, anonymous reviewers, and the broader Google Bard team", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 592, + 300, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 300, + 604 + ], + "score": 1.0, + "content": "members for insightful discussions and pointers.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 569, + 507, + 604 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 619, + 163, + 632 + ], + "lines": [ + { + "bbox": [ + 106, + 618, + 165, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 165, + 634 + ], + "score": 1.0, + "content": "References", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "list", + "bbox": [ + 109, + 638, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 110, + 637, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 110, + 637, + 505, + 653 + ], + "score": 1.0, + "content": "[1] Abubakar Abid, Maheen Farooqi, and James Zou. Persistent anti-muslim bias in large language", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 127, + 650, + 324, + 662 + ], + "spans": [ + { + "bbox": [ + 127, + 650, + 324, + 662 + ], + "score": 1.0, + "content": "models. arXiv preprint arXiv:2101.05783, 2021.", + "type": "text" + } + ], + "index": 41, + "is_list_end_line": true + }, + { + "bbox": [ + 111, + 669, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 111, + 669, + 505, + 683 + ], + "score": 1.0, + "content": "[2] Dario Amodei et al. Deep speech 2 end to end speech recognition in English and mandarin. 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Worst-case log-pplAvg log-ppl# domains beating baseline
Baseline (280M)2.392.32 0/22
DoReMi(280M->280M)2.192.13 22/22
Proxy (280M)2.33 2.2719/22
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DoReMi(510M->510M)2.142.06 15/22
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Baseline (1B)1.941.87 0/22
DoReMi(1B->1B)1.921.83 19/22
Proxy (1B)2.11 2.020/22
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DoReMi(280M->280M)2.192.1322/22
Hardest (280M->280M)2.662.620/22
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LAMBADA20.1022.5529.1920.5926.20
NaturalQuestions4.356.017.736.265.10
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Worst-case log-pplAvg log-ppl# domains beating baseline
Baseline (280M)2.392.32 0/22
DoReMi(280M->280M)2.192.13 22/22
Proxy (280M)2.33 2.2719/22
Baseline (510M)2.142.08 0/22
DoReMi(510M->510M)2.142.06 15/22
Proxy (510M)2.232.18 0/22
Baseline (760M)2.051.97 0/22
DoReMi(760M->760M)2.001.94 17/22
Proxy (760M)2.15 2.100/22
Baseline (1B)1.941.87 0/22
DoReMi(1B->1B)1.921.83 19/22
Proxy (1B)2.11 2.020/22
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Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (280M)2.392.320
DoReMi(280M->280M)2.192.1322/22
Hardest (280M->280M)2.662.620/22
Easiest (280M->280M)4.274.180/22
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Ubuntu IRC0.00740.00930.0044
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EuroParl0.00430.00620.0078
HackerNews0.00750.01340.0058
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We use a symmetric Dirichlet prior (preferring a uniform token distribution) where", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 107, + 385, + 157, + 397 + ], + "score": 0.9, + "content": "\\lambda _ { z } ( x ) = 1 / 3", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 385, + 213, + 398 + ], + "score": 1.0, + "content": "for all tokens", + "type": "text" + }, + { + "bbox": [ + 213, + 387, + 220, + 395 + ], + "score": 0.75, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 385, + 274, + 398 + ], + "score": 1.0, + "content": "and domains", + "type": "text" + }, + { + "bbox": [ + 275, + 387, + 281, + 395 + ], + "score": 0.71, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 385, + 310, + 398 + ], + "score": 1.0, + "content": ". Here,", + "type": "text" + }, + { + "bbox": [ + 310, + 385, + 386, + 398 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\bar { s _ { z } } = \\sum _ { x } \\bar { \\lambda _ { z } } ( x ) = 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 385, + 506, + 398 + ], + "score": 1.0, + "content": ". In this setting, we show that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "score": 1.0, + "content": "there is a set of domain weights that has strictly lower parameter error than the baseline where we", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 406, + 443, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 321, + 420 + ], + "score": 1.0, + "content": "sample the same number of tokens from each domain:", + "type": "text" + }, + { + "bbox": [ + 321, + 409, + 333, + 418 + ], + "score": 0.87, + "content": "n _ { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 406, + 432, + 420 + ], + "score": 1.0, + "content": "are equal for all domains", + "type": "text" + }, + { + "bbox": [ + 433, + 409, + 439, + 416 + ], + "score": 0.77, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 406, + 443, + 420 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 363, + 506, + 420 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 423, + 382, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 422, + 383, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 383, + 437 + ], + "score": 1.0, + "content": "Suppose the ground truth paramaters for the unigram distributions are", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 422, + 383, + 437 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 263, + 441, + 346, + 477 + ], + "lines": [ + { + "bbox": [ + 263, + 441, + 346, + 477 + ], + "spans": [ + { + "bbox": [ + 263, + 441, + 346, + 477 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\left[ \\begin{array} { c c c } { 1 } & { 0 } & { 0 } \\\\ { 0 . 7 } & { 0 . 2 } & { 0 . 1 } \\\\ { 1 / 3 } & { 1 / 3 } & { 1 / 3 } \\end{array} \\right] , } \\end{array}", + "type": "interline_equation", + "image_path": "85eef5258dfc4144c0fdbea5de723409ca5ea836a2d658d8be10b5026b719975.jpg" + } + ] + } + ], + "index": 14.5, + "virtual_lines": [ + { + "bbox": [ + 263, + 441, + 346, + 459.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 263, + 459.0, + 346, + 477.0 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 482, + 505, + 505 + ], + "lines": [ + { + "bbox": [ + 106, + 482, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 151, + 495 + ], + "score": 1.0, + "content": "where row", + "type": "text" + }, + { + "bbox": [ + 152, + 486, + 159, + 493 + ], + "score": 0.71, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 482, + 306, + 495 + ], + "score": 1.0, + "content": "contains the parameters for domain", + "type": "text" + }, + { + "bbox": [ + 307, + 486, + 313, + 492 + ], + "score": 0.76, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 482, + 505, + 495 + ], + "score": 1.0, + "content": ". For example, token 1 has probability 1 under", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 493, + 238, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 238, + 506 + ], + "score": 1.0, + "content": "domain 1’s unigram distribution.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 482, + 505, + 506 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 509, + 504, + 533 + ], + "lines": [ + { + "bbox": [ + 105, + 508, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 158, + 523 + ], + "score": 1.0, + "content": "For domain", + "type": "text" + }, + { + "bbox": [ + 158, + 511, + 186, + 520 + ], + "score": 0.89, + "content": "z = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 508, + 314, + 523 + ], + "score": 1.0, + "content": "(non-noisy domain), we have", + "type": "text" + }, + { + "bbox": [ + 314, + 510, + 349, + 521 + ], + "score": 0.91, + "content": "H _ { 1 } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 508, + 505, + 523 + ], + "score": 1.0, + "content": "so the parameter error (according to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 520, + 169, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 169, + 533 + ], + "score": 1.0, + "content": "Lemma D.1) is", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 508, + 505, + 533 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 282, + 538, + 328, + 566 + ], + "lines": [ + { + "bbox": [ + 282, + 538, + 328, + 566 + ], + "spans": [ + { + "bbox": [ + 282, + 538, + 328, + 566 + ], + "score": 0.93, + "content": "\\frac { s _ { 1 } ^ { 2 } \\Delta _ { 1 } } { ( n _ { 1 } + s _ { 1 } ) ^ { 2 } }", + "type": "interline_equation", + "image_path": "0c5137b6f9be41dddcede034697ec5ee37c9fa23130eff89301388735e8bce38.jpg" + } + ] + } + ], + "index": 20.5, + "virtual_lines": [ + { + "bbox": [ + 282, + 538, + 328, + 552.0 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 282, + 552.0, + 328, + 566.0 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 571, + 331, + 583 + ], + "lines": [ + { + "bbox": [ + 105, + 569, + 327, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 316, + 586 + ], + "score": 1.0, + "content": "which is strictly decreasing in the number of samples", + "type": "text" + }, + { + "bbox": [ + 316, + 574, + 327, + 582 + ], + "score": 0.85, + "content": "n _ { 1 }", + "type": "inline_equation" + } + ], + "index": 22 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 569, + 327, + 586 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 588, + 402, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 587, + 402, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 154, + 601 + ], + "score": 1.0, + "content": "For domain", + "type": "text" + }, + { + "bbox": [ + 154, + 588, + 175, + 598 + ], + "score": 0.88, + "content": "z = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 587, + 275, + 601 + ], + "score": 1.0, + "content": "(noisy domain), we have", + "type": "text" + }, + { + "bbox": [ + 275, + 588, + 304, + 599 + ], + "score": 0.92, + "content": "\\Delta _ { 3 } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 587, + 402, + 601 + ], + "score": 1.0, + "content": "so the parameter error is", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 106, + 587, + 402, + 601 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 281, + 605, + 329, + 632 + ], + "lines": [ + { + "bbox": [ + 281, + 605, + 329, + 632 + ], + "spans": [ + { + "bbox": [ + 281, + 605, + 329, + 632 + ], + "score": 0.92, + "content": "\\frac { n _ { 3 } H _ { 3 } } { ( n _ { 3 } + s _ { 3 } ) ^ { 2 } } ,", + "type": "interline_equation", + "image_path": "6e7c2f3e9216c1cda8a657c7e3df940f45bcd76b7ebf557326f35981819806a9.jpg" + } + ] + } + ], + "index": 24.5, + "virtual_lines": [ + { + "bbox": [ + 281, + 605, + 329, + 618.5 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 281, + 618.5, + 329, + 632.0 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 637, + 505, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 636, + 504, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 299, + 649 + ], + "score": 1.0, + "content": "by Lemma D.1. This error is minimized to zero at", + "type": "text" + }, + { + "bbox": [ + 299, + 638, + 325, + 648 + ], + "score": 0.91, + "content": "n _ { 3 } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 636, + 504, + 649 + ], + "score": 1.0, + "content": "(no samples). This means that we can allocate", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 649, + 284, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 284, + 660 + ], + "score": 1.0, + "content": "samples elsewhere while still reducing error.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5, + "bbox_fs": [ + 106, + 636, + 504, + 660 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 664, + 504, + 687 + ], + "lines": [ + { + "bbox": [ + 106, + 664, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 664, + 123, + 677 + ], + "score": 1.0, + "content": "For", + "type": "text" + }, + { + "bbox": [ + 123, + 665, + 145, + 675 + ], + "score": 0.89, + "content": "z = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 664, + 308, + 677 + ], + "score": 1.0, + "content": "(intermediate entropy domain), we have", + "type": "text" + }, + { + "bbox": [ + 308, + 665, + 356, + 676 + ], + "score": 0.91, + "content": "\\Delta _ { 2 } = 0 . 2 0 7", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 664, + 373, + 677 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 374, + 665, + 415, + 676 + ], + "score": 0.91, + "content": "H _ { 2 } = 0 . 4 6", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 664, + 505, + 677 + ], + "score": 1.0, + "content": ". The derivative of the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 676, + 342, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 320, + 688 + ], + "score": 1.0, + "content": "parameter error with respect to the number of samples", + "type": "text" + }, + { + "bbox": [ + 320, + 677, + 332, + 686 + ], + "score": 0.85, + "content": "n _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 676, + 342, + 688 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 664, + 505, + 688 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 218, + 693, + 393, + 721 + ], + "lines": [ + { + "bbox": [ + 218, + 693, + 393, + 721 + ], + "spans": [ + { + "bbox": [ + 218, + 693, + 393, + 721 + ], + "score": 0.94, + "content": "\\frac { \\partial } { \\partial n _ { 2 } } \\frac { n _ { 2 } H _ { 2 } + s _ { 2 } ^ { 2 } \\Delta _ { 2 } } { ( n _ { 2 } + s _ { 2 } ) ^ { 2 } } = \\frac { H _ { 2 } ( s _ { 2 } - n _ { 2 } ) - 2 s _ { 2 } ^ { 2 } \\Delta _ { 2 } } { ( n _ { 2 } + s _ { 2 } ) ^ { 3 } }", + "type": "interline_equation", + "image_path": "399e46dc6df5ec8e161020c0855de1f92d42a57a003e29f48845c2c2c942367f.jpg" + } + ] + } + ], + "index": 30.5, + "virtual_lines": [ + { + "bbox": [ + 218, + 693, + 393, + 707.0 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 218, + 707.0, + 393, + 721.0 + ], + "spans": [], + "index": 31 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 73, + 200, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 200, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 200, + 85 + ], + "score": 1.0, + "content": "which is negative when", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "interline_equation", + "bbox": [ + 269, + 89, + 342, + 116 + ], + "lines": [ + { + "bbox": [ + 269, + 89, + 342, + 116 + ], + "spans": [ + { + "bbox": [ + 269, + 89, + 342, + 116 + ], + "score": 0.94, + "content": "n _ { 2 } > s _ { 2 } - \\frac { 2 s _ { 2 } ^ { 2 } \\Delta _ { 2 } } { H _ { 2 } } .", + "type": "interline_equation", + "image_path": "c8378fd3a6f67afc0350d31e1153f46a4b318ef9fe88c8362c4284fc96aafca7.jpg" + } + ] + } + ], + "index": 1.5, + "virtual_lines": [ + { + "bbox": [ + 269, + 89, + 342, + 102.5 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 269, + 102.5, + 342, + 116.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 122, + 505, + 146 + ], + "lines": [ + { + "bbox": [ + 105, + 118, + 507, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 257, + 139 + ], + "score": 1.0, + "content": "This inequality holds in this case since", + "type": "text" + }, + { + "bbox": [ + 257, + 121, + 290, + 137 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\frac { 2 \\Delta _ { 2 } } { H _ { 2 } } < 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 118, + 306, + 139 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 307, + 123, + 332, + 134 + ], + "score": 0.91, + "content": "s _ { 2 } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 118, + 507, + 139 + ], + "score": 1.0, + "content": ". Therefore the parameter error is decreasing", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 133, + 223, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 133, + 207, + 149 + ], + "score": 1.0, + "content": "in the number of samples", + "type": "text" + }, + { + "bbox": [ + 207, + 137, + 219, + 146 + ], + "score": 0.81, + "content": "n _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 133, + 223, + 149 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 106, + 151, + 504, + 174 + ], + "lines": [ + { + "bbox": [ + 105, + 150, + 506, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 506, + 164 + ], + "score": 1.0, + "content": "Thus, any domain weights that reallocate the examples from domain 3 to domains 1 and 2 reduces", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 107, + 162, + 247, + 174 + ], + "spans": [ + { + "bbox": [ + 107, + 162, + 247, + 174 + ], + "score": 1.0, + "content": "the parameter error for all domains.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 107, + 185, + 505, + 262 + ], + "lines": [ + { + "bbox": [ + 106, + 185, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 505, + 199 + ], + "score": 1.0, + "content": "What kind of domains are downweighted? Intuitively, we can downweight the very noisy (high", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 196, + 505, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 505, + 209 + ], + "score": 1.0, + "content": "entropy/difficulty) domain 3 because the initialization perfectly matches the ground truth. This", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "score": 1.0, + "content": "allows us to reallocate samples to the other domains 1 and 2. Between these, domain 1 requires less", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 218, + 506, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 506, + 232 + ], + "score": 1.0, + "content": "additional samples since the parameter error decreases very quickly with the number of samples", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 107, + 228, + 506, + 242 + ], + "spans": [ + { + "bbox": [ + 107, + 230, + 118, + 240 + ], + "score": 0.83, + "content": "n _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 228, + 177, + 242 + ], + "score": 1.0, + "content": "(the difficulty", + "type": "text" + }, + { + "bbox": [ + 177, + 230, + 191, + 240 + ], + "score": 0.89, + "content": "H _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 228, + 506, + 242 + ], + "score": 1.0, + "content": "is zero). Thus, the easiest domains should also receive relatively less weight.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 240, + 506, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 240, + 506, + 252 + ], + "score": 1.0, + "content": "In practice, positive transfer between domains (which is not captured here) can also contribute to", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 251, + 370, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 370, + 263 + ], + "score": 1.0, + "content": "scenarios where reweighting results in no tradeoff across domains.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 273, + 505, + 385 + ], + "lines": [ + { + "bbox": [ + 106, + 274, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 274, + 505, + 285 + ], + "score": 1.0, + "content": "Simulation with DoReMi. We consider running DoReMi on the above no-tradeoff instance of the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 285, + 506, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 297 + ], + "score": 1.0, + "content": "simple example with the ground truth unigram distributions in Equation 14. Note that DoReMi’s", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 296, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 296, + 365, + 308 + ], + "score": 1.0, + "content": "domain reweighting step (Step 2, Algorithm 1) involves a loop over", + "type": "text" + }, + { + "bbox": [ + 365, + 297, + 373, + 306 + ], + "score": 0.78, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 296, + 505, + 308 + ], + "score": 1.0, + "content": "iterative model updates, while the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 306, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 506, + 319 + ], + "score": 1.0, + "content": "estimator from Equation 2 is computed in closed form. To adapt the estimator for DoReMi, we consider", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 318, + 504, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 470, + 329 + ], + "score": 1.0, + "content": "an iterative version where the average is computed in an online fashion. We run DoReMi for", + "type": "text" + }, + { + "bbox": [ + 471, + 318, + 504, + 328 + ], + "score": 0.89, + "content": "T = 5 0 0", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 329, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 247, + 341 + ], + "score": 1.0, + "content": "steps using minibatch size 1 over the", + "type": "text" + }, + { + "bbox": [ + 248, + 329, + 280, + 339 + ], + "score": 0.91, + "content": "n { = } 5 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 329, + 473, + 341 + ], + "score": 1.0, + "content": "training examples with domain weight update rate", + "type": "text" + }, + { + "bbox": [ + 474, + 329, + 503, + 340 + ], + "score": 0.87, + "content": "\\eta { = } 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 329, + 506, + 341 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 222, + 354 + ], + "score": 1.0, + "content": "For the model update at step", + "type": "text" + }, + { + "bbox": [ + 222, + 342, + 227, + 351 + ], + "score": 0.62, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 341, + 288, + 354 + ], + "score": 1.0, + "content": "on an example", + "type": "text" + }, + { + "bbox": [ + 288, + 343, + 295, + 351 + ], + "score": 0.72, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 341, + 350, + 354 + ], + "score": 1.0, + "content": "from domain", + "type": "text" + }, + { + "bbox": [ + 351, + 344, + 357, + 351 + ], + "score": 0.72, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 341, + 481, + 354 + ], + "score": 1.0, + "content": ", we increase the pseudo-count", + "type": "text" + }, + { + "bbox": [ + 481, + 340, + 505, + 353 + ], + "score": 0.91, + "content": "\\widehat { \\theta } _ { z } ( x )", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 352, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 228, + 365 + ], + "score": 1.0, + "content": "by the current domain weight", + "type": "text" + }, + { + "bbox": [ + 228, + 354, + 240, + 363 + ], + "score": 0.86, + "content": "\\alpha _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 352, + 345, + 365 + ], + "score": 1.0, + "content": "corresponding to domain", + "type": "text" + }, + { + "bbox": [ + 345, + 354, + 351, + 362 + ], + "score": 0.71, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 352, + 505, + 365 + ], + "score": 1.0, + "content": ". Instead of using the examples in the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 362, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 506, + 376 + ], + "score": 1.0, + "content": "minibatch (which is only size 1 and doesn’t represent all domains), we compute the per-domain excess", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 374, + 456, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 456, + 387 + ], + "score": 1.0, + "content": "log-perplexities in Algorithm 1 using a fixed, independent evaluation set of 30 examples.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 108, + 390, + 504, + 424 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "We compare DoReMi against a model trained with baseline domain weights, which are uniform over", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 270, + 414 + ], + "score": 1.0, + "content": "the 3 domains. All models are trained on", + "type": "text" + }, + { + "bbox": [ + 271, + 402, + 303, + 411 + ], + "score": 0.9, + "content": "n { = } 5 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "training examples. We evaluate the log-perplexity", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 412, + 494, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 494, + 425 + ], + "score": 1.0, + "content": "of a model on each domain in closed form using the ground truth unigram distribution parameters.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 428, + 505, + 483 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "On this simple example, DoReMi returns domain weights [0.39,0.61,0.0] after rounding to 2 decimal", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "score": 1.0, + "content": "places. These weights correspond to our intuitions — the first domain (non-noisy) is increased by", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "score": 1.0, + "content": "a small amount, the third domain (noisy) is decreased to 0 weight, and most of the weight is allocated", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "to the second domain. We use these domain weights to generate a new dataset of 500 examples. The", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 472, + 495, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 495, + 484 + ], + "score": 1.0, + "content": "model trained with this new dataset improves over the baseline model in perplexity on all domains.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29 + } + ], + "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": [ + 106, + 73, + 200, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 200, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 200, + 85 + ], + "score": 1.0, + "content": "which is negative when", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 106, + 72, + 200, + 85 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 269, + 89, + 342, + 116 + ], + "lines": [ + { + "bbox": [ + 269, + 89, + 342, + 116 + ], + "spans": [ + { + "bbox": [ + 269, + 89, + 342, + 116 + ], + "score": 0.94, + "content": "n _ { 2 } > s _ { 2 } - \\frac { 2 s _ { 2 } ^ { 2 } \\Delta _ { 2 } } { H _ { 2 } } .", + "type": "interline_equation", + "image_path": "c8378fd3a6f67afc0350d31e1153f46a4b318ef9fe88c8362c4284fc96aafca7.jpg" + } + ] + } + ], + "index": 1.5, + "virtual_lines": [ + { + "bbox": [ + 269, + 89, + 342, + 102.5 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 269, + 102.5, + 342, + 116.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 122, + 505, + 146 + ], + "lines": [ + { + "bbox": [ + 105, + 118, + 507, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 257, + 139 + ], + "score": 1.0, + "content": "This inequality holds in this case since", + "type": "text" + }, + { + "bbox": [ + 257, + 121, + 290, + 137 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\frac { 2 \\Delta _ { 2 } } { H _ { 2 } } < 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 118, + 306, + 139 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 307, + 123, + 332, + 134 + ], + "score": 0.91, + "content": "s _ { 2 } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 118, + 507, + 139 + ], + "score": 1.0, + "content": ". Therefore the parameter error is decreasing", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 133, + 223, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 133, + 207, + 149 + ], + "score": 1.0, + "content": "in the number of samples", + "type": "text" + }, + { + "bbox": [ + 207, + 137, + 219, + 146 + ], + "score": 0.81, + "content": "n _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 133, + 223, + 149 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 118, + 507, + 149 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 151, + 504, + 174 + ], + "lines": [ + { + "bbox": [ + 105, + 150, + 506, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 506, + 164 + ], + "score": 1.0, + "content": "Thus, any domain weights that reallocate the examples from domain 3 to domains 1 and 2 reduces", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 107, + 162, + 247, + 174 + ], + "spans": [ + { + "bbox": [ + 107, + 162, + 247, + 174 + ], + "score": 1.0, + "content": "the parameter error for all domains.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 150, + 506, + 174 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 185, + 505, + 262 + ], + "lines": [ + { + "bbox": [ + 106, + 185, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 505, + 199 + ], + "score": 1.0, + "content": "What kind of domains are downweighted? Intuitively, we can downweight the very noisy (high", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 196, + 505, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 505, + 209 + ], + "score": 1.0, + "content": "entropy/difficulty) domain 3 because the initialization perfectly matches the ground truth. This", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "score": 1.0, + "content": "allows us to reallocate samples to the other domains 1 and 2. Between these, domain 1 requires less", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 218, + 506, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 506, + 232 + ], + "score": 1.0, + "content": "additional samples since the parameter error decreases very quickly with the number of samples", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 107, + 228, + 506, + 242 + ], + "spans": [ + { + "bbox": [ + 107, + 230, + 118, + 240 + ], + "score": 0.83, + "content": "n _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 228, + 177, + 242 + ], + "score": 1.0, + "content": "(the difficulty", + "type": "text" + }, + { + "bbox": [ + 177, + 230, + 191, + 240 + ], + "score": 0.89, + "content": "H _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 228, + 506, + 242 + ], + "score": 1.0, + "content": "is zero). Thus, the easiest domains should also receive relatively less weight.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 240, + 506, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 240, + 506, + 252 + ], + "score": 1.0, + "content": "In practice, positive transfer between domains (which is not captured here) can also contribute to", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 251, + 370, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 370, + 263 + ], + "score": 1.0, + "content": "scenarios where reweighting results in no tradeoff across domains.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 185, + 506, + 263 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 273, + 505, + 385 + ], + "lines": [ + { + "bbox": [ + 106, + 274, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 274, + 505, + 285 + ], + "score": 1.0, + "content": "Simulation with DoReMi. We consider running DoReMi on the above no-tradeoff instance of the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 285, + 506, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 297 + ], + "score": 1.0, + "content": "simple example with the ground truth unigram distributions in Equation 14. Note that DoReMi’s", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 296, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 296, + 365, + 308 + ], + "score": 1.0, + "content": "domain reweighting step (Step 2, Algorithm 1) involves a loop over", + "type": "text" + }, + { + "bbox": [ + 365, + 297, + 373, + 306 + ], + "score": 0.78, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 296, + 505, + 308 + ], + "score": 1.0, + "content": "iterative model updates, while the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 306, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 506, + 319 + ], + "score": 1.0, + "content": "estimator from Equation 2 is computed in closed form. To adapt the estimator for DoReMi, we consider", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 318, + 504, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 470, + 329 + ], + "score": 1.0, + "content": "an iterative version where the average is computed in an online fashion. We run DoReMi for", + "type": "text" + }, + { + "bbox": [ + 471, + 318, + 504, + 328 + ], + "score": 0.89, + "content": "T = 5 0 0", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 329, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 247, + 341 + ], + "score": 1.0, + "content": "steps using minibatch size 1 over the", + "type": "text" + }, + { + "bbox": [ + 248, + 329, + 280, + 339 + ], + "score": 0.91, + "content": "n { = } 5 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 329, + 473, + 341 + ], + "score": 1.0, + "content": "training examples with domain weight update rate", + "type": "text" + }, + { + "bbox": [ + 474, + 329, + 503, + 340 + ], + "score": 0.87, + "content": "\\eta { = } 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 329, + 506, + 341 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 222, + 354 + ], + "score": 1.0, + "content": "For the model update at step", + "type": "text" + }, + { + "bbox": [ + 222, + 342, + 227, + 351 + ], + "score": 0.62, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 341, + 288, + 354 + ], + "score": 1.0, + "content": "on an example", + "type": "text" + }, + { + "bbox": [ + 288, + 343, + 295, + 351 + ], + "score": 0.72, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 341, + 350, + 354 + ], + "score": 1.0, + "content": "from domain", + "type": "text" + }, + { + "bbox": [ + 351, + 344, + 357, + 351 + ], + "score": 0.72, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 341, + 481, + 354 + ], + "score": 1.0, + "content": ", we increase the pseudo-count", + "type": "text" + }, + { + "bbox": [ + 481, + 340, + 505, + 353 + ], + "score": 0.91, + "content": "\\widehat { \\theta } _ { z } ( x )", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 352, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 228, + 365 + ], + "score": 1.0, + "content": "by the current domain weight", + "type": "text" + }, + { + "bbox": [ + 228, + 354, + 240, + 363 + ], + "score": 0.86, + "content": "\\alpha _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 352, + 345, + 365 + ], + "score": 1.0, + "content": "corresponding to domain", + "type": "text" + }, + { + "bbox": [ + 345, + 354, + 351, + 362 + ], + "score": 0.71, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 352, + 505, + 365 + ], + "score": 1.0, + "content": ". Instead of using the examples in the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 362, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 506, + 376 + ], + "score": 1.0, + "content": "minibatch (which is only size 1 and doesn’t represent all domains), we compute the per-domain excess", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 374, + 456, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 456, + 387 + ], + "score": 1.0, + "content": "log-perplexities in Algorithm 1 using a fixed, independent evaluation set of 30 examples.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 274, + 506, + 387 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 390, + 504, + 424 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "We compare DoReMi against a model trained with baseline domain weights, which are uniform over", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 270, + 414 + ], + "score": 1.0, + "content": "the 3 domains. All models are trained on", + "type": "text" + }, + { + "bbox": [ + 271, + 402, + 303, + 411 + ], + "score": 0.9, + "content": "n { = } 5 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "training examples. We evaluate the log-perplexity", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 412, + 494, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 494, + 425 + ], + "score": 1.0, + "content": "of a model on each domain in closed form using the ground truth unigram distribution parameters.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25, + "bbox_fs": [ + 106, + 389, + 506, + 425 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 428, + 505, + 483 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "On this simple example, DoReMi returns domain weights [0.39,0.61,0.0] after rounding to 2 decimal", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "score": 1.0, + "content": "places. These weights correspond to our intuitions — the first domain (non-noisy) is increased by", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "score": 1.0, + "content": "a small amount, the third domain (noisy) is decreased to 0 weight, and most of the weight is allocated", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "to the second domain. We use these domain weights to generate a new dataset of 500 examples. 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Require: Domain data D1,.,Dk,number of training steps T, batch size b,step size n, smoothing parameterc∈ [0,1] (e.g.,c=1e-3 in our implementation).
Initialize proxy weights 0o
Initialize domain weights αo = 11
for t from 1 to T doSample minibatch B={xi1,,xj} of size b from Pu, where u= 1
Let |x| be the token length of example x (|x|≤ L)
Compute per-domain excess losses for each domain i∈ {1,2,.,k} (le.,j(x) is j-th token-level
loss): 1 1|xmax{lθt-1,j(x)-lref,j(x),0}
入t[i]←Ω∈BnD ∑xEBnDi∑j=11 |xUpdate domain weights (exp is entrywise): αt ← αt-1exp(n入t)
Renormalize and smooth domain weights: αt ← (1-c)a +cu
end forUpdate proxy model weights 0t for the objective L(0t-1,αt) (using Adam, Adafactor, etc.)
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Round 1Round 2Round 3Downstream-tuned
Wikipedia0.090.050.050.06
Filtered webpages0.440.510.510.42
Conversations0.100.220.220.27
Forums0.160.040.040.02
Books0.110.170.170.20
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DomainBaselineDoReMi (280M)DifferenceDomainBaselineDoReMi(280M)Difference
Pile-CC0.11210.6057+0.4936DMMathematics0.01980.0018-0.0180
YoutubeSubtitles0.00420.0502+0.0460Wikipedia (en)0.09190.0699-0.0220
PhilPapers0.00270.0274+0.0247OpenWebText20.12470.1019-0.0228
HackerNews0.00750.0134+0.0059Github0.04270.0179-0.0248
Enron Emails0.00300.0070+0.0040FreeLaw0.03860.0043-0.0343
EuroParl0.00430.0062+0.0019USPTO Backgrounds0.04200.0036-0.0384
Ubuntu IRC0.00740.0093+0.0019Books30.06760.0224-0.0452
BookCorpus20.00440.0061+0.0017PubMed Abstracts0.08450.0113-0.0732
NIH ExPorter0.00520.0063+0.0011StackExchange0.09290.0153-0.0776
OpenSubtitles0.01240.0047-0.0077ArXiv0.10520.0036-0.1016
Gutenberg (PG-19)0.01990.0072-0.0127PubMed Central0.10710.0046-0.1025
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Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (280M)2.392.320/22
DoReMi(280M->280M)2.192.1322/22
Proxy (280M)2.332.2719/22
Baseline (1B)1.941.870/22
DoReMi(1B->1B)1.921.8319/22
Proxy (1B)2.112.020/22
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Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (8B)1.711.640/22
DoReMi(70M->8B)1.631.5322/22
DoReMi(150M->8B)1.561.5222/22
DoReMi(280M->8B)1.461.4022/22
DoReMi(1B->8B)1.581.5422/22
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Worst-case log-pplAvg log-ppl# domains beating baseline
Baseline (280M)2.392.32 0/22
DoReMi(280M->280M)2.192.13 22/22
Proxy (280M)2.33 2.2719/22
Baseline (510M)2.142.08 0/22
DoReMi(510M->510M)2.142.06 15/22
Proxy (510M)2.232.18 0/22
Baseline (760M)2.051.97 0/22
DoReMi(760M->760M)2.001.94 17/22
Proxy (760M)2.15 2.100/22
Baseline (1B)1.941.87 0/22
DoReMi(1B->1B)1.921.83 19/22
Proxy (1B)2.11 2.020/22
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Baseline (8B)DoReMi(70M->8B)DoReMi(150M->8B)DoReMi(280M->8B)DoReMi(1B->8B)
Pile-CC1.641.511.481.411.55
PubMed Central1.601.581.541.461.56
Books31.651.521.501.421.57
OpenWebText21.661.481.541.361.58
ArXiv1.641.561.531.381.51
Github1.651.551.541.421.53
FreeLaw1.641.551.541.451.55
StackExchange1.611.521.541.391.55
USPTO Backgrounds1.701.531.501.411.56
PubMed Abstracts1.611.561.511.441.55
Gutenberg (PG-19)1.701.561.541.351.52
OpenSubtitles1.581.561.521.401.55
Wikipedia (en)1.661.491.531.351.56
DMMathematics1.631.501.561.381.48
Ubuntu IRC1.711.531.491.421.48
BookCorpus21.641.571.541.431.57
EuroParl1.591.521.511.371.53
HackerNews1.661.501.551.451.55
YoutubeSubtitles1.671.631.551.421.53
PhilPapers1.671.551.491.391.53
NIHExPorter1.631.511.481.361.52
Enron Emails1.621.481.521.441.56
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BaselineDoReMi(1B->8B)DoReMi(280M->8B)DoReMi(150M->8B)DoReMi(70M->8B)
LAMBADA20.1022.5529.1920.5926.20
NaturalQuestions4.356.017.736.265.10
SQuADv244.4342.2251.8946.5340.99
TriviaQA24.5532.2534.8630.0126.30
WebQuestions6.748.719.159.156.99
Average20.0322.3526.5622.5121.11
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Worst-case log-pplAvg log-ppl#domains beating baseline
Baseline (280M)2.392.320
DoReMi(280M->280M)2.192.1322/22
Hardest (280M->280M)2.662.620/22
Easiest (280M->280M)4.274.180/22
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-0,0 +1,305 @@ +# Dataset Distillation via Factorization + +Songhua Liu Kai Wang Xingyi Yang Jingwen Ye Xinchao Wang National University of Singapore {songhua.liu,e0823044,xyang}@u.nus.edu, {jingweny,xinchao}@nus.edu.sg + +# Abstract + +In this paper, we study dataset distillation (DD), from a novel perspective and introduce a dataset factorization approach, termed HaBa, which is a plug-andplay strategy portable to any existing DD baseline. Unlike conventional DD approaches that aim to produce distilled and representative samples, HaBa explores decomposing a dataset into two components: data Hallucination networks and Bases, where the latter is fed into the former to reconstruct image samples. The flexible combinations between bases and hallucination networks, therefore, equip the distilled data with exponential informativeness gain, which largely increase the representation capability of distilled datasets. To furthermore increase the data efficiency of compression results, we further introduce a pair of adversarial contrastive constraints on the resultant hallucination networks and bases, which increase the diversity of generated images and inject more discriminant information into the factorization. Extensive comparisons and experiments demonstrate that our method can yield significant improvement on downstream classification tasks compared with previous state of the arts, while reducing the total number of compressed parameters by up to $65 \%$ . Moreover, distilled datasets by our approach also achieve ${ \sim } 1 0 \%$ higher accuracy than baseline methods in cross-architecture generalization. Our code is available here. + +# 1 Introduction + +The success of deep models on a variety of vision tasks, such as image classification [23, 9, 34], object detection [33, 32], and semantic segmentation [39, 49, 25], is largely attributed to the huge amount of data used for training and various pre-trained models [50]. However, the sheer amount of data introduces significant obstacles for storage, transmission, and data pre-processing. Besides, publishing raw data inevitably brings about privacy or copyright issue in practice [40, 8]. To alleviate these problems, Wang et al. [47] pioneer the research of dataset distillation (DD), to distill a large dataset into a synthetic one with only a limited number of samples, so that the training efforts with the distilled dataset for downstream models on the original dataset can be largely reduced, which facilitates a series of applications like continual learning [37, 36, 48, 27] and black-box optimization [6]. Due the significant practical value of DD, many endeavours have been made on this area [55, 53, 54, 46, 21, 5, 56] to design novel supervision signals to train the synthetic datasets and to further improve their performances. + +Nevertheless, there is a potential drawback in conventional settings of DD: it largely treats each synthetic sample independently and ignores the inter coherence and relationship between different instances. As such, the information embraced by each sample, despite distilled, is by nature limited. Using the synthetic samples for training downstream models, therefore, inevitably leads to the loss of dataset information. Moreover, the few distilled samples are incompatible with the enormous number of parameters in a deep model and may yield the risk of overfitting. + +To verify these potential issues, we conduct a pre-experiment on CIFAR10 dataset with 10 synthetic images per class, using MTT [5], the current SOTA solution on DD, as the baseline. In addition to the baseline setting, we also incorporate all the checkpoint synthetic datasets after each $1 0 0 \mathrm { D D }$ iterations in the convergent stage to train the downstream model. Since the synthetic images are fine-tuned during this stage, multiple checkpoints can be viewed as related but different, which may somehow increase the diversity. As a result, it yields overall lower test loss and hence better final results in downstream training, as shown in the blue and green curves in Fig. 2, which indicates that current DD solutions can be potentially improved by leveraging some sample-wise relationships to diversify the distilled data. Nevertheless, simply involving more data samples may also increase the memory overhead. This fact motivates us to ask: is it possible to encode some shared relationships in a dataset implicitly, instead of storing samples directly, to avoid such additional storage costs? + +![](images/d54c5382aee43c1876cd442f8b0734b400fc447b73082889e580be83543cb7c8.jpg) +Figure 1: Intuition of our hallucinator-basis factorization for dataset distillation. + +We show in this paper that, it can indeed be made possible through reformulating the DD task as a factorization problem. As shown in Fig. 1, we propose a novel perspective dubbed HaBa, to factorize a dataset into two compositions: data Hallucination networks and Bases. A data hallucination network, or hallucinator, can take any basis as input and output the corresponding hallucinated image. Supervised by the training objective of DD, a set of hallucinators can synthesize multiple samples from a common basis and are optimized to extract effective relationships among different samples in original datasets explicitly. In this way, information of $| { \mathcal { H } } | \times | B |$ images can be included for a factorization result with $| \mathcal { H } |$ hallucinators and $| B |$ bases via arbitrary pair-wise combination, which improves the data efficiency of traditional DD exponentially. As shown in the yellow curve in Fig. 2, with the same budget on the storage, our strategy achieves better test performance compared with the MTT baseline. + +![](images/43a4d3d0bb0608da3953376c445989ec5f8437bf4c1e7987ce40ad4016188b39.jpg) +Figure 2: Visualization of test loss using synthetic datasets generated by MTT, MTT with multiple checkpoints, and ours. + +To further increase the informativeness of factorized results, we introduce a pair of adversarial contrastive constraints to promote sample-wise diversity. The goal of HaBa is to minimize the correlation among images composed of different hallucinators but a common basis, while an adversary tries to maximize it. Such an adversarial scheme, in turn, enforces the hallucinators to produce diversified images and increases the amount of useful information. + +Notably, HaBa is a versatile strategy that can be built upon existing DD baselines, since it is compatible with any training objective for measuring the similarity between downstream performances as shown in Fig. 1, We conduct extensive experiments to demonstrate the advantages of the proposed method over baseline ones. In all benchmarks and comparisons, HaBa produces significant and consistent improvement on training downstream models, while reducing the total number of compressed parameters by up to $65 \%$ . Furthermore, it demonstrates strong cross-architecture generalization ability with accuracy improvement higher than $10 \%$ . Our contributions are summarized as follows: + +• We study dataset factorization, a novel perspective to explore dataset distillation, and propose a novel approach termed HaBa for hallucinator-basis factorization. • We present a pair of adversarial contrastive objectives to further increase the data diversity and information capability. + +• HaBa is a plug-and-play scheme compatible with all existing training objectives of DD and can yield significant and consistent improvement over the state of the arts. + +# 2 Related Works + +The goal of dataset distillation (DD) is to optimize a smaller synthetic dataset such that it is capable to take place of original one for training downstream tasks, which is different from coreset selection [1, 7, 13, 38, 44], another branch for dataset compression, directly selecting samples from raw datasets. In this section, we provide a detailed review of previous methods in DD. + +Motivated from knowledge distillation [15, 12, 52, 51] aiming at model compression, Wang et al. [47] introduce the concept of dataset distillation for dataset compression. The idea is to optimize the synthetic images so that they can minimize loss functions of downstream tasks, where a bilevel optimization algorithm [11] is involved. Following this routine, several works further consider learnable labels beyond samples [3, 42]. Subsequently, Zhao et al. [55] and several following approaches [53, 24] consider matching gradients of a downstream model produced by synthetic samples and real images, which improve the performance significantly. Most recently, Cazenavette et al. [5] argue that single-iteration gradient matching may lead to inferior performance due to error accumulation across multiple steps and thereby propose to match long-range training dynamics of an expert trained on the original dataset. As an alternative method to profile training effects produced by different sets, Nguyen et al. [29, 30] also introduce the kernel ridge-regression approach based on the Neural Tangent Kernel (NTK) in infinitely wide convolutional networks [17]. + +Apart from matching training effects, there are also methods matching data distributions between original and synthetic datasets. For instance, Zhao et al. [54] propose a simple but effective Maximum Mean Discrepancy (MMD) constraint for DD, which does not involve the training of downstream models and enjoys superior training efficiency. Wang et al. [46] propose CAFE, explicitly attempting to align the synthetic and real distributions in the feature space of a downstream network. + +Above mentioned methods are dedicated to exploring suitable training objectives and pipelines for DD. However, there are few works concerning improving the data efficiency for distilled samples. Although Zhao et al. [53] propose differentiable siamese augmentation (DSA) to enrich the training data, the augmentation operations used, e.g., crop, flip, scale, and rotation, cannot encode any information about the target datasets. In this paper, we study the task in a factorization perspective, to factorize a dataset into two different compositions: data hallucination networks and bases. Both parts carry important knowledge of the raw dataset. For downstream training, hallucinators and bases can perform arbitrary pair-wise combination, i.e., sending any basis to any hallucinator, to create a training sample. The idea of factorization can improve the diversity of distilled training datasets significantly, without introducing additional costs for storage. It is also a versatile strategy compatible with all aforementioned DD methods, which will be demonstrated in the experiment part. + +Concurrent Works on Efficient Distilled Dataset Parameterization: As a concurrent work, Kim et al. [21] propose IDC for efficient synthetic data parameterization. It reveals that only storing down-sample version of synthetic images and conducting bilinear upsampling in downstream training would not hurt the performance much. Thus, given the same budget of storage, it can store $4 \times$ number of $2 \times$ down-sample synthetic images compared with the baseline. Both IDC and HaBa in this paper are dedicated to improving the data efficiency of synthetic parameters. Interestingly, according to the definition of our hallucinator-basis factorization, IDC can in fact be treated as a special case of HaBa, where the hallucinator is a parameter-free upsampling function and each basis has a smaller spatial size. Nevertheless, the main focuses for IDC and HaBa are different and they are in fact two orthogonal techniques, which can readily join force to enhance the baseline performance, as discussed in Sec. 4.2. + +# 3 Methods + +In this section, we elaborate our proposed method HaBa for dataset distillation (DD). Assume that there is an original dataset $\mathcal { T } = \{ ( x _ { i } , y _ { i } ) \} _ { i = 1 } ^ { | T | }$ with $| \tau |$ pairs of a training sample $x _ { i }$ and the corresponding label $y _ { i }$ . DD targets a synthetic dataset $\boldsymbol { S } = \{ ( \hat { x } _ { i } , \hat { y } _ { i } ) \} _ { i = 1 } ^ { | S | }$ with $| S | \ll | T |$ and expects that a model trained on $s$ can have similar performance than that trained on $\tau$ . + +![](images/994ecdccd369f7082395e0bc2c84828eb75d9355cc1584bd82df700450ac580c.jpg) +Figure 3: Left: Overall pipeline of the proposed hallucinator-basis factorization. $B , \mathcal { H }$ , and $\tau$ denote sets of bases, hallucinators, and original data respectively. Adv. denotes an adversary model. We adopt batch size 2 here for clarity; Right: Architecture of a hallucinator in detail. + +Traditional DD methods treat each synthetic sample independently and ignore the inner relationship between different samples within a dataset, which results in poor data/information efficiency. Focusing on such drawback, we study DD from a novel perspective and redefine it as a hallucinator-basis factorization problem: + +$$ +\begin{array} { r } { \mathcal { S } = \{ H _ { \theta _ { j } } \} _ { j = 1 } ^ { | \mathcal { H } | } \cup \{ ( \hat { x } _ { i } , \hat { y } _ { i } ) \} _ { i = 1 } ^ { | \mathcal { B } | } , } \end{array} +$$ + +where there are $| \mathcal { H } |$ hallucination networks and $| B |$ bases. The $j$ -th hallucinator is parameterized by $\theta _ { i }$ and we denote it by $H _ { \theta _ { i } }$ for $1 \leq j \leq | \mathcal { H } |$ . For downstream training, a training data pair $( \tilde { x } _ { i j } , \tilde { y } _ { i j } )$ is created online via sending the $i$ -th basis, with any $1 \leq i \leq | \boldsymbol { B } |$ , to the $j$ -th hallucinator, with any $1 \leq j \leq | \mathcal { H } |$ , i.e., $\tilde { x } _ { i j } = H _ { \theta _ { j } } ( \hat { x } _ { i } )$ . In this paper, the label $\tilde { y } _ { i j }$ is simply taken as $\hat { y } _ { i }$ . + +An overview of our method is shown in Fig. 3(Left). To go deeper into the technical details, we first start with the introduction of our basis and data hallucination network in Sec. 3.1. Then, we propose an adversarial contrastive constraint to increase data diversity in Sec. 3.2. Finally, we present the whole training pipeline of the hallucinator-basis factorization for DD in Sec. 3.3. + +# 3.1 Basis and Hallucinator + +Basis: Typically, for an image classification dataset $\mathcal { T } = \{ ( x _ { i } , y _ { i } ) \} _ { i = 1 } ^ { | \mathcal { T } | }$ , $x _ { i } \in \mathbb { R } ^ { h \times w \times c }$ and $y _ { i } \in$ $\{ 0 , 1 , . . . , C - 1 \}$ for each $1 \leq i \leq | \mathcal { T } |$ , where each $x _ { i }$ is a $c$ -channel image with a resolution of $h \times w$ , and $C$ is the total number of classes. In previous DD methods, the format/shape of synthetic data pairs $( \hat { x } , \hat { y } )$ has to be held the same as that of real data, so as to make sure the consistency between input and output formats in the training and test time for downstream models. By contrast, since hallucinator networks are capable of spatial-wise and channel-wise transformation, the shape of each ${ \hat { x } } _ { i }$ , $1 \leq i \leq | \boldsymbol { B } |$ , denoted as $\mathbf { \bar { } } h ^ { \prime } \times w ^ { \prime } \times \bar { c } ^ { \prime }$ , is not necessarily the same as that of original samples and thus more flexible. And for a classification problem, we do not modify its label space in this paper for simplicity and maintain the categorical format. + +Hallucinator: Given a basis $\hat { \boldsymbol { x } } \in \mathbb { R } ^ { h ^ { \prime } \times w ^ { \prime } \times c ^ { \prime } }$ , a data hallucination network, aims to create a new image $\tilde { x } \in \mathbb R ^ { h \times w \times c }$ based on $\hat { x }$ , which can be viewed as a conditional image generation problem. Inspired by image style transfer [19, 16, 18, 26], a typical conditional image generation problem, we devise an encoder-transformation-decoder based architecture for hallucinators, as shown in Fig. 3(Right). Specifically, the encoder, denoted as enc, is composed of CNN blocks, which non-linearly maps an input $\hat { x }$ to a feature space $\mathbb { R } ^ { h ^ { \prime \prime } \times w ^ { \prime \prime } \times c ^ { \prime \prime } }$ . Then, an affine transformation with scale $\sigma$ and shift $\mu$ is conducted on the derived feature, where $\sigma$ and $\mu$ are treated as network parameters in this paper. At last, the decoder $d e c$ under a symmetric CNN architecture with enc projects the transformed feature back to the image space. Formally, this process can be written as: + +$$ +\hat { f } = e n c ( \hat { x } ) , ~ \tilde { f } = \sigma \times \hat { f } + \mu , ~ \tilde { x } = d e c ( \tilde { f } ) , +$$ + +where the multiplication is element-wise operation. There are $| { \mathcal { H } } |$ hallucinators in the whole factorization pipeline and each would be trained to implicitly encode some sample-wise relations by its network parameters. + +# 3.2 Adversarial Contrastive Constraint + +Ideally, the knowledge encoded by different hallucinators should be as different/orthogonal as possible to get the most benefits for each individual. To instantiate such regularization, let’s consider two composed images $\tilde { x } _ { i j }$ and $\tilde { x } _ { i k }$ from two different hallucinators $H _ { \theta _ { j } }$ and $H _ { \theta _ { k } }$ but a common basis ${ \hat { x } } _ { i }$ The divergence between $\tilde { x } _ { i j }$ and $\tilde { x } _ { i k }$ is expected to be large. To measure the divergence, a feature extractor is required to map an input image to a feature space, and how to train such a feature extractor to find an appropriate feature space is of great importance. + +In this paper, we formalize the training of hallucinators and the feature extractor as a min-max game in a self-consistent manner, where the feature extractor desires to minimize the divergence between $\tilde { x } _ { i j }$ and $\tilde { x } _ { i k }$ while hallucinators, as well as bases, are optimized to maximize it so that the two players can reinforce each other. In specific, the feature extractor, denoted as $F$ and parameterized by $\psi$ , is typically a CNN structure for the downstream task and we adopt features at the last hidden layer before the output layer, denoted as $F _ { - 1 } ( \tilde { x } _ { i j } )$ and $F _ { - 1 } ( \tilde { x } _ { i k } )$ . $F$ is optimized to maximize the correlation between the two feature vectors, which can be quantified by the metric of mutual information (MI). Inspired by the lower bound of MI [45], the objective to minimize the divergence for $F$ is given by the following contrastive form: + +$$ +\mathcal { L } _ { c o n . } = - \frac { 1 } { | \mathcal { H } | ^ { 2 } } \frac { 1 } { | \mathcal { B } | } \sum _ { \substack { 1 \leq j , k \leq | \mathcal { H } | , i = 1 } } \sum _ { i = 1 } ^ { | \mathcal { B } | } \log \frac { \exp { \{ F _ { - 1 } ^ { \top } ( \tilde { x } _ { i j } ) F _ { - 1 } ( \tilde { x } _ { i k } ) / \tau \} } } { \sum _ { u = 1 } ^ { | \mathcal { B } | } \exp { \{ F _ { - 1 } ^ { \top } ( \tilde { x } _ { i j } ) F _ { - 1 } ( \tilde { x } _ { u k } ) / \tau \} } } , +$$ + +where $\tau$ is a scalar temperature coefficient. For the classification problem, we can alternatively adopt the supervised form of the contrastive loss ${ \mathcal { L } } _ { c o n . }$ ., where $\tilde { x } _ { u k }$ with the same class label as $\tilde { x } _ { i j }$ are also taken into consideration as positive samples in Eq. 3. The supervised contrastive loss can benefit to increase the correlation of samples from the same class [20] for a more reasonable feature representation. + +In addition, the feature space is expected to reflect the task-specific property for a meaningful representation. Thus, we also incorporate the task loss $\mathcal { L } _ { t a s k }$ , e.g., cross-entropy loss in classification tasks, over the synthetic dataset as a supervision signal for $F$ . In this way, the overall training objective for $F$ is defined as: + +$$ +\operatorname* { m i n } _ { \psi } \mathcal { L } _ { F } = \lambda _ { c o n . } \mathcal { L } _ { c o n . } + \lambda _ { t a s k } \mathcal { L } _ { t a s k } , +$$ + +where $\lambda _ { c o n }$ . and $\lambda _ { t a s k }$ are hyper-parameters controlling the weight for each term. + +$F$ acts as an adversary to minimize the divergence between $\tilde { x } _ { i j }$ and $\tilde { x } _ { i k }$ , while the synthetic dataset is expected to maximize it to increase data diversity. To this ends, the similarity between $F _ { - 1 } ( \tilde { x } _ { i j } )$ and $\bar { F } _ { - 1 } ( \tilde { x } _ { i k } )$ becomes one loss term for hallucinator-basis factorization. In this paper, we adopt the cosine-similarity and the objective $\mathcal { L } _ { c o s }$ . is given by: + +$$ +\mathcal { L } _ { c o s . } = \frac { 1 } { | \mathcal { H } | ^ { 2 } } \frac { 1 } { | \mathcal { B } | } \sum _ { 1 \le j , k \le | \mathcal { H } | , i = 1 \atop j \ne k } \sum _ { i = 1 } ^ { | \mathcal { B } | } \frac { F _ { - 1 } ^ { \top } ( \tilde { x } _ { i j } ) F _ { - 1 } ( \tilde { x } _ { i k } ) } { \| F _ { - 1 } ( \tilde { x } _ { i j } ) \| _ { 2 } \| F _ { - 1 } ( \tilde { x } _ { i k } ) \| _ { 2 } } . +$$ + +During training, the feature extractor and the factorized components are updated alternately to play this min-max game. + +# 3.3 Factorization Training Pipeline + +Following previous paradigms [55, 54, 5, 46], the synthetic dataset $s$ is updated in an iterative algorithm. In each iteration, we randomly sample a batch of hallucinators and bases and conduct pair-wise combinations. The composed images are evaluated by the objective of dataset distillation $\mathcal { L } _ { D D }$ and the similarity metric in Eq. 5: + +$$ +\operatorname* { m i n } _ { S } \mathcal { L } _ { S } = \lambda _ { D D } \mathcal { L } _ { D D } + \lambda _ { c o s . } \mathcal { L } _ { c o s . } , +$$ + +where hyper-parameters $\lambda _ { D D }$ and $\lambda _ { c o s }$ . balance the loss. + +Notably, the hallucinator-basis factorization is compatible with a variety of configurations of $\mathcal { L } _ { D D }$ by previous arts, which makes it a versatile and effective strategy for DD. In this paper, we adopt the trajectories matching loss in Cazenavette et al. [5] as $\mathcal { L } _ { D D }$ by default thanks to its superior performance. The basic idea is to update a downstream model from a cached checkpoint $\phi _ { t } ^ { * }$ at iteration $t$ , using the synthetic dataset $s$ for $N$ times, and using the real dataset $\tau$ for $M$ times respectively. The updated parameters by the two cases, $\hat { \phi } _ { t + N }$ and $\phi _ { t + M } ^ { * }$ are enforced to be consistent: + +$$ +\begin{array} { r l } & { \hat { \phi } _ { t + n + 1 } \hat { \phi } _ { t + n } - \alpha \nabla _ { \hat { \phi } _ { t + n } } \mathcal { L } _ { t a s k } ( S ) , \quad \hat { \phi } _ { t } \phi _ { t } ^ { * } , \quad 0 \leq n < N , } \\ & { \quad \quad \phi _ { t + m + 1 } ^ { * } \phi _ { t + m } ^ { * } - \beta \nabla _ { \phi _ { t + m } ^ { * } } \mathcal { L } _ { t a s k } ( T ) , \quad 0 \leq m < M , } \\ & { \quad \quad \quad \mathcal { L } _ { D D } = \frac { \| \hat { \phi } _ { t + N } - \phi _ { t + M } ^ { * } \| _ { 2 } ^ { 2 } } { \| \phi _ { t } ^ { * } - \phi _ { t + M } ^ { * } \| _ { 2 } ^ { 2 } } , } \end{array} +$$ + +where $\alpha$ and $\beta$ are learning rates with $s$ and $\tau$ respectively. $\alpha$ is learnable in the framework while $\beta$ is a hyper-parameter. In Sec. 4.2, we also experiment with other settings of $\mathcal { L } _ { D D }$ . + +Based on the supervised signals in Eq. 6, the gradients are backward propagated to the composed images and finally to the sampled hallucinators and bases so as to be updated using a decent algorithm such as SGD. Since all the operations are differentiable, the training can be completed end-to-end. + +# 4 Experiments + +# 4.1 Datasets and Implementing Details + +We conduct evaluations of our method on three standard image classification benchmarks: SVHN [28], CIFAR10, and CIFAR100 [22]. There are 60,000 images for real-world digit recognition in SVHN. For CIFAR10 and CIFAR100, there are 50,000 training images in total. The number of classes for the three datasets are 10, 10, and 100 respectively. All the images are under $3 2 \times 3 2$ resolution in 3-channel RGB format. Following previous works [5], we use ZCA for image preprocessing with Kornia implementation [35] before all the experiments. Experiments with more datasets, including images in larger spatial scales, can be found in the supplement. + +In this paper, for convenience of comparisons with prior works, we maintain the same size with images in original datasets, i.e., $h ^ { \prime } = \bar { h }$ , $w ^ { \prime } = w$ , and $c ^ { \prime } = 3$ for bases. We also experiment with other sizes of bases in Sec. 4.3. For hallucinators, the encoder and decoder contain 1 Conv-ReLU blocks. The number of feature channel $c ^ { \prime \prime }$ is 3. We use 5 hallucinators by default. The learning rates of hallucinators and bases, $\eta _ { H }$ and $\eta _ { B }$ , are the same and for the feature extractor, the learning rate $\eta _ { F }$ is 0.001. Hyper-parameters $\lambda _ { c o n }$ ., $\lambda _ { t a s k }$ , $\lambda _ { D D }$ , and $\lambda _ { c o s }$ . are set as 0.1, 1, 1, and 0.1 empirically. Sensitivities of these hyper-parameters are analyzed in Sec. 4.3. The adversary network has the same architecture as that for computing $\mathcal { L } _ { D D }$ . In experiments on SVHN and CIFAR10, we incorporate all the bases in each iteration, while in experiments on CIFAR100, we adopt a batch size of 300 when the total number of bases is greater than 1,000. We only consider random 2 hallucinators in one iteration for simplicity. The maximal configuration of computational resources is 4 24GB 3090 GPUs. The GPU memory consumption is dependent on that of the baseline method for $\mathcal { L } _ { D D }$ and is slightly higher than it due to the computation of $\mathcal { L } _ { c o s }$ . and ${ \mathcal { L } } _ { c o n . }$ . The baseline method for $\mathcal { L } _ { D D }$ is MTT [5] if not specified. Other settings related to DD hold the same as the baseline. All the quantitative results are based on the mean and standard deviation over 5 repeated experiments. To make sure fair comparisons, the dataset size in our method is equal to the number of bases $| B |$ and the hallucinators are treated as parameterized data augmentors working online in downstream training, just as general data augmentations, which means that the dataset size does not increase compared with the baselines. + +# 4.2 Comparisons + +Comparisons with State of the Arts: We compare HaBa with previous state of the arts for DD in standard settings, to synthesize 1, 10, and 50 images per class (IPC) respectively. In our setting, the number of parameters in a hallucinator is is approximately equal to that for 2 synthetic images, while the size of a basis is equal to that of an image. Taking the storage cost of 5 hallucinators into consideration, we set the number of bases per class (BPC) as IPC minus 1 in each IPC configuration when IPC is greater than 1, to make the comparisons as fair as possible. Candidates are coreset based methods including Random [7, 31], Herding [4, 2], K-Center [10, 38], and Forgetting [43], meta learning based methods including DD [47] and LD [3], training matching based methods including DC [55], DSA [53], and MTT [5], and distribution matching based methods including DM [54] and CAFE [46]. The comparisons follow the standard protocol adopting a 3-layer Conv-InstanceNorm-ReLU-AvgPool ConvNet with 128 channels in training and testing. + +
DatasetSVHNCIFAR10CIFAR100
IPC Ratio %1 0.01410 0.1450 0.71 0.02105011050
Random0.210.2210
CoresetHerding14.6±1.6 35.1±4.1 20.9±1.3 50.5±3.370.9±0.9 72.6±0.814.4±2.0 26.0±1.2 43.4±1.04.2±0.314.6±0.5 30.0±0.4
21.5±1.3 31.6±0.7 40.4±0.68.4±0.317.3±0.3 33.7±0.5
K-Center21.0±1.5 14.0±1.3 20.1±1.421.5±1.3 14.7±0.9 27.0±1.48.3±0.37.1±0.2 30.5±0.3
Forgetting12.1±1.716.8±1.2227.2±1.513.5±1.223.3±1.0 23.3±1.14.5±0.39.8±0.2
DistillationDD+ [47] LD+ [3]36.8±1.2
25.7±0.7 38.3±0.4 42.5±0.411.5±0.4
DC [55]31.2±1.4 76.1±0.6 82.3±0.328.3±0.5 44.9±0.5 53.9±0.512.8±0.3 25.2±0.3
DSA[53]27.5±1.4 79.2±0.5 84.4±0.428.8±0.7 52.1±0.5 60.6±0.513.9±0.332.3±0.3 42.8±0.4
DM [54]26.0±0.8 48.9±0.6 63.0±0.411.4±0.329.7±0.3 43.6±0.4
CAFE[46] CAFE+DSA[46]42.6±3.3 75.9±0.6 81.3±0.330.3±1.1 46.3±0.6 55.5±0.612.9±0.3 27.8±0.3 37.9±0.3
MTT[5]58.5±1.4 70.8±1.8 85.7±0.142.9±3.0 77.9±0.6 82.3±0.431.6±0.8 50.9±0.5 62.3±0.4 46.3±0.8 65.3±0.7 71.6±0.214.0±0.3 31.5±0.2 24.3±0.339.0±0.142.9±0.2 46.1±0.2
BPC499
Ratio % HaBa1 9 0.0281491949
Factorization69.8±1.3 83.2±0.4 88.3±0.10.140.70.04 48.3±0.8 69.9±0.4 74.0±0.20.210.22 33.4±0.4 40.2±0.2 47.0±0.21.829.82
Whole Dataset95.4±0.184.8±0.156.2±0.3
+ +Table 1: The performance (test accuracy $\%$ ) comparison to state-of-the-art methods. LD† and DD† use AlexNet for CIFAR10, while the rest use ConvNet for training and testing. IPC: Number of Images Per Class; BPC: Number of Bases Per Class; Ratio $( \% )$ : the ratio of distilled images to whole training set. Underline denotes results by our implementation. + +![](images/5072ad7bd998dd1dbc9b70dd70fd5b93f1273567fc493164380350adcc0d35b5.jpg) +Figure 4: Visualization of factorized results by our HaBa $7 0 . 2 7 \%$ test acc.) and baseline MTT $( 6 5 . 9 2 \%$ test acc.). Zoom-in for better comparisons. + +The comparison results are shown in Tab. 1 and we can observe that HaBa achieves state-of-the-art performance in all datasets and settings. Especially when the ratio of distilled images to the whole training set is less than $1 \%$ , our method can yield significant improvement over all the candidate methods, which demonstrates that the scheme of hallucinator-basis factorization improves the data efficiency for the task of dataset distillation. + +Qualitative Comparisons: We visualize the factorized results by our method as well as the baseline on CIFAR10 dataset with 10 BPC in Fig. 4. Due to the space limitation, we only provide images generated by 2 hallucinators here. More results can be found in the supplement. As shown in the figure, we can find that bases mainly store some main structures and contour information. Different hallucinators would render a basis with diverse styles and details. Thanks to the dataset factorization scheme, the diversity of distilled images by our method is higher than that by the baseline. + +Building upon Different Baselines: To reflect the versatility of the insight, we implement HaBa on multiple state-of-the-art training pipelines of DD, including DC, DM, and MTT. We evaluate the performance of synthetic datasets on CIFAR10 and maintain the IPC of baseline methods as BPC plus 1, which makes storage costs for synthetic datasets as close as possible for fairness. As shown in Tab. 2, when training and testing on ConvNet, the strategy of HaBa can make a consistent improvement over all the baselines, which demonstrates that factorization is a general idea to improve the data efficiency in DD. + +Cross-Architecture Performance: For DD, a satisfactory distilled dataset should have similar training effects to the original one on downstream models with arbitrary architectures. Thus, crossarchitecture generalization performance is an important metric for DD. We use the synthetic datasets trained on ConvNet to train models with different structures including ResNet [14], VGG [41], and AlexNet [23]. The results can be found in Tab. 2. Benefiting from the increased data diversity, HaBa can improve the across-architecture accuracy significantly with a performance gain up to $\mathrm { \bar { 1 } 7 . 5 7 \% }$ . The consistent and significant improvement validates the superior ability of our method to capture the informative features and thus original datasets can be replaced by the synthetic ones better. + +
|MethodDC [55]DM [54]MTT[5]
IPC BPC211512115121151
Baseline1 |31.36±0.16 45.29±0.30 54.24±0.6110501 134.57±0.52 50.35±0.36 62.03±0.29|50.59±0.95 63.90±0.29 69.81±0.48105011050
ConvNet w.HaBa Gain Baseline34.11±0.47 49.88±0.52 58.91±0.23 +2.75 18.10±0.7618.36±0.3622.14±0.38|+4.59+4.67+2.7537.32±0.13 56.83±0.11 64.44±0.40 +6.48 3|22.25±1.00 40.00±1.49 53.40±0.68|35.15±0.96 45.05±1.46 54.47±0.95+2.41+6.1756.76±0.38 69.48±0.26 73.25±0.21 +5.58+3.44
ResNetw.HaBa Gain Baseline24.49±0.55 24.27±0.56 31.08±0.32 +6.39 28.02±0.26 35.88±0.67 38.73±0.482+6.11+8.94+9.0931.34±0.7247.57±0.4959.61±0.35 +7.57+6.21+12.24 322.28±1.0341.64±0.64 55.17±0.54|38.04±1.19 50.49±1.02 61.36±0.3047.39±0.7157.97±0.8864.35±0.60 +12.92+9.88
VGGw.HaBa Gain29.42±0.93 37.03±0.42 41.91±0.55 +1.40+1.15+3.1826.93±0.62 49.41±0.36 67.47±0.43 +4.65+7.77+12.30+10.2248.26±0.54 60.47±0.56 67.47±0.43 +9.98+6.11
AlexNetw. HaBa GainBaseline|20.02±1.312.42±1.3529.48±0.8720.67±3.6437.04±0.9249.14±0.94|26.06±1.0135.95±1.5249.20±1.27 22.24±1.14 33.02±0.91 33.42±1.39 +2.22+10.60+3.94+11.4732.14±0.60 44.14±0.67 53.09±0.89 +7.10+3.9543.63±1.46 48.96±3.00 60.07±1.37 +17.57+13.01+10.87
+ +Table 2: Cross-architecture performance (test accuracy $\%$ ) comparison to different baseline methods of DD HaBa built upon. + +Comparisons under the Same Number of Final Images: In the default comparison protocol, we compare our method with the baselines using the same budget of storage, where our method can store information of exponentially more images than the baselines with the same number of parameters. In this part, we also examine the performance of HaBa under the condition that the number of final images, i.e., $| { \mathcal { H } } | \times | B |$ , is equal to that used by the baseline. Intuitively, given that the objective functions of our method and the baseline are the same exactly, the performance of the baseline can be viewed as an upper bound of ours, since there are significantly less parameters in our method to carry the information of final images in this case. Therefore, we first remove the term $\mathcal { L } _ { c o s }$ . from the loss function of DD in Eq. 6 to guarantee a consistent optimization objective with the baseline. Then, we compare the performance of HaBa and the baseline using 10, 20, 30, 40, and 50 final images respectively. Here, the number of hallucinators $| \mathcal { H } |$ is 2 and the number of bases is thus half of the number of final images. As shown in the red and green curves in Fig. 7, performance of the baseline can be well approximated by ours with only half of the number of parameters, especially when the number of images is relatively large. Remarkably, with the proposed adversary contrastive constraint, our method can even outperform the baseline consistently, as shown in the blue curve, which further demonstrates the effectiveness of the proposed solution. + +Comparisons with Concurrent Works on Efficient Distilled Dataset Parameterization: As a concurrent work on efficient distilled dataset parameterization, IDC [21] is proposed to store $4 \times$ number of $2 \times$ down-sample synthetic images compared with the baseline. The core is to reduce the spatial size for efficient parameterization. For HaBa of this paper, instead, we do not modify the spatial size of bases in the default setting for better qualitative explainablity and more intuitive comparisons with the baselines. In this sense, IDC and HaBa are in fact two orthogonal techniques and they can readily join force to enhance the baseline performance. Here, we try using the technique of IDC and adopting $2 \times$ down-sample synthetic images on the baseline MTT, based on which we further consider adding our HaBa and involving 5 hallucinators. As shown in Tab. 3, with the efficient parameterization of IDC, the performance of baseline can be improved. With HaBa in this paper, the performance can even be further improved a lot: $5 . 1 4 \%$ , $1 . 2 9 \%$ , and $4 . 3 0 \%$ in the three settings respectively, which demonstrates that IDC and HaBa work in different ways. + +Applications in Continual Learning: To further demonstrate the advantage of the proposed method for improving data efficiency, following the setting of DM [54], we conduct experiments on the setting of continual learning on CIFAR-100, with 20 random classes per stage. The average number of parameters per class is $2 0 \times 3 2 \times 3 2 \times 3$ . The synthetic datasets are trained with a ConvNet with 3 blocks. We evaluate synthetic datasets by our method and the DM baseline on the same ConvNet architecture and ResNet18. The results in Fig. 5 demonstrate that the proposed method increases the informativeness of synthetic datasets and thus produce significantly better performance, especially in the cross-architecture setting. + +# 4.3 Ablation Studies + +Loss Terms: To validate the effectiveness of the proposed adversarial contrastive constraints, we design ablation studies on the CIFAR10 dataset over three loss terms: $\mathcal { L } _ { c o s }$ . in Eq. 5, $\mathcal { L } _ { c o n }$ . in Eq. 3, and the task-specific loss $\mathcal { L } _ { t a s k }$ . Through the results in Tab. 4, we can find that deleting any one of them would hurt the performance. We also experiment with involving $\mathcal { L } _ { c o n }$ . for downstream training, to enforce the similarity among images composed of different hallucinators and a common basis. Observed from the last row of Tab. 4, the performance can be further improved, since $\mathcal { L } _ { c o n }$ . helps the representation learning of related samples [20]. Note that we do not use this loss term for downstream training in other experiments for fair and standard comparison. + +Table 3: Comparisons with concurrent work IDC [21] on efficient synthetic parameterization. + +
#ofParam./Class 2×32×32×3 11×32×32×3 51×32×32×3
Baseline49.89±0.9565.92±0.6270.73±0.52
w. IDC56.13±0.3870.85±0.4371.01±0.41
w. IDC&HaBa61.27±0.3472.14±0.2275.31±0.27
+ +![](images/e2a14eb6eccb88b733214c9ad471026600c942bd31b8ad594d3a8e25f3401183.jpg) +Figure 5: Comparisons on the setting of continual setting. Results on the ConvNet3 (Left) and ResNet18 (Right) architectures are shown. + +
BPC11050
HaBa w/o Lcos.54.56±0.6170.16±0.44 73.93±0.21
HaBa w/o Lcon.54.91±0.4970.07±0.4872.50±0.39
HaBa W/o Ltask54.62±0.42:70.07±0.16 72.74±0.20
HaBa Full55.66±0.2970.27±0.6374.04±0.16
HaBawLcon. Downstream56.78±0.2270.44±0.1575.00±0.52
+ +Table 4: Results of ablation study on loss terms in HaBa: $\mathcal { L } _ { c o s . }$ ., ${ \mathcal { L } } _ { c o n . }$ ., and $\mathcal { L } _ { t a s k }$ . + +![](images/3f3dbfd01f6c2c868d5bb3b105d79e406e69260d0d26752d8a5fe18a91635a05.jpg) +Figure 6: Impacts of different $\lambda _ { c o s }$ . and $\lambda _ { c o n }$ . on the test accuracy. + +We examine the sensitivities of hyper-parameters $\lambda _ { c o s }$ . and $\lambda _ { c o n }$ . used to balance the weights of loss terms $\mathcal { L } _ { c o s }$ . and $\mathcal { L } _ { c o n }$ . respectively in Fig. 6. The results are evaluated on the CIFAR10 dataset with 10 BPC. We can observe that the overall performance is not sensitive to the selection of these hyper-parameters and our method makes a consistent improvement over the baseline with 11 IPC. + +Class-Independent Hallucinators v.s. Shared Hallucinators: In the default setting of HaBa, each class maintains a certain number of bases independently and all the classes share the same set of hallucinators. But what about the case that hallucinators are also made class-independent? We study this problem experimentally in Tab. 5. Given the same BPC, class-independent hallucinators can indeed somehow improve the performance when there are fewer synthetic samples, e.g., 1 BPC. However, when BPC is higher, equipping each class with an independent set of hallucinators would not benefit the performance. There are probably two reasons: (1) shared hallucinators across all the classes extract global information of the whole dataset, which encodes more representative and universal knowledge; and (2) the class-independent case would make the number of hallucinators 10 times for the CIFAR10 dataset, which leaves a heavy burden for the optimization process. Thus, as indicated in Tab. 5, a better solution is to make room for more bases using the memory allocated to store class-independent hallucinators initially, which would result in more satisfactory data efficiency. + +Number of Channels Used by Basis: By default, the shape of a basis is the same as that of a real image, which is generally in RGB 3-channel format. In fact, in Fig. 8(Left), we also verify that it is also possible to use single-channel basis, which can reduce the memory cost by nearly 2/3 without hurting the performance too much. Interestingly, if the memory cost is held the same, we can choose to use 3 times BPC to store single-channel bases, rather than 3-channel ones. This would yield impressive improvement on the test accuracy when BPC is small. Note that for baseline results, IPC is set as the corresponding BPC plus 1. + +Number of Hallucinators: We study the impact of the number of hallucinators, i.e., $| { \mathcal { H } } |$ , in Fig. 8(Right). We can observe that when BPC is small, including more hallucinators is helpful for the performance. Nevertheless, when BPC is 10 or 50, the performance would not improve with more hallucinators when $| \mathcal { H } | > 1 0$ . One reason is that when $| \mathcal { H } |$ is large, the sampling of hallucinators in each iteration is sparse, which makes the joint optimization of all the hallucinators more difficult. + +Data Augmentation: The similarity between our hallucinator set and data augmentation lies that both of them can contribute to generating more samples and increasing the diversity. However, the essential difference is that our hallucinators are optimized to encode sample-wise relationships in + +![](images/d89c1a76e210ce8d2c01a2ee3007e22ec4aef400437db571f0627fe540cb48a5.jpg) + +Figure 7: Comparisons with the baseline under the same number of final images. + +
BPC11050
w/o Share55.96±0.5169.00±0.2069.81±0.56
Share55.66±0.2970.27±0.6374.04±0.16
Baseline (IPC=BPC)45.29±0.8662.77±0.5671.09±0.34
Share (Same Memory)70.27±0.6372.17±0.3074.89±0.15
Baseline (Same Memory)65.92±0.6268.58±0.4973.55±0.48
+ +Table 5: Study on whether all the classes should share the same set of hallucinators. + +![](images/604ad12291d1643f39882eaf5a26db330e2f8431e0149165f06ce89dad988d9b.jpg) +Figure 8: Study on the number of channels used by bases and the number of hallucinators. + +Table 6: Impact of data augmentation. + +
ConvNetResNetVGGAlexNet
w/o aug.60.63±0.2143.24±0.83 48.02±0.5330.58±1.44
Baseline63.90±0.2945.05±1.46 50.49±1.0235.95±1.52
w/o aug. Ours68.08±0.23 69.48±0.2656.37±0.11 57.97±0.8859.04±0.50 48.27±3.04 60.47±0.56 48.96±3.00
+ +a dataset, while data augmentation is based on some prior and heuristic knowledge of images. By default, both our method and the baseline adopt the data augmentation strategy DSA [53]. To study the relationship between the two schemes experimentally, we attempt to remove DSA from baseline and our method and report the corresponding results in Tab. 6. The evaluation is on CIFAR10 with 11 IPC for baseline and 10 BPC for ours. Through the results, we can find that (1) our method without data augmentation can also outperform the baseline method with augmentation significantly, which means that the mechanism of HaBa can benefit the dataset distillation task more with the learning of global information of a dataset in hallucinators; and (2) with data augmentation, our performance can be further improved, which indicates that HaBa and DSA work in different manners. + +# 5 Conclusions, Limitations, and Future Works + +This paper proposes a novel hallucinator-basis factorization method dubbed HaBa for dataset distillation (DD). It uses hallucinators to encode inner relations between different samples in original datasets, which can largely improve the data efficiency of distilled results. To diversify the knowledge captured by different hallucinators, a pair of adversarial contrastive constraints is further introduced. Extensive evaluations and comparisons on multiple benchmark datasets demonstrate that HaBa is capable of significantly improving the performance of downstream models trained on the synthetic dataset, using only $3 5 \%$ cost of memory for storage. Moreover, it is a versatile strategy that is compatible with different configurations of DD frameworks and yields consistent improvement. + +Despite the superior performance of the proposed hallucinator-basis factorization (HaBa) scheme, there are also some potential limitations. On the one hand, compared with the baseline method HaBa built upon, the process of online pairwise combination between hallucinators and bases in training increases the cost of time and GPU memory slightly, although light-weight hallucinators are adopted. On the other hand, it may inherited the limitations of baseline methods. For example, when the number of images is large, further increasing the number would produce limited performance gain. + +For future works, beyond the training efficiency of HaBa, introducing class-wise relationship may also be a potential research direction. For example, it is probably optimal that one class shares hallucinators with some specific classes but does not share with others. It is also promising to explore more advance factorization for a dataset to further improve the performance. + +# Acknowledgement + +This research is supported by the National Research Foundation, Singapore under its Medium Sized Centre for Advanced Robotics Technology Innovation (WBS: A-0009428-09-00). Xinchao Wang is the corresponding author. + +References +[1] Olivier Bachem, Mario Lucic, and Andreas Krause. Practical coreset constructions for machine learning. arXiv preprint arXiv:1703.06476, 2017. +[2] Eden Belouadah and Adrian Popescu. 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Dataset distillation using neural feature regression. arXiv preprint arXiv:2206.00719, 2022. + +# 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] Please refer to the supplement. +(c) Did you discuss any potential negative societal impacts of your work? [N/A] +(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)? [Yes] Please refer to the supplement. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] Please refer to Sec. 4.1. +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] We run all the experiments 5 times and report the mean and standard deviation of the performance. +(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] Please refer to Sec. 4.1. + +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] +(c) Did you include any new assets either in the supplemental material or as a URL? [Yes] +(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/luGXvawYWJ/luGXvawYWJ_content_list.json b/parse/dev/luGXvawYWJ/luGXvawYWJ_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..1c500efa9c099dfb891331eab0b7ea45751361e0 --- /dev/null +++ b/parse/dev/luGXvawYWJ/luGXvawYWJ_content_list.json @@ -0,0 +1,1299 @@ +[ + { + "type": "text", + "text": "Dataset Distillation via Factorization ", + "text_level": 1, + "bbox": [ + 274, + 122, + 723, + 147 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Songhua Liu Kai Wang Xingyi Yang Jingwen Ye Xinchao Wang National University of Singapore {songhua.liu,e0823044,xyang}@u.nus.edu, {jingweny,xinchao}@nus.edu.sg ", + "bbox": [ + 204, + 195, + 795, + 238 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 275, + 535, + 291 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this paper, we study dataset distillation (DD), from a novel perspective and introduce a dataset factorization approach, termed HaBa, which is a plug-andplay strategy portable to any existing DD baseline. Unlike conventional DD approaches that aim to produce distilled and representative samples, HaBa explores decomposing a dataset into two components: data Hallucination networks and Bases, where the latter is fed into the former to reconstruct image samples. The flexible combinations between bases and hallucination networks, therefore, equip the distilled data with exponential informativeness gain, which largely increase the representation capability of distilled datasets. To furthermore increase the data efficiency of compression results, we further introduce a pair of adversarial contrastive constraints on the resultant hallucination networks and bases, which increase the diversity of generated images and inject more discriminant information into the factorization. Extensive comparisons and experiments demonstrate that our method can yield significant improvement on downstream classification tasks compared with previous state of the arts, while reducing the total number of compressed parameters by up to $65 \\%$ . Moreover, distilled datasets by our approach also achieve ${ \\sim } 1 0 \\%$ higher accuracy than baseline methods in cross-architecture generalization. Our code is available here. ", + "bbox": [ + 233, + 306, + 766, + 554 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 579, + 310, + 597 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The success of deep models on a variety of vision tasks, such as image classification [23, 9, 34], object detection [33, 32], and semantic segmentation [39, 49, 25], is largely attributed to the huge amount of data used for training and various pre-trained models [50]. However, the sheer amount of data introduces significant obstacles for storage, transmission, and data pre-processing. Besides, publishing raw data inevitably brings about privacy or copyright issue in practice [40, 8]. To alleviate these problems, Wang et al. [47] pioneer the research of dataset distillation (DD), to distill a large dataset into a synthetic one with only a limited number of samples, so that the training efforts with the distilled dataset for downstream models on the original dataset can be largely reduced, which facilitates a series of applications like continual learning [37, 36, 48, 27] and black-box optimization [6]. Due the significant practical value of DD, many endeavours have been made on this area [55, 53, 54, 46, 21, 5, 56] to design novel supervision signals to train the synthetic datasets and to further improve their performances. ", + "bbox": [ + 174, + 611, + 825, + 776 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Nevertheless, there is a potential drawback in conventional settings of DD: it largely treats each synthetic sample independently and ignores the inter coherence and relationship between different instances. As such, the information embraced by each sample, despite distilled, is by nature limited. Using the synthetic samples for training downstream models, therefore, inevitably leads to the loss of dataset information. Moreover, the few distilled samples are incompatible with the enormous number of parameters in a deep model and may yield the risk of overfitting. ", + "bbox": [ + 174, + 784, + 825, + 867 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "To verify these potential issues, we conduct a pre-experiment on CIFAR10 dataset with 10 synthetic images per class, using MTT [5], the current SOTA solution on DD, as the baseline. In addition to the baseline setting, we also incorporate all the checkpoint synthetic datasets after each $1 0 0 \\mathrm { D D }$ iterations in the convergent stage to train the downstream model. Since the synthetic images are fine-tuned during this stage, multiple checkpoints can be viewed as related but different, which may somehow increase the diversity. As a result, it yields overall lower test loss and hence better final results in downstream training, as shown in the blue and green curves in Fig. 2, which indicates that current DD solutions can be potentially improved by leveraging some sample-wise relationships to diversify the distilled data. Nevertheless, simply involving more data samples may also increase the memory overhead. This fact motivates us to ask: is it possible to encode some shared relationships in a dataset implicitly, instead of storing samples directly, to avoid such additional storage costs? ", + "bbox": [ + 176, + 873, + 823, + 901 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/d54c5382aee43c1876cd442f8b0734b400fc447b73082889e580be83543cb7c8.jpg", + "image_caption": [ + "Figure 1: Intuition of our hallucinator-basis factorization for dataset distillation. " + ], + "image_footnote": [], + "bbox": [ + 205, + 87, + 794, + 263 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 305, + 825, + 431 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We show in this paper that, it can indeed be made possible through reformulating the DD task as a factorization problem. As shown in Fig. 1, we propose a novel perspective dubbed HaBa, to factorize a dataset into two compositions: data Hallucination networks and Bases. A data hallucination network, or hallucinator, can take any basis as input and output the corresponding hallucinated image. Supervised by the training objective of DD, a set of hallucinators can synthesize multiple samples from a common basis and are optimized to extract effective relationships among different samples in original datasets explicitly. In this way, information of $| { \\mathcal { H } } | \\times | B |$ images can be included for a factorization result with $| \\mathcal { H } |$ hallucinators and $| B |$ bases via arbitrary pair-wise combination, which improves the data efficiency of traditional DD exponentially. As shown in the yellow curve in Fig. 2, with the same budget on the storage, our strategy achieves better test performance compared with the MTT baseline. ", + "bbox": [ + 174, + 436, + 622, + 643 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/43a4d3d0bb0608da3953376c445989ec5f8437bf4c1e7987ce40ad4016188b39.jpg", + "image_caption": [ + "Figure 2: Visualization of test loss using synthetic datasets generated by MTT, MTT with multiple checkpoints, and ours. " + ], + "image_footnote": [], + "bbox": [ + 647, + 441, + 812, + 564 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To further increase the informativeness of factorized results, we introduce a pair of adversarial contrastive constraints to promote sample-wise diversity. The goal of HaBa is to minimize the correlation among images composed of different hallucinators but a common basis, while an adversary tries to maximize it. Such an adversarial scheme, in turn, enforces the hallucinators to produce diversified images and increases the amount of useful information. ", + "bbox": [ + 174, + 650, + 825, + 719 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Notably, HaBa is a versatile strategy that can be built upon existing DD baselines, since it is compatible with any training objective for measuring the similarity between downstream performances as shown in Fig. 1, We conduct extensive experiments to demonstrate the advantages of the proposed method over baseline ones. In all benchmarks and comparisons, HaBa produces significant and consistent improvement on training downstream models, while reducing the total number of compressed parameters by up to $65 \\%$ . Furthermore, it demonstrates strong cross-architecture generalization ability with accuracy improvement higher than $10 \\%$ . Our contributions are summarized as follows: ", + "bbox": [ + 173, + 726, + 825, + 823 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• We study dataset factorization, a novel perspective to explore dataset distillation, and propose a novel approach termed HaBa for hallucinator-basis factorization. • We present a pair of adversarial contrastive objectives to further increase the data diversity and information capability. ", + "bbox": [ + 210, + 839, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• HaBa is a plug-and-play scheme compatible with all existing training objectives of DD and can yield significant and consistent improvement over the state of the arts. ", + "bbox": [ + 217, + 90, + 823, + 119 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2 Related Works ", + "text_level": 1, + "bbox": [ + 174, + 140, + 330, + 157 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The goal of dataset distillation (DD) is to optimize a smaller synthetic dataset such that it is capable to take place of original one for training downstream tasks, which is different from coreset selection [1, 7, 13, 38, 44], another branch for dataset compression, directly selecting samples from raw datasets. In this section, we provide a detailed review of previous methods in DD. ", + "bbox": [ + 174, + 172, + 825, + 228 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Motivated from knowledge distillation [15, 12, 52, 51] aiming at model compression, Wang et al. [47] introduce the concept of dataset distillation for dataset compression. The idea is to optimize the synthetic images so that they can minimize loss functions of downstream tasks, where a bilevel optimization algorithm [11] is involved. Following this routine, several works further consider learnable labels beyond samples [3, 42]. Subsequently, Zhao et al. [55] and several following approaches [53, 24] consider matching gradients of a downstream model produced by synthetic samples and real images, which improve the performance significantly. Most recently, Cazenavette et al. [5] argue that single-iteration gradient matching may lead to inferior performance due to error accumulation across multiple steps and thereby propose to match long-range training dynamics of an expert trained on the original dataset. As an alternative method to profile training effects produced by different sets, Nguyen et al. [29, 30] also introduce the kernel ridge-regression approach based on the Neural Tangent Kernel (NTK) in infinitely wide convolutional networks [17]. ", + "bbox": [ + 174, + 234, + 825, + 401 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Apart from matching training effects, there are also methods matching data distributions between original and synthetic datasets. For instance, Zhao et al. [54] propose a simple but effective Maximum Mean Discrepancy (MMD) constraint for DD, which does not involve the training of downstream models and enjoys superior training efficiency. Wang et al. [46] propose CAFE, explicitly attempting to align the synthetic and real distributions in the feature space of a downstream network. ", + "bbox": [ + 174, + 407, + 825, + 477 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Above mentioned methods are dedicated to exploring suitable training objectives and pipelines for DD. However, there are few works concerning improving the data efficiency for distilled samples. Although Zhao et al. [53] propose differentiable siamese augmentation (DSA) to enrich the training data, the augmentation operations used, e.g., crop, flip, scale, and rotation, cannot encode any information about the target datasets. In this paper, we study the task in a factorization perspective, to factorize a dataset into two different compositions: data hallucination networks and bases. Both parts carry important knowledge of the raw dataset. For downstream training, hallucinators and bases can perform arbitrary pair-wise combination, i.e., sending any basis to any hallucinator, to create a training sample. The idea of factorization can improve the diversity of distilled training datasets significantly, without introducing additional costs for storage. It is also a versatile strategy compatible with all aforementioned DD methods, which will be demonstrated in the experiment part. ", + "bbox": [ + 174, + 483, + 825, + 636 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Concurrent Works on Efficient Distilled Dataset Parameterization: As a concurrent work, Kim et al. [21] propose IDC for efficient synthetic data parameterization. It reveals that only storing down-sample version of synthetic images and conducting bilinear upsampling in downstream training would not hurt the performance much. Thus, given the same budget of storage, it can store $4 \\times$ number of $2 \\times$ down-sample synthetic images compared with the baseline. Both IDC and HaBa in this paper are dedicated to improving the data efficiency of synthetic parameters. Interestingly, according to the definition of our hallucinator-basis factorization, IDC can in fact be treated as a special case of HaBa, where the hallucinator is a parameter-free upsampling function and each basis has a smaller spatial size. Nevertheless, the main focuses for IDC and HaBa are different and they are in fact two orthogonal techniques, which can readily join force to enhance the baseline performance, as discussed in Sec. 4.2. ", + "bbox": [ + 174, + 641, + 825, + 794 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Methods ", + "text_level": 1, + "bbox": [ + 174, + 815, + 277, + 832 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section, we elaborate our proposed method HaBa for dataset distillation (DD). Assume that there is an original dataset $\\mathcal { T } = \\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { | T | }$ with $| \\tau |$ pairs of a training sample $x _ { i }$ and the corresponding label $y _ { i }$ . DD targets a synthetic dataset $\\boldsymbol { S } = \\{ ( \\hat { x } _ { i } , \\hat { y } _ { i } ) \\} _ { i = 1 } ^ { | S | }$ with $| S | \\ll | T |$ and expects that a model trained on $s$ can have similar performance than that trained on $\\tau$ . ", + "bbox": [ + 174, + 848, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/994ecdccd369f7082395e0bc2c84828eb75d9355cc1584bd82df700450ac580c.jpg", + "image_caption": [ + "Figure 3: Left: Overall pipeline of the proposed hallucinator-basis factorization. $B , \\mathcal { H }$ , and $\\tau$ denote sets of bases, hallucinators, and original data respectively. Adv. denotes an adversary model. We adopt batch size 2 here for clarity; Right: Architecture of a hallucinator in detail. " + ], + "image_footnote": [], + "bbox": [ + 186, + 88, + 815, + 222 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Traditional DD methods treat each synthetic sample independently and ignore the inner relationship between different samples within a dataset, which results in poor data/information efficiency. Focusing on such drawback, we study DD from a novel perspective and redefine it as a hallucinator-basis factorization problem: ", + "bbox": [ + 174, + 272, + 823, + 327 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/703eb4993acaae2e93be639575ddb31f693341c21fde0ffab7c5f1fa8c019143.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { S } = \\{ H _ { \\theta _ { j } } \\} _ { j = 1 } ^ { | \\mathcal { H } | } \\cup \\{ ( \\hat { x } _ { i } , \\hat { y } _ { i } ) \\} _ { i = 1 } ^ { | \\mathcal { B } | } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 392, + 327, + 604, + 348 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where there are $| \\mathcal { H } |$ hallucination networks and $| B |$ bases. The $j$ -th hallucinator is parameterized by $\\theta _ { i }$ and we denote it by $H _ { \\theta _ { i } }$ for $1 \\leq j \\leq | \\mathcal { H } |$ . For downstream training, a training data pair $( \\tilde { x } _ { i j } , \\tilde { y } _ { i j } )$ is created online via sending the $i$ -th basis, with any $1 \\leq i \\leq | \\boldsymbol { B } |$ , to the $j$ -th hallucinator, with any $1 \\leq j \\leq | \\mathcal { H } |$ , i.e., $\\tilde { x } _ { i j } = H _ { \\theta _ { j } } ( \\hat { x } _ { i } )$ . In this paper, the label $\\tilde { y } _ { i j }$ is simply taken as $\\hat { y } _ { i }$ . ", + "bbox": [ + 173, + 351, + 825, + 409 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "An overview of our method is shown in Fig. 3(Left). To go deeper into the technical details, we first start with the introduction of our basis and data hallucination network in Sec. 3.1. Then, we propose an adversarial contrastive constraint to increase data diversity in Sec. 3.2. Finally, we present the whole training pipeline of the hallucinator-basis factorization for DD in Sec. 3.3. ", + "bbox": [ + 173, + 412, + 825, + 468 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 Basis and Hallucinator ", + "text_level": 1, + "bbox": [ + 174, + 484, + 372, + 500 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Basis: Typically, for an image classification dataset $\\mathcal { T } = \\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { | \\mathcal { T } | }$ , $x _ { i } \\in \\mathbb { R } ^ { h \\times w \\times c }$ and $y _ { i } \\in$ $\\{ 0 , 1 , . . . , C - 1 \\}$ for each $1 \\leq i \\leq | \\mathcal { T } |$ , where each $x _ { i }$ is a $c$ -channel image with a resolution of $h \\times w$ , and $C$ is the total number of classes. In previous DD methods, the format/shape of synthetic data pairs $( \\hat { x } , \\hat { y } )$ has to be held the same as that of real data, so as to make sure the consistency between input and output formats in the training and test time for downstream models. By contrast, since hallucinator networks are capable of spatial-wise and channel-wise transformation, the shape of each ${ \\hat { x } } _ { i }$ , $1 \\leq i \\leq | \\boldsymbol { B } |$ , denoted as $\\mathbf { \\bar { } } h ^ { \\prime } \\times w ^ { \\prime } \\times \\bar { c } ^ { \\prime }$ , is not necessarily the same as that of original samples and thus more flexible. And for a classification problem, we do not modify its label space in this paper for simplicity and maintain the categorical format. ", + "bbox": [ + 173, + 506, + 826, + 636 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Hallucinator: Given a basis $\\hat { \\boldsymbol { x } } \\in \\mathbb { R } ^ { h ^ { \\prime } \\times w ^ { \\prime } \\times c ^ { \\prime } }$ , a data hallucination network, aims to create a new image $\\tilde { x } \\in \\mathbb R ^ { h \\times w \\times c }$ based on $\\hat { x }$ , which can be viewed as a conditional image generation problem. Inspired by image style transfer [19, 16, 18, 26], a typical conditional image generation problem, we devise an encoder-transformation-decoder based architecture for hallucinators, as shown in Fig. 3(Right). Specifically, the encoder, denoted as enc, is composed of CNN blocks, which non-linearly maps an input $\\hat { x }$ to a feature space $\\mathbb { R } ^ { h ^ { \\prime \\prime } \\times w ^ { \\prime \\prime } \\times c ^ { \\prime \\prime } }$ . Then, an affine transformation with scale $\\sigma$ and shift $\\mu$ is conducted on the derived feature, where $\\sigma$ and $\\mu$ are treated as network parameters in this paper. At last, the decoder $d e c$ under a symmetric CNN architecture with enc projects the transformed feature back to the image space. Formally, this process can be written as: ", + "bbox": [ + 173, + 640, + 826, + 770 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/83371c7062eba8a23618919cdaa5ec5189e6ebc09175e165cd63bf21be151338.jpg", + "text": "$$\n\\hat { f } = e n c ( \\hat { x } ) , ~ \\tilde { f } = \\sigma \\times \\hat { f } + \\mu , ~ \\tilde { x } = d e c ( \\tilde { f } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 346, + 775, + 650, + 795 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where the multiplication is element-wise operation. There are $| { \\mathcal { H } } |$ hallucinators in the whole factorization pipeline and each would be trained to implicitly encode some sample-wise relations by its network parameters. ", + "bbox": [ + 173, + 799, + 826, + 842 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 Adversarial Contrastive Constraint ", + "text_level": 1, + "bbox": [ + 174, + 857, + 459, + 872 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Ideally, the knowledge encoded by different hallucinators should be as different/orthogonal as possible to get the most benefits for each individual. To instantiate such regularization, let’s consider two composed images $\\tilde { x } _ { i j }$ and $\\tilde { x } _ { i k }$ from two different hallucinators $H _ { \\theta _ { j } }$ and $H _ { \\theta _ { k } }$ but a common basis ${ \\hat { x } } _ { i }$ The divergence between $\\tilde { x } _ { i j }$ and $\\tilde { x } _ { i k }$ is expected to be large. To measure the divergence, a feature extractor is required to map an input image to a feature space, and how to train such a feature extractor to find an appropriate feature space is of great importance. ", + "bbox": [ + 174, + 882, + 821, + 911 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 90, + 825, + 147 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In this paper, we formalize the training of hallucinators and the feature extractor as a min-max game in a self-consistent manner, where the feature extractor desires to minimize the divergence between $\\tilde { x } _ { i j }$ and $\\tilde { x } _ { i k }$ while hallucinators, as well as bases, are optimized to maximize it so that the two players can reinforce each other. In specific, the feature extractor, denoted as $F$ and parameterized by $\\psi$ , is typically a CNN structure for the downstream task and we adopt features at the last hidden layer before the output layer, denoted as $F _ { - 1 } ( \\tilde { x } _ { i j } )$ and $F _ { - 1 } ( \\tilde { x } _ { i k } )$ . $F$ is optimized to maximize the correlation between the two feature vectors, which can be quantified by the metric of mutual information (MI). Inspired by the lower bound of MI [45], the objective to minimize the divergence for $F$ is given by the following contrastive form: ", + "bbox": [ + 173, + 152, + 826, + 279 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/bf7f5fcb02ac8e4c678366f4da003177f15fcc0eaa43622436fb70d37b369fde.jpg", + "text": "$$\n\\mathcal { L } _ { c o n . } = - \\frac { 1 } { | \\mathcal { H } | ^ { 2 } } \\frac { 1 } { | \\mathcal { B } | } \\sum _ { \\substack { 1 \\leq j , k \\leq | \\mathcal { H } | , i = 1 } } \\sum _ { i = 1 } ^ { | \\mathcal { B } | } \\log \\frac { \\exp { \\{ F _ { - 1 } ^ { \\top } ( \\tilde { x } _ { i j } ) F _ { - 1 } ( \\tilde { x } _ { i k } ) / \\tau \\} } } { \\sum _ { u = 1 } ^ { | \\mathcal { B } | } \\exp { \\{ F _ { - 1 } ^ { \\top } ( \\tilde { x } _ { i j } ) F _ { - 1 } ( \\tilde { x } _ { u k } ) / \\tau \\} } } ,\n$$", + "text_format": "latex", + "bbox": [ + 250, + 284, + 745, + 340 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\tau$ is a scalar temperature coefficient. For the classification problem, we can alternatively adopt the supervised form of the contrastive loss ${ \\mathcal { L } } _ { c o n . }$ ., where $\\tilde { x } _ { u k }$ with the same class label as $\\tilde { x } _ { i j }$ are also taken into consideration as positive samples in Eq. 3. The supervised contrastive loss can benefit to increase the correlation of samples from the same class [20] for a more reasonable feature representation. ", + "bbox": [ + 173, + 345, + 825, + 416 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In addition, the feature space is expected to reflect the task-specific property for a meaningful representation. Thus, we also incorporate the task loss $\\mathcal { L } _ { t a s k }$ , e.g., cross-entropy loss in classification tasks, over the synthetic dataset as a supervision signal for $F$ . In this way, the overall training objective for $F$ is defined as: ", + "bbox": [ + 173, + 421, + 825, + 478 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/cb8c4585fa59ded769783751a9724f35353b92cb0cefb77ce29786f435b06473.jpg", + "text": "$$\n\\operatorname* { m i n } _ { \\psi } \\mathcal { L } _ { F } = \\lambda _ { c o n . } \\mathcal { L } _ { c o n . } + \\lambda _ { t a s k } \\mathcal { L } _ { t a s k } ,\n$$", + "text_format": "latex", + "bbox": [ + 374, + 484, + 620, + 508 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\lambda _ { c o n }$ . and $\\lambda _ { t a s k }$ are hyper-parameters controlling the weight for each term. ", + "bbox": [ + 174, + 515, + 705, + 530 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "$F$ acts as an adversary to minimize the divergence between $\\tilde { x } _ { i j }$ and $\\tilde { x } _ { i k }$ , while the synthetic dataset is expected to maximize it to increase data diversity. To this ends, the similarity between $F _ { - 1 } ( \\tilde { x } _ { i j } )$ and $\\bar { F } _ { - 1 } ( \\tilde { x } _ { i k } )$ becomes one loss term for hallucinator-basis factorization. In this paper, we adopt the cosine-similarity and the objective $\\mathcal { L } _ { c o s }$ . is given by: ", + "bbox": [ + 174, + 535, + 826, + 592 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/b0ae2a6c9ef2edc2d38dffeea5f4679ddd50418d546127af35f88a9e7625810b.jpg", + "text": "$$\n\\mathcal { L } _ { c o s . } = \\frac { 1 } { | \\mathcal { H } | ^ { 2 } } \\frac { 1 } { | \\mathcal { B } | } \\sum _ { 1 \\le j , k \\le | \\mathcal { H } | , i = 1 \\atop j \\ne k } \\sum _ { i = 1 } ^ { | \\mathcal { B } | } \\frac { F _ { - 1 } ^ { \\top } ( \\tilde { x } _ { i j } ) F _ { - 1 } ( \\tilde { x } _ { i k } ) } { \\| F _ { - 1 } ( \\tilde { x } _ { i j } ) \\| _ { 2 } \\| F _ { - 1 } ( \\tilde { x } _ { i k } ) \\| _ { 2 } } .\n$$", + "text_format": "latex", + "bbox": [ + 300, + 598, + 697, + 655 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "During training, the feature extractor and the factorized components are updated alternately to play this min-max game. ", + "bbox": [ + 173, + 660, + 823, + 689 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 Factorization Training Pipeline ", + "text_level": 1, + "bbox": [ + 174, + 704, + 429, + 719 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Following previous paradigms [55, 54, 5, 46], the synthetic dataset $s$ is updated in an iterative algorithm. In each iteration, we randomly sample a batch of hallucinators and bases and conduct pair-wise combinations. The composed images are evaluated by the objective of dataset distillation $\\mathcal { L } _ { D D }$ and the similarity metric in Eq. 5: ", + "bbox": [ + 173, + 729, + 825, + 786 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/87ab72e54ffafbe400b2effbad477a262a83d6dd3116707e22d81606588f539a.jpg", + "text": "$$\n\\operatorname* { m i n } _ { S } \\mathcal { L } _ { S } = \\lambda _ { D D } \\mathcal { L } _ { D D } + \\lambda _ { c o s . } \\mathcal { L } _ { c o s . } ,\n$$", + "text_format": "latex", + "bbox": [ + 380, + 792, + 614, + 814 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where hyper-parameters $\\lambda _ { D D }$ and $\\lambda _ { c o s }$ . balance the loss. ", + "bbox": [ + 173, + 820, + 545, + 837 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Notably, the hallucinator-basis factorization is compatible with a variety of configurations of $\\mathcal { L } _ { D D }$ by previous arts, which makes it a versatile and effective strategy for DD. In this paper, we adopt the trajectories matching loss in Cazenavette et al. [5] as $\\mathcal { L } _ { D D }$ by default thanks to its superior performance. The basic idea is to update a downstream model from a cached checkpoint $\\phi _ { t } ^ { * }$ at iteration $t$ , using the synthetic dataset $s$ for $N$ times, and using the real dataset $\\tau$ for $M$ times respectively. The updated parameters by the two cases, $\\hat { \\phi } _ { t + N }$ and $\\phi _ { t + M } ^ { * }$ are enforced to be consistent: ", + "bbox": [ + 174, + 842, + 825, + 912 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 169, + 89, + 825, + 108 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/3fa029c23bedd3b182f8e93ca1d574c3c83827e8d19dbfe16d7690c7f18128c2.jpg", + "text": "$$\n\\begin{array} { r l } & { \\hat { \\phi } _ { t + n + 1 } \\hat { \\phi } _ { t + n } - \\alpha \\nabla _ { \\hat { \\phi } _ { t + n } } \\mathcal { L } _ { t a s k } ( S ) , \\quad \\hat { \\phi } _ { t } \\phi _ { t } ^ { * } , \\quad 0 \\leq n < N , } \\\\ & { \\quad \\quad \\phi _ { t + m + 1 } ^ { * } \\phi _ { t + m } ^ { * } - \\beta \\nabla _ { \\phi _ { t + m } ^ { * } } \\mathcal { L } _ { t a s k } ( T ) , \\quad 0 \\leq m < M , } \\\\ & { \\quad \\quad \\quad \\mathcal { L } _ { D D } = \\frac { \\| \\hat { \\phi } _ { t + N } - \\phi _ { t + M } ^ { * } \\| _ { 2 } ^ { 2 } } { \\| \\phi _ { t } ^ { * } - \\phi _ { t + M } ^ { * } \\| _ { 2 } ^ { 2 } } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 276, + 116, + 704, + 202 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\alpha$ and $\\beta$ are learning rates with $s$ and $\\tau$ respectively. $\\alpha$ is learnable in the framework while $\\beta$ is a hyper-parameter. In Sec. 4.2, we also experiment with other settings of $\\mathcal { L } _ { D D }$ . ", + "bbox": [ + 169, + 205, + 825, + 234 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Based on the supervised signals in Eq. 6, the gradients are backward propagated to the composed images and finally to the sampled hallucinators and bases so as to be updated using a decent algorithm such as SGD. Since all the operations are differentiable, the training can be completed end-to-end. ", + "bbox": [ + 173, + 239, + 823, + 282 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 Experiments ", + "text_level": 1, + "bbox": [ + 174, + 304, + 312, + 320 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.1 Datasets and Implementing Details ", + "text_level": 1, + "bbox": [ + 174, + 335, + 457, + 351 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We conduct evaluations of our method on three standard image classification benchmarks: SVHN [28], CIFAR10, and CIFAR100 [22]. There are 60,000 images for real-world digit recognition in SVHN. For CIFAR10 and CIFAR100, there are 50,000 training images in total. The number of classes for the three datasets are 10, 10, and 100 respectively. All the images are under $3 2 \\times 3 2$ resolution in 3-channel RGB format. Following previous works [5], we use ZCA for image preprocessing with Kornia implementation [35] before all the experiments. Experiments with more datasets, including images in larger spatial scales, can be found in the supplement. ", + "bbox": [ + 174, + 362, + 825, + 459 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In this paper, for convenience of comparisons with prior works, we maintain the same size with images in original datasets, i.e., $h ^ { \\prime } = \\bar { h }$ , $w ^ { \\prime } = w$ , and $c ^ { \\prime } = 3$ for bases. We also experiment with other sizes of bases in Sec. 4.3. For hallucinators, the encoder and decoder contain 1 Conv-ReLU blocks. The number of feature channel $c ^ { \\prime \\prime }$ is 3. We use 5 hallucinators by default. The learning rates of hallucinators and bases, $\\eta _ { H }$ and $\\eta _ { B }$ , are the same and for the feature extractor, the learning rate $\\eta _ { F }$ is 0.001. Hyper-parameters $\\lambda _ { c o n }$ ., $\\lambda _ { t a s k }$ , $\\lambda _ { D D }$ , and $\\lambda _ { c o s }$ . are set as 0.1, 1, 1, and 0.1 empirically. Sensitivities of these hyper-parameters are analyzed in Sec. 4.3. The adversary network has the same architecture as that for computing $\\mathcal { L } _ { D D }$ . In experiments on SVHN and CIFAR10, we incorporate all the bases in each iteration, while in experiments on CIFAR100, we adopt a batch size of 300 when the total number of bases is greater than 1,000. We only consider random 2 hallucinators in one iteration for simplicity. The maximal configuration of computational resources is 4 24GB 3090 GPUs. The GPU memory consumption is dependent on that of the baseline method for $\\mathcal { L } _ { D D }$ and is slightly higher than it due to the computation of $\\mathcal { L } _ { c o s }$ . and ${ \\mathcal { L } } _ { c o n . }$ . The baseline method for $\\mathcal { L } _ { D D }$ is MTT [5] if not specified. Other settings related to DD hold the same as the baseline. All the quantitative results are based on the mean and standard deviation over 5 repeated experiments. To make sure fair comparisons, the dataset size in our method is equal to the number of bases $| B |$ and the hallucinators are treated as parameterized data augmentors working online in downstream training, just as general data augmentations, which means that the dataset size does not increase compared with the baselines. ", + "bbox": [ + 174, + 464, + 825, + 714 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2 Comparisons ", + "text_level": 1, + "bbox": [ + 174, + 733, + 305, + 747 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Comparisons with State of the Arts: We compare HaBa with previous state of the arts for DD in standard settings, to synthesize 1, 10, and 50 images per class (IPC) respectively. In our setting, the number of parameters in a hallucinator is is approximately equal to that for 2 synthetic images, while the size of a basis is equal to that of an image. Taking the storage cost of 5 hallucinators into consideration, we set the number of bases per class (BPC) as IPC minus 1 in each IPC configuration when IPC is greater than 1, to make the comparisons as fair as possible. Candidates are coreset based methods including Random [7, 31], Herding [4, 2], K-Center [10, 38], and Forgetting [43], meta learning based methods including DD [47] and LD [3], training matching based methods including DC [55], DSA [53], and MTT [5], and distribution matching based methods including DM [54] and CAFE [46]. The comparisons follow the standard protocol adopting a 3-layer Conv-InstanceNorm-ReLU-AvgPool ConvNet with 128 channels in training and testing. ", + "bbox": [ + 174, + 758, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/e849279a0e4a8bb085b7d15a5984c2a9a34fd9dddd4e74b4e878d056acdccf64.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
DatasetSVHNCIFAR10CIFAR100
IPC Ratio %1 0.01410 0.1450 0.71 0.02105011050
Random0.210.2210
CoresetHerding14.6±1.6 35.1±4.1 20.9±1.3 50.5±3.370.9±0.9 72.6±0.814.4±2.0 26.0±1.2 43.4±1.04.2±0.314.6±0.5 30.0±0.4
21.5±1.3 31.6±0.7 40.4±0.68.4±0.317.3±0.3 33.7±0.5
K-Center21.0±1.5 14.0±1.3 20.1±1.421.5±1.3 14.7±0.9 27.0±1.48.3±0.37.1±0.2 30.5±0.3
Forgetting12.1±1.716.8±1.2227.2±1.513.5±1.223.3±1.0 23.3±1.14.5±0.39.8±0.2
DistillationDD+ [47] LD+ [3]36.8±1.2
25.7±0.7 38.3±0.4 42.5±0.411.5±0.4
DC [55]31.2±1.4 76.1±0.6 82.3±0.328.3±0.5 44.9±0.5 53.9±0.512.8±0.3 25.2±0.3
DSA[53]27.5±1.4 79.2±0.5 84.4±0.428.8±0.7 52.1±0.5 60.6±0.513.9±0.332.3±0.3 42.8±0.4
DM [54]26.0±0.8 48.9±0.6 63.0±0.411.4±0.329.7±0.3 43.6±0.4
CAFE[46] CAFE+DSA[46]42.6±3.3 75.9±0.6 81.3±0.330.3±1.1 46.3±0.6 55.5±0.612.9±0.3 27.8±0.3 37.9±0.3
MTT[5]58.5±1.4 70.8±1.8 85.7±0.142.9±3.0 77.9±0.6 82.3±0.431.6±0.8 50.9±0.5 62.3±0.4 46.3±0.8 65.3±0.7 71.6±0.214.0±0.3 31.5±0.2 24.3±0.339.0±0.142.9±0.2 46.1±0.2
BPC499
Ratio % HaBa1 9 0.0281491949
Factorization69.8±1.3 83.2±0.4 88.3±0.10.140.70.04 48.3±0.8 69.9±0.4 74.0±0.20.210.22 33.4±0.4 40.2±0.2 47.0±0.21.829.82
Whole Dataset95.4±0.184.8±0.156.2±0.3
", + "bbox": [ + 189, + 83, + 807, + 318 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 1: The performance (test accuracy $\\%$ ) comparison to state-of-the-art methods. LD† and DD† use AlexNet for CIFAR10, while the rest use ConvNet for training and testing. IPC: Number of Images Per Class; BPC: Number of Bases Per Class; Ratio $( \\% )$ : the ratio of distilled images to whole training set. Underline denotes results by our implementation. ", + "bbox": [ + 183, + 319, + 816, + 375 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/5072ad7bd998dd1dbc9b70dd70fd5b93f1273567fc493164380350adcc0d35b5.jpg", + "image_caption": [ + "Figure 4: Visualization of factorized results by our HaBa $7 0 . 2 7 \\%$ test acc.) and baseline MTT $( 6 5 . 9 2 \\%$ test acc.). Zoom-in for better comparisons. " + ], + "image_footnote": [], + "bbox": [ + 187, + 376, + 812, + 501 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The comparison results are shown in Tab. 1 and we can observe that HaBa achieves state-of-the-art performance in all datasets and settings. Especially when the ratio of distilled images to the whole training set is less than $1 \\%$ , our method can yield significant improvement over all the candidate methods, which demonstrates that the scheme of hallucinator-basis factorization improves the data efficiency for the task of dataset distillation. ", + "bbox": [ + 174, + 532, + 825, + 601 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Qualitative Comparisons: We visualize the factorized results by our method as well as the baseline on CIFAR10 dataset with 10 BPC in Fig. 4. Due to the space limitation, we only provide images generated by 2 hallucinators here. More results can be found in the supplement. As shown in the figure, we can find that bases mainly store some main structures and contour information. Different hallucinators would render a basis with diverse styles and details. Thanks to the dataset factorization scheme, the diversity of distilled images by our method is higher than that by the baseline. ", + "bbox": [ + 174, + 607, + 825, + 690 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Building upon Different Baselines: To reflect the versatility of the insight, we implement HaBa on multiple state-of-the-art training pipelines of DD, including DC, DM, and MTT. We evaluate the performance of synthetic datasets on CIFAR10 and maintain the IPC of baseline methods as BPC plus 1, which makes storage costs for synthetic datasets as close as possible for fairness. As shown in Tab. 2, when training and testing on ConvNet, the strategy of HaBa can make a consistent improvement over all the baselines, which demonstrates that factorization is a general idea to improve the data efficiency in DD. ", + "bbox": [ + 173, + 696, + 825, + 794 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Cross-Architecture Performance: For DD, a satisfactory distilled dataset should have similar training effects to the original one on downstream models with arbitrary architectures. Thus, crossarchitecture generalization performance is an important metric for DD. We use the synthetic datasets trained on ConvNet to train models with different structures including ResNet [14], VGG [41], and AlexNet [23]. The results can be found in Tab. 2. Benefiting from the increased data diversity, HaBa can improve the across-architecture accuracy significantly with a performance gain up to $\\mathrm { \\bar { 1 } 7 . 5 7 \\% }$ . The consistent and significant improvement validates the superior ability of our method to capture the informative features and thus original datasets can be replaced by the synthetic ones better. ", + "bbox": [ + 173, + 800, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/880d99cedbbc7037b40012349ffeaaa5e4a4974f9b8b42451f18d7e777e52f7c.jpg", + "table_caption": [], + "table_footnote": [ + "Table 2: Cross-architecture performance (test accuracy $\\%$ ) comparison to different baseline methods of DD HaBa built upon. " + ], + "table_body": "
|MethodDC [55]DM [54]MTT[5]
IPC BPC211512115121151
Baseline1 |31.36±0.16 45.29±0.30 54.24±0.6110501 134.57±0.52 50.35±0.36 62.03±0.29|50.59±0.95 63.90±0.29 69.81±0.48105011050
ConvNet w.HaBa Gain Baseline34.11±0.47 49.88±0.52 58.91±0.23 +2.75 18.10±0.7618.36±0.3622.14±0.38|+4.59+4.67+2.7537.32±0.13 56.83±0.11 64.44±0.40 +6.48 3|22.25±1.00 40.00±1.49 53.40±0.68|35.15±0.96 45.05±1.46 54.47±0.95+2.41+6.1756.76±0.38 69.48±0.26 73.25±0.21 +5.58+3.44
ResNetw.HaBa Gain Baseline24.49±0.55 24.27±0.56 31.08±0.32 +6.39 28.02±0.26 35.88±0.67 38.73±0.482+6.11+8.94+9.0931.34±0.7247.57±0.4959.61±0.35 +7.57+6.21+12.24 322.28±1.0341.64±0.64 55.17±0.54|38.04±1.19 50.49±1.02 61.36±0.3047.39±0.7157.97±0.8864.35±0.60 +12.92+9.88
VGGw.HaBa Gain29.42±0.93 37.03±0.42 41.91±0.55 +1.40+1.15+3.1826.93±0.62 49.41±0.36 67.47±0.43 +4.65+7.77+12.30+10.2248.26±0.54 60.47±0.56 67.47±0.43 +9.98+6.11
AlexNetw. HaBa GainBaseline|20.02±1.312.42±1.3529.48±0.8720.67±3.6437.04±0.9249.14±0.94|26.06±1.0135.95±1.5249.20±1.27 22.24±1.14 33.02±0.91 33.42±1.39 +2.22+10.60+3.94+11.4732.14±0.60 44.14±0.67 53.09±0.89 +7.10+3.9543.63±1.46 48.96±3.00 60.07±1.37 +17.57+13.01+10.87
", + "bbox": [ + 186, + 83, + 810, + 276 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Comparisons under the Same Number of Final Images: In the default comparison protocol, we compare our method with the baselines using the same budget of storage, where our method can store information of exponentially more images than the baselines with the same number of parameters. In this part, we also examine the performance of HaBa under the condition that the number of final images, i.e., $| { \\mathcal { H } } | \\times | B |$ , is equal to that used by the baseline. Intuitively, given that the objective functions of our method and the baseline are the same exactly, the performance of the baseline can be viewed as an upper bound of ours, since there are significantly less parameters in our method to carry the information of final images in this case. Therefore, we first remove the term $\\mathcal { L } _ { c o s }$ . from the loss function of DD in Eq. 6 to guarantee a consistent optimization objective with the baseline. Then, we compare the performance of HaBa and the baseline using 10, 20, 30, 40, and 50 final images respectively. Here, the number of hallucinators $| \\mathcal { H } |$ is 2 and the number of bases is thus half of the number of final images. As shown in the red and green curves in Fig. 7, performance of the baseline can be well approximated by ours with only half of the number of parameters, especially when the number of images is relatively large. Remarkably, with the proposed adversary contrastive constraint, our method can even outperform the baseline consistently, as shown in the blue curve, which further demonstrates the effectiveness of the proposed solution. ", + "bbox": [ + 174, + 310, + 825, + 531 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Comparisons with Concurrent Works on Efficient Distilled Dataset Parameterization: As a concurrent work on efficient distilled dataset parameterization, IDC [21] is proposed to store $4 \\times$ number of $2 \\times$ down-sample synthetic images compared with the baseline. The core is to reduce the spatial size for efficient parameterization. For HaBa of this paper, instead, we do not modify the spatial size of bases in the default setting for better qualitative explainablity and more intuitive comparisons with the baselines. In this sense, IDC and HaBa are in fact two orthogonal techniques and they can readily join force to enhance the baseline performance. Here, we try using the technique of IDC and adopting $2 \\times$ down-sample synthetic images on the baseline MTT, based on which we further consider adding our HaBa and involving 5 hallucinators. As shown in Tab. 3, with the efficient parameterization of IDC, the performance of baseline can be improved. With HaBa in this paper, the performance can even be further improved a lot: $5 . 1 4 \\%$ , $1 . 2 9 \\%$ , and $4 . 3 0 \\%$ in the three settings respectively, which demonstrates that IDC and HaBa work in different ways. ", + "bbox": [ + 174, + 537, + 825, + 703 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Applications in Continual Learning: To further demonstrate the advantage of the proposed method for improving data efficiency, following the setting of DM [54], we conduct experiments on the setting of continual learning on CIFAR-100, with 20 random classes per stage. The average number of parameters per class is $2 0 \\times 3 2 \\times 3 2 \\times 3$ . The synthetic datasets are trained with a ConvNet with 3 blocks. We evaluate synthetic datasets by our method and the DM baseline on the same ConvNet architecture and ResNet18. The results in Fig. 5 demonstrate that the proposed method increases the informativeness of synthetic datasets and thus produce significantly better performance, especially in the cross-architecture setting. ", + "bbox": [ + 174, + 710, + 825, + 821 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.3 Ablation Studies ", + "text_level": 1, + "bbox": [ + 176, + 842, + 328, + 857 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Loss Terms: To validate the effectiveness of the proposed adversarial contrastive constraints, we design ablation studies on the CIFAR10 dataset over three loss terms: $\\mathcal { L } _ { c o s }$ . in Eq. 5, $\\mathcal { L } _ { c o n }$ . in Eq. 3, and the task-specific loss $\\mathcal { L } _ { t a s k }$ . Through the results in Tab. 4, we can find that deleting any one of them would hurt the performance. We also experiment with involving $\\mathcal { L } _ { c o n }$ . for downstream training, to enforce the similarity among images composed of different hallucinators and a common basis. Observed from the last row of Tab. 4, the performance can be further improved, since $\\mathcal { L } _ { c o n }$ . helps the representation learning of related samples [20]. Note that we do not use this loss term for downstream training in other experiments for fair and standard comparison. ", + "bbox": [ + 174, + 869, + 825, + 911 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/a4eefcda8945f1880f0d359443a3b6ad445f9049a4ae2d9f57bb9ec3519e0351.jpg", + "table_caption": [ + "Table 3: Comparisons with concurrent work IDC [21] on efficient synthetic parameterization. " + ], + "table_footnote": [], + "table_body": "
#ofParam./Class 2×32×32×3 11×32×32×3 51×32×32×3
Baseline49.89±0.9565.92±0.6270.73±0.52
w. IDC56.13±0.3870.85±0.4371.01±0.41
w. IDC&HaBa61.27±0.3472.14±0.2275.31±0.27
", + "bbox": [ + 178, + 116, + 500, + 172 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/e2a14eb6eccb88b733214c9ad471026600c942bd31b8ad594d3a8e25f3401183.jpg", + "image_caption": [ + "Figure 5: Comparisons on the setting of continual setting. Results on the ConvNet3 (Left) and ResNet18 (Right) architectures are shown. " + ], + "image_footnote": [], + "bbox": [ + 522, + 89, + 818, + 181 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/3849b306a765ebefc59780354a4183220a9e1f5d6d51bf9e9f4bb0bdf9bb7f59.jpg", + "table_caption": [], + "table_footnote": [ + "Table 4: Results of ablation study on loss terms in HaBa: $\\mathcal { L } _ { c o s . }$ ., ${ \\mathcal { L } } _ { c o n . }$ ., and $\\mathcal { L } _ { t a s k }$ . " + ], + "table_body": "
BPC11050
HaBa w/o Lcos.54.56±0.6170.16±0.44 73.93±0.21
HaBa w/o Lcon.54.91±0.4970.07±0.4872.50±0.39
HaBa W/o Ltask54.62±0.42:70.07±0.16 72.74±0.20
HaBa Full55.66±0.2970.27±0.6374.04±0.16
HaBawLcon. Downstream56.78±0.2270.44±0.1575.00±0.52
", + "bbox": [ + 173, + 246, + 501, + 335 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/3f3dbfd01f6c2c868d5bb3b105d79e406e69260d0d26752d8a5fe18a91635a05.jpg", + "image_caption": [ + "Figure 6: Impacts of different $\\lambda _ { c o s }$ . and $\\lambda _ { c o n }$ . on the test accuracy. " + ], + "image_footnote": [], + "bbox": [ + 509, + 228, + 815, + 344 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 380, + 825, + 450 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We examine the sensitivities of hyper-parameters $\\lambda _ { c o s }$ . and $\\lambda _ { c o n }$ . used to balance the weights of loss terms $\\mathcal { L } _ { c o s }$ . and $\\mathcal { L } _ { c o n }$ . respectively in Fig. 6. The results are evaluated on the CIFAR10 dataset with 10 BPC. We can observe that the overall performance is not sensitive to the selection of these hyper-parameters and our method makes a consistent improvement over the baseline with 11 IPC. ", + "bbox": [ + 174, + 455, + 825, + 511 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Class-Independent Hallucinators v.s. Shared Hallucinators: In the default setting of HaBa, each class maintains a certain number of bases independently and all the classes share the same set of hallucinators. But what about the case that hallucinators are also made class-independent? We study this problem experimentally in Tab. 5. Given the same BPC, class-independent hallucinators can indeed somehow improve the performance when there are fewer synthetic samples, e.g., 1 BPC. However, when BPC is higher, equipping each class with an independent set of hallucinators would not benefit the performance. There are probably two reasons: (1) shared hallucinators across all the classes extract global information of the whole dataset, which encodes more representative and universal knowledge; and (2) the class-independent case would make the number of hallucinators 10 times for the CIFAR10 dataset, which leaves a heavy burden for the optimization process. Thus, as indicated in Tab. 5, a better solution is to make room for more bases using the memory allocated to store class-independent hallucinators initially, which would result in more satisfactory data efficiency. ", + "bbox": [ + 173, + 517, + 826, + 684 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Number of Channels Used by Basis: By default, the shape of a basis is the same as that of a real image, which is generally in RGB 3-channel format. In fact, in Fig. 8(Left), we also verify that it is also possible to use single-channel basis, which can reduce the memory cost by nearly 2/3 without hurting the performance too much. Interestingly, if the memory cost is held the same, we can choose to use 3 times BPC to store single-channel bases, rather than 3-channel ones. This would yield impressive improvement on the test accuracy when BPC is small. Note that for baseline results, IPC is set as the corresponding BPC plus 1. ", + "bbox": [ + 174, + 690, + 825, + 787 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Number of Hallucinators: We study the impact of the number of hallucinators, i.e., $| { \\mathcal { H } } |$ , in Fig. 8(Right). We can observe that when BPC is small, including more hallucinators is helpful for the performance. Nevertheless, when BPC is 10 or 50, the performance would not improve with more hallucinators when $| \\mathcal { H } | > 1 0$ . One reason is that when $| \\mathcal { H } |$ is large, the sampling of hallucinators in each iteration is sparse, which makes the joint optimization of all the hallucinators more difficult. ", + "bbox": [ + 174, + 794, + 825, + 863 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Data Augmentation: The similarity between our hallucinator set and data augmentation lies that both of them can contribute to generating more samples and increasing the diversity. However, the essential difference is that our hallucinators are optimized to encode sample-wise relationships in ", + "bbox": [ + 174, + 869, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/d89c1a76e210ce8d2c01a2ee3007e22ec4aef400437db571f0627fe540cb48a5.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 199, + 90, + 465, + 223 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/7d96287bb6107eccea8d898f68bb72541b753dd999e76564e1ebf429f455d7de.jpg", + "table_caption": [ + "Figure 7: Comparisons with the baseline under the same number of final images. " + ], + "table_footnote": [], + "table_body": "
BPC11050
w/o Share55.96±0.5169.00±0.2069.81±0.56
Share55.66±0.2970.27±0.6374.04±0.16
Baseline (IPC=BPC)45.29±0.8662.77±0.5671.09±0.34
Share (Same Memory)70.27±0.6372.17±0.3074.89±0.15
Baseline (Same Memory)65.92±0.6268.58±0.4973.55±0.48
", + "bbox": [ + 174, + 255, + 488, + 338 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Table 5: Study on whether all the classes should share the same set of hallucinators. ", + "bbox": [ + 173, + 348, + 491, + 376 + ], + "page_idx": 9 + }, + { + "type": "image", + "img_path": "images/604ad12291d1643f39882eaf5a26db330e2f8431e0149165f06ce89dad988d9b.jpg", + "image_caption": [ + "Figure 8: Study on the number of channels used by bases and the number of hallucinators. " + ], + "image_footnote": [], + "bbox": [ + 513, + 92, + 820, + 223 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/d6e194fe20ac3eb93677b1d4bea4618111dcd3ce7689538ff379e938c6bf3fad.jpg", + "table_caption": [ + "Table 6: Impact of data augmentation. " + ], + "table_footnote": [], + "table_body": "
ConvNetResNetVGGAlexNet
w/o aug.60.63±0.2143.24±0.83 48.02±0.5330.58±1.44
Baseline63.90±0.2945.05±1.46 50.49±1.0235.95±1.52
w/o aug. Ours68.08±0.23 69.48±0.2656.37±0.11 57.97±0.8859.04±0.50 48.27±3.04 60.47±0.56 48.96±3.00
", + "bbox": [ + 513, + 263, + 813, + 338 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "a dataset, while data augmentation is based on some prior and heuristic knowledge of images. By default, both our method and the baseline adopt the data augmentation strategy DSA [53]. To study the relationship between the two schemes experimentally, we attempt to remove DSA from baseline and our method and report the corresponding results in Tab. 6. The evaluation is on CIFAR10 with 11 IPC for baseline and 10 BPC for ours. Through the results, we can find that (1) our method without data augmentation can also outperform the baseline method with augmentation significantly, which means that the mechanism of HaBa can benefit the dataset distillation task more with the learning of global information of a dataset in hallucinators; and (2) with data augmentation, our performance can be further improved, which indicates that HaBa and DSA work in different manners. ", + "bbox": [ + 174, + 378, + 825, + 503 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5 Conclusions, Limitations, and Future Works ", + "text_level": 1, + "bbox": [ + 174, + 523, + 576, + 541 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This paper proposes a novel hallucinator-basis factorization method dubbed HaBa for dataset distillation (DD). It uses hallucinators to encode inner relations between different samples in original datasets, which can largely improve the data efficiency of distilled results. To diversify the knowledge captured by different hallucinators, a pair of adversarial contrastive constraints is further introduced. Extensive evaluations and comparisons on multiple benchmark datasets demonstrate that HaBa is capable of significantly improving the performance of downstream models trained on the synthetic dataset, using only $3 5 \\%$ cost of memory for storage. Moreover, it is a versatile strategy that is compatible with different configurations of DD frameworks and yields consistent improvement. ", + "bbox": [ + 174, + 555, + 825, + 666 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Despite the superior performance of the proposed hallucinator-basis factorization (HaBa) scheme, there are also some potential limitations. On the one hand, compared with the baseline method HaBa built upon, the process of online pairwise combination between hallucinators and bases in training increases the cost of time and GPU memory slightly, although light-weight hallucinators are adopted. On the other hand, it may inherited the limitations of baseline methods. For example, when the number of images is large, further increasing the number would produce limited performance gain. ", + "bbox": [ + 174, + 672, + 825, + 756 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "For future works, beyond the training efficiency of HaBa, introducing class-wise relationship may also be a potential research direction. For example, it is probably optimal that one class shares hallucinators with some specific classes but does not share with others. It is also promising to explore more advance factorization for a dataset to further improve the performance. ", + "bbox": [ + 176, + 762, + 823, + 818 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgement ", + "text_level": 1, + "bbox": [ + 176, + 837, + 330, + 854 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This research is supported by the National Research Foundation, Singapore under its Medium Sized Centre for Advanced Robotics Technology Innovation (WBS: A-0009428-09-00). Xinchao Wang is the corresponding author. 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", + "bbox": [ + 214, + 116, + 339, + 131 + ], + "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] Please refer to the supplement. \n(c) Did you discuss any potential negative societal impacts of your work? [N/A] \n(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 238, + 135, + 825, + 227 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... ", + "bbox": [ + 214, + 231, + 493, + 244 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(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] ", + "bbox": [ + 238, + 248, + 738, + 280 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "3. If you ran experiments... ", + "bbox": [ + 212, + 285, + 393, + 299 + ], + "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] Please refer to the supplement. \n(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] Please refer to Sec. 4.1. \n(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] We run all the experiments 5 times and report the mean and standard deviation of the performance. \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] Please refer to Sec. 4.1. ", + "bbox": [ + 238, + 303, + 825, + 449 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... ", + "bbox": [ + 218, + 453, + 823, + 468 + ], + "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] \n(c) Did you include any new assets either in the supplemental material or as a URL? [Yes] \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, + 472, + 823, + 579 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "5. If you used crowdsourcing or conducted research with human subjects... 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DatasetSVHNCIFAR10CIFAR100
IPC Ratio %1 0.01410 0.1450 0.71 0.02105011050
Random0.210.2210
CoresetHerding14.6±1.6 35.1±4.1 20.9±1.3 50.5±3.370.9±0.9 72.6±0.814.4±2.0 26.0±1.2 43.4±1.04.2±0.314.6±0.5 30.0±0.4
21.5±1.3 31.6±0.7 40.4±0.68.4±0.317.3±0.3 33.7±0.5
K-Center21.0±1.5 14.0±1.3 20.1±1.421.5±1.3 14.7±0.9 27.0±1.48.3±0.37.1±0.2 30.5±0.3
Forgetting12.1±1.716.8±1.2227.2±1.513.5±1.223.3±1.0 23.3±1.14.5±0.39.8±0.2
DistillationDD+ [47] LD+ [3]36.8±1.2
25.7±0.7 38.3±0.4 42.5±0.411.5±0.4
DC [55]31.2±1.4 76.1±0.6 82.3±0.328.3±0.5 44.9±0.5 53.9±0.512.8±0.3 25.2±0.3
DSA[53]27.5±1.4 79.2±0.5 84.4±0.428.8±0.7 52.1±0.5 60.6±0.513.9±0.332.3±0.3 42.8±0.4
DM [54]26.0±0.8 48.9±0.6 63.0±0.411.4±0.329.7±0.3 43.6±0.4
CAFE[46] CAFE+DSA[46]42.6±3.3 75.9±0.6 81.3±0.330.3±1.1 46.3±0.6 55.5±0.612.9±0.3 27.8±0.3 37.9±0.3
MTT[5]58.5±1.4 70.8±1.8 85.7±0.142.9±3.0 77.9±0.6 82.3±0.431.6±0.8 50.9±0.5 62.3±0.4 46.3±0.8 65.3±0.7 71.6±0.214.0±0.3 31.5±0.2 24.3±0.339.0±0.142.9±0.2 46.1±0.2
BPC499
Ratio % HaBa1 9 0.0281491949
Factorization69.8±1.3 83.2±0.4 88.3±0.10.140.70.04 48.3±0.8 69.9±0.4 74.0±0.20.210.22 33.4±0.4 40.2±0.2 47.0±0.21.829.82
Whole Dataset95.4±0.184.8±0.156.2±0.3
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|MethodDC [55]DM [54]MTT[5]
IPC BPC211512115121151
Baseline1 |31.36±0.16 45.29±0.30 54.24±0.6110501 134.57±0.52 50.35±0.36 62.03±0.29|50.59±0.95 63.90±0.29 69.81±0.48105011050
ConvNet w.HaBa Gain Baseline34.11±0.47 49.88±0.52 58.91±0.23 +2.75 18.10±0.7618.36±0.3622.14±0.38|+4.59+4.67+2.7537.32±0.13 56.83±0.11 64.44±0.40 +6.48 3|22.25±1.00 40.00±1.49 53.40±0.68|35.15±0.96 45.05±1.46 54.47±0.95+2.41+6.1756.76±0.38 69.48±0.26 73.25±0.21 +5.58+3.44
ResNetw.HaBa Gain Baseline24.49±0.55 24.27±0.56 31.08±0.32 +6.39 28.02±0.26 35.88±0.67 38.73±0.482+6.11+8.94+9.0931.34±0.7247.57±0.4959.61±0.35 +7.57+6.21+12.24 322.28±1.0341.64±0.64 55.17±0.54|38.04±1.19 50.49±1.02 61.36±0.3047.39±0.7157.97±0.8864.35±0.60 +12.92+9.88
VGGw.HaBa Gain29.42±0.93 37.03±0.42 41.91±0.55 +1.40+1.15+3.1826.93±0.62 49.41±0.36 67.47±0.43 +4.65+7.77+12.30+10.2248.26±0.54 60.47±0.56 67.47±0.43 +9.98+6.11
AlexNetw. HaBa GainBaseline|20.02±1.312.42±1.3529.48±0.8720.67±3.6437.04±0.9249.14±0.94|26.06±1.0135.95±1.5249.20±1.27 22.24±1.14 33.02±0.91 33.42±1.39 +2.22+10.60+3.94+11.4732.14±0.60 44.14±0.67 53.09±0.89 +7.10+3.9543.63±1.46 48.96±3.00 60.07±1.37 +17.57+13.01+10.87
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BPC11050
HaBa w/o Lcos.54.56±0.6170.16±0.44 73.93±0.21
HaBa w/o Lcon.54.91±0.4970.07±0.4872.50±0.39
HaBa W/o Ltask54.62±0.42:70.07±0.16 72.74±0.20
HaBa Full55.66±0.2970.27±0.6374.04±0.16
HaBawLcon. Downstream56.78±0.2270.44±0.1575.00±0.52
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#ofParam./Class 2×32×32×3 11×32×32×3 51×32×32×3
Baseline49.89±0.9565.92±0.6270.73±0.52
w. IDC56.13±0.3870.85±0.4371.01±0.41
w. IDC&HaBa61.27±0.3472.14±0.2275.31±0.27
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BPC11050
w/o Share55.96±0.5169.00±0.2069.81±0.56
Share55.66±0.2970.27±0.6374.04±0.16
Baseline (IPC=BPC)45.29±0.8662.77±0.5671.09±0.34
Share (Same Memory)70.27±0.6372.17±0.3074.89±0.15
Baseline (Same Memory)65.92±0.6268.58±0.4973.55±0.48
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ConvNetResNetVGGAlexNet
w/o aug.60.63±0.2143.24±0.83 48.02±0.5330.58±1.44
Baseline63.90±0.2945.05±1.46 50.49±1.0235.95±1.52
w/o aug. Ours68.08±0.23 69.48±0.2656.37±0.11 57.97±0.8859.04±0.50 48.27±3.04 60.47±0.56 48.96±3.00
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newline at end of file diff --git a/parse/dev/ne6zeqLFCZ/ne6zeqLFCZ_content_list.json b/parse/dev/ne6zeqLFCZ/ne6zeqLFCZ_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..f796674dcb2e17cf3ec6e58cb57203fc6229ca67 --- /dev/null +++ b/parse/dev/ne6zeqLFCZ/ne6zeqLFCZ_content_list.json @@ -0,0 +1,2881 @@ +[ + { + "type": "text", + "text": "Symbolic Discovery of Optimization Algorithms ", + "text_level": 1, + "bbox": [ + 205, + 122, + 792, + 148 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Xiangning Chen1 2 § ∗ Chen Liang1 § Da Huang1 Esteban Real1 Kaiyuan Wang1 Hieu Pham1 Xuanyi Dong1 Thang Luong1 Cho-Jui Hsieh2 Yifeng Lu1 Quoc V. Le1 ", + "bbox": [ + 232, + 198, + 771, + 271 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "§Equal & Core Contribution ", + "bbox": [ + 406, + 295, + 593, + 309 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1Google 2UCLA ", + "bbox": [ + 400, + 334, + 602, + 349 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 386, + 535, + 401 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We present a method to formulate algorithm discovery as program search, and apply it to discover optimization algorithms for deep neural network training. We leverage efficient search techniques to explore an infinite and sparse program space. To bridge the large generalization gap between proxy and target tasks, we also introduce program selection and simplification strategies. Our method discovers a simple and effective optimization algorithm, Lion (EvoLved Sign Momentum). It is more memory-efficient than Adam as it only keeps track of the momentum. Different from adaptive optimizers, its update has the same magnitude for each parameter calculated through the sign operation. We compare Lion with widely used optimizers, such as Adam and Adafactor, for training a variety of models on different tasks. On image classification, Lion boosts the accuracy of ViT by up to $2 \\%$ on ImageNet and saves up to ${ 5 } \\mathbf { x }$ the pre-training compute on JFT. On vision-language contrastive learning, we achieve $8 8 . 3 \\%$ zero-shot and $9 1 . 1 \\%$ finetuning accuracy on ImageNet, surpassing the previous best results by $2 \\%$ and $0 . 1 \\%$ , respectively. On diffusion models, Lion outperforms Adam by achieving a better FID score and reducing the training compute by up to $2 . 3 \\mathbf { x }$ . For autoregressive, masked language modeling, and fine-tuning, Lion exhibits a similar or better performance compared to Adam. Our analysis of Lion reveals that its performance gain grows with the training batch size. It also requires a smaller learning rate than Adam due to the larger norm of the update produced by the sign function. Additionally, we examine the limitations of Lion and identify scenarios where its improvements are small or not statistically significant. ", + "bbox": [ + 232, + 419, + 766, + 722 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 753, + 310, + 770 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Optimization algorithms, i.e., optimizers, play a fundamental role in training neural networks. There are a large number of handcrafted optimizers, mostly adaptive ones, introduced in recent years [2, 3, 7, 27, 58, 105]. However, Adam [48] with decoupled weight decay [60], also referred to as AdamW, and Adafactor with factorized second moments [86], are still the de facto standard optimizers for training most deep neural networks, especially the recent state-of-the-art language [12, 23, 90], vision [21, 26, 102] and multimodal [75, 84, 100] models. ", + "bbox": [ + 174, + 786, + 826, + 869 + ], + "page_idx": 0 + }, + { + "type": "table", + "img_path": "images/536836132bc5d9886b375d1aaa6de84b261c46b7110a4b84ed250db17de4c033.jpg", + "table_caption": [ + "Table 1: Accuracy of BASIC-L [72] on ImageNet and several robustness benchmarks. We apply Lion to both vision tower pre-training and vision-language contrastive training stages. The previous SOTA results on zero-shot and fine-tuning ImageNet accuracy are $8 6 . 3 \\%$ and $9 1 . 0 \\%$ [100]. " + ], + "table_footnote": [], + "table_body": "
OptimizerZero-shotFine-tune ImageNet
ImageNetV2ARSketchObjectNet
Adafactor85.780.685.695.776.182.390.9
Lion88.381.286.496.877.282.991.1
", + "bbox": [ + 263, + 145, + 730, + 205 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/44ec763dea8a23db48863683adff1231a16c225416915edefb9033a5f25f674b.jpg", + "image_caption": [ + "Figure 1: Left: ImageNet fine-tuning accuracy vs. pretraining cost of ViT models on JFT-300M. Right: FID of the diffusion model on $2 5 6 ^ { 2 }$ image generation. We use DDPM for 1K steps w/o guidance to decode image. As a reference, the FID of ADM is 10.94 [24]. " + ], + "image_footnote": [], + "bbox": [ + 174, + 236, + 531, + 335 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Program 1: Discovered optimizer Lion. $\\beta _ { 1 } = 0 . 9$ and $\\beta _ { 2 } = 0 . 9 9$ by default are derived from Program 4. It only tracks momentum and uses the sign operation to compute the update. The two gray lines compute the standard decoupled weight decay, where $\\lambda$ is the strength. ", + "bbox": [ + 549, + 229, + 825, + 327 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "def train(weight, gradient, momentum, lr): update $=$ interp(gradient, momentum, $\\beta _ { 1 } )$ ) update $=$ sign(update) momentum $=$ interp(gradient, momentum, $\\beta _ { 2 }$ ) weight_decay $=$ weight $* \\lambda$ update $=$ update $^ +$ weight_decay update $=$ update $^ *$ lr return update, momentum ", + "bbox": [ + 549, + 332, + 810, + 420 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Another direction is to automatically discover such optimization algorithms. The learning to optimize (L2O) approach proposes to discover optimizers by training parameterized models, e.g., neural networks, to output the updates [1, 54, 63, 64]. However, those black-box optimizers, typically trained on a limited number of small tasks, struggle to generalize to state-of-the-art settings where much larger models are trained with significantly more training steps. Another line of methods [5, 95] apply reinforcement learning or Monte Carlo Sampling to discover new optimizers, where the search space is defined by trees composed from predefined operands (e.g., gradient and momentum) and operators (e.g., unary and binary math operations). However, to make the search manageable, they often limit the search space by using fixed operands and restricting the size of the tree, thereby limiting the potential for discovery. For example, they are unable to modify the tracking of momentum or how it contributes to the update, which is an essential component of Lion. Consequently, the algorithms discovered have not yet reached the state-of-the-art. AutoML-Zero [80] is an ambitious effort that attempts to search every component of a machine learning pipeline while evaluating on toy tasks. This work follows the research direction of automatic discovering optimizers and is in particular inspired by AutoML-Zero, but aims at discovering effective optimization algorithms that can improve the state-of-the-art benchmarks. ", + "bbox": [ + 174, + 443, + 825, + 662 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this paper, we present a method to formulate algorithm discovery as program search and apply it to discover optimization algorithms. There are two primary challenges. The first one is to find high-quality algorithms in the infinite and sparse program space. The second one is to further select out the algorithms that can generalize from small proxy tasks to much larger, state-of-the-art tasks. To tackle these challenges, we employ a range of techniques including evolutionary search with warm-start and restart, abstract execution, funnel selection, and program simplification. ", + "bbox": [ + 174, + 670, + 825, + 752 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our method discovers a simple and effective optimization algorithm: Lion. This optimizer differs from various adaptive algorithms by only tracking momentum and leveraging the sign operation to calculate updates, leading to lower memory overhead and uniform update magnitudes across all dimensions. Despite its simplicity, Lion demonstrates outstanding performance across a range of models (Transformer, MLP, ResNet, U-Net, and Hybrid) and tasks (image classification, visionlanguage contrastive learning, diffusion, language modeling, and fine-tuning). Notably, we achieve $8 8 . 3 \\%$ zero-shot and $9 1 . 1 \\%$ fine-tuning accuracy on ImageNet by replacing Adafactor with Lion in BASIC [72], surpassing the previous best results by $2 \\%$ and $0 . 1 \\%$ , respectively. Additionally, Lion reduces the pre-training compute on JFT by up to $5 \\mathbf { x }$ , improves training efficiency on diffusion models by $2 . 3 \\mathrm { x }$ and achieves a better FID score, and offers similar or better performance on language modeling with up to $2 \\mathbf { x }$ compute savings. Limitations of our work are discussed in Appendix N. ", + "bbox": [ + 174, + 758, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Program 2: An example training loop, where the optimization algorithm that we are searching for is encoded within the train function. The main inputs are the weight $\\mathbf { \\Pi } ( \\mathtt { w } )$ , gradient $( \\mathsf { g } )$ and learning rate schedule $( \\mathtt { l r } )$ . The main output is the update to the weight. v1 and $\\mathtt { v 2 }$ are two additional variables for collecting historical information. ", + "bbox": [ + 173, + 99, + 429, + 224 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "$\\begin{array} { r l } { \\mathtt { w } } & { { } = } \\end{array}$ weight_initialize() \nv1 $=$ zero_initialize() \n$\\boldsymbol { \\mathfrak { v } } 2 \\ =$ zero_initialize() \nfor i in range(num_train_steps): $\\begin{array} { r l } { { 1 } \\mathbf { r } } & { { } = } \\end{array}$ learning_rate_schedule(i) $\\ g \\ =$ compute_gradient(w, get_batch(i)) update, v1, $\\boldsymbol { \\mathfrak { v } } 2 \\ =$ train(w, g, v1, v2, lr) $\\textbf { \\textsf { w } } = \\textbf { \\textsf { w } }$ - update ", + "bbox": [ + 173, + 229, + 428, + 318 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Program 3: Initial program (AdamW). The bias correction and $\\epsilon$ are omitted for simplicity. ", + "bbox": [ + 455, + 99, + 620, + 155 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "def train(w, g, m, v, lr): $\\mathtt { g 2 } \\ =$ square ${ \\bf \\Pi } ( { \\bf g } )$ $\\mathbf { m } =$ interp(g, m, 0.9) $\\tt { v } =$ interp(g2, v, 0.999) sqrt_v $=$ sqrt(v) update $= \\texttt { m } /$ sqrt_v $\\mathtt { w d } \\ = \\ \\mathtt { w } \\ * \\ 0 . 0 1$ update $=$ update $^ +$ wd ${ \\bf 1 } { \\bf r } \\ = \\ { \\bf 1 } { \\bf r } \\ * \\ 0 . 0 0 1$ update $=$ update $^ *$ lr return update, m, $\\mathtt { v }$ ", + "bbox": [ + 455, + 160, + 614, + 282 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Program 4: Discovered program after search, selection and removing redundancies in the raw Program 8 (Appendix). Some variables are renamed for clarity. ", + "bbox": [ + 647, + 99, + 820, + 195 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "def train(w, g, m, v, lr): $\\ g \\ =$ clip(g, lr) $\\ g \\ =$ arcsin(g) $\\textrm { -- }$ interp(g, v, 0.899) $\\mathrm { ~ m 2 ~ } = \\mathrm { ~ m ~ } * \\mathrm { ~ m ~ }$ $\\begin{array} { r l } { \\mathfrak { v } } & { { } = } \\end{array}$ interp(g, m, 1.109) abs_m $=$ sqrt(m2) update $= 1 0 \\times 1$ abs_m $\\mathtt { w d } \\ = \\ \\mathtt { w } \\ * \\ 0 \\ . 4 6 0 2$ update $=$ update $^ +$ wd ${ \\bf 1 } { \\bf r } \\ = \\ { \\bf 1 } { \\bf r } \\ * \\ 0 . 0 0 0 2$ $\\textrm { \\textmu m } =$ cosh(update) update $=$ update $\\ast \\_ \\mathbf { \\bot r }$ return update, m, v ", + "bbox": [ + 645, + 202, + 802, + 357 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2 Symbolic Discovery of Algorithms ", + "text_level": 1, + "bbox": [ + 173, + 364, + 490, + 382 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We present an approach that formulates algorithm discovery as program search [11, 49, 80]. We use a symbolic representation in the form of programs for the following advantages: (1) it aligns with the fact that algorithms must be implemented as programs for execution; (2) symbolic representations like programs are easier to analyze, comprehend and transfer to new tasks compared to parameterized models such as neural networks; (3) program length can be used to estimate the complexity of different programs, making it easier to select the simpler, often more generalizable ones. This work focuses on optimizers for deep neural network training, but the method is generally applicable. ", + "bbox": [ + 174, + 397, + 825, + 494 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.1 Program Search Space ", + "text_level": 1, + "bbox": [ + 176, + 512, + 370, + 527 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We adhere to the following three criteria while designing the program search space: (1) the search space should be flexible enough to enable the discovery of novel algorithms; (2) the programs should be easy to analyze and incorporate into a machine learning workflow; (3) the programs should focus on the high-level algorithmic design rather than low-level implementation details. We define the programs to contain functions operating over n-dimensional arrays, including structures like lists and dictionaries containing such arrays, in an imperative language. They are similar to Python code using NumPy / JAX [10, 36] as well as pseudo code of optimization algorithms. The details of the design are outlined below, with an example representation of AdamW in Program 3. ", + "bbox": [ + 173, + 537, + 825, + 650 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Input / output signature The program defines a train function, which encodes the optimization algorithm being searched for, where the main inputs are the model weight (w), the gradient $( \\mathsf { g } )$ and the learning rate schedule value (lr) at the current training step. The main output is the update to the weight. The program also incorporates extra variables initialized as zeros to collect historical information during training. For example, AdamW requires two extra variables to estimate first and second moments. Note that those variables can be used arbitrarily, we use the name m and $\\mathtt { v }$ in Program 3 just for better readability. This simplified code snippet in Program 2 uses the same signature as AdamW to ensure that the discovered algorithms have smaller or equal memory footprints. As opposed to previous optimizer search attempts [5, 95], our method allows discovering better ways of updating the extra variables. ", + "bbox": [ + 173, + 656, + 825, + 794 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Building blocks The train function consists of a sequence of assignment statements, with no restrictions on the number of statements or local variables. Each statement calls a function using constants or existing variables as inputs, and the resulting value is stored in a new or existing variable. For the program, we select 45 common math functions, most of which corresponds to a function in NumPy or an operation in linear algebra. Some functions are introduced to make the program more compact, such as the linear interpolation function interp(x, y, a), which is made equivalent to $( 1 ~ - ~ \\mathsf { a } ) ~ * ~ \\mathsf { x } ~ + ~ \\mathsf { a } ~ * ~ \\mathsf { y }$ . Preliminary experiments have investigated the inclusion of more advanced features such as conditional and loop statements, and defining and calling new functions, but these do not yield improved results, so we leave them out. A detailed description of the functions are summarized in Appendix H. When necessary, the types and shapes of the function arguments are automatically cast, e.g., in the case of adding a dictionary of arrays to a scalar. ", + "bbox": [ + 174, + 800, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/96774f0a6bcce226538eab6cefb1ab58d423805e23f709fca3c9b500205ecc81.jpg", + "image_caption": [ + "Figure 2: Left: We run hyperparameter tuning on AdamW and random search, both with $4 \\mathbf { x }$ more compute, to get the best results as two baselines (green and red lines). The evolutionary search, with mean and standard error calculated from five runs, significantly outperforms both of them. The use of multiple restarts from the initial program is crucial due to the high variance in the search fitness (blue curves), and restarting from the best program after 300K progress further improves the fitness (orange curves) when the original search plateaus. Right: Example curves of search fitness, the cache hit rate, and the percentage of redundant statements. The cache hit rate and the redundant statements percentage increase along with the search progress to ${ \\sim } 9 0 \\%$ and ${ \\sim } 7 0 \\%$ . " + ], + "image_footnote": [], + "bbox": [ + 194, + 89, + 805, + 195 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 321, + 825, + 364 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Mutations and redundant statements The design of mutations utilized in evolutionary search is tightly intertwined with the representation of the program. We include three types of mutations: (1) inserting a new statement at a random location with randomly chosen functions and arguments, (2) deleting a random chosen statement, and (3) modifying a random statement by randomly altering one of its function arguments, which may be either variables or constants. To mutate an argument, we replace it with an existing variable or a newly generated constant obtained by sampling from a normal distribution $X \\sim \\mathcal { N } ( 0 \\mathrm { ~ } 1 )$ . Additionally, we can mutate an existing constant by multiplying it by a random factor $2 ^ { a }$ , where $a \\sim \\mathcal { N } ( 0 \\ : 1 )$ . These constants serve as tunable hyperparameters in the optimization algorithm, such as the peak learning rate and weight decay in AdamW. The modification mutation makes it easier for the search to tune those constants while keeping most of the program unchanged. Note that we allow a program to include redundant statements during search, i.e., statements that do not impact the final program outputs. This is necessary as mutations are limited to only affecting a single statement. Redundant statements therefore serve as intermediate steps towards bigger changes. ", + "bbox": [ + 174, + 371, + 825, + 564 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Infinite and sparse search space Given the limitless number of statements and local variables, as well as the presence of mutable constants, the program search space is infinite. Even if we ignore the constants and bound the program length and number of variables, the number of potential programs is still intractably large. More importantly, the challenge comes from the sparsity of high-performing programs in the search space. To illustrate this point, we evaluates 2M randomly sampled programs on a low-cost proxy task. The best program among them is still significantly inferior to AdamW. ", + "bbox": [ + 174, + 570, + 825, + 654 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.2 Efficient Search Techniques ", + "text_level": 1, + "bbox": [ + 176, + 671, + 405, + 685 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We employ the following techniques to address the challenges posed by the infinite and sparse space. ", + "bbox": [ + 174, + 696, + 823, + 712 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Evolution with warm-start and restart We apply regularized evolution as it is simple, scalable, and has shown success on many AutoML search tasks [42, 79, 80, 87, 99]. It keeps a population of $P$ algorithms that are gradually improved through cycles. Each cycle picks $T < P$ algorithms at random and the best performer is chosen as the parent, i.e., tournament selection [32]. This parent is then copied and mutated to produce a child algorithm, which is added to the population, while the oldest algorithm is removed. Normally, evolutionary search starts with random candidates, but we warm-start the initial population as AdamW to accelerate the search. By default, we use a tournament size of two and a population size of 1K. To further improve the search efficiency, we apply two types of restart: (1) restarting from the initial program, which can lead to different local optima due to the randomness in evolution and encourage exploration. This can be done by running multiple searches in parallel. (2) restarting from the best algorithm found thus far to further optimize it, encouraging exploitation. Figure 2 (Left) displays the mean and standard error of five evolutionary search experiments. We run hyperparameter tuning based on AdamW by only allowing mutations of constants in the evolution, and run random search by sampling random programs, both with 4x more compute. Our search significantly outperforms the best results from both baselines, shown as the two dashed lines. The high variance in the search fitness necessitates running multiple repeats by restarting from the initial program. When the search fitness plateaus after ${ \\sim } 3 0 0 \\mathrm { K }$ progress, restarting from the best program found thus far further improves the fitness shown by the orange curve. ", + "bbox": [ + 174, + 718, + 825, + 911 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 92, + 825, + 147 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Pruning through abstract execution We propose to prune the redundancies in the program space from three sources: programs with syntax or type / shape errors, functionally equivalent programs, and redundant statements in the programs. Before a program is actually executed, we perform an abstract execution step that (1) infers variable types and shapes to detect programs with errors; (2) produces a hash that uniquely identifies how the outputs are computed from the inputs, allowing us to cache and look up semantically duplicate programs [31]; (3) identifies redundant statements that can be ignored during actual execution and analysis. For instance, Program 4 is obtained after removing all redundant statements in Program 8 (Appendix). Abstract execution has negligible cost compared to the actual execution, with each input and function replaced by customized values, e.g., hash. See Appendix I for details of abstract execution. Preliminary experiments have shown that the search process can become overwhelmed with invalid programs and cannot make progress without filtering out invalid programs. As seen in Figure 2 (Right), the percentage of redundant statements and cache hit rate both increase as the search proceeds. Based on five search runs, each covering 300K programs, there are $6 9 . 8 \\pm 1 . 9 \\%$ redundant statements towards the end, implying that redundant statements removal makes the program ${ \\sim } 3 \\mathbf { x }$ shorter on average. The cache hit rate is $8 9 . 1 \\pm 0 . 6 \\%$ , indicating that using the hash table as cache brings ${ \\sim } 1 0 \\mathbf { x }$ reduction on the search cost. ", + "bbox": [ + 174, + 154, + 825, + 375 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Proxy tasks and search cost To reduce search cost, we create low-cost proxies by decreasing the model size, number of training examples, and steps from the target tasks. Evaluation on the proxies can be completed on one TPU V2 chip within $2 0 \\mathrm { { m i n } }$ . We use the accuracy or perplexity on the validation set as the fitness. Each search experiment utilizes 100 TPU V2 chips and runs for ${ \\sim } 7 2 \\mathrm { h }$ . There are a total of 200-300K programs generated during each search experiment. However, the number of programs that are actually evaluated is around 20-30K, thanks to the use of the cache through abstract execution. To incorporate restart, we start five repeats of search experiments, followed by another round of search initializing from the best algorithm found thus far. This results in a total cost of ${ \\sim } 3 \\mathrm { K }$ TPU V2 days. See Appendix F for the details of proxy tasks. ", + "bbox": [ + 174, + 381, + 825, + 506 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "2.3 Generalization: Program Selection and Simplification ", + "text_level": 1, + "bbox": [ + 173, + 545, + 584, + 560 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The search experiments can discover promising programs on proxy tasks. We use performance on meta-validation tasks that are larger than the proxy tasks by increasing the model size and training steps, to select the programs that generalize beyond proxy tasks then further simplify them. The phenomenon of meta-overfitting occurs when the search fitness keeps growing, but the meta-validation metric declines, indicating that the discovered algorithms have overfit the proxy tasks. Two examples meta-validation curves are shown in Figure 11 (Left) in the Appendix. ", + "bbox": [ + 174, + 579, + 825, + 662 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Large generalization gap The discovered algorithms face a significant challenge due to the substantial gap between the proxy tasks during search and the target tasks. While proxy tasks can typically be completed within $2 0 \\mathrm { { m i n } }$ on one TPU V2 chip, target tasks can be $\\mathrm { \\Omega > 1 0 ^ { 4 } \\bar { x } }$ larger and require days of training on 512 TPU V4 chips. Furthermore, we expect the optimizer to perform well on different architectures, datasets and even different domains, so the discovered algorithms need to show strong out-of-distribution generalization. The sparse search space and inherent noise in the evolution process further compound this challenge, leading to inconsistent generalization properties between different runs. Our observation suggests that evolutionary search runs that meta-overfit later tend to uncover optimization algorithms that generalize better. See more details in Figure 11 (Right) in the Appendix. ", + "bbox": [ + 174, + 670, + 825, + 794 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Funnel selection To mitigate the generalization gap, we collect promising programs based on search fitness and add an extra selection step using a series of meta-validation tasks to select those generalize better. To save compute, we apply a funnel selection process that gradually increases the scale of the meta-validation tasks. For example, starting with proxy task A, we create a $1 0 \\mathrm { x }$ larger task B by increasing the model size and the training steps. Only algorithms that surpass the baseline on task B will be evaluated on task C, which is $1 0 0 \\mathrm { x }$ larger. This approach allows us to gradually filter out algorithms that show poor generalization performance, ultimately leading to the selection of algorithms that generalize well to larger tasks. ", + "bbox": [ + 174, + 800, + 825, + 911 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Simplification Simpler programs are easier to understand and our intuition is that they are more likely to generalize, so we simplify the programs with the following steps. Firstly, we remove redundant statements that do not contribute to the final output as identified through abstract execution. Secondly, we remove statements that are non-redundant but produce minimal differences when removed. This step can also be achieved through evolution by disabling the insertion of new statements in the mutation process. Finally, we rearrange the statements manually, assign clear and descriptive names to variables, and convert the program into its simpler, mathematically equivalent form. ", + "bbox": [ + 174, + 92, + 825, + 189 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3 Derivation and Analysis of Lion ", + "text_level": 1, + "bbox": [ + 176, + 210, + 472, + 228 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We arrive at the Lion optimizer due to its simplicity, memory efficiency, and strong performance in search and meta-validation. The search also discovers other algorithms shown in Appendix D, e.g., some with better regularization and some resembling AdaBelief [105] and AdaGrad [29]. ", + "bbox": [ + 174, + 244, + 826, + 286 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.1 Derivation ", + "text_level": 1, + "bbox": [ + 174, + 306, + 285, + 320 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The search and funnel selection process lead to Program 4, which is obtained by automatically removing redundant statements from the raw Program 8 (in the Appendix). We further simplify it to get the final algorithm (Lion) in Program 1. Several unnecessary elements are removed from Program 4 during the simplification process. The cosh function is removed since m would be reassigned in the next iteration (line 3). The statements using arcsin and clip are also removed as we observe no quality drop without them. The three red statements translate to a single sign function. Although both m and $\\mathtt { v }$ are utilized in Program 4, v only changes how the momentum is updated (two interp functions with constants ${ \\sim } 0 . 9$ and ${ \\sim } 1 . 1$ is equivalent to one with ${ \\sim } 0 . 9 9$ ) and does not need to be separately tracked. Note that the bias correction is no longer needed, as it does not change the direction. Algorithm 2 in the Appendix shows the pseudocode. ", + "bbox": [ + 174, + 333, + 825, + 472 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.2 Analysis ", + "text_level": 1, + "bbox": [ + 174, + 491, + 271, + 506 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Sign update and regularization The Lion algorithm produces update with uniform magnitude across all dimensions by taking the sign operation, which is in principle different from various adaptive optimizers. Intuitively, the sign operation adds noise to the updates, which acts as a form of regularization and helps with generalization [16, 30, 67]. An evidence is shown in Figure 9 (Right) in the Appendix, where the ViT-B/16 trained by Lion on ImageNet has a higher training error compared to AdamW but a $2 \\%$ higher accuracy on the validation set (as shown in Table 8 from the Appendix). Additionally, the results in Appendix G demonstrate that Lion leads to the convergence in smoother regions, which usually results in better generalization. ", + "bbox": [ + 174, + 517, + 825, + 628 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Momentum tracking The default EMA factor used to track the momentum in Lion is $0 . 9 9 \\left( \\beta _ { 2 } \\right)$ , compared to the commonly used 0.9 in AdamW and momentum SGD. The current gradient and momentum are interpolated with a factor of 0.9 $( \\beta _ { 1 } )$ before the sign operation is applied. This choice of EMA factor and interpolation allows Lion to balance between remembering a ${ \\sim } 1 0 \\mathbf { x }$ longer history of the gradient in momentum and putting more weight on the current gradient in the update. The necessity of both $\\beta _ { 1 }$ and $\\beta _ { 2 }$ is further discussed in Appendix L. ", + "bbox": [ + 174, + 635, + 825, + 718 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Hyperparameter and batch size choices Lion is simpler and has fewer hyperparameters compared to AdamW and Adafactor as it does not require $\\epsilon$ and factorization-related ones. The update is an element-wise binary $\\pm 1$ if we omit the weight decay term, with larger norm than those produced by other optimizers like SGD and adaptive algorithms. As a result, Lion needs a smaller learning rate and in turn a larger decoupled weight decay to achieve a similar effective weight decay strength (lr $\\ast \\lambda ,$ ). Detailed information on tuning Lion can be found in Appendix M. Additionally, the advantage of Lion over AdamW enlarges as the batch size increases, which fits the common practice of scaling up model training through data parallelism (Appendix L). ", + "bbox": [ + 173, + 724, + 825, + 835 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Memory and runtime benefits Lion only saves the momentum thus has smaller memory footprint than popular adaptive optimizers like AdamW, which is beneficial when training large models and / or using a large batch size. As an example, AdamW needs at least 16 TPU V4 chips to train a ViT-B/16 with image resolution 224 and batch size 4,096, while Lion only needs 8 (both with bfloat16 momentum). Another practical benefit is that Lion has faster runtime (steps / sec) in our experiments due to its simplicity, usually $2 \\mathrm { - } 1 5 \\%$ speedup compared to AdamW and Adafactor depending on the task, codebase, and hardware. ", + "bbox": [ + 174, + 842, + 823, + 911 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 92, + 823, + 119 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Relation to existing optimizers The sign operation has been explored in previous optimizers [7, 83]. The closest to ours is the handcrafted optimizer signSGD [7] (and its momentum variant) that also utilizes the sign operation to calculate the update but has a different momentum update rule from Lion. Their focus is to mitigate communication costs between agents in distributed training, and they observe inferior performance when training ConvNets on image classification tasks. On the other hand, NAdam [27] combines the updated first moment and the gradient to compute the update, but Lion decouples the momentum tracking and how it is applied to the update through $\\beta _ { 2 }$ . A comparison of Lion with related optimizers can be found in Appendix K. ", + "bbox": [ + 173, + 126, + 825, + 237 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 Evaluation of Lion ", + "text_level": 1, + "bbox": [ + 174, + 270, + 361, + 287 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In this section, we present evaluations of Lion, on various benchmarks. We mainly compare it to AdamW (or Adafactor when memory is a bottleneck) as it is exceedingly popular and the de facto standard optimizer on a majority of learning tasks. The result of momentum SGD is only included for ResNet since it performs worse than AdamW elsewhere. We also benchmark other popular optimizers in Appendix K, including handcrafted and automatically discovered ones. We make sure that every optimizer is well-tuned for each task (see Appendix M for tuning details). By default, the learning rate schedule is cosine decay with 10K steps warmup, and the momentum is saved as bfloat16 to reduce the memory footprint. Ablations studies are performed in Appendix L. ", + "bbox": [ + 174, + 310, + 825, + 421 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 Image Classification ", + "text_level": 1, + "bbox": [ + 174, + 452, + 352, + 467 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We perform experiments including various datasets and architectures on the image classification task (see Appendix B for dataset details). Apart from training from scratch on ImageNet, we also pre-train on two larger well-established datasets, ImageNet-21K and JFT [89]. The image size is $2 2 4 ^ { 2 }$ by default otherwise specified by the subscript. ", + "bbox": [ + 174, + 483, + 825, + 539 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Train from scratch on ImageNet Following previous works [26, 37], we train ResNet-50 for 90 epochs with a batch size of 1,024, and other models for 300 epochs with a batch size of 4,096. As shown in Table 8 (in the Appendix), Lion significantly outperforms AdamW on various architectures. Empirically, the improvement is more substantial on models with larger capacity, with accuracy increases of $1 . 9 6 \\%$ and $0 . 5 8 \\%$ for ViT-B/16 and ViT-S/16, respectively. The performance gaps also tend to enlarger with fewer inductive biases. When strong augmentations are applied, the gain of Lion over AdamW shrinks, but it still outperforms AdamW by $0 . 4 2 \\%$ on CoAtNet-3, despite the strong regularization during training [21]. ", + "bbox": [ + 174, + 545, + 825, + 656 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Pre-train on ImageNet-21K We pre-train ViT-B/16 and ViT-L/16 on ImageNet-21K for 90 epochs with a batch size of 4,096. Table 8 shows that Lion surpasses AdamW when the training set is enlarged for $1 0 \\mathrm { x }$ . The gaps on larger models are bigger, with $+ 0 . 5 2 \\%$ vs. $+ 0 . 3 3 \\%$ (ImageNet), $+ 0 . 5 7 \\%$ vs. $+ 0 . 2 3 \\%$ (ReaL), and $+ 0 . 7 4 \\%$ vs. $+ 0 . 2 5 \\%$ (V2) for ViT-L/16 and ViT-B/16, respectively. ", + "bbox": [ + 174, + 662, + 825, + 718 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Pre-train on JFT To push the limit, we conduct extensive experiments on JFT. We follow the settings of Dosovitskiy et al. [26] and Zhai et al. [102] for both pre-training and fine-tuning. Figure 1 (Left) and 3 present the accuracy of three ViT models (ViT-B/16, ViT-L/16, and ViT-H/14) under different pre-training budgets on JFT-300M. Lion enables the ViT-L/16 to match the performance of ViT-H/14 trained by AdamW on ImageNet and ImageNet V2 but with $3 \\mathbf { x }$ less pre-training cost. On ImageNet ReaL, the compute saving further becomes ${ 5 } \\mathrm { x }$ . Another evidence is that even when a ViT-L/16 is trained by AdamW for 4M steps by Zhai et al. [102], its performance still lags behind the same model trained by Lion for 1M steps. ", + "bbox": [ + 173, + 724, + 825, + 835 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 5 in the Appendix shows the fine-tuning results, with higher resolution and EMA. Our ViT-L/16 matches the previous ViT-H/14 results trained by AdamW, while being $2 \\mathbf { x }$ smaller. The advantage is larger on more challenging benchmarks, such as $+ 1 . 3 3 \\%$ (V2), $+ 6 . 0 8 \\%$ (A), $+ 5 . 5 4 \\%$ (R) for ViTL/16. When pretrained on JFT-3B, the ViT- $\\mathrm { g } / 1 4$ trained by Lion outperforms the previous ViT-G/14 results [102], with $1 . 8 \\mathrm { x }$ fewer parameters. Our ViT-G/14 achieves a $9 0 . 7 1 \\%$ accuracy on ImageNet. ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/7a8a362395a2d2d2fe036b549c22e725aa05e0c692e6f4a451602d650f4f7fae.jpg", + "image_caption": [ + "Figure 3: ImageNet ReaL (Left) and ImageNet V2 (Right) accuracy after we pre-train ViT models on JFT-300M then fine-tune on ImageNet. See Table 4 (in the Appendix) for the detailed numbers. " + ], + "image_footnote": [], + "bbox": [ + 174, + 89, + 511, + 181 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/2209f5938376cc031e9658f4c73217967a0dcd8a7529585d379b4e92a575119e.jpg", + "table_caption": [ + "Table 2: Zero-shot accuracy of LiTs on ImageNet, CIFAR-100, and Oxford-IIIT Pet. As a reference, the zero-shot accuracy of CLIP [75] on ImageNet is $7 6 . 2 \\%$ . " + ], + "table_footnote": [], + "table_body": "
ModelOptimizerImageNetC100Pet
LiT-B/32-BAdamW Lion68.78 69.8871.41 71.7886.62 87.36
LiT-B/16-BAdamW Lion74.26 75.3972.25 72.4989.83
LiT-g/14288-LAdamW Lion83.43 84.0980.93 81.4391.20 94.88 95.86
", + "bbox": [ + 527, + 148, + 821, + 243 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/4fe5a5c83f5f3617af97607da4433b8655eda304e8772d6b1c46e5a7b329e29f.jpg", + "table_caption": [ + "Table 3: One-shot evaluation averaged over three NLG and 21 NLU tasks. The results of GPT-3 [12] and PaLM [17] are included for reference. The LLMs trained by Lion have better in-context learning ability. See Table 11 (in the Appendix) for detailed results on all tasks. " + ], + "table_footnote": [], + "table_body": "
Task1.1B2.1B7.5B6.7B GPT-38B PaLM
AdafactorLionAdafactorLionAdafactorLion
#Tokens300B300B780B
Avg NLG11.112.115.616.524.124.723.123.9
Avg NLU53.253.956.857.461.361.758.559.4
", + "bbox": [ + 238, + 309, + 758, + 387 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.2 Vision-Language Contrastive Learning ", + "text_level": 1, + "bbox": [ + 176, + 414, + 485, + 429 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "This section focuses on the vision-language contrastive training [75]. We compare Lion with AdamW (Adafactor) on zero-shot image classification and image-text retrieval benchmarks. We initialize the image encoder with a strong pre-trained model as it is suggested to be more efficient [103]. ", + "bbox": [ + 176, + 443, + 823, + 484 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Locked-image text Tuning (LiT) We perform a comparison between Lion and AdamW on LiT [103] by training the text encoder [103] in a contrastive manner using the same frozen pre-trained ViT. All models are trained for 1B image-text pairs with a batch size of 16,384. Table 2 shows the zero-shot image classification results on three model scales, with the name specifies the size, e.g., LiT-B/16-B denotes a ViT-B/16 and a base size Transformer as the text encoder. Our method, Lion, demonstrates consistent improvement over AdamW with gains of $+ 1 . 1 0 \\%$ , $+ 1 . 1 3 \\%$ , and $+ 0 . 6 6 \\%$ on zero-shot ImageNet accuracy for LiT-B/32-B, LiT-B/16-B, and LiT- $\\mathrm { \\ g } / 1 4 _ { 2 8 8 }$ -L, respectively. Figure 7 (Left) in the Appendix depicts an example zero-shot learning curve of LiT-B/16-B. Similar results are obtained on the other two datasets. The zero-shot image-text retrieval results on MSCOCO [56] and Flickr30K [74] can be found in Figure 6 (in the Appendix). The evaluation metric is Recall $@ \\mathrm { K }$ , calculated based on if the ground truth label of the query appears in the top-K retrieved examples. Lion outperforms AdamW on both datasets, with a larger gain in Recall $@ 1$ than Recall $@ 1 0$ on Flicker30K, implying more accurate retrieval results: $+ 1 . 7 0 \\%$ vs. $+ 0 . 6 0 \\%$ for image text and $+ 2 . 1 4 \\%$ vs. $+ 0 . 2 0 \\%$ for text image. ", + "bbox": [ + 173, + 491, + 825, + 684 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "BASIC Pham et al. [72] propose to scale up batch size, dataset, and model size simultaneously, achieving drastic improvements over CLIP. It uses a sophisticated CoAtNet [21] pre-trained on JFT-5B as the image encoder. Furthermore, the contrastive training is performed on 6.6B image-text pairs with a larger 65,536 batch size. To push the limit, we only experiment on the largest BASIC-L, and use Lion on both image encoder pre-training and contrastive learning stages. As illustrated in Table 1, we achieve a significant $2 . 6 \\%$ gain over the baseline, striking a $8 8 . 3 \\%$ accuracy on zero-shot ImageNet classification. Note that this result is $2 . 0 \\%$ higher than the previous best result [100]. The performance gain is consistent on five other robustness benchmarks. After fine-tuning the image encoder (CoAtNet-7) in BASIC-L obtained by Lion, we further achieve a $9 1 . 1 \\%$ top-1 accuracy on ImageNet, which is $0 . 1 \\%$ better than the previous SOTA. ", + "bbox": [ + 173, + 690, + 825, + 829 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.3 Diffusion Model ", + "text_level": 1, + "bbox": [ + 174, + 854, + 325, + 869 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Recently, diffusion models achieve a huge success on image generation [24, 40, 41, 84, 88], so we test the performance of Lion on unconditional image synthesis and multimodal text-to-image generation. ", + "bbox": [ + 174, + 882, + 825, + 911 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/89b6eff3443a0f6f3f22bfa990a6ccb20d3fda691dba5b8f5e6ef104876da253.jpg", + "image_caption": [ + "Figure 4: Imagen text-to-image $6 4 ^ { 2 }$ (Left) and the $6 4 ^ { 2 } 2 5 6 ^ { 2 }$ diffusion models (Right). " + ], + "image_footnote": [], + "bbox": [ + 174, + 95, + 493, + 212 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/55d44bb609c8e215f839802f2b4f533d87cafdc7bd3a59524ab67a4c20b9a9d3.jpg", + "image_caption": [ + "Figure 5: Log perplexity on Wiki-40B (Left) and PG-19 (Right). The speedup brought by Lion tends to increase with the model scale. The largest model on Wiki-40B is omitted as we observe severe overfitting. " + ], + "image_footnote": [], + "bbox": [ + 508, + 90, + 821, + 178 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Image synthesis on ImageNet We utilize the improved U-Net architecture [24] and perform $6 4 \\times 6 4$ , $1 2 8 \\times 1 2 8$ , and $2 5 6 \\times 2 5 6$ image generation on ImageNet. The batch size is 2,048 and the learning rate remains constant throughout training. For decoding, we apply DDPM [41] for 1K sampling steps without classifier-free guidance. The evaluation metric is the standard FID score. Illustrated by Figure 1 (Right) and Figure 7 (Middle and Right) in the Appendix, Lion enables both better quality and faster convergence on the FID score. The gap between Lion and AdamW increases with the image resolution, where the generation becomes more challenging. When generating $2 5 6 \\times 2 5 6$ images, Lion achieves the final performance of AdamW with $2 . 3 \\mathbf { x }$ fewer steps. The final FID scores are 4.1 (Lion) vs. 4.7 (AdamW). For reference, the FID of ADM [24] is 10.94. ", + "bbox": [ + 174, + 270, + 825, + 395 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Text-to-image generation We follow the Imagen [84] setup to train a base $6 4 \\times 6 4$ text-to-image model and a $6 4 \\times 6 4 2 5 6 \\times 2 5 6$ super-resolution model. All models are trained on a highquality internal image-text dataset with a batch size of 2,048 and a constant learning rate. Due to computational constraints, our base U-Net has a width of 192 compared to 512 in the original 2B model, while the 600M super-resolution model is identical to the original Imagen setup. Along with the training, 2K images are sampled from the MSCOCO [56] validation set for real-time evaluation. We use the CLIP score to measure image-text alignment and the zero-shot FID-30K to measure image fidelity. Classifier-free guidance [40] with a weight of 5.0 is applied as it has been shown to improve image-text alignment. Figure 4 depicts the learning curve. While there is no clear improvement on the base $6 4 \\times 6 4$ model, Lion outperforms AdamW on the text-conditional super-resolution model. It achieves a higher CLIP score and has a less noisy FID metric compared to AdamW. ", + "bbox": [ + 174, + 401, + 825, + 554 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4.4 Language Modeling and Fine-tuning ", + "text_level": 1, + "bbox": [ + 176, + 579, + 467, + 594 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "This section focuses on language modeling and fine-tuning. On language-only tasks, we find that tuning $\\beta _ { 1 }$ and $\\beta _ { 2 }$ can improve the quality for both AdamW and Lion. See Appendix M for tuning details. The masked language modeling and fine-tuning results are shown in Appendix J. ", + "bbox": [ + 174, + 607, + 825, + 650 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Autoregressive language modeling We first experiment on two smaller-scale academic datasets Wiki-40B [34] and PG-19 [76]. The employed Transformer spans three scales: small (110M), medium (336M), and large (731M). The architecture details can be found in Appendix E. All models are trained with $2 ^ { 1 8 }$ tokens per batch for 125K steps, with a learning rate schedule of 10K steps warmup followed by linear decay. The context length is set to 512 for Wiki-40B and 1,024 for PG-19. Figure 5 illustrates the token-level perplexity for Wiki-40B and word-level perplexity for PG-19. Lion consistently achieves lower validation perplexity than AdamW. It achieves $1 . 6 \\mathrm { x }$ and $1 . 5 \\mathrm { x }$ speedup when training the medium size model on Wiki-40B and PG-19, respectively. When the model is increased to the large size, the speedup on PG-19 further increases to $2 \\mathbf { x }$ . ", + "bbox": [ + 174, + 656, + 825, + 780 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We then conduct larger experiments with the pre-training dataset similar to GLaM [28]. Following GPT-3 [12], we train three models, from 1.1B to 7.5B parameters, on 300B tokens with a batch size of 3M tokens and a context length of 1K. We evaluate them on three natural language generative (NLG) and 21 natural language understanding (NLU) tasks (see Appendix C for details). We observe no difference in perplexity throughout training. Nevertheless, Lion outperforms Adafactor on the average in-context learning ability, as shown in Table 3. Our 7.5B baseline model, trained for 300B tokens, outperforms the 8B PaLM, trained for 780B tokens, demonstrating the strength of our setup. Lion outperforms Adafactor on both NLG and NLU tasks, particularly on the NLG tasks, with an exact match improvement of $+ 1 . 0$ , $+ 0 . 9$ , and $+ 0 . 6$ for the 1.1B, 2.1B, and 7.5B models, respectively. ", + "bbox": [ + 174, + 786, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 89, + 321, + 106 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Our work lies in the area of AutoML and meta-learning that includes learning to learn [1, 5, 63, 64, 78, 96, 97], neural architecture search [14, 15, 57, 71, 79, 87, 93, 94, 98, 106] and hyperparameter optimization [25, 43, 44, 55], etc. There is also a long history of using evolutionary methods to search for programs, i.e., genetic programming [11, 42, 49]. Our approach builds upon a symbolic search space similar to AutoML-Zero [70, 80]. However, instead of discovering programs with fixed dimensional matrices, vector, and scalars for toy tasks, our goal is to develop programs that operate on n-dimensional arrays and can generalize to state-of-the-art tasks. Other related works include numerous handcrafted optimizers [2, 7, 27, 29, 35, 48, 58, 61, 82, 83, 86, 105]. ", + "bbox": [ + 174, + 121, + 825, + 232 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 252, + 299, + 268 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This paper aims at discovering optimization algorithms via program search. Despite the challenges from an infinite and sparse space, and large generalization gap between the proxy and target tasks, our method discovers a simple and effective optimizer, Lion, that is memory-efficient and achieves strong generalization across architectures, datasets and tasks. ", + "bbox": [ + 174, + 284, + 825, + 339 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgements ", + "text_level": 1, + "bbox": [ + 176, + 361, + 338, + 377 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We would like to thank (in alphabetical order) Angel Yu, Boqing Gong, Chen Cheng, Chitwan Saharia, Daiyi Peng, David So, Hanxiao Liu, Hanzhao Lin, Jeff Lund, Jiahui Yu, Jingru Xu, Julian Grady, Junyang Shen, Kevin Regan, Li Sheng, Liu Yang, Martin Wicke, Mingxing Tan, Mohammad Norouzi, Qiqi Yan, Rakesh Shivanna, Rohan Anil, Ruiqi Gao, Steve Li, Vlad Feinberg, Wenbo Zhang, William Chan, Xiao Wang, Xiaohua Zhai, Yaguang Li, Yang Li, Zhuoshu Li, Zihang Dai, Zirui Wang for helpful discussions, and the Google Brain team at large for providing a supportive research environment. 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", + "bbox": [ + 173, + 220, + 821, + 250 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Acknowledgments and Disclosure of Funding ", + "text_level": 1, + "bbox": [ + 174, + 275, + 553, + 292 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Use unnumbered first level headings for the acknowledgments. All acknowledgments go at the end of the paper before the list of references. Moreover, you are required to declare funding (financial activities supporting the submitted work) and competing interests (related financial activities outside the submitted work). More information about this disclosure can be found at: https: //neurips.cc/Conferences/2023/PaperInformation/FundingDisclosure. ", + "bbox": [ + 174, + 306, + 825, + 376 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Do not include this section in the anonymized submission, only in the final paper. You can use the ack environment provided in the style file to autmoatically hide this section in the anonymized submission. ", + "bbox": [ + 174, + 382, + 825, + 424 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/bbf57fbf62c27a91b6b16a280503660f2b851f5332097793daec328042ef2561.jpg", + "table_caption": [ + "Table 4: Model performance when pre-trained on JFT-300M then fine-tuned on ImageNet. Those numbers correspond to Figure 1 (Left) and Figure 3. The fine-tuning resolution is $3 8 4 ^ { 2 }$ for ViT-B/16 and ViT-L/16, and $3 9 2 ^ { 2 }$ for ViT-H/14. Following Dosovitskiy et al. [26], Polyak averaging is not applied here. " + ], + "table_footnote": [], + "table_body": "
Model#ParamsEpochs /StepsOptimizerImageNetReaLV2AR
ViT-B/1638486.86M7 / 517,791AdamW Lion84.24 84.7289.04 89.1474.89 75.8327.39 29.6553.71 55.86
ViT-L/16384304.72M7 / 517,791AdamW Lion86.69 87.3289.95 90.4378.03 79.2940.55 47.1364.47 68.49
14 / 1,035,583AdamW Lion87.29 88.0990.11 90.6278.91 80.4842.56 51.5564.34 70.72
ViT-H/14392632.72M14 / 1,035,583AdamW Lion88.02 88.7890.27 90.6880.10 81.4153.14 58.2169.48 73.09
", + "bbox": [ + 176, + 159, + 825, + 309 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/983ecea0f1c3f0180c77beb2f3074aa7bb2401a0299db7edbfb46345b51ad0e6.jpg", + "table_caption": [ + "Table 5: Model performance when pre-trained on JFT then fine-tuned on ImageNet. Two giant ViT models are pre-trained on JFT-3B while smaller ones are pre-trained on JFT-300M. The ViT-G/14 results are directly from Zhai et al. [102]. " + ], + "table_footnote": [ + "⋆ We observe overfitting in fine-tuning, therefore report both the last and oracle results. " + ], + "table_body": "
ModelViT-L/16512ViT-H/14518ViT-g/14518ViT-G/14518
#Params305.18M633.47M1.04B1.88B
OptimizerAdamWLionAdamWLionAdafactorLionAdafactorLion
ImageNet87.7288.5088.5589.0990.2590.5290.4590.71/ 90.71*
ReaL90.4690.9190.6291.0290.8491.1190.8191.06 / 91.25*
V279.8081.1381.1282.2483.1083.3983.3383.54 / 83.83*
A52.7258.8060.6463.78-1-
R66.9572.4972.3075.0711-=
", + "bbox": [ + 189, + 380, + 807, + 500 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "A Pseudocode for AdamW and Lion ", + "text_level": 1, + "bbox": [ + 176, + 540, + 491, + 558 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Algorithm 1 AdamW Optimizer ", + "text_level": 1, + "bbox": [ + 173, + 588, + 390, + 603 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/bebbcf3ef9c57d8a1bebe4ffdc044e223bd37b52fc1aaa796101f01750633b8c.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Algoritnm1 AdamW Optimizer given β1, β2, ∈, 入,n, f initialize 0o,mo ←O,vo ←O,t ←0 while 0t not converged do t↑t+1
gt←Vθf(0t-1) update EMA of gt and g²
mt ← βimt-1+(1-βi)gt Ut←β2Ut-1+(1-β2)g²
bias correction mt ← mt/(1-βt)
Ut←Ut/(1-β) update model parameters 0t←0t-1-nt(mt/(√ut+∈)+λ0t-1)
", + "bbox": [ + 173, + 593, + 488, + 819 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/f565f750863715fb4cc4ab6f401a3b985576a78dacafeafa28309275ea406dc3.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Algorithm 2 Lion Optimizer (ours)
given β1, β2, λ, n, f initialize0o,mo←0 while θt not converged do gt ←Vef(0t-1)
update model parameters Ct ←βimt-1+(1-βi)gt 0t←0t-1-nt(sign(ct)+入0t-1)
update EMA of gt
mt ← β2mt-1+(1-β2)gt
return 0t
end while
", + "bbox": [ + 508, + 614, + 820, + 791 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "B Image Classification Tasks ", + "text_level": 1, + "bbox": [ + 176, + 837, + 429, + 854 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Our evaluation covers various benchmarks: ImageNet, ImageNet ReaL [8], ImageNet V2 [81], ImageNet A [39], ImageNet R [38], ImageNet Sketch [92], ObjectNet [4], CIFAR-100 [50], and Oxford-IIIT Pet [69]. ", + "bbox": [ + 174, + 869, + 826, + 911 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/62f45223784b42ff05a2bc2c376fa26542cddb0ad593b0bbe83cba37ba110021.jpg", + "image_caption": [ + "Figure 6: Zero-shot image-text retrieval results on MSCOCO (Top) and Flickr30K (Bottom) for LiT-B/16-B. Recall $@ \\mathbf { K }$ is calculated based on if the ground truth label of the query appears in the top-K retrieved examples. " + ], + "image_footnote": [], + "bbox": [ + 173, + 87, + 825, + 271 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "C NLP Tasks ", + "text_level": 1, + "bbox": [ + 174, + 344, + 300, + 361 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "This section shows all the natural language generation (NLG) and natural language understanding (NLU) tasks where we evaluate the large-scale language models in Section 4.4. Those tasks include Open-Domain Question Answering, Cloze and Completion Tasks, Winograd-Style Tasks, Common Sense Reasoning, In-Context Reading Comprehension, SuperGLUE, and Natural Language Inference. ", + "bbox": [ + 176, + 376, + 825, + 433 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "• NLG: TriviaQA [45], Natural Questions [51], Web Questions [6]. • NLU: HellaSwag [101], StoryCloze [66], Winograd [53], Winogrande [85], RACE [52], PIQA [9], ARC [19], OpenbookQA [65], BoolQ [18], Copa [33], RTE [20], WiC [73], Multirc [47], WSC [53], ReCoRD [104], CB [22], Adversarial NLI [68]. ", + "bbox": [ + 217, + 444, + 828, + 507 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Program 5: Algorithm with a better regularization. It dynamically calculates the dot product between the weight and gradient, before computing the weight decay. ", + "bbox": [ + 173, + 541, + 359, + 625 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "def train(w, g, m, v, lr): $\\mathtt { m } =$ interp(m, g, 0.16) $\\mathtt { g 2 } \\ =$ square $( \\mathfrak { g } )$ $\\tau =$ interpolate(v, g2, 0.001) $\\boldsymbol { \\mathrm { v } } 7 5 3 \\ = \\ \\operatorname* { d o t } \\left( \\mathrm { g } , \\mathrm { ~ w } \\right)$ sqrt_ $\\begin{array} { r l } { \\triangledown } & { { } = } \\end{array}$ sqrt(v) update $= \\texttt { m } /$ sqrt_v $\\mathtt { w d } \\ = \\ \\mathtt { v } 7 5 3 \\ * \\ \\mathtt { w }$ update $=$ sin(update) update $=$ update $^ +$ wd ${ \\bf 1 } { \\bf r } \\ = \\ { \\bf 1 } { \\bf r } \\ * \\ 0 . 0 2 1 6$ update $=$ update $^ *$ lr $\\mathtt { v } \\ = \\ \\mathtt { s i n } ( \\mathtt { v } )$ return update, m, v ", + "bbox": [ + 174, + 631, + 361, + 785 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Program 6: Algorithm that tracks the second moment without EMA decay, which is the same as AdaGrad. ", + "bbox": [ + 436, + 541, + 602, + 609 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "def train(w, g, m, v, lr): $\\mathtt { m } =$ interp(m, g, 0.1) $\\mathtt { g 2 } \\ =$ square(g) $\\mathtt { g } 2 \\ = \\texttt { v } + \\ \\mathtt { g } 2$ $\\begin{array} { r l } { \\triangledown } & { { } = } \\end{array}$ interp(v, g2, 0.0015) sqrt_v $=$ sqrt(v) update $=$ m / sqrt_v $\\mathtt { v } 7 0 \\ =$ get_pi() $\\mathtt { v } = \\mathtt { m i n } ( \\mathtt { v } , \\ \\mathtt { v } 7 0 )$ ) update $=$ sinh(update) ${ \\bf 1 } { \\bf r } \\ = \\ { \\bf 1 } { \\bf r } \\ * \\ 0 . 0 6 0 6$ update $=$ update $\\ast \\_ \\mathrm { ~ \\bot r ~ }$ return update, m, $\\boldsymbol { \\tau }$ ", + "bbox": [ + 436, + 616, + 599, + 760 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Program 7: Algorithm uses the difference between gradient and momentum to track the second moment, resembling AdaBelief. ", + "bbox": [ + 679, + 541, + 846, + 623 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "def train(w, g, m, v, lr): $\\textrm { \\textmu m } =$ interp(m, g, 0.1) $\\tt { g } = \\tt { g } - \\tt { m }$ $\\mathtt { g 2 } \\ =$ square ${ \\bf \\Pi } ( { \\bf g } )$ $\\begin{array} { r l } { \\mathfrak { v } } & { { } = } \\end{array}$ interp(v, $\\mathtt { g 2 }$ , 0.001) sqrt_v $=$ sqrt(v) update $= \\texttt { m } /$ sqrt_v $\\mathtt { w d } \\ = \\ \\mathtt { w } \\ * \\ 0 . 0 2 3 8$ update $=$ update $^ +$ wd $\\mathbf { 1 r } \\ = \\ \\mathbf { 1 r } \\ * \\ 0 . 0 3 7 2 1$ update $=$ update $\\ast \\_ \\pm \\tau$ return update, m, v ", + "bbox": [ + 679, + 631, + 838, + 762 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "D Other Discovered Programs ", + "text_level": 1, + "bbox": [ + 176, + 809, + 442, + 827 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "By varying the task setting, different types of algorithms can be discovered. For example, if we reduce the amount of data in the proxy task, we are more likely to discover algorithms with better regularization (Program 5), and if we reduce the search progress, we are likely to find simple variants of AdamW (Program 6 and 7). Future work can explore this potential to discover optimizers specialized for different tasks. ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/e09e466b72653bf5345436048ab26c4cf3f9212bfcdf9cb8b73afd003d7d31e3.jpg", + "image_caption": [ + "Figure 7: The zero-shot ImageNet accuracy curve of LiT-B/16-B (Left). FID comparison on $6 4 \\times 6 4$ (Middle) and $1 2 8 \\times 1 2 8$ (Right) image generation when training diffusion models. " + ], + "image_footnote": [], + "bbox": [ + 218, + 89, + 779, + 193 + ], + "page_idx": 20 + }, + { + "type": "table", + "img_path": "images/da32b88ee6d1fde34d61f404b214c743b61311956ac58fa892cb434906b60f54.jpg", + "table_caption": [ + "Table 6: Architecture details for language modeling. " + ], + "table_footnote": [], + "table_body": "
Model#Paramsnlayersdmodelnheadsdhead
Small-scale
Small110M127681264
Medium336M2410241664
Large731M2415361696
Large-scale
1.1B1.07B2415361696
2.1B2.14B32204816128
7.5B7.49B32409632128
", + "bbox": [ + 176, + 281, + 532, + 422 + ], + "page_idx": 20 + }, + { + "type": "table", + "img_path": "images/6b876ffda56e7591e6163a50e8f8e7376eb43ad837f2a3e84e1d97fb4ecbfa8f.jpg", + "table_caption": [ + "Table 7: Training error and landscape flatness $\\mathbf { \\bar { \\mathbf { L } } } _ { t r a i n } ^ { \\mathcal { N } }$ train of ViT-B/16 trained from scratch on ImageNet. " + ], + "table_footnote": [], + "table_body": "
OptimizerAdamWLion
ImageNet75.4877.44
ReaL80.6482.57
V261.8764.81
Ltrain0.610.75
Lrain3.741.37
", + "bbox": [ + 586, + 319, + 785, + 415 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "E Architecture Details for Language Modeling ", + "text_level": 1, + "bbox": [ + 173, + 458, + 578, + 476 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Table 6 shows the Transformer architecture details for language modeling (Section 4.4). The dimension of the feed-forward layer is $4 \\times d _ { m o d e l }$ . We use vocabulary size 32K for small-scale and 256K for large-scale models. ", + "bbox": [ + 173, + 497, + 826, + 540 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "F Details of Proxy Tasks ", + "text_level": 1, + "bbox": [ + 174, + 570, + 393, + 588 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "For vision tasks, we train a ViT with three layers, 96 hidden units and three heads, on $10 \\%$ ImageNet for 30k steps with batch size 64. The image size is $6 4 \\times 6 4$ and the patch size is 16. For language tasks, we train a Transformer with two layers, 128 hidden units and two heads on LM1B [13] for 20K steps with batch size 64, sequence length 32 and vocabulary size 3K. The evaluation time may vary for different programs, but typically a evaluation can be done on one TPU V2 chip within $2 0 \\mathrm { { m i n } }$ . The validation accuracy or perplexity is used as the fitness. ", + "bbox": [ + 173, + 609, + 826, + 694 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/d4f568962fac842f9e71226c493b0d790c1a8b0a3f770120ac73f4d9c6a53115.jpg", + "image_caption": [ + "Figure 8: Learning curve of ViT-S/16 (Left) and ViT-B/16 (Right) associated with Table 10. The curves of the five adaptive optimizers are similar to each other. " + ], + "image_footnote": [], + "bbox": [ + 214, + 728, + 782, + 872 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/4b25ab843a6b0560b6ccc34d1ca324f324574713e5acc61679f852f8da69a030.jpg", + "image_caption": [ + "Figure 9: Left: Validation perplexity when we perform masked language modeling on the C4 dataset. Right: Training loss of ViT-B/16 on ImageNet. " + ], + "image_footnote": [], + "bbox": [ + 215, + 90, + 782, + 233 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "G Analysis of Loss Landscape ", + "text_level": 1, + "bbox": [ + 176, + 310, + 441, + 328 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "In this section, we try to understand why our Lion optimizer achieves better generalization than AdamW from the lens of loss geometry. The convergence to a smooth landscape has been shown to benefit the generalization of deep neural networks [14, 16, 30, 46]. Following Chen et al. [16], we measure the landscape flatness at convergence by LNtrain = Eϵ∼N [Ltrain(w + ϵ)] (average over 1K random noises) in Table 7. We observe that the ViT-B/16 trained by AdamW enjoys a smaller training error $L _ { t r a i n }$ . However, Lion can enable ViT to converge to flatter regions, as it helps the model retain comparably lower error against Gaussian perturbations. ", + "bbox": [ + 173, + 353, + 825, + 450 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "H Available Functions ", + "text_level": 1, + "bbox": [ + 174, + 488, + 375, + 506 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "We include 43 available functions that can be used in the program during search. Note that the input of the functions can be one $\\mathbf { n }$ -dimensional array, dictionaries or lists of arrays, similar to the pytrees in JAX. ", + "bbox": [ + 174, + 531, + 575, + 587 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Basic math functions from NumPy / JAX This includes unary functions like abs, cos, sin, tan, arcsin, arccos, arctan, exp, log, sinh, cosh, tanh, arcsinh, arccosh, arctanh, sign, exp2, exp10, expm1, log10, log2, log1p, square, sqrt, cube, cbrt, sign, reciprocal and binary functions like $+ , - , * , /$ , power, maximum, minimum with the same semantic as the corresponding function in NumPy / JAX. ", + "bbox": [ + 174, + 593, + 576, + 690 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Linear algebra functions commonly used in first-order optimization algorithms This includes: (1) unary function norm that computes the norm of each arrays in the input; (2) unary function global_norm that computes the global norm by treating all the numbers in the input as one vector; (3) binary function dot that treats the two inputs as two vectors and computes their dot product; (4) binary function cosine_sim that treats the two inputs as two vectors and computes their cosine similarity; (5) binary clip_by_global_norm (clip) that clips the global norm of the first input to the value of the ", + "bbox": [ + 174, + 696, + 575, + 835 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Program 8: Raw program of Lion before removing redundent statements. ", + "bbox": [ + 588, + 532, + 825, + 560 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "def train(w, g, m, v, lr): \n$\\mathtt { g } = \\mathtt { c l i p } ( \\mathtt { g }$ , lr) \n$\\mathtt { m } \\ = \\ \\mathtt { c l i p } ( \\mathtt { m } , \\ \\mathtt { l r } )$ \n$\\mathtt { v 8 4 5 } ~ =$ sqrt(0.6270633339881897) \n$\\mathtt { v 9 6 8 } \\ = \\ \\mathtt { s i g n } ( \\mathtt { v } )$ \n$\\mathtt { v 9 6 8 } \\ = \\texttt { v - v }$ \n$\\ g \\ =$ arcsin(g) \n$\\mathtt { m } =$ interp(g, v, 0.8999999761581421) \n$\\mathtt { v } 1 ~ = ~ \\mathtt { m } ~ * ~ \\mathtt { m }$ \n$\\tau =$ interp(g, m, 1.109133005142212) \n$\\mathtt { v 8 4 5 } ~ =$ tanh(v845) \n$\\mathbf { 1 r } \\ = \\ \\mathbf { 1 r } \\ * \\ 0 . 0 0 0 ^ { \\cdot }$ 2171761734643951 \nupdate $= \\texttt { m * } 1 \\boldsymbol { \\mathbf { r } }$ \n$\\mathtt { v 1 } \\ = \\ \\mathtt { s q r t } ( \\mathtt { v 1 } )$ \nupdate $=$ update / v1 \nwd $=$ lr \\* 0.4601978361606598 \n$\\boldsymbol { \\nabla } \\boldsymbol { 1 } \\ =$ square(v1) \nwd $=$ wd \\* w \n$\\mathtt { m } =$ cosh(update) \n$\\begin{array} { r l } { { 1 } \\mathbf { r } } & { { } = } \\end{array}$ tan(1.4572199583053589) \nupdate $=$ update $^ +$ wd \n$\\begin{array} { r l } { { 1 } \\mathbf { r } } & { { } = } \\end{array}$ cos(v845) \nreturn update, m, v ", + "bbox": [ + 596, + 564, + 816, + 820 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "second input that is required to be a scalar; (6) ternary function interpolate (interp) that uses the third argument a, required to be a scalar, to compute a linear interpolation of the first two arguments $\\mathtt { x }$ and y with $( 1 - \\mathsf { a } ) \\ast \\texttt { x } + \\texttt { a } \\ast \\texttt { y }$ ", + "bbox": [ + 174, + 835, + 825, + 877 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Functions producing commonly used constants This includes get_pi, get_e, get_eps that generates $\\pi$ , $e$ and $\\epsilon = 1 0 ^ { - 8 }$ respectively. ", + "bbox": [ + 174, + 883, + 821, + 911 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/e98370b7ea174b99a859f3bf9644dffc0cffae7f59be17476d32d7ae8aa7790e.jpg", + "image_caption": [ + "Figure 10: Left: Ablation for the effect of batch size. Lion prefers a larger batch than AdamW. ImageNet accuracy of ViT-B/16 trained from scratch when we vary $l r$ and $\\lambda$ for AdamW (Middle) and Lion (Right). Lion is more robust to different hyperparameter choices. " + ], + "image_footnote": [], + "bbox": [ + 205, + 89, + 794, + 196 + ], + "page_idx": 22 + }, + { + "type": "image", + "img_path": "images/932b499bb2b279632ec309a3171fab683ba7733872610d95a4d40688f7a4f88f.jpg", + "image_caption": [ + "Figure 11: Left: The meta-validation (defined in Section 2.3) curves of two search runs measured on a ${ \\sim } 5 0 0 \\mathrm { x }$ larger meta-validation task compared to the proxy. The blue one meta-overfits at ${ \\sim } 1 5 \\%$ of the search progress, while the orange one meta-overfits at ${ \\sim } 9 0 \\%$ and achieves a better metric. Right: Histogram of the search progress when meta-overfitting happens based on 50 runs. Half of the runs meta-overfit early but a long tail of runs meta-overfit much later. Blue cross depicts the best meta-validation metric averaged within each bin, indicating that meta-overfitting happening later leads to programs that generalize better. " + ], + "image_footnote": [], + "bbox": [ + 194, + 258, + 803, + 366 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "I Abstract Execution ", + "text_level": 1, + "bbox": [ + 174, + 493, + 364, + 511 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "We propose to prune the large search space with abstract execution. Our approach is motivated by the fact that a large number of programs are invalid, functionally equivalent, or contain redundant statements that waste compute during evaluation. To address this, we introduce an abstract execution step that checks the type and shape of each variable, and computes a hash for each unique computation from inputs to outputs to detect redundant statements. The abstract execution can be seen as a static analysis of the program, achieved by replacing functions and inputs with customized values. We outline the specifics of the customized values and abstract execution procedure for three use cases below. The cost of the abstract execution is usually negligible compared to the actual execution. ", + "bbox": [ + 173, + 525, + 825, + 636 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Detecting errors with type / shape inference To detect programs containing errors, we infer the type and shape of each variable in the program through the following steps: (1) replace each input with an abstract object that only contains type and shape information, and replace each statement with a type and shape inference function; (2) iterate through all statements. Instead of executing the original statement, we validate a function call by checking the function signature and type and shape information of its arguments. If valid, we compute the type and shape information of the output and assign it to the new variable; (3) verify the validity of the derived type and shape of the output. This process essentially performs a static analysis of the program, exposing errors caused by type and shape mismatch. Note that there are still run-time errors, such as division by zero, that cannot be detected in this manner. Without such filtering of invalid programs, the search would be overwhelmed with invalid programs, making it difficult to achieve meaningful progress. ", + "bbox": [ + 173, + 642, + 825, + 699 + ], + "page_idx": 22 + }, + { + "type": "image", + "img_path": "images/7d61381070f0c2305256a9b314bdf8b4bcf25b92b55e15c1b8f10ea749da9b35.jpg", + "image_caption": [ + "Figure 12: Log perplexity of the small (Left), medium (Middle), and large (Right) size Transformer on PG-19. Since $\\beta _ { 1 } = 0 . 9 5$ , $\\beta _ { 2 } = 0 . 9 8$ in Lion when performing language modeling, we compare to Ablation0.95 and Ablation0.98 with $\\beta = 0 . 9 5$ and $\\beta = 0 . 9 8$ , respectively (see Section L for the definition). Lion is still the best-performing one. " + ], + "image_footnote": [], + "bbox": [ + 173, + 720, + 823, + 844 + ], + "page_idx": 22 + }, + { + "type": "table", + "img_path": "images/45a431ae13b6b39da5fa1082c82b372d44899f3a6e461ad1d4d2ec7ca50b608c.jpg", + "table_caption": [ + "Table 8: Accuracy on ImageNet, ImageNet ReaL, and ImageNet V2. Numbers in (·) are from Dai et al. [21], Dosovitskiy et al. [26]. Results are averaged from three runs. " + ], + "table_footnote": [], + "table_body": "
Model#ParamsOptimizerRandAug + MixupImageNetReaLV2
Train from scratch on ImageNet
ResNet-5025.56MSGD AdamW76.2282.3963.93
Lion×76.3482.7264.24
Mixer-S/1618.53MAdamW76.4582.7264.02
Lion×69.26 69.9275.71 76.1955.01 55.75
Mixer-B/1659.88MAdamW×68.1273.9253.37
Lion70.1176.6055.94
ViT-S/1622.05MAdamWX76.1281.9463.09
Lion76.7082.6464.14
AdamW78.89 「 79.4684.6166.73
Lion AdamW75.4885.25 80.6467.68
ViT-B/1686.57MLionX √77.4482.5761.87 64.81
AdamW80.1285.4668.14
Lion80.7786.1569.19
AdamW83.36 (83.3)-
42.23MLion AdamW√84.07-- -
CoAtNet-3166.97M Lion√84.45 (84.5) 84.87==
Pre-train on ImageNet-21K then fine-tune on ImageNet
ViT-B/1638486.86MAdamW LionX84.12 (83.97) 84.4588.61 (88.35) 88.8473.81 74.06
ViT-L/16384304.72MAdamW LionX85.07 (85.15) 85.5988.78 (88.40) 89.3575.10 75.84
", + "bbox": [ + 222, + 131, + 774, + 546 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 579, + 825, + 678 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Deduplicating with functional hash Among the valid programs that execute without errors, there are still lots of duplicates due to functionally equivalent programs that have different surface forms but the same underlying functionality. To address this issue, we calculate a functional hash value for every unique computation from the inputs to the outputs as follows: (1) a unique hash value is assigned to each input and function; (2) iterate through all statements, calculating the hash value of the outputs by combining the hash values of the functions and arguments; (3) compute the hash value of program by combining the hash values of all outputs. We then build a hash table that maps each unique functional hash value to the fitness of the corresponding program. When a new program is generated, we first look up its hash value and only perform evaluation if it is not found or if we want to evaluate it multiple times to reduce measurement noise. In our experiments, this technique reduces the search cost by ${ \\sim } 1 0 \\mathbf { x }$ , as depicted in Figure 2 (Right). ", + "bbox": [ + 173, + 683, + 825, + 835 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Identifying redundant statements by tracking dependencies In program evolution, redundant statements are included to enable combining multiple mutations to make larger program changes. However, these redundant statements increase the evaluation cost and make program analysis more challenging. To identify redundant statements, we need to determine the set of statements that the outputs depend on, which can be computed in a recursive manner using the following steps: (1) ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 23 + }, + { + "type": "table", + "img_path": "images/21dff6817b875644ed0eba2a09c791eada9b04b09a86a6fde8f4ed2e6a915a5d.jpg", + "table_caption": [ + "Table 9: Fine-tuning performance of the T5 Base, Large, and 11B on the GLUE dev set. Results reported are the peak validation scores per task. " + ], + "table_footnote": [], + "table_body": "
ModelOptimizerCoLASST-2MRPCSTS-BQQPMNLI -mMNLI -mmQNLIRTEAvg
BaseAdamW Lion60.87 61.0795.18 95.1892.39 /89.22 92.52/89.4690.70 /90.51 90.61/90.4089.23/92.00 89.52 /92.2086.77 87.2786.91 87.2593.70 93.8581.59 85.5687.42 87.91
LargeAdamW Lion63.89 65.1296.10 96.2293.50 /90.93 94.06 /91.6791.69 /91.56 91.79 /91.6090.08 /92.57 90.23 / 92.6789.69 89.8589.92 89.9494.45 94.8989.17 90.2589.46 89.86
11BAdamW Lion69.50 71.3197.02 97.1393.75/91.18 94.58 / 92.6592.57 /92.61 93.04 /93.0490.45 /92.85 90.57 /92.9592.17 91.8891.99 91.6596.41 96.5692.42 93.8691.08 91.60
", + "bbox": [ + 176, + 131, + 825, + 234 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "replace the value of each input with an empty set, as they do not depend on any statement; (2) iterate through each statement. Note that each statement is an assignment that calls a function and assigns the result to a variable, which in turn depends on the current statement and all the depending statements of the function arguments. Therefore we replace the value of the variable with its dependency, i.e., a set of all depending statements; (3) compute the union of all statements that each output depends on, which contains all non-redundant statements. By filtering out redundant statements, we obtain a simplified version of the program that is cheaper to execute and easier to analyze. In our experiments, this reduces the program length by ${ \\sim } 3 \\mathbf { x }$ on average, as shown in Figure 2 (Right). ", + "bbox": [ + 173, + 262, + 825, + 375 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "J Masked Language Modeling and Fine-tuning ", + "text_level": 1, + "bbox": [ + 174, + 393, + 583, + 411 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Masked language modeling We also perform BERT training on the C4 dataset [77]. It requires the language models to reconstruct randomly masked out tokens in the input sequence. We use the same architectures and training setups as the smaller-scale autoregressive experiments. Lion performs slightly better than AdamW regarding the validation perplexity: 4.18 vs. 4.25 (small), 3.42 vs. 3.54 (medium), and 3.18 vs. 3.25 (large). See Figure 9 (Left) in the Appendix for the learning curves. ", + "bbox": [ + 174, + 426, + 825, + 496 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Fine-tuning We fine-tune Base (220M), Large (770M), and the largest 11B T5 [77] on the GLUE benchmark [91]. Every model is fine-tuned for 500K steps with a batch size of 128 and a constant learning rate. Table 9 shows the results on the GLUE dev set. For MRPC and QQP, we report the F1 / Accuracy scores, for STS-B, we report the Pearson / Spearman correlation, and for the other datasets, we report their default metric. On average, Lion beats AdamW across all three model scales. It achieves 10, 12, and 10 wins out of 12 scores for T5 Base, Large, and 11B models, respectively. ", + "bbox": [ + 174, + 502, + 825, + 585 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "K Comparison with Other Popular Optimizers ", + "text_level": 1, + "bbox": [ + 174, + 606, + 581, + 623 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "We also employ four popular handcrafted optimizers: RAdam [58], NAdam [27], AdaBelief [105], AMSGrad [82] and two optimizers discovered by AutoML: PowerSign [5] and AddSign [5] to train ViT-S/16 and ViT-B/16 on ImageNet (with RandAug and Mixup). We thoroughly tune the peak learning rate lr and decoupled weight decay $\\lambda$ [60] of every optimizer, while other hyperparameters are set as the default values in Optax.2 As shown in Table 10, Lion is still the best performing one. We notice that there is no clear winner amongst the baselines. AMSGrad performs the best on ViT-S/16 but the worst on ViT-B/16. The inferior performance of PowerSign and AddSign compared to other optimizers is consistent with previous observations that automatically discovered optimizers have difficulty generalizing to real-world learning tasks. Figure 8 further shows that the learning curves of the five adaptive optimizers are pretty similar, whereas Lion has a unique one that learns faster. ", + "bbox": [ + 173, + 637, + 825, + 776 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "L Ablations ", + "text_level": 1, + "bbox": [ + 174, + 796, + 289, + 814 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Momentum tracking To ablate the effects of both $\\beta _ { 1 }$ and $\\beta _ { 2 }$ , we compare to a simple update rule: $\\textrm { \\textmu m } =$ interp(g, m, $\\beta \\mathrm { \\hbar }$ ); update $=$ sign(m). Two optimizers, Ablation $_ { \\cdot 0 . 9 }$ and Ablation0.99, are created with $\\beta$ values of 0.9 and 0.99 respectively. Illustrated by Table 10, the two ablated optimization algorithms perform worse than all five compared baselines, let alone our Lion. Further ablation studies on the language modeling task (as depicted in Figure 12 in the Appendix) yield similar conclusions. Those results validate the effectiveness and necessity of using two linear interpolation functions, letting Lion to remember longer gradient history meanwhile assign a higher weight to the current gradient. ", + "bbox": [ + 174, + 829, + 825, + 885 + ], + "page_idx": 24 + }, + { + "type": "table", + "img_path": "images/39b641134fc604237137700895bb1e34b24d98f4a35b7aa5f3723b9197c9e9a4.jpg", + "table_caption": [ + "Table 10: The performance of various optimizers to train ViT-S/16 and ViT-B/16 on ImageNet (with RandAug and Mixup). Lion is still the best performing one. " + ], + "table_footnote": [], + "table_body": "
ModelTaskAdamWRAdamNAdamAda- BeliefAMSGradPower- SignAdd- SignAblationo.9Ablationo.99Lion
ViT-S/16ImageNet78.8978.5978.9178.7179.0177.3677.3778.2378.1979.46
ReaL84.6184.4784.6284.5685.0183.3983.3684.2884.1785.25
V266.7366.3966.0266.3566.8265.1764.5266.1365.9667.68
ImageNet80.1280.2680.3280.2979.8578.9578.5079.5479.9080.77
ViT-B/16ReaL85.4685.4585.4485.4885.1684.7684.4985.1085.3686.15
V268.1467.7668.4668.1968.4867.4665.9568.0768.2069.19
", + "bbox": [ + 176, + 131, + 825, + 228 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 261, + 825, + 318 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Effect of batch size Some may question whether Lion requires a large batch size to accurately determine the direction due to the added noise from the sign operation. To address this concern, we train a ViT-B/16 model on ImageNet using various batch sizes while maintaining the total training epoch as 300, and incorporating RandAug and Mixup techniques. As shown in Figure 10 (Left), the optimal batch size for AdamW is 256, while for Lion is 4,096. This indicates that Lion indeed prefers a larger batch size, but its performance remains robust even with a small 64 batch size. Furthermore, when the batch size enlarges to 32K, leading to only 11K training steps, Lion achieves a significant $2 . 5 \\%$ accuracy gain over AdamW ( $7 7 . 9 \\%$ vs. $7 5 . 4 \\%$ ), demonstrating its effectiveness in the large batch training setting. ", + "bbox": [ + 173, + 323, + 825, + 449 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "M Hyperparameter Tuning ", + "text_level": 1, + "bbox": [ + 176, + 474, + 419, + 492 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "To ensure a fair comparison, we tune the peak learning rate $l r$ and decoupled weight decay $\\lambda$ for both AdamW (Adafactor) and our Lion using a logarithmic scale. The default values for $\\beta _ { 1 }$ and $\\beta _ { 2 }$ in AdamW are set as 0.9 and 0.999, respectively, with an $\\epsilon$ of $1 e - 8$ , while in Lion, the default values for $\\beta _ { 1 }$ and $\\beta _ { 2 }$ are discovered through the program search process and set as 0.9 and 0.99, respectively. We only tune those hyperparameters in Section 4.4, where $\\beta _ { 1 } = 0 . 9$ , $\\beta _ { 2 } = 0 . 9 9$ in AdamW, and $\\beta _ { 1 } = 0 . 9 5$ , $\\beta _ { 2 } = 0 . 9 8$ in Lion. In our experience, reducing $\\beta _ { 2 }$ results in shorter memorization of historical information and enhanced training stability. Additionally, the $\\epsilon$ in AdamW is set as $1 e - 6$ instead of the default $1 e - 8$ as it improves stability in our experiments, similar to the observations in RoBERTa [59]. ", + "bbox": [ + 173, + 510, + 825, + 636 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "The update generated by Lion is an element-wise binary $\\pm 1$ , as a result of the sign operation, therefore it has a larger norm than those generated by other optimizers. Based on our experience, $a$ suitable learning rate for Lion is typically 3-10x smaller than that for AdamW. Note that the initial value, peak value, and end value of the learning rate should be changed simultaneously with the same ratio compared to AdamW. We do not modify other training settings such as the learning rate schedule, gradient and update clipping. Since the effective weight decay is ${ \\tt 1 r } * \\lambda$ : update $+ = \\texttt { w }$ $\\ast \\lambda$ ; update $\\ast = ~ 1 \\tau$ , the value of $\\lambda$ used for Lion is 3-10x larger than that for AdamW in order to maintain a similar strength. For instance, ", + "bbox": [ + 173, + 641, + 825, + 753 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "• $l r = 1 e - 4$ , $\\lambda = 1 0 . 0$ in Lion and $l r = 1 e - 3$ , $\\lambda = 1 . 0$ in AdamW when training ViT-B/16 on ImageNet with strong augmentations, \n• $l r = 3 e - 5$ , $\\lambda = 0 . 1$ in Lion and $l r = 3 e - 4$ , $\\lambda = 0 . 0 1$ in AdamW for diffusion models, \n• $l r = 1 e - 4$ , $\\lambda = 0 . 0 1$ in Lion and $l r = 1 e - 3$ , $\\lambda = 0 . 0 0 1$ in Adafactor for the 7.5B language modeling. ", + "bbox": [ + 217, + 758, + 825, + 829 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Please see Table 12 (in the Appendix) for all hyperparameters. ", + "bbox": [ + 174, + 834, + 581, + 849 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Apart from the peak performance, the sensitivity to hyperparameters and the difficulty in tuning them are also critical for the adoption of an optimizer in practice. In Figure 10 (Middle and Right), we alter both $l r$ and $\\lambda$ when training ViT-B/16 from scratch on ImageNet. Suggested by the heatmaps, Lion is more robust to different hyperparameter choices compared to AdamW. ", + "bbox": [ + 176, + 856, + 825, + 911 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "N Limitations ", + "text_level": 1, + "bbox": [ + 173, + 88, + 307, + 106 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Limitations of search Despite the efforts to make the search space less restrictive, it remains inspired by the popular first-order optimization algorithms, leading to a bias towards similar algorithms. It also lacks the functions required to construct advanced second-order algorithms [2, 35, 62]. The search cost is still quite large and the algorithm simplification requires manual intervention. Further reducing the bias in the search space to discover more novel algorithms and improving the search efficiency are important future directions. The current program structure is quite simplistic, as we do not find a good usage of more advanced program constructs such as conditional, loop statements, and defining new functions. Exploring how to incorporate these elements has the potential to unlock new possibilities. ", + "bbox": [ + 173, + 121, + 825, + 244 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Limitations of Lion While we endeavour to evaluate Lion on as many tasks as possible, the assessment is limited to the chosen tasks. On vision tasks, the discrepancies between Lion, AdamW, and momentum SGD are pretty small on ResNets, likely due to the fact that ConvNets are easier to optimize compared to Transformers. The performance gain brought by Lion decreases when strong augmentations are utilized. There are also several tasks where Lion performs similarly to AdamW, including: (1) the Imagen text-to-image base model, (2) the perplexity of autoregressive language model trained on the large-scale internal dataset, which is arguably a more reliable metric the in-context learning benchmarks, and (3) masked language modeling on C4. These tasks have a common characteristic in that the datasets are massive and of high quality, which results in a reduced difference between optimizers. Another potential limitation is the batch size. Though people often scale up the batch size to enable more parallelism, it is likely that Lion performs no better than AdamW if the batch size is small $( < 6 4 )$ . Additional, Lion still requires momentum tracking in bfloat16, which can be expensive for training giant models. One potential solution is to factorize the momentum to save memory. ", + "bbox": [ + 173, + 251, + 825, + 445 + ], + "page_idx": 26 + }, + { + "type": "table", + "img_path": "images/2cf9b5bec05cd7d368cf8abb76e24556c6347c7b0440a77f1e7f4790e0b15831.jpg", + "table_caption": [ + "Table 11: One-shot evaluation on English NLP tasks. TriviaQA, NQs, and WebQs are NLG tasks and the rest are NLU tasks. This corresponds to Table 3 in the main text. " + ], + "table_footnote": [], + "table_body": "
Task1.1B AdafactorLion2.1B AdafactorLion7.5B AdafactorLion6.7B GPT-38B PaLM
#Tokens300B300B780B
TriviaQA (EM)21.525.132.033.447.948.844.448.5
NQs (EM)4.34.86.37.312.312.19.810.6
WebQs (EM)7.56.38.48.712.113.315.112.6
HellaSwag50.750.359.459.368.268.366.568.2
StoryCloze74.874.478.278.381.281.578.778.7
Winograd75.180.281.382.185.384.284.685.3
Winogrande59.760.564.865.771.471.065.868.3
RACE-m52.050.855.153.859.161.354.757.7
RACE-h36.835.440.340.744.543.944.341.6
PIQA69.469.971.372.175.574.576.376.1
ARC-e64.362.069.568.972.472.762.671.3
ARC-c31.232.937.338.043.342.641.542.3
OpenbookQA44.848.048.449.051.452.453.047.4
BoolQ54.356.764.162.973.573.968.764.7
Copa75.078.083.084.085.087.082.082.0
RTE55.652.449.859.263.962.554.957.8
WiC47.647.346.148.150.948.150.347.3
Multirc (F1a)35.944.345.048.844.759.264.550.6
WSC76.575.479.679.386.785.660.681.4
ReCoRD73.473.777.877.781.081.188.087.8
CB46.444.648.244.651.846.433.941.1
ANLI R133.330.132.431.231.534.031.632.4
ANLI R229.831.829.830.632.431.933.931.4
ANLI R329.831.831.431.933.634.233.134.5
11.112.115.6
Avg NLG Avg NLU53.253.956.816.5 57.424.1 61.324.7 61.723.1 58.523.9 59.4
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We", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 353, + 471, + 367 + ], + "spans": [ + { + "bbox": [ + 141, + 353, + 471, + 367 + ], + "score": 1.0, + "content": "leverage efficient search techniques to explore an infinite and sparse program space.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 365, + 470, + 378 + ], + "spans": [ + { + "bbox": [ + 141, + 365, + 470, + 378 + ], + "score": 1.0, + "content": "To bridge the large generalization gap between proxy and target tasks, we also", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 376, + 470, + 389 + ], + "spans": [ + { + "bbox": [ + 141, + 376, + 470, + 389 + ], + "score": 1.0, + "content": "introduce program selection and simplification strategies. 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ModelDropoutStoch DepthAugmentationsOptimizerβ阳lr入
Train from scratch on ImageNet
ResNet-50-AdamW Lion0.9 0.90.999 0.993e-3 3e-40.1 1.0
Mixer-S/160.1AdamW0.90.9991e-2
0.3 1.0
-0.1Lion0.90.993e-3
AdamW0.90.9991e-20.3
Mixer-B/160.10.1Lion0.90.993e-33.0
AdamW0.90.9991e-20.1
Lion0.90.991e-31.0
=RandAug: 2,15 Mixup:0.5AdamW Lion0.90.9993e-30.1
0.90.993e-41.0
0.10.1=AdamW0.90.9993e-30.3
Lion0.90.991e-31.0
RandAug: 2,15 Mixup: 0.5AdamW Lion0.9 0.90.999 0.991e-31.0
1e-410.0
CoAtNet-10.3RandAug:2,15 Mixup:0.8AdamW Lion0.9 0.90.999 0.991e-3 2e-40.05 1.0
CoAtNet-30.7RandAug: 2,15 Mixup: 0.8AdamW Lion0.9 0.90.999 0.991e-3 2e-40.05 1.0
Pre-train on ImageNet-21K
ViT-B/160.10.1
AdamW Lion0.9 0.90.999 0.991e-3 1e-40.1 0.3
ViT-L/160.10.1AdamW0.90.999
Lion0.90.991e-3 1e-40.3 1.0
Pre-train on JFT
ViT-B/16-AdamW Lion0.9 0.90.999 0.996e-4 1e-40.1 0.3
ViT-L/16AdamW Lion0.9 0.90.999 0.993e-4 1e-40.1 0.3
ViT-H/14AdamW Lion0.9 0.90.999 0.993e-4 3e-50.1 0.3
ViT-g/14 & ViT-G/14Adafactor0.90.9998e-40.03
Lion0.90.993e-50.3
Vision-language contrastive learning
LiT-B/*-BAdamW0.90.9991e-3
Lion0.90.993e-4-
LiT-g/14-LAdamW0.90.9991e-30.1
Lion0.90.992e-40.5 0.01
BASIC-LAdafactor0.90.9995e-4
Lion0.90.992e-40.1
Diffusion model
Imagen base & super-resolutionAdamW Lion0.9 0.90.999 0.991e-3 1e-43e-40.01
Image generation on ImageNet64 × 64:0.1 128× 128& 256× 256:0.2
OptimizerZero-shotFine-tune ImageNet
ImageNetV2ARSketchObjectNet
Adafactor85.780.685.695.776.182.390.9
Lion88.381.286.496.877.282.991.1
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However, those black-box optimizers, typically", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "trained on a limited number of small tasks, struggle to generalize to state-of-the-art settings where", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "score": 1.0, + "content": "much larger models are trained with significantly more training steps. Another line of methods [5, 95]", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "score": 1.0, + "content": "apply reinforcement learning or Monte Carlo Sampling to discover new optimizers, where the search", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "space is defined by trees composed from predefined operands (e.g., gradient and momentum) and", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "score": 1.0, + "content": "operators (e.g., unary and binary math operations). However, to make the search manageable, they", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 436, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 436, + 505, + 452 + ], + "score": 1.0, + "content": "often limit the search space by using fixed operands and restricting the size of the tree, thereby limiting", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 449, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 505, + 461 + ], + "score": 1.0, + "content": "the potential for discovery. For example, they are unable to modify the tracking of momentum or how", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "it contributes to the update, which is an essential component of Lion. Consequently, the algorithms", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "discovered have not yet reached the state-of-the-art. AutoML-Zero [80] is an ambitious effort that", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 482, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 494 + ], + "score": 1.0, + "content": "attempts to search every component of a machine learning pipeline while evaluating on toy tasks.", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "This work follows the research direction of automatic discovering optimizers and is in particular", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 502, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 517 + ], + "score": 1.0, + "content": "inspired by AutoML-Zero, but aims at discovering effective optimization algorithms that can improve", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 515, + 236, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 515, + 236, + 525 + ], + "score": 1.0, + "content": "the state-of-the-art benchmarks.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 350, + 506, + 525 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "In this paper, we present a method to formulate algorithm discovery as program search and apply", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "it to discover optimization algorithms. There are two primary challenges. The first one is to find", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "high-quality algorithms in the infinite and sparse program space. 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"text", + "bbox": [ + 107, + 315, + 505, + 392 + ], + "lines": [ + { + "bbox": [ + 106, + 315, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 506, + 329 + ], + "score": 1.0, + "content": "We present an approach that formulates algorithm discovery as program search [11, 49, 80]. We use", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 326, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 505, + 339 + ], + "score": 1.0, + "content": "a symbolic representation in the form of programs for the following advantages: (1) it aligns with the", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 337, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 505, + 349 + ], + "score": 1.0, + "content": "fact that algorithms must be implemented as programs for execution; (2) symbolic representations", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "score": 1.0, + "content": "like programs are easier to analyze, comprehend and transfer to new tasks compared to parameterized", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 105, + 358, + 506, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 506, + 372 + ], + "score": 1.0, + "content": "models such as neural networks; (3) program length can be used to estimate the complexity of", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 370, + 506, + 382 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 506, + 382 + ], + "score": 1.0, + "content": "different programs, making it easier to select the simpler, often more generalizable ones. This work", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 105, + 380, + 486, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 486, + 394 + ], + "score": 1.0, + "content": "focuses on optimizers for deep neural network training, but the method is generally applicable.", + "type": "text" + } + ], + "index": 60 + } + ], + "index": 57, + "bbox_fs": [ + 105, + 315, + 506, + 394 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 406, + 227, + 418 + ], + "lines": [ + { + "bbox": [ + 105, + 405, + 229, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 229, + 421 + ], + "score": 1.0, + "content": "2.1 Program Search Space", + "type": "text" + } + ], + "index": 61 + } + ], + "index": 61 + }, + { + "type": "text", + "bbox": [ + 106, + 426, + 505, + 515 + ], + "lines": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "score": 1.0, + "content": "We adhere to the following three criteria while designing the program search space: (1) the search", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 105, + 438, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 506, + 450 + ], + "score": 1.0, + "content": "space should be flexible enough to enable the discovery of novel algorithms; (2) the programs should", + "type": "text" + } + ], + "index": 63 + }, + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "score": 1.0, + "content": "be easy to analyze and incorporate into a machine learning workflow; (3) the programs should focus", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 105, + 460, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 471 + ], + "score": 1.0, + "content": "on the high-level algorithmic design rather than low-level implementation details. We define the", + "type": "text" + } + ], + "index": 65 + }, + { + "bbox": [ + 104, + 471, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 104, + 471, + 506, + 483 + ], + "score": 1.0, + "content": "programs to contain functions operating over n-dimensional arrays, including structures like lists and", + "type": "text" + } + ], + "index": 66 + }, + { + "bbox": [ + 105, + 480, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 495 + ], + "score": 1.0, + "content": "dictionaries containing such arrays, in an imperative language. They are similar to Python code using", + "type": "text" + } + ], + "index": 67 + }, + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "NumPy / JAX [10, 36] as well as pseudo code of optimization algorithms. The details of the design", + "type": "text" + } + ], + "index": 68 + }, + { + "bbox": [ + 106, + 504, + 416, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 416, + 515 + ], + "score": 1.0, + "content": "are outlined below, with an example representation of AdamW in Program 3.", + "type": "text" + } + ], + "index": 69 + } + ], + "index": 65.5, + "bbox_fs": [ + 104, + 426, + 506, + 515 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 520, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "score": 1.0, + "content": "Input / output signature The program defines a train function, which encodes the optimization", + "type": "text" + } + ], + "index": 70 + }, + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 474, + 543 + ], + "score": 1.0, + "content": "algorithm being searched for, where the main inputs are the model weight (w), the gradient", + "type": "text" + }, + { + "bbox": [ + 474, + 532, + 487, + 542 + ], + "score": 0.47, + "content": "( \\mathsf { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 71 + }, + { + "bbox": [ + 106, + 542, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 506, + 554 + ], + "score": 1.0, + "content": "the learning rate schedule value (lr) at the current training step. The main output is the update to", + "type": "text" + } + ], + "index": 72 + }, + { + "bbox": [ + 106, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "the weight. The program also incorporates extra variables initialized as zeros to collect historical", + "type": "text" + } + ], + "index": 73 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "information during training. For example, AdamW requires two extra variables to estimate first", + "type": "text" + } + ], + "index": 74 + }, + { + "bbox": [ + 106, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 497, + 586 + ], + "score": 1.0, + "content": "and second moments. Note that those variables can be used arbitrarily, we use the name m and", + "type": "text" + }, + { + "bbox": [ + 497, + 576, + 505, + 584 + ], + "score": 0.41, + "content": "\\mathtt { v }", + "type": "inline_equation" + } + ], + "index": 75 + }, + { + "bbox": [ + 106, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "in Program 3 just for better readability. This simplified code snippet in Program 2 uses the same", + "type": "text" + } + ], + "index": 76 + }, + { + "bbox": [ + 105, + 596, + 507, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 507, + 610 + ], + "score": 1.0, + "content": "signature as AdamW to ensure that the discovered algorithms have smaller or equal memory footprints.", + "type": "text" + } + ], + "index": 77 + }, + { + "bbox": [ + 104, + 606, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 104, + 606, + 506, + 621 + ], + "score": 1.0, + "content": "As opposed to previous optimizer search attempts [5, 95], our method allows discovering better ways", + "type": "text" + } + ], + "index": 78 + }, + { + "bbox": [ + 106, + 618, + 232, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 232, + 631 + ], + "score": 1.0, + "content": "of updating the extra variables.", + "type": "text" + } + ], + "index": 79 + } + ], + "index": 74.5, + "bbox_fs": [ + 104, + 519, + 507, + 631 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 634, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 505, + 646 + ], + "score": 1.0, + "content": "Building blocks The train function consists of a sequence of assignment statements, with no", + "type": "text" + } + ], + "index": 80 + }, + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "score": 1.0, + "content": "restrictions on the number of statements or local variables. Each statement calls a function using", + "type": "text" + } + ], + "index": 81 + }, + { + "bbox": [ + 105, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "constants or existing variables as inputs, and the resulting value is stored in a new or existing variable.", + "type": "text" + } + ], + "index": 82 + }, + { + "bbox": [ + 106, + 668, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 505, + 680 + ], + "score": 1.0, + "content": "For the program, we select 45 common math functions, most of which corresponds to a function in", + "type": "text" + } + ], + "index": 83 + }, + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "NumPy or an operation in linear algebra. 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Preliminary experiments have investigated the inclusion of more advanced", + "type": "text" + } + ], + "index": 86 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "features such as conditional and loop statements, and defining and calling new functions, but these", + "type": "text" + } + ], + "index": 87 + }, + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "do not yield improved results, so we leave them out. A detailed description of the functions are", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 266, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 266, + 505, + 279 + ], + "score": 1.0, + "content": "summarized in Appendix H. When necessary, the types and shapes of the function arguments are", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 277, + 420, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 420, + 291 + ], + "score": 1.0, + "content": "automatically cast, e.g., in the case of adding a dictionary of arrays to a scalar.", + "type": "text", + "cross_page": true + } + ], + "index": 13 + } + ], + "index": 83.5, + "bbox_fs": [ + 105, + 634, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 119, + 71, + 493, + 155 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 119, + 71, + 493, + 155 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 119, + 71, + 493, + 155 + ], + "spans": [ + { + "bbox": [ + 119, + 71, + 493, + 155 + ], + "score": 0.79, + "type": "image", + "image_path": "96774f0a6bcce226538eab6cefb1ab58d423805e23f709fca3c9b500205ecc81.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 119, + 71, + 493, + 99.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 119, + 99.0, + 493, + 127.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 119, + 127.0, + 493, + 155.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 159, + 505, + 247 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 159, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 469, + 173 + ], + "score": 1.0, + "content": "Figure 2: Left: We run hyperparameter tuning on AdamW and random search, both with", + "type": "text" + }, + { + "bbox": [ + 469, + 160, + 481, + 170 + ], + "score": 0.51, + "content": "4 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 159, + 505, + 173 + ], + "score": 1.0, + "content": "more", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "score": 1.0, + "content": "compute, to get the best results as two baselines (green and red lines). 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Right: Example curves of search fitness, the cache", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 226, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 506, + 237 + ], + "score": 1.0, + "content": "hit rate, and the percentage of redundant statements. The cache hit rate and the redundant statements", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 236, + 397, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 321, + 248 + ], + "score": 1.0, + "content": "percentage increase along with the search progress to", + "type": "text" + }, + { + "bbox": [ + 321, + 236, + 348, + 247 + ], + "score": 0.89, + "content": "{ \\sim } 9 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 237, + 366, + 248 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 367, + 236, + 394, + 246 + ], + "score": 0.9, + "content": "{ \\sim } 7 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 237, + 397, + 248 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6.5 + } + ], + "index": 3.75 + }, + { + "type": "text", + "bbox": [ + 107, + 255, + 505, + 289 + ], + "lines": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "do not yield improved results, so we leave them out. A detailed description of the functions are", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 266, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 266, + 505, + 279 + ], + "score": 1.0, + "content": "summarized in Appendix H. When necessary, the types and shapes of the function arguments are", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 277, + 420, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 420, + 291 + ], + "score": 1.0, + "content": "automatically cast, e.g., in the case of adding a dictionary of arrays to a scalar.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 294, + 505, + 447 + ], + "lines": [ + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "score": 1.0, + "content": "Mutations and redundant statements The design of mutations utilized in evolutionary search is", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 305, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 506, + 317 + ], + "score": 1.0, + "content": "tightly intertwined with the representation of the program. We include three types of mutations: (1)", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 315, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 329 + ], + "score": 1.0, + "content": "inserting a new statement at a random location with randomly chosen functions and arguments, (2)", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 325, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 506, + 341 + ], + "score": 1.0, + "content": "deleting a random chosen statement, and (3) modifying a random statement by randomly altering", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 337, + 506, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 350 + ], + "score": 1.0, + "content": "one of its function arguments, which may be either variables or constants. To mutate an argument,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 348, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 348, + 506, + 361 + ], + "score": 1.0, + "content": "we replace it with an existing variable or a newly generated constant obtained by sampling from a", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 357, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 104, + 357, + 186, + 374 + ], + "score": 1.0, + "content": "normal distribution", + "type": "text" + }, + { + "bbox": [ + 186, + 359, + 240, + 371 + ], + "score": 0.92, + "content": "X \\sim \\mathcal { N } ( 0 \\mathrm { ~ } 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 357, + 506, + 374 + ], + "score": 1.0, + "content": ". Additionally, we can mutate an existing constant by multiplying", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 369, + 506, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 196, + 383 + ], + "score": 1.0, + "content": "it by a random factor", + "type": "text" + }, + { + "bbox": [ + 196, + 371, + 207, + 380 + ], + "score": 0.83, + "content": "2 ^ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 369, + 240, + 383 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 240, + 370, + 292, + 382 + ], + "score": 0.92, + "content": "a \\sim \\mathcal { N } ( 0 \\ : 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 369, + 506, + 383 + ], + "score": 1.0, + "content": ". These constants serve as tunable hyperparameters", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 381, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 506, + 393 + ], + "score": 1.0, + "content": "in the optimization algorithm, such as the peak learning rate and weight decay in AdamW. The", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 391, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 391, + 505, + 405 + ], + "score": 1.0, + "content": "modification mutation makes it easier for the search to tune those constants while keeping most", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 401, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 417 + ], + "score": 1.0, + "content": "of the program unchanged. Note that we allow a program to include redundant statements during", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 414, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 505, + 426 + ], + "score": 1.0, + "content": "search, i.e., statements that do not impact the final program outputs. This is necessary as mutations", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "are limited to only affecting a single statement. Redundant statements therefore serve as intermediate", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 435, + 228, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 228, + 449 + ], + "score": 1.0, + "content": "steps towards bigger changes.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 452, + 505, + 518 + ], + "lines": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "Infinite and sparse search space Given the limitless number of statements and local variables, as", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "score": 1.0, + "content": "well as the presence of mutable constants, the program search space is infinite. Even if we ignore the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 473, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 104, + 473, + 505, + 488 + ], + "score": 1.0, + "content": "constants and bound the program length and number of variables, the number of potential programs", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 483, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 104, + 483, + 505, + 499 + ], + "score": 1.0, + "content": "is still intractably large. More importantly, the challenge comes from the sparsity of high-performing", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 495, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 506, + 509 + ], + "score": 1.0, + "content": "programs in the search space. To illustrate this point, we evaluates 2M randomly sampled programs", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 506, + 493, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 493, + 519 + ], + "score": 1.0, + "content": "on a low-cost proxy task. The best program among them is still significantly inferior to AdamW.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5 + }, + { + "type": "title", + "bbox": [ + 108, + 532, + 248, + 543 + ], + "lines": [ + { + "bbox": [ + 105, + 530, + 249, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 249, + 546 + ], + "score": 1.0, + "content": "2.2 Efficient Search Techniques", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 552, + 504, + 564 + ], + "lines": [ + { + "bbox": [ + 105, + 551, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 567 + ], + "score": 1.0, + "content": "We employ the following techniques to address the challenges posed by the infinite and sparse space.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 569, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "score": 1.0, + "content": "Evolution with warm-start and restart We apply regularized evolution as it is simple, scalable,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "and has shown success on many AutoML search tasks [42, 79, 80, 87, 99]. It keeps a population", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 117, + 604 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 591, + 127, + 601 + ], + "score": 0.81, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 591, + 423, + 604 + ], + "score": 1.0, + "content": "algorithms that are gradually improved through cycles. Each cycle picks", + "type": "text" + }, + { + "bbox": [ + 423, + 591, + 448, + 601 + ], + "score": 0.89, + "content": "T < P", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "algorithms at", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 602, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 506, + 614 + ], + "score": 1.0, + "content": "random and the best performer is chosen as the parent, i.e., tournament selection [32]. This parent is", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "score": 1.0, + "content": "then copied and mutated to produce a child algorithm, which is added to the population, while the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "oldest algorithm is removed. Normally, evolutionary search starts with random candidates, but we", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 635, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 506, + 647 + ], + "score": 1.0, + "content": "warm-start the initial population as AdamW to accelerate the search. By default, we use a tournament", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "size of two and a population size of 1K. To further improve the search efficiency, we apply two", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "types of restart: (1) restarting from the initial program, which can lead to different local optima due", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "to the randomness in evolution and encourage exploration. This can be done by running multiple", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "score": 1.0, + "content": "searches in parallel. (2) restarting from the best algorithm found thus far to further optimize it,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "encouraging exploitation. Figure 2 (Left) displays the mean and standard error of five evolutionary", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "search experiments. We run hyperparameter tuning based on AdamW by only allowing mutations of", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "constants in the evolution, and run random search by sampling random programs, both with 4x more", + "type": "text" + } + ], + "index": 49 + } + ], + "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": [ + 119, + 71, + 493, + 155 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 119, + 71, + 493, + 155 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 119, + 71, + 493, + 155 + ], + "spans": [ + { + "bbox": [ + 119, + 71, + 493, + 155 + ], + "score": 0.79, + "type": "image", + "image_path": "96774f0a6bcce226538eab6cefb1ab58d423805e23f709fca3c9b500205ecc81.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 119, + 71, + 493, + 99.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 119, + 99.0, + 493, + 127.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 119, + 127.0, + 493, + 155.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 159, + 505, + 247 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 159, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 469, + 173 + ], + "score": 1.0, + "content": "Figure 2: Left: We run hyperparameter tuning on AdamW and random search, both with", + "type": "text" + }, + { + "bbox": [ + 469, + 160, + 481, + 170 + ], + "score": 0.51, + "content": "4 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 159, + 505, + 173 + ], + "score": 1.0, + "content": "more", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "score": 1.0, + "content": "compute, to get the best results as two baselines (green and red lines). The evolutionary search, with", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 182, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 505, + 194 + ], + "score": 1.0, + "content": "mean and standard error calculated from five runs, significantly outperforms both of them. The use", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "score": 1.0, + "content": "of multiple restarts from the initial program is crucial due to the high variance in the search fitness", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 204, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 505, + 216 + ], + "score": 1.0, + "content": "(blue curves), and restarting from the best program after 300K progress further improves the fitness", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "score": 1.0, + "content": "(orange curves) when the original search plateaus. Right: Example curves of search fitness, the cache", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 226, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 506, + 237 + ], + "score": 1.0, + "content": "hit rate, and the percentage of redundant statements. The cache hit rate and the redundant statements", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 236, + 397, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 321, + 248 + ], + "score": 1.0, + "content": "percentage increase along with the search progress to", + "type": "text" + }, + { + "bbox": [ + 321, + 236, + 348, + 247 + ], + "score": 0.89, + "content": "{ \\sim } 9 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 237, + 366, + 248 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 367, + 236, + 394, + 246 + ], + "score": 0.9, + "content": "{ \\sim } 7 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 237, + 397, + 248 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6.5 + } + ], + "index": 3.75 + }, + { + "type": "text", + "bbox": [ + 107, + 255, + 505, + 289 + ], + "lines": [], + "index": 12, + "bbox_fs": [ + 105, + 255, + 505, + 291 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 294, + 505, + 447 + ], + "lines": [ + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "score": 1.0, + "content": "Mutations and redundant statements The design of mutations utilized in evolutionary search is", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 305, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 506, + 317 + ], + "score": 1.0, + "content": "tightly intertwined with the representation of the program. We include three types of mutations: (1)", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 315, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 329 + ], + "score": 1.0, + "content": "inserting a new statement at a random location with randomly chosen functions and arguments, (2)", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 325, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 506, + 341 + ], + "score": 1.0, + "content": "deleting a random chosen statement, and (3) modifying a random statement by randomly altering", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 337, + 506, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 350 + ], + "score": 1.0, + "content": "one of its function arguments, which may be either variables or constants. To mutate an argument,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 348, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 348, + 506, + 361 + ], + "score": 1.0, + "content": "we replace it with an existing variable or a newly generated constant obtained by sampling from a", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 357, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 104, + 357, + 186, + 374 + ], + "score": 1.0, + "content": "normal distribution", + "type": "text" + }, + { + "bbox": [ + 186, + 359, + 240, + 371 + ], + "score": 0.92, + "content": "X \\sim \\mathcal { N } ( 0 \\mathrm { ~ } 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 357, + 506, + 374 + ], + "score": 1.0, + "content": ". Additionally, we can mutate an existing constant by multiplying", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 369, + 506, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 196, + 383 + ], + "score": 1.0, + "content": "it by a random factor", + "type": "text" + }, + { + "bbox": [ + 196, + 371, + 207, + 380 + ], + "score": 0.83, + "content": "2 ^ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 369, + 240, + 383 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 240, + 370, + 292, + 382 + ], + "score": 0.92, + "content": "a \\sim \\mathcal { N } ( 0 \\ : 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 369, + 506, + 383 + ], + "score": 1.0, + "content": ". These constants serve as tunable hyperparameters", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 381, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 506, + 393 + ], + "score": 1.0, + "content": "in the optimization algorithm, such as the peak learning rate and weight decay in AdamW. The", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 391, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 391, + 505, + 405 + ], + "score": 1.0, + "content": "modification mutation makes it easier for the search to tune those constants while keeping most", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 401, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 417 + ], + "score": 1.0, + "content": "of the program unchanged. Note that we allow a program to include redundant statements during", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 414, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 505, + 426 + ], + "score": 1.0, + "content": "search, i.e., statements that do not impact the final program outputs. This is necessary as mutations", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "are limited to only affecting a single statement. Redundant statements therefore serve as intermediate", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 435, + 228, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 228, + 449 + ], + "score": 1.0, + "content": "steps towards bigger changes.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 20.5, + "bbox_fs": [ + 104, + 293, + 506, + 449 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 452, + 505, + 518 + ], + "lines": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "Infinite and sparse search space Given the limitless number of statements and local variables, as", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "score": 1.0, + "content": "well as the presence of mutable constants, the program search space is infinite. Even if we ignore the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 473, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 104, + 473, + 505, + 488 + ], + "score": 1.0, + "content": "constants and bound the program length and number of variables, the number of potential programs", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 483, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 104, + 483, + 505, + 499 + ], + "score": 1.0, + "content": "is still intractably large. More importantly, the challenge comes from the sparsity of high-performing", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 495, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 506, + 509 + ], + "score": 1.0, + "content": "programs in the search space. To illustrate this point, we evaluates 2M randomly sampled programs", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 506, + 493, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 493, + 519 + ], + "score": 1.0, + "content": "on a low-cost proxy task. The best program among them is still significantly inferior to AdamW.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 451, + 506, + 519 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 532, + 248, + 543 + ], + "lines": [ + { + "bbox": [ + 105, + 530, + 249, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 249, + 546 + ], + "score": 1.0, + "content": "2.2 Efficient Search Techniques", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 552, + 504, + 564 + ], + "lines": [ + { + "bbox": [ + 105, + 551, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 567 + ], + "score": 1.0, + "content": "We employ the following techniques to address the challenges posed by the infinite and sparse space.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35, + "bbox_fs": [ + 105, + 551, + 506, + 567 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 569, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "score": 1.0, + "content": "Evolution with warm-start and restart We apply regularized evolution as it is simple, scalable,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "and has shown success on many AutoML search tasks [42, 79, 80, 87, 99]. It keeps a population", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 117, + 604 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 591, + 127, + 601 + ], + "score": 0.81, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 591, + 423, + 604 + ], + "score": 1.0, + "content": "algorithms that are gradually improved through cycles. Each cycle picks", + "type": "text" + }, + { + "bbox": [ + 423, + 591, + 448, + 601 + ], + "score": 0.89, + "content": "T < P", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "algorithms at", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 602, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 506, + 614 + ], + "score": 1.0, + "content": "random and the best performer is chosen as the parent, i.e., tournament selection [32]. This parent is", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "score": 1.0, + "content": "then copied and mutated to produce a child algorithm, which is added to the population, while the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "oldest algorithm is removed. Normally, evolutionary search starts with random candidates, but we", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 635, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 506, + 647 + ], + "score": 1.0, + "content": "warm-start the initial population as AdamW to accelerate the search. By default, we use a tournament", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "size of two and a population size of 1K. To further improve the search efficiency, we apply two", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "types of restart: (1) restarting from the initial program, which can lead to different local optima due", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "to the randomness in evolution and encourage exploration. This can be done by running multiple", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "score": 1.0, + "content": "searches in parallel. (2) restarting from the best algorithm found thus far to further optimize it,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "encouraging exploitation. Figure 2 (Left) displays the mean and standard error of five evolutionary", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "search experiments. We run hyperparameter tuning based on AdamW by only allowing mutations of", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "constants in the evolution, and run random search by sampling random programs, both with 4x more", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 73, + 505, + 84 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 505, + 84 + ], + "score": 1.0, + "content": "compute. Our search significantly outperforms the best results from both baselines, shown as the", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 97 + ], + "score": 1.0, + "content": "two dashed lines. The high variance in the search fitness necessitates running multiple repeats by", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 395, + 108 + ], + "score": 1.0, + "content": "restarting from the initial program. When the search fitness plateaus after", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 396, + 95, + 426, + 105 + ], + "score": 0.86, + "content": "{ \\sim } 3 0 0 \\mathrm { K }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 427, + 94, + 505, + 108 + ], + "score": 1.0, + "content": "progress, restarting", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 479, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 479, + 118 + ], + "score": 1.0, + "content": "from the best program found thus far further improves the fitness shown by the orange curve.", + "type": "text", + "cross_page": true + } + ], + "index": 3 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 568, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 117 + ], + "lines": [ + { + "bbox": [ + 105, + 73, + 505, + 84 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 505, + 84 + ], + "score": 1.0, + "content": "compute. Our search significantly outperforms the best results from both baselines, shown as the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 97 + ], + "score": 1.0, + "content": "two dashed lines. The high variance in the search fitness necessitates running multiple repeats by", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 395, + 108 + ], + "score": 1.0, + "content": "restarting from the initial program. When the search fitness plateaus after", + "type": "text" + }, + { + "bbox": [ + 396, + 95, + 426, + 105 + ], + "score": 0.86, + "content": "{ \\sim } 3 0 0 \\mathrm { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 94, + 505, + 108 + ], + "score": 1.0, + "content": "progress, restarting", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 479, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 479, + 118 + ], + "score": 1.0, + "content": "from the best program found thus far further improves the fitness shown by the orange curve.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 107, + 122, + 505, + 297 + ], + "lines": [ + { + "bbox": [ + 106, + 121, + 505, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 505, + 135 + ], + "score": 1.0, + "content": "Pruning through abstract execution We propose to prune the redundancies in the program space", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "score": 1.0, + "content": "from three sources: programs with syntax or type / shape errors, functionally equivalent programs,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "and redundant statements in the programs. Before a program is actually executed, we perform an", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 506, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 168 + ], + "score": 1.0, + "content": "abstract execution step that (1) infers variable types and shapes to detect programs with errors; (2)", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 506, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 179 + ], + "score": 1.0, + "content": "produces a hash that uniquely identifies how the outputs are computed from the inputs, allowing us to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "cache and look up semantically duplicate programs [31]; (3) identifies redundant statements that can", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 186, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 506, + 200 + ], + "score": 1.0, + "content": "be ignored during actual execution and analysis. For instance, Program 4 is obtained after removing", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 197, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 211 + ], + "score": 1.0, + "content": "all redundant statements in Program 8 (Appendix). Abstract execution has negligible cost compared", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "score": 1.0, + "content": "to the actual execution, with each input and function replaced by customized values, e.g., hash. See", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 221, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 505, + 232 + ], + "score": 1.0, + "content": "Appendix I for details of abstract execution. Preliminary experiments have shown that the search", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 231, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 244 + ], + "score": 1.0, + "content": "process can become overwhelmed with invalid programs and cannot make progress without filtering", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 242, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 505, + 254 + ], + "score": 1.0, + "content": "out invalid programs. As seen in Figure 2 (Right), the percentage of redundant statements and cache", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "score": 1.0, + "content": "hit rate both increase as the search proceeds. Based on five search runs, each covering 300K programs,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 145, + 276 + ], + "score": 1.0, + "content": "there are", + "type": "text" + }, + { + "bbox": [ + 145, + 263, + 198, + 275 + ], + "score": 0.91, + "content": "6 9 . 8 \\pm 1 . 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "redundant statements towards the end, implying that redundant statements", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 272, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 104, + 272, + 221, + 289 + ], + "score": 1.0, + "content": "removal makes the program", + "type": "text" + }, + { + "bbox": [ + 222, + 275, + 241, + 285 + ], + "score": 0.87, + "content": "{ \\sim } 3 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 272, + 406, + 289 + ], + "score": 1.0, + "content": "shorter on average. The cache hit rate is", + "type": "text" + }, + { + "bbox": [ + 406, + 274, + 458, + 285 + ], + "score": 0.91, + "content": "8 9 . 1 \\pm 0 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 272, + 506, + 289 + ], + "score": 1.0, + "content": ", indicating", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 286, + 410, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 268, + 298 + ], + "score": 1.0, + "content": "that using the hash table as cache brings", + "type": "text" + }, + { + "bbox": [ + 269, + 286, + 293, + 296 + ], + "score": 0.86, + "content": "{ \\sim } 1 0 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 286, + 410, + 298 + ], + "score": 1.0, + "content": "reduction on the search cost.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 302, + 505, + 401 + ], + "lines": [ + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "score": 1.0, + "content": "Proxy tasks and search cost To reduce search cost, we create low-cost proxies by decreasing the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 313, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 505, + 325 + ], + "score": 1.0, + "content": "model size, number of training examples, and steps from the target tasks. Evaluation on the proxies", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 300, + 337 + ], + "score": 1.0, + "content": "can be completed on one TPU V2 chip within", + "type": "text" + }, + { + "bbox": [ + 300, + 324, + 327, + 334 + ], + "score": 0.44, + "content": "2 0 \\mathrm { { m i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 324, + 506, + 337 + ], + "score": 1.0, + "content": ". We use the accuracy or perplexity on the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 479, + 347 + ], + "score": 1.0, + "content": "validation set as the fitness. Each search experiment utilizes 100 TPU V2 chips and runs for", + "type": "text" + }, + { + "bbox": [ + 479, + 335, + 503, + 345 + ], + "score": 0.85, + "content": "{ \\sim } 7 2 \\mathrm { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 335, + 506, + 347 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "There are a total of 200-300K programs generated during each search experiment. However, the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "number of programs that are actually evaluated is around 20-30K, thanks to the use of the cache", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 367, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 506, + 380 + ], + "score": 1.0, + "content": "through abstract execution. To incorporate restart, we start five repeats of search experiments,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "score": 1.0, + "content": "followed by another round of search initializing from the best algorithm found thus far. This results", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 388, + 441, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 173, + 402 + ], + "score": 1.0, + "content": "in a total cost of", + "type": "text" + }, + { + "bbox": [ + 173, + 389, + 195, + 400 + ], + "score": 0.82, + "content": "{ \\sim } 3 \\mathrm { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 388, + 441, + 402 + ], + "score": 1.0, + "content": "TPU V2 days. See Appendix F for the details of proxy tasks.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24 + }, + { + "type": "title", + "bbox": [ + 106, + 432, + 358, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 360, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 360, + 447 + ], + "score": 1.0, + "content": "2.3 Generalization: Program Selection and Simplification", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 459, + 505, + 525 + ], + "lines": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "score": 1.0, + "content": "The search experiments can discover promising programs on proxy tasks. We use performance on", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 469, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 484 + ], + "score": 1.0, + "content": "meta-validation tasks that are larger than the proxy tasks by increasing the model size and training", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "score": 1.0, + "content": "steps, to select the programs that generalize beyond proxy tasks then further simplify them. The", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 493, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 505, + 506 + ], + "score": 1.0, + "content": "phenomenon of meta-overfitting occurs when the search fitness keeps growing, but the meta-validation", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "metric declines, indicating that the discovered algorithms have overfit the proxy tasks. Two examples", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 514, + 388, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 388, + 526 + ], + "score": 1.0, + "content": "meta-validation curves are shown in Figure 11 (Left) in the Appendix.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "score": 1.0, + "content": "Large generalization gap The discovered algorithms face a significant challenge due to the substan-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "score": 1.0, + "content": "tial gap between the proxy tasks during search and the target tasks. While proxy tasks can typically", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 551, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 190, + 566 + ], + "score": 1.0, + "content": "be completed within", + "type": "text" + }, + { + "bbox": [ + 190, + 553, + 217, + 563 + ], + "score": 0.36, + "content": "2 0 \\mathrm { { m i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 551, + 379, + 566 + ], + "score": 1.0, + "content": "on one TPU V2 chip, target tasks can be", + "type": "text" + }, + { + "bbox": [ + 379, + 552, + 411, + 563 + ], + "score": 0.9, + "content": "\\mathrm { \\Omega > 1 0 ^ { 4 } \\bar { x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 551, + 505, + 566 + ], + "score": 1.0, + "content": "larger and require days", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "of training on 512 TPU V4 chips. Furthermore, we expect the optimizer to perform well on different", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 573, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 588 + ], + "score": 1.0, + "content": "architectures, datasets and even different domains, so the discovered algorithms need to show strong", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "out-of-distribution generalization. The sparse search space and inherent noise in the evolution process", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "score": 1.0, + "content": "further compound this challenge, leading to inconsistent generalization properties between different", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "score": 1.0, + "content": "runs. Our observation suggests that evolutionary search runs that meta-overfit later tend to uncover", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 617, + 507, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 507, + 631 + ], + "score": 1.0, + "content": "optimization algorithms that generalize better. See more details in Figure 11 (Right) in the Appendix.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 648 + ], + "score": 1.0, + "content": "Funnel selection To mitigate the generalization gap, we collect promising programs based on search", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "fitness and add an extra selection step using a series of meta-validation tasks to select those generalize", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "better. To save compute, we apply a funnel selection process that gradually increases the scale of", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 432, + 680 + ], + "score": 1.0, + "content": "the meta-validation tasks. For example, starting with proxy task A, we create a", + "type": "text" + }, + { + "bbox": [ + 433, + 667, + 449, + 678 + ], + "score": 0.56, + "content": "1 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "larger task B", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "by increasing the model size and the training steps. Only algorithms that surpass the baseline on", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 284, + 701 + ], + "score": 1.0, + "content": "task B will be evaluated on task C, which is", + "type": "text" + }, + { + "bbox": [ + 284, + 689, + 305, + 699 + ], + "score": 0.56, + "content": "1 0 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "larger. This approach allows us to gradually filter", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "out algorithms that show poor generalization performance, ultimately leading to the selection of", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 711, + 293, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 293, + 723 + ], + "score": 1.0, + "content": "algorithms that generalize well to larger tasks.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 48.5 + } + ], + "page_idx": 4, + "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": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 117 + ], + "lines": [], + "index": 1.5, + "bbox_fs": [ + 105, + 73, + 505, + 118 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 122, + 505, + 297 + ], + "lines": [ + { + "bbox": [ + 106, + 121, + 505, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 505, + 135 + ], + "score": 1.0, + "content": "Pruning through abstract execution We propose to prune the redundancies in the program space", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "score": 1.0, + "content": "from three sources: programs with syntax or type / shape errors, functionally equivalent programs,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "and redundant statements in the programs. Before a program is actually executed, we perform an", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 506, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 168 + ], + "score": 1.0, + "content": "abstract execution step that (1) infers variable types and shapes to detect programs with errors; (2)", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 506, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 179 + ], + "score": 1.0, + "content": "produces a hash that uniquely identifies how the outputs are computed from the inputs, allowing us to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "cache and look up semantically duplicate programs [31]; (3) identifies redundant statements that can", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 186, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 506, + 200 + ], + "score": 1.0, + "content": "be ignored during actual execution and analysis. For instance, Program 4 is obtained after removing", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 197, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 211 + ], + "score": 1.0, + "content": "all redundant statements in Program 8 (Appendix). Abstract execution has negligible cost compared", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "score": 1.0, + "content": "to the actual execution, with each input and function replaced by customized values, e.g., hash. See", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 221, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 505, + 232 + ], + "score": 1.0, + "content": "Appendix I for details of abstract execution. Preliminary experiments have shown that the search", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 231, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 244 + ], + "score": 1.0, + "content": "process can become overwhelmed with invalid programs and cannot make progress without filtering", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 242, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 505, + 254 + ], + "score": 1.0, + "content": "out invalid programs. As seen in Figure 2 (Right), the percentage of redundant statements and cache", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "score": 1.0, + "content": "hit rate both increase as the search proceeds. Based on five search runs, each covering 300K programs,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 145, + 276 + ], + "score": 1.0, + "content": "there are", + "type": "text" + }, + { + "bbox": [ + 145, + 263, + 198, + 275 + ], + "score": 0.91, + "content": "6 9 . 8 \\pm 1 . 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "redundant statements towards the end, implying that redundant statements", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 272, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 104, + 272, + 221, + 289 + ], + "score": 1.0, + "content": "removal makes the program", + "type": "text" + }, + { + "bbox": [ + 222, + 275, + 241, + 285 + ], + "score": 0.87, + "content": "{ \\sim } 3 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 272, + 406, + 289 + ], + "score": 1.0, + "content": "shorter on average. The cache hit rate is", + "type": "text" + }, + { + "bbox": [ + 406, + 274, + 458, + 285 + ], + "score": 0.91, + "content": "8 9 . 1 \\pm 0 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 272, + 506, + 289 + ], + "score": 1.0, + "content": ", indicating", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 286, + 410, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 268, + 298 + ], + "score": 1.0, + "content": "that using the hash table as cache brings", + "type": "text" + }, + { + "bbox": [ + 269, + 286, + 293, + 296 + ], + "score": 0.86, + "content": "{ \\sim } 1 0 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 286, + 410, + 298 + ], + "score": 1.0, + "content": "reduction on the search cost.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 11.5, + "bbox_fs": [ + 104, + 121, + 506, + 298 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 302, + 505, + 401 + ], + "lines": [ + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "score": 1.0, + "content": "Proxy tasks and search cost To reduce search cost, we create low-cost proxies by decreasing the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 313, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 505, + 325 + ], + "score": 1.0, + "content": "model size, number of training examples, and steps from the target tasks. Evaluation on the proxies", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 300, + 337 + ], + "score": 1.0, + "content": "can be completed on one TPU V2 chip within", + "type": "text" + }, + { + "bbox": [ + 300, + 324, + 327, + 334 + ], + "score": 0.44, + "content": "2 0 \\mathrm { { m i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 324, + 506, + 337 + ], + "score": 1.0, + "content": ". We use the accuracy or perplexity on the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 479, + 347 + ], + "score": 1.0, + "content": "validation set as the fitness. Each search experiment utilizes 100 TPU V2 chips and runs for", + "type": "text" + }, + { + "bbox": [ + 479, + 335, + 503, + 345 + ], + "score": 0.85, + "content": "{ \\sim } 7 2 \\mathrm { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 335, + 506, + 347 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "There are a total of 200-300K programs generated during each search experiment. However, the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "number of programs that are actually evaluated is around 20-30K, thanks to the use of the cache", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 367, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 506, + 380 + ], + "score": 1.0, + "content": "through abstract execution. To incorporate restart, we start five repeats of search experiments,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "score": 1.0, + "content": "followed by another round of search initializing from the best algorithm found thus far. This results", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 388, + 441, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 173, + 402 + ], + "score": 1.0, + "content": "in a total cost of", + "type": "text" + }, + { + "bbox": [ + 173, + 389, + 195, + 400 + ], + "score": 0.82, + "content": "{ \\sim } 3 \\mathrm { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 388, + 441, + 402 + ], + "score": 1.0, + "content": "TPU V2 days. See Appendix F for the details of proxy tasks.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 302, + 506, + 402 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 432, + 358, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 360, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 360, + 447 + ], + "score": 1.0, + "content": "2.3 Generalization: Program Selection and Simplification", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 459, + 505, + 525 + ], + "lines": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "score": 1.0, + "content": "The search experiments can discover promising programs on proxy tasks. We use performance on", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 469, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 484 + ], + "score": 1.0, + "content": "meta-validation tasks that are larger than the proxy tasks by increasing the model size and training", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 494 + ], + "score": 1.0, + "content": "steps, to select the programs that generalize beyond proxy tasks then further simplify them. The", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 493, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 505, + 506 + ], + "score": 1.0, + "content": "phenomenon of meta-overfitting occurs when the search fitness keeps growing, but the meta-validation", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "metric declines, indicating that the discovered algorithms have overfit the proxy tasks. Two examples", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 514, + 388, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 388, + 526 + ], + "score": 1.0, + "content": "meta-validation curves are shown in Figure 11 (Left) in the Appendix.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 459, + 505, + 526 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "score": 1.0, + "content": "Large generalization gap The discovered algorithms face a significant challenge due to the substan-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "score": 1.0, + "content": "tial gap between the proxy tasks during search and the target tasks. While proxy tasks can typically", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 551, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 190, + 566 + ], + "score": 1.0, + "content": "be completed within", + "type": "text" + }, + { + "bbox": [ + 190, + 553, + 217, + 563 + ], + "score": 0.36, + "content": "2 0 \\mathrm { { m i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 551, + 379, + 566 + ], + "score": 1.0, + "content": "on one TPU V2 chip, target tasks can be", + "type": "text" + }, + { + "bbox": [ + 379, + 552, + 411, + 563 + ], + "score": 0.9, + "content": "\\mathrm { \\Omega > 1 0 ^ { 4 } \\bar { x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 551, + 505, + 566 + ], + "score": 1.0, + "content": "larger and require days", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "of training on 512 TPU V4 chips. Furthermore, we expect the optimizer to perform well on different", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 573, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 588 + ], + "score": 1.0, + "content": "architectures, datasets and even different domains, so the discovered algorithms need to show strong", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "out-of-distribution generalization. The sparse search space and inherent noise in the evolution process", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "score": 1.0, + "content": "further compound this challenge, leading to inconsistent generalization properties between different", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "score": 1.0, + "content": "runs. Our observation suggests that evolutionary search runs that meta-overfit later tend to uncover", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 617, + 507, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 507, + 631 + ], + "score": 1.0, + "content": "optimization algorithms that generalize better. See more details in Figure 11 (Right) in the Appendix.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 531, + 507, + 631 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 648 + ], + "score": 1.0, + "content": "Funnel selection To mitigate the generalization gap, we collect promising programs based on search", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "fitness and add an extra selection step using a series of meta-validation tasks to select those generalize", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "better. To save compute, we apply a funnel selection process that gradually increases the scale of", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 432, + 680 + ], + "score": 1.0, + "content": "the meta-validation tasks. For example, starting with proxy task A, we create a", + "type": "text" + }, + { + "bbox": [ + 433, + 667, + 449, + 678 + ], + "score": 0.56, + "content": "1 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "larger task B", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "by increasing the model size and the training steps. Only algorithms that surpass the baseline on", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 284, + 701 + ], + "score": 1.0, + "content": "task B will be evaluated on task C, which is", + "type": "text" + }, + { + "bbox": [ + 284, + 689, + 305, + 699 + ], + "score": 0.56, + "content": "1 0 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "larger. This approach allows us to gradually filter", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "out algorithms that show poor generalization performance, ultimately leading to the selection of", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 711, + 293, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 293, + 723 + ], + "score": 1.0, + "content": "algorithms that generalize well to larger tasks.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 48.5, + "bbox_fs": [ + 105, + 633, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 150 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Simplification Simpler programs are easier to understand and our intuition is that they are more likely", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 84, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 84, + 506, + 96 + ], + "score": 1.0, + "content": "to generalize, so we simplify the programs with the following steps. Firstly, we remove redundant", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "score": 1.0, + "content": "statements that do not contribute to the final output as identified through abstract execution. Secondly,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 106, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 505, + 117 + ], + "score": 1.0, + "content": "we remove statements that are non-redundant but produce minimal differences when removed. This", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 117, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 128 + ], + "score": 1.0, + "content": "step can also be achieved through evolution by disabling the insertion of new statements in the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 505, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 140 + ], + "score": 1.0, + "content": "mutation process. Finally, we rearrange the statements manually, assign clear and descriptive names", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 139, + 452, + 150 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 452, + 150 + ], + "score": 1.0, + "content": "to variables, and convert the program into its simpler, mathematically equivalent form.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "title", + "bbox": [ + 108, + 167, + 289, + 181 + ], + "lines": [ + { + "bbox": [ + 104, + 165, + 289, + 184 + ], + "spans": [ + { + "bbox": [ + 104, + 165, + 289, + 184 + ], + "score": 1.0, + "content": "3 Derivation and Analysis of Lion", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 194, + 506, + 227 + ], + "lines": [ + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "We arrive at the Lion optimizer due to its simplicity, memory efficiency, and strong performance in", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 204, + 507, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 507, + 219 + ], + "score": 1.0, + "content": "search and meta-validation. The search also discovers other algorithms shown in Appendix D, e.g.,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 216, + 465, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 465, + 228 + ], + "score": 1.0, + "content": "some with better regularization and some resembling AdaBelief [105] and AdaGrad [29].", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9 + }, + { + "type": "title", + "bbox": [ + 107, + 243, + 175, + 254 + ], + "lines": [ + { + "bbox": [ + 105, + 242, + 177, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 177, + 256 + ], + "score": 1.0, + "content": "3.1 Derivation", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 264, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "score": 1.0, + "content": "The search and funnel selection process lead to Program 4, which is obtained by automatically", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 275, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 505, + 288 + ], + "score": 1.0, + "content": "removing redundant statements from the raw Program 8 (in the Appendix). We further simplify", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 286, + 504, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 504, + 298 + ], + "score": 1.0, + "content": "it to get the final algorithm (Lion) in Program 1. Several unnecessary elements are removed from", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 297, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 505, + 309 + ], + "score": 1.0, + "content": "Program 4 during the simplification process. The cosh function is removed since m would be", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 308, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 506, + 321 + ], + "score": 1.0, + "content": "reassigned in the next iteration (line 3). The statements using arcsin and clip are also removed", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 318, + 504, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 504, + 331 + ], + "score": 1.0, + "content": "as we observe no quality drop without them. The three red statements translate to a single sign", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 329, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 233, + 342 + ], + "score": 1.0, + "content": "function. Although both m and", + "type": "text" + }, + { + "bbox": [ + 233, + 331, + 240, + 340 + ], + "score": 0.44, + "content": "\\mathtt { v }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 329, + 506, + 342 + ], + "score": 1.0, + "content": "are utilized in Program 4, v only changes how the momentum is", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 341, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 294, + 352 + ], + "score": 1.0, + "content": "updated (two interp functions with constants", + "type": "text" + }, + { + "bbox": [ + 295, + 341, + 316, + 351 + ], + "score": 0.82, + "content": "{ \\sim } 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 341, + 334, + 352 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 334, + 341, + 356, + 351 + ], + "score": 0.88, + "content": "{ \\sim } 1 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 341, + 457, + 352 + ], + "score": 1.0, + "content": "is equivalent to one with", + "type": "text" + }, + { + "bbox": [ + 457, + 341, + 484, + 351 + ], + "score": 0.82, + "content": "{ \\sim } 0 . 9 9", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 341, + 506, + 352 + ], + "score": 1.0, + "content": ") and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "score": 1.0, + "content": "does not need to be separately tracked. Note that the bias correction is no longer needed, as it does", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 363, + 419, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 419, + 374 + ], + "score": 1.0, + "content": "not change the direction. Algorithm 2 in the Appendix shows the pseudocode.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 16.5 + }, + { + "type": "title", + "bbox": [ + 107, + 389, + 166, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 388, + 168, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 168, + 402 + ], + "score": 1.0, + "content": "3.2 Analysis", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 410, + 505, + 498 + ], + "lines": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "Sign update and regularization The Lion algorithm produces update with uniform magnitude", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 422, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 505, + 434 + ], + "score": 1.0, + "content": "across all dimensions by taking the sign operation, which is in principle different from various", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 433, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 506, + 445 + ], + "score": 1.0, + "content": "adaptive optimizers. Intuitively, the sign operation adds noise to the updates, which acts as a form of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "regularization and helps with generalization [16, 30, 67]. An evidence is shown in Figure 9 (Right) in", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 454, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 467 + ], + "score": 1.0, + "content": "the Appendix, where the ViT-B/16 trained by Lion on ImageNet has a higher training error compared", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 174, + 478 + ], + "score": 1.0, + "content": "to AdamW but a", + "type": "text" + }, + { + "bbox": [ + 174, + 465, + 189, + 476 + ], + "score": 0.85, + "content": "2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "higher accuracy on the validation set (as shown in Table 8 from the Appendix).", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 476, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 506, + 488 + ], + "score": 1.0, + "content": "Additionally, the results in Appendix G demonstrate that Lion leads to the convergence in smoother", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 488, + 324, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 324, + 499 + ], + "score": 1.0, + "content": "regions, which usually results in better generalization.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 107, + 503, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 463, + 516 + ], + "score": 1.0, + "content": "Momentum tracking The default EMA factor used to track the momentum in Lion is", + "type": "text" + }, + { + "bbox": [ + 464, + 504, + 503, + 515 + ], + "score": 0.37, + "content": "0 . 9 9 \\left( \\beta _ { 2 } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 502, + 506, + 516 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 514, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 526 + ], + "score": 1.0, + "content": "compared to the commonly used 0.9 in AdamW and momentum SGD. The current gradient and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 524, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 104, + 524, + 296, + 538 + ], + "score": 1.0, + "content": "momentum are interpolated with a factor of 0.9", + "type": "text" + }, + { + "bbox": [ + 297, + 526, + 312, + 537 + ], + "score": 0.66, + "content": "( \\beta _ { 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 524, + 506, + 538 + ], + "score": 1.0, + "content": "before the sign operation is applied. This choice", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 534, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 423, + 550 + ], + "score": 1.0, + "content": "of EMA factor and interpolation allows Lion to balance between remembering a", + "type": "text" + }, + { + "bbox": [ + 423, + 537, + 447, + 547 + ], + "score": 0.87, + "content": "{ \\sim } 1 0 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 534, + 506, + 550 + ], + "score": 1.0, + "content": "longer history", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "of the gradient in momentum and putting more weight on the current gradient in the update. The", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 558, + 361, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 176, + 570 + ], + "score": 1.0, + "content": "necessity of both", + "type": "text" + }, + { + "bbox": [ + 177, + 558, + 188, + 570 + ], + "score": 0.88, + "content": "\\beta _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 559, + 205, + 570 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 206, + 558, + 217, + 570 + ], + "score": 0.88, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 559, + 361, + 570 + ], + "score": 1.0, + "content": "is further discussed in Appendix L.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 106, + 574, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 587 + ], + "score": 1.0, + "content": "Hyperparameter and batch size choices Lion is simpler and has fewer hyperparameters compared", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 302, + 597 + ], + "score": 1.0, + "content": "to AdamW and Adafactor as it does not require", + "type": "text" + }, + { + "bbox": [ + 302, + 587, + 308, + 595 + ], + "score": 0.58, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "and factorization-related ones. The update is an", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 189, + 609 + ], + "score": 1.0, + "content": "element-wise binary", + "type": "text" + }, + { + "bbox": [ + 190, + 596, + 204, + 607 + ], + "score": 0.83, + "content": "\\pm 1", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "if we omit the weight decay term, with larger norm than those produced by", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 606, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 620 + ], + "score": 1.0, + "content": "other optimizers like SGD and adaptive algorithms. As a result, Lion needs a smaller learning rate", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "and in turn a larger decoupled weight decay to achieve a similar effective weight decay strength (lr", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 627, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 124, + 640 + ], + "score": 0.79, + "content": "\\ast \\lambda ,", + "type": "inline_equation" + }, + { + "bbox": [ + 124, + 627, + 505, + 643 + ], + "score": 1.0, + "content": "). Detailed information on tuning Lion can be found in Appendix M. Additionally, the advantage", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "of Lion over AdamW enlarges as the batch size increases, which fits the common practice of scaling", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 651, + 339, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 339, + 663 + ], + "score": 1.0, + "content": "up model training through data parallelism (Appendix L).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "Memory and runtime benefits Lion only saves the momentum thus has smaller memory footprint", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "than popular adaptive optimizers like AdamW, which is beneficial when training large models and / or", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "using a large batch size. As an example, AdamW needs at least 16 TPU V4 chips to train a ViT-B/16", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "with image resolution 224 and batch size 4,096, while Lion only needs 8 (both with bfloat16", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "momentum). Another practical benefit is that Lion has faster runtime (steps / sec) in our experiments", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 150 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Simplification Simpler programs are easier to understand and our intuition is that they are more likely", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 84, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 84, + 506, + 96 + ], + "score": 1.0, + "content": "to generalize, so we simplify the programs with the following steps. Firstly, we remove redundant", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "score": 1.0, + "content": "statements that do not contribute to the final output as identified through abstract execution. Secondly,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 106, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 505, + 117 + ], + "score": 1.0, + "content": "we remove statements that are non-redundant but produce minimal differences when removed. This", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 117, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 128 + ], + "score": 1.0, + "content": "step can also be achieved through evolution by disabling the insertion of new statements in the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 505, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 140 + ], + "score": 1.0, + "content": "mutation process. Finally, we rearrange the statements manually, assign clear and descriptive names", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 139, + 452, + 150 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 452, + 150 + ], + "score": 1.0, + "content": "to variables, and convert the program into its simpler, mathematically equivalent form.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 73, + 506, + 150 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 167, + 289, + 181 + ], + "lines": [ + { + "bbox": [ + 104, + 165, + 289, + 184 + ], + "spans": [ + { + "bbox": [ + 104, + 165, + 289, + 184 + ], + "score": 1.0, + "content": "3 Derivation and Analysis of Lion", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 194, + 506, + 227 + ], + "lines": [ + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "We arrive at the Lion optimizer due to its simplicity, memory efficiency, and strong performance in", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 204, + 507, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 507, + 219 + ], + "score": 1.0, + "content": "search and meta-validation. The search also discovers other algorithms shown in Appendix D, e.g.,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 216, + 465, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 465, + 228 + ], + "score": 1.0, + "content": "some with better regularization and some resembling AdaBelief [105] and AdaGrad [29].", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 194, + 507, + 228 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 243, + 175, + 254 + ], + "lines": [ + { + "bbox": [ + 105, + 242, + 177, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 177, + 256 + ], + "score": 1.0, + "content": "3.1 Derivation", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 264, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "score": 1.0, + "content": "The search and funnel selection process lead to Program 4, which is obtained by automatically", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 275, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 505, + 288 + ], + "score": 1.0, + "content": "removing redundant statements from the raw Program 8 (in the Appendix). We further simplify", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 286, + 504, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 504, + 298 + ], + "score": 1.0, + "content": "it to get the final algorithm (Lion) in Program 1. Several unnecessary elements are removed from", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 297, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 505, + 309 + ], + "score": 1.0, + "content": "Program 4 during the simplification process. The cosh function is removed since m would be", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 308, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 506, + 321 + ], + "score": 1.0, + "content": "reassigned in the next iteration (line 3). The statements using arcsin and clip are also removed", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 318, + 504, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 504, + 331 + ], + "score": 1.0, + "content": "as we observe no quality drop without them. The three red statements translate to a single sign", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 329, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 233, + 342 + ], + "score": 1.0, + "content": "function. Although both m and", + "type": "text" + }, + { + "bbox": [ + 233, + 331, + 240, + 340 + ], + "score": 0.44, + "content": "\\mathtt { v }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 329, + 506, + 342 + ], + "score": 1.0, + "content": "are utilized in Program 4, v only changes how the momentum is", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 341, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 294, + 352 + ], + "score": 1.0, + "content": "updated (two interp functions with constants", + "type": "text" + }, + { + "bbox": [ + 295, + 341, + 316, + 351 + ], + "score": 0.82, + "content": "{ \\sim } 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 341, + 334, + 352 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 334, + 341, + 356, + 351 + ], + "score": 0.88, + "content": "{ \\sim } 1 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 341, + 457, + 352 + ], + "score": 1.0, + "content": "is equivalent to one with", + "type": "text" + }, + { + "bbox": [ + 457, + 341, + 484, + 351 + ], + "score": 0.82, + "content": "{ \\sim } 0 . 9 9", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 341, + 506, + 352 + ], + "score": 1.0, + "content": ") and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "score": 1.0, + "content": "does not need to be separately tracked. Note that the bias correction is no longer needed, as it does", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 363, + 419, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 419, + 374 + ], + "score": 1.0, + "content": "not change the direction. Algorithm 2 in the Appendix shows the pseudocode.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 263, + 506, + 374 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 389, + 166, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 388, + 168, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 168, + 402 + ], + "score": 1.0, + "content": "3.2 Analysis", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 410, + 505, + 498 + ], + "lines": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "Sign update and regularization The Lion algorithm produces update with uniform magnitude", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 422, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 505, + 434 + ], + "score": 1.0, + "content": "across all dimensions by taking the sign operation, which is in principle different from various", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 433, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 506, + 445 + ], + "score": 1.0, + "content": "adaptive optimizers. Intuitively, the sign operation adds noise to the updates, which acts as a form of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "regularization and helps with generalization [16, 30, 67]. An evidence is shown in Figure 9 (Right) in", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 454, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 467 + ], + "score": 1.0, + "content": "the Appendix, where the ViT-B/16 trained by Lion on ImageNet has a higher training error compared", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 174, + 478 + ], + "score": 1.0, + "content": "to AdamW but a", + "type": "text" + }, + { + "bbox": [ + 174, + 465, + 189, + 476 + ], + "score": 0.85, + "content": "2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "higher accuracy on the validation set (as shown in Table 8 from the Appendix).", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 476, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 506, + 488 + ], + "score": 1.0, + "content": "Additionally, the results in Appendix G demonstrate that Lion leads to the convergence in smoother", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 488, + 324, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 324, + 499 + ], + "score": 1.0, + "content": "regions, which usually results in better generalization.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 411, + 506, + 499 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 503, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 463, + 516 + ], + "score": 1.0, + "content": "Momentum tracking The default EMA factor used to track the momentum in Lion is", + "type": "text" + }, + { + "bbox": [ + 464, + 504, + 503, + 515 + ], + "score": 0.37, + "content": "0 . 9 9 \\left( \\beta _ { 2 } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 502, + 506, + 516 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 514, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 526 + ], + "score": 1.0, + "content": "compared to the commonly used 0.9 in AdamW and momentum SGD. The current gradient and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 524, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 104, + 524, + 296, + 538 + ], + "score": 1.0, + "content": "momentum are interpolated with a factor of 0.9", + "type": "text" + }, + { + "bbox": [ + 297, + 526, + 312, + 537 + ], + "score": 0.66, + "content": "( \\beta _ { 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 524, + 506, + 538 + ], + "score": 1.0, + "content": "before the sign operation is applied. This choice", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 534, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 423, + 550 + ], + "score": 1.0, + "content": "of EMA factor and interpolation allows Lion to balance between remembering a", + "type": "text" + }, + { + "bbox": [ + 423, + 537, + 447, + 547 + ], + "score": 0.87, + "content": "{ \\sim } 1 0 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 534, + 506, + 550 + ], + "score": 1.0, + "content": "longer history", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "of the gradient in momentum and putting more weight on the current gradient in the update. The", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 558, + 361, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 176, + 570 + ], + "score": 1.0, + "content": "necessity of both", + "type": "text" + }, + { + "bbox": [ + 177, + 558, + 188, + 570 + ], + "score": 0.88, + "content": "\\beta _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 559, + 205, + 570 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 206, + 558, + 217, + 570 + ], + "score": 0.88, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 559, + 361, + 570 + ], + "score": 1.0, + "content": "is further discussed in Appendix L.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33.5, + "bbox_fs": [ + 104, + 502, + 506, + 570 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 574, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 587 + ], + "score": 1.0, + "content": "Hyperparameter and batch size choices Lion is simpler and has fewer hyperparameters compared", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 302, + 597 + ], + "score": 1.0, + "content": "to AdamW and Adafactor as it does not require", + "type": "text" + }, + { + "bbox": [ + 302, + 587, + 308, + 595 + ], + "score": 0.58, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "and factorization-related ones. The update is an", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 189, + 609 + ], + "score": 1.0, + "content": "element-wise binary", + "type": "text" + }, + { + "bbox": [ + 190, + 596, + 204, + 607 + ], + "score": 0.83, + "content": "\\pm 1", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "if we omit the weight decay term, with larger norm than those produced by", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 606, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 620 + ], + "score": 1.0, + "content": "other optimizers like SGD and adaptive algorithms. As a result, Lion needs a smaller learning rate", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "and in turn a larger decoupled weight decay to achieve a similar effective weight decay strength (lr", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 627, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 124, + 640 + ], + "score": 0.79, + "content": "\\ast \\lambda ,", + "type": "inline_equation" + }, + { + "bbox": [ + 124, + 627, + 505, + 643 + ], + "score": 1.0, + "content": "). Detailed information on tuning Lion can be found in Appendix M. Additionally, the advantage", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "of Lion over AdamW enlarges as the batch size increases, which fits the common practice of scaling", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 651, + 339, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 339, + 663 + ], + "score": 1.0, + "content": "up model training through data parallelism (Appendix L).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 573, + 506, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "Memory and runtime benefits Lion only saves the momentum thus has smaller memory footprint", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "than popular adaptive optimizers like AdamW, which is beneficial when training large models and / or", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "using a large batch size. As an example, AdamW needs at least 16 TPU V4 chips to train a ViT-B/16", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "with image resolution 224 and batch size 4,096, while Lion only needs 8 (both with bfloat16", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "momentum). Another practical benefit is that Lion has faster runtime (steps / sec) in our experiments", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 221, + 86 + ], + "score": 1.0, + "content": "due to its simplicity, usually", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 221, + 73, + 249, + 83 + ], + "score": 0.85, + "content": "2 \\mathrm { - } 1 5 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 250, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "speedup compared to AdamW and Adafactor depending on the", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 228, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 228, + 95 + ], + "score": 1.0, + "content": "task, codebase, and hardware.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 667, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 73, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 221, + 86 + ], + "score": 1.0, + "content": "due to its simplicity, usually", + "type": "text" + }, + { + "bbox": [ + 221, + 73, + 249, + 83 + ], + "score": 0.85, + "content": "2 \\mathrm { - } 1 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "speedup compared to AdamW and Adafactor depending on the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 228, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 228, + 95 + ], + "score": 1.0, + "content": "task, codebase, and hardware.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 106, + 100, + 505, + 188 + ], + "lines": [ + { + "bbox": [ + 105, + 100, + 506, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 506, + 113 + ], + "score": 1.0, + "content": "Relation to existing optimizers The sign operation has been explored in previous optimizers [7, 83].", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 506, + 123 + ], + "score": 1.0, + "content": "The closest to ours is the handcrafted optimizer signSGD [7] (and its momentum variant) that also", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 121, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 505, + 134 + ], + "score": 1.0, + "content": "utilizes the sign operation to calculate the update but has a different momentum update rule from", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 131, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 104, + 131, + 506, + 146 + ], + "score": 1.0, + "content": "Lion. Their focus is to mitigate communication costs between agents in distributed training, and they", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "score": 1.0, + "content": "observe inferior performance when training ConvNets on image classification tasks. On the other", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "hand, NAdam [27] combines the updated first moment and the gradient to compute the update, but", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 432, + 178 + ], + "score": 1.0, + "content": "Lion decouples the momentum tracking and how it is applied to the update through", + "type": "text" + }, + { + "bbox": [ + 432, + 166, + 443, + 177 + ], + "score": 0.87, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 165, + 505, + 178 + ], + "score": 1.0, + "content": ". A comparison", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 351, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 351, + 189 + ], + "score": 1.0, + "content": "of Lion with related optimizers can be found in Appendix K.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5 + }, + { + "type": "title", + "bbox": [ + 107, + 214, + 221, + 228 + ], + "lines": [ + { + "bbox": [ + 105, + 213, + 222, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 222, + 230 + ], + "score": 1.0, + "content": "4 Evaluation of Lion", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 246, + 505, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 246, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 258 + ], + "score": 1.0, + "content": "In this section, we present evaluations of Lion, on various benchmarks. We mainly compare it to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 257, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 269 + ], + "score": 1.0, + "content": "AdamW (or Adafactor when memory is a bottleneck) as it is exceedingly popular and the de facto", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "standard optimizer on a majority of learning tasks. The result of momentum SGD is only included for", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "ResNet since it performs worse than AdamW elsewhere. We also benchmark other popular optimizers", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "in Appendix K, including handcrafted and automatically discovered ones. We make sure that every", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 300, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 315 + ], + "score": 1.0, + "content": "optimizer is well-tuned for each task (see Appendix M for tuning details). By default, the learning", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 312, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 324 + ], + "score": 1.0, + "content": "rate schedule is cosine decay with 10K steps warmup, and the momentum is saved as bfloat16 to", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 323, + 419, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 419, + 335 + ], + "score": 1.0, + "content": "reduce the memory footprint. Ablations studies are performed in Appendix L.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 107, + 358, + 216, + 370 + ], + "lines": [ + { + "bbox": [ + 104, + 356, + 218, + 374 + ], + "spans": [ + { + "bbox": [ + 104, + 356, + 218, + 374 + ], + "score": 1.0, + "content": "4.1 Image Classification", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 383, + 505, + 427 + ], + "lines": [ + { + "bbox": [ + 106, + 384, + 506, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 506, + 395 + ], + "score": 1.0, + "content": "We perform experiments including various datasets and architectures on the image classification task", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "score": 1.0, + "content": "(see Appendix B for dataset details). Apart from training from scratch on ImageNet, we also pre-train", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 470, + 418 + ], + "score": 1.0, + "content": "on two larger well-established datasets, ImageNet-21K and JFT [89]. The image size is", + "type": "text" + }, + { + "bbox": [ + 470, + 405, + 491, + 416 + ], + "score": 0.87, + "content": "2 2 4 ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 405, + 505, + 418 + ], + "score": 1.0, + "content": "by", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 416, + 283, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 283, + 429 + ], + "score": 1.0, + "content": "default otherwise specified by the subscript.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 432, + 505, + 520 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 444 + ], + "score": 1.0, + "content": "Train from scratch on ImageNet Following previous works [26, 37], we train ResNet-50 for 90", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "epochs with a batch size of 1,024, and other models for 300 epochs with a batch size of 4,096. As", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 453, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 506, + 467 + ], + "score": 1.0, + "content": "shown in Table 8 (in the Appendix), Lion significantly outperforms AdamW on various architectures.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 464, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 506, + 479 + ], + "score": 1.0, + "content": "Empirically, the improvement is more substantial on models with larger capacity, with accuracy", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 475, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 156, + 489 + ], + "score": 1.0, + "content": "increases of", + "type": "text" + }, + { + "bbox": [ + 157, + 476, + 183, + 487 + ], + "score": 0.91, + "content": "1 . 9 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 475, + 201, + 489 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 201, + 476, + 229, + 487 + ], + "score": 0.88, + "content": "0 . 5 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 475, + 505, + 489 + ], + "score": 1.0, + "content": "for ViT-B/16 and ViT-S/16, respectively. The performance gaps also", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "tend to enlarger with fewer inductive biases. When strong augmentations are applied, the gain of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 366, + 510 + ], + "score": 1.0, + "content": "Lion over AdamW shrinks, but it still outperforms AdamW by", + "type": "text" + }, + { + "bbox": [ + 366, + 498, + 393, + 509 + ], + "score": 0.85, + "content": "0 . 4 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "on CoAtNet-3, despite the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 509, + 275, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 275, + 521 + ], + "score": 1.0, + "content": "strong regularization during training [21].", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 107, + 525, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 105, + 524, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 538 + ], + "score": 1.0, + "content": "Pre-train on ImageNet-21K We pre-train ViT-B/16 and ViT-L/16 on ImageNet-21K for 90 epochs", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 536, + 506, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 506, + 548 + ], + "score": 1.0, + "content": "with a batch size of 4,096. Table 8 shows that Lion surpasses AdamW when the training set is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 160, + 559 + ], + "score": 1.0, + "content": "enlarged for", + "type": "text" + }, + { + "bbox": [ + 160, + 547, + 176, + 557 + ], + "score": 0.55, + "content": "1 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 547, + 366, + 559 + ], + "score": 1.0, + "content": ". The gaps on larger models are bigger, with", + "type": "text" + }, + { + "bbox": [ + 366, + 547, + 400, + 558 + ], + "score": 0.9, + "content": "+ 0 . 5 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 547, + 418, + 559 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + }, + { + "bbox": [ + 419, + 547, + 452, + 558 + ], + "score": 0.89, + "content": "+ 0 . 3 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 547, + 506, + 559 + ], + "score": 1.0, + "content": "(ImageNet),", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 556, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 138, + 569 + ], + "score": 0.87, + "content": "+ 0 . 5 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 556, + 153, + 571 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + }, + { + "bbox": [ + 153, + 558, + 186, + 569 + ], + "score": 0.89, + "content": "+ 0 . 2 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 556, + 237, + 571 + ], + "score": 1.0, + "content": "(ReaL), and", + "type": "text" + }, + { + "bbox": [ + 237, + 558, + 270, + 569 + ], + "score": 0.88, + "content": "+ 0 . 7 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 556, + 285, + 571 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + }, + { + "bbox": [ + 285, + 558, + 318, + 569 + ], + "score": 0.9, + "content": "+ 0 . 2 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 556, + 505, + 571 + ], + "score": 1.0, + "content": "(V2) for ViT-L/16 and ViT-B/16, respectively.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 106, + 574, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 587 + ], + "score": 1.0, + "content": "Pre-train on JFT To push the limit, we conduct extensive experiments on JFT. We follow the settings", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "of Dosovitskiy et al. [26] and Zhai et al. [102] for both pre-training and fine-tuning. Figure 1 (Left)", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "and 3 present the accuracy of three ViT models (ViT-B/16, ViT-L/16, and ViT-H/14) under different", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 606, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 619 + ], + "score": 1.0, + "content": "pre-training budgets on JFT-300M. Lion enables the ViT-L/16 to match the performance of ViT-H/14", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 347, + 631 + ], + "score": 1.0, + "content": "trained by AdamW on ImageNet and ImageNet V2 but with", + "type": "text" + }, + { + "bbox": [ + 348, + 618, + 359, + 628 + ], + "score": 0.32, + "content": "3 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "less pre-training cost. On ImageNet", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 284, + 642 + ], + "score": 1.0, + "content": "ReaL, the compute saving further becomes", + "type": "text" + }, + { + "bbox": [ + 284, + 630, + 295, + 639 + ], + "score": 0.37, + "content": "{ 5 } \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 628, + 506, + 642 + ], + "score": 1.0, + "content": ". Another evidence is that even when a ViT-L/16 is", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 639, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 654 + ], + "score": 1.0, + "content": "trained by AdamW for 4M steps by Zhai et al. [102], its performance still lags behind the same model", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 650, + 226, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 226, + 664 + ], + "score": 1.0, + "content": "trained by Lion for 1M steps.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "Table 5 in the Appendix shows the fine-tuning results, with higher resolution and EMA. Our ViT-L/16", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 676, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 395, + 691 + ], + "score": 1.0, + "content": "matches the previous ViT-H/14 results trained by AdamW, while being", + "type": "text" + }, + { + "bbox": [ + 396, + 678, + 407, + 688 + ], + "score": 0.44, + "content": "2 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 676, + 505, + 691 + ], + "score": 1.0, + "content": "smaller. The advantage", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 311, + 701 + ], + "score": 1.0, + "content": "is larger on more challenging benchmarks, such as", + "type": "text" + }, + { + "bbox": [ + 311, + 689, + 344, + 699 + ], + "score": 0.89, + "content": "+ 1 . 3 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 688, + 369, + 701 + ], + "score": 1.0, + "content": "(V2),", + "type": "text" + }, + { + "bbox": [ + 369, + 689, + 402, + 700 + ], + "score": 0.88, + "content": "+ 6 . 0 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 688, + 421, + 701 + ], + "score": 1.0, + "content": "(A),", + "type": "text" + }, + { + "bbox": [ + 422, + 689, + 455, + 700 + ], + "score": 0.88, + "content": "+ 5 . 5 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 688, + 506, + 701 + ], + "score": 1.0, + "content": "(R) for ViT-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 279, + 713 + ], + "score": 1.0, + "content": "L/16. When pretrained on JFT-3B, the ViT-", + "type": "text" + }, + { + "bbox": [ + 280, + 700, + 298, + 711 + ], + "score": 0.25, + "content": "\\mathrm { g } / 1 4", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "trained by Lion outperforms the previous ViT-G/14", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 710, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 182, + 724 + ], + "score": 1.0, + "content": "results [102], with", + "type": "text" + }, + { + "bbox": [ + 182, + 711, + 201, + 721 + ], + "score": 0.66, + "content": "1 . 8 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 710, + 377, + 724 + ], + "score": 1.0, + "content": "fewer parameters. Our ViT-G/14 achieves a", + "type": "text" + }, + { + "bbox": [ + 378, + 711, + 410, + 721 + ], + "score": 0.87, + "content": "9 0 . 7 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 710, + 505, + 724 + ], + "score": 1.0, + "content": "accuracy on ImageNet.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 46 + } + ], + "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": "text", + "bbox": [ + 106, + 73, + 504, + 95 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 106, + 72, + 505, + 95 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 100, + 505, + 188 + ], + "lines": [ + { + "bbox": [ + 105, + 100, + 506, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 506, + 113 + ], + "score": 1.0, + "content": "Relation to existing optimizers The sign operation has been explored in previous optimizers [7, 83].", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 506, + 123 + ], + "score": 1.0, + "content": "The closest to ours is the handcrafted optimizer signSGD [7] (and its momentum variant) that also", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 121, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 505, + 134 + ], + "score": 1.0, + "content": "utilizes the sign operation to calculate the update but has a different momentum update rule from", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 131, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 104, + 131, + 506, + 146 + ], + "score": 1.0, + "content": "Lion. Their focus is to mitigate communication costs between agents in distributed training, and they", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "score": 1.0, + "content": "observe inferior performance when training ConvNets on image classification tasks. On the other", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "hand, NAdam [27] combines the updated first moment and the gradient to compute the update, but", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 432, + 178 + ], + "score": 1.0, + "content": "Lion decouples the momentum tracking and how it is applied to the update through", + "type": "text" + }, + { + "bbox": [ + 432, + 166, + 443, + 177 + ], + "score": 0.87, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 165, + 505, + 178 + ], + "score": 1.0, + "content": ". A comparison", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 351, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 351, + 189 + ], + "score": 1.0, + "content": "of Lion with related optimizers can be found in Appendix K.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5, + "bbox_fs": [ + 104, + 100, + 506, + 189 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 214, + 221, + 228 + ], + "lines": [ + { + "bbox": [ + 105, + 213, + 222, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 222, + 230 + ], + "score": 1.0, + "content": "4 Evaluation of Lion", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 246, + 505, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 246, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 258 + ], + "score": 1.0, + "content": "In this section, we present evaluations of Lion, on various benchmarks. We mainly compare it to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 257, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 269 + ], + "score": 1.0, + "content": "AdamW (or Adafactor when memory is a bottleneck) as it is exceedingly popular and the de facto", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "standard optimizer on a majority of learning tasks. The result of momentum SGD is only included for", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "ResNet since it performs worse than AdamW elsewhere. We also benchmark other popular optimizers", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "in Appendix K, including handcrafted and automatically discovered ones. We make sure that every", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 300, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 315 + ], + "score": 1.0, + "content": "optimizer is well-tuned for each task (see Appendix M for tuning details). By default, the learning", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 312, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 324 + ], + "score": 1.0, + "content": "rate schedule is cosine decay with 10K steps warmup, and the momentum is saved as bfloat16 to", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 323, + 419, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 419, + 335 + ], + "score": 1.0, + "content": "reduce the memory footprint. Ablations studies are performed in Appendix L.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 246, + 506, + 335 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 358, + 216, + 370 + ], + "lines": [ + { + "bbox": [ + 104, + 356, + 218, + 374 + ], + "spans": [ + { + "bbox": [ + 104, + 356, + 218, + 374 + ], + "score": 1.0, + "content": "4.1 Image Classification", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 383, + 505, + 427 + ], + "lines": [ + { + "bbox": [ + 106, + 384, + 506, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 506, + 395 + ], + "score": 1.0, + "content": "We perform experiments including various datasets and architectures on the image classification task", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "score": 1.0, + "content": "(see Appendix B for dataset details). Apart from training from scratch on ImageNet, we also pre-train", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 405, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 470, + 418 + ], + "score": 1.0, + "content": "on two larger well-established datasets, ImageNet-21K and JFT [89]. The image size is", + "type": "text" + }, + { + "bbox": [ + 470, + 405, + 491, + 416 + ], + "score": 0.87, + "content": "2 2 4 ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 405, + 505, + 418 + ], + "score": 1.0, + "content": "by", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 416, + 283, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 283, + 429 + ], + "score": 1.0, + "content": "default otherwise specified by the subscript.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 384, + 506, + 429 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 432, + 505, + 520 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 444 + ], + "score": 1.0, + "content": "Train from scratch on ImageNet Following previous works [26, 37], we train ResNet-50 for 90", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "epochs with a batch size of 1,024, and other models for 300 epochs with a batch size of 4,096. As", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 453, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 506, + 467 + ], + "score": 1.0, + "content": "shown in Table 8 (in the Appendix), Lion significantly outperforms AdamW on various architectures.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 464, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 506, + 479 + ], + "score": 1.0, + "content": "Empirically, the improvement is more substantial on models with larger capacity, with accuracy", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 475, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 156, + 489 + ], + "score": 1.0, + "content": "increases of", + "type": "text" + }, + { + "bbox": [ + 157, + 476, + 183, + 487 + ], + "score": 0.91, + "content": "1 . 9 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 475, + 201, + 489 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 201, + 476, + 229, + 487 + ], + "score": 0.88, + "content": "0 . 5 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 475, + 505, + 489 + ], + "score": 1.0, + "content": "for ViT-B/16 and ViT-S/16, respectively. The performance gaps also", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "tend to enlarger with fewer inductive biases. When strong augmentations are applied, the gain of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 366, + 510 + ], + "score": 1.0, + "content": "Lion over AdamW shrinks, but it still outperforms AdamW by", + "type": "text" + }, + { + "bbox": [ + 366, + 498, + 393, + 509 + ], + "score": 0.85, + "content": "0 . 4 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "on CoAtNet-3, despite the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 509, + 275, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 275, + 521 + ], + "score": 1.0, + "content": "strong regularization during training [21].", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 432, + 506, + 521 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 525, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 105, + 524, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 538 + ], + "score": 1.0, + "content": "Pre-train on ImageNet-21K We pre-train ViT-B/16 and ViT-L/16 on ImageNet-21K for 90 epochs", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 536, + 506, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 506, + 548 + ], + "score": 1.0, + "content": "with a batch size of 4,096. Table 8 shows that Lion surpasses AdamW when the training set is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 160, + 559 + ], + "score": 1.0, + "content": "enlarged for", + "type": "text" + }, + { + "bbox": [ + 160, + 547, + 176, + 557 + ], + "score": 0.55, + "content": "1 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 547, + 366, + 559 + ], + "score": 1.0, + "content": ". The gaps on larger models are bigger, with", + "type": "text" + }, + { + "bbox": [ + 366, + 547, + 400, + 558 + ], + "score": 0.9, + "content": "+ 0 . 5 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 547, + 418, + 559 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + }, + { + "bbox": [ + 419, + 547, + 452, + 558 + ], + "score": 0.89, + "content": "+ 0 . 3 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 547, + 506, + 559 + ], + "score": 1.0, + "content": "(ImageNet),", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 556, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 138, + 569 + ], + "score": 0.87, + "content": "+ 0 . 5 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 556, + 153, + 571 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + }, + { + "bbox": [ + 153, + 558, + 186, + 569 + ], + "score": 0.89, + "content": "+ 0 . 2 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 556, + 237, + 571 + ], + "score": 1.0, + "content": "(ReaL), and", + "type": "text" + }, + { + "bbox": [ + 237, + 558, + 270, + 569 + ], + "score": 0.88, + "content": "+ 0 . 7 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 556, + 285, + 571 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + }, + { + "bbox": [ + 285, + 558, + 318, + 569 + ], + "score": 0.9, + "content": "+ 0 . 2 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 556, + 505, + 571 + ], + "score": 1.0, + "content": "(V2) for ViT-L/16 and ViT-B/16, respectively.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 524, + 506, + 571 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 574, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 587 + ], + "score": 1.0, + "content": "Pre-train on JFT To push the limit, we conduct extensive experiments on JFT. We follow the settings", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "of Dosovitskiy et al. [26] and Zhai et al. [102] for both pre-training and fine-tuning. Figure 1 (Left)", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "and 3 present the accuracy of three ViT models (ViT-B/16, ViT-L/16, and ViT-H/14) under different", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 606, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 619 + ], + "score": 1.0, + "content": "pre-training budgets on JFT-300M. Lion enables the ViT-L/16 to match the performance of ViT-H/14", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 347, + 631 + ], + "score": 1.0, + "content": "trained by AdamW on ImageNet and ImageNet V2 but with", + "type": "text" + }, + { + "bbox": [ + 348, + 618, + 359, + 628 + ], + "score": 0.32, + "content": "3 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "less pre-training cost. 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ModelOptimizerImageNetC100Pet
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Task1.1B2.1B7.5B6.7B GPT-38B PaLM
AdafactorLionAdafactorLionAdafactorLion
#Tokens300B300B780B
Avg NLG11.112.115.616.524.124.723.123.9
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ModelOptimizerImageNetC100Pet
LiT-B/32-BAdamW Lion68.78 69.8871.41 71.7886.62 87.36
LiT-B/16-BAdamW Lion74.26 75.3972.25 72.4989.83
LiT-g/14288-LAdamW Lion83.43 84.0980.93 81.4391.20 94.88 95.86
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Task1.1B2.1B7.5B6.7B GPT-38B PaLM
AdafactorLionAdafactorLionAdafactorLion
#Tokens300B300B780B
Avg NLG11.112.115.616.524.124.723.123.9
Avg NLU53.253.956.857.461.361.758.559.4
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Figure 7 (Left)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 466, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 506, + 478 + ], + "score": 1.0, + "content": "in the Appendix depicts an example zero-shot learning curve of LiT-B/16-B. Similar results are", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 477, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 506, + 489 + ], + "score": 1.0, + "content": "obtained on the other two datasets. The zero-shot image-text retrieval results on MSCOCO [56] and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 486, + 500 + ], + "score": 1.0, + "content": "Flickr30K [74] can be found in Figure 6 (in the Appendix). 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The batch size is 2,048 and the learning", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 235, + 506, + 251 + ], + "spans": [ + { + "bbox": [ + 104, + 235, + 506, + 251 + ], + "score": 1.0, + "content": "rate remains constant throughout training. For decoding, we apply DDPM [41] for 1K sampling", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "steps without classifier-free guidance. The evaluation metric is the standard FID score. 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For reference, the FID of ADM [24] is 10.94.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 318, + 505, + 439 + ], + "lines": [ + { + "bbox": [ + 105, + 317, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 413, + 332 + ], + "score": 1.0, + "content": "Text-to-image generation We follow the Imagen [84] setup to train a base", + "type": "text" + }, + { + "bbox": [ + 413, + 319, + 447, + 329 + ], + "score": 0.9, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 317, + 505, + 332 + ], + "score": 1.0, + "content": "text-to-image", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 161, + 342 + ], + "score": 1.0, + "content": "model and a", + "type": "text" + }, + { + "bbox": [ + 161, + 330, + 259, + 340 + ], + "score": 0.9, + "content": "6 4 \\times 6 4 2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 330, + 505, + 342 + ], + "score": 1.0, + "content": "super-resolution model. All models are trained on a high-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "score": 1.0, + "content": "quality internal image-text dataset with a batch size of 2,048 and a constant learning rate. Due to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "computational constraints, our base U-Net has a width of 192 compared to 512 in the original 2B", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 363, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 505, + 375 + ], + "score": 1.0, + "content": "model, while the 600M super-resolution model is identical to the original Imagen setup. Along with", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 374, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 506, + 386 + ], + "score": 1.0, + "content": "the training, 2K images are sampled from the MSCOCO [56] validation set for real-time evaluation.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 383, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 398 + ], + "score": 1.0, + "content": "We use the CLIP score to measure image-text alignment and the zero-shot FID-30K to measure image", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 396, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 506, + 408 + ], + "score": 1.0, + "content": "fidelity. Classifier-free guidance [40] with a weight of 5.0 is applied as it has been shown to improve", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 406, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 505, + 419 + ], + "score": 1.0, + "content": "image-text alignment. Figure 4 depicts the learning curve. While there is no clear improvement on", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 140, + 429 + ], + "score": 1.0, + "content": "the base", + "type": "text" + }, + { + "bbox": [ + 141, + 417, + 174, + 428 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "model, Lion outperforms AdamW on the text-conditional super-resolution model. It", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 428, + 442, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 442, + 440 + ], + "score": 1.0, + "content": "achieves a higher CLIP score and has a less noisy FID metric compared to AdamW.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 33 + }, + { + "type": "title", + "bbox": [ + 108, + 459, + 286, + 471 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 288, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 288, + 474 + ], + "score": 1.0, + "content": "4.4 Language Modeling and Fine-tuning", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 515 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 495 + ], + "score": 1.0, + "content": "This section focuses on language modeling and fine-tuning. On language-only tasks, we find that", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 491, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 135, + 506 + ], + "score": 1.0, + "content": "tuning", + "type": "text" + }, + { + "bbox": [ + 135, + 493, + 146, + 504 + ], + "score": 0.88, + "content": "\\beta _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 491, + 165, + 506 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 165, + 493, + 176, + 504 + ], + "score": 0.88, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 491, + 505, + 506 + ], + "score": 1.0, + "content": "can improve the quality for both AdamW and Lion. See Appendix M for tuning", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 502, + 464, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 464, + 516 + ], + "score": 1.0, + "content": "details. The masked language modeling and fine-tuning results are shown in Appendix J.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 520, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "Autoregressive language modeling We first experiment on two smaller-scale academic datasets", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 530, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 506, + 543 + ], + "score": 1.0, + "content": "Wiki-40B [34] and PG-19 [76]. The employed Transformer spans three scales: small (110M),", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "medium (336M), and large (731M). The architecture details can be found in Appendix E. All models", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 550, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 104, + 550, + 174, + 567 + ], + "score": 1.0, + "content": "are trained with", + "type": "text" + }, + { + "bbox": [ + 174, + 552, + 189, + 563 + ], + "score": 0.82, + "content": "2 ^ { 1 8 }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 550, + 506, + 567 + ], + "score": 1.0, + "content": "tokens per batch for 125K steps, with a learning rate schedule of 10K steps", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 563, + 507, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 507, + 576 + ], + "score": 1.0, + "content": "warmup followed by linear decay. The context length is set to 512 for Wiki-40B and 1,024 for PG-19.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "Figure 5 illustrates the token-level perplexity for Wiki-40B and word-level perplexity for PG-19. Lion", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 584, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 411, + 599 + ], + "score": 1.0, + "content": "consistently achieves lower validation perplexity than AdamW. 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Following", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "score": 1.0, + "content": "GPT-3 [12], we train three models, from 1.1B to 7.5B parameters, on 300B tokens with a batch size", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "score": 1.0, + "content": "of 3M tokens and a context length of 1K. We evaluate them on three natural language generative", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 654, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 669 + ], + "score": 1.0, + "content": "(NLG) and 21 natural language understanding (NLU) tasks (see Appendix C for details). 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The speedup brought by", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 309, + 168, + 506, + 180 + ], + "spans": [ + { + "bbox": [ + 309, + 168, + 506, + 180 + ], + "score": 1.0, + "content": "Lion tends to increase with the model scale. 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The batch size is 2,048 and the learning", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 235, + 506, + 251 + ], + "spans": [ + { + "bbox": [ + 104, + 235, + 506, + 251 + ], + "score": 1.0, + "content": "rate remains constant throughout training. For decoding, we apply DDPM [41] for 1K sampling", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "steps without classifier-free guidance. The evaluation metric is the standard FID score. Illustrated by", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 259, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 505, + 272 + ], + "score": 1.0, + "content": "Figure 1 (Right) and Figure 7 (Middle and Right) in the Appendix, Lion enables both better quality", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 270, + 505, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 505, + 283 + ], + "score": 1.0, + "content": "and faster convergence on the FID score. The gap between Lion and AdamW increases with the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 280, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 460, + 294 + ], + "score": 1.0, + "content": "image resolution, where the generation becomes more challenging. When generating", + "type": "text" + }, + { + "bbox": [ + 460, + 281, + 505, + 291 + ], + "score": 0.89, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 291, + 506, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 351, + 305 + ], + "score": 1.0, + "content": "images, Lion achieves the final performance of AdamW with", + "type": "text" + }, + { + "bbox": [ + 351, + 292, + 370, + 302 + ], + "score": 0.65, + "content": "2 . 3 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 291, + 506, + 305 + ], + "score": 1.0, + "content": "fewer steps. The final FID scores", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 302, + 422, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 422, + 314 + ], + "score": 1.0, + "content": "are 4.1 (Lion) vs. 4.7 (AdamW). For reference, the FID of ADM [24] is 10.94.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23, + "bbox_fs": [ + 104, + 215, + 506, + 314 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 318, + 505, + 439 + ], + "lines": [ + { + "bbox": [ + 105, + 317, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 413, + 332 + ], + "score": 1.0, + "content": "Text-to-image generation We follow the Imagen [84] setup to train a base", + "type": "text" + }, + { + "bbox": [ + 413, + 319, + 447, + 329 + ], + "score": 0.9, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 317, + 505, + 332 + ], + "score": 1.0, + "content": "text-to-image", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 161, + 342 + ], + "score": 1.0, + "content": "model and a", + "type": "text" + }, + { + "bbox": [ + 161, + 330, + 259, + 340 + ], + "score": 0.9, + "content": "6 4 \\times 6 4 2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 330, + 505, + 342 + ], + "score": 1.0, + "content": "super-resolution model. All models are trained on a high-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "score": 1.0, + "content": "quality internal image-text dataset with a batch size of 2,048 and a constant learning rate. Due to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "computational constraints, our base U-Net has a width of 192 compared to 512 in the original 2B", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 363, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 505, + 375 + ], + "score": 1.0, + "content": "model, while the 600M super-resolution model is identical to the original Imagen setup. Along with", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 374, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 506, + 386 + ], + "score": 1.0, + "content": "the training, 2K images are sampled from the MSCOCO [56] validation set for real-time evaluation.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 383, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 398 + ], + "score": 1.0, + "content": "We use the CLIP score to measure image-text alignment and the zero-shot FID-30K to measure image", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 396, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 506, + 408 + ], + "score": 1.0, + "content": "fidelity. Classifier-free guidance [40] with a weight of 5.0 is applied as it has been shown to improve", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 406, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 505, + 419 + ], + "score": 1.0, + "content": "image-text alignment. Figure 4 depicts the learning curve. While there is no clear improvement on", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 140, + 429 + ], + "score": 1.0, + "content": "the base", + "type": "text" + }, + { + "bbox": [ + 141, + 417, + 174, + 428 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "model, Lion outperforms AdamW on the text-conditional super-resolution model. It", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 428, + 442, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 442, + 440 + ], + "score": 1.0, + "content": "achieves a higher CLIP score and has a less noisy FID metric compared to AdamW.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 317, + 506, + 440 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 459, + 286, + 471 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 288, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 288, + 474 + ], + "score": 1.0, + "content": "4.4 Language Modeling and Fine-tuning", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 515 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 495 + ], + "score": 1.0, + "content": "This section focuses on language modeling and fine-tuning. On language-only tasks, we find that", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 491, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 135, + 506 + ], + "score": 1.0, + "content": "tuning", + "type": "text" + }, + { + "bbox": [ + 135, + 493, + 146, + 504 + ], + "score": 0.88, + "content": "\\beta _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 491, + 165, + 506 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 165, + 493, + 176, + 504 + ], + "score": 0.88, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 491, + 505, + 506 + ], + "score": 1.0, + "content": "can improve the quality for both AdamW and Lion. See Appendix M for tuning", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 502, + 464, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 464, + 516 + ], + "score": 1.0, + "content": "details. The masked language modeling and fine-tuning results are shown in Appendix J.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 480, + 506, + 516 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 520, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "Autoregressive language modeling We first experiment on two smaller-scale academic datasets", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 530, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 506, + 543 + ], + "score": 1.0, + "content": "Wiki-40B [34] and PG-19 [76]. The employed Transformer spans three scales: small (110M),", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "medium (336M), and large (731M). The architecture details can be found in Appendix E. All models", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 550, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 104, + 550, + 174, + 567 + ], + "score": 1.0, + "content": "are trained with", + "type": "text" + }, + { + "bbox": [ + 174, + 552, + 189, + 563 + ], + "score": 0.82, + "content": "2 ^ { 1 8 }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 550, + 506, + 567 + ], + "score": 1.0, + "content": "tokens per batch for 125K steps, with a learning rate schedule of 10K steps", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 563, + 507, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 507, + 576 + ], + "score": 1.0, + "content": "warmup followed by linear decay. The context length is set to 512 for Wiki-40B and 1,024 for PG-19.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "Figure 5 illustrates the token-level perplexity for Wiki-40B and word-level perplexity for PG-19. Lion", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 584, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 411, + 599 + ], + "score": 1.0, + "content": "consistently achieves lower validation perplexity than AdamW. It achieves", + "type": "text" + }, + { + "bbox": [ + 412, + 586, + 431, + 596 + ], + "score": 0.35, + "content": "1 . 6 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 584, + 449, + 599 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 449, + 585, + 468, + 596 + ], + "score": 0.61, + "content": "1 . 5 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 584, + 505, + 599 + ], + "score": 1.0, + "content": "speedup", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "when training the medium size model on Wiki-40B and PG-19, respectively. When the model is", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 607, + 399, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 383, + 620 + ], + "score": 1.0, + "content": "increased to the large size, the speedup on PG-19 further increases to", + "type": "text" + }, + { + "bbox": [ + 384, + 608, + 395, + 617 + ], + "score": 0.56, + "content": "2 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 607, + 399, + 620 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 47, + "bbox_fs": [ + 104, + 520, + 507, + 620 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 506, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 506, + 638 + ], + "score": 1.0, + "content": "We then conduct larger experiments with the pre-training dataset similar to GLaM [28]. Following", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "score": 1.0, + "content": "GPT-3 [12], we train three models, from 1.1B to 7.5B parameters, on 300B tokens with a batch size", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "score": 1.0, + "content": "of 3M tokens and a context length of 1K. We evaluate them on three natural language generative", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 654, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 669 + ], + "score": 1.0, + "content": "(NLG) and 21 natural language understanding (NLU) tasks (see Appendix C for details). We observe", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "no difference in perplexity throughout training. Nevertheless, Lion outperforms Adafactor on the", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "average in-context learning ability, as shown in Table 3. Our 7.5B baseline model, trained for 300B", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "score": 1.0, + "content": "tokens, outperforms the 8B PaLM, trained for 780B tokens, demonstrating the strength of our setup.", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "Lion outperforms Adafactor on both NLG and NLU tasks, particularly on the NLG tasks, with an", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 106, + 711, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 222, + 724 + ], + "score": 1.0, + "content": "exact match improvement of", + "type": "text" + }, + { + "bbox": [ + 222, + 711, + 242, + 721 + ], + "score": 0.76, + "content": "+ 1 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 711, + 245, + 724 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 245, + 711, + 265, + 722 + ], + "score": 0.78, + "content": "+ 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 711, + 285, + 724 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 285, + 711, + 305, + 721 + ], + "score": 0.86, + "content": "+ 0 . 6", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 711, + 506, + 724 + ], + "score": 1.0, + "content": "for the 1.1B, 2.1B, and 7.5B models, respectively.", + "type": "text" + } + ], + "index": 60 + } + ], + "index": 56, + "bbox_fs": [ + 105, + 622, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 197, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 70, + 198, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 198, + 86 + ], + "score": 1.0, + "content": "5 Related Work", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 96, + 505, + 184 + ], + "lines": [ + { + "bbox": [ + 105, + 95, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 506, + 108 + ], + "score": 1.0, + "content": "Our work lies in the area of AutoML and meta-learning that includes learning to learn [1, 5, 63, 64,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 506, + 120 + ], + "score": 1.0, + "content": "78, 96, 97], neural architecture search [14, 15, 57, 71, 79, 87, 93, 94, 98, 106] and hyperparameter", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 118, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 506, + 131 + ], + "score": 1.0, + "content": "optimization [25, 43, 44, 55], etc. There is also a long history of using evolutionary methods to", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 129, + 505, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 505, + 142 + ], + "score": 1.0, + "content": "search for programs, i.e., genetic programming [11, 42, 49]. Our approach builds upon a symbolic", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 140, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 106, + 140, + 505, + 152 + ], + "score": 1.0, + "content": "search space similar to AutoML-Zero [70, 80]. However, instead of discovering programs with fixed", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 151, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 505, + 163 + ], + "score": 1.0, + "content": "dimensional matrices, vector, and scalars for toy tasks, our goal is to develop programs that operate", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 162, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 506, + 173 + ], + "score": 1.0, + "content": "on n-dimensional arrays and can generalize to state-of-the-art tasks. Other related works include", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 423, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 423, + 185 + ], + "score": 1.0, + "content": "numerous handcrafted optimizers [2, 7, 27, 29, 35, 48, 58, 61, 82, 83, 86, 105].", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4.5 + }, + { + "type": "title", + "bbox": [ + 107, + 200, + 183, + 213 + ], + "lines": [ + { + "bbox": [ + 105, + 198, + 185, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 185, + 216 + ], + "score": 1.0, + "content": "6 Conclusion", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 225, + 505, + 269 + ], + "lines": [ + { + "bbox": [ + 105, + 225, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 238 + ], + "score": 1.0, + "content": "This paper aims at discovering optimization algorithms via program search. 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Model#ParamsEpochs /StepsOptimizerImageNetReaLV2AR
ViT-B/1638486.86M7 / 517,791AdamW Lion84.24 84.7289.04 89.1474.89 75.8327.39 29.6553.71 55.86
ViT-L/16384304.72M7 / 517,791AdamW Lion86.69 87.3289.95 90.4378.03 79.2940.55 47.1364.47 68.49
14 / 1,035,583AdamW Lion87.29 88.0990.11 90.6278.91 80.4842.56 51.5564.34 70.72
ViT-H/14392632.72M14 / 1,035,583AdamW Lion88.02 88.7890.27 90.6880.10 81.4153.14 58.2169.48 73.09
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ModelViT-L/16512ViT-H/14518ViT-g/14518ViT-G/14518
#Params305.18M633.47M1.04B1.88B
OptimizerAdamWLionAdamWLionAdafactorLionAdafactorLion
ImageNet87.7288.5088.5589.0990.2590.5290.4590.71/ 90.71*
ReaL90.4690.9190.6291.0290.8491.1190.8191.06 / 91.25*
V279.8081.1381.1282.2483.1083.3983.3383.54 / 83.83*
A52.7258.8060.6463.78-1-
R66.9572.4972.3075.0711-=
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Algoritnm1 AdamW Optimizer given β1, β2, ∈, 入,n, f initialize 0o,mo ←O,vo ←O,t ←0 while 0t not converged do t↑t+1
gt←Vθf(0t-1) update EMA of gt and g²
mt ← βimt-1+(1-βi)gt Ut←β2Ut-1+(1-β2)g²
bias correction mt ← mt/(1-βt)
Ut←Ut/(1-β) update model parameters 0t←0t-1-nt(mt/(√ut+∈)+λ0t-1)
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Algorithm 2 Lion Optimizer (ours)
given β1, β2, λ, n, f initialize0o,mo←0 while θt not converged do gt ←Vef(0t-1)
update model parameters Ct ←βimt-1+(1-βi)gt 0t←0t-1-nt(sign(ct)+入0t-1)
update EMA of gt
mt ← β2mt-1+(1-β2)gt
return 0t
end while
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Model#ParamsEpochs /StepsOptimizerImageNetReaLV2AR
ViT-B/1638486.86M7 / 517,791AdamW Lion84.24 84.7289.04 89.1474.89 75.8327.39 29.6553.71 55.86
ViT-L/16384304.72M7 / 517,791AdamW Lion86.69 87.3289.95 90.4378.03 79.2940.55 47.1364.47 68.49
14 / 1,035,583AdamW Lion87.29 88.0990.11 90.6278.91 80.4842.56 51.5564.34 70.72
ViT-H/14392632.72M14 / 1,035,583AdamW Lion88.02 88.7890.27 90.6880.10 81.4153.14 58.2169.48 73.09
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ModelViT-L/16512ViT-H/14518ViT-g/14518ViT-G/14518
#Params305.18M633.47M1.04B1.88B
OptimizerAdamWLionAdamWLionAdafactorLionAdafactorLion
ImageNet87.7288.5088.5589.0990.2590.5290.4590.71/ 90.71*
ReaL90.4690.9190.6291.0290.8491.1190.8191.06 / 91.25*
V279.8081.1381.1282.2483.1083.3983.3383.54 / 83.83*
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Algoritnm1 AdamW Optimizer given β1, β2, ∈, 入,n, f initialize 0o,mo ←O,vo ←O,t ←0 while 0t not converged do t↑t+1
gt←Vθf(0t-1) update EMA of gt and g²
mt ← βimt-1+(1-βi)gt Ut←β2Ut-1+(1-β2)g²
bias correction mt ← mt/(1-βt)
Ut←Ut/(1-β) update model parameters 0t←0t-1-nt(mt/(√ut+∈)+λ0t-1)
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Algorithm 2 Lion Optimizer (ours)
given β1, β2, λ, n, f initialize0o,mo←0 while θt not converged do gt ←Vef(0t-1)
update model parameters Ct ←βimt-1+(1-βi)gt 0t←0t-1-nt(sign(ct)+入0t-1)
update EMA of gt
mt ← β2mt-1+(1-β2)gt
return 0t
end while
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The blue one meta-overfits at", + "type": "text" + }, + { + "bbox": [ + 477, + 306, + 505, + 316 + ], + "score": 0.89, + "content": "{ \\sim } 1 5 \\%", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 316, + 507, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 357, + 330 + ], + "score": 1.0, + "content": "of the search progress, while the orange one meta-overfits at", + "type": "text" + }, + { + "bbox": [ + 358, + 317, + 385, + 327 + ], + "score": 0.89, + "content": "{ \\sim } 9 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 316, + 507, + 330 + ], + "score": 1.0, + "content": "and achieves a better metric.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "Right: Histogram of the search progress when meta-overfitting happens based on 50 runs. Half of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "score": 1.0, + "content": "the runs meta-overfit early but a long tail of runs meta-overfit much later. Blue cross depicts the best", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "meta-validation metric averaged within each bin, indicating that meta-overfitting happening later", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 360, + 268, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 268, + 372 + ], + "score": 1.0, + "content": "leads to programs that generalize better.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12 + } + ], + "index": 9.5 + }, + { + "type": "title", + "bbox": [ + 107, + 391, + 223, + 405 + ], + "lines": [ + { + "bbox": [ + 104, + 389, + 225, + 407 + ], + "spans": [ + { + "bbox": [ + 104, + 389, + 225, + 407 + ], + "score": 1.0, + "content": "I Abstract Execution", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 106, + 416, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 506, + 429 + ], + "score": 1.0, + "content": "We propose to prune the large search space with abstract execution. Our approach is motivated by", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "score": 1.0, + "content": "the fact that a large number of programs are invalid, functionally equivalent, or contain redundant", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 439, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 505, + 450 + ], + "score": 1.0, + "content": "statements that waste compute during evaluation. To address this, we introduce an abstract execution", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 449, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 505, + 461 + ], + "score": 1.0, + "content": "step that checks the type and shape of each variable, and computes a hash for each unique computation", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 460, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 471 + ], + "score": 1.0, + "content": "from inputs to outputs to detect redundant statements. The abstract execution can be seen as a static", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 470, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 484 + ], + "score": 1.0, + "content": "analysis of the program, achieved by replacing functions and inputs with customized values. We", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 482, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 495 + ], + "score": 1.0, + "content": "outline the specifics of the customized values and abstract execution procedure for three use cases", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 492, + 490, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 490, + 505 + ], + "score": 1.0, + "content": "below. The cost of the abstract execution is usually negligible compared to the actual execution.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 415, + 506, + 505 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 509, + 505, + 554 + ], + "lines": [ + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "score": 1.0, + "content": "Detecting errors with type / shape inference To detect programs containing errors, we infer the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "score": 1.0, + "content": "type and shape of each variable in the program through the following steps: (1) replace each input", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "with an abstract object that only contains type and shape information, and replace each statement", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "score": 1.0, + "content": "with a type and shape inference function; (2) iterate through all statements. 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This", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "process essentially performs a static analysis of the program, exposing errors caused by type and", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 504, + 504, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 504, + 515 + ], + "score": 1.0, + "content": "shape mismatch. Note that there are still run-time errors, such as division by zero, that cannot be", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "detected in this manner. Without such filtering of invalid programs, the search would be overwhelmed", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 525, + 402, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 402, + 538 + ], + "score": 1.0, + "content": "with invalid programs, making it difficult to achieve meaningful progress.", + "type": "text", + "cross_page": true + } + ], + "index": 11 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 508, + 506, + 555 + ] + }, + { + "type": "image", + "bbox": [ + 106, + 571, + 504, + 669 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 571, + 504, + 669 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 106, + 571, + 504, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 571, + 504, + 669 + ], + "score": 0.968, + "type": "image", + "image_path": "7d61381070f0c2305256a9b314bdf8b4bcf25b92b55e15c1b8f10ea749da9b35.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 106, + 571, + 504, + 603.6666666666666 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 106, + 603.6666666666666, + 504, + 636.3333333333333 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 106, + 636.3333333333333, + 504, + 668.9999999999999 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 674, + 505, + 719 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 106, + 675, + 505, + 686 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 505, + 686 + ], + "score": 1.0, + "content": "Figure 12: Log perplexity of the small (Left), medium (Middle), and large (Right) size Transformer", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 685, + 505, + 698 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 176, + 698 + ], + "score": 1.0, + "content": "on PG-19. Since", + "type": "text" + }, + { + "bbox": [ + 176, + 686, + 218, + 697 + ], + "score": 0.84, + "content": "\\beta _ { 1 } = 0 . 9 5", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 685, + 222, + 698 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 222, + 686, + 264, + 697 + ], + "score": 0.74, + "content": "\\beta _ { 2 } = 0 . 9 8", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 685, + 505, + 698 + ], + "score": 1.0, + "content": "in Lion when performing language modeling, we compare", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 697, + 505, + 709 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 258, + 709 + ], + "score": 1.0, + "content": "to Ablation0.95 and Ablation0.98 with", + "type": "text" + }, + { + "bbox": [ + 258, + 697, + 298, + 708 + ], + "score": 0.9, + "content": "\\beta = 0 . 9 5", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 697, + 317, + 709 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 317, + 697, + 357, + 708 + ], + "score": 0.9, + "content": "\\beta = 0 . 9 8", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 697, + 505, + 709 + ], + "score": 1.0, + "content": ", respectively (see Section L for the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 707, + 302, + 720 + ], + "spans": [ + { + "bbox": [ + 105, + 707, + 302, + 720 + ], + "score": 1.0, + "content": "definition). 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Model#ParamsOptimizerRandAug + MixupImageNetReaLV2
Train from scratch on ImageNet
ResNet-5025.56MSGD AdamW76.2282.3963.93
Lion×76.3482.7264.24
Mixer-S/1618.53MAdamW76.4582.7264.02
Lion×69.26 69.9275.71 76.1955.01 55.75
Mixer-B/1659.88MAdamW×68.1273.9253.37
Lion70.1176.6055.94
ViT-S/1622.05MAdamWX76.1281.9463.09
Lion76.7082.6464.14
AdamW78.89 「 79.4684.6166.73
Lion AdamW75.4885.25 80.6467.68
ViT-B/1686.57MLionX √77.4482.5761.87 64.81
AdamW80.1285.4668.14
Lion80.7786.1569.19
AdamW83.36 (83.3)-
42.23MLion AdamW√84.07-- -
CoAtNet-3166.97M Lion√84.45 (84.5) 84.87==
Pre-train on ImageNet-21K then fine-tune on ImageNet
ViT-B/1638486.86MAdamW LionX84.12 (83.97) 84.4588.61 (88.35) 88.8473.81 74.06
ViT-L/16384304.72MAdamW LionX85.07 (85.15) 85.5988.78 (88.40) 89.3575.10 75.84
", + "type": "table", + "image_path": "45a431ae13b6b39da5fa1082c82b372d44899f3a6e461ad1d4d2ec7ca50b608c.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 136, + 104, + 474, + 213.66666666666669 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 136, + 213.66666666666669, + 474, + 323.33333333333337 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 136, + 323.33333333333337, + 474, + 433.00000000000006 + ], + "spans": [], + "index": 4 + } + ] + } + ], + "index": 1.75 + }, + { + "type": "text", + "bbox": [ + 106, + 459, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "score": 1.0, + "content": "original statement, we validate a function call by checking the function signature and type and shape", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 471, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 505, + 483 + ], + "score": 1.0, + "content": "information of its arguments. 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In our experiments, this technique reduces", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 651, + 334, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 180, + 663 + ], + "score": 1.0, + "content": "the search cost by", + "type": "text" + }, + { + "bbox": [ + 180, + 651, + 204, + 661 + ], + "score": 0.86, + "content": "{ \\sim } 1 0 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 651, + 334, + 663 + ], + "score": 1.0, + "content": ", as depicted in Figure 2 (Right).", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 667, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 678 + ], + "score": 1.0, + "content": "Identifying redundant statements by tracking dependencies In program evolution, redundant", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "statements are included to enable combining multiple mutations to make larger program changes.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 688, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 701 + ], + "score": 1.0, + "content": "However, these redundant statements increase the evaluation cost and make program analysis more", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "challenging. To identify redundant statements, we need to determine the set of statements that the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 711, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 506, + 724 + ], + "score": 1.0, + "content": "outputs depend on, which can be computed in a recursive manner using the following steps: (1)", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25 + } + ], + "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": "table", + "bbox": [ + 136, + 104, + 474, + 433 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 504, + 100 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 77, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 106, + 77, + 505, + 90 + ], + "score": 1.0, + "content": "Table 8: Accuracy on ImageNet, ImageNet ReaL, and ImageNet V2. Numbers in (·) are from Dai", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 396, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 396, + 101 + ], + "score": 1.0, + "content": "et al. [21], Dosovitskiy et al. [26]. Results are averaged from three runs.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 136, + 104, + 474, + 433 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 136, + 104, + 474, + 433 + ], + "spans": [ + { + "bbox": [ + 136, + 104, + 474, + 433 + ], + "score": 0.984, + "html": "
Model#ParamsOptimizerRandAug + MixupImageNetReaLV2
Train from scratch on ImageNet
ResNet-5025.56MSGD AdamW76.2282.3963.93
Lion×76.3482.7264.24
Mixer-S/1618.53MAdamW76.4582.7264.02
Lion×69.26 69.9275.71 76.1955.01 55.75
Mixer-B/1659.88MAdamW×68.1273.9253.37
Lion70.1176.6055.94
ViT-S/1622.05MAdamWX76.1281.9463.09
Lion76.7082.6464.14
AdamW78.89 「 79.4684.6166.73
Lion AdamW75.4885.25 80.6467.68
ViT-B/1686.57MLionX √77.4482.5761.87 64.81
AdamW80.1285.4668.14
Lion80.7786.1569.19
AdamW83.36 (83.3)-
42.23MLion AdamW√84.07-- -
CoAtNet-3166.97M Lion√84.45 (84.5) 84.87==
Pre-train on ImageNet-21K then fine-tune on ImageNet
ViT-B/1638486.86MAdamW LionX84.12 (83.97) 84.4588.61 (88.35) 88.8473.81 74.06
ViT-L/16384304.72MAdamW LionX85.07 (85.15) 85.5988.78 (88.40) 89.3575.10 75.84
", + "type": "table", + "image_path": "45a431ae13b6b39da5fa1082c82b372d44899f3a6e461ad1d4d2ec7ca50b608c.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 136, + 104, + 474, + 213.66666666666669 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 136, + 213.66666666666669, + 474, + 323.33333333333337 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 136, + 323.33333333333337, + 474, + 433.00000000000006 + ], + "spans": [], + "index": 4 + } + ] + } + ], + "index": 1.75 + }, + { + "type": "text", + "bbox": [ + 106, + 459, + 505, + 537 + ], + "lines": [], + "index": 8, + "bbox_fs": [ + 105, + 459, + 506, + 538 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 541, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "Deduplicating with functional hash Among the valid programs that execute without errors, there", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 553, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 553, + 506, + 565 + ], + "score": 1.0, + "content": "are still lots of duplicates due to functionally equivalent programs that have different surface forms", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 563, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 505, + 576 + ], + "score": 1.0, + "content": "but the same underlying functionality. 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In our experiments, this technique reduces", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 651, + 334, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 180, + 663 + ], + "score": 1.0, + "content": "the search cost by", + "type": "text" + }, + { + "bbox": [ + 180, + 651, + 204, + 661 + ], + "score": 0.86, + "content": "{ \\sim } 1 0 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 651, + 334, + 663 + ], + "score": 1.0, + "content": ", as depicted in Figure 2 (Right).", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 542, + 506, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 667, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 678 + ], + "score": 1.0, + "content": "Identifying redundant statements by tracking dependencies In program evolution, redundant", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "statements are included to enable combining multiple mutations to make larger program changes.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 688, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 701 + ], + "score": 1.0, + "content": "However, these redundant statements increase the evaluation cost and make program analysis more", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "challenging. 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Results", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 298, + 100 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 298, + 100 + ], + "score": 1.0, + "content": "reported are the peak validation scores per task.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 108, + 104, + 505, + 186 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 104, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 108, + 104, + 505, + 186 + ], + "score": 0.981, + "html": "
ModelOptimizerCoLASST-2MRPCSTS-BQQPMNLI -mMNLI -mmQNLIRTEAvg
BaseAdamW Lion60.87 61.0795.18 95.1892.39 /89.22 92.52/89.4690.70 /90.51 90.61/90.4089.23/92.00 89.52 /92.2086.77 87.2786.91 87.2593.70 93.8581.59 85.5687.42 87.91
LargeAdamW Lion63.89 65.1296.10 96.2293.50 /90.93 94.06 /91.6791.69 /91.56 91.79 /91.6090.08 /92.57 90.23 / 92.6789.69 89.8589.92 89.9494.45 94.8989.17 90.2589.46 89.86
11BAdamW Lion69.50 71.3197.02 97.1393.75/91.18 94.58 / 92.6592.57 /92.61 93.04 /93.0490.45 /92.85 90.57 /92.9592.17 91.8891.99 91.6596.41 96.5692.42 93.8691.08 91.60
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Note that each statement is an assignment that calls a function and assigns the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 230, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 505, + 243 + ], + "score": 1.0, + "content": "result to a variable, which in turn depends on the current statement and all the depending statements", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 240, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 254 + ], + "score": 1.0, + "content": "of the function arguments. 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It requires", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 349, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 505, + 361 + ], + "score": 1.0, + "content": "the language models to reconstruct randomly masked out tokens in the input sequence. We use the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "same architectures and training setups as the smaller-scale autoregressive experiments. 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See Figure 9 (Left) in the Appendix for the learning curves.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 398, + 505, + 464 + ], + "lines": [ + { + "bbox": [ + 106, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "Fine-tuning We fine-tune Base (220M), Large (770M), and the largest 11B T5 [77] on the GLUE", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 409, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 420 + ], + "score": 1.0, + "content": "benchmark [91]. Every model is fine-tuned for 500K steps with a batch size of 128 and a constant", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 420, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 505, + 432 + ], + "score": 1.0, + "content": "learning rate. Table 9 shows the results on the GLUE dev set. 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ModelOptimizerCoLASST-2MRPCSTS-BQQPMNLI -mMNLI -mmQNLIRTEAvg
BaseAdamW Lion60.87 61.0795.18 95.1892.39 /89.22 92.52/89.4690.70 /90.51 90.61/90.4089.23/92.00 89.52 /92.2086.77 87.2786.91 87.2593.70 93.8581.59 85.5687.42 87.91
LargeAdamW Lion63.89 65.1296.10 96.2293.50 /90.93 94.06 /91.6791.69 /91.56 91.79 /91.6090.08 /92.57 90.23 / 92.6789.69 89.8589.92 89.9494.45 94.8989.17 90.2589.46 89.86
11BAdamW Lion69.50 71.3197.02 97.1393.75/91.18 94.58 / 92.6592.57 /92.61 93.04 /93.0490.45 /92.85 90.57 /92.9592.17 91.8891.99 91.6596.41 96.5692.42 93.8691.08 91.60
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See Figure 9 (Left) in the Appendix for the learning curves.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 337, + 505, + 395 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 398, + 505, + 464 + ], + "lines": [ + { + "bbox": [ + 106, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "Fine-tuning We fine-tune Base (220M), Large (770M), and the largest 11B T5 [77] on the GLUE", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 409, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 420 + ], + "score": 1.0, + "content": "benchmark [91]. Every model is fine-tuned for 500K steps with a batch size of 128 and a constant", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 420, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 505, + 432 + ], + "score": 1.0, + "content": "learning rate. Table 9 shows the results on the GLUE dev set. For MRPC and QQP, we report the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "F1 / Accuracy scores, for STS-B, we report the Pearson / Spearman correlation, and for the other", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 442, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 506, + 453 + ], + "score": 1.0, + "content": "datasets, we report their default metric. On average, Lion beats AdamW across all three model scales.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 452, + 500, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 500, + 465 + ], + "score": 1.0, + "content": "It achieves 10, 12, and 10 wins out of 12 scores for T5 Base, Large, and 11B models, respectively.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 398, + 506, + 465 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 480, + 356, + 494 + ], + "lines": [ + { + "bbox": [ + 104, + 478, + 357, + 498 + ], + "spans": [ + { + "bbox": [ + 104, + 478, + 357, + 498 + ], + "score": 1.0, + "content": "K Comparison with Other Popular Optimizers", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 505, + 505, + 615 + ], + "lines": [ + { + "bbox": [ + 105, + 505, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 506, + 518 + ], + "score": 1.0, + "content": "We also employ four popular handcrafted optimizers: RAdam [58], NAdam [27], AdaBelief [105],", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "score": 1.0, + "content": "AMSGrad [82] and two optimizers discovered by AutoML: PowerSign [5] and AddSign [5] to train", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 527, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 506, + 540 + ], + "score": 1.0, + "content": "ViT-S/16 and ViT-B/16 on ImageNet (with RandAug and Mixup). We thoroughly tune the peak", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 538, + 506, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 284, + 551 + ], + "score": 1.0, + "content": "learning rate lr and decoupled weight decay", + "type": "text" + }, + { + "bbox": [ + 285, + 539, + 291, + 549 + ], + "score": 0.58, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 538, + 506, + 551 + ], + "score": 1.0, + "content": "[60] of every optimizer, while other hyperparameters", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 550, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 506, + 561 + ], + "score": 1.0, + "content": "are set as the default values in Optax.2 As shown in Table 10, Lion is still the best performing one. We", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 560, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 572 + ], + "score": 1.0, + "content": "notice that there is no clear winner amongst the baselines. AMSGrad performs the best on ViT-S/16", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 570, + 506, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 506, + 584 + ], + "score": 1.0, + "content": "but the worst on ViT-B/16. The inferior performance of PowerSign and AddSign compared to other", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 583, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 594 + ], + "score": 1.0, + "content": "optimizers is consistent with previous observations that automatically discovered optimizers have", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 593, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 506, + 606 + ], + "score": 1.0, + "content": "difficulty generalizing to real-world learning tasks. Figure 8 further shows that the learning curves of", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 605, + 487, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 487, + 616 + ], + "score": 1.0, + "content": "the five adaptive optimizers are pretty similar, whereas Lion has a unique one that learns faster.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 505, + 506, + 616 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 631, + 177, + 645 + ], + "lines": [ + { + "bbox": [ + 104, + 630, + 178, + 648 + ], + "spans": [ + { + "bbox": [ + 104, + 630, + 178, + 648 + ], + "score": 1.0, + "content": "L Ablations", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 657, + 505, + 701 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 322, + 670 + ], + "score": 1.0, + "content": "Momentum tracking To ablate the effects of both", + "type": "text" + }, + { + "bbox": [ + 323, + 657, + 334, + 668 + ], + "score": 0.88, + "content": "\\beta _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 655, + 354, + 670 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 355, + 657, + 366, + 668 + ], + "score": 0.87, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 655, + 505, + 670 + ], + "score": 1.0, + "content": ", we compare to a simple update", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 667, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 126, + 682 + ], + "score": 1.0, + "content": "rule:", + "type": "text" + }, + { + "bbox": [ + 127, + 669, + 146, + 679 + ], + "score": 0.4, + "content": "\\textrm { \\textmu m } =", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 667, + 216, + 682 + ], + "score": 1.0, + "content": "interp(g, m,", + "type": "text" + }, + { + "bbox": [ + 216, + 669, + 225, + 680 + ], + "score": 0.68, + "content": "\\beta \\mathrm { \\hbar }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 667, + 273, + 682 + ], + "score": 1.0, + "content": "); update", + "type": "text" + }, + { + "bbox": [ + 273, + 669, + 283, + 678 + ], + "score": 0.69, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 667, + 426, + 682 + ], + "score": 1.0, + "content": "sign(m). Two optimizers, Ablation", + "type": "text" + }, + { + "bbox": [ + 427, + 670, + 437, + 680 + ], + "score": 0.64, + "content": "_ { \\cdot 0 . 9 }", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 667, + 506, + 682 + ], + "score": 1.0, + "content": "and Ablation0.99,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 680, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 176, + 691 + ], + "score": 1.0, + "content": "are created with", + "type": "text" + }, + { + "bbox": [ + 176, + 680, + 184, + 690 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 680, + 505, + 691 + ], + "score": 1.0, + "content": "values of 0.9 and 0.99 respectively. Illustrated by Table 10, the two ablated", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 690, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 506, + 702 + ], + "score": 1.0, + "content": "optimization algorithms perform worse than all five compared baselines, let alone our Lion. Further", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 207, + 506, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 506, + 220 + ], + "score": 1.0, + "content": "ablation studies on the language modeling task (as depicted in Figure 12 in the Appendix) yield similar", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 218, + 505, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 505, + 231 + ], + "score": 1.0, + "content": "conclusions. Those results validate the effectiveness and necessity of using two linear interpolation", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 229, + 505, + 242 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 505, + 242 + ], + "score": 1.0, + "content": "functions, letting Lion to remember longer gradient history meanwhile assign a higher weight to the", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 241, + 174, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 174, + 252 + ], + "score": 1.0, + "content": "current gradient.", + "type": "text", + "cross_page": true + } + ], + "index": 8 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 655, + 506, + 702 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 104, + 505, + 181 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 504, + 100 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 77, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 106, + 77, + 505, + 90 + ], + "score": 1.0, + "content": "Table 10: The performance of various optimizers to train ViT-S/16 and ViT-B/16 on ImageNet (with", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 87, + 348, + 101 + ], + "spans": [ + { + "bbox": [ + 106, + 87, + 348, + 101 + ], + "score": 1.0, + "content": "RandAug and Mixup). 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ModelTaskAdamWRAdamNAdamAda- BeliefAMSGradPower- SignAdd- SignAblationo.9Ablationo.99Lion
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Those results validate the effectiveness and necessity of using two linear interpolation", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 229, + 505, + 242 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 505, + 242 + ], + "score": 1.0, + "content": "functions, letting Lion to remember longer gradient history meanwhile assign a higher weight to the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 241, + 174, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 174, + 252 + ], + "score": 1.0, + "content": "current gradient.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 106, + 256, + 505, + 356 + ], + "lines": [ + { + "bbox": [ + 105, + 255, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 269 + ], + "score": 1.0, + "content": "Effect of batch size Some may question whether Lion requires a large batch size to accurately", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "score": 1.0, + "content": "determine the direction due to the added noise from the sign operation. To address this concern, we", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 276, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 293 + ], + "score": 1.0, + "content": "train a ViT-B/16 model on ImageNet using various batch sizes while maintaining the total training", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 289, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 506, + 303 + ], + "score": 1.0, + "content": "epoch as 300, and incorporating RandAug and Mixup techniques. As shown in Figure 10 (Left), the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "optimal batch size for AdamW is 256, while for Lion is 4,096. This indicates that Lion indeed prefers", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 310, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 506, + 325 + ], + "score": 1.0, + "content": "a larger batch size, but its performance remains robust even with a small 64 batch size. 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Based on our experience,", + "type": "text" + }, + { + "bbox": [ + 497, + 522, + 504, + 530 + ], + "score": 0.38, + "content": "a", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "suitable learning rate for Lion is typically 3-10x smaller than that for AdamW. Note that the initial", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "value, peak value, and end value of the learning rate should be changed simultaneously with the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "same ratio compared to AdamW. 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Suggested by the heatmaps,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 711, + 421, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 421, + 723 + ], + "score": 1.0, + "content": "Lion is more robust to different hyperparameter choices compared to AdamW.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43.5 + } + ], + "page_idx": 25, + "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": "26", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 104, + 505, + 181 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 504, + 100 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 77, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 106, + 77, + 505, + 90 + ], + "score": 1.0, + "content": "Table 10: The performance of various optimizers to train ViT-S/16 and ViT-B/16 on ImageNet (with", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 87, + 348, + 101 + ], + "spans": [ + { + "bbox": [ + 106, + 87, + 348, + 101 + ], + "score": 1.0, + "content": "RandAug and Mixup). 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ModelTaskAdamWRAdamNAdamAda- BeliefAMSGradPower- SignAdd- SignAblationo.9Ablationo.99Lion
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To address this concern, we", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 276, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 293 + ], + "score": 1.0, + "content": "train a ViT-B/16 model on ImageNet using various batch sizes while maintaining the total training", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 289, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 506, + 303 + ], + "score": 1.0, + "content": "epoch as 300, and incorporating RandAug and Mixup techniques. As shown in Figure 10 (Left), the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "optimal batch size for AdamW is 256, while for Lion is 4,096. This indicates that Lion indeed prefers", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 310, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 506, + 325 + ], + "score": 1.0, + "content": "a larger batch size, but its performance remains robust even with a small 64 batch size. Furthermore,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "when the batch size enlarges to 32K, leading to only 11K training steps, Lion achieves a significant", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 331, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 129, + 344 + ], + "score": 0.84, + "content": "2 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 331, + 250, + 347 + ], + "score": 1.0, + "content": "accuracy gain over AdamW (", + "type": "text" + }, + { + "bbox": [ + 250, + 333, + 277, + 344 + ], + "score": 0.83, + "content": "7 7 . 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 331, + 293, + 347 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + }, + { + "bbox": [ + 294, + 333, + 322, + 344 + ], + "score": 0.84, + "content": "7 5 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 331, + 506, + 347 + ], + "score": 1.0, + "content": "), demonstrating its effectiveness in the large", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 342, + 195, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 195, + 358 + ], + "score": 1.0, + "content": "batch training setting.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 255, + 506, + 358 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 376, + 257, + 390 + ], + "lines": [ + { + "bbox": [ + 104, + 375, + 259, + 394 + ], + "spans": [ + { + "bbox": [ + 104, + 375, + 259, + 394 + ], + "score": 1.0, + "content": "M Hyperparameter Tuning", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 404, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 404, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 339, + 417 + ], + "score": 1.0, + "content": "To ensure a fair comparison, we tune the peak learning rate", + "type": "text" + }, + { + "bbox": [ + 339, + 406, + 349, + 415 + ], + "score": 0.71, + "content": "l r", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 404, + 463, + 417 + ], + "score": 1.0, + "content": "and decoupled weight decay", + "type": "text" + }, + { + "bbox": [ + 463, + 406, + 470, + 415 + ], + "score": 0.77, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 404, + 505, + 417 + ], + "score": 1.0, + "content": "for both", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 451, + 428 + ], + "score": 1.0, + "content": "AdamW (Adafactor) and our Lion using a logarithmic scale. The default values for", + "type": "text" + }, + { + "bbox": [ + 451, + 417, + 462, + 428 + ], + "score": 0.89, + "content": "\\beta _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 416, + 481, + 428 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 482, + 416, + 493, + 428 + ], + "score": 0.88, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 416, + 505, + 428 + ], + "score": 1.0, + "content": "in", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 427, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 324, + 440 + ], + "score": 1.0, + "content": "AdamW are set as 0.9 and 0.999, respectively, with an", + "type": "text" + }, + { + "bbox": [ + 325, + 429, + 331, + 437 + ], + "score": 0.7, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 427, + 342, + 440 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 343, + 428, + 370, + 438 + ], + "score": 0.87, + "content": "1 e - 8", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 427, + 506, + 440 + ], + "score": 1.0, + "content": ", while in Lion, the default values", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 120, + 451 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 120, + 438, + 131, + 449 + ], + "score": 0.88, + "content": "\\beta _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 437, + 149, + 451 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 149, + 438, + 160, + 449 + ], + "score": 0.88, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "are discovered through the program search process and set as 0.9 and 0.99, respectively.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 447, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 349, + 462 + ], + "score": 1.0, + "content": "We only tune those hyperparameters in Section 4.4, where", + "type": "text" + }, + { + "bbox": [ + 349, + 449, + 388, + 460 + ], + "score": 0.88, + "content": "\\beta _ { 1 } = 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 447, + 392, + 462 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 392, + 449, + 437, + 460 + ], + "score": 0.89, + "content": "\\beta _ { 2 } = 0 . 9 9", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 447, + 506, + 462 + ], + "score": 1.0, + "content": "in AdamW, and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 107, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 107, + 460, + 150, + 471 + ], + "score": 0.9, + "content": "\\beta _ { 1 } = 0 . 9 5", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 459, + 154, + 472 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 154, + 460, + 198, + 471 + ], + "score": 0.88, + "content": "\\beta _ { 2 } = 0 . 9 8", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 459, + 350, + 472 + ], + "score": 1.0, + "content": "in Lion. In our experience, reducing", + "type": "text" + }, + { + "bbox": [ + 351, + 461, + 362, + 471 + ], + "score": 0.88, + "content": "\\beta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "results in shorter memorization of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 470, + 504, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 390, + 483 + ], + "score": 1.0, + "content": "historical information and enhanced training stability. Additionally, the", + "type": "text" + }, + { + "bbox": [ + 390, + 472, + 396, + 480 + ], + "score": 0.74, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 470, + 476, + 483 + ], + "score": 1.0, + "content": "in AdamW is set as", + "type": "text" + }, + { + "bbox": [ + 476, + 471, + 504, + 481 + ], + "score": 0.88, + "content": "1 e - 6", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 191, + 494 + ], + "score": 1.0, + "content": "instead of the default", + "type": "text" + }, + { + "bbox": [ + 191, + 482, + 219, + 492 + ], + "score": 0.86, + "content": "1 e - 8", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "as it improves stability in our experiments, similar to the observations in", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 491, + 171, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 171, + 505 + ], + "score": 1.0, + "content": "RoBERTa [59].", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 404, + 506, + 505 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 508, + 505, + 597 + ], + "lines": [ + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 347, + 522 + ], + "score": 1.0, + "content": "The update generated by Lion is an element-wise binary", + "type": "text" + }, + { + "bbox": [ + 348, + 509, + 362, + 519 + ], + "score": 0.82, + "content": "\\pm 1", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 508, + 506, + 522 + ], + "score": 1.0, + "content": ", as a result of the sign operation,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 519, + 504, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 497, + 532 + ], + "score": 1.0, + "content": "therefore it has a larger norm than those generated by other optimizers. Based on our experience,", + "type": "text" + }, + { + "bbox": [ + 497, + 522, + 504, + 530 + ], + "score": 0.38, + "content": "a", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "suitable learning rate for Lion is typically 3-10x smaller than that for AdamW. Note that the initial", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "value, peak value, and end value of the learning rate should be changed simultaneously with the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "same ratio compared to AdamW. We do not modify other training settings such as the learning rate", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 563, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 407, + 576 + ], + "score": 1.0, + "content": "schedule, gradient and update clipping. Since the effective weight decay is", + "type": "text" + }, + { + "bbox": [ + 407, + 564, + 441, + 574 + ], + "score": 0.84, + "content": "{ \\tt 1 r } * \\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 563, + 480, + 576 + ], + "score": 1.0, + "content": ": update", + "type": "text" + }, + { + "bbox": [ + 481, + 565, + 505, + 574 + ], + "score": 0.85, + "content": "+ = \\texttt { w }", + "type": "inline_equation" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 123, + 585 + ], + "score": 0.85, + "content": "\\ast \\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 574, + 163, + 587 + ], + "score": 1.0, + "content": "; update", + "type": "text" + }, + { + "bbox": [ + 163, + 575, + 191, + 585 + ], + "score": 0.86, + "content": "\\ast = ~ 1 \\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 574, + 244, + 587 + ], + "score": 1.0, + "content": ", the value of", + "type": "text" + }, + { + "bbox": [ + 245, + 575, + 252, + 584 + ], + "score": 0.55, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "used for Lion is 3-10x larger than that for AdamW in order to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 585, + 274, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 274, + 598 + ], + "score": 1.0, + "content": "maintain a similar strength. For instance,", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 508, + 506, + 598 + ] + }, + { + "type": "list", + "bbox": [ + 133, + 601, + 505, + 657 + ], + "lines": [ + { + "bbox": [ + 132, + 600, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 132, + 600, + 142, + 614 + ], + "score": 1.0, + "content": "•", + "type": "text" + }, + { + "bbox": [ + 142, + 602, + 190, + 612 + ], + "score": 0.85, + "content": "l r = 1 e - 4", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 600, + 193, + 614 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 194, + 602, + 232, + 612 + ], + "score": 0.87, + "content": "\\lambda = 1 0 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 600, + 279, + 614 + ], + "score": 1.0, + "content": "in Lion and", + "type": "text" + }, + { + "bbox": [ + 279, + 602, + 327, + 612 + ], + "score": 0.88, + "content": "l r = 1 e - 3", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 600, + 330, + 614 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 331, + 602, + 364, + 612 + ], + "score": 0.87, + "content": "\\lambda = 1 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 600, + 505, + 614 + ], + "score": 1.0, + "content": "in AdamW when training ViT-B/16", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 140, + 612, + 308, + 624 + ], + "spans": [ + { + "bbox": [ + 140, + 612, + 308, + 624 + ], + "score": 1.0, + "content": "on ImageNet with strong augmentations,", + "type": "text" + } + ], + "index": 37, + "is_list_end_line": true + }, + { + "bbox": [ + 132, + 623, + 503, + 635 + ], + "spans": [ + { + "bbox": [ + 132, + 623, + 142, + 635 + ], + "score": 1.0, + "content": "•", + "type": "text" + }, + { + "bbox": [ + 142, + 623, + 191, + 634 + ], + "score": 0.82, + "content": "l r = 3 e - 5", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 623, + 195, + 635 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 195, + 623, + 228, + 633 + ], + "score": 0.88, + "content": "\\lambda = 0 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 623, + 278, + 635 + ], + "score": 1.0, + "content": "in Lion and", + "type": "text" + }, + { + "bbox": [ + 278, + 623, + 327, + 634 + ], + "score": 0.83, + "content": "l r = 3 e - 4", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 623, + 331, + 635 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 331, + 623, + 369, + 634 + ], + "score": 0.85, + "content": "\\lambda = 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 623, + 503, + 635 + ], + "score": 1.0, + "content": "in AdamW for diffusion models,", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 132, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 132, + 633, + 142, + 646 + ], + "score": 1.0, + "content": "•", + "type": "text" + }, + { + "bbox": [ + 142, + 635, + 195, + 645 + ], + "score": 0.79, + "content": "l r = 1 e - 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In Figure 10 (Middle and Right), we", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 699, + 507, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 147, + 713 + ], + "score": 1.0, + "content": "alter both", + "type": "text" + }, + { + "bbox": [ + 147, + 700, + 156, + 710 + ], + "score": 0.79, + "content": "l r", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 699, + 174, + 713 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 175, + 700, + 182, + 710 + ], + "score": 0.78, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 699, + 507, + 713 + ], + "score": 1.0, + "content": "when training ViT-B/16 from scratch on ImageNet. 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Task1.1B AdafactorLion2.1B AdafactorLion7.5B AdafactorLion6.7B GPT-38B PaLM
#Tokens300B300B780B
TriviaQA (EM)21.525.132.033.447.948.844.448.5
NQs (EM)4.34.86.37.312.312.19.810.6
WebQs (EM)7.56.38.48.712.113.315.112.6
HellaSwag50.750.359.459.368.268.366.568.2
StoryCloze74.874.478.278.381.281.578.778.7
Winograd75.180.281.382.185.384.284.685.3
Winogrande59.760.564.865.771.471.065.868.3
RACE-m52.050.855.153.859.161.354.757.7
RACE-h36.835.440.340.744.543.944.341.6
PIQA69.469.971.372.175.574.576.376.1
ARC-e64.362.069.568.972.472.762.671.3
ARC-c31.232.937.338.043.342.641.542.3
OpenbookQA44.848.048.449.051.452.453.047.4
BoolQ54.356.764.162.973.573.968.764.7
Copa75.078.083.084.085.087.082.082.0
RTE55.652.449.859.263.962.554.957.8
WiC47.647.346.148.150.948.150.347.3
Multirc (F1a)35.944.345.048.844.759.264.550.6
WSC76.575.479.679.386.785.660.681.4
ReCoRD73.473.777.877.781.081.188.087.8
CB46.444.648.244.651.846.433.941.1
ANLI R133.330.132.431.231.534.031.632.4
ANLI R229.831.829.830.632.431.933.931.4
ANLI R329.831.831.431.933.634.233.134.5
11.112.115.6
Avg NLG Avg NLU53.253.956.816.5 57.424.1 61.324.7 61.723.1 58.523.9 59.4
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Task1.1B AdafactorLion2.1B AdafactorLion7.5B AdafactorLion6.7B GPT-38B PaLM
#Tokens300B300B780B
TriviaQA (EM)21.525.132.033.447.948.844.448.5
NQs (EM)4.34.86.37.312.312.19.810.6
WebQs (EM)7.56.38.48.712.113.315.112.6
HellaSwag50.750.359.459.368.268.366.568.2
StoryCloze74.874.478.278.381.281.578.778.7
Winograd75.180.281.382.185.384.284.685.3
Winogrande59.760.564.865.771.471.065.868.3
RACE-m52.050.855.153.859.161.354.757.7
RACE-h36.835.440.340.744.543.944.341.6
PIQA69.469.971.372.175.574.576.376.1
ARC-e64.362.069.568.972.472.762.671.3
ARC-c31.232.937.338.043.342.641.542.3
OpenbookQA44.848.048.449.051.452.453.047.4
BoolQ54.356.764.162.973.573.968.764.7
Copa75.078.083.084.085.087.082.082.0
RTE55.652.449.859.263.962.554.957.8
WiC47.647.346.148.150.948.150.347.3
Multirc (F1a)35.944.345.048.844.759.264.550.6
WSC76.575.479.679.386.785.660.681.4
ReCoRD73.473.777.877.781.081.188.087.8
CB46.444.648.244.651.846.433.941.1
ANLI R133.330.132.431.231.534.031.632.4
ANLI R229.831.829.830.632.431.933.931.4
ANLI R329.831.831.431.933.634.233.134.5
11.112.115.6
Avg NLG Avg NLU53.253.956.816.5 57.424.1 61.324.7 61.723.1 58.523.9 59.4
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ModelDropoutStoch DepthAugmentationsOptimizerβ阳lr入
Train from scratch on ImageNet
ResNet-50-AdamW Lion0.9 0.90.999 0.993e-3 3e-40.1 1.0
Mixer-S/160.1AdamW0.90.9991e-2
0.3 1.0
-0.1Lion0.90.993e-3
AdamW0.90.9991e-20.3
Mixer-B/160.10.1Lion0.90.993e-33.0
AdamW0.90.9991e-20.1
Lion0.90.991e-31.0
=RandAug: 2,15 Mixup:0.5AdamW Lion0.90.9993e-30.1
0.90.993e-41.0
0.10.1=AdamW0.90.9993e-30.3
Lion0.90.991e-31.0
RandAug: 2,15 Mixup: 0.5AdamW Lion0.9 0.90.999 0.991e-31.0
1e-410.0
CoAtNet-10.3RandAug:2,15 Mixup:0.8AdamW Lion0.9 0.90.999 0.991e-3 2e-40.05 1.0
CoAtNet-30.7RandAug: 2,15 Mixup: 0.8AdamW Lion0.9 0.90.999 0.991e-3 2e-40.05 1.0
Pre-train on ImageNet-21K
ViT-B/160.10.1
AdamW Lion0.9 0.90.999 0.991e-3 1e-40.1 0.3
ViT-L/160.10.1AdamW0.90.999
Lion0.90.991e-3 1e-40.3 1.0
Pre-train on JFT
ViT-B/16-AdamW Lion0.9 0.90.999 0.996e-4 1e-40.1 0.3
ViT-L/16AdamW Lion0.9 0.90.999 0.993e-4 1e-40.1 0.3
ViT-H/14AdamW Lion0.9 0.90.999 0.993e-4 3e-50.1 0.3
ViT-g/14 & ViT-G/14Adafactor0.90.9998e-40.03
Lion0.90.993e-50.3
Vision-language contrastive learning
LiT-B/*-BAdamW0.90.9991e-3
Lion0.90.993e-4-
LiT-g/14-LAdamW0.90.9991e-30.1
Lion0.90.992e-40.5 0.01
BASIC-LAdafactor0.90.9995e-4
Lion0.90.992e-40.1
Diffusion model
Imagen base & super-resolutionAdamW Lion0.9 0.90.999 0.991e-3 1e-43e-40.01
Image generation on ImageNet64 × 64:0.1 128× 128& 256× 256:0.2
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ModelDropoutStoch DepthAugmentationsOptimizerβ阳lr入
Train from scratch on ImageNet
ResNet-50-AdamW Lion0.9 0.90.999 0.993e-3 3e-40.1 1.0
Mixer-S/160.1AdamW0.90.9991e-2
0.3 1.0
-0.1Lion0.90.993e-3
AdamW0.90.9991e-20.3
Mixer-B/160.10.1Lion0.90.993e-33.0
AdamW0.90.9991e-20.1
Lion0.90.991e-31.0
=RandAug: 2,15 Mixup:0.5AdamW Lion0.90.9993e-30.1
0.90.993e-41.0
0.10.1=AdamW0.90.9993e-30.3
Lion0.90.991e-31.0
RandAug: 2,15 Mixup: 0.5AdamW Lion0.9 0.90.999 0.991e-31.0
1e-410.0
CoAtNet-10.3RandAug:2,15 Mixup:0.8AdamW Lion0.9 0.90.999 0.991e-3 2e-40.05 1.0
CoAtNet-30.7RandAug: 2,15 Mixup: 0.8AdamW Lion0.9 0.90.999 0.991e-3 2e-40.05 1.0
Pre-train on ImageNet-21K
ViT-B/160.10.1
AdamW Lion0.9 0.90.999 0.991e-3 1e-40.1 0.3
ViT-L/160.10.1AdamW0.90.999
Lion0.90.991e-3 1e-40.3 1.0
Pre-train on JFT
ViT-B/16-AdamW Lion0.9 0.90.999 0.996e-4 1e-40.1 0.3
ViT-L/16AdamW Lion0.9 0.90.999 0.993e-4 1e-40.1 0.3
ViT-H/14AdamW Lion0.9 0.90.999 0.993e-4 3e-50.1 0.3
ViT-g/14 & ViT-G/14Adafactor0.90.9998e-40.03
Lion0.90.993e-50.3
Vision-language contrastive learning
LiT-B/*-BAdamW0.90.9991e-3
Lion0.90.993e-4-
LiT-g/14-LAdamW0.90.9991e-30.1
Lion0.90.992e-40.5 0.01
BASIC-LAdafactor0.90.9995e-4
Lion0.90.992e-40.1
Diffusion model
Imagen base & super-resolutionAdamW Lion0.9 0.90.999 0.991e-3 1e-43e-40.01
Image generation on ImageNet64 × 64:0.1 128× 128& 256× 256:0.2
OptimizerZero-shotFine-tune ImageNet
ImageNetV2ARSketchObjectNet
Adafactor85.780.685.695.776.182.390.9
Lion88.381.286.496.877.282.991.1
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AdafactorLionAdafactorLionAdafactorLion
#Tokens300B300B780B
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Model#ParamsEpochs /StepsOptimizerImageNetReaLV2AR
ViT-B/1638486.86M7 / 517,791AdamW Lion84.24 84.7289.04 89.1474.89 75.8327.39 29.6553.71 55.86
ViT-L/16384304.72M7 / 517,791AdamW Lion86.69 87.3289.95 90.4378.03 79.2940.55 47.1364.47 68.49
14 / 1,035,583AdamW Lion87.29 88.0990.11 90.6278.91 80.4842.56 51.5564.34 70.72
ViT-H/14392632.72M14 / 1,035,583AdamW Lion88.02 88.7890.27 90.6880.10 81.4153.14 58.2169.48 73.09
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ModelViT-L/16512ViT-H/14518ViT-g/14518ViT-G/14518
#Params305.18M633.47M1.04B1.88B
OptimizerAdamWLionAdamWLionAdafactorLionAdafactorLion
ImageNet87.7288.5088.5589.0990.2590.5290.4590.71/ 90.71*
ReaL90.4690.9190.6291.0290.8491.1190.8191.06 / 91.25*
V279.8081.1381.1282.2483.1083.3983.3383.54 / 83.83*
A52.7258.8060.6463.78-1-
R66.9572.4972.3075.0711-=
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Algorithm 2 Lion Optimizer (ours)
given β1, β2, λ, n, f initialize0o,mo←0 while θt not converged do gt ←Vef(0t-1)
update model parameters Ct ←βimt-1+(1-βi)gt 0t←0t-1-nt(sign(ct)+入0t-1)
update EMA of gt
mt ← β2mt-1+(1-β2)gt
return 0t
end while
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Algoritnm1 AdamW Optimizer given β1, β2, ∈, 入,n, f initialize 0o,mo ←O,vo ←O,t ←0 while 0t not converged do t↑t+1
gt←Vθf(0t-1) update EMA of gt and g²
mt ← βimt-1+(1-βi)gt Ut←β2Ut-1+(1-β2)g²
bias correction mt ← mt/(1-βt)
Ut←Ut/(1-β) update model parameters 0t←0t-1-nt(mt/(√ut+∈)+λ0t-1)
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Model#ParamsOptimizerRandAug + MixupImageNetReaLV2
Train from scratch on ImageNet
ResNet-5025.56MSGD AdamW76.2282.3963.93
Lion×76.3482.7264.24
Mixer-S/1618.53MAdamW76.4582.7264.02
Lion×69.26 69.9275.71 76.1955.01 55.75
Mixer-B/1659.88MAdamW×68.1273.9253.37
Lion70.1176.6055.94
ViT-S/1622.05MAdamWX76.1281.9463.09
Lion76.7082.6464.14
AdamW78.89 「 79.4684.6166.73
Lion AdamW75.4885.25 80.6467.68
ViT-B/1686.57MLionX √77.4482.5761.87 64.81
AdamW80.1285.4668.14
Lion80.7786.1569.19
AdamW83.36 (83.3)-
42.23MLion AdamW√84.07-- -
CoAtNet-3166.97M Lion√84.45 (84.5) 84.87==
Pre-train on ImageNet-21K then fine-tune on ImageNet
ViT-B/1638486.86MAdamW LionX84.12 (83.97) 84.4588.61 (88.35) 88.8473.81 74.06
ViT-L/16384304.72MAdamW LionX85.07 (85.15) 85.5988.78 (88.40) 89.3575.10 75.84
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ModelOptimizerCoLASST-2MRPCSTS-BQQPMNLI -mMNLI -mmQNLIRTEAvg
BaseAdamW Lion60.87 61.0795.18 95.1892.39 /89.22 92.52/89.4690.70 /90.51 90.61/90.4089.23/92.00 89.52 /92.2086.77 87.2786.91 87.2593.70 93.8581.59 85.5687.42 87.91
LargeAdamW Lion63.89 65.1296.10 96.2293.50 /90.93 94.06 /91.6791.69 /91.56 91.79 /91.6090.08 /92.57 90.23 / 92.6789.69 89.8589.92 89.9494.45 94.8989.17 90.2589.46 89.86
11BAdamW Lion69.50 71.3197.02 97.1393.75/91.18 94.58 / 92.6592.57 /92.61 93.04 /93.0490.45 /92.85 90.57 /92.9592.17 91.8891.99 91.6596.41 96.5692.42 93.8691.08 91.60
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ModelTaskAdamWRAdamNAdamAda- BeliefAMSGradPower- SignAdd- SignAblationo.9Ablationo.99Lion
ViT-S/16ImageNet78.8978.5978.9178.7179.0177.3677.3778.2378.1979.46
ReaL84.6184.4784.6284.5685.0183.3983.3684.2884.1785.25
V266.7366.3966.0266.3566.8265.1764.5266.1365.9667.68
ImageNet80.1280.2680.3280.2979.8578.9578.5079.5479.9080.77
ViT-B/16ReaL85.4685.4585.4485.4885.1684.7684.4985.1085.3686.15
V268.1467.7668.4668.1968.4867.4665.9568.0768.2069.19
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Task1.1B AdafactorLion2.1B AdafactorLion7.5B AdafactorLion6.7B GPT-38B PaLM
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Model-based algorithms, which learn a model of the environment from the dataset and perform conservative policy optimisation within that model, have emerged as a promising approach to this problem. In this work, we present Robust Adversarial Model-Based Offline RL (RAMBO), a novel approach to model-based offline RL. We formulate the problem as a two-player zero sum game against an adversarial environment model. The model is trained to minimise the value function while still accurately predicting the transitions in the dataset, forcing the policy to act conservatively in areas not covered by the dataset. To approximately solve the two-player game, we alternate between optimising the policy and adversarially optimising the model. The problem formulation that we address is theoretically grounded, resulting in a probably approximately correct (PAC) performance guarantee and a pessimistic value function which lower bounds the value function in the true environment. We evaluate our approach on widely studied offline RL benchmarks, and demonstrate that it outperforms existing state-of-the-art baselines. + +# 1 Introduction + +Reinforcement learning (RL) [61] has achieved state-of-the-art performance on many sequential decision-making problems [40, 45, 59]. However, the need for extensive exploration prohibits the application of RL to many real world domains where such exploration is costly or dangerous. Offline RL [33, 35] overcomes this limitation by learning policies from static, pre-recorded datasets. + +Online RL algorithms perform poorly in the offline setting due to the distributional shift between the state-action pairs in the dataset and those taken by the learnt policy. Thus, an important aspect of offline RL is to introduce conservatism to prevent the learnt policy from executing state-action pairs which are out of distribution. Model-free offline RL algorithms [15, 23, 27, 29, 31, 72] train a policy from only the data present in the fixed dataset, and incorporate conservatism either into the value function or by directly constraining the policy. + +On the other hand, model-based offline RL algorithms [76, 75, 25, 63, 39] use the dataset to learn a model of the environment, and train a policy using additional synthetic data generated from that model. By training on additional synthetic data, model-based algorithms can potentially generalise better to states not present in the dataset, or to solving new tasks. Previous approaches to model-based offline RL incorporate conservatism by estimating the uncertainty in the model and applying reward penalties for state-action pairs that have high uncertainty [76, 25]. However, uncertainty estimation can be unreliable for neural network models [75, 37]. Like recent work [75], we propose an approach for offline model-based RL which does not require uncertainty estimation. + +In this work we present Robust Adversarial Model-Based Offline (RAMBO) RL, a new algorithm for model-based offline RL. RAMBO incorporates conservatism by modifying the transition dynamics of the learnt Markov decision process (MDP) model in an adversarial manner. We formulate the problem of offline RL as a zero-sum game against an adversarial environment. To solve the resulting maximin optimisation problem, we alternate between optimising the agent and optimising the adversary in the style of Robust Adversarial RL (RARL) [50]. Unlike existing RARL approaches, our modelbased approach forgoes the need to define and train an adversary policy, and instead only learns an adversarial model of the MDP. We train the agent policy with an actor-critic algorithm using synthetic data generated from the model in addition to data sampled from the dataset, similar to Dyna [60] and a number of recent methods [22, 76, 25, 75]. We update the environment model so that it reduces the value function for the agent policy, while still accurately predicting the transitions in the dataset. As a result, our approach introduces conservatism by generating pessimistic synthetic transitions for state-action pairs which are out-of-distribution. The theoretical formulation of offline RL that our algorithm addresses yields a PAC bound for the performance gap with respect to any policy covered by the dataset, and a pessimistic value function that lower bounds the value function in the true environment. + +In summary, the main contributions of this work are: + +• RAMBO, a novel and theoretically-grounded model-based offline RL algorithm which enforces conservatism by training an adversarial dynamics model. +• Adapting the Robust Adversarial RL approach to model-based offline RL by proposing a new formulation of RARL, where instead of defining and training an adversary policy, we directly train the model adversarially. + +In our experiments we demonstrate that RAMBO outperforms current state-of-the-art algorithms on the D4RL benchmarks [14]. Furthermore, we provide ablation results which show that training the model adversarially is crucial to the strong performance of RAMBO. + +# 2 Related Work + +Offline RL: Offline RL addresses the problem of learning policies from fixed datasets, and has been applied to domains such as healthcare [42, 57], natural language processing [24, 23], and robotics [30, 38, 51]. Model-free offline RL algorithms do not require a learnt model. Approaches for model-free offline RL include importance sampling algorithms [36, 41], constraining the learnt policy to be similar to the behaviour policy [16, 28, 72, 23, 58, 15], incorporating conservatism into the value function during training [9, 27, 31, 73], using uncertainty quantification to generate more robust value estimates [1, 2, 29], or applying only a single iteration of policy iteration [7, 49]. In contrast, modelbased approaches learn a model of the environment and generate synthetic data from that model [60] to optimise a policy using either planning [4] or RL algorithms [25, 76, 75]. By training a policy on additional synthetic data, model-based approaches have the potential for broader generalisation and for solving new tasks [6, 76]. A simple approach to ensuring conservatism is to constrain the policy to be similar to the behaviour policy in the same fashion as some model-free approaches [8, 39, 63]. Another approach is to apply reward penalties for executing state-action pairs with high uncertainty in the environment model [25, 74, 76]. However, this requires explicit uncertainty estimates which may be unreliable for neural network models [17, 37, 46, 75]. COMBO [75] obviates the need for uncertainty estimation in model-based offline RL by adapting model-free techniques [31] to regularise the value function for out-of-distribution samples. Like COMBO, our approach does not require uncertainty estimation. + +Most approaches to model-based offline RL use maximum likelihood estimates (MLE) of the MDP trained using standard supervised learning [4, 39, 63, 76, 75]. However, other methods have been proposed to learn models which are more suitable for offline policy optimisation. One approach is to reweight the loss function to ensure the model is accurate under the state-action distribution generated by the policy [34, 53, 20]. In contrast, our approach produces pessimistic synthetic transitions when out-of-distribution. + +Most related to our work is a recent paper [66] which introduces the maximin formulation of offline RL that we address. This existing work motivates our approach theoretically by showing that the problem formulation obtains probably approximately correct (PAC) guarantees. However, [66] only addresses the theoretical aspects of the problem formulation and does not propose a practical algorithm. In this work, we propose a practical RL algorithm to solve the maximin formulation of model-based offline RL. + +Robust RL: Algorithms for Robust MDPs [5, 12, 21, 43, 54, 64, 70] find the policy with the best worst-case performance over a set of possible MDPs. Typically, it is assumed that the uncertainty set of MDPs is specified a priori. To eliminate the need to specify the set of possible MDPs, model-free approaches to Robust MDPs [68, 55] instead assume that samples can be drawn from a misspecified MDP which is similar to the true MDP. As our work addresses offline RL, we assume that we have a fixed dataset from the true MDP. + +Our approach is conceptually similar to Robust Adversarial RL (RARL) [50], a method proposed to improve the robustness of RL policies in the online setting. RARL is posed as a two-player zero-sum game where the agent plays against an adversary which perturbs the environment. Formulations of model-free RARL differ in how they define the action space of the adversary. Options include allowing the adversary to apply perturbation forces to the simulator [50], add noise to the agent’s actions [65], or periodically take over control [48]. A model-based approach to RARL is proposed in [13], which learns an optimistic and pessimistic model to encourage online exploration. However, this existing approach requires uncertainty estimation as well as an adversarial policy to be learnt in addition to the model. Our work follows the paradigm of RARL and alternates between agent and adversarial updates in a maximin formulation. We adapt model-based RARL to the offline setting and propose an alternative formulation: we eliminate the need to learn an adversary policy and instead directly modify the MDP model adversarially. + +# 3 Preliminaries + +MDPs and Offline RL: An MDP is defined by the tuple, $M = ( S , A , T , R , \mu _ { 0 } , \gamma )$ . $S$ and $A$ denote the state and action spaces respectively, $R ( s , a )$ is the reward function, $T ( s ^ { \prime } | s , a )$ is the transition function, $\mu _ { 0 }$ is the initial state distribution, and $\gamma \in \mathsf { \Gamma } ( 0 , 1 )$ is the discount factor. In this work we consider Markovian policies, $\pi \in \Pi$ , which map from each state to a distribution over actions. We denote the (improper) discounted state visitation distribution of a policy by $\begin{array} { r } { d _ { M } ^ { \pi } ( s ) : = \sum _ { t = 0 } ^ { \infty } \gamma ^ { t } \operatorname* { P r } ( s _ { t } = s | \pi , \bar { M } ) } \end{array}$ , where $\mathrm { P r } ( s _ { t } = s | \pi , M )$ is the probability of reaching state $s$ at time $t$ by executing policy $\pi$ in $M$ . The improper state-action visitation distribution is $d _ { M } ^ { \pi } \bar { ( } s , a ) =$ $\pi ( a | s ) \cdot d _ { M } ^ { \pi } ( s )$ . We also denote the normalised state-action visitation distribution by $\tilde { d } _ { M } ^ { \pi } ( s , a ) =$ $( 1 - \gamma ) \cdot d _ { M } ^ { \pi } ( s , a )$ . + +The value function, $V _ { M } ^ { \pi } ( s )$ , represents the expected discounted return from executing $\pi$ from state $s$ in $\begin{array} { r } { M \colon V _ { M } ^ { \pi } ( s ) = \mathbb { E } _ { \pi , M } \bigl [ \sum _ { t = 0 } ^ { \infty } \gamma ^ { t } R ( s _ { t } , a _ { t } ) \bigr ] } \end{array}$ . We write $V _ { M } ^ { \pi }$ to indicate the value function under the initial state distribution, i.e. $\begin{array} { r } { V _ { M } ^ { \pi } = \sum _ { s \in S } \mu _ { 0 } ( s ) V _ { M } ^ { \pi } ( s ) } \end{array}$ . The standard objective for MDPs is to find the policy which maximises $V _ { M } ^ { \pi }$ . The state-action value function, $Q _ { M } ^ { \pi } ( s , a )$ , is the expected discounted cumulative reward from taking action $a$ at state $s$ and then executing $\pi$ thereafter. + +In offline RL we only have access to a fixed dataset of transitions from the MDP, $\begin{array} { r l } { \mathcal { D } } & { { } = } \end{array}$ $\{ ( s _ { i } , a _ { i } , r _ { i } , s _ { i } ^ { \prime } ) \} _ { i = 1 } ^ { | \mathcal { D } | }$ . The goal of offline RL is to find the best possible policy using the fixed dataset. + +Model-Based Offline RL Algorithms: Model-based approaches to offline RL use a model of the MDP to help train a policy. The dataset is used to learn a dynamics model, $\widehat { T }$ , which is typically trained via maximum likelihood estimation: $\begin{array} { r } { \operatorname* { m i n } _ { \widehat { T } } \mathbb { E } _ { ( s , a , s ^ { \prime } ) \sim \mathcal { D } } \big [ - \log \widehat { T } ( s ^ { \prime } | s , a ) \big ] } \end{array}$ . A model of the reward function, $\widehat { R } ( s , a )$ , can also be learnt if it is unknown. The estimated MDP, $\widehat { M } = ( S , A , \widehat { T } , \widehat { R } , \mu _ { 0 } , \gamma )$ , has the same state and action space as the true MDP but uses the learnt transition and reward functions. Thereafter, any planning or RL algorithm can be used to recover optimal policy in the learnt model, $\widehat { \pi } = \arg \operatorname* { m a x } _ { \pi \in \Pi } V _ { \widehat { M } } ^ { \pi } .$ · + +Unfortunately, directly applying this approach to the offline RL setting does not perform well due to distributional shift. In particular, if the dataset does not cover the entire state-action space, the model will inevitably be inaccurate for some state-action pairs. Thus, naive policy optimisation on a learnt model in the offline setting can result in model exploitation [22, 32, 53]. To mitigate this issue, we propose the novel approach of enforcing conservatism by adversarially modifying the transition dynamics of $\widehat { M }$ . + +In line with existing works [76, 75, 8], we use model-based policy optimisation (MBPO) [22] to learn the optimal policy for $\widehat { M }$ . MBPO utilises a standard actor-critic RL algorithm. However, the value function is trained using an augmented dataset ${ \mathcal { D } } \cup { \mathcal { D } } _ { \widehat { M } }$ , where $\mathcal { D } _ { \widehat { M } }$ is synthetic data generated c cby simulating rollouts in the learnt model. To generate the synthetic data, MBPO performs $k$ -step rollouts in $\widehat { M }$ starting from states $s \in \mathcal { D }$ , and adds this data to $\mathcal { D } _ { \widehat { M } }$ . To train the policy, minibatches of data are drawn from $\mathcal { D } \cup \mathcal { D } _ { \widehat { M } }$ c, where each datapoint is sampled from the real data, $\mathcal { D }$ , with probability $f$ , and from $\mathcal { D } _ { \widehat { M } }$ cwith probability $1 - f$ . + +Robust Adversarial Reinforcement Learning: RARL addresses the problem of finding a robust agent policy, $\pi$ , in the online RL setting by posing the problem as a two-player zero sum game against adversary policy, $\bar { \pi }$ : + +$$ +\pi = \arg \operatorname* { m a x } _ { \pi \in \Pi } \operatorname* { m i n } _ { \bar { \pi } \in \bar { \Pi } } V _ { M } ^ { \pi , \bar { \pi } } +$$ + +wher e V π,π¯ is the expected value from executing $\pi$ and $\bar { \pi }$ in environment $M$ . Different approaches define the action space for $\bar { \pi }$ in different ways, as discussed in Section 2. For a scalable approximation to the optimisation problem in Equation 1, algorithms for RARL alternate between applying steps of stochastic gradient ascent to the agent’s policy to increase the expected value, and stochastic gradient descent to the adversary’s policy to decrease the expected value. In our work, we follow the RARL paradigm of alternating between agent and adversarial updates and adapt it to the model-based offline setting. Instead of defining a separate adversary policy, we treat the model itself as the policy to be adversarially trained. + +# 4 Problem Formulation + +For the sake of generality, we assume that both the transition function and reward function are unknown. Hereafter, we write $\widehat { T }$ to denote both the learnt dynamics and reward function, where $\widehat { T } ( s ^ { \prime } , r | s , a )$ is the probability of receiving reward $r$ and transitioning to $s ^ { \prime }$ after executing $( s , a )$ . We address the maximin formulation of offline RL recently proposed by [66]: + +Problem 1. For some dataset, $\mathcal { D }$ , and some fixed constant $\xi > 0$ , find the policy $\pi$ defined by + +$$ +\begin{array} { r } { \mathcal { M } _ { \mathcal { D } } = \Big \{ \widehat { T } \ : | \mathbb { E } _ { \mathcal { D } } \big [ \mathbf { T V } ( \widehat { T } _ { \mathrm { M L E } } ( \cdot | s , a ) , \widehat { T } ( \cdot | s , a ) ) ^ { 2 } \big ] \leq \xi \Big \} , } \end{array} +$$ + +where $\mathrm { T V } ( P _ { 1 } , P _ { 2 } )$ is the total variation distance between distributions $P _ { 1 }$ and $P _ { 2 }$ , and $\widehat { T } _ { \mathrm { M L E } }$ denotes the maximum likelihood estimate of the MDP given the offline dataset, $\mathcal { D }$ . + +Thus, the set defined in Equation 3 contains MDPs which are similar to the maximum likelihood estimate under state-action pairs in $\mathcal { D }$ . However, because the expectation in Equation 3 is taken under $\mathcal { D }$ , there is no restriction on $\widehat { T }$ for regions of the state-action space not covered by $\mathcal { D }$ . We present a brief overview of the theoretical guarantees from [66] in the following subsection. + +Remark 1. Note that Problem 1 differs from the pessimistic MDP formulations introduced by MOPO [76] and MOReL [25]. Problem 1 considers the worst-case transition dynamics, while the pessimistic MDPs constructed by MOPO and MOReL only modify the reward function by applying reward penalties for state-action pairs with high uncertainty. + +# 4.1 Theoretical Motivation + +The theoretical analysis from [66] shows that solving Problem 1 outputs a policy that with high probability is approximately as good as any policy with a state-action distribution that is covered by the dataset. This is formally stated in the following theorem. + +Theorem 1 (PAC guarantee from [66], Theorem 5). Denote the true MDP transition function by $T$ and let $\mathcal { M }$ denote a hypothesis class of MDP models such that $T \in { \mathcal { M } }$ . Let $\pi$ denote the solution to Problem 1 for dataset $\mathcal { D }$ . Then with probability $1 - \delta$ for any policy, $\pi ^ { * } \in \Pi$ , we have + +$$ +{ V _ { T } ^ { \pi ^ { * } } } - { V _ { T } ^ { \pi } } \leq ( 1 - \gamma ) ^ { - 2 } c _ { 1 } \sqrt { C _ { \pi ^ { * } } } \sqrt { G _ { \mathcal M _ { 1 } } + G _ { \mathcal M _ { 2 } } + \xi _ { n } ^ { 2 } + \frac { \ln ( c / \delta ) } { | \mathcal D | } } , \ w h e r e +$$ + +$$ +C _ { \pi ^ { * } } = \operatorname* { m a x } _ { T ^ { \prime } \in \mathcal { M } } \frac { \mathbb { E } _ { ( s , a ) \sim \tilde { d } _ { T } ^ { \pi ^ { * } } } \left[ \mathrm { T V } ( T ^ { \prime } ( \cdot | s , a ) , T ( \cdot | s , a ) ) ^ { 2 } \right] } { \mathbb { E } _ { ( s , a ) \sim \rho } \left[ \mathrm { T V } ( T ^ { \prime } ( \cdot | s , a ) , T ( \cdot | s , a ) ) ^ { 2 } \right] } , +$$ + +where $\rho$ is the state-action distribution from which $\mathcal { D }$ was sampled, and c and $c _ { 1 }$ are universal constants. We refer the reader to Appendix $A$ of [66] for the definitions of $G _ { \mathcal { M } _ { 1 } }$ , $G _ { \mathcal { M } _ { 2 } }$ , and $\xi _ { n }$ . + +The quantity $C _ { \pi ^ { * } }$ is upper bounded by the maximum density ratio between the comparator policy, $\pi ^ { * }$ , and the offline distribution, i.e. $C _ { \pi ^ { * } } ^ { \mathrm { ~ \bar { ~ } } } \le \operatorname* { m a x } _ { ( s , a ) } \tilde { d } _ { T } ^ { \pi ^ { * } } ( s , a ) / \rho ( s , a )$ . It represents the discrepancy between the distribution of data in the dataset compared to the visitation distribution of policy $\pi ^ { * }$ . Theorem 1 shows that if we find a policy by solving Problem 1, the performance gap of that policy is bounded with respect to any other policy $\pi ^ { * }$ that has a state-action distribution which is covered by the dataset. + +Furthermore, the value function under the worst-case model in the set defined by Problem 1 is a lower bound on the value function in the true environment, as stated by Proposition 1. + +Proposition 1 (Pessimistic value function). Let $T$ denote the true transition function for some MDP, and let $\mathcal { M } _ { \mathcal { D } }$ be the set of MDP models defined in Equation 3. Then for any policy $\pi$ , with probability $1 - \delta$ we have that + +$$ +\operatorname* { m i n } _ { \widehat { T } \in \mathcal { M } _ { \mathcal { D } } } V _ { \widehat { T } } ^ { \pi } \leq V _ { T } ^ { \pi } . +$$ + +Proposition 1 follows from the fact that $T \in \mathcal { M } _ { \mathcal { D } }$ with high probability, which is proven in [66] (Appendix E.2). Proposition 1 shows that we can expect the performance of any policy in the true MDP to be at least as good as the value in the worst-case model defined in Problem 1. + +While [66] provides the theoretical motivation for solving Problem 1, it does not propose a practical algorithm. In this work, we focus on developing a practical approach to solving Problem 1. + +# 5 RAMBO-RL + +In this section, we present Robust Adversarial Model-Based Offline RL (RAMBO), our algorithm for solving Problem 1. The main difficulty with solving Problem 1 is that it is unclear how to find the worst-case MDP in the set defined in Equation 3. To arrive at a scalable solution, we propose a novel approach which is in the spirit of RARL. We alternate between optimising the agent policy to increase the expected value, and adversarially optimising the model to decrease the expected value. In this section, we first describe how we compute the gradient to adversarially train the model. Then, we discuss how to ensure that the model remains approximately within the constraint set defined in Problem 1. Finally, we present our overall algorithm. + +# 5.1 Model Gradient + +We propose a policy gradient-inspired approach to adversarially optimise the model. Typically, policy gradient algorithms are used to modify the distribution over actions taken by a policy at each state [62, 71]. In contrast, the update that we propose modifies the likelihood of the successor states and rewards in the MDP model. + +We assume that the MDP model is defined by parameters, $\phi$ , and we write $\widehat { T } _ { \phi }$ to indicate this. We denote by V πφ the value function for policy π in model Tbφ. To approximately find minTφ∈MD as required by Problem 1 via gradient descent, we wish to compute the gradient of the model parameters that reduces the value of the policy within the model, i.e. $\nabla _ { \phi } V _ { \phi } ^ { \pi }$ . + +Proposition 2 (Model Gradient). Let $\phi$ denote the parameters of a parametric MDP model $\widehat { T } _ { \phi }$ , and let $V _ { \phi } ^ { \pi }$ denote the value function for policy $\pi$ in $\widehat { T } _ { \phi }$ . Then: + +$$ +\nabla _ { \phi } V _ { \phi } ^ { \pi } = \mathbb { E } _ { s \sim d _ { \phi } ^ { \pi } , a \sim \pi , ( s ^ { \prime } , r ) \sim \widehat { T } _ { \phi } } \left[ ( r + \gamma V _ { \phi } ^ { \pi } ( s ^ { \prime } ) ) \cdot \nabla _ { \phi } \log \widehat { T } _ { \phi } ( s ^ { \prime } , r | s , a ) \right] +$$ + +The proof of Proposition 2 is given in Appendix A. We can subtract the baseline $Q _ { \phi } ^ { \pi } ( s , a )$ without biasing the gradient estimate (see Appendix A.1 for details): + +$$ +\begin{array} { r } { \nabla _ { \phi } V _ { \phi } ^ { \pi } = \mathbb { E } _ { s \sim d _ { \phi } ^ { \pi } , a \sim \pi , ( s ^ { \prime } , r ) \sim \widehat { T } _ { \phi } } \left[ \left( r + \gamma V _ { \phi } ^ { \pi } ( s ^ { \prime } ) - Q _ { \phi } ^ { \pi } ( s , a ) \right) \cdot \nabla _ { \phi } \log \widehat { T } _ { \phi } ( s ^ { \prime } , r | s , a ) \right] } \end{array} +$$ + +The Model Gradient differs from the standard policy gradient in that a) it is used to update the likelihood of successor states in the model, rather than actions in a policy, and b) the “advantage” term $r + \gamma V _ { \phi } ^ { \pi } ( s ^ { \prime } ) - Q _ { \phi } ^ { \pi } ( s , a )$ compares the utility of receiving reward $r$ and transitioning to $s ^ { \prime }$ to the expected value of state action pair $( s , a )$ . In contrast, the standard advantage term, $Q ( s , a ) - V ( s )$ [56], compares the value of executing state-action pair $( s , a )$ to the value at $s$ . To estimate $V _ { \phi } ^ { \pi }$ and $Q _ { \phi } ^ { \pi }$ , we use the critic learnt by the actor-critic algorithm used for policy optimisation. Thus, we use the critic both for training the policy and adversarially training the model. + +Remark 2. The Model Gradient can be thought of as a specific instantiation of the policy gradient if we view $\widehat { T } _ { \phi }$ as a adversarial “policy” on an augmented MDP, $M ^ { + }$ , i.e. $\widehat { T } _ { \phi } : S ^ { + } \to \operatorname { D i s t } ( A ^ { + } )$ . The augmented state space, $S ^ { + } = \bar { S } \times \bar { A }$ includes the state in the original MDP augmented by the action taken by the agent. The augmented action space consists of the reward applied and the successor state, $A ^ { + } = S \times [ R _ { \operatorname* { m i n } } , R _ { \operatorname* { m a x } } ]$ . Thus, we can think of this approach as an instantiation of RARL in which the adversary policy $\bar { \pi }$ in Equation 1) that we train is the model itself. + +# 5.2 Adversarial Model Training + +If we were to update the model using Equation 5 alone, this would allow the model to be modified arbitrarily such that the value function in the model is reduced. However, the set of plausible MDPs given by Equation 3 states that over the dataset, $\mathcal { D }$ , the model $\widehat { T } _ { \phi }$ should be close to the maximum likelihood estimate, $\widehat { T } _ { \mathrm { M L E } }$ . Specifically, in the inner optimisation of Problem 1 we wish to find a solution to the constrained optimisation problem + +$$ +\operatorname* { m i n } _ { \widehat { T } _ { \phi } } V _ { \phi } ^ { \pi } , \quad s . t . \mathbb { E } _ { \mathcal { D } } \big [ \mathbf { T V } ( \widehat { T } _ { \mathrm { M L E } } ( \cdot | s , a ) , \widehat { T } _ { \phi } ( \cdot | s , a ) ) ^ { 2 } \big ] \leq \xi . +$$ + +The Lagrangian relaxation leads to the unconstrained problem + +$$ +\operatorname* { m a x } _ { \lambda \geq 0 } \operatorname* { m i n } _ { \hat { T } _ { \phi } } \Big ( L ( \hat { T } , \lambda ) : = V _ { \phi } ^ { \pi } + \lambda \big ( \mathbb { E } _ { \mathcal { D } } \big [ \mathrm { T V } ( \hat { T } _ { \mathrm { M L E } } ( \cdot \vert s , a ) , \hat { T } _ { \phi } ( \cdot \vert s , a ) ) ^ { 2 } \big ] - \xi \big ) \Big ) , +$$ + +where $\lambda$ is the Lagrange multiplier. Rather than optimising the Lagrange multiplier, we find that in practice fixing $\lambda$ to apply a constant weighting between the two terms works well with minimal tuning. To facilitate easier tuning of the learning rate, in our implementation we apply the weighting constant to the value function term rather than the model term, which is equivalent up to a scaling factor. This leads to + +$$ +\begin{array} { r } { \underset { \widehat { T } _ { \phi } } { \operatorname* { m i n } } \left( \lambda V _ { \phi } ^ { \pi } + \mathbb { E } _ { \mathcal { D } } \left[ \Gamma \mathbf { V } ( \widehat { T } _ { \mathrm { M L E } } ( \cdot | s , a ) , \widehat { T } _ { \phi } ( \cdot | s , a ) ) ^ { 2 } \right] \right) . } \end{array} +$$ + +We aim to make our algorithm efficient and simple to implement. Therefore, rather than minimising the TV distance between the model and MLE model as prescribed by Equation 8, we directly optimise the standard MLE loss. This leads to the final loss function: + +$$ +\begin{array} { r } { \mathcal { L } _ { \phi } = \lambda V _ { \phi } ^ { \pi } - \mathbb { E } _ { ( s , a , r , s ^ { \prime } ) \sim \mathcal { D } } \left[ \log \widehat { T } _ { \phi } ( s ^ { \prime } , r | s , a ) \right] . } \end{array} +$$ + +Thus, the loss function for the model in Equation 9 simply adds the adversarial term to the standard MLE loss. By minimising the loss function in Equation 9, the model is trained to a) predict the transitions within the dataset, and b) reduce the value function of the policy, with $\lambda$ determining the tradeoff between these two objectives. Choosing $\lambda$ to be small ensures that the MLE term dominates for transitions within $\mathcal { D }$ , ensuring that the model fits the dataset accurately. Because the MLE term is only computed over $\mathcal { D }$ , the adversarial term dominates outside of the dataset meaning that the model is modified adversarially for transitions outside of the dataset. + +To estimate the gradient of the loss function in Equation 9 for stochastic gradient descent, we sample a minibatch of transitions from $\mathcal { D }$ to estimate the MLE term. The gradient for the value function term is computed using the Model Gradient. The transitions used to compute the Model Gradient term must be sampled under the current policy and model (Equation 5). Therefore, to estimate the Model Gradient term, we generate a minibatch of transitions by simulating the current policy in $\widehat { T } _ { \phi }$ . + +Like previous works [10, 76, 75, 8], we represent the dynamics model using an ensemble of neural networks. Each neural network produces a Gaussian distribution over the next state and reward: + +$\widehat { T } _ { \phi } ( s ^ { \prime } , r | s , a ) = \mathcal { N } ( \mu _ { \phi } ( s , a ) , \Sigma _ { \phi } ( s , a ) )$ . A visualisation of the result of adversarially training the dynamics model can be found in Appendix C.3. + +Normalisation The composite loss function in Equation 9 comprises two terms which may have different magnitudes across domains depending on the scale of the states and rewards. To enable easier tuning of the adversarial loss weighting, $\lambda$ , across different domains we perform the following normalisation procedure. Prior to training, we normalise the states in $\mathcal { D }$ in the manner proposed in [15], by subtracting the mean and dividing by the standard deviation of each state dimension in the dataset. Additionally, when computing the gradient in Equation 5 we normalise the advantage terms, $r + \gamma V _ { \phi } ^ { \pi } ( s ^ { \prime } ) - \dot { Q _ { \phi } ^ { \pi } } ( s , a )$ , according to the mean and standard deviation across each minibatch. Advantage normalisation is common practice in policy gradient RL implementations [3, 52]. + +# 5.3 Algorithm + +We are now ready to present our overall approach in Algorithm 1. The first step of RAMBO is to pretrain the environment dynamics model using standard MLE (Line 1). Thereafter, the algorithm follows the format of RARL. At each iteration, we apply gradient updates to the agent to increase the expected value, followed by gradient updates to the model to decrease the expected value. + +Prior to each agent update, we generate synthetic $k$ -step rollouts starting from states in $\mathcal { D }$ by simulating rollouts in the current MDP model $\widehat { T } _ { \phi }$ . This data is added to the synthetic dataset $\mathcal { D } _ { \widehat { T } _ { \phi } }$ (Line 3). Following previous approaches [76, 75, 22] we only store data from recent iterations in $\mathcal { D } _ { \widehat { T } _ { \phi } }$ . The agent’s policy and value functions are trained with an off-policy actor-critic algorithm using samples from $\mathcal { D } \cup \mathcal { D } _ { \widehat { T } _ { \phi } }$ (Line 4). In our implementation, we use soft actor-critic (SAC) [19] for agent training. To update the model to minimise the loss in Equation 9 (Line 5), we sample data from $\mathcal { D }$ to estimate the gradient for the MLE component. To compute the adversarial component we generate samples by simulating the current policy and model, and utilise the value function learnt by the agent to compute the gradient according to Equation 5. + +# Algorithm 1 RAMBO-RL + +Require: Normalised dataset, $\mathcal { D }$ ; +1: $\widehat { T } _ { \phi } \gets \mathrm { M L E }$ dynamics model. +2: for $i = 1 , 2 , \dots , n _ { \mathrm { i t e r } } ,$ do +3: Generate synthetic $k$ -step rollouts. Add transition data to $\mathcal { D } _ { \widehat { T } _ { \phi } }$ . +4: Agent update: Update $\pi$ and $Q _ { \phi } ^ { \pi }$ Tbφwith an actor critic algorithm, using samples from $\mathcal { D } \cup \mathcal { D } _ { \widehat { T } _ { \phi } }$ . +5: Adversarial model update: Update $\widehat { T } _ { \phi }$ according to Eq. 9, using samples from $\mathcal { D }$ for the MLE component, and the current critic $Q _ { \phi } ^ { \pi }$ and synthetic data sampled from $\pi$ and $\widehat { T } _ { \phi }$ for the adversarial component. + +# 6 Experiments + +In our experiments, we aim to: a) evaluate how well RAMBO performs compared to state-ofthe-art baselines, b) examine whether RAMBO can be tuned offline, c) determine the impact of adversarial training on the performance of the algorithm, and d) investigate the difference between RAMBO and COMBO, the most similar prior algorithm. The code for our experiments is available at github.com/marc-rigter/rambo. We evaluate our approach on the following domains. + +MuJoCo There are three different environments representing different robots (HalfCheetah, Hopper, Walker2D), each with 4 datasets (Random, Medium, Medium-Replay, Medium-Expert). Random contains transitions collected by a random policy. Medium contains transitions collected by an early-stopped SAC policy. Medium-Replay consists of the replay buffer generated while training the Medium policy. The Medium-Expert dataset contains a mixture of suboptimal and expert data. + +AntMaze The agent controls a robot and navigates to reach a goal, receiving a sparse reward only if the goal is reached. There are three different layouts of maze (Umaze, Medium, Large), and different dataset types (Fixed, Play, Diverse) which differ in terms of the variety of start and goal locations used to collect the dataset. The MuJoCo and AntMaze benchmarks are from D4RL [14]. + +Hyperparameter Details The base hyperparameters that we use for RAMBO mostly follow those used in SAC [19] and COMBO [75]. We find that the performance of RAMBO is sensitive to the choice of rollout length, $k$ , consistent with findings in previous works [22, 37]. The other critical parameter for RAMBO is the choice of the adversarial weighting, $\lambda$ . + +For each dataset, we choose the rollout length and the adversarial weighting from one of three possible configurations: $( k , \lambda ) \in \{ ( 2 , 3 { \mathrm { e } } { - } 4 ) , ( 5 , 3 { \bar { \mathrm { e } } } { - } 4 ) , ( 5 , 0 ) \}$ . We included $\bar { ( k , \lambda ) } = ( 5 , 0 )$ as we found that an adversarial weighting of 0 worked well for some datasets. For the MuJoCo datasets we performed model rollouts using the current policy, and initialised the policy using behaviour cloning (BC) which is a common practice in offline RL [25, 74]. Ablation results in Appendix C.4 indicate that the BC initialisation results in a small improvement. For the AntMaze datasets we used a random rollout policy and a randomly initialised policy as we found that this performed better. Further details about the hyperparameters are in Appendix B. + +Evaluation We present two different evaluations of our approach: RAMBO and RAMBOOFF. For RAMBO, we ran each of the three hyperparameter configurations for five seeds each, and report the best performance across the three configurations. Thus, our evaluation of RAMBO utilises limited online tuning which is the most common practice among existing model-based offline RL algorithms [25, 37, 39, 76]. The performance obtained for each of the hyperparameter configurations is included in Appendix C.2. + +Offline hyperparameter selection is an important topic in offline RL [47, 77]. Therefore, we present additional results for RAMBOOFF where we select between the three choices of hyperparameters offline using a simple heuristic (details in Appendix B.5) based on the magnitude and stability of the $Q$ -values during offline training. We first select the hyperparameters using the heuristic, and then rerun each dataset for 5 seeds to generate the results for RAMBOOFF. + +Baselines We compare RAMBO against state-of-the-art model-based (COMBO [75], RepBSDE [34], MOReL [25], and MOPO [76]) and model-free (CQL [31], IQL [28], and $\mathrm { T D } 3 { + } \mathrm { B C }$ [15]) offline RL algorithms. We provide results for all algorithms for the MuJoCo-v2 D4RL datasets and the AntMaze-v0 datasets (details in Appendix B.7). + +# 6.1 Results + +D4RL Performance The results in Table 1 show that RAMBO achieves the best total score for the MuJoCo locomotion domains, outperforming existing state-of-the-art methods. Furthermore, RAMBO obtains the best overall score on both the Medium and Medium-Replay dataset types. For the random datasets, RAMBO is outperformed only by MOReL. This shows that RAMBO performs very well for datasets that are either noisy or consist of suboptimal data. + +For the Medium-Expert datasets, RAMBO is outperformed by most of the baseline algorithms, suggesting that RAMBO is less suitable for high-quality datasets. However, for the Medium-Expert datasets, simpler approaches such as performing behaviour cloning on the best $10 \%$ of trajectories can be used to achieve stronger performance than offline RL methods [28]. Therefore, the suboptimal performance of RAMBO on the Medium-Expert datasets is less of a concern, as applying offline RL algorithms may not be the most suitable approach for these high-quality datasets. + +For AntMaze, the model-based algorithms perform considerably less well than the model-free approaches. Unlike the other model-based approaches, RAMBO at least scores greater than zero for most of the datasets. Our results echo previous findings that model-based approaches struggle to perform well in the AntMaze domains, potentially because model-based algorithms are too aggressive and collide with walls [67]. Recent work [67] showed that reverse rollouts can lead to stronger performance for model-based methods in these domains. In future work, we wish to investigate whether combining RAMBO with reverse rollouts improves the performance for AntMaze. + +Offline Tuning In Table 1, we also present results for RAMBOOFF where the final hyperparameters are chosen using the heuristic described in Appendix B.5. We see that there is a slight degradation in the performance relative to RAMBO, which uses online tuning. However, RAMBOOFF still achieves comparable performance to the best existing approaches on the MuJoCo datasets. This suggests that suitable hyperparameters for RAMBO can reliably be chosen using our offline heuristic. + +Table 1: Results for the D4RL benchmark using the normalisation procedure proposed by [14]. We report the normalised performance during the last 10 iterations of training averaged over 5 seeds. $\pm$ captures the standard deviation over seeds. Highlighted numbers indicate results within $2 \%$ of the most performant algorithm. \* indicates the total without random datasets. + +
ModelDropoutStoch DepthAugmentationsOptimizerβ阳lr入
Train from scratch on ImageNet
ResNet-50-AdamW Lion0.9 0.90.999 0.993e-3 3e-40.1 1.0
Mixer-S/160.1AdamW0.90.9991e-2
0.3 1.0
-0.1Lion0.90.993e-3
AdamW0.90.9991e-20.3
Mixer-B/160.10.1Lion0.90.993e-33.0
AdamW0.90.9991e-20.1
Lion0.90.991e-31.0
=RandAug: 2,15 Mixup:0.5AdamW Lion0.90.9993e-30.1
0.90.993e-41.0
0.10.1=AdamW0.90.9993e-30.3
Lion0.90.991e-31.0
RandAug: 2,15 Mixup: 0.5AdamW Lion0.9 0.90.999 0.991e-31.0
1e-410.0
CoAtNet-10.3RandAug:2,15 Mixup:0.8AdamW Lion0.9 0.90.999 0.991e-3 2e-40.05 1.0
CoAtNet-30.7RandAug: 2,15 Mixup: 0.8AdamW Lion0.9 0.90.999 0.991e-3 2e-40.05 1.0
Pre-train on ImageNet-21K
ViT-B/160.10.1
AdamW Lion0.9 0.90.999 0.991e-3 1e-40.1 0.3
ViT-L/160.10.1AdamW0.90.999
Lion0.90.991e-3 1e-40.3 1.0
Pre-train on JFT
ViT-B/16-AdamW Lion0.9 0.90.999 0.996e-4 1e-40.1 0.3
ViT-L/16AdamW Lion0.9 0.90.999 0.993e-4 1e-40.1 0.3
ViT-H/14AdamW Lion0.9 0.90.999 0.993e-4 3e-50.1 0.3
ViT-g/14 & ViT-G/14Adafactor0.90.9998e-40.03
Lion0.90.993e-50.3
Vision-language contrastive learning
LiT-B/*-BAdamW0.90.9991e-3
Lion0.90.993e-4-
LiT-g/14-LAdamW0.90.9991e-30.1
Lion0.90.992e-40.5 0.01
BASIC-LAdafactor0.90.9995e-4
Lion0.90.992e-40.1
Diffusion model
Imagen base & super-resolutionAdamW Lion0.9 0.90.999 0.991e-3 1e-43e-40.01
Image generation on ImageNet64 × 64:0.1 128× 128& 256× 256:0.2
OursModel-based baselinesModel-free baselines
RAMBORAMBOOFF|RepB-SDE COMBO MOPO MOReLCQLIQLTD3+BCBC
aapaemHalfCheetah40.0 ± 2.333.5 ± 2.632.938.835.425.619.6111.02.1
Hopper21.6 ± 8.015.5± 9.48.617.94.153.66.7-8.59.8
Walker2D11.5 ± 10.50.2±0.621.17.04.237.32.4-1.61.6
WaieaHalfCheetah77.6 ± 1.571.0 ± 3.049.154.269.542.149.047.448.336.1
Hopper92.8± 6.091.2 ± 16.334.094.948.095.466.666.359.329.0
Walker2D86.9 ± 2.789.1 ± 2.772.175.5-0.277.883.878.383.76.6
nipea AerderHalfCheetah68.9 ± 2.367.0 ± 1.557.555.168.240.247.144.244.638.4
Hopper96.6± 7.097.6± 3.462.273.139.193.697.094.760.911.8
Walker2D85.0 ± 15.088.5± 4.049.856.069.449.888.273.981.811.3
wnipen dxHalfCheetah93.7± 10.579.3 ± 2.955.490.072.753.390.886.790.735.8
Hopper83.3± 9.189.5 ± 11.182.6111.13.3108.7106.891.598.0111.9
Walker2D68.3± 20.663.1± 31.388.896.1-0.395.6109.4109.6110.16.4
MuJoCo-v2 Total:826.2 ± 33.8785.5± 40.4614.1769.7413.4773.0767.4692.6*698.5300.8
Umaze25.0±12.023.8± 15.00.080.30.00.074.087.578.665.0
16.4 ± 17.95.6± 10.90.00.00.00.061.271.23.00.0
Large-Play0.0±0.00.0±0.00.00.00.00.015.839.60.00.0
0.0±0.00.0±0.00.057.30.00.084.062.271.455.0
Medium-Diverse23.2 ± 14.28.4±9.90.00.00.00.053.770.010.60.0
Large-Diverse2.4± 3.30.0±0.00.00.00.00.014.947.50.20.0
AntMaze-v0 Total:67.0 ± 14.937.8± 12.40.0137.60.00.0303.6378.0163.8120.0
+ +Table 2: Ablation of the adversarial updates for RAMBO. These results use the same rollout length for each dataset as RAMBO but with no adversarial updates (i.e. $\lambda = 0$ ). The scores are averaged over 5 seeds. + +
RAMBO (No Adversarial Training)
MuJoCo-v2 Total: 694.4 ± 56.5|AntMaze-v0 Total: 45.8 ± 21.8
+ +Table 3: Comparison between RAMBO and COMBO for the Single Transition Example. We use 20 seeds and $\pm$ captures the standard deviation over seeds. RAMBO outperforms COMBO $( p = 0 . 0 0 5 )$ . + +
RAMBO:
+ +Ablation of Adversarial Training In Table 2 we present results for RAMBO with no adversarial updates. These results demonstrate that overall performance degrades if the adversarial training is removed. This parallels previous findings that mitigating the issue of model exploitation is crucial to obtaining strong performance in model-based offline RL. Interestingly however, for some specific datasets we obtain the best performance with no adversarial training (Appendix C.2). This suggests that a potential direction for future work could be trying to identify which types of problems do not require regularisation for a successful policy to be trained offline with model-based RL. + +Comparison to COMBO We focus especially on comparing our approach to COMBO, as it is the most similar existing algorithm. We compare RAMBO and COMBO on the Single Transition toy example which is described in detail in Appendix C.1. This domain has a one-dimensional state and action space, and several distinct regions of the action space are covered by the dataset. We use this domain to investigate whether the policies optimised by RAMBO and COMBO tend to become stuck in local optima. + +Table 3 compares the performance of RAMBO and COMBO on the Single Transition Example. Further analysis in Appendix C.1 shows that for this problem, the pessimistic value function updates used by COMBO create local maxima in the $Q$ -function which are present throughout training. Policy optimisation can become stuck in these local maxima. On the other hand, the value function produced by RAMBO is initially optimistic, and pessimism is introduced into the value function gradually as the transition function is modified adversarially. Adversarial modification of the transition function is visualised in Appendix C.3. As a result of this gradual introduction of pessimism, we observe that the policy produced by RAMBO is less likely to become stuck in poor local maxima, and better overall performance is obtained in Table 3. This observation may help to explain why RAMBO is able to achieve consistently strong performance relative to existing algorithms in the MuJoCo domains. Gradually increasing the level of pessimism could be a useful modification for existing offline RL algorithms to be investigated in future work. + +# 7 Conclusion and Future Directions + +RAMBO is a promising new approach to offline RL which imposes conservatism by adversarially modifying the transition dynamics of a learnt model. Our approach is theoretically justified, and achieves state-of-the-art performance on standard benchmarks. + +There are a number of possible extensions to RAMBO, some of which we have already discussed. In addition, we would like to apply RAMBO to image-space domains by using deep latent variable models to compress the state space [18, 51] and adversarially perturbing the transition dynamics in the latent space representation. Another direction that we would like to investigate is the use of adversarially trained models to aid interpretability in deep RL [44] by generating imagined worst-case trajectories. Finally, we wish to investigate applying the ideas developed in this work to the online RL setting to improve robustness. + +# Acknowledgements + +This work was supported by a Programme Grant from the Engineering and Physical Sciences Research Council (EP/V000748/1), the Clarendon Fund at the University of Oxford, and a gift from Amazon Web Services. Additionally, this project made use of time on Tier 2 HPC facility JADE2, funded by the Engineering and Physical Sciences Research Council (EP/T022205/1). + +The authors would like to thank Raunak Bhattacharyya, Paul Duckworth, and Matthew Budd for their feedback on an earlier draft of this work. + +# References + +[1] Rishabh Agarwal, Dale Schuurmans, and Mohammad Norouzi. An optimistic perspective on offline reinforcement learning. In International Conference on Machine Learning, pages 104–114. PMLR, 2020. +[2] Gaon An, Seungyong Moon, Jang-Hyun Kim, and Hyun Oh Song. Uncertainty-based offline reinforcement learning with diversified Q-ensemble. Advances in Neural Information Processing Systems, 34:7436–7447, 2021. +[3] Marcin Andrychowicz, Anton Raichuk, Piotr Stanczyk, Manu Orsini, Sertan Girgin, Raphaël ´ Marinier, Leonard Hussenot, Matthieu Geist, Olivier Pietquin, Marcin Michalski, Sylvain Gelly, and Olivier Bachem. What matters for on-policy deep actor-critic methods? 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You are strongly encouraged to include a justification to your answer, either by referencing the appropriate section of your paper or providing a brief inline description. For example: + +• Did you include the license to the code and datasets? [Yes] See Section ??. +• Did you include the license to the code and datasets? [No] The code and the data are proprietary. +• Did you include the license to the code and datasets? [N/A] + +Please do not modify the questions and only use the provided macros for your answers. Note that the Checklist section does not count towards the page limit. In your paper, please delete this instructions block and only keep the Checklist section heading above along with the questions/answers below. + +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] We included results for the AntMaze datasets where our approach performs less well than model-free methods. +(c) Did you discuss any potential negative societal impacts of your work? [N/A] +(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] We include a complete proof of Proposition 2. For the theoretical results from [66], we provide references to the appropriate parts of that paper. + +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] A URL to the code is provided. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] Detailed information about implementation details and hyperparameters is in the appendix. +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] Standard deviation with respect to seeds is reported for all results. +(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 of compute used per run and total compute used for full evaluation is in Appendix B.8. + +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 cite the D4RL benchmark datasets [14]. +(b) Did you mention the license of the assets? [Yes] In Appendix B.7. +(c) Did you include any new assets either in the supplemental material or as a URL? [Yes] Code for our work is in included via a URL. +(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/nrksGSRT7kX/nrksGSRT7kX_content_list.json b/parse/dev/nrksGSRT7kX/nrksGSRT7kX_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..f7e17e5186da5811ff6e7a8fd0b04ed91649db33 --- /dev/null +++ b/parse/dev/nrksGSRT7kX/nrksGSRT7kX_content_list.json @@ -0,0 +1,1421 @@ +[ + { + "type": "text", + "text": "RAMBO-RL: Robust Adversarial Model-Based Offline Reinforcement Learning ", + "text_level": 1, + "bbox": [ + 210, + 122, + 787, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Marc Rigter, Bruno Lacerda, Nick Hawes Oxford Robotics Institute University of Oxford {mrigter, bruno, nickh}@robots.ox.ac.uk ", + "bbox": [ + 330, + 239, + 666, + 295 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 330, + 535, + 348 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Offline reinforcement learning (RL) aims to find performant policies from logged data without further environment interaction. Model-based algorithms, which learn a model of the environment from the dataset and perform conservative policy optimisation within that model, have emerged as a promising approach to this problem. In this work, we present Robust Adversarial Model-Based Offline RL (RAMBO), a novel approach to model-based offline RL. We formulate the problem as a two-player zero sum game against an adversarial environment model. The model is trained to minimise the value function while still accurately predicting the transitions in the dataset, forcing the policy to act conservatively in areas not covered by the dataset. To approximately solve the two-player game, we alternate between optimising the policy and adversarially optimising the model. The problem formulation that we address is theoretically grounded, resulting in a probably approximately correct (PAC) performance guarantee and a pessimistic value function which lower bounds the value function in the true environment. We evaluate our approach on widely studied offline RL benchmarks, and demonstrate that it outperforms existing state-of-the-art baselines. ", + "bbox": [ + 233, + 362, + 766, + 583 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 608, + 310, + 625 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Reinforcement learning (RL) [61] has achieved state-of-the-art performance on many sequential decision-making problems [40, 45, 59]. However, the need for extensive exploration prohibits the application of RL to many real world domains where such exploration is costly or dangerous. Offline RL [33, 35] overcomes this limitation by learning policies from static, pre-recorded datasets. ", + "bbox": [ + 176, + 640, + 823, + 695 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Online RL algorithms perform poorly in the offline setting due to the distributional shift between the state-action pairs in the dataset and those taken by the learnt policy. Thus, an important aspect of offline RL is to introduce conservatism to prevent the learnt policy from executing state-action pairs which are out of distribution. Model-free offline RL algorithms [15, 23, 27, 29, 31, 72] train a policy from only the data present in the fixed dataset, and incorporate conservatism either into the value function or by directly constraining the policy. ", + "bbox": [ + 174, + 702, + 825, + 785 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "On the other hand, model-based offline RL algorithms [76, 75, 25, 63, 39] use the dataset to learn a model of the environment, and train a policy using additional synthetic data generated from that model. By training on additional synthetic data, model-based algorithms can potentially generalise better to states not present in the dataset, or to solving new tasks. Previous approaches to model-based offline RL incorporate conservatism by estimating the uncertainty in the model and applying reward penalties for state-action pairs that have high uncertainty [76, 25]. However, uncertainty estimation can be unreliable for neural network models [75, 37]. Like recent work [75], we propose an approach for offline model-based RL which does not require uncertainty estimation. ", + "bbox": [ + 174, + 791, + 825, + 901 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work we present Robust Adversarial Model-Based Offline (RAMBO) RL, a new algorithm for model-based offline RL. RAMBO incorporates conservatism by modifying the transition dynamics of the learnt Markov decision process (MDP) model in an adversarial manner. We formulate the problem of offline RL as a zero-sum game against an adversarial environment. To solve the resulting maximin optimisation problem, we alternate between optimising the agent and optimising the adversary in the style of Robust Adversarial RL (RARL) [50]. Unlike existing RARL approaches, our modelbased approach forgoes the need to define and train an adversary policy, and instead only learns an adversarial model of the MDP. We train the agent policy with an actor-critic algorithm using synthetic data generated from the model in addition to data sampled from the dataset, similar to Dyna [60] and a number of recent methods [22, 76, 25, 75]. We update the environment model so that it reduces the value function for the agent policy, while still accurately predicting the transitions in the dataset. As a result, our approach introduces conservatism by generating pessimistic synthetic transitions for state-action pairs which are out-of-distribution. The theoretical formulation of offline RL that our algorithm addresses yields a PAC bound for the performance gap with respect to any policy covered by the dataset, and a pessimistic value function that lower bounds the value function in the true environment. ", + "bbox": [ + 174, + 90, + 825, + 313 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In summary, the main contributions of this work are: ", + "bbox": [ + 173, + 319, + 517, + 333 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• RAMBO, a novel and theoretically-grounded model-based offline RL algorithm which enforces conservatism by training an adversarial dynamics model. \n• Adapting the Robust Adversarial RL approach to model-based offline RL by proposing a new formulation of RARL, where instead of defining and training an adversary policy, we directly train the model adversarially. ", + "bbox": [ + 173, + 344, + 825, + 417 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In our experiments we demonstrate that RAMBO outperforms current state-of-the-art algorithms on the D4RL benchmarks [14]. Furthermore, we provide ablation results which show that training the model adversarially is crucial to the strong performance of RAMBO. ", + "bbox": [ + 176, + 429, + 821, + 472 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 492, + 321, + 508 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Offline RL: Offline RL addresses the problem of learning policies from fixed datasets, and has been applied to domains such as healthcare [42, 57], natural language processing [24, 23], and robotics [30, 38, 51]. Model-free offline RL algorithms do not require a learnt model. Approaches for model-free offline RL include importance sampling algorithms [36, 41], constraining the learnt policy to be similar to the behaviour policy [16, 28, 72, 23, 58, 15], incorporating conservatism into the value function during training [9, 27, 31, 73], using uncertainty quantification to generate more robust value estimates [1, 2, 29], or applying only a single iteration of policy iteration [7, 49]. In contrast, modelbased approaches learn a model of the environment and generate synthetic data from that model [60] to optimise a policy using either planning [4] or RL algorithms [25, 76, 75]. By training a policy on additional synthetic data, model-based approaches have the potential for broader generalisation and for solving new tasks [6, 76]. A simple approach to ensuring conservatism is to constrain the policy to be similar to the behaviour policy in the same fashion as some model-free approaches [8, 39, 63]. Another approach is to apply reward penalties for executing state-action pairs with high uncertainty in the environment model [25, 74, 76]. However, this requires explicit uncertainty estimates which may be unreliable for neural network models [17, 37, 46, 75]. COMBO [75] obviates the need for uncertainty estimation in model-based offline RL by adapting model-free techniques [31] to regularise the value function for out-of-distribution samples. Like COMBO, our approach does not require uncertainty estimation. ", + "bbox": [ + 173, + 525, + 825, + 773 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Most approaches to model-based offline RL use maximum likelihood estimates (MLE) of the MDP trained using standard supervised learning [4, 39, 63, 76, 75]. However, other methods have been proposed to learn models which are more suitable for offline policy optimisation. One approach is to reweight the loss function to ensure the model is accurate under the state-action distribution generated by the policy [34, 53, 20]. In contrast, our approach produces pessimistic synthetic transitions when out-of-distribution. ", + "bbox": [ + 174, + 779, + 825, + 863 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Most related to our work is a recent paper [66] which introduces the maximin formulation of offline RL that we address. This existing work motivates our approach theoretically by showing that the problem formulation obtains probably approximately correct (PAC) guarantees. However, [66] only addresses the theoretical aspects of the problem formulation and does not propose a practical algorithm. In this work, we propose a practical RL algorithm to solve the maximin formulation of model-based offline RL. ", + "bbox": [ + 176, + 869, + 823, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 90, + 823, + 132 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Robust RL: Algorithms for Robust MDPs [5, 12, 21, 43, 54, 64, 70] find the policy with the best worst-case performance over a set of possible MDPs. Typically, it is assumed that the uncertainty set of MDPs is specified a priori. To eliminate the need to specify the set of possible MDPs, model-free approaches to Robust MDPs [68, 55] instead assume that samples can be drawn from a misspecified MDP which is similar to the true MDP. As our work addresses offline RL, we assume that we have a fixed dataset from the true MDP. ", + "bbox": [ + 173, + 138, + 825, + 222 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our approach is conceptually similar to Robust Adversarial RL (RARL) [50], a method proposed to improve the robustness of RL policies in the online setting. RARL is posed as a two-player zero-sum game where the agent plays against an adversary which perturbs the environment. Formulations of model-free RARL differ in how they define the action space of the adversary. Options include allowing the adversary to apply perturbation forces to the simulator [50], add noise to the agent’s actions [65], or periodically take over control [48]. A model-based approach to RARL is proposed in [13], which learns an optimistic and pessimistic model to encourage online exploration. However, this existing approach requires uncertainty estimation as well as an adversarial policy to be learnt in addition to the model. Our work follows the paradigm of RARL and alternates between agent and adversarial updates in a maximin formulation. We adapt model-based RARL to the offline setting and propose an alternative formulation: we eliminate the need to learn an adversary policy and instead directly modify the MDP model adversarially. ", + "bbox": [ + 173, + 228, + 825, + 395 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Preliminaries ", + "text_level": 1, + "bbox": [ + 174, + 417, + 318, + 435 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "MDPs and Offline RL: An MDP is defined by the tuple, $M = ( S , A , T , R , \\mu _ { 0 } , \\gamma )$ . $S$ and $A$ denote the state and action spaces respectively, $R ( s , a )$ is the reward function, $T ( s ^ { \\prime } | s , a )$ is the transition function, $\\mu _ { 0 }$ is the initial state distribution, and $\\gamma \\in \\mathsf { \\Gamma } ( 0 , 1 )$ is the discount factor. In this work we consider Markovian policies, $\\pi \\in \\Pi$ , which map from each state to a distribution over actions. We denote the (improper) discounted state visitation distribution of a policy by $\\begin{array} { r } { d _ { M } ^ { \\pi } ( s ) : = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\operatorname* { P r } ( s _ { t } = s | \\pi , \\bar { M } ) } \\end{array}$ , where $\\mathrm { P r } ( s _ { t } = s | \\pi , M )$ is the probability of reaching state $s$ at time $t$ by executing policy $\\pi$ in $M$ . The improper state-action visitation distribution is $d _ { M } ^ { \\pi } \\bar { ( } s , a ) =$ $\\pi ( a | s ) \\cdot d _ { M } ^ { \\pi } ( s )$ . We also denote the normalised state-action visitation distribution by $\\tilde { d } _ { M } ^ { \\pi } ( s , a ) =$ $( 1 - \\gamma ) \\cdot d _ { M } ^ { \\pi } ( s , a )$ . ", + "bbox": [ + 173, + 452, + 825, + 582 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The value function, $V _ { M } ^ { \\pi } ( s )$ , represents the expected discounted return from executing $\\pi$ from state $s$ in $\\begin{array} { r } { M \\colon V _ { M } ^ { \\pi } ( s ) = \\mathbb { E } _ { \\pi , M } \\bigl [ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } R ( s _ { t } , a _ { t } ) \\bigr ] } \\end{array}$ . We write $V _ { M } ^ { \\pi }$ to indicate the value function under the initial state distribution, i.e. $\\begin{array} { r } { V _ { M } ^ { \\pi } = \\sum _ { s \\in S } \\mu _ { 0 } ( s ) V _ { M } ^ { \\pi } ( s ) } \\end{array}$ . The standard objective for MDPs is to find the policy which maximises $V _ { M } ^ { \\pi }$ . The state-action value function, $Q _ { M } ^ { \\pi } ( s , a )$ , is the expected discounted cumulative reward from taking action $a$ at state $s$ and then executing $\\pi$ thereafter. ", + "bbox": [ + 174, + 585, + 825, + 661 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In offline RL we only have access to a fixed dataset of transitions from the MDP, $\\begin{array} { r l } { \\mathcal { D } } & { { } = } \\end{array}$ $\\{ ( s _ { i } , a _ { i } , r _ { i } , s _ { i } ^ { \\prime } ) \\} _ { i = 1 } ^ { | \\mathcal { D } | }$ . The goal of offline RL is to find the best possible policy using the fixed dataset. ", + "bbox": [ + 176, + 666, + 823, + 699 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Model-Based Offline RL Algorithms: Model-based approaches to offline RL use a model of the MDP to help train a policy. The dataset is used to learn a dynamics model, $\\widehat { T }$ , which is typically trained via maximum likelihood estimation: $\\begin{array} { r } { \\operatorname* { m i n } _ { \\widehat { T } } \\mathbb { E } _ { ( s , a , s ^ { \\prime } ) \\sim \\mathcal { D } } \\big [ - \\log \\widehat { T } ( s ^ { \\prime } | s , a ) \\big ] } \\end{array}$ . A model of the reward function, $\\widehat { R } ( s , a )$ , can also be learnt if it is unknown. The estimated MDP, $\\widehat { M } = ( S , A , \\widehat { T } , \\widehat { R } , \\mu _ { 0 } , \\gamma )$ , has the same state and action space as the true MDP but uses the learnt transition and reward functions. Thereafter, any planning or RL algorithm can be used to recover optimal policy in the learnt model, $\\widehat { \\pi } = \\arg \\operatorname* { m a x } _ { \\pi \\in \\Pi } V _ { \\widehat { M } } ^ { \\pi } .$ · ", + "bbox": [ + 173, + 709, + 825, + 820 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Unfortunately, directly applying this approach to the offline RL setting does not perform well due to distributional shift. In particular, if the dataset does not cover the entire state-action space, the model will inevitably be inaccurate for some state-action pairs. Thus, naive policy optimisation on a learnt model in the offline setting can result in model exploitation [22, 32, 53]. To mitigate this issue, we propose the novel approach of enforcing conservatism by adversarially modifying the transition dynamics of $\\widehat { M }$ . ", + "bbox": [ + 174, + 824, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In line with existing works [76, 75, 8], we use model-based policy optimisation (MBPO) [22] to learn the optimal policy for $\\widehat { M }$ . MBPO utilises a standard actor-critic RL algorithm. However, the value function is trained using an augmented dataset ${ \\mathcal { D } } \\cup { \\mathcal { D } } _ { \\widehat { M } }$ , where $\\mathcal { D } _ { \\widehat { M } }$ is synthetic data generated c cby simulating rollouts in the learnt model. To generate the synthetic data, MBPO performs $k$ -step rollouts in $\\widehat { M }$ starting from states $s \\in \\mathcal { D }$ , and adds this data to $\\mathcal { D } _ { \\widehat { M } }$ . To train the policy, minibatches of data are drawn from $\\mathcal { D } \\cup \\mathcal { D } _ { \\widehat { M } }$ c, where each datapoint is sampled from the real data, $\\mathcal { D }$ , with probability $f$ , and from $\\mathcal { D } _ { \\widehat { M } }$ cwith probability $1 - f$ . ", + "bbox": [ + 173, + 90, + 825, + 195 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Robust Adversarial Reinforcement Learning: RARL addresses the problem of finding a robust agent policy, $\\pi$ , in the online RL setting by posing the problem as a two-player zero sum game against adversary policy, $\\bar { \\pi }$ : ", + "bbox": [ + 173, + 205, + 825, + 248 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/86e5d7a10e7dcb5bdee486b0e197cc7f036aa5d6249f362a7cc2168321c28e0d.jpg", + "text": "$$\n\\pi = \\arg \\operatorname* { m a x } _ { \\pi \\in \\Pi } \\operatorname* { m i n } _ { \\bar { \\pi } \\in \\bar { \\Pi } } V _ { M } ^ { \\pi , \\bar { \\pi } }\n$$", + "text_format": "latex", + "bbox": [ + 416, + 246, + 580, + 273 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "wher e V π,π¯ is the expected value from executing $\\pi$ and $\\bar { \\pi }$ in environment $M$ . Different approaches define the action space for $\\bar { \\pi }$ in different ways, as discussed in Section 2. For a scalable approximation to the optimisation problem in Equation 1, algorithms for RARL alternate between applying steps of stochastic gradient ascent to the agent’s policy to increase the expected value, and stochastic gradient descent to the adversary’s policy to decrease the expected value. In our work, we follow the RARL paradigm of alternating between agent and adversarial updates and adapt it to the model-based offline setting. Instead of defining a separate adversary policy, we treat the model itself as the policy to be adversarially trained. ", + "bbox": [ + 173, + 276, + 825, + 388 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4 Problem Formulation ", + "text_level": 1, + "bbox": [ + 174, + 412, + 387, + 430 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "For the sake of generality, we assume that both the transition function and reward function are unknown. Hereafter, we write $\\widehat { T }$ to denote both the learnt dynamics and reward function, where $\\widehat { T } ( s ^ { \\prime } , r | s , a )$ is the probability of receiving reward $r$ and transitioning to $s ^ { \\prime }$ after executing $( s , a )$ . We address the maximin formulation of offline RL recently proposed by [66]: ", + "bbox": [ + 173, + 443, + 825, + 505 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Problem 1. For some dataset, $\\mathcal { D }$ , and some fixed constant $\\xi > 0$ , find the policy $\\pi$ defined by ", + "bbox": [ + 169, + 507, + 785, + 522 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/1b1d9721867cb60538e16634cfa70e10ace7d370403db3db388fb3277a7358af.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { M } _ { \\mathcal { D } } = \\Big \\{ \\widehat { T } \\ : | \\mathbb { E } _ { \\mathcal { D } } \\big [ \\mathbf { T V } ( \\widehat { T } _ { \\mathrm { M L E } } ( \\cdot | s , a ) , \\widehat { T } ( \\cdot | s , a ) ) ^ { 2 } \\big ] \\leq \\xi \\Big \\} , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 320, + 555, + 676, + 583 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\mathrm { T V } ( P _ { 1 } , P _ { 2 } )$ is the total variation distance between distributions $P _ { 1 }$ and $P _ { 2 }$ , and $\\widehat { T } _ { \\mathrm { M L E } }$ denotes the maximum likelihood estimate of the MDP given the offline dataset, $\\mathcal { D }$ . ", + "bbox": [ + 174, + 587, + 825, + 616 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Thus, the set defined in Equation 3 contains MDPs which are similar to the maximum likelihood estimate under state-action pairs in $\\mathcal { D }$ . However, because the expectation in Equation 3 is taken under $\\mathcal { D }$ , there is no restriction on $\\widehat { T }$ for regions of the state-action space not covered by $\\mathcal { D }$ . We present a brief overview of the theoretical guarantees from [66] in the following subsection. ", + "bbox": [ + 173, + 623, + 825, + 684 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Remark 1. Note that Problem 1 differs from the pessimistic MDP formulations introduced by MOPO [76] and MOReL [25]. Problem 1 considers the worst-case transition dynamics, while the pessimistic MDPs constructed by MOPO and MOReL only modify the reward function by applying reward penalties for state-action pairs with high uncertainty. ", + "bbox": [ + 174, + 685, + 825, + 742 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.1 Theoretical Motivation ", + "text_level": 1, + "bbox": [ + 174, + 757, + 374, + 772 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The theoretical analysis from [66] shows that solving Problem 1 outputs a policy that with high probability is approximately as good as any policy with a state-action distribution that is covered by the dataset. This is formally stated in the following theorem. ", + "bbox": [ + 174, + 782, + 825, + 825 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Theorem 1 (PAC guarantee from [66], Theorem 5). Denote the true MDP transition function by $T$ and let $\\mathcal { M }$ denote a hypothesis class of MDP models such that $T \\in { \\mathcal { M } }$ . Let $\\pi$ denote the solution to Problem 1 for dataset $\\mathcal { D }$ . Then with probability $1 - \\delta$ for any policy, $\\pi ^ { * } \\in \\Pi$ , we have ", + "bbox": [ + 171, + 827, + 825, + 871 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/8b689c68e8ab8947e74d86ee4e3ad0adc3a0304330d236abe24584e76b30211e.jpg", + "text": "$$\n{ V _ { T } ^ { \\pi ^ { * } } } - { V _ { T } ^ { \\pi } } \\leq ( 1 - \\gamma ) ^ { - 2 } c _ { 1 } \\sqrt { C _ { \\pi ^ { * } } } \\sqrt { G _ { \\mathcal M _ { 1 } } + G _ { \\mathcal M _ { 2 } } + \\xi _ { n } ^ { 2 } + \\frac { \\ln ( c / \\delta ) } { | \\mathcal D | } } , \\ w h e r e\n$$", + "text_format": "latex", + "bbox": [ + 254, + 875, + 743, + 916 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/56fd88b4db91e208a1ffc8d901212f0014dd628b14e998f2f854a7f933b139e6.jpg", + "text": "$$\nC _ { \\pi ^ { * } } = \\operatorname* { m a x } _ { T ^ { \\prime } \\in \\mathcal { M } } \\frac { \\mathbb { E } _ { ( s , a ) \\sim \\tilde { d } _ { T } ^ { \\pi ^ { * } } } \\left[ \\mathrm { T V } ( T ^ { \\prime } ( \\cdot | s , a ) , T ( \\cdot | s , a ) ) ^ { 2 } \\right] } { \\mathbb { E } _ { ( s , a ) \\sim \\rho } \\left[ \\mathrm { T V } ( T ^ { \\prime } ( \\cdot | s , a ) , T ( \\cdot | s , a ) ) ^ { 2 } \\right] } ,\n$$", + "text_format": "latex", + "bbox": [ + 321, + 88, + 673, + 127 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\rho$ is the state-action distribution from which $\\mathcal { D }$ was sampled, and c and $c _ { 1 }$ are universal constants. We refer the reader to Appendix $A$ of [66] for the definitions of $G _ { \\mathcal { M } _ { 1 } }$ , $G _ { \\mathcal { M } _ { 2 } }$ , and $\\xi _ { n }$ . ", + "bbox": [ + 174, + 128, + 823, + 157 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The quantity $C _ { \\pi ^ { * } }$ is upper bounded by the maximum density ratio between the comparator policy, $\\pi ^ { * }$ , and the offline distribution, i.e. $C _ { \\pi ^ { * } } ^ { \\mathrm { ~ \\bar { ~ } } } \\le \\operatorname* { m a x } _ { ( s , a ) } \\tilde { d } _ { T } ^ { \\pi ^ { * } } ( s , a ) / \\rho ( s , a )$ . It represents the discrepancy between the distribution of data in the dataset compared to the visitation distribution of policy $\\pi ^ { * }$ . Theorem 1 shows that if we find a policy by solving Problem 1, the performance gap of that policy is bounded with respect to any other policy $\\pi ^ { * }$ that has a state-action distribution which is covered by the dataset. ", + "bbox": [ + 173, + 165, + 826, + 251 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Furthermore, the value function under the worst-case model in the set defined by Problem 1 is a lower bound on the value function in the true environment, as stated by Proposition 1. ", + "bbox": [ + 171, + 257, + 823, + 285 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Proposition 1 (Pessimistic value function). Let $T$ denote the true transition function for some MDP, and let $\\mathcal { M } _ { \\mathcal { D } }$ be the set of MDP models defined in Equation 3. Then for any policy $\\pi$ , with probability $1 - \\delta$ we have that ", + "bbox": [ + 174, + 287, + 823, + 329 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/33246d70376ca9748239423f153f8657d6c0e9d252dde15a5276ce9601fd2cd3.jpg", + "text": "$$\n\\operatorname* { m i n } _ { \\widehat { T } \\in \\mathcal { M } _ { \\mathcal { D } } } V _ { \\widehat { T } } ^ { \\pi } \\leq V _ { T } ^ { \\pi } .\n$$", + "text_format": "latex", + "bbox": [ + 437, + 328, + 558, + 354 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Proposition 1 follows from the fact that $T \\in \\mathcal { M } _ { \\mathcal { D } }$ with high probability, which is proven in [66] (Appendix E.2). Proposition 1 shows that we can expect the performance of any policy in the true MDP to be at least as good as the value in the worst-case model defined in Problem 1. ", + "bbox": [ + 173, + 362, + 825, + 405 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "While [66] provides the theoretical motivation for solving Problem 1, it does not propose a practical algorithm. In this work, we focus on developing a practical approach to solving Problem 1. ", + "bbox": [ + 173, + 410, + 825, + 439 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "5 RAMBO-RL ", + "text_level": 1, + "bbox": [ + 173, + 457, + 313, + 474 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In this section, we present Robust Adversarial Model-Based Offline RL (RAMBO), our algorithm for solving Problem 1. The main difficulty with solving Problem 1 is that it is unclear how to find the worst-case MDP in the set defined in Equation 3. To arrive at a scalable solution, we propose a novel approach which is in the spirit of RARL. We alternate between optimising the agent policy to increase the expected value, and adversarially optimising the model to decrease the expected value. In this section, we first describe how we compute the gradient to adversarially train the model. Then, we discuss how to ensure that the model remains approximately within the constraint set defined in Problem 1. Finally, we present our overall algorithm. ", + "bbox": [ + 173, + 487, + 826, + 599 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "5.1 Model Gradient ", + "text_level": 1, + "bbox": [ + 174, + 614, + 325, + 630 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We propose a policy gradient-inspired approach to adversarially optimise the model. Typically, policy gradient algorithms are used to modify the distribution over actions taken by a policy at each state [62, 71]. In contrast, the update that we propose modifies the likelihood of the successor states and rewards in the MDP model. ", + "bbox": [ + 174, + 640, + 825, + 696 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We assume that the MDP model is defined by parameters, $\\phi$ , and we write $\\widehat { T } _ { \\phi }$ to indicate this. We denote by V πφ the value function for policy π in model Tbφ. To approximately find minTφ∈MD as required by Problem 1 via gradient descent, we wish to compute the gradient of the model parameters that reduces the value of the policy within the model, i.e. $\\nabla _ { \\phi } V _ { \\phi } ^ { \\pi }$ . ", + "bbox": [ + 174, + 700, + 825, + 766 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Proposition 2 (Model Gradient). Let $\\phi$ denote the parameters of a parametric MDP model $\\widehat { T } _ { \\phi }$ , and let $V _ { \\phi } ^ { \\pi }$ denote the value function for policy $\\pi$ in $\\widehat { T } _ { \\phi }$ . Then: ", + "bbox": [ + 173, + 771, + 825, + 804 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/f21e700f0c60b5897124b3a670b14f3ae226a597eeb8c70b1ba31dc99624eda2.jpg", + "text": "$$\n\\nabla _ { \\phi } V _ { \\phi } ^ { \\pi } = \\mathbb { E } _ { s \\sim d _ { \\phi } ^ { \\pi } , a \\sim \\pi , ( s ^ { \\prime } , r ) \\sim \\widehat { T } _ { \\phi } } \\left[ ( r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) ) \\cdot \\nabla _ { \\phi } \\log \\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) \\right]\n$$", + "text_format": "latex", + "bbox": [ + 269, + 809, + 727, + 835 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The proof of Proposition 2 is given in Appendix A. We can subtract the baseline $Q _ { \\phi } ^ { \\pi } ( s , a )$ without biasing the gradient estimate (see Appendix A.1 for details): ", + "bbox": [ + 174, + 844, + 825, + 876 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/9529d743ff4787c1fb6a32149289d5ec62c8b4518a9c148498ebe5f1dafd14a8.jpg", + "text": "$$\n\\begin{array} { r } { \\nabla _ { \\phi } V _ { \\phi } ^ { \\pi } = \\mathbb { E } _ { s \\sim d _ { \\phi } ^ { \\pi } , a \\sim \\pi , ( s ^ { \\prime } , r ) \\sim \\widehat { T } _ { \\phi } } \\left[ \\left( r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) - Q _ { \\phi } ^ { \\pi } ( s , a ) \\right) \\cdot \\nabla _ { \\phi } \\log \\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) \\right] } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 230, + 890, + 764, + 916 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The Model Gradient differs from the standard policy gradient in that a) it is used to update the likelihood of successor states in the model, rather than actions in a policy, and b) the “advantage” term $r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) - Q _ { \\phi } ^ { \\pi } ( s , a )$ compares the utility of receiving reward $r$ and transitioning to $s ^ { \\prime }$ to the expected value of state action pair $( s , a )$ . In contrast, the standard advantage term, $Q ( s , a ) - V ( s )$ [56], compares the value of executing state-action pair $( s , a )$ to the value at $s$ . To estimate $V _ { \\phi } ^ { \\pi }$ and $Q _ { \\phi } ^ { \\pi }$ , we use the critic learnt by the actor-critic algorithm used for policy optimisation. Thus, we use the critic both for training the policy and adversarially training the model. ", + "bbox": [ + 173, + 90, + 826, + 193 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Remark 2. The Model Gradient can be thought of as a specific instantiation of the policy gradient if we view $\\widehat { T } _ { \\phi }$ as a adversarial “policy” on an augmented MDP, $M ^ { + }$ , i.e. $\\widehat { T } _ { \\phi } : S ^ { + } \\to \\operatorname { D i s t } ( A ^ { + } )$ . The augmented state space, $S ^ { + } = \\bar { S } \\times \\bar { A }$ includes the state in the original MDP augmented by the action taken by the agent. The augmented action space consists of the reward applied and the successor state, $A ^ { + } = S \\times [ R _ { \\operatorname* { m i n } } , R _ { \\operatorname* { m a x } } ]$ . Thus, we can think of this approach as an instantiation of RARL in which the adversary policy $\\bar { \\pi }$ in Equation 1) that we train is the model itself. ", + "bbox": [ + 173, + 195, + 825, + 284 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5.2 Adversarial Model Training ", + "text_level": 1, + "bbox": [ + 174, + 299, + 408, + 314 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "If we were to update the model using Equation 5 alone, this would allow the model to be modified arbitrarily such that the value function in the model is reduced. However, the set of plausible MDPs given by Equation 3 states that over the dataset, $\\mathcal { D }$ , the model $\\widehat { T } _ { \\phi }$ should be close to the maximum likelihood estimate, $\\widehat { T } _ { \\mathrm { M L E } }$ . Specifically, in the inner optimisation of Problem 1 we wish to find a solution to the constrained optimisation problem ", + "bbox": [ + 173, + 324, + 825, + 401 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/5233ee4e813ae4ab1f1a12cf9d1d67d68c9f4afd399d1d5e5b89be29418a02e0.jpg", + "text": "$$\n\\operatorname* { m i n } _ { \\widehat { T } _ { \\phi } } V _ { \\phi } ^ { \\pi } , \\quad s . t . \\mathbb { E } _ { \\mathcal { D } } \\big [ \\mathbf { T V } ( \\widehat { T } _ { \\mathrm { M L E } } ( \\cdot | s , a ) , \\widehat { T } _ { \\phi } ( \\cdot | s , a ) ) ^ { 2 } \\big ] \\leq \\xi .\n$$", + "text_format": "latex", + "bbox": [ + 312, + 406, + 684, + 438 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The Lagrangian relaxation leads to the unconstrained problem ", + "bbox": [ + 174, + 445, + 581, + 460 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/82079e130502e99af45a8c66cbfb8c8b75ae64f3a1308daee15562b6526754a5.jpg", + "text": "$$\n\\operatorname* { m a x } _ { \\lambda \\geq 0 } \\operatorname* { m i n } _ { \\hat { T } _ { \\phi } } \\Big ( L ( \\hat { T } , \\lambda ) : = V _ { \\phi } ^ { \\pi } + \\lambda \\big ( \\mathbb { E } _ { \\mathcal { D } } \\big [ \\mathrm { T V } ( \\hat { T } _ { \\mathrm { M L E } } ( \\cdot \\vert s , a ) , \\hat { T } _ { \\phi } ( \\cdot \\vert s , a ) ) ^ { 2 } \\big ] - \\xi \\big ) \\Big ) ,\n$$", + "text_format": "latex", + "bbox": [ + 251, + 465, + 743, + 500 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\lambda$ is the Lagrange multiplier. Rather than optimising the Lagrange multiplier, we find that in practice fixing $\\lambda$ to apply a constant weighting between the two terms works well with minimal tuning. To facilitate easier tuning of the learning rate, in our implementation we apply the weighting constant to the value function term rather than the model term, which is equivalent up to a scaling factor. This leads to ", + "bbox": [ + 173, + 506, + 825, + 575 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/f1fed017dcc24f7c8cd56eff01f719cbaf4cd08334f02a7068b0e6a1bbcd6b4a.jpg", + "text": "$$\n\\begin{array} { r } { \\underset { \\widehat { T } _ { \\phi } } { \\operatorname* { m i n } } \\left( \\lambda V _ { \\phi } ^ { \\pi } + \\mathbb { E } _ { \\mathcal { D } } \\left[ \\Gamma \\mathbf { V } ( \\widehat { T } _ { \\mathrm { M L E } } ( \\cdot | s , a ) , \\widehat { T } _ { \\phi } ( \\cdot | s , a ) ) ^ { 2 } \\right] \\right) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 330, + 580, + 666, + 613 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We aim to make our algorithm efficient and simple to implement. Therefore, rather than minimising the TV distance between the model and MLE model as prescribed by Equation 8, we directly optimise the standard MLE loss. This leads to the final loss function: ", + "bbox": [ + 174, + 627, + 823, + 670 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/ac84323481fe6c04c61be46f9a3893ddacf3303c7ef34906494f3c0edd8d084d.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } _ { \\phi } = \\lambda V _ { \\phi } ^ { \\pi } - \\mathbb { E } _ { ( s , a , r , s ^ { \\prime } ) \\sim \\mathcal { D } } \\left[ \\log \\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) \\right] . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 343, + 674, + 655, + 695 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Thus, the loss function for the model in Equation 9 simply adds the adversarial term to the standard MLE loss. By minimising the loss function in Equation 9, the model is trained to a) predict the transitions within the dataset, and b) reduce the value function of the policy, with $\\lambda$ determining the tradeoff between these two objectives. Choosing $\\lambda$ to be small ensures that the MLE term dominates for transitions within $\\mathcal { D }$ , ensuring that the model fits the dataset accurately. Because the MLE term is only computed over $\\mathcal { D }$ , the adversarial term dominates outside of the dataset meaning that the model is modified adversarially for transitions outside of the dataset. ", + "bbox": [ + 173, + 700, + 825, + 799 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To estimate the gradient of the loss function in Equation 9 for stochastic gradient descent, we sample a minibatch of transitions from $\\mathcal { D }$ to estimate the MLE term. The gradient for the value function term is computed using the Model Gradient. The transitions used to compute the Model Gradient term must be sampled under the current policy and model (Equation 5). Therefore, to estimate the Model Gradient term, we generate a minibatch of transitions by simulating the current policy in $\\widehat { T } _ { \\phi }$ . ", + "bbox": [ + 173, + 804, + 825, + 877 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Like previous works [10, 76, 75, 8], we represent the dynamics model using an ensemble of neural networks. Each neural network produces a Gaussian distribution over the next state and reward: ", + "bbox": [ + 174, + 882, + 821, + 911 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$\\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) = \\mathcal { N } ( \\mu _ { \\phi } ( s , a ) , \\Sigma _ { \\phi } ( s , a ) )$ . A visualisation of the result of adversarially training the dynamics model can be found in Appendix C.3. ", + "bbox": [ + 173, + 90, + 823, + 119 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Normalisation The composite loss function in Equation 9 comprises two terms which may have different magnitudes across domains depending on the scale of the states and rewards. To enable easier tuning of the adversarial loss weighting, $\\lambda$ , across different domains we perform the following normalisation procedure. Prior to training, we normalise the states in $\\mathcal { D }$ in the manner proposed in [15], by subtracting the mean and dividing by the standard deviation of each state dimension in the dataset. Additionally, when computing the gradient in Equation 5 we normalise the advantage terms, $r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) - \\dot { Q _ { \\phi } ^ { \\pi } } ( s , a )$ , according to the mean and standard deviation across each minibatch. Advantage normalisation is common practice in policy gradient RL implementations [3, 52]. ", + "bbox": [ + 173, + 126, + 825, + 238 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.3 Algorithm ", + "text_level": 1, + "bbox": [ + 174, + 255, + 285, + 270 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We are now ready to present our overall approach in Algorithm 1. The first step of RAMBO is to pretrain the environment dynamics model using standard MLE (Line 1). Thereafter, the algorithm follows the format of RARL. At each iteration, we apply gradient updates to the agent to increase the expected value, followed by gradient updates to the model to decrease the expected value. ", + "bbox": [ + 174, + 280, + 825, + 337 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Prior to each agent update, we generate synthetic $k$ -step rollouts starting from states in $\\mathcal { D }$ by simulating rollouts in the current MDP model $\\widehat { T } _ { \\phi }$ . This data is added to the synthetic dataset $\\mathcal { D } _ { \\widehat { T } _ { \\phi } }$ (Line 3). Following previous approaches [76, 75, 22] we only store data from recent iterations in $\\mathcal { D } _ { \\widehat { T } _ { \\phi } }$ . The agent’s policy and value functions are trained with an off-policy actor-critic algorithm using samples from $\\mathcal { D } \\cup \\mathcal { D } _ { \\widehat { T } _ { \\phi } }$ (Line 4). In our implementation, we use soft actor-critic (SAC) [19] for agent training. To update the model to minimise the loss in Equation 9 (Line 5), we sample data from $\\mathcal { D }$ to estimate the gradient for the MLE component. To compute the adversarial component we generate samples by simulating the current policy and model, and utilise the value function learnt by the agent to compute the gradient according to Equation 5. ", + "bbox": [ + 173, + 343, + 826, + 478 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Algorithm 1 RAMBO-RL ", + "text_level": 1, + "bbox": [ + 174, + 494, + 349, + 510 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Require: Normalised dataset, $\\mathcal { D }$ ; \n1: $\\widehat { T } _ { \\phi } \\gets \\mathrm { M L E }$ dynamics model. \n2: for $i = 1 , 2 , \\dots , n _ { \\mathrm { i t e r } } ,$ do \n3: Generate synthetic $k$ -step rollouts. Add transition data to $\\mathcal { D } _ { \\widehat { T } _ { \\phi } }$ . \n4: Agent update: Update $\\pi$ and $Q _ { \\phi } ^ { \\pi }$ Tbφwith an actor critic algorithm, using samples from $\\mathcal { D } \\cup \\mathcal { D } _ { \\widehat { T } _ { \\phi } }$ . \n5: Adversarial model update: Update $\\widehat { T } _ { \\phi }$ according to Eq. 9, using samples from $\\mathcal { D }$ for the MLE component, and the current critic $Q _ { \\phi } ^ { \\pi }$ and synthetic data sampled from $\\pi$ and $\\widehat { T } _ { \\phi }$ for the adversarial component. ", + "bbox": [ + 178, + 513, + 826, + 638 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6 Experiments ", + "text_level": 1, + "bbox": [ + 173, + 671, + 312, + 689 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In our experiments, we aim to: a) evaluate how well RAMBO performs compared to state-ofthe-art baselines, b) examine whether RAMBO can be tuned offline, c) determine the impact of adversarial training on the performance of the algorithm, and d) investigate the difference between RAMBO and COMBO, the most similar prior algorithm. The code for our experiments is available at github.com/marc-rigter/rambo. We evaluate our approach on the following domains. ", + "bbox": [ + 174, + 704, + 825, + 773 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "MuJoCo There are three different environments representing different robots (HalfCheetah, Hopper, Walker2D), each with 4 datasets (Random, Medium, Medium-Replay, Medium-Expert). Random contains transitions collected by a random policy. Medium contains transitions collected by an early-stopped SAC policy. Medium-Replay consists of the replay buffer generated while training the Medium policy. The Medium-Expert dataset contains a mixture of suboptimal and expert data. ", + "bbox": [ + 174, + 779, + 825, + 849 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "AntMaze The agent controls a robot and navigates to reach a goal, receiving a sparse reward only if the goal is reached. There are three different layouts of maze (Umaze, Medium, Large), and different dataset types (Fixed, Play, Diverse) which differ in terms of the variety of start and goal locations used to collect the dataset. The MuJoCo and AntMaze benchmarks are from D4RL [14]. ", + "bbox": [ + 174, + 856, + 823, + 911 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Hyperparameter Details The base hyperparameters that we use for RAMBO mostly follow those used in SAC [19] and COMBO [75]. We find that the performance of RAMBO is sensitive to the choice of rollout length, $k$ , consistent with findings in previous works [22, 37]. The other critical parameter for RAMBO is the choice of the adversarial weighting, $\\lambda$ . ", + "bbox": [ + 174, + 92, + 825, + 147 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For each dataset, we choose the rollout length and the adversarial weighting from one of three possible configurations: $( k , \\lambda ) \\in \\{ ( 2 , 3 { \\mathrm { e } } { - } 4 ) , ( 5 , 3 { \\bar { \\mathrm { e } } } { - } 4 ) , ( 5 , 0 ) \\}$ . We included $\\bar { ( k , \\lambda ) } = ( 5 , 0 )$ as we found that an adversarial weighting of 0 worked well for some datasets. For the MuJoCo datasets we performed model rollouts using the current policy, and initialised the policy using behaviour cloning (BC) which is a common practice in offline RL [25, 74]. Ablation results in Appendix C.4 indicate that the BC initialisation results in a small improvement. For the AntMaze datasets we used a random rollout policy and a randomly initialised policy as we found that this performed better. Further details about the hyperparameters are in Appendix B. ", + "bbox": [ + 174, + 152, + 825, + 263 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Evaluation We present two different evaluations of our approach: RAMBO and RAMBOOFF. For RAMBO, we ran each of the three hyperparameter configurations for five seeds each, and report the best performance across the three configurations. Thus, our evaluation of RAMBO utilises limited online tuning which is the most common practice among existing model-based offline RL algorithms [25, 37, 39, 76]. The performance obtained for each of the hyperparameter configurations is included in Appendix C.2. ", + "bbox": [ + 174, + 281, + 825, + 364 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Offline hyperparameter selection is an important topic in offline RL [47, 77]. Therefore, we present additional results for RAMBOOFF where we select between the three choices of hyperparameters offline using a simple heuristic (details in Appendix B.5) based on the magnitude and stability of the $Q$ -values during offline training. We first select the hyperparameters using the heuristic, and then rerun each dataset for 5 seeds to generate the results for RAMBOOFF. ", + "bbox": [ + 174, + 372, + 825, + 440 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Baselines We compare RAMBO against state-of-the-art model-based (COMBO [75], RepBSDE [34], MOReL [25], and MOPO [76]) and model-free (CQL [31], IQL [28], and $\\mathrm { T D } 3 { + } \\mathrm { B C }$ [15]) offline RL algorithms. We provide results for all algorithms for the MuJoCo-v2 D4RL datasets and the AntMaze-v0 datasets (details in Appendix B.7). ", + "bbox": [ + 174, + 459, + 825, + 515 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6.1 Results ", + "text_level": 1, + "bbox": [ + 174, + 535, + 263, + 549 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "D4RL Performance The results in Table 1 show that RAMBO achieves the best total score for the MuJoCo locomotion domains, outperforming existing state-of-the-art methods. Furthermore, RAMBO obtains the best overall score on both the Medium and Medium-Replay dataset types. For the random datasets, RAMBO is outperformed only by MOReL. This shows that RAMBO performs very well for datasets that are either noisy or consist of suboptimal data. ", + "bbox": [ + 174, + 560, + 825, + 631 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For the Medium-Expert datasets, RAMBO is outperformed by most of the baseline algorithms, suggesting that RAMBO is less suitable for high-quality datasets. However, for the Medium-Expert datasets, simpler approaches such as performing behaviour cloning on the best $10 \\%$ of trajectories can be used to achieve stronger performance than offline RL methods [28]. Therefore, the suboptimal performance of RAMBO on the Medium-Expert datasets is less of a concern, as applying offline RL algorithms may not be the most suitable approach for these high-quality datasets. ", + "bbox": [ + 174, + 637, + 825, + 720 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For AntMaze, the model-based algorithms perform considerably less well than the model-free approaches. Unlike the other model-based approaches, RAMBO at least scores greater than zero for most of the datasets. Our results echo previous findings that model-based approaches struggle to perform well in the AntMaze domains, potentially because model-based algorithms are too aggressive and collide with walls [67]. Recent work [67] showed that reverse rollouts can lead to stronger performance for model-based methods in these domains. In future work, we wish to investigate whether combining RAMBO with reverse rollouts improves the performance for AntMaze. ", + "bbox": [ + 174, + 727, + 825, + 824 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Offline Tuning In Table 1, we also present results for RAMBOOFF where the final hyperparameters are chosen using the heuristic described in Appendix B.5. We see that there is a slight degradation in the performance relative to RAMBO, which uses online tuning. However, RAMBOOFF still achieves comparable performance to the best existing approaches on the MuJoCo datasets. This suggests that suitable hyperparameters for RAMBO can reliably be chosen using our offline heuristic. ", + "bbox": [ + 174, + 842, + 823, + 911 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/b9c266237b592a84fb667c6d9f0b17a17a8853e1660580310318ac0d0ce7b9f4.jpg", + "table_caption": [ + "Table 1: Results for the D4RL benchmark using the normalisation procedure proposed by [14]. We report the normalised performance during the last 10 iterations of training averaged over 5 seeds. $\\pm$ captures the standard deviation over seeds. Highlighted numbers indicate results within $2 \\%$ of the most performant algorithm. \\* indicates the total without random datasets. " + ], + "table_footnote": [], + "table_body": "
OursModel-based baselinesModel-free baselines
RAMBORAMBOOFF|RepB-SDE COMBO MOPO MOReLCQLIQLTD3+BCBC
aapaemHalfCheetah40.0 ± 2.333.5 ± 2.632.938.835.425.619.6111.02.1
Hopper21.6 ± 8.015.5± 9.48.617.94.153.66.7-8.59.8
Walker2D11.5 ± 10.50.2±0.621.17.04.237.32.4-1.61.6
WaieaHalfCheetah77.6 ± 1.571.0 ± 3.049.154.269.542.149.047.448.336.1
Hopper92.8± 6.091.2 ± 16.334.094.948.095.466.666.359.329.0
Walker2D86.9 ± 2.789.1 ± 2.772.175.5-0.277.883.878.383.76.6
nipea AerderHalfCheetah68.9 ± 2.367.0 ± 1.557.555.168.240.247.144.244.638.4
Hopper96.6± 7.097.6± 3.462.273.139.193.697.094.760.911.8
Walker2D85.0 ± 15.088.5± 4.049.856.069.449.888.273.981.811.3
wnipen dxHalfCheetah93.7± 10.579.3 ± 2.955.490.072.753.390.886.790.735.8
Hopper83.3± 9.189.5 ± 11.182.6111.13.3108.7106.891.598.0111.9
Walker2D68.3± 20.663.1± 31.388.896.1-0.395.6109.4109.6110.16.4
MuJoCo-v2 Total:826.2 ± 33.8785.5± 40.4614.1769.7413.4773.0767.4692.6*698.5300.8
Umaze25.0±12.023.8± 15.00.080.30.00.074.087.578.665.0
16.4 ± 17.95.6± 10.90.00.00.00.061.271.23.00.0
Large-Play0.0±0.00.0±0.00.00.00.00.015.839.60.00.0
0.0±0.00.0±0.00.057.30.00.084.062.271.455.0
Medium-Diverse23.2 ± 14.28.4±9.90.00.00.00.053.770.010.60.0
Large-Diverse2.4± 3.30.0±0.00.00.00.00.014.947.50.20.0
AntMaze-v0 Total:67.0 ± 14.937.8± 12.40.0137.60.00.0303.6378.0163.8120.0
", + "bbox": [ + 174, + 155, + 823, + 476 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/7771d0cde31e799d3324c011028e34be987ccaa970d4f6fb85f9cd5ec50b81fc.jpg", + "table_caption": [ + "Table 2: Ablation of the adversarial updates for RAMBO. These results use the same rollout length for each dataset as RAMBO but with no adversarial updates (i.e. $\\lambda = 0$ ). The scores are averaged over 5 seeds. " + ], + "table_footnote": [], + "table_body": "
RAMBO (No Adversarial Training)
MuJoCo-v2 Total: 694.4 ± 56.5|AntMaze-v0 Total: 45.8 ± 21.8
", + "bbox": [ + 183, + 553, + 522, + 585 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/865ac85a87414b43e2a869c7219361fbbe0e2ddb0700f829cd704fd52730cc93.jpg", + "table_caption": [ + "Table 3: Comparison between RAMBO and COMBO for the Single Transition Example. We use 20 seeds and $\\pm$ captures the standard deviation over seeds. RAMBO outperforms COMBO $( p = 0 . 0 0 5 )$ . " + ], + "table_footnote": [], + "table_body": "
RAMBO:
", + "bbox": [ + 566, + 569, + 807, + 583 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Ablation of Adversarial Training In Table 2 we present results for RAMBO with no adversarial updates. These results demonstrate that overall performance degrades if the adversarial training is removed. This parallels previous findings that mitigating the issue of model exploitation is crucial to obtaining strong performance in model-based offline RL. Interestingly however, for some specific datasets we obtain the best performance with no adversarial training (Appendix C.2). This suggests that a potential direction for future work could be trying to identify which types of problems do not require regularisation for a successful policy to be trained offline with model-based RL. ", + "bbox": [ + 173, + 612, + 825, + 709 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Comparison to COMBO We focus especially on comparing our approach to COMBO, as it is the most similar existing algorithm. We compare RAMBO and COMBO on the Single Transition toy example which is described in detail in Appendix C.1. This domain has a one-dimensional state and action space, and several distinct regions of the action space are covered by the dataset. We use this domain to investigate whether the policies optimised by RAMBO and COMBO tend to become stuck in local optima. ", + "bbox": [ + 174, + 724, + 825, + 808 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Table 3 compares the performance of RAMBO and COMBO on the Single Transition Example. Further analysis in Appendix C.1 shows that for this problem, the pessimistic value function updates used by COMBO create local maxima in the $Q$ -function which are present throughout training. Policy optimisation can become stuck in these local maxima. On the other hand, the value function produced by RAMBO is initially optimistic, and pessimism is introduced into the value function gradually as the transition function is modified adversarially. Adversarial modification of the transition function is visualised in Appendix C.3. As a result of this gradual introduction of pessimism, we observe that the policy produced by RAMBO is less likely to become stuck in poor local maxima, and better overall performance is obtained in Table 3. This observation may help to explain why RAMBO is able to achieve consistently strong performance relative to existing algorithms in the MuJoCo domains. Gradually increasing the level of pessimism could be a useful modification for existing offline RL algorithms to be investigated in future work. ", + "bbox": [ + 174, + 814, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 160 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "7 Conclusion and Future Directions ", + "text_level": 1, + "bbox": [ + 174, + 179, + 488, + 196 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "RAMBO is a promising new approach to offline RL which imposes conservatism by adversarially modifying the transition dynamics of a learnt model. Our approach is theoretically justified, and achieves state-of-the-art performance on standard benchmarks. ", + "bbox": [ + 174, + 210, + 825, + 253 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "There are a number of possible extensions to RAMBO, some of which we have already discussed. In addition, we would like to apply RAMBO to image-space domains by using deep latent variable models to compress the state space [18, 51] and adversarially perturbing the transition dynamics in the latent space representation. Another direction that we would like to investigate is the use of adversarially trained models to aid interpretability in deep RL [44] by generating imagined worst-case trajectories. Finally, we wish to investigate applying the ideas developed in this work to the online RL setting to improve robustness. ", + "bbox": [ + 174, + 258, + 825, + 357 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgements ", + "text_level": 1, + "bbox": [ + 176, + 376, + 338, + 393 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This work was supported by a Programme Grant from the Engineering and Physical Sciences Research Council (EP/V000748/1), the Clarendon Fund at the University of Oxford, and a gift from Amazon Web Services. Additionally, this project made use of time on Tier 2 HPC facility JADE2, funded by the Engineering and Physical Sciences Research Council (EP/T022205/1). ", + "bbox": [ + 174, + 407, + 825, + 463 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "The authors would like to thank Raunak Bhattacharyya, Paul Duckworth, and Matthew Budd for their feedback on an earlier draft of this work. ", + "bbox": [ + 174, + 469, + 823, + 497 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "References ", + "text_level": 1, + "bbox": [ + 174, + 90, + 266, + 106 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "[1] Rishabh Agarwal, Dale Schuurmans, and Mohammad Norouzi. An optimistic perspective on offline reinforcement learning. In International Conference on Machine Learning, pages 104–114. PMLR, 2020. \n[2] Gaon An, Seungyong Moon, Jang-Hyun Kim, and Hyun Oh Song. Uncertainty-based offline reinforcement learning with diversified Q-ensemble. 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", + "bbox": [ + 173, + 102, + 828, + 911 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 64, + 828, + 914 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 71, + 828, + 917 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 58, + 828, + 920 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Checklist ", + "text_level": 1, + "bbox": [ + 174, + 89, + 254, + 106 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "The checklist follows the references. Please read the checklist guidelines carefully for information on how to answer these questions. For each question, change the default [TODO] to [Yes] , [No] , or [N/A] . You are strongly encouraged to include a justification to your answer, either by referencing the appropriate section of your paper or providing a brief inline description. 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[Yes] We include a complete proof of Proposition 2. For the theoretical results from [66], we provide references to the appropriate parts of that paper. ", + "bbox": [ + 238, + 473, + 825, + 531 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "3. If you ran experiments... ", + "bbox": [ + 214, + 536, + 393, + 551 + ], + "page_idx": 14 + }, + { + "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] A URL to the code is provided. \n(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] Detailed information about implementation details and hyperparameters is in the appendix. \n(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] Standard deviation with respect to seeds is reported for all results. \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] Details of compute used per run and total compute used for full evaluation is in Appendix B.8. ", + "bbox": [ + 238, + 556, + 825, + 731 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... ", + "bbox": [ + 209, + 736, + 821, + 751 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "(a) If your work uses existing assets, did you cite the creators? [Yes] We cite the D4RL benchmark datasets [14]. \n(b) Did you mention the license of the assets? [Yes] In Appendix B.7. \n(c) Did you include any new assets either in the supplemental material or as a URL? 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RAMBO incorporates conservatism by modifying the transition dynamics of", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "the learnt Markov decision process (MDP) model in an adversarial manner. We formulate the problem", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "of offline RL as a zero-sum game against an adversarial environment. To solve the resulting maximin", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 116, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 506, + 129 + ], + "score": 1.0, + "content": "optimisation problem, we alternate between optimising the agent and optimising the adversary in", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 507, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 507, + 141 + ], + "score": 1.0, + "content": "the style of Robust Adversarial RL (RARL) [50]. Unlike existing RARL approaches, our model-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 138, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 505, + 151 + ], + "score": 1.0, + "content": "based approach forgoes the need to define and train an adversary policy, and instead only learns an", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 149, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 505, + 162 + ], + "score": 1.0, + "content": "adversarial model of the MDP. We train the agent policy with an actor-critic algorithm using synthetic", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "score": 1.0, + "content": "data generated from the model in addition to data sampled from the dataset, similar to Dyna [60] and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "score": 1.0, + "content": "a number of recent methods [22, 76, 25, 75]. We update the environment model so that it reduces", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 182, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 506, + 195 + ], + "score": 1.0, + "content": "the value function for the agent policy, while still accurately predicting the transitions in the dataset.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "score": 1.0, + "content": "As a result, our approach introduces conservatism by generating pessimistic synthetic transitions", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 204, + 506, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 506, + 216 + ], + "score": 1.0, + "content": "for state-action pairs which are out-of-distribution. The theoretical formulation of offline RL that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 214, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 228 + ], + "score": 1.0, + "content": "our algorithm addresses yields a PAC bound for the performance gap with respect to any policy", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 226, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 505, + 238 + ], + "score": 1.0, + "content": "covered by the dataset, and a pessimistic value function that lower bounds the value function in the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 238, + 179, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 179, + 248 + ], + "score": 1.0, + "content": "true environment.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 106, + 253, + 317, + 264 + ], + "lines": [ + { + "bbox": [ + 105, + 252, + 319, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 319, + 266 + ], + "score": 1.0, + "content": "In summary, the main contributions of this work are:", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 106, + 273, + 505, + 331 + ], + "lines": [ + { + "bbox": [ + 105, + 272, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 505, + 287 + ], + "score": 1.0, + "content": "• RAMBO, a novel and theoretically-grounded model-based offline RL algorithm which enforces", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 113, + 285, + 343, + 296 + ], + "spans": [ + { + "bbox": [ + 113, + 285, + 343, + 296 + ], + "score": 1.0, + "content": "conservatism by training an adversarial dynamics model.", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 297, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 505, + 312 + ], + "score": 1.0, + "content": "• Adapting the Robust Adversarial RL approach to model-based offline RL by proposing a new", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 113, + 308, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 113, + 308, + 505, + 322 + ], + "score": 1.0, + "content": "formulation of RARL, where instead of defining and training an adversary policy, we directly train", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 114, + 319, + 212, + 333 + ], + "spans": [ + { + "bbox": [ + 114, + 319, + 212, + 333 + ], + "score": 1.0, + "content": "the model adversarially.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 108, + 340, + 503, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "score": 1.0, + "content": "In our experiments we demonstrate that RAMBO outperforms current state-of-the-art algorithms on", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "the D4RL benchmarks [14]. Furthermore, we provide ablation results which show that training the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 363, + 384, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 384, + 375 + ], + "score": 1.0, + "content": "model adversarially is crucial to the strong performance of RAMBO.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23 + }, + { + "type": "title", + "bbox": [ + 107, + 390, + 197, + 403 + ], + "lines": [ + { + "bbox": [ + 105, + 389, + 198, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 198, + 405 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 416, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 106, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "Offline RL: Offline RL addresses the problem of learning policies from fixed datasets, and has", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "score": 1.0, + "content": "been applied to domains such as healthcare [42, 57], natural language processing [24, 23], and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "robotics [30, 38, 51]. Model-free offline RL algorithms do not require a learnt model. Approaches for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 448, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 463 + ], + "score": 1.0, + "content": "model-free offline RL include importance sampling algorithms [36, 41], constraining the learnt policy", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "score": 1.0, + "content": "to be similar to the behaviour policy [16, 28, 72, 23, 58, 15], incorporating conservatism into the value", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "function during training [9, 27, 31, 73], using uncertainty quantification to generate more robust value", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 482, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 506, + 494 + ], + "score": 1.0, + "content": "estimates [1, 2, 29], or applying only a single iteration of policy iteration [7, 49]. In contrast, model-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "based approaches learn a model of the environment and generate synthetic data from that model [60]", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "to optimise a policy using either planning [4] or RL algorithms [25, 76, 75]. By training a policy on", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "score": 1.0, + "content": "additional synthetic data, model-based approaches have the potential for broader generalisation and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "for solving new tasks [6, 76]. A simple approach to ensuring conservatism is to constrain the policy", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "to be similar to the behaviour policy in the same fashion as some model-free approaches [8, 39, 63].", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "Another approach is to apply reward penalties for executing state-action pairs with high uncertainty", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "score": 1.0, + "content": "in the environment model [25, 74, 76]. However, this requires explicit uncertainty estimates which", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 569, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 581 + ], + "score": 1.0, + "content": "may be unreliable for neural network models [17, 37, 46, 75]. COMBO [75] obviates the need for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "uncertainty estimation in model-based offline RL by adapting model-free techniques [31] to regularise", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 590, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 506, + 604 + ], + "score": 1.0, + "content": "the value function for out-of-distribution samples. Like COMBO, our approach does not require", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 603, + 200, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 200, + 614 + ], + "score": 1.0, + "content": "uncertainty estimation.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 107, + 617, + 505, + 684 + ], + "lines": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "Most approaches to model-based offline RL use maximum likelihood estimates (MLE) of the MDP", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 630, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 505, + 641 + ], + "score": 1.0, + "content": "trained using standard supervised learning [4, 39, 63, 76, 75]. However, other methods have been", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "proposed to learn models which are more suitable for offline policy optimisation. One approach is to", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 651, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 505, + 663 + ], + "score": 1.0, + "content": "reweight the loss function to ensure the model is accurate under the state-action distribution generated", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 663, + 505, + 674 + ], + "spans": [ + { + "bbox": [ + 106, + 663, + 505, + 674 + ], + "score": 1.0, + "content": "by the policy [34, 53, 20]. In contrast, our approach produces pessimistic synthetic transitions when", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 673, + 185, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 185, + 685 + ], + "score": 1.0, + "content": "out-of-distribution.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 46.5 + }, + { + "type": "text", + "bbox": [ + 108, + 689, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "Most related to our work is a recent paper [66] which introduces the maximin formulation of offline", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "RL that we address. This existing work motivates our approach theoretically by showing that the", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "problem formulation obtains probably approximately correct (PAC) guarantees. However, [66]", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 51 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 741, + 310, + 753 + ], + "spans": [ + { + "bbox": [ + 301, + 741, + 310, + 753 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 84 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 84 + ], + "score": 1.0, + "content": "In this work we present Robust Adversarial Model-Based Offline (RAMBO) RL, a new algorithm for", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 84, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 84, + 506, + 96 + ], + "score": 1.0, + "content": "model-based offline RL. RAMBO incorporates conservatism by modifying the transition dynamics of", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "the learnt Markov decision process (MDP) model in an adversarial manner. We formulate the problem", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "of offline RL as a zero-sum game against an adversarial environment. To solve the resulting maximin", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 116, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 506, + 129 + ], + "score": 1.0, + "content": "optimisation problem, we alternate between optimising the agent and optimising the adversary in", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 507, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 507, + 141 + ], + "score": 1.0, + "content": "the style of Robust Adversarial RL (RARL) [50]. Unlike existing RARL approaches, our model-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 138, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 505, + 151 + ], + "score": 1.0, + "content": "based approach forgoes the need to define and train an adversary policy, and instead only learns an", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 149, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 505, + 162 + ], + "score": 1.0, + "content": "adversarial model of the MDP. We train the agent policy with an actor-critic algorithm using synthetic", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "score": 1.0, + "content": "data generated from the model in addition to data sampled from the dataset, similar to Dyna [60] and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "score": 1.0, + "content": "a number of recent methods [22, 76, 25, 75]. We update the environment model so that it reduces", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 182, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 506, + 195 + ], + "score": 1.0, + "content": "the value function for the agent policy, while still accurately predicting the transitions in the dataset.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "score": 1.0, + "content": "As a result, our approach introduces conservatism by generating pessimistic synthetic transitions", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 204, + 506, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 506, + 216 + ], + "score": 1.0, + "content": "for state-action pairs which are out-of-distribution. The theoretical formulation of offline RL that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 214, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 228 + ], + "score": 1.0, + "content": "our algorithm addresses yields a PAC bound for the performance gap with respect to any policy", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 226, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 505, + 238 + ], + "score": 1.0, + "content": "covered by the dataset, and a pessimistic value function that lower bounds the value function in the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 238, + 179, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 179, + 248 + ], + "score": 1.0, + "content": "true environment.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 73, + 507, + 248 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 253, + 317, + 264 + ], + "lines": [ + { + "bbox": [ + 105, + 252, + 319, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 319, + 266 + ], + "score": 1.0, + "content": "In summary, the main contributions of this work are:", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 252, + 319, + 266 + ] + }, + { + "type": "list", + "bbox": [ + 106, + 273, + 505, + 331 + ], + "lines": [ + { + "bbox": [ + 105, + 272, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 505, + 287 + ], + "score": 1.0, + "content": "• RAMBO, a novel and theoretically-grounded model-based offline RL algorithm which enforces", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 113, + 285, + 343, + 296 + ], + "spans": [ + { + "bbox": [ + 113, + 285, + 343, + 296 + ], + "score": 1.0, + "content": "conservatism by training an adversarial dynamics model.", + "type": "text" + } + ], + "index": 18, + "is_list_end_line": true + }, + { + "bbox": [ + 106, + 297, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 505, + 312 + ], + "score": 1.0, + "content": "• Adapting the Robust Adversarial RL approach to model-based offline RL by proposing a new", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 113, + 308, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 113, + 308, + 505, + 322 + ], + "score": 1.0, + "content": "formulation of RARL, where instead of defining and training an adversary policy, we directly train", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 114, + 319, + 212, + 333 + ], + "spans": [ + { + "bbox": [ + 114, + 319, + 212, + 333 + ], + "score": 1.0, + "content": "the model adversarially.", + "type": "text" + } + ], + "index": 21, + "is_list_end_line": true + } + ], + "index": 19, + "bbox_fs": [ + 105, + 272, + 505, + 333 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 340, + 503, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "score": 1.0, + "content": "In our experiments we demonstrate that RAMBO outperforms current state-of-the-art algorithms on", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "the D4RL benchmarks [14]. Furthermore, we provide ablation results which show that training the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 363, + 384, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 384, + 375 + ], + "score": 1.0, + "content": "model adversarially is crucial to the strong performance of RAMBO.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 340, + 505, + 375 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 390, + 197, + 403 + ], + "lines": [ + { + "bbox": [ + 105, + 389, + 198, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 198, + 405 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 416, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 106, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "Offline RL: Offline RL addresses the problem of learning policies from fixed datasets, and has", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "score": 1.0, + "content": "been applied to domains such as healthcare [42, 57], natural language processing [24, 23], and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "robotics [30, 38, 51]. Model-free offline RL algorithms do not require a learnt model. Approaches for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 448, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 463 + ], + "score": 1.0, + "content": "model-free offline RL include importance sampling algorithms [36, 41], constraining the learnt policy", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "score": 1.0, + "content": "to be similar to the behaviour policy [16, 28, 72, 23, 58, 15], incorporating conservatism into the value", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "function during training [9, 27, 31, 73], using uncertainty quantification to generate more robust value", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 482, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 506, + 494 + ], + "score": 1.0, + "content": "estimates [1, 2, 29], or applying only a single iteration of policy iteration [7, 49]. In contrast, model-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "based approaches learn a model of the environment and generate synthetic data from that model [60]", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "to optimise a policy using either planning [4] or RL algorithms [25, 76, 75]. By training a policy on", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "score": 1.0, + "content": "additional synthetic data, model-based approaches have the potential for broader generalisation and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "for solving new tasks [6, 76]. A simple approach to ensuring conservatism is to constrain the policy", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "to be similar to the behaviour policy in the same fashion as some model-free approaches [8, 39, 63].", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "Another approach is to apply reward penalties for executing state-action pairs with high uncertainty", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "score": 1.0, + "content": "in the environment model [25, 74, 76]. However, this requires explicit uncertainty estimates which", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 569, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 581 + ], + "score": 1.0, + "content": "may be unreliable for neural network models [17, 37, 46, 75]. COMBO [75] obviates the need for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "uncertainty estimation in model-based offline RL by adapting model-free techniques [31] to regularise", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 590, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 506, + 604 + ], + "score": 1.0, + "content": "the value function for out-of-distribution samples. Like COMBO, our approach does not require", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 603, + 200, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 200, + 614 + ], + "score": 1.0, + "content": "uncertainty estimation.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 416, + 506, + 614 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 617, + 505, + 684 + ], + "lines": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "Most approaches to model-based offline RL use maximum likelihood estimates (MLE) of the MDP", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 630, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 505, + 641 + ], + "score": 1.0, + "content": "trained using standard supervised learning [4, 39, 63, 76, 75]. However, other methods have been", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "proposed to learn models which are more suitable for offline policy optimisation. One approach is to", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 651, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 505, + 663 + ], + "score": 1.0, + "content": "reweight the loss function to ensure the model is accurate under the state-action distribution generated", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 663, + 505, + 674 + ], + "spans": [ + { + "bbox": [ + 106, + 663, + 505, + 674 + ], + "score": 1.0, + "content": "by the policy [34, 53, 20]. In contrast, our approach produces pessimistic synthetic transitions when", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 673, + 185, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 185, + 685 + ], + "score": 1.0, + "content": "out-of-distribution.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 46.5, + "bbox_fs": [ + 105, + 618, + 506, + 685 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 689, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "Most related to our work is a recent paper [66] which introduces the maximin formulation of offline", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "RL that we address. This existing work motivates our approach theoretically by showing that the", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "problem formulation obtains probably approximately correct (PAC) guarantees. However, [66]", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 72, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 506, + 85 + ], + "score": 1.0, + "content": "only addresses the theoretical aspects of the problem formulation and does not propose a practical", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 506, + 97 + ], + "score": 1.0, + "content": "algorithm. In this work, we propose a practical RL algorithm to solve the maximin formulation of", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 207, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 207, + 106 + ], + "score": 1.0, + "content": "model-based offline RL.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 51, + "bbox_fs": [ + 105, + 689, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 108, + 72, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 506, + 85 + ], + "score": 1.0, + "content": "only addresses the theoretical aspects of the problem formulation and does not propose a practical", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 506, + 97 + ], + "score": 1.0, + "content": "algorithm. In this work, we propose a practical RL algorithm to solve the maximin formulation of", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 207, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 207, + 106 + ], + "score": 1.0, + "content": "model-based offline RL.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 106, + 110, + 505, + 176 + ], + "lines": [ + { + "bbox": [ + 106, + 111, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 111, + 506, + 123 + ], + "score": 1.0, + "content": "Robust RL: Algorithms for Robust MDPs [5, 12, 21, 43, 54, 64, 70] find the policy with the best", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 122, + 506, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 506, + 135 + ], + "score": 1.0, + "content": "worst-case performance over a set of possible MDPs. Typically, it is assumed that the uncertainty set", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "of MDPs is specified a priori. To eliminate the need to specify the set of possible MDPs, model-free", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "score": 1.0, + "content": "approaches to Robust MDPs [68, 55] instead assume that samples can be drawn from a misspecified", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "MDP which is similar to the true MDP. As our work addresses offline RL, we assume that we have a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 238, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 238, + 176 + ], + "score": 1.0, + "content": "fixed dataset from the true MDP.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 106, + 181, + 505, + 313 + ], + "lines": [ + { + "bbox": [ + 105, + 181, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 195 + ], + "score": 1.0, + "content": "Our approach is conceptually similar to Robust Adversarial RL (RARL) [50], a method proposed to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 192, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 192, + 505, + 205 + ], + "score": 1.0, + "content": "improve the robustness of RL policies in the online setting. RARL is posed as a two-player zero-sum", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 204, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 505, + 216 + ], + "score": 1.0, + "content": "game where the agent plays against an adversary which perturbs the environment. Formulations", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 215, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 106, + 215, + 505, + 227 + ], + "score": 1.0, + "content": "of model-free RARL differ in how they define the action space of the adversary. Options include", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 226, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 506, + 238 + ], + "score": 1.0, + "content": "allowing the adversary to apply perturbation forces to the simulator [50], add noise to the agent’s", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 236, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 506, + 249 + ], + "score": 1.0, + "content": "actions [65], or periodically take over control [48]. A model-based approach to RARL is proposed", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 247, + 506, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 506, + 260 + ], + "score": 1.0, + "content": "in [13], which learns an optimistic and pessimistic model to encourage online exploration. However,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "score": 1.0, + "content": "this existing approach requires uncertainty estimation as well as an adversarial policy to be learnt", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 268, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 505, + 282 + ], + "score": 1.0, + "content": "in addition to the model. Our work follows the paradigm of RARL and alternates between agent and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 279, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 294 + ], + "score": 1.0, + "content": "adversarial updates in a maximin formulation. We adapt model-based RARL to the offline setting", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "score": 1.0, + "content": "and propose an alternative formulation: we eliminate the need to learn an adversary policy and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 302, + 323, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 323, + 315 + ], + "score": 1.0, + "content": "instead directly modify the MDP model adversarially.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 107, + 331, + 195, + 345 + ], + "lines": [ + { + "bbox": [ + 104, + 331, + 196, + 347 + ], + "spans": [ + { + "bbox": [ + 104, + 331, + 196, + 347 + ], + "score": 1.0, + "content": "3 Preliminaries", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 358, + 505, + 461 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 504, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 354, + 371 + ], + "score": 1.0, + "content": "MDPs and Offline RL: An MDP is defined by the tuple,", + "type": "text" + }, + { + "bbox": [ + 354, + 359, + 457, + 371 + ], + "score": 0.92, + "content": "M = ( S , A , T , R , \\mu _ { 0 } , \\gamma )", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 358, + 466, + 371 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 466, + 360, + 474, + 369 + ], + "score": 0.76, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 358, + 495, + 371 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 495, + 359, + 504, + 369 + ], + "score": 0.72, + "content": "A", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 370, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 306, + 382 + ], + "score": 1.0, + "content": "denote the state and action spaces respectively,", + "type": "text" + }, + { + "bbox": [ + 306, + 370, + 337, + 382 + ], + "score": 0.93, + "content": "R ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 370, + 437, + 382 + ], + "score": 1.0, + "content": "is the reward function,", + "type": "text" + }, + { + "bbox": [ + 437, + 370, + 477, + 382 + ], + "score": 0.93, + "content": "T ( s ^ { \\prime } | s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 370, + 505, + 382 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 381, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 381, + 188, + 393 + ], + "score": 1.0, + "content": "transition function,", + "type": "text" + }, + { + "bbox": [ + 189, + 383, + 200, + 393 + ], + "score": 0.86, + "content": "\\mu _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 381, + 350, + 393 + ], + "score": 1.0, + "content": "is the initial state distribution, and", + "type": "text" + }, + { + "bbox": [ + 350, + 381, + 395, + 393 + ], + "score": 0.93, + "content": "\\gamma \\in \\mathsf { \\Gamma } ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 381, + 505, + 393 + ], + "score": 1.0, + "content": "is the discount factor. In", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 392, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 286, + 403 + ], + "score": 1.0, + "content": "this work we consider Markovian policies,", + "type": "text" + }, + { + "bbox": [ + 286, + 392, + 316, + 402 + ], + "score": 0.9, + "content": "\\pi \\in \\Pi", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 392, + 505, + 403 + ], + "score": 1.0, + "content": ", which map from each state to a distribution", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 401, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 416 + ], + "score": 1.0, + "content": "over actions. We denote the (improper) discounted state visitation distribution of a policy by", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 411, + 504, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 255, + 426 + ], + "score": 0.92, + "content": "\\begin{array} { r } { d _ { M } ^ { \\pi } ( s ) : = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\operatorname* { P r } ( s _ { t } = s | \\pi , \\bar { M } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 411, + 286, + 428 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 287, + 414, + 356, + 426 + ], + "score": 0.93, + "content": "\\mathrm { P r } ( s _ { t } = s | \\pi , M )", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 411, + 498, + 428 + ], + "score": 1.0, + "content": "is the probability of reaching state", + "type": "text" + }, + { + "bbox": [ + 498, + 416, + 504, + 424 + ], + "score": 0.55, + "content": "s", + "type": "inline_equation" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 135, + 437 + ], + "score": 1.0, + "content": "at time", + "type": "text" + }, + { + "bbox": [ + 136, + 426, + 141, + 434 + ], + "score": 0.75, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 425, + 221, + 437 + ], + "score": 1.0, + "content": "by executing policy", + "type": "text" + }, + { + "bbox": [ + 222, + 427, + 229, + 434 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 425, + 240, + 437 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 240, + 425, + 252, + 434 + ], + "score": 0.75, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 425, + 456, + 437 + ], + "score": 1.0, + "content": ". The improper state-action visitation distribution is", + "type": "text" + }, + { + "bbox": [ + 456, + 424, + 505, + 436 + ], + "score": 0.9, + "content": "d _ { M } ^ { \\pi } \\bar { ( } s , a ) =", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 436, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 168, + 449 + ], + "score": 0.89, + "content": "\\pi ( a | s ) \\cdot d _ { M } ^ { \\pi } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 436, + 455, + 451 + ], + "score": 1.0, + "content": ". We also denote the normalised state-action visitation distribution by", + "type": "text" + }, + { + "bbox": [ + 455, + 437, + 505, + 450 + ], + "score": 0.91, + "content": "\\tilde { d } _ { M } ^ { \\pi } ( s , a ) =", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 446, + 185, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 181, + 461 + ], + "score": 0.9, + "content": "( 1 - \\gamma ) \\cdot d _ { M } ^ { \\pi } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 446, + 185, + 462 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 524 + ], + "lines": [ + { + "bbox": [ + 105, + 463, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 187, + 479 + ], + "score": 1.0, + "content": "The value function,", + "type": "text" + }, + { + "bbox": [ + 187, + 465, + 215, + 477 + ], + "score": 0.91, + "content": "V _ { M } ^ { \\pi } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 463, + 453, + 479 + ], + "score": 1.0, + "content": ", represents the expected discounted return from executing", + "type": "text" + }, + { + "bbox": [ + 453, + 467, + 461, + 475 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 463, + 506, + 479 + ], + "score": 1.0, + "content": "from state", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 474, + 508, + 491 + ], + "spans": [ + { + "bbox": [ + 107, + 479, + 113, + 487 + ], + "score": 0.65, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 474, + 125, + 491 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 128, + 476, + 291, + 490 + ], + "score": 0.84, + "content": "\\begin{array} { r } { M \\colon V _ { M } ^ { \\pi } ( s ) = \\mathbb { E } _ { \\pi , M } \\bigl [ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } R ( s _ { t } , a _ { t } ) \\bigr ] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 474, + 338, + 491 + ], + "score": 1.0, + "content": ". We write", + "type": "text" + }, + { + "bbox": [ + 338, + 477, + 354, + 489 + ], + "score": 0.9, + "content": "V _ { M } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 474, + 508, + 491 + ], + "score": 1.0, + "content": "to indicate the value function under", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 102, + 484, + 508, + 506 + ], + "spans": [ + { + "bbox": [ + 102, + 484, + 236, + 506 + ], + "score": 1.0, + "content": "the initial state distribution, i.e.", + "type": "text" + }, + { + "bbox": [ + 236, + 489, + 342, + 502 + ], + "score": 0.89, + "content": "\\begin{array} { r } { V _ { M } ^ { \\pi } = \\sum _ { s \\in S } \\mu _ { 0 } ( s ) V _ { M } ^ { \\pi } ( s ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 484, + 508, + 506 + ], + "score": 1.0, + "content": ". The standard objective for MDPs is to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 500, + 507, + 515 + ], + "spans": [ + { + "bbox": [ + 104, + 500, + 243, + 515 + ], + "score": 1.0, + "content": "find the policy which maximises", + "type": "text" + }, + { + "bbox": [ + 243, + 502, + 258, + 513 + ], + "score": 0.9, + "content": "V _ { M } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 500, + 397, + 515 + ], + "score": 1.0, + "content": ". The state-action value function,", + "type": "text" + }, + { + "bbox": [ + 397, + 501, + 437, + 513 + ], + "score": 0.93, + "content": "Q _ { M } ^ { \\pi } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 500, + 507, + 515 + ], + "score": 1.0, + "content": ", is the expected", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 511, + 479, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 304, + 525 + ], + "score": 1.0, + "content": "discounted cumulative reward from taking action", + "type": "text" + }, + { + "bbox": [ + 304, + 514, + 311, + 522 + ], + "score": 0.71, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 511, + 342, + 525 + ], + "score": 1.0, + "content": "at state", + "type": "text" + }, + { + "bbox": [ + 343, + 514, + 349, + 522 + ], + "score": 0.67, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 511, + 427, + 525 + ], + "score": 1.0, + "content": "and then executing", + "type": "text" + }, + { + "bbox": [ + 427, + 514, + 435, + 522 + ], + "score": 0.77, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 511, + 479, + 525 + ], + "score": 1.0, + "content": "thereafter.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 108, + 528, + 504, + 554 + ], + "lines": [ + { + "bbox": [ + 106, + 527, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 479, + 541 + ], + "score": 1.0, + "content": "In offline RL we only have access to a fixed dataset of transitions from the MDP,", + "type": "text" + }, + { + "bbox": [ + 479, + 528, + 505, + 540 + ], + "score": 0.85, + "content": "\\begin{array} { r l } { \\mathcal { D } } & { { } = } \\end{array}", + "type": "inline_equation" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 535, + 508, + 558 + ], + "spans": [ + { + "bbox": [ + 107, + 539, + 185, + 554 + ], + "score": 0.93, + "content": "\\{ ( s _ { i } , a _ { i } , r _ { i } , s _ { i } ^ { \\prime } ) \\} _ { i = 1 } ^ { | \\mathcal { D } | }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 535, + 508, + 558 + ], + "score": 1.0, + "content": ". The goal of offline RL is to find the best possible policy using the fixed dataset.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 106, + 562, + 505, + 650 + ], + "lines": [ + { + "bbox": [ + 106, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "Model-Based Offline RL Algorithms: Model-based approaches to offline RL use a model of the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 573, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 393, + 588 + ], + "score": 1.0, + "content": "MDP to help train a policy. The dataset is used to learn a dynamics model,", + "type": "text" + }, + { + "bbox": [ + 393, + 573, + 402, + 586 + ], + "score": 0.83, + "content": "\\widehat { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 575, + 506, + 588 + ], + "score": 1.0, + "content": ", which is typically trained", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 586, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 104, + 587, + 258, + 603 + ], + "score": 1.0, + "content": "via maximum likelihood estimation:", + "type": "text" + }, + { + "bbox": [ + 258, + 586, + 404, + 601 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\operatorname* { m i n } _ { \\widehat { T } } \\mathbb { E } _ { ( s , a , s ^ { \\prime } ) \\sim \\mathcal { D } } \\big [ - \\log \\widehat { T } ( s ^ { \\prime } | s , a ) \\big ] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 587, + 506, + 603 + ], + "score": 1.0, + "content": ". A model of the reward", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 600, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 144, + 616 + ], + "score": 1.0, + "content": "function,", + "type": "text" + }, + { + "bbox": [ + 145, + 601, + 175, + 615 + ], + "score": 0.93, + "content": "\\widehat { R } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 600, + 403, + 616 + ], + "score": 1.0, + "content": ", can also be learnt if it is unknown. The estimated MDP,", + "type": "text" + }, + { + "bbox": [ + 403, + 600, + 502, + 615 + ], + "score": 0.93, + "content": "\\widehat { M } = ( S , A , \\widehat { T } , \\widehat { R } , \\mu _ { 0 } , \\gamma )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 600, + 506, + 616 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "has the same state and action space as the true MDP but uses the learnt transition and reward functions.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 624, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 506, + 637 + ], + "score": 1.0, + "content": "Thereafter, any planning or RL algorithm can be used to recover optimal policy in the learnt model,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 636, + 197, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 195, + 650 + ], + "score": 0.91, + "content": "\\widehat { \\pi } = \\arg \\operatorname* { m a x } _ { \\pi \\in \\Pi } V _ { \\widehat { M } } ^ { \\pi } .", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 641, + 197, + 651 + ], + "score": 0.918, + "content": "·", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 653, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 654, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 505, + 666 + ], + "score": 1.0, + "content": "Unfortunately, directly applying this approach to the offline RL setting does not perform well due", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "score": 1.0, + "content": "to distributional shift. In particular, if the dataset does not cover the entire state-action space, the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 675, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 506, + 689 + ], + "score": 1.0, + "content": "model will inevitably be inaccurate for some state-action pairs. Thus, naive policy optimisation on a", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 684, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 684, + 506, + 700 + ], + "score": 1.0, + "content": "learnt model in the offline setting can result in model exploitation [22, 32, 53]. To mitigate this issue,", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 698, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 710 + ], + "score": 1.0, + "content": "we propose the novel approach of enforcing conservatism by adversarially modifying the transition", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 708, + 173, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 158, + 722 + ], + "score": 1.0, + "content": "dynamics of", + "type": "text" + }, + { + "bbox": [ + 158, + 708, + 170, + 721 + ], + "score": 0.88, + "content": "\\widehat { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 710, + 173, + 722 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 47.5 + } + ], + "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": "text", + "bbox": [ + 108, + 72, + 504, + 105 + ], + "lines": [], + "index": 1, + "bbox_fs": [ + 106, + 72, + 506, + 106 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 110, + 505, + 176 + ], + "lines": [ + { + "bbox": [ + 106, + 111, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 111, + 506, + 123 + ], + "score": 1.0, + "content": "Robust RL: Algorithms for Robust MDPs [5, 12, 21, 43, 54, 64, 70] find the policy with the best", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 122, + 506, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 506, + 135 + ], + "score": 1.0, + "content": "worst-case performance over a set of possible MDPs. Typically, it is assumed that the uncertainty set", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "of MDPs is specified a priori. To eliminate the need to specify the set of possible MDPs, model-free", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "score": 1.0, + "content": "approaches to Robust MDPs [68, 55] instead assume that samples can be drawn from a misspecified", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "MDP which is similar to the true MDP. As our work addresses offline RL, we assume that we have a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 238, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 238, + 176 + ], + "score": 1.0, + "content": "fixed dataset from the true MDP.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 111, + 506, + 176 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 181, + 505, + 313 + ], + "lines": [ + { + "bbox": [ + 105, + 181, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 195 + ], + "score": 1.0, + "content": "Our approach is conceptually similar to Robust Adversarial RL (RARL) [50], a method proposed to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 192, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 192, + 505, + 205 + ], + "score": 1.0, + "content": "improve the robustness of RL policies in the online setting. RARL is posed as a two-player zero-sum", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 204, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 505, + 216 + ], + "score": 1.0, + "content": "game where the agent plays against an adversary which perturbs the environment. Formulations", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 215, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 106, + 215, + 505, + 227 + ], + "score": 1.0, + "content": "of model-free RARL differ in how they define the action space of the adversary. Options include", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 226, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 506, + 238 + ], + "score": 1.0, + "content": "allowing the adversary to apply perturbation forces to the simulator [50], add noise to the agent’s", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 236, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 506, + 249 + ], + "score": 1.0, + "content": "actions [65], or periodically take over control [48]. A model-based approach to RARL is proposed", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 247, + 506, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 506, + 260 + ], + "score": 1.0, + "content": "in [13], which learns an optimistic and pessimistic model to encourage online exploration. However,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "score": 1.0, + "content": "this existing approach requires uncertainty estimation as well as an adversarial policy to be learnt", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 268, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 505, + 282 + ], + "score": 1.0, + "content": "in addition to the model. Our work follows the paradigm of RARL and alternates between agent and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 279, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 294 + ], + "score": 1.0, + "content": "adversarial updates in a maximin formulation. We adapt model-based RARL to the offline setting", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "score": 1.0, + "content": "and propose an alternative formulation: we eliminate the need to learn an adversary policy and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 302, + 323, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 323, + 315 + ], + "score": 1.0, + "content": "instead directly modify the MDP model adversarially.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 181, + 506, + 315 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 331, + 195, + 345 + ], + "lines": [ + { + "bbox": [ + 104, + 331, + 196, + 347 + ], + "spans": [ + { + "bbox": [ + 104, + 331, + 196, + 347 + ], + "score": 1.0, + "content": "3 Preliminaries", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 358, + 505, + 461 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 504, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 354, + 371 + ], + "score": 1.0, + "content": "MDPs and Offline RL: An MDP is defined by the tuple,", + "type": "text" + }, + { + "bbox": [ + 354, + 359, + 457, + 371 + ], + "score": 0.92, + "content": "M = ( S , A , T , R , \\mu _ { 0 } , \\gamma )", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 358, + 466, + 371 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 466, + 360, + 474, + 369 + ], + "score": 0.76, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 358, + 495, + 371 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 495, + 359, + 504, + 369 + ], + "score": 0.72, + "content": "A", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 370, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 306, + 382 + ], + "score": 1.0, + "content": "denote the state and action spaces respectively,", + "type": "text" + }, + { + "bbox": [ + 306, + 370, + 337, + 382 + ], + "score": 0.93, + "content": "R ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 370, + 437, + 382 + ], + "score": 1.0, + "content": "is the reward function,", + "type": "text" + }, + { + "bbox": [ + 437, + 370, + 477, + 382 + ], + "score": 0.93, + "content": "T ( s ^ { \\prime } | s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 370, + 505, + 382 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 381, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 381, + 188, + 393 + ], + "score": 1.0, + "content": "transition function,", + "type": "text" + }, + { + "bbox": [ + 189, + 383, + 200, + 393 + ], + "score": 0.86, + "content": "\\mu _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 381, + 350, + 393 + ], + "score": 1.0, + "content": "is the initial state distribution, and", + "type": "text" + }, + { + "bbox": [ + 350, + 381, + 395, + 393 + ], + "score": 0.93, + "content": "\\gamma \\in \\mathsf { \\Gamma } ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 381, + 505, + 393 + ], + "score": 1.0, + "content": "is the discount factor. In", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 392, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 286, + 403 + ], + "score": 1.0, + "content": "this work we consider Markovian policies,", + "type": "text" + }, + { + "bbox": [ + 286, + 392, + 316, + 402 + ], + "score": 0.9, + "content": "\\pi \\in \\Pi", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 392, + 505, + 403 + ], + "score": 1.0, + "content": ", which map from each state to a distribution", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 401, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 416 + ], + "score": 1.0, + "content": "over actions. We denote the (improper) discounted state visitation distribution of a policy by", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 411, + 504, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 255, + 426 + ], + "score": 0.92, + "content": "\\begin{array} { r } { d _ { M } ^ { \\pi } ( s ) : = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\operatorname* { P r } ( s _ { t } = s | \\pi , \\bar { M } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 411, + 286, + 428 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 287, + 414, + 356, + 426 + ], + "score": 0.93, + "content": "\\mathrm { P r } ( s _ { t } = s | \\pi , M )", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 411, + 498, + 428 + ], + "score": 1.0, + "content": "is the probability of reaching state", + "type": "text" + }, + { + "bbox": [ + 498, + 416, + 504, + 424 + ], + "score": 0.55, + "content": "s", + "type": "inline_equation" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 135, + 437 + ], + "score": 1.0, + "content": "at time", + "type": "text" + }, + { + "bbox": [ + 136, + 426, + 141, + 434 + ], + "score": 0.75, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 425, + 221, + 437 + ], + "score": 1.0, + "content": "by executing policy", + "type": "text" + }, + { + "bbox": [ + 222, + 427, + 229, + 434 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 425, + 240, + 437 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 240, + 425, + 252, + 434 + ], + "score": 0.75, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 425, + 456, + 437 + ], + "score": 1.0, + "content": ". The improper state-action visitation distribution is", + "type": "text" + }, + { + "bbox": [ + 456, + 424, + 505, + 436 + ], + "score": 0.9, + "content": "d _ { M } ^ { \\pi } \\bar { ( } s , a ) =", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 436, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 168, + 449 + ], + "score": 0.89, + "content": "\\pi ( a | s ) \\cdot d _ { M } ^ { \\pi } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 436, + 455, + 451 + ], + "score": 1.0, + "content": ". We also denote the normalised state-action visitation distribution by", + "type": "text" + }, + { + "bbox": [ + 455, + 437, + 505, + 450 + ], + "score": 0.91, + "content": "\\tilde { d } _ { M } ^ { \\pi } ( s , a ) =", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 446, + 185, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 181, + 461 + ], + "score": 0.9, + "content": "( 1 - \\gamma ) \\cdot d _ { M } ^ { \\pi } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 446, + 185, + 462 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 358, + 505, + 462 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 524 + ], + "lines": [ + { + "bbox": [ + 105, + 463, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 187, + 479 + ], + "score": 1.0, + "content": "The value function,", + "type": "text" + }, + { + "bbox": [ + 187, + 465, + 215, + 477 + ], + "score": 0.91, + "content": "V _ { M } ^ { \\pi } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 463, + 453, + 479 + ], + "score": 1.0, + "content": ", represents the expected discounted return from executing", + "type": "text" + }, + { + "bbox": [ + 453, + 467, + 461, + 475 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 463, + 506, + 479 + ], + "score": 1.0, + "content": "from state", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 474, + 508, + 491 + ], + "spans": [ + { + "bbox": [ + 107, + 479, + 113, + 487 + ], + "score": 0.65, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 474, + 125, + 491 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 128, + 476, + 291, + 490 + ], + "score": 0.84, + "content": "\\begin{array} { r } { M \\colon V _ { M } ^ { \\pi } ( s ) = \\mathbb { E } _ { \\pi , M } \\bigl [ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } R ( s _ { t } , a _ { t } ) \\bigr ] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 474, + 338, + 491 + ], + "score": 1.0, + "content": ". We write", + "type": "text" + }, + { + "bbox": [ + 338, + 477, + 354, + 489 + ], + "score": 0.9, + "content": "V _ { M } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 474, + 508, + 491 + ], + "score": 1.0, + "content": "to indicate the value function under", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 102, + 484, + 508, + 506 + ], + "spans": [ + { + "bbox": [ + 102, + 484, + 236, + 506 + ], + "score": 1.0, + "content": "the initial state distribution, i.e.", + "type": "text" + }, + { + "bbox": [ + 236, + 489, + 342, + 502 + ], + "score": 0.89, + "content": "\\begin{array} { r } { V _ { M } ^ { \\pi } = \\sum _ { s \\in S } \\mu _ { 0 } ( s ) V _ { M } ^ { \\pi } ( s ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 484, + 508, + 506 + ], + "score": 1.0, + "content": ". The standard objective for MDPs is to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 500, + 507, + 515 + ], + "spans": [ + { + "bbox": [ + 104, + 500, + 243, + 515 + ], + "score": 1.0, + "content": "find the policy which maximises", + "type": "text" + }, + { + "bbox": [ + 243, + 502, + 258, + 513 + ], + "score": 0.9, + "content": "V _ { M } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 500, + 397, + 515 + ], + "score": 1.0, + "content": ". The state-action value function,", + "type": "text" + }, + { + "bbox": [ + 397, + 501, + 437, + 513 + ], + "score": 0.93, + "content": "Q _ { M } ^ { \\pi } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 500, + 507, + 515 + ], + "score": 1.0, + "content": ", is the expected", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 511, + 479, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 304, + 525 + ], + "score": 1.0, + "content": "discounted cumulative reward from taking action", + "type": "text" + }, + { + "bbox": [ + 304, + 514, + 311, + 522 + ], + "score": 0.71, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 511, + 342, + 525 + ], + "score": 1.0, + "content": "at state", + "type": "text" + }, + { + "bbox": [ + 343, + 514, + 349, + 522 + ], + "score": 0.67, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 511, + 427, + 525 + ], + "score": 1.0, + "content": "and then executing", + "type": "text" + }, + { + "bbox": [ + 427, + 514, + 435, + 522 + ], + "score": 0.77, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 511, + 479, + 525 + ], + "score": 1.0, + "content": "thereafter.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33, + "bbox_fs": [ + 102, + 463, + 508, + 525 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 528, + 504, + 554 + ], + "lines": [ + { + "bbox": [ + 106, + 527, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 479, + 541 + ], + "score": 1.0, + "content": "In offline RL we only have access to a fixed dataset of transitions from the MDP,", + "type": "text" + }, + { + "bbox": [ + 479, + 528, + 505, + 540 + ], + "score": 0.85, + "content": "\\begin{array} { r l } { \\mathcal { D } } & { { } = } \\end{array}", + "type": "inline_equation" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 535, + 508, + 558 + ], + "spans": [ + { + "bbox": [ + 107, + 539, + 185, + 554 + ], + "score": 0.93, + "content": "\\{ ( s _ { i } , a _ { i } , r _ { i } , s _ { i } ^ { \\prime } ) \\} _ { i = 1 } ^ { | \\mathcal { D } | }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 535, + 508, + 558 + ], + "score": 1.0, + "content": ". The goal of offline RL is to find the best possible policy using the fixed dataset.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5, + "bbox_fs": [ + 106, + 527, + 508, + 558 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 562, + 505, + 650 + ], + "lines": [ + { + "bbox": [ + 106, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "Model-Based Offline RL Algorithms: Model-based approaches to offline RL use a model of the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 573, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 393, + 588 + ], + "score": 1.0, + "content": "MDP to help train a policy. The dataset is used to learn a dynamics model,", + "type": "text" + }, + { + "bbox": [ + 393, + 573, + 402, + 586 + ], + "score": 0.83, + "content": "\\widehat { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 575, + 506, + 588 + ], + "score": 1.0, + "content": ", which is typically trained", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 586, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 104, + 587, + 258, + 603 + ], + "score": 1.0, + "content": "via maximum likelihood estimation:", + "type": "text" + }, + { + "bbox": [ + 258, + 586, + 404, + 601 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\operatorname* { m i n } _ { \\widehat { T } } \\mathbb { E } _ { ( s , a , s ^ { \\prime } ) \\sim \\mathcal { D } } \\big [ - \\log \\widehat { T } ( s ^ { \\prime } | s , a ) \\big ] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 587, + 506, + 603 + ], + "score": 1.0, + "content": ". A model of the reward", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 600, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 144, + 616 + ], + "score": 1.0, + "content": "function,", + "type": "text" + }, + { + "bbox": [ + 145, + 601, + 175, + 615 + ], + "score": 0.93, + "content": "\\widehat { R } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 600, + 403, + 616 + ], + "score": 1.0, + "content": ", can also be learnt if it is unknown. The estimated MDP,", + "type": "text" + }, + { + "bbox": [ + 403, + 600, + 502, + 615 + ], + "score": 0.93, + "content": "\\widehat { M } = ( S , A , \\widehat { T } , \\widehat { R } , \\mu _ { 0 } , \\gamma )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 600, + 506, + 616 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "has the same state and action space as the true MDP but uses the learnt transition and reward functions.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 624, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 506, + 637 + ], + "score": 1.0, + "content": "Thereafter, any planning or RL algorithm can be used to recover optimal policy in the learnt model,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 636, + 197, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 195, + 650 + ], + "score": 0.91, + "content": "\\widehat { \\pi } = \\arg \\operatorname* { m a x } _ { \\pi \\in \\Pi } V _ { \\widehat { M } } ^ { \\pi } .", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 641, + 197, + 651 + ], + "score": 0.918, + "content": "·", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 41, + "bbox_fs": [ + 104, + 562, + 506, + 651 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 653, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 654, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 505, + 666 + ], + "score": 1.0, + "content": "Unfortunately, directly applying this approach to the offline RL setting does not perform well due", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "score": 1.0, + "content": "to distributional shift. 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For a scalable approximation", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 242, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 506, + 254 + ], + "score": 1.0, + "content": "to the optimisation problem in Equation 1, algorithms for RARL alternate between applying steps of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 253, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 264 + ], + "score": 1.0, + "content": "stochastic gradient ascent to the agent’s policy to increase the expected value, and stochastic gradient", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "score": 1.0, + "content": "descent to the adversary’s policy to decrease the expected value. In our work, we follow the RARL", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 274, + 506, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 506, + 287 + ], + "score": 1.0, + "content": "paradigm of alternating between agent and adversarial updates and adapt it to the model-based offline", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 285, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 299 + ], + "score": 1.0, + "content": "setting. Instead of defining a separate adversary policy, we treat the model itself as the policy to be", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 297, + 193, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 193, + 309 + ], + "score": 1.0, + "content": "adversarially trained.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 107, + 327, + 237, + 341 + ], + "lines": [ + { + "bbox": [ + 104, + 326, + 238, + 342 + ], + "spans": [ + { + "bbox": [ + 104, + 326, + 238, + 342 + ], + "score": 1.0, + "content": "4 Problem Formulation", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 351, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 351, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 505, + 364 + ], + "score": 1.0, + "content": "For the sake of generality, we assume that both the transition function and reward function are", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 362, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 364, + 233, + 376 + ], + "score": 1.0, + "content": "unknown. 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We", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 388, + 403, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 403, + 401 + ], + "score": 1.0, + "content": "address the maximin formulation of offline RL recently proposed by [66]:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 104, + 402, + 481, + 414 + ], + "lines": [ + { + "bbox": [ + 104, + 400, + 481, + 416 + ], + "spans": [ + { + "bbox": [ + 104, + 400, + 231, + 416 + ], + "score": 1.0, + "content": "Problem 1. 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We", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 530, + 474, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 474, + 543 + ], + "score": 1.0, + "content": "present a brief overview of the theoretical guarantees from [66] in the following subsection.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 543, + 505, + 588 + ], + "lines": [ + { + "bbox": [ + 105, + 542, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 506, + 557 + ], + "score": 1.0, + "content": "Remark 1. Note that Problem 1 differs from the pessimistic MDP formulations introduced by", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "score": 1.0, + "content": "MOPO [76] and MOReL [25]. 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This is formally stated in the following theorem.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 105, + 655, + 505, + 690 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 503, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 494, + 669 + ], + "score": 1.0, + "content": "Theorem 1 (PAC guarantee from [66], Theorem 5). Denote the true MDP transition function by", + "type": "text" + }, + { + "bbox": [ + 495, + 657, + 503, + 666 + ], + "score": 0.67, + "content": "T", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 136, + 679 + ], + "score": 1.0, + "content": "and let", + "type": "text" + }, + { + "bbox": [ + 137, + 667, + 149, + 677 + ], + "score": 0.73, + "content": "\\mathcal { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 667, + 356, + 679 + ], + "score": 1.0, + "content": "denote a hypothesis class of MDP models such that", + "type": "text" + }, + { + "bbox": [ + 356, + 667, + 389, + 677 + ], + "score": 0.89, + "content": "T \\in { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 667, + 408, + 679 + ], + "score": 1.0, + "content": ". 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Different approaches", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 230, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 210, + 243 + ], + "score": 1.0, + "content": "define the action space for", + "type": "text" + }, + { + "bbox": [ + 210, + 232, + 218, + 241 + ], + "score": 0.79, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 230, + 505, + 243 + ], + "score": 1.0, + "content": "in different ways, as discussed in Section 2. For a scalable approximation", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 242, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 506, + 254 + ], + "score": 1.0, + "content": "to the optimisation problem in Equation 1, algorithms for RARL alternate between applying steps of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 253, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 264 + ], + "score": 1.0, + "content": "stochastic gradient ascent to the agent’s policy to increase the expected value, and stochastic gradient", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "score": 1.0, + "content": "descent to the adversary’s policy to decrease the expected value. 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Instead of defining a separate adversary policy, we treat the model itself as the policy to be", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 297, + 193, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 193, + 309 + ], + "score": 1.0, + "content": "adversarially trained.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 217, + 506, + 309 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 327, + 237, + 341 + ], + "lines": [ + { + "bbox": [ + 104, + 326, + 238, + 342 + ], + "spans": [ + { + "bbox": [ + 104, + 326, + 238, + 342 + ], + "score": 1.0, + "content": "4 Problem Formulation", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 351, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 351, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 505, + 364 + ], + "score": 1.0, + "content": "For the sake of generality, we assume that both the transition function and reward function are", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 362, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 364, + 233, + 376 + ], + "score": 1.0, + "content": "unknown. 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We", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 388, + 403, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 403, + 401 + ], + "score": 1.0, + "content": "address the maximin formulation of offline RL recently proposed by [66]:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 351, + 506, + 401 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 402, + 481, + 414 + ], + "lines": [ + { + "bbox": [ + 104, + 400, + 481, + 416 + ], + "spans": [ + { + "bbox": [ + 104, + 400, + 231, + 416 + ], + "score": 1.0, + "content": "Problem 1. 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We", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 530, + 474, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 474, + 543 + ], + "score": 1.0, + "content": "present a brief overview of the theoretical guarantees from [66] in the following subsection.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 495, + 505, + 543 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 543, + 505, + 588 + ], + "lines": [ + { + "bbox": [ + 105, + 542, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 506, + 557 + ], + "score": 1.0, + "content": "Remark 1. Note that Problem 1 differs from the pessimistic MDP formulations introduced by", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "score": 1.0, + "content": "MOPO [76] and MOReL [25]. Problem 1 considers the worst-case transition dynamics, while the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "score": 1.0, + "content": "pessimistic MDPs constructed by MOPO and MOReL only modify the reward function by applying", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 576, + 348, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 348, + 590 + ], + "score": 1.0, + "content": "reward penalties for state-action pairs with high uncertainty.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 542, + 506, + 590 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 600, + 229, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 599, + 229, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 229, + 613 + ], + "score": 1.0, + "content": "4.1 Theoretical Motivation", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 620, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "score": 1.0, + "content": "The theoretical analysis from [66] shows that solving Problem 1 outputs a policy that with high", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 631, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 505, + 645 + ], + "score": 1.0, + "content": "probability is approximately as good as any policy with a state-action distribution that is covered by", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 641, + 350, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 350, + 655 + ], + "score": 1.0, + "content": "the dataset. This is formally stated in the following theorem.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 619, + 505, + 655 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 655, + 505, + 690 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 503, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 494, + 669 + ], + "score": 1.0, + "content": "Theorem 1 (PAC guarantee from [66], Theorem 5). Denote the true MDP transition function by", + "type": "text" + }, + { + "bbox": [ + 495, + 657, + 503, + 666 + ], + "score": 0.67, + "content": "T", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 136, + 679 + ], + "score": 1.0, + "content": "and let", + "type": "text" + }, + { + "bbox": [ + 137, + 667, + 149, + 677 + ], + "score": 0.73, + "content": "\\mathcal { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 667, + 356, + 679 + ], + "score": 1.0, + "content": "denote a hypothesis class of MDP models such that", + "type": "text" + }, + { + "bbox": [ + 356, + 667, + 389, + 677 + ], + "score": 0.89, + "content": "T \\in { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 667, + 408, + 679 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 408, + 669, + 416, + 677 + ], + "score": 0.3, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "denote the solution to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 678, + 452, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 195, + 690 + ], + "score": 1.0, + "content": "Problem 1 for dataset", + "type": "text" + }, + { + "bbox": [ + 196, + 679, + 204, + 687 + ], + "score": 0.75, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 678, + 297, + 690 + ], + "score": 1.0, + "content": ". Then with probability", + "type": "text" + }, + { + "bbox": [ + 298, + 678, + 320, + 689 + ], + "score": 0.83, + "content": "1 - \\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 678, + 381, + 690 + ], + "score": 1.0, + "content": "for any policy,", + "type": "text" + }, + { + "bbox": [ + 382, + 678, + 413, + 689 + ], + "score": 0.89, + "content": "\\pi ^ { * } \\in \\Pi", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 678, + 452, + 690 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 655, + 506, + 690 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 693, + 455, + 726 + ], + "lines": [ + { + "bbox": [ + 156, + 693, + 455, + 726 + ], + "spans": [ + { + "bbox": [ + 156, + 693, + 455, + 726 + ], + "score": 0.94, + "content": "{ V _ { T } ^ { \\pi ^ { * } } } - { V _ { T } ^ { \\pi } } \\leq ( 1 - \\gamma ) ^ { - 2 } c _ { 1 } \\sqrt { C _ { \\pi ^ { * } } } \\sqrt { G _ { \\mathcal M _ { 1 } } + G _ { \\mathcal M _ { 2 } } + \\xi _ { n } ^ { 2 } + \\frac { \\ln ( c / \\delta ) } { | \\mathcal D | } } , \\ w h e r e", + "type": "interline_equation", + "image_path": "8b689c68e8ab8947e74d86ee4e3ad0adc3a0304330d236abe24584e76b30211e.jpg" + } + ] + } + ], + "index": 45, + "virtual_lines": [ + { + "bbox": [ + 156, + 693, + 455, + 704.0 + ], + "spans": [], + "index": 44 + }, + { + "bbox": [ + 156, + 704.0, + 455, + 715.0 + ], + "spans": [], + "index": 45 + }, + { + "bbox": [ + 156, + 715.0, + 455, + 726.0 + ], + "spans": [], + "index": 46 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "interline_equation", + "bbox": [ + 197, + 70, + 412, + 101 + ], + "lines": [ + { + "bbox": [ + 197, + 70, + 412, + 101 + ], + "spans": [ + { + "bbox": [ + 197, + 70, + 412, + 101 + ], + "score": 0.92, + "content": "C _ { \\pi ^ { * } } = \\operatorname* { m a x } _ { T ^ { \\prime } \\in \\mathcal { M } } \\frac { \\mathbb { E } _ { ( s , a ) \\sim \\tilde { d } _ { T } ^ { \\pi ^ { * } } } \\left[ \\mathrm { T V } ( T ^ { \\prime } ( \\cdot | s , a ) , T ( \\cdot | s , a ) ) ^ { 2 } \\right] } { \\mathbb { E } _ { ( s , a ) \\sim \\rho } \\left[ \\mathrm { T V } ( T ^ { \\prime } ( \\cdot | s , a ) , T ( \\cdot | s , a ) ) ^ { 2 } \\right] } ,", + "type": "interline_equation", + "image_path": "56fd88b4db91e208a1ffc8d901212f0014dd628b14e998f2f854a7f933b139e6.jpg" + } + ] + } + ], + "index": 0.5, + "virtual_lines": [ + { + "bbox": [ + 197, + 70, + 412, + 85.5 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 197, + 85.5, + 412, + 101.0 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 102, + 504, + 125 + ], + "lines": [ + { + "bbox": [ + 106, + 102, + 505, + 113 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 134, + 113 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 104, + 141, + 113 + ], + "score": 0.77, + "content": "\\rho", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 102, + 320, + 113 + ], + "score": 1.0, + "content": "is the state-action distribution from which", + "type": "text" + }, + { + "bbox": [ + 321, + 102, + 330, + 111 + ], + "score": 0.81, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 102, + 436, + 113 + ], + "score": 1.0, + "content": "was sampled, and c and", + "type": "text" + }, + { + "bbox": [ + 436, + 104, + 446, + 113 + ], + "score": 0.81, + "content": "c _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 102, + 505, + 113 + ], + "score": 1.0, + "content": "are universal", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 111, + 486, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 111, + 279, + 126 + ], + "score": 1.0, + "content": "constants. We refer the reader to Appendix", + "type": "text" + }, + { + "bbox": [ + 279, + 113, + 286, + 122 + ], + "score": 0.29, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 111, + 401, + 126 + ], + "score": 1.0, + "content": "of [66] for the definitions of", + "type": "text" + }, + { + "bbox": [ + 402, + 113, + 423, + 124 + ], + "score": 0.88, + "content": "G _ { \\mathcal { M } _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 111, + 428, + 126 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 428, + 113, + 450, + 124 + ], + "score": 0.86, + "content": "G _ { \\mathcal { M } _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 111, + 471, + 126 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 472, + 113, + 482, + 124 + ], + "score": 0.88, + "content": "\\xi _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 111, + 486, + 126 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 131, + 506, + 199 + ], + "lines": [ + { + "bbox": [ + 105, + 130, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 130, + 160, + 145 + ], + "score": 1.0, + "content": "The quantity", + "type": "text" + }, + { + "bbox": [ + 160, + 132, + 178, + 143 + ], + "score": 0.91, + "content": "C _ { \\pi ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 130, + 506, + 145 + ], + "score": 1.0, + "content": "is upper bounded by the maximum density ratio between the comparator policy,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 142, + 506, + 159 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 118, + 155 + ], + "score": 0.84, + "content": "\\pi ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 143, + 247, + 159 + ], + "score": 1.0, + "content": ", and the offline distribution, i.e.", + "type": "text" + }, + { + "bbox": [ + 248, + 142, + 385, + 157 + ], + "score": 0.91, + "content": "C _ { \\pi ^ { * } } ^ { \\mathrm { ~ \\bar { ~ } } } \\le \\operatorname* { m a x } _ { ( s , a ) } \\tilde { d } _ { T } ^ { \\pi ^ { * } } ( s , a ) / \\rho ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 143, + 506, + 159 + ], + "score": 1.0, + "content": ". It represents the discrepancy", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 491, + 168 + ], + "score": 1.0, + "content": "between the distribution of data in the dataset compared to the visitation distribution of policy", + "type": "text" + }, + { + "bbox": [ + 491, + 156, + 502, + 165 + ], + "score": 0.86, + "content": "\\pi ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 154, + 506, + 168 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 179 + ], + "score": 1.0, + "content": "Theorem 1 shows that if we find a policy by solving Problem 1, the performance gap of that policy is", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 175, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 104, + 175, + 272, + 190 + ], + "score": 1.0, + "content": "bounded with respect to any other policy", + "type": "text" + }, + { + "bbox": [ + 272, + 177, + 284, + 187 + ], + "score": 0.87, + "content": "\\pi ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 175, + 506, + 190 + ], + "score": 1.0, + "content": "that has a state-action distribution which is covered by", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 154, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 154, + 200 + ], + "score": 1.0, + "content": "the dataset.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 105, + 204, + 504, + 226 + ], + "lines": [ + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "Furthermore, the value function under the worst-case model in the set defined by Problem 1 is a lower", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 214, + 425, + 227 + ], + "spans": [ + { + "bbox": [ + 106, + 214, + 425, + 227 + ], + "score": 1.0, + "content": "bound on the value function in the true environment, as stated by Proposition 1.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 107, + 228, + 504, + 261 + ], + "lines": [ + { + "bbox": [ + 105, + 229, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 298, + 241 + ], + "score": 1.0, + "content": "Proposition 1 (Pessimistic value function). Let", + "type": "text" + }, + { + "bbox": [ + 298, + 230, + 307, + 239 + ], + "score": 0.69, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 229, + 505, + 241 + ], + "score": 1.0, + "content": "denote the true transition function for some MDP,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 136, + 252 + ], + "score": 1.0, + "content": "and let", + "type": "text" + }, + { + "bbox": [ + 136, + 240, + 156, + 251 + ], + "score": 0.87, + "content": "\\mathcal { M } _ { \\mathcal { D } }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 239, + 429, + 252 + ], + "score": 1.0, + "content": "be the set of MDP models defined in Equation 3. Then for any policy", + "type": "text" + }, + { + "bbox": [ + 429, + 242, + 436, + 250 + ], + "score": 0.59, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 239, + 505, + 252 + ], + "score": 1.0, + "content": ", with probability", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 249, + 184, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 251, + 129, + 261 + ], + "score": 0.86, + "content": "1 - \\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 249, + 184, + 263 + ], + "score": 1.0, + "content": "we have that", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 268, + 260, + 342, + 281 + ], + "lines": [ + { + "bbox": [ + 268, + 260, + 342, + 281 + ], + "spans": [ + { + "bbox": [ + 268, + 260, + 342, + 281 + ], + "score": 0.91, + "content": "\\operatorname* { m i n } _ { \\widehat { T } \\in \\mathcal { M } _ { \\mathcal { D } } } V _ { \\widehat { T } } ^ { \\pi } \\leq V _ { T } ^ { \\pi } .", + "type": "interline_equation", + "image_path": "33246d70376ca9748239423f153f8657d6c0e9d252dde15a5276ce9601fd2cd3.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 268, + 260, + 342, + 281 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 287, + 505, + 321 + ], + "lines": [ + { + "bbox": [ + 105, + 286, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 272, + 300 + ], + "score": 1.0, + "content": "Proposition 1 follows from the fact that", + "type": "text" + }, + { + "bbox": [ + 272, + 288, + 313, + 299 + ], + "score": 0.92, + "content": "T \\in \\mathcal { M } _ { \\mathcal { D } }", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 286, + 505, + 300 + ], + "score": 1.0, + "content": "with high probability, which is proven in [66]", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 298, + 506, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 506, + 312 + ], + "score": 1.0, + "content": "(Appendix E.2). Proposition 1 shows that we can expect the performance of any policy in the true", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 310, + 452, + 322 + ], + "spans": [ + { + "bbox": [ + 106, + 310, + 452, + 322 + ], + "score": 1.0, + "content": "MDP to be at least as good as the value in the worst-case model defined in Problem 1.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 325, + 505, + 348 + ], + "lines": [ + { + "bbox": [ + 106, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "While [66] provides the theoretical motivation for solving Problem 1, it does not propose a practical", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 336, + 473, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 336, + 473, + 349 + ], + "score": 1.0, + "content": "algorithm. In this work, we focus on developing a practical approach to solving Problem 1.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + }, + { + "type": "title", + "bbox": [ + 106, + 362, + 192, + 376 + ], + "lines": [ + { + "bbox": [ + 104, + 361, + 194, + 380 + ], + "spans": [ + { + "bbox": [ + 104, + 361, + 194, + 380 + ], + "score": 1.0, + "content": "5 RAMBO-RL", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 386, + 506, + 475 + ], + "lines": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "In this section, we present Robust Adversarial Model-Based Offline RL (RAMBO), our algorithm", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 398, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 506, + 410 + ], + "score": 1.0, + "content": "for solving Problem 1. The main difficulty with solving Problem 1 is that it is unclear how to find", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 408, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 506, + 422 + ], + "score": 1.0, + "content": "the worst-case MDP in the set defined in Equation 3. To arrive at a scalable solution, we propose a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "novel approach which is in the spirit of RARL. We alternate between optimising the agent policy to", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "score": 1.0, + "content": "increase the expected value, and adversarially optimising the model to decrease the expected value.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "score": 1.0, + "content": "In this section, we first describe how we compute the gradient to adversarially train the model. Then,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "score": 1.0, + "content": "we discuss how to ensure that the model remains approximately within the constraint set defined in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 464, + 320, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 320, + 476 + ], + "score": 1.0, + "content": "Problem 1. Finally, we present our overall algorithm.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25.5 + }, + { + "type": "title", + "bbox": [ + 107, + 487, + 199, + 499 + ], + "lines": [ + { + "bbox": [ + 106, + 486, + 200, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 200, + 500 + ], + "score": 1.0, + "content": "5.1 Model Gradient", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 507, + 505, + 552 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 506, + 520 + ], + "score": 1.0, + "content": "We propose a policy gradient-inspired approach to adversarially optimise the model. Typically,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "score": 1.0, + "content": "policy gradient algorithms are used to modify the distribution over actions taken by a policy at each", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "state [62, 71]. In contrast, the update that we propose modifies the likelihood of the successor states", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 541, + 236, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 236, + 551 + ], + "score": 1.0, + "content": "and rewards in the MDP model.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 555, + 505, + 607 + ], + "lines": [ + { + "bbox": [ + 105, + 554, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 344, + 569 + ], + "score": 1.0, + "content": "We assume that the MDP model is defined by parameters,", + "type": "text" + }, + { + "bbox": [ + 344, + 557, + 351, + 568 + ], + "score": 0.83, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 555, + 410, + 569 + ], + "score": 1.0, + "content": ", and we write", + "type": "text" + }, + { + "bbox": [ + 410, + 554, + 422, + 569 + ], + "score": 0.91, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 555, + 505, + 569 + ], + "score": 1.0, + "content": "to indicate this. We", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 567, + 504, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 567, + 481, + 587 + ], + "score": 1.0, + "content": "denote by V πφ the value function for policy π in model Tbφ. To approximately find minTφ∈MD", + "type": "text" + }, + { + "bbox": [ + 493, + 572, + 504, + 581 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 584, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 584, + 505, + 596 + ], + "score": 1.0, + "content": "required by Problem 1 via gradient descent, we wish to compute the gradient of the model parameters", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 593, + 368, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 335, + 609 + ], + "score": 1.0, + "content": "that reduces the value of the policy within the model, i.e.", + "type": "text" + }, + { + "bbox": [ + 336, + 595, + 364, + 608 + ], + "score": 0.92, + "content": "\\nabla _ { \\phi } V _ { \\phi } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 593, + 368, + 609 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 106, + 611, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 258, + 625 + ], + "score": 1.0, + "content": "Proposition 2 (Model Gradient). Let", + "type": "text" + }, + { + "bbox": [ + 258, + 613, + 265, + 624 + ], + "score": 0.8, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 610, + 472, + 625 + ], + "score": 1.0, + "content": "denote the parameters of a parametric MDP model", + "type": "text" + }, + { + "bbox": [ + 472, + 610, + 483, + 624 + ], + "score": 0.89, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 610, + 506, + 625 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 624, + 340, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 119, + 639 + ], + "score": 1.0, + "content": "let", + "type": "text" + }, + { + "bbox": [ + 119, + 626, + 133, + 640 + ], + "score": 0.89, + "content": "V _ { \\phi } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 624, + 279, + 639 + ], + "score": 1.0, + "content": "denote the value function for policy", + "type": "text" + }, + { + "bbox": [ + 279, + 629, + 286, + 636 + ], + "score": 0.68, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 624, + 297, + 639 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 298, + 624, + 309, + 638 + ], + "score": 0.89, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 624, + 340, + 639 + ], + "score": 1.0, + "content": ". 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We can subtract the baseline", + "type": "text" + }, + { + "bbox": [ + 434, + 670, + 470, + 684 + ], + "score": 0.94, + "content": "Q _ { \\phi } ^ { \\pi } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 669, + 505, + 683 + ], + "score": 1.0, + "content": "without", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 681, + 349, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 681, + 349, + 694 + ], + "score": 1.0, + "content": "biasing the gradient estimate (see Appendix A.1 for details):", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5 + }, + { + "type": "interline_equation", + "bbox": [ + 141, + 705, + 468, + 726 + ], + "lines": [ + { + "bbox": [ + 141, + 705, + 468, + 726 + ], + "spans": [ + { + "bbox": [ + 141, + 705, + 468, + 726 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\nabla _ { \\phi } V _ { \\phi } ^ { \\pi } = \\mathbb { E } _ { s \\sim d _ { \\phi } ^ { \\pi } , a \\sim \\pi , ( s ^ { \\prime } , r ) \\sim \\widehat { T } _ { \\phi } } \\left[ \\left( r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) - Q _ { \\phi } ^ { \\pi } ( s , a ) \\right) \\cdot \\nabla _ { \\phi } \\log \\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) \\right] } \\end{array}", + "type": "interline_equation", + "image_path": "9529d743ff4787c1fb6a32149289d5ec62c8b4518a9c148498ebe5f1dafd14a8.jpg" + } + ] + } + ], + "index": 44, + "virtual_lines": [ + { + "bbox": [ + 141, + 705, + 468, + 726 + ], + "spans": [], + "index": 44 + } + ] + } + ], + "page_idx": 4, + "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": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "interline_equation", + "bbox": [ + 197, + 70, + 412, + 101 + ], + "lines": [ + { + "bbox": [ + 197, + 70, + 412, + 101 + ], + "spans": [ + { + "bbox": [ + 197, + 70, + 412, + 101 + ], + "score": 0.92, + "content": "C _ { \\pi ^ { * } } = \\operatorname* { m a x } _ { T ^ { \\prime } \\in \\mathcal { M } } \\frac { \\mathbb { E } _ { ( s , a ) \\sim \\tilde { d } _ { T } ^ { \\pi ^ { * } } } \\left[ \\mathrm { T V } ( T ^ { \\prime } ( \\cdot | s , a ) , T ( \\cdot | s , a ) ) ^ { 2 } \\right] } { \\mathbb { E } _ { ( s , a ) \\sim \\rho } \\left[ \\mathrm { T V } ( T ^ { \\prime } ( \\cdot | s , a ) , T ( \\cdot | s , a ) ) ^ { 2 } \\right] } ,", + "type": "interline_equation", + "image_path": "56fd88b4db91e208a1ffc8d901212f0014dd628b14e998f2f854a7f933b139e6.jpg" + } + ] + } + ], + "index": 0.5, + "virtual_lines": [ + { + "bbox": [ + 197, + 70, + 412, + 85.5 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 197, + 85.5, + 412, + 101.0 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 102, + 504, + 125 + ], + "lines": [ + { + "bbox": [ + 106, + 102, + 505, + 113 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 134, + 113 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 104, + 141, + 113 + ], + "score": 0.77, + "content": "\\rho", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 102, + 320, + 113 + ], + "score": 1.0, + "content": "is the state-action distribution from which", + "type": "text" + }, + { + "bbox": [ + 321, + 102, + 330, + 111 + ], + "score": 0.81, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 102, + 436, + 113 + ], + "score": 1.0, + "content": "was sampled, and c and", + "type": "text" + }, + { + "bbox": [ + 436, + 104, + 446, + 113 + ], + "score": 0.81, + "content": "c _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 102, + 505, + 113 + ], + "score": 1.0, + "content": "are universal", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 111, + 486, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 111, + 279, + 126 + ], + "score": 1.0, + "content": "constants. We refer the reader to Appendix", + "type": "text" + }, + { + "bbox": [ + 279, + 113, + 286, + 122 + ], + "score": 0.29, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 111, + 401, + 126 + ], + "score": 1.0, + "content": "of [66] for the definitions of", + "type": "text" + }, + { + "bbox": [ + 402, + 113, + 423, + 124 + ], + "score": 0.88, + "content": "G _ { \\mathcal { M } _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 111, + 428, + 126 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 428, + 113, + 450, + 124 + ], + "score": 0.86, + "content": "G _ { \\mathcal { M } _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 111, + 471, + 126 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 472, + 113, + 482, + 124 + ], + "score": 0.88, + "content": "\\xi _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 111, + 486, + 126 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 102, + 505, + 126 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 131, + 506, + 199 + ], + "lines": [ + { + "bbox": [ + 105, + 130, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 130, + 160, + 145 + ], + "score": 1.0, + "content": "The quantity", + "type": "text" + }, + { + "bbox": [ + 160, + 132, + 178, + 143 + ], + "score": 0.91, + "content": "C _ { \\pi ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 130, + 506, + 145 + ], + "score": 1.0, + "content": "is upper bounded by the maximum density ratio between the comparator policy,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 142, + 506, + 159 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 118, + 155 + ], + "score": 0.84, + "content": "\\pi ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 143, + 247, + 159 + ], + "score": 1.0, + "content": ", and the offline distribution, i.e.", + "type": "text" + }, + { + "bbox": [ + 248, + 142, + 385, + 157 + ], + "score": 0.91, + "content": "C _ { \\pi ^ { * } } ^ { \\mathrm { ~ \\bar { ~ } } } \\le \\operatorname* { m a x } _ { ( s , a ) } \\tilde { d } _ { T } ^ { \\pi ^ { * } } ( s , a ) / \\rho ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 143, + 506, + 159 + ], + "score": 1.0, + "content": ". It represents the discrepancy", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 491, + 168 + ], + "score": 1.0, + "content": "between the distribution of data in the dataset compared to the visitation distribution of policy", + "type": "text" + }, + { + "bbox": [ + 491, + 156, + 502, + 165 + ], + "score": 0.86, + "content": "\\pi ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 154, + 506, + 168 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 179 + ], + "score": 1.0, + "content": "Theorem 1 shows that if we find a policy by solving Problem 1, the performance gap of that policy is", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 175, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 104, + 175, + 272, + 190 + ], + "score": 1.0, + "content": "bounded with respect to any other policy", + "type": "text" + }, + { + "bbox": [ + 272, + 177, + 284, + 187 + ], + "score": 0.87, + "content": "\\pi ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 175, + 506, + 190 + ], + "score": 1.0, + "content": "that has a state-action distribution which is covered by", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 154, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 154, + 200 + ], + "score": 1.0, + "content": "the dataset.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5, + "bbox_fs": [ + 104, + 130, + 506, + 200 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 204, + 504, + 226 + ], + "lines": [ + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "Furthermore, the value function under the worst-case model in the set defined by Problem 1 is a lower", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 214, + 425, + 227 + ], + "spans": [ + { + "bbox": [ + 106, + 214, + 425, + 227 + ], + "score": 1.0, + "content": "bound on the value function in the true environment, as stated by Proposition 1.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 203, + 506, + 227 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 228, + 504, + 261 + ], + "lines": [ + { + "bbox": [ + 105, + 229, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 298, + 241 + ], + "score": 1.0, + "content": "Proposition 1 (Pessimistic value function). Let", + "type": "text" + }, + { + "bbox": [ + 298, + 230, + 307, + 239 + ], + "score": 0.69, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 229, + 505, + 241 + ], + "score": 1.0, + "content": "denote the true transition function for some MDP,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 136, + 252 + ], + "score": 1.0, + "content": "and let", + "type": "text" + }, + { + "bbox": [ + 136, + 240, + 156, + 251 + ], + "score": 0.87, + "content": "\\mathcal { M } _ { \\mathcal { D } }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 239, + 429, + 252 + ], + "score": 1.0, + "content": "be the set of MDP models defined in Equation 3. 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Proposition 1 shows that we can expect the performance of any policy in the true", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 310, + 452, + 322 + ], + "spans": [ + { + "bbox": [ + 106, + 310, + 452, + 322 + ], + "score": 1.0, + "content": "MDP to be at least as good as the value in the worst-case model defined in Problem 1.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 286, + 506, + 322 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 325, + 505, + 348 + ], + "lines": [ + { + "bbox": [ + 106, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "While [66] provides the theoretical motivation for solving Problem 1, it does not propose a practical", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 336, + 473, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 336, + 473, + 349 + ], + "score": 1.0, + "content": "algorithm. In this work, we focus on developing a practical approach to solving Problem 1.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5, + "bbox_fs": [ + 106, + 325, + 505, + 349 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 362, + 192, + 376 + ], + "lines": [ + { + "bbox": [ + 104, + 361, + 194, + 380 + ], + "spans": [ + { + "bbox": [ + 104, + 361, + 194, + 380 + ], + "score": 1.0, + "content": "5 RAMBO-RL", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 386, + 506, + 475 + ], + "lines": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "In this section, we present Robust Adversarial Model-Based Offline RL (RAMBO), our algorithm", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 398, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 506, + 410 + ], + "score": 1.0, + "content": "for solving Problem 1. The main difficulty with solving Problem 1 is that it is unclear how to find", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 408, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 506, + 422 + ], + "score": 1.0, + "content": "the worst-case MDP in the set defined in Equation 3. To arrive at a scalable solution, we propose a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "novel approach which is in the spirit of RARL. We alternate between optimising the agent policy to", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "score": 1.0, + "content": "increase the expected value, and adversarially optimising the model to decrease the expected value.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "score": 1.0, + "content": "In this section, we first describe how we compute the gradient to adversarially train the model. Then,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "score": 1.0, + "content": "we discuss how to ensure that the model remains approximately within the constraint set defined in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 464, + 320, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 320, + 476 + ], + "score": 1.0, + "content": "Problem 1. Finally, we present our overall algorithm.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 387, + 506, + 476 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 487, + 199, + 499 + ], + "lines": [ + { + "bbox": [ + 106, + 486, + 200, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 200, + 500 + ], + "score": 1.0, + "content": "5.1 Model Gradient", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 507, + 505, + 552 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 506, + 520 + ], + "score": 1.0, + "content": "We propose a policy gradient-inspired approach to adversarially optimise the model. Typically,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "score": 1.0, + "content": "policy gradient algorithms are used to modify the distribution over actions taken by a policy at each", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "state [62, 71]. In contrast, the update that we propose modifies the likelihood of the successor states", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 541, + 236, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 236, + 551 + ], + "score": 1.0, + "content": "and rewards in the MDP model.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 507, + 506, + 551 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 555, + 505, + 607 + ], + "lines": [ + { + "bbox": [ + 105, + 554, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 344, + 569 + ], + "score": 1.0, + "content": "We assume that the MDP model is defined by parameters,", + "type": "text" + }, + { + "bbox": [ + 344, + 557, + 351, + 568 + ], + "score": 0.83, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 555, + 410, + 569 + ], + "score": 1.0, + "content": ", and we write", + "type": "text" + }, + { + "bbox": [ + 410, + 554, + 422, + 569 + ], + "score": 0.91, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 555, + 505, + 569 + ], + "score": 1.0, + "content": "to indicate this. We", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 567, + 504, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 567, + 481, + 587 + ], + "score": 1.0, + "content": "denote by V πφ the value function for policy π in model Tbφ. To approximately find minTφ∈MD", + "type": "text" + }, + { + "bbox": [ + 493, + 572, + 504, + 581 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 584, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 584, + 505, + 596 + ], + "score": 1.0, + "content": "required by Problem 1 via gradient descent, we wish to compute the gradient of the model parameters", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 593, + 368, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 335, + 609 + ], + "score": 1.0, + "content": "that reduces the value of the policy within the model, i.e.", + "type": "text" + }, + { + "bbox": [ + 336, + 595, + 364, + 608 + ], + "score": 0.92, + "content": "\\nabla _ { \\phi } V _ { \\phi } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 593, + 368, + 609 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5, + "bbox_fs": [ + 104, + 554, + 505, + 609 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 611, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 258, + 625 + ], + "score": 1.0, + "content": "Proposition 2 (Model Gradient). Let", + "type": "text" + }, + { + "bbox": [ + 258, + 613, + 265, + 624 + ], + "score": 0.8, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 610, + 472, + 625 + ], + "score": 1.0, + "content": "denote the parameters of a parametric MDP model", + "type": "text" + }, + { + "bbox": [ + 472, + 610, + 483, + 624 + ], + "score": 0.89, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 610, + 506, + 625 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 624, + 340, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 119, + 639 + ], + "score": 1.0, + "content": "let", + "type": "text" + }, + { + "bbox": [ + 119, + 626, + 133, + 640 + ], + "score": 0.89, + "content": "V _ { \\phi } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 624, + 279, + 639 + ], + "score": 1.0, + "content": "denote the value function for policy", + "type": "text" + }, + { + "bbox": [ + 279, + 629, + 286, + 636 + ], + "score": 0.68, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 624, + 297, + 639 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 298, + 624, + 309, + 638 + ], + "score": 0.89, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 624, + 340, + 639 + ], + "score": 1.0, + "content": ". 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We can subtract the baseline", + "type": "text" + }, + { + "bbox": [ + 434, + 670, + 470, + 684 + ], + "score": 0.94, + "content": "Q _ { \\phi } ^ { \\pi } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 669, + 505, + 683 + ], + "score": 1.0, + "content": "without", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 681, + 349, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 681, + 349, + 694 + ], + "score": 1.0, + "content": "biasing the gradient estimate (see Appendix A.1 for details):", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 669, + 505, + 694 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 141, + 705, + 468, + 726 + ], + "lines": [ + { + "bbox": [ + 141, + 705, + 468, + 726 + ], + "spans": [ + { + "bbox": [ + 141, + 705, + 468, + 726 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\nabla _ { \\phi } V _ { \\phi } ^ { \\pi } = \\mathbb { E } _ { s \\sim d _ { \\phi } ^ { \\pi } , a \\sim \\pi , ( s ^ { \\prime } , r ) \\sim \\widehat { T } _ { \\phi } } \\left[ \\left( r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) - Q _ { \\phi } ^ { \\pi } ( s , a ) \\right) \\cdot \\nabla _ { \\phi } \\log \\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) \\right] } \\end{array}", + "type": "interline_equation", + "image_path": "9529d743ff4787c1fb6a32149289d5ec62c8b4518a9c148498ebe5f1dafd14a8.jpg" + } + ] + } + ], + "index": 44, + "virtual_lines": [ + { + "bbox": [ + 141, + 705, + 468, + 726 + ], + "spans": [], + "index": 44 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 506, + 153 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 506, + 85 + ], + "score": 1.0, + "content": "The Model Gradient differs from the standard policy gradient in that a) it is used to update the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "score": 1.0, + "content": "likelihood of successor states in the model, rather than actions in a policy, and b) the “advantage”", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 93, + 507, + 109 + ], + "spans": [ + { + "bbox": [ + 104, + 93, + 127, + 109 + ], + "score": 1.0, + "content": "term", + "type": "text" + }, + { + "bbox": [ + 127, + 94, + 226, + 108 + ], + "score": 0.92, + "content": "r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) - Q _ { \\phi } ^ { \\pi } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 93, + 385, + 109 + ], + "score": 1.0, + "content": "compares the utility of receiving reward", + "type": "text" + }, + { + "bbox": [ + 385, + 96, + 391, + 104 + ], + "score": 0.78, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 93, + 471, + 109 + ], + "score": 1.0, + "content": "and transitioning to", + "type": "text" + }, + { + "bbox": [ + 471, + 95, + 479, + 104 + ], + "score": 0.85, + "content": "s ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 93, + 507, + 109 + ], + "score": 1.0, + "content": "to the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 239, + 120 + ], + "score": 1.0, + "content": "expected value of state action pair", + "type": "text" + }, + { + "bbox": [ + 239, + 107, + 262, + 119 + ], + "score": 0.91, + "content": "( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 105, + 424, + 120 + ], + "score": 1.0, + "content": ". 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To estimate", + "type": "text" + }, + { + "bbox": [ + 455, + 119, + 469, + 132 + ], + "score": 0.89, + "content": "V _ { \\phi } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 115, + 488, + 135 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 488, + 119, + 502, + 132 + ], + "score": 0.89, + "content": "Q _ { \\phi } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 115, + 507, + 135 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 130, + 506, + 143 + ], + "spans": [ + { + "bbox": [ + 106, + 130, + 506, + 143 + ], + "score": 1.0, + "content": "we use the critic learnt by the actor-critic algorithm used for policy optimisation. Thus, we use the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 141, + 388, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 388, + 153 + ], + "score": 1.0, + "content": "critic both for training the policy and adversarially training the model.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 106, + 155, + 505, + 225 + ], + "lines": [ + { + "bbox": [ + 106, + 155, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 155, + 505, + 168 + ], + "score": 1.0, + "content": "Remark 2. The Model Gradient can be thought of as a specific instantiation of the policy gradient if", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 167, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 142, + 182 + ], + "score": 1.0, + "content": "we view", + "type": "text" + }, + { + "bbox": [ + 142, + 167, + 155, + 181 + ], + "score": 0.9, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 167, + 355, + 182 + ], + "score": 1.0, + "content": "as a adversarial “policy” on an augmented MDP,", + "type": "text" + }, + { + "bbox": [ + 355, + 168, + 373, + 180 + ], + "score": 0.87, + "content": "M ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 167, + 393, + 182 + ], + "score": 1.0, + "content": ", i.e.", + "type": "text" + }, + { + "bbox": [ + 393, + 167, + 482, + 181 + ], + "score": 0.91, + "content": "\\widehat { T } _ { \\phi } : S ^ { + } \\to \\operatorname { D i s t } ( A ^ { + } )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 167, + 505, + 182 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 179, + 506, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 199, + 193 + ], + "score": 1.0, + "content": "augmented state space,", + "type": "text" + }, + { + "bbox": [ + 200, + 180, + 253, + 190 + ], + "score": 0.92, + "content": "S ^ { + } = \\bar { S } \\times \\bar { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 179, + 506, + 193 + ], + "score": 1.0, + "content": "includes the state in the original MDP augmented by the action", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 190, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 505, + 204 + ], + "score": 1.0, + "content": "taken by the agent. The augmented action space consists of the reward applied and the successor", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 200, + 506, + 215 + ], + "spans": [ + { + "bbox": [ + 104, + 200, + 130, + 215 + ], + "score": 1.0, + "content": "state,", + "type": "text" + }, + { + "bbox": [ + 131, + 202, + 226, + 214 + ], + "score": 0.91, + "content": "A ^ { + } = S \\times [ R _ { \\operatorname* { m i n } } , R _ { \\operatorname* { m a x } } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 200, + 506, + 215 + ], + "score": 1.0, + "content": ". Thus, we can think of this approach as an instantiation of RARL in", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 212, + 415, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 219, + 225 + ], + "score": 1.0, + "content": "which the adversary policy", + "type": "text" + }, + { + "bbox": [ + 219, + 214, + 226, + 222 + ], + "score": 0.71, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 212, + 415, + 225 + ], + "score": 1.0, + "content": "in Equation 1) that we train is the model itself.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5 + }, + { + "type": "title", + "bbox": [ + 107, + 237, + 250, + 249 + ], + "lines": [ + { + "bbox": [ + 105, + 235, + 252, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 252, + 252 + ], + "score": 1.0, + "content": "5.2 Adversarial Model Training", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 257, + 505, + 318 + ], + "lines": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "score": 1.0, + "content": "If we were to update the model using Equation 5 alone, this would allow the model to be modified", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 107, + 270, + 504, + 279 + ], + "spans": [ + { + "bbox": [ + 107, + 270, + 504, + 279 + ], + "score": 1.0, + "content": "arbitrarily such that the value function in the model is reduced. However, the set of plausible MDPs", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 301, + 294 + ], + "score": 1.0, + "content": "given by Equation 3 states that over the dataset,", + "type": "text" + }, + { + "bbox": [ + 302, + 282, + 311, + 292 + ], + "score": 0.78, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 280, + 357, + 294 + ], + "score": 1.0, + "content": ", the model", + "type": "text" + }, + { + "bbox": [ + 357, + 280, + 370, + 294 + ], + "score": 0.9, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "should be close to the maximum", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 293, + 506, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 190, + 307 + ], + "score": 1.0, + "content": "likelihood estimate,", + "type": "text" + }, + { + "bbox": [ + 190, + 293, + 212, + 306 + ], + "score": 0.9, + "content": "\\widehat { T } _ { \\mathrm { M L E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 294, + 506, + 307 + ], + "score": 1.0, + "content": ". Specifically, in the inner optimisation of Problem 1 we wish to find a", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 107, + 307, + 302, + 318 + ], + "spans": [ + { + "bbox": [ + 107, + 307, + 302, + 318 + ], + "score": 1.0, + "content": "solution to the constrained optimisation problem", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16 + }, + { + "type": "interline_equation", + "bbox": [ + 191, + 322, + 419, + 347 + ], + "lines": [ + { + "bbox": [ + 191, + 322, + 419, + 347 + ], + "spans": [ + { + "bbox": [ + 191, + 322, + 419, + 347 + ], + "score": 0.91, + "content": "\\operatorname* { m i n } _ { \\widehat { T } _ { \\phi } } V _ { \\phi } ^ { \\pi } , \\quad s . t . \\mathbb { E } _ { \\mathcal { D } } \\big [ \\mathbf { T V } ( \\widehat { T } _ { \\mathrm { M L E } } ( \\cdot | s , a ) , \\widehat { T } _ { \\phi } ( \\cdot | s , a ) ) ^ { 2 } \\big ] \\leq \\xi .", + "type": "interline_equation", + "image_path": "5233ee4e813ae4ab1f1a12cf9d1d67d68c9f4afd399d1d5e5b89be29418a02e0.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 191, + 322, + 419, + 347 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 353, + 356, + 365 + ], + "lines": [ + { + "bbox": [ + 105, + 352, + 356, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 356, + 366 + ], + "score": 1.0, + "content": "The Lagrangian relaxation leads to the unconstrained problem", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "interline_equation", + "bbox": [ + 154, + 369, + 455, + 396 + ], + "lines": [ + { + "bbox": [ + 154, + 369, + 455, + 396 + ], + "spans": [ + { + "bbox": [ + 154, + 369, + 455, + 396 + ], + "score": 0.93, + "content": "\\operatorname* { m a x } _ { \\lambda \\geq 0 } \\operatorname* { m i n } _ { \\hat { T } _ { \\phi } } \\Big ( L ( \\hat { T } , \\lambda ) : = V _ { \\phi } ^ { \\pi } + \\lambda \\big ( \\mathbb { E } _ { \\mathcal { D } } \\big [ \\mathrm { T V } ( \\hat { T } _ { \\mathrm { M L E } } ( \\cdot \\vert s , a ) , \\hat { T } _ { \\phi } ( \\cdot \\vert s , a ) ) ^ { 2 } \\big ] - \\xi \\big ) \\Big ) ,", + "type": "interline_equation", + "image_path": "82079e130502e99af45a8c66cbfb8c8b75ae64f3a1308daee15562b6526754a5.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 154, + 369, + 455, + 378.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 154, + 378.0, + 455, + 387.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 154, + 387.0, + 455, + 396.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 401, + 505, + 456 + ], + "lines": [ + { + "bbox": [ + 106, + 402, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 133, + 414 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 402, + 141, + 412 + ], + "score": 0.8, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 402, + 505, + 414 + ], + "score": 1.0, + "content": "is the Lagrange multiplier. Rather than optimising the Lagrange multiplier, we find that", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 177, + 424 + ], + "score": 1.0, + "content": "in practice fixing", + "type": "text" + }, + { + "bbox": [ + 178, + 413, + 185, + 423 + ], + "score": 0.79, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "to apply a constant weighting between the two terms works well with minimal", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "score": 1.0, + "content": "tuning. To facilitate easier tuning of the learning rate, in our implementation we apply the weighting", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 433, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 448 + ], + "score": 1.0, + "content": "constant to the value function term rather than the model term, which is equivalent up to a scaling", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 444, + 189, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 189, + 457 + ], + "score": 1.0, + "content": "factor. This leads to", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26 + }, + { + "type": "interline_equation", + "bbox": [ + 202, + 460, + 408, + 486 + ], + "lines": [ + { + "bbox": [ + 202, + 460, + 408, + 486 + ], + "spans": [ + { + "bbox": [ + 202, + 460, + 408, + 486 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\underset { \\widehat { T } _ { \\phi } } { \\operatorname* { m i n } } \\left( \\lambda V _ { \\phi } ^ { \\pi } + \\mathbb { E } _ { \\mathcal { D } } \\left[ \\Gamma \\mathbf { V } ( \\widehat { T } _ { \\mathrm { M L E } } ( \\cdot | s , a ) , \\widehat { T } _ { \\phi } ( \\cdot | s , a ) ) ^ { 2 } \\right] \\right) . } \\end{array}", + "type": "interline_equation", + "image_path": "f1fed017dcc24f7c8cd56eff01f719cbaf4cd08334f02a7068b0e6a1bbcd6b4a.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 202, + 460, + 408, + 486 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 497, + 504, + 531 + ], + "lines": [ + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "score": 1.0, + "content": "We aim to make our algorithm efficient and simple to implement. Therefore, rather than minimising", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "the TV distance between the model and MLE model as prescribed by Equation 8, we directly optimise", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 519, + 347, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 347, + 531 + ], + "score": 1.0, + "content": "the standard MLE loss. This leads to the final loss function:", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31 + }, + { + "type": "interline_equation", + "bbox": [ + 210, + 534, + 401, + 551 + ], + "lines": [ + { + "bbox": [ + 210, + 534, + 401, + 551 + ], + "spans": [ + { + "bbox": [ + 210, + 534, + 401, + 551 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mathcal { L } _ { \\phi } = \\lambda V _ { \\phi } ^ { \\pi } - \\mathbb { E } _ { ( s , a , r , s ^ { \\prime } ) \\sim \\mathcal { D } } \\left[ \\log \\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) \\right] . } \\end{array}", + "type": "interline_equation", + "image_path": "ac84323481fe6c04c61be46f9a3893ddacf3303c7ef34906494f3c0edd8d084d.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 210, + 534, + 401, + 551 + ], + "spans": [], + "index": 33 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 555, + 505, + 633 + ], + "lines": [ + { + "bbox": [ + 106, + 556, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 505, + 567 + ], + "score": 1.0, + "content": "Thus, the loss function for the model in Equation 9 simply adds the adversarial term to the standard", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "score": 1.0, + "content": "MLE loss. By minimising the loss function in Equation 9, the model is trained to a) predict the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 431, + 591 + ], + "score": 1.0, + "content": "transitions within the dataset, and b) reduce the value function of the policy, with", + "type": "text" + }, + { + "bbox": [ + 432, + 578, + 439, + 588 + ], + "score": 0.7, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "determining the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 589, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 300, + 600 + ], + "score": 1.0, + "content": "tradeoff between these two objectives. Choosing", + "type": "text" + }, + { + "bbox": [ + 300, + 589, + 308, + 599 + ], + "score": 0.8, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 589, + 505, + 600 + ], + "score": 1.0, + "content": "to be small ensures that the MLE term dominates", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 600, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 191, + 611 + ], + "score": 1.0, + "content": "for transitions within", + "type": "text" + }, + { + "bbox": [ + 191, + 600, + 200, + 609 + ], + "score": 0.81, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 600, + 505, + 611 + ], + "score": 1.0, + "content": ", ensuring that the model fits the dataset accurately. Because the MLE term is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 187, + 623 + ], + "score": 1.0, + "content": "only computed over", + "type": "text" + }, + { + "bbox": [ + 187, + 611, + 196, + 621 + ], + "score": 0.8, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 610, + 505, + 623 + ], + "score": 1.0, + "content": ", the adversarial term dominates outside of the dataset meaning that the model", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 622, + 354, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 354, + 633 + ], + "score": 1.0, + "content": "is modified adversarially for transitions outside of the dataset.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 106, + 637, + 505, + 695 + ], + "lines": [ + { + "bbox": [ + 106, + 638, + 504, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 504, + 650 + ], + "score": 1.0, + "content": "To estimate the gradient of the loss function in Equation 9 for stochastic gradient descent, we sample", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 230, + 661 + ], + "score": 1.0, + "content": "a minibatch of transitions from", + "type": "text" + }, + { + "bbox": [ + 230, + 649, + 239, + 659 + ], + "score": 0.82, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "to estimate the MLE term. The gradient for the value function term", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 659, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 505, + 671 + ], + "score": 1.0, + "content": "is computed using the Model Gradient. The transitions used to compute the Model Gradient term", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 670, + 505, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 505, + 682 + ], + "score": 1.0, + "content": "must be sampled under the current policy and model (Equation 5). Therefore, to estimate the Model", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 681, + 478, + 698 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 461, + 698 + ], + "score": 1.0, + "content": "Gradient term, we generate a minibatch of transitions by simulating the current policy in", + "type": "text" + }, + { + "bbox": [ + 461, + 681, + 473, + 696 + ], + "score": 0.89, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 681, + 478, + 698 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 699, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "Like previous works [10, 76, 75, 8], we represent the dynamics model using an ensemble of neural", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 711, + 504, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 504, + 722 + ], + "score": 1.0, + "content": "networks. Each neural network produces a Gaussian distribution over the next state and reward:", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46.5 + } + ], + "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": [ + 106, + 72, + 506, + 153 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 506, + 85 + ], + "score": 1.0, + "content": "The Model Gradient differs from the standard policy gradient in that a) it is used to update the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "score": 1.0, + "content": "likelihood of successor states in the model, rather than actions in a policy, and b) the “advantage”", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 93, + 507, + 109 + ], + "spans": [ + { + "bbox": [ + 104, + 93, + 127, + 109 + ], + "score": 1.0, + "content": "term", + "type": "text" + }, + { + "bbox": [ + 127, + 94, + 226, + 108 + ], + "score": 0.92, + "content": "r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) - Q _ { \\phi } ^ { \\pi } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 93, + 385, + 109 + ], + "score": 1.0, + "content": "compares the utility of receiving reward", + "type": "text" + }, + { + "bbox": [ + 385, + 96, + 391, + 104 + ], + "score": 0.78, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 93, + 471, + 109 + ], + "score": 1.0, + "content": "and transitioning to", + "type": "text" + }, + { + "bbox": [ + 471, + 95, + 479, + 104 + ], + "score": 0.85, + "content": "s ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 93, + 507, + 109 + ], + "score": 1.0, + "content": "to the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 239, + 120 + ], + "score": 1.0, + "content": "expected value of state action pair", + "type": "text" + }, + { + "bbox": [ + 239, + 107, + 262, + 119 + ], + "score": 0.91, + "content": "( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 105, + 424, + 120 + ], + "score": 1.0, + "content": ". In contrast, the standard advantage term,", + "type": "text" + }, + { + "bbox": [ + 425, + 106, + 484, + 119 + ], + "score": 0.92, + "content": "Q ( s , a ) - V ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 105, + 506, + 120 + ], + "score": 1.0, + "content": "[56],", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 104, + 115, + 507, + 135 + ], + "spans": [ + { + "bbox": [ + 104, + 115, + 309, + 135 + ], + "score": 1.0, + "content": "compares the value of executing state-action pair", + "type": "text" + }, + { + "bbox": [ + 309, + 118, + 332, + 130 + ], + "score": 0.92, + "content": "( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 115, + 394, + 135 + ], + "score": 1.0, + "content": "to the value at", + "type": "text" + }, + { + "bbox": [ + 394, + 120, + 400, + 128 + ], + "score": 0.55, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 115, + 454, + 135 + ], + "score": 1.0, + "content": ". To estimate", + "type": "text" + }, + { + "bbox": [ + 455, + 119, + 469, + 132 + ], + "score": 0.89, + "content": "V _ { \\phi } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 115, + 488, + 135 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 488, + 119, + 502, + 132 + ], + "score": 0.89, + "content": "Q _ { \\phi } ^ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 115, + 507, + 135 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 130, + 506, + 143 + ], + "spans": [ + { + "bbox": [ + 106, + 130, + 506, + 143 + ], + "score": 1.0, + "content": "we use the critic learnt by the actor-critic algorithm used for policy optimisation. Thus, we use the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 141, + 388, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 388, + 153 + ], + "score": 1.0, + "content": "critic both for training the policy and adversarially training the model.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3, + "bbox_fs": [ + 104, + 72, + 507, + 153 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 155, + 505, + 225 + ], + "lines": [ + { + "bbox": [ + 106, + 155, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 155, + 505, + 168 + ], + "score": 1.0, + "content": "Remark 2. The Model Gradient can be thought of as a specific instantiation of the policy gradient if", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 167, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 142, + 182 + ], + "score": 1.0, + "content": "we view", + "type": "text" + }, + { + "bbox": [ + 142, + 167, + 155, + 181 + ], + "score": 0.9, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 167, + 355, + 182 + ], + "score": 1.0, + "content": "as a adversarial “policy” on an augmented MDP,", + "type": "text" + }, + { + "bbox": [ + 355, + 168, + 373, + 180 + ], + "score": 0.87, + "content": "M ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 167, + 393, + 182 + ], + "score": 1.0, + "content": ", i.e.", + "type": "text" + }, + { + "bbox": [ + 393, + 167, + 482, + 181 + ], + "score": 0.91, + "content": "\\widehat { T } _ { \\phi } : S ^ { + } \\to \\operatorname { D i s t } ( A ^ { + } )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 167, + 505, + 182 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 179, + 506, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 199, + 193 + ], + "score": 1.0, + "content": "augmented state space,", + "type": "text" + }, + { + "bbox": [ + 200, + 180, + 253, + 190 + ], + "score": 0.92, + "content": "S ^ { + } = \\bar { S } \\times \\bar { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 179, + 506, + 193 + ], + "score": 1.0, + "content": "includes the state in the original MDP augmented by the action", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 190, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 505, + 204 + ], + "score": 1.0, + "content": "taken by the agent. The augmented action space consists of the reward applied and the successor", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 200, + 506, + 215 + ], + "spans": [ + { + "bbox": [ + 104, + 200, + 130, + 215 + ], + "score": 1.0, + "content": "state,", + "type": "text" + }, + { + "bbox": [ + 131, + 202, + 226, + 214 + ], + "score": 0.91, + "content": "A ^ { + } = S \\times [ R _ { \\operatorname* { m i n } } , R _ { \\operatorname* { m a x } } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 200, + 506, + 215 + ], + "score": 1.0, + "content": ". Thus, we can think of this approach as an instantiation of RARL in", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 212, + 415, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 219, + 225 + ], + "score": 1.0, + "content": "which the adversary policy", + "type": "text" + }, + { + "bbox": [ + 219, + 214, + 226, + 222 + ], + "score": 0.71, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 212, + 415, + 225 + ], + "score": 1.0, + "content": "in Equation 1) that we train is the model itself.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5, + "bbox_fs": [ + 104, + 155, + 506, + 225 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 237, + 250, + 249 + ], + "lines": [ + { + "bbox": [ + 105, + 235, + 252, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 252, + 252 + ], + "score": 1.0, + "content": "5.2 Adversarial Model Training", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 257, + 505, + 318 + ], + "lines": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "score": 1.0, + "content": "If we were to update the model using Equation 5 alone, this would allow the model to be modified", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 107, + 270, + 504, + 279 + ], + "spans": [ + { + "bbox": [ + 107, + 270, + 504, + 279 + ], + "score": 1.0, + "content": "arbitrarily such that the value function in the model is reduced. However, the set of plausible MDPs", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 301, + 294 + ], + "score": 1.0, + "content": "given by Equation 3 states that over the dataset,", + "type": "text" + }, + { + "bbox": [ + 302, + 282, + 311, + 292 + ], + "score": 0.78, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 280, + 357, + 294 + ], + "score": 1.0, + "content": ", the model", + "type": "text" + }, + { + "bbox": [ + 357, + 280, + 370, + 294 + ], + "score": 0.9, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "should be close to the maximum", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 293, + 506, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 190, + 307 + ], + "score": 1.0, + "content": "likelihood estimate,", + "type": "text" + }, + { + "bbox": [ + 190, + 293, + 212, + 306 + ], + "score": 0.9, + "content": "\\widehat { T } _ { \\mathrm { M L E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 294, + 506, + 307 + ], + "score": 1.0, + "content": ". Specifically, in the inner optimisation of Problem 1 we wish to find a", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 107, + 307, + 302, + 318 + ], + "spans": [ + { + "bbox": [ + 107, + 307, + 302, + 318 + ], + "score": 1.0, + "content": "solution to the constrained optimisation problem", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 258, + 506, + 318 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 191, + 322, + 419, + 347 + ], + "lines": [ + { + "bbox": [ + 191, + 322, + 419, + 347 + ], + "spans": [ + { + "bbox": [ + 191, + 322, + 419, + 347 + ], + "score": 0.91, + "content": "\\operatorname* { m i n } _ { \\widehat { T } _ { \\phi } } V _ { \\phi } ^ { \\pi } , \\quad s . t . \\mathbb { E } _ { \\mathcal { D } } \\big [ \\mathbf { T V } ( \\widehat { T } _ { \\mathrm { M L E } } ( \\cdot | s , a ) , \\widehat { T } _ { \\phi } ( \\cdot | s , a ) ) ^ { 2 } \\big ] \\leq \\xi .", + "type": "interline_equation", + "image_path": "5233ee4e813ae4ab1f1a12cf9d1d67d68c9f4afd399d1d5e5b89be29418a02e0.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 191, + 322, + 419, + 347 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 353, + 356, + 365 + ], + "lines": [ + { + "bbox": [ + 105, + 352, + 356, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 356, + 366 + ], + "score": 1.0, + "content": "The Lagrangian relaxation leads to the unconstrained problem", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 352, + 356, + 366 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 154, + 369, + 455, + 396 + ], + "lines": [ + { + "bbox": [ + 154, + 369, + 455, + 396 + ], + "spans": [ + { + "bbox": [ + 154, + 369, + 455, + 396 + ], + "score": 0.93, + "content": "\\operatorname* { m a x } _ { \\lambda \\geq 0 } \\operatorname* { m i n } _ { \\hat { T } _ { \\phi } } \\Big ( L ( \\hat { T } , \\lambda ) : = V _ { \\phi } ^ { \\pi } + \\lambda \\big ( \\mathbb { E } _ { \\mathcal { D } } \\big [ \\mathrm { T V } ( \\hat { T } _ { \\mathrm { M L E } } ( \\cdot \\vert s , a ) , \\hat { T } _ { \\phi } ( \\cdot \\vert s , a ) ) ^ { 2 } \\big ] - \\xi \\big ) \\Big ) ,", + "type": "interline_equation", + "image_path": "82079e130502e99af45a8c66cbfb8c8b75ae64f3a1308daee15562b6526754a5.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 154, + 369, + 455, + 378.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 154, + 378.0, + 455, + 387.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 154, + 387.0, + 455, + 396.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 401, + 505, + 456 + ], + "lines": [ + { + "bbox": [ + 106, + 402, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 133, + 414 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 402, + 141, + 412 + ], + "score": 0.8, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 402, + 505, + 414 + ], + "score": 1.0, + "content": "is the Lagrange multiplier. Rather than optimising the Lagrange multiplier, we find that", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 177, + 424 + ], + "score": 1.0, + "content": "in practice fixing", + "type": "text" + }, + { + "bbox": [ + 178, + 413, + 185, + 423 + ], + "score": 0.79, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "to apply a constant weighting between the two terms works well with minimal", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "score": 1.0, + "content": "tuning. To facilitate easier tuning of the learning rate, in our implementation we apply the weighting", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 433, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 448 + ], + "score": 1.0, + "content": "constant to the value function term rather than the model term, which is equivalent up to a scaling", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 444, + 189, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 189, + 457 + ], + "score": 1.0, + "content": "factor. This leads to", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 402, + 505, + 457 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 202, + 460, + 408, + 486 + ], + "lines": [ + { + "bbox": [ + 202, + 460, + 408, + 486 + ], + "spans": [ + { + "bbox": [ + 202, + 460, + 408, + 486 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\underset { \\widehat { T } _ { \\phi } } { \\operatorname* { m i n } } \\left( \\lambda V _ { \\phi } ^ { \\pi } + \\mathbb { E } _ { \\mathcal { D } } \\left[ \\Gamma \\mathbf { V } ( \\widehat { T } _ { \\mathrm { M L E } } ( \\cdot | s , a ) , \\widehat { T } _ { \\phi } ( \\cdot | s , a ) ) ^ { 2 } \\right] \\right) . } \\end{array}", + "type": "interline_equation", + "image_path": "f1fed017dcc24f7c8cd56eff01f719cbaf4cd08334f02a7068b0e6a1bbcd6b4a.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 202, + 460, + 408, + 486 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 497, + 504, + 531 + ], + "lines": [ + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "score": 1.0, + "content": "We aim to make our algorithm efficient and simple to implement. Therefore, rather than minimising", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "the TV distance between the model and MLE model as prescribed by Equation 8, we directly optimise", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 519, + 347, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 347, + 531 + ], + "score": 1.0, + "content": "the standard MLE loss. This leads to the final loss function:", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 496, + 506, + 531 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 210, + 534, + 401, + 551 + ], + "lines": [ + { + "bbox": [ + 210, + 534, + 401, + 551 + ], + "spans": [ + { + "bbox": [ + 210, + 534, + 401, + 551 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mathcal { L } _ { \\phi } = \\lambda V _ { \\phi } ^ { \\pi } - \\mathbb { E } _ { ( s , a , r , s ^ { \\prime } ) \\sim \\mathcal { D } } \\left[ \\log \\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) \\right] . } \\end{array}", + "type": "interline_equation", + "image_path": "ac84323481fe6c04c61be46f9a3893ddacf3303c7ef34906494f3c0edd8d084d.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 210, + 534, + 401, + 551 + ], + "spans": [], + "index": 33 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 555, + 505, + 633 + ], + "lines": [ + { + "bbox": [ + 106, + 556, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 505, + 567 + ], + "score": 1.0, + "content": "Thus, the loss function for the model in Equation 9 simply adds the adversarial term to the standard", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "score": 1.0, + "content": "MLE loss. By minimising the loss function in Equation 9, the model is trained to a) predict the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 431, + 591 + ], + "score": 1.0, + "content": "transitions within the dataset, and b) reduce the value function of the policy, with", + "type": "text" + }, + { + "bbox": [ + 432, + 578, + 439, + 588 + ], + "score": 0.7, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "determining the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 589, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 300, + 600 + ], + "score": 1.0, + "content": "tradeoff between these two objectives. Choosing", + "type": "text" + }, + { + "bbox": [ + 300, + 589, + 308, + 599 + ], + "score": 0.8, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 589, + 505, + 600 + ], + "score": 1.0, + "content": "to be small ensures that the MLE term dominates", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 600, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 191, + 611 + ], + "score": 1.0, + "content": "for transitions within", + "type": "text" + }, + { + "bbox": [ + 191, + 600, + 200, + 609 + ], + "score": 0.81, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 600, + 505, + 611 + ], + "score": 1.0, + "content": ", ensuring that the model fits the dataset accurately. Because the MLE term is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 187, + 623 + ], + "score": 1.0, + "content": "only computed over", + "type": "text" + }, + { + "bbox": [ + 187, + 611, + 196, + 621 + ], + "score": 0.8, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 610, + 505, + 623 + ], + "score": 1.0, + "content": ", the adversarial term dominates outside of the dataset meaning that the model", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 622, + 354, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 354, + 633 + ], + "score": 1.0, + "content": "is modified adversarially for transitions outside of the dataset.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 556, + 505, + 633 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 637, + 505, + 695 + ], + "lines": [ + { + "bbox": [ + 106, + 638, + 504, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 504, + 650 + ], + "score": 1.0, + "content": "To estimate the gradient of the loss function in Equation 9 for stochastic gradient descent, we sample", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 230, + 661 + ], + "score": 1.0, + "content": "a minibatch of transitions from", + "type": "text" + }, + { + "bbox": [ + 230, + 649, + 239, + 659 + ], + "score": 0.82, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "to estimate the MLE term. The gradient for the value function term", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 659, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 505, + 671 + ], + "score": 1.0, + "content": "is computed using the Model Gradient. The transitions used to compute the Model Gradient term", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 670, + 505, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 505, + 682 + ], + "score": 1.0, + "content": "must be sampled under the current policy and model (Equation 5). Therefore, to estimate the Model", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 681, + 478, + 698 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 461, + 698 + ], + "score": 1.0, + "content": "Gradient term, we generate a minibatch of transitions by simulating the current policy in", + "type": "text" + }, + { + "bbox": [ + 461, + 681, + 473, + 696 + ], + "score": 0.89, + "content": "\\widehat { T } _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 681, + 478, + 698 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 638, + 505, + 698 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 699, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "Like previous works [10, 76, 75, 8], we represent the dynamics model using an ensemble of neural", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 711, + 504, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 504, + 722 + ], + "score": 1.0, + "content": "networks. Each neural network produces a Gaussian distribution over the next state and reward:", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46.5, + "bbox_fs": [ + 105, + 699, + 505, + 722 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 70, + 505, + 87 + ], + "spans": [ + { + "bbox": [ + 106, + 71, + 266, + 85 + ], + "score": 0.91, + "content": "\\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) = \\mathcal { N } ( \\mu _ { \\phi } ( s , a ) , \\Sigma _ { \\phi } ( s , a ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 70, + 505, + 87 + ], + "score": 1.0, + "content": ". A visualisation of the result of adversarially training the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 300, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 300, + 96 + ], + "score": 1.0, + "content": "dynamics model can be found in Appendix C.3.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 106, + 100, + 505, + 189 + ], + "lines": [ + { + "bbox": [ + 105, + 100, + 505, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 505, + 113 + ], + "score": 1.0, + "content": "Normalisation The composite loss function in Equation 9 comprises two terms which may have", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 111, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 111, + 505, + 123 + ], + "score": 1.0, + "content": "different magnitudes across domains depending on the scale of the states and rewards. To enable", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 121, + 506, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 292, + 135 + ], + "score": 1.0, + "content": "easier tuning of the adversarial loss weighting,", + "type": "text" + }, + { + "bbox": [ + 292, + 122, + 299, + 132 + ], + "score": 0.75, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 121, + 506, + 135 + ], + "score": 1.0, + "content": ", across different domains we perform the following", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 133, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 394, + 145 + ], + "score": 1.0, + "content": "normalisation procedure. Prior to training, we normalise the states in", + "type": "text" + }, + { + "bbox": [ + 394, + 133, + 404, + 142 + ], + "score": 0.79, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 133, + 506, + 145 + ], + "score": 1.0, + "content": "in the manner proposed", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "score": 1.0, + "content": "in [15], by subtracting the mean and dividing by the standard deviation of each state dimension in", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "the dataset. Additionally, when computing the gradient in Equation 5 we normalise the advantage", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 507, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 133, + 180 + ], + "score": 1.0, + "content": "terms,", + "type": "text" + }, + { + "bbox": [ + 133, + 165, + 232, + 179 + ], + "score": 0.92, + "content": "r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) - \\dot { Q _ { \\phi } ^ { \\pi } } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 165, + 507, + 180 + ], + "score": 1.0, + "content": ", according to the mean and standard deviation across each minibatch.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 177, + 478, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 478, + 190 + ], + "score": 1.0, + "content": "Advantage normalisation is common practice in policy gradient RL implementations [3, 52].", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5 + }, + { + "type": "title", + "bbox": [ + 107, + 202, + 175, + 214 + ], + "lines": [ + { + "bbox": [ + 105, + 201, + 176, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 176, + 217 + ], + "score": 1.0, + "content": "5.3 Algorithm", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 222, + 505, + 267 + ], + "lines": [ + { + "bbox": [ + 106, + 223, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 505, + 235 + ], + "score": 1.0, + "content": "We are now ready to present our overall approach in Algorithm 1. The first step of RAMBO is to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 234, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 505, + 246 + ], + "score": 1.0, + "content": "pretrain the environment dynamics model using standard MLE (Line 1). Thereafter, the algorithm", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 244, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 505, + 258 + ], + "score": 1.0, + "content": "follows the format of RARL. 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This data is added to the synthetic dataset", + "type": "text" + }, + { + "bbox": [ + 447, + 285, + 466, + 299 + ], + "score": 0.9, + "content": "\\mathcal { D } _ { \\widehat { T } _ { \\phi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 285, + 506, + 298 + ], + "score": 1.0, + "content": "(Line 3).", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 297, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 463, + 312 + ], + "score": 1.0, + "content": "Following previous approaches [76, 75, 22] we only store data from recent iterations in", + "type": "text" + }, + { + "bbox": [ + 463, + 299, + 482, + 313 + ], + "score": 0.89, + "content": "\\mathcal { D } _ { \\widehat { T } _ { \\phi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 297, + 506, + 312 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 311, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 506, + 325 + ], + "score": 1.0, + "content": "agent’s policy and value functions are trained with an off-policy actor-critic algorithm using samples", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 321, + 507, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 128, + 336 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 128, + 323, + 165, + 337 + ], + "score": 0.91, + "content": "\\mathcal { D } \\cup \\mathcal { D } _ { \\widehat { T } _ { \\phi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 321, + 507, + 336 + ], + "score": 1.0, + "content": "(Line 4). In our implementation, we use soft actor-critic (SAC) [19] for agent training.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 335, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 449, + 348 + ], + "score": 1.0, + "content": "To update the model to minimise the loss in Equation 9 (Line 5), we sample data from", + "type": "text" + }, + { + "bbox": [ + 449, + 335, + 459, + 345 + ], + "score": 0.78, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 335, + 506, + 348 + ], + "score": 1.0, + "content": "to estimate", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "score": 1.0, + "content": "the gradient for the MLE component. 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The code for our experiments is available", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 601, + 455, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 455, + 615 + ], + "score": 1.0, + "content": "at github.com/marc-rigter/rambo. We evaluate our approach on the following domains.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 617, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 106, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "MuJoCo There are three different environments representing different robots (HalfCheetah, Hopper,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "Walker2D), each with 4 datasets (Random, Medium, Medium-Replay, Medium-Expert). 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The MuJoCo and AntMaze benchmarks are from D4RL [14].", + "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, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 70, + 505, + 87 + ], + "spans": [ + { + "bbox": [ + 106, + 71, + 266, + 85 + ], + "score": 0.91, + "content": "\\widehat { T } _ { \\phi } ( s ^ { \\prime } , r | s , a ) = \\mathcal { N } ( \\mu _ { \\phi } ( s , a ) , \\Sigma _ { \\phi } ( s , a ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 70, + 505, + 87 + ], + "score": 1.0, + "content": ". 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To enable", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 121, + 506, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 292, + 135 + ], + "score": 1.0, + "content": "easier tuning of the adversarial loss weighting,", + "type": "text" + }, + { + "bbox": [ + 292, + 122, + 299, + 132 + ], + "score": 0.75, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 121, + 506, + 135 + ], + "score": 1.0, + "content": ", across different domains we perform the following", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 133, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 394, + 145 + ], + "score": 1.0, + "content": "normalisation procedure. 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Additionally, when computing the gradient in Equation 5 we normalise the advantage", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 507, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 133, + 180 + ], + "score": 1.0, + "content": "terms,", + "type": "text" + }, + { + "bbox": [ + 133, + 165, + 232, + 179 + ], + "score": 0.92, + "content": "r + \\gamma V _ { \\phi } ^ { \\pi } ( s ^ { \\prime } ) - \\dot { Q _ { \\phi } ^ { \\pi } } ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 165, + 507, + 180 + ], + "score": 1.0, + "content": ", according to the mean and standard deviation across each minibatch.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 177, + 478, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 478, + 190 + ], + "score": 1.0, + "content": "Advantage normalisation is common practice in policy gradient RL implementations [3, 52].", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 100, + 507, + 190 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 202, + 175, + 214 + ], + "lines": [ + { + "bbox": [ + 105, + 201, + 176, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 176, + 217 + ], + "score": 1.0, + "content": "5.3 Algorithm", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 222, + 505, + 267 + ], + "lines": [ + { + "bbox": [ + 106, + 223, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 505, + 235 + ], + "score": 1.0, + "content": "We are now ready to present our overall approach in Algorithm 1. The first step of RAMBO is to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 234, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 505, + 246 + ], + "score": 1.0, + "content": "pretrain the environment dynamics model using standard MLE (Line 1). Thereafter, the algorithm", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 244, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 505, + 258 + ], + "score": 1.0, + "content": "follows the format of RARL. 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In our implementation, we use soft actor-critic (SAC) [19] for agent training.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 335, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 449, + 348 + ], + "score": 1.0, + "content": "To update the model to minimise the loss in Equation 9 (Line 5), we sample data from", + "type": "text" + }, + { + "bbox": [ + 449, + 335, + 459, + 345 + ], + "score": 0.78, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 335, + 506, + 348 + ], + "score": 1.0, + "content": "to estimate", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "score": 1.0, + "content": "the gradient for the MLE component. 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The code for our experiments is available", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 601, + 455, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 455, + 615 + ], + "score": 1.0, + "content": "at github.com/marc-rigter/rambo. We evaluate our approach on the following domains.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 557, + 506, + 615 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 617, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 106, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "MuJoCo There are three different environments representing different robots (HalfCheetah, Hopper,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "Walker2D), each with 4 datasets (Random, Medium, Medium-Replay, Medium-Expert). Random", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "contains transitions collected by a random policy. Medium contains transitions collected by an", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 650, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 664 + ], + "score": 1.0, + "content": "early-stopped SAC policy. Medium-Replay consists of the replay buffer generated while training the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 662, + 483, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 483, + 675 + ], + "score": 1.0, + "content": "Medium policy. The Medium-Expert dataset contains a mixture of suboptimal and expert data.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 617, + 506, + 675 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "AntMaze The agent controls a robot and navigates to reach a goal, receiving a sparse reward only if", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "the goal is reached. There are three different layouts of maze (Umaze, Medium, Large), and different", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "dataset types (Fixed, Play, Diverse) which differ in terms of the variety of start and goal locations", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 711, + 462, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 462, + 723 + ], + "score": 1.0, + "content": "used to collect the dataset. The MuJoCo and AntMaze benchmarks are from D4RL [14].", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 677, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 117 + ], + "lines": [ + { + "bbox": [ + 105, + 73, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 506, + 85 + ], + "score": 1.0, + "content": "Hyperparameter Details The base hyperparameters that we use for RAMBO mostly follow those", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "used in SAC [19] and COMBO [75]. We find that the performance of RAMBO is sensitive to the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 207, + 107 + ], + "score": 1.0, + "content": "choice of rollout length,", + "type": "text" + }, + { + "bbox": [ + 208, + 95, + 214, + 105 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 94, + 506, + 107 + ], + "score": 1.0, + "content": ", consistent with findings in previous works [22, 37]. The other critical", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 382, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 370, + 118 + ], + "score": 1.0, + "content": "parameter for RAMBO is the choice of the adversarial weighting,", + "type": "text" + }, + { + "bbox": [ + 371, + 106, + 378, + 115 + ], + "score": 0.7, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 105, + 382, + 118 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 107, + 121, + 505, + 209 + ], + "lines": [ + { + "bbox": [ + 105, + 122, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 505, + 134 + ], + "score": 1.0, + "content": "For each dataset, we choose the rollout length and the adversarial weighting from one of three possible", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 171, + 145 + ], + "score": 1.0, + "content": "configurations:", + "type": "text" + }, + { + "bbox": [ + 171, + 132, + 318, + 145 + ], + "score": 0.7, + "content": "( k , \\lambda ) \\in \\{ ( 2 , 3 { \\mathrm { e } } { - } 4 ) , ( 5 , 3 { \\bar { \\mathrm { e } } } { - } 4 ) , ( 5 , 0 ) \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 132, + 377, + 145 + ], + "score": 1.0, + "content": ". We included", + "type": "text" + }, + { + "bbox": [ + 377, + 132, + 434, + 144 + ], + "score": 0.92, + "content": "\\bar { ( k , \\lambda ) } = ( 5 , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "as we found that", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "score": 1.0, + "content": "an adversarial weighting of 0 worked well for some datasets. For the MuJoCo datasets we performed", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 155, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 155, + 505, + 167 + ], + "score": 1.0, + "content": "model rollouts using the current policy, and initialised the policy using behaviour cloning (BC) which", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "is a common practice in offline RL [25, 74]. Ablation results in Appendix C.4 indicate that the BC", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 177, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 506, + 189 + ], + "score": 1.0, + "content": "initialisation results in a small improvement. For the AntMaze datasets we used a random rollout", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 506, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 199 + ], + "score": 1.0, + "content": "policy and a randomly initialised policy as we found that this performed better. Further details about", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 199, + 268, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 268, + 210 + ], + "score": 1.0, + "content": "the hyperparameters are in Appendix B.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 223, + 505, + 289 + ], + "lines": [ + { + "bbox": [ + 104, + 222, + 507, + 236 + ], + "spans": [ + { + "bbox": [ + 104, + 222, + 507, + 236 + ], + "score": 1.0, + "content": "Evaluation We present two different evaluations of our approach: RAMBO and RAMBOOFF. For", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 235, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 505, + 247 + ], + "score": 1.0, + "content": "RAMBO, we ran each of the three hyperparameter configurations for five seeds each, and report", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 246, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 505, + 257 + ], + "score": 1.0, + "content": "the best performance across the three configurations. Thus, our evaluation of RAMBO utilises", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 256, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 506, + 270 + ], + "score": 1.0, + "content": "limited online tuning which is the most common practice among existing model-based offline RL", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 267, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 505, + 280 + ], + "score": 1.0, + "content": "algorithms [25, 37, 39, 76]. The performance obtained for each of the hyperparameter configurations", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 278, + 223, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 223, + 291 + ], + "score": 1.0, + "content": "is included in Appendix C.2.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 107, + 295, + 505, + 349 + ], + "lines": [ + { + "bbox": [ + 106, + 295, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 505, + 307 + ], + "score": 1.0, + "content": "Offline hyperparameter selection is an important topic in offline RL [47, 77]. Therefore, we present", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 303, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 506, + 319 + ], + "score": 1.0, + "content": "additional results for RAMBOOFF where we select between the three choices of hyperparameters", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 316, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 505, + 330 + ], + "score": 1.0, + "content": "offline using a simple heuristic (details in Appendix B.5) based on the magnitude and stability of the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 107, + 328, + 115, + 339 + ], + "score": 0.84, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "-values during offline training. We first select the hyperparameters using the heuristic, and then", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 337, + 384, + 351 + ], + "spans": [ + { + "bbox": [ + 104, + 337, + 384, + 351 + ], + "score": 1.0, + "content": "rerun each dataset for 5 seeds to generate the results for RAMBOOFF.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 364, + 505, + 408 + ], + "lines": [ + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "score": 1.0, + "content": "Baselines We compare RAMBO against state-of-the-art model-based (COMBO [75], RepB-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 443, + 388 + ], + "score": 1.0, + "content": "SDE [34], MOReL [25], and MOPO [76]) and model-free (CQL [31], IQL [28], and", + "type": "text" + }, + { + "bbox": [ + 444, + 375, + 483, + 386 + ], + "score": 0.76, + "content": "\\mathrm { T D } 3 { + } \\mathrm { B C }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "[15])", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "score": 1.0, + "content": "offline RL algorithms. We provide results for all algorithms for the MuJoCo-v2 D4RL datasets and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 397, + 315, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 315, + 410 + ], + "score": 1.0, + "content": "the AntMaze-v0 datasets (details in Appendix B.7).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24.5 + }, + { + "type": "title", + "bbox": [ + 107, + 424, + 161, + 435 + ], + "lines": [ + { + "bbox": [ + 106, + 423, + 162, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 162, + 436 + ], + "score": 1.0, + "content": "6.1 Results", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 444, + 505, + 500 + ], + "lines": [ + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "score": 1.0, + "content": "D4RL Performance The results in Table 1 show that RAMBO achieves the best total score for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 455, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 506, + 469 + ], + "score": 1.0, + "content": "the MuJoCo locomotion domains, outperforming existing state-of-the-art methods. Furthermore,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 465, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 505, + 480 + ], + "score": 1.0, + "content": "RAMBO obtains the best overall score on both the Medium and Medium-Replay dataset types. For", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 475, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 505, + 492 + ], + "score": 1.0, + "content": "the random datasets, RAMBO is outperformed only by MOReL. This shows that RAMBO performs", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 489, + 395, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 489, + 395, + 501 + ], + "score": 1.0, + "content": "very well for datasets that are either noisy or consist of suboptimal data.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 505, + 505, + 571 + ], + "lines": [ + { + "bbox": [ + 105, + 504, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 506, + 518 + ], + "score": 1.0, + "content": "For the Medium-Expert datasets, RAMBO is outperformed by most of the baseline algorithms,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 515, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 506, + 529 + ], + "score": 1.0, + "content": "suggesting that RAMBO is less suitable for high-quality datasets. However, for the Medium-Expert", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 527, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 426, + 540 + ], + "score": 1.0, + "content": "datasets, simpler approaches such as performing behaviour cloning on the best", + "type": "text" + }, + { + "bbox": [ + 426, + 527, + 446, + 537 + ], + "score": 0.88, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 527, + 506, + 540 + ], + "score": 1.0, + "content": "of trajectories", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 538, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 505, + 550 + ], + "score": 1.0, + "content": "can be used to achieve stronger performance than offline RL methods [28]. Therefore, the suboptimal", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 548, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 506, + 561 + ], + "score": 1.0, + "content": "performance of RAMBO on the Medium-Expert datasets is less of a concern, as applying offline RL", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 559, + 433, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 433, + 573 + ], + "score": 1.0, + "content": "algorithms may not be the most suitable approach for these high-quality datasets.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 107, + 576, + 505, + 653 + ], + "lines": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "For AntMaze, the model-based algorithms perform considerably less well than the model-free", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "score": 1.0, + "content": "approaches. Unlike the other model-based approaches, RAMBO at least scores greater than zero for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 598, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 505, + 610 + ], + "score": 1.0, + "content": "most of the datasets. Our results echo previous findings that model-based approaches struggle to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 609, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 505, + 621 + ], + "score": 1.0, + "content": "perform well in the AntMaze domains, potentially because model-based algorithms are too aggressive", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 619, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 632 + ], + "score": 1.0, + "content": "and collide with walls [67]. Recent work [67] showed that reverse rollouts can lead to stronger", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "score": 1.0, + "content": "performance for model-based methods in these domains. In future work, we wish to investigate", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 641, + 471, + 654 + ], + "spans": [ + { + "bbox": [ + 106, + 641, + 471, + 654 + ], + "score": 1.0, + "content": "whether combining RAMBO with reverse rollouts improves the performance for AntMaze.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 665, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 680 + ], + "score": 1.0, + "content": "Offline Tuning In Table 1, we also present results for RAMBOOFF where the final hyperparameters", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "are chosen using the heuristic described in Appendix B.5. We see that there is a slight degradation in", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 686, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 506, + 702 + ], + "score": 1.0, + "content": "the performance relative to RAMBO, which uses online tuning. However, RAMBOOFF still achieves", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "comparable performance to the best existing approaches on the MuJoCo datasets. This suggests that", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 711, + 460, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 460, + 724 + ], + "score": 1.0, + "content": "suitable hyperparameters for RAMBO can reliably be chosen using our offline heuristic.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 48 + } + ], + "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": "text", + "bbox": [ + 107, + 73, + 505, + 117 + ], + "lines": [ + { + "bbox": [ + 105, + 73, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 506, + 85 + ], + "score": 1.0, + "content": "Hyperparameter Details The base hyperparameters that we use for RAMBO mostly follow those", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "used in SAC [19] and COMBO [75]. We find that the performance of RAMBO is sensitive to the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 207, + 107 + ], + "score": 1.0, + "content": "choice of rollout length,", + "type": "text" + }, + { + "bbox": [ + 208, + 95, + 214, + 105 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 94, + 506, + 107 + ], + "score": 1.0, + "content": ", consistent with findings in previous works [22, 37]. The other critical", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 382, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 370, + 118 + ], + "score": 1.0, + "content": "parameter for RAMBO is the choice of the adversarial weighting,", + "type": "text" + }, + { + "bbox": [ + 371, + 106, + 378, + 115 + ], + "score": 0.7, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 105, + 382, + 118 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5, + "bbox_fs": [ + 105, + 73, + 506, + 118 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 121, + 505, + 209 + ], + "lines": [ + { + "bbox": [ + 105, + 122, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 505, + 134 + ], + "score": 1.0, + "content": "For each dataset, we choose the rollout length and the adversarial weighting from one of three possible", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 171, + 145 + ], + "score": 1.0, + "content": "configurations:", + "type": "text" + }, + { + "bbox": [ + 171, + 132, + 318, + 145 + ], + "score": 0.7, + "content": "( k , \\lambda ) \\in \\{ ( 2 , 3 { \\mathrm { e } } { - } 4 ) , ( 5 , 3 { \\bar { \\mathrm { e } } } { - } 4 ) , ( 5 , 0 ) \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 132, + 377, + 145 + ], + "score": 1.0, + "content": ". We included", + "type": "text" + }, + { + "bbox": [ + 377, + 132, + 434, + 144 + ], + "score": 0.92, + "content": "\\bar { ( k , \\lambda ) } = ( 5 , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "as we found that", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "score": 1.0, + "content": "an adversarial weighting of 0 worked well for some datasets. For the MuJoCo datasets we performed", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 155, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 155, + 505, + 167 + ], + "score": 1.0, + "content": "model rollouts using the current policy, and initialised the policy using behaviour cloning (BC) which", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "is a common practice in offline RL [25, 74]. Ablation results in Appendix C.4 indicate that the BC", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 177, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 506, + 189 + ], + "score": 1.0, + "content": "initialisation results in a small improvement. For the AntMaze datasets we used a random rollout", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 506, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 199 + ], + "score": 1.0, + "content": "policy and a randomly initialised policy as we found that this performed better. Further details about", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 199, + 268, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 268, + 210 + ], + "score": 1.0, + "content": "the hyperparameters are in Appendix B.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 122, + 506, + 210 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 223, + 505, + 289 + ], + "lines": [ + { + "bbox": [ + 104, + 222, + 507, + 236 + ], + "spans": [ + { + "bbox": [ + 104, + 222, + 507, + 236 + ], + "score": 1.0, + "content": "Evaluation We present two different evaluations of our approach: RAMBO and RAMBOOFF. For", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 235, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 505, + 247 + ], + "score": 1.0, + "content": "RAMBO, we ran each of the three hyperparameter configurations for five seeds each, and report", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 246, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 505, + 257 + ], + "score": 1.0, + "content": "the best performance across the three configurations. Thus, our evaluation of RAMBO utilises", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 256, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 506, + 270 + ], + "score": 1.0, + "content": "limited online tuning which is the most common practice among existing model-based offline RL", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 267, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 505, + 280 + ], + "score": 1.0, + "content": "algorithms [25, 37, 39, 76]. The performance obtained for each of the hyperparameter configurations", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 278, + 223, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 223, + 291 + ], + "score": 1.0, + "content": "is included in Appendix C.2.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5, + "bbox_fs": [ + 104, + 222, + 507, + 291 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 295, + 505, + 349 + ], + "lines": [ + { + "bbox": [ + 106, + 295, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 505, + 307 + ], + "score": 1.0, + "content": "Offline hyperparameter selection is an important topic in offline RL [47, 77]. Therefore, we present", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 303, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 506, + 319 + ], + "score": 1.0, + "content": "additional results for RAMBOOFF where we select between the three choices of hyperparameters", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 316, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 505, + 330 + ], + "score": 1.0, + "content": "offline using a simple heuristic (details in Appendix B.5) based on the magnitude and stability of the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 107, + 328, + 115, + 339 + ], + "score": 0.84, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "-values during offline training. We first select the hyperparameters using the heuristic, and then", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 337, + 384, + 351 + ], + "spans": [ + { + "bbox": [ + 104, + 337, + 384, + 351 + ], + "score": 1.0, + "content": "rerun each dataset for 5 seeds to generate the results for RAMBOOFF.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20, + "bbox_fs": [ + 104, + 295, + 506, + 351 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 364, + 505, + 408 + ], + "lines": [ + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "score": 1.0, + "content": "Baselines We compare RAMBO against state-of-the-art model-based (COMBO [75], RepB-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 443, + 388 + ], + "score": 1.0, + "content": "SDE [34], MOReL [25], and MOPO [76]) and model-free (CQL [31], IQL [28], and", + "type": "text" + }, + { + "bbox": [ + 444, + 375, + 483, + 386 + ], + "score": 0.76, + "content": "\\mathrm { T D } 3 { + } \\mathrm { B C }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "[15])", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "score": 1.0, + "content": "offline RL algorithms. We provide results for all algorithms for the MuJoCo-v2 D4RL datasets and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 397, + 315, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 315, + 410 + ], + "score": 1.0, + "content": "the AntMaze-v0 datasets (details in Appendix B.7).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 364, + 506, + 410 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 424, + 161, + 435 + ], + "lines": [ + { + "bbox": [ + 106, + 423, + 162, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 162, + 436 + ], + "score": 1.0, + "content": "6.1 Results", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 444, + 505, + 500 + ], + "lines": [ + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "score": 1.0, + "content": "D4RL Performance The results in Table 1 show that RAMBO achieves the best total score for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 455, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 506, + 469 + ], + "score": 1.0, + "content": "the MuJoCo locomotion domains, outperforming existing state-of-the-art methods. Furthermore,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 465, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 505, + 480 + ], + "score": 1.0, + "content": "RAMBO obtains the best overall score on both the Medium and Medium-Replay dataset types. For", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 475, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 505, + 492 + ], + "score": 1.0, + "content": "the random datasets, RAMBO is outperformed only by MOReL. This shows that RAMBO performs", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 489, + 395, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 489, + 395, + 501 + ], + "score": 1.0, + "content": "very well for datasets that are either noisy or consist of suboptimal data.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 445, + 506, + 501 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 505, + 505, + 571 + ], + "lines": [ + { + "bbox": [ + 105, + 504, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 506, + 518 + ], + "score": 1.0, + "content": "For the Medium-Expert datasets, RAMBO is outperformed by most of the baseline algorithms,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 515, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 506, + 529 + ], + "score": 1.0, + "content": "suggesting that RAMBO is less suitable for high-quality datasets. However, for the Medium-Expert", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 527, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 426, + 540 + ], + "score": 1.0, + "content": "datasets, simpler approaches such as performing behaviour cloning on the best", + "type": "text" + }, + { + "bbox": [ + 426, + 527, + 446, + 537 + ], + "score": 0.88, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 527, + 506, + 540 + ], + "score": 1.0, + "content": "of trajectories", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 538, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 505, + 550 + ], + "score": 1.0, + "content": "can be used to achieve stronger performance than offline RL methods [28]. Therefore, the suboptimal", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 548, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 506, + 561 + ], + "score": 1.0, + "content": "performance of RAMBO on the Medium-Expert datasets is less of a concern, as applying offline RL", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 559, + 433, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 433, + 573 + ], + "score": 1.0, + "content": "algorithms may not be the most suitable approach for these high-quality datasets.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 504, + 506, + 573 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 576, + 505, + 653 + ], + "lines": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "For AntMaze, the model-based algorithms perform considerably less well than the model-free", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "score": 1.0, + "content": "approaches. Unlike the other model-based approaches, RAMBO at least scores greater than zero for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 598, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 505, + 610 + ], + "score": 1.0, + "content": "most of the datasets. Our results echo previous findings that model-based approaches struggle to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 609, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 505, + 621 + ], + "score": 1.0, + "content": "perform well in the AntMaze domains, potentially because model-based algorithms are too aggressive", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 619, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 632 + ], + "score": 1.0, + "content": "and collide with walls [67]. Recent work [67] showed that reverse rollouts can lead to stronger", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "score": 1.0, + "content": "performance for model-based methods in these domains. In future work, we wish to investigate", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 641, + 471, + 654 + ], + "spans": [ + { + "bbox": [ + 106, + 641, + 471, + 654 + ], + "score": 1.0, + "content": "whether combining RAMBO with reverse rollouts improves the performance for AntMaze.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 576, + 505, + 654 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 665, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 680 + ], + "score": 1.0, + "content": "Offline Tuning In Table 1, we also present results for RAMBOOFF where the final hyperparameters", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "are chosen using the heuristic described in Appendix B.5. We see that there is a slight degradation in", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 686, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 506, + 702 + ], + "score": 1.0, + "content": "the performance relative to RAMBO, which uses online tuning. However, RAMBOOFF still achieves", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "comparable performance to the best existing approaches on the MuJoCo datasets. This suggests that", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 711, + 460, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 460, + 724 + ], + "score": 1.0, + "content": "suitable hyperparameters for RAMBO can reliably be chosen using our offline heuristic.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 48, + "bbox_fs": [ + 105, + 665, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 107, + 123, + 504, + 377 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 505, + 121 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 505, + 90 + ], + "score": 1.0, + "content": "Table 1: Results for the D4RL benchmark using the normalisation procedure proposed by [14]. We", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 504, + 100 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 494, + 100 + ], + "score": 1.0, + "content": "report the normalised performance during the last 10 iterations of training averaged over 5 seeds.", + "type": "text" + }, + { + "bbox": [ + 495, + 89, + 504, + 99 + ], + "score": 0.64, + "content": "\\pm", + "type": "inline_equation" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 99, + 505, + 110 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 462, + 110 + ], + "score": 1.0, + "content": "captures the standard deviation over seeds. Highlighted numbers indicate results within", + "type": "text" + }, + { + "bbox": [ + 463, + 99, + 478, + 109 + ], + "score": 0.88, + "content": "2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 100, + 505, + 110 + ], + "score": 1.0, + "content": "of the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 402, + 122 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 402, + 122 + ], + "score": 1.0, + "content": "most performant algorithm. * indicates the total without random datasets.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "table_body", + "bbox": [ + 107, + 123, + 504, + 377 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 123, + 504, + 377 + ], + "spans": [ + { + "bbox": [ + 107, + 123, + 504, + 377 + ], + "score": 0.986, + "html": "
OursModel-based baselinesModel-free baselines
RAMBORAMBOOFF|RepB-SDE COMBO MOPO MOReLCQLIQLTD3+BCBC
aapaemHalfCheetah40.0 ± 2.333.5 ± 2.632.938.835.425.619.6111.02.1
Hopper21.6 ± 8.015.5± 9.48.617.94.153.66.7-8.59.8
Walker2D11.5 ± 10.50.2±0.621.17.04.237.32.4-1.61.6
WaieaHalfCheetah77.6 ± 1.571.0 ± 3.049.154.269.542.149.047.448.336.1
Hopper92.8± 6.091.2 ± 16.334.094.948.095.466.666.359.329.0
Walker2D86.9 ± 2.789.1 ± 2.772.175.5-0.277.883.878.383.76.6
nipea AerderHalfCheetah68.9 ± 2.367.0 ± 1.557.555.168.240.247.144.244.638.4
Hopper96.6± 7.097.6± 3.462.273.139.193.697.094.760.911.8
Walker2D85.0 ± 15.088.5± 4.049.856.069.449.888.273.981.811.3
wnipen dxHalfCheetah93.7± 10.579.3 ± 2.955.490.072.753.390.886.790.735.8
Hopper83.3± 9.189.5 ± 11.182.6111.13.3108.7106.891.598.0111.9
Walker2D68.3± 20.663.1± 31.388.896.1-0.395.6109.4109.6110.16.4
MuJoCo-v2 Total:826.2 ± 33.8785.5± 40.4614.1769.7413.4773.0767.4692.6*698.5300.8
Umaze25.0±12.023.8± 15.00.080.30.00.074.087.578.665.0
16.4 ± 17.95.6± 10.90.00.00.00.061.271.23.00.0
Large-Play0.0±0.00.0±0.00.00.00.00.015.839.60.00.0
0.0±0.00.0±0.00.057.30.00.084.062.271.455.0
Medium-Diverse23.2 ± 14.28.4±9.90.00.00.00.053.770.010.60.0
Large-Diverse2.4± 3.30.0±0.00.00.00.00.014.947.50.20.0
AntMaze-v0 Total:67.0 ± 14.937.8± 12.40.0137.60.00.0303.6378.0163.8120.0
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RAMBO (No Adversarial Training)
MuJoCo-v2 Total: 694.4 ± 56.5|AntMaze-v0 Total: 45.8 ± 21.8
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RAMBO:
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These results demonstrate that overall performance degrades if the adversarial training is", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "removed. This parallels previous findings that mitigating the issue of model exploitation is crucial to", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 518, + 504, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 504, + 531 + ], + "score": 1.0, + "content": "obtaining strong performance in model-based offline RL. Interestingly however, for some specific", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 528, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 505, + 542 + ], + "score": 1.0, + "content": "datasets we obtain the best performance with no adversarial training (Appendix C.2). This suggests", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 540, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 506, + 552 + ], + "score": 1.0, + "content": "that a potential direction for future work could be trying to identify which types of problems do not", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 551, + 458, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 458, + 563 + ], + "score": 1.0, + "content": "require regularisation for a successful policy to be trained offline with model-based RL.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 574, + 505, + 640 + ], + "lines": [ + { + "bbox": [ + 106, + 573, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 587 + ], + "score": 1.0, + "content": "Comparison to COMBO We focus especially on comparing our approach to COMBO, as it is the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "most similar existing algorithm. 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Policy", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "score": 1.0, + "content": "optimisation can become stuck in these local maxima. On the other hand, the value function produced", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "by RAMBO is initially optimistic, and pessimism is introduced into the value function gradually as", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "the transition function is modified adversarially. 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OursModel-based baselinesModel-free baselines
RAMBORAMBOOFF|RepB-SDE COMBO MOPO MOReLCQLIQLTD3+BCBC
aapaemHalfCheetah40.0 ± 2.333.5 ± 2.632.938.835.425.619.6111.02.1
Hopper21.6 ± 8.015.5± 9.48.617.94.153.66.7-8.59.8
Walker2D11.5 ± 10.50.2±0.621.17.04.237.32.4-1.61.6
WaieaHalfCheetah77.6 ± 1.571.0 ± 3.049.154.269.542.149.047.448.336.1
Hopper92.8± 6.091.2 ± 16.334.094.948.095.466.666.359.329.0
Walker2D86.9 ± 2.789.1 ± 2.772.175.5-0.277.883.878.383.76.6
nipea AerderHalfCheetah68.9 ± 2.367.0 ± 1.557.555.168.240.247.144.244.638.4
Hopper96.6± 7.097.6± 3.462.273.139.193.697.094.760.911.8
Walker2D85.0 ± 15.088.5± 4.049.856.069.449.888.273.981.811.3
wnipen dxHalfCheetah93.7± 10.579.3 ± 2.955.490.072.753.390.886.790.735.8
Hopper83.3± 9.189.5 ± 11.182.6111.13.3108.7106.891.598.0111.9
Walker2D68.3± 20.663.1± 31.388.896.1-0.395.6109.4109.6110.16.4
MuJoCo-v2 Total:826.2 ± 33.8785.5± 40.4614.1769.7413.4773.0767.4692.6*698.5300.8
Umaze25.0±12.023.8± 15.00.080.30.00.074.087.578.665.0
16.4 ± 17.95.6± 10.90.00.00.00.061.271.23.00.0
Large-Play0.0±0.00.0±0.00.00.00.00.015.839.60.00.0
0.0±0.00.0±0.00.057.30.00.084.062.271.455.0
Medium-Diverse23.2 ± 14.28.4±9.90.00.00.00.053.770.010.60.0
Large-Diverse2.4± 3.30.0±0.00.00.00.00.014.947.50.20.0
AntMaze-v0 Total:67.0 ± 14.937.8± 12.40.0137.60.00.0303.6378.0163.8120.0
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RAMBO (No Adversarial Training)
MuJoCo-v2 Total: 694.4 ± 56.5|AntMaze-v0 Total: 45.8 ± 21.8
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These results demonstrate that overall performance degrades if the adversarial training is", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "removed. This parallels previous findings that mitigating the issue of model exploitation is crucial to", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 518, + 504, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 504, + 531 + ], + "score": 1.0, + "content": "obtaining strong performance in model-based offline RL. Interestingly however, for some specific", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 528, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 505, + 542 + ], + "score": 1.0, + "content": "datasets we obtain the best performance with no adversarial training (Appendix C.2). This suggests", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 540, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 506, + 552 + ], + "score": 1.0, + "content": "that a potential direction for future work could be trying to identify which types of problems do not", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 551, + 458, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 458, + 563 + ], + "score": 1.0, + "content": "require regularisation for a successful policy to be trained offline with model-based RL.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 486, + 506, + 563 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 574, + 505, + 640 + ], + "lines": [ + { + "bbox": [ + 106, + 573, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 587 + ], + "score": 1.0, + "content": "Comparison to COMBO We focus especially on comparing our approach to COMBO, as it is the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "most similar existing algorithm. 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Adversarial modification of the transition function is", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 711, + 504, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 504, + 723 + ], + "score": 1.0, + "content": "visualised in Appendix C.3. As a result of this gradual introduction of pessimism, we observe that the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "policy produced by RAMBO is less likely to become stuck in poor local maxima, and better overall", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "score": 1.0, + "content": "performance is obtained in Table 3. 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Require: Normalised dataset, D;
1: T ← MLE dynamics model.
2: for i=1,2,..., niter do Generate synthetic k-step rollouts. Add transition data to DT ·
3:
Agent update: Update π and Q with an actor critic algorithm, using samples from D U DT 4: Adversarial model update: Update T according to Eq. 9, using samples from D for the
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OursModel-based baselinesModel-free baselines
RAMBORAMBOOFF|RepB-SDE COMBO MOPO MOReLCQLIQLTD3+BCBC
aapaemHalfCheetah40.0 ± 2.333.5 ± 2.632.938.835.425.619.6111.02.1
Hopper21.6 ± 8.015.5± 9.48.617.94.153.66.7-8.59.8
Walker2D11.5 ± 10.50.2±0.621.17.04.237.32.4-1.61.6
WaieaHalfCheetah77.6 ± 1.571.0 ± 3.049.154.269.542.149.047.448.336.1
Hopper92.8± 6.091.2 ± 16.334.094.948.095.466.666.359.329.0
Walker2D86.9 ± 2.789.1 ± 2.772.175.5-0.277.883.878.383.76.6
nipea AerderHalfCheetah68.9 ± 2.367.0 ± 1.557.555.168.240.247.144.244.638.4
Hopper96.6± 7.097.6± 3.462.273.139.193.697.094.760.911.8
Walker2D85.0 ± 15.088.5± 4.049.856.069.449.888.273.981.811.3
wnipen dxHalfCheetah93.7± 10.579.3 ± 2.955.490.072.753.390.886.790.735.8
Hopper83.3± 9.189.5 ± 11.182.6111.13.3108.7106.891.598.0111.9
Walker2D68.3± 20.663.1± 31.388.896.1-0.395.6109.4109.6110.16.4
MuJoCo-v2 Total:826.2 ± 33.8785.5± 40.4614.1769.7413.4773.0767.4692.6*698.5300.8
Umaze25.0±12.023.8± 15.00.080.30.00.074.087.578.665.0
16.4 ± 17.95.6± 10.90.00.00.00.061.271.23.00.0
Large-Play0.0±0.00.0±0.00.00.00.00.015.839.60.00.0
0.0±0.00.0±0.00.057.30.00.084.062.271.455.0
Medium-Diverse23.2 ± 14.28.4±9.90.00.00.00.053.770.010.60.0
Large-Diverse2.4± 3.30.0±0.00.00.00.00.014.947.50.20.0
AntMaze-v0 Total:67.0 ± 14.937.8± 12.40.0137.60.00.0303.6378.0163.8120.0
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Computer Science University of North Carolina at Chapel Hill {haokunl,dtredsox,muqeeth,craffel}@cs.unc.edu + +# Abstract + +Few-shot in-context learning (ICL) enables pre-trained language models to perform a previously-unseen task without any gradient-based training by feeding a small number of training examples as part of the input. ICL incurs substantial computational, memory, and storage costs because it involves processing all of the training examples every time a prediction is made. Parameter-efficient fine-tuning (PEFT) (e.g. adapter modules, prompt tuning, sparse update methods, etc.) offers an alternative paradigm where a small set of parameters are trained to enable a model to perform the new task. In this paper, we rigorously compare few-shot ICL and PEFT and demonstrate that the latter offers better accuracy as well as dramatically lower computational costs. Along the way, we introduce a new PEFT method called $( \mathtt { I A } ) ^ { 3 }$ that scales activations by learned vectors, attaining stronger performance while only introducing a relatively tiny amount of new parameters. We also propose a simple recipe based on the T0 model [1] called T-Few that can be applied to new tasks without task-specific tuning or modifications. We validate the effectiveness of T-Few on completely unseen tasks by applying it to the RAFT benchmark [2], attaining super-human performance for the first time and outperforming the state-of-the-art by $6 \%$ absolute. All of the code used in our experiments is publicly available.1 + +# 1 Introduction + +Pre-trained language models have become a cornerstone of natural language processing, thanks to the fact that they can dramatically improve data efficiency on tasks of interest – i.e., using a pre-trained language model for initialization often produces better results with less labeled data. A historically common approach has been gradient-based fine-tuning on a downstream task of interest with pre-trained parameters as the initialization. While fine-tuning has produced many state-of-the-art results [1], it results in a model specialized for a single task with an entirely new set of parameter values, which can become impractical when fine-tuning on many downstream tasks. + +An alternative approach popularized by [3, 4] is in-context learning (ICL), which induces a model to perform a downstream task by inputting prompted examples. Few-shot prompting converts a small collection of input-target pairs into (typically) human-understandable instructions and examples [3, 4], along with a single unlabeled example for which a prediction is desired. Notably, ICL requires no gradient-based training and therefore allows a single model to immediately perform a wide variety of tasks. Performing ICL therefore solely relies on the capabilities that a model learned during pre-training. These characteristics have led to a great deal of recent interest in ICL methods [5–10]. + +![](images/f3a2decc1db9d1ee4079a3c65d82a4f73bb8450c9cfd81b9e8bca6486d996280.jpg) +Figure 1: Diagram of $( \mathtt { I A } ) ^ { 3 }$ and the loss terms used in the T-Few recipe. Left: $( \mathtt { I A } ) ^ { 3 }$ introduces the learned vectors $l _ { \mathrm { k } } , l _ { \mathrm { v } }$ , and $l _ { \mathrm { f f } }$ which respectively rescale (via element-wise multiplication, visualized as $\odot$ ) the keys and values in attention mechanisms and the inner activations in position-wise feed-forward networks. Right: In addition to a standard cross-entropy loss $L _ { \mathrm { L M } }$ , we introduce an unlikelihood loss $L _ { \mathrm { U L } }$ that lowers the probability of incorrect outputs and a length-normalized loss $L _ { \mathrm { L N } }$ that applies a standard softmax cross-entropy loss to length-normalized log-probabilities of all output choices. + +Despite the practical benefits of ICL, it has several major drawbacks. First, processing all prompted input-target pairs every time the model makes a prediction incurs significant compute costs. Second, ICL typically produces inferior performance compared to fine-tuning [4]. Finally, the exact formatting of the prompt (including the wording [11] and ordering of examples [12]) can have significant and unpredictable impact on the model’s performance, far beyond inter-run variation of fine-tuning. Recent work has also demonstrated that ICL can perform well even when provided with incorrect labels, raising questions as to how much learning is taking place at all [9]. + +An additional paradigm for enabling a model to perform a new task with minimal updates is parameterefficient fine-tuning (PEFT), where a pre-trained model is fine-tuned by only updating a small number of added or selected parameters. Recent methods have matched the performance of fine-tuning the full model while only updating or adding a small fraction (e.g. $0 . 0 1 \%$ ) of the full model’s parameters [13, 14]. Furthermore, certain PEFT methods allow mixed-task batches where different examples in a batch are processed differently [14], making both PEFT and ICL viable for multitask models. + +While the benefits of PEFT address some shortcomings of fine-tuning (when compared to ICL), there has been relatively little focus on whether PEFT methods work well when very little labeled data is available. Our primary goal in this paper is to close this gap by proposing a recipe – i.e., a model, a PEFT method, and a fixed set of hyperparameters – that attains strong performance on novel, unseen tasks while only updating a tiny fraction of the model’s parameters. Specifically, we base our approach on the T0 model [1], a variant of T5 [15] fine-tuned on a multitask mixture of prompted datasets. To improve performance on classification and multiple-choice tasks, we add unlikelihood [16, 17] and length normalization-based [4] loss terms. In addition, we develop (IA)3, a PEFT method that multiplies intermediate activations by learned vectors. $( \mathtt { I A } ) ^ { 3 }$ attains stronger performance than full-model fine-tuning while updating up to $1 0 { , } 0 0 0 \times$ fewer parameters. Finally, we demonstrate the benefits of pre-training the $( \mathtt { I A } ) ^ { \tilde { 3 } }$ parameters before fine-tuning [18, 19]. Our overall recipe, which we dub “T-Few”, performs significantly better than ICL (even against $1 6 \times$ larger models) and outperforms humans for the first time on the real-world few-shot learning benchmark RAFT [2] while requiring dramatically less compute and allowing for mixed-task batches during inference. To facilitate the use of T-Few on new problems and future research on PEFT, we release our code.1 + +After providing background on ICL and PEFT in the following section, we discuss the design of T-Few in section 3. In section 4, we present experiments comparing T-Few to strong ICL baselines. Finally, we discuss related work in section 5 and conclude in section 6. + +# 2 Background + +In this section, we provide am verview of ICL and PEFT with a focus on characterizing the computation, memory, and on-disk storage costs of making a prediction. Real-world costs depend on implementation and hardware, so we report costs in terms of FLOPs for computation and bytes for memory and storage, respectively. Additional related work is discussed in section 5. + +# 2.1 Few-shot in-context learning (ICL) + +ICL [3, 4] aims to induce a model to perform a task by feeding in concatenated and prompted input-target examples (called “shots”) along with an unlabeled query example. Taking the cycled letter task from Brown et al. [4] as an example, a 4-shot input or context would be “Please unscramble the letters into a word, and write that word: asinoc $=$ casino, yfrogg $=$ froggy, plesim $=$ simple, iggestb $=$ biggest, astedro $= ^ { \ast }$ , for which the desired output would be “roasted”. ICL induces an autoregressive language model to perform this task by feeding in the context and sampling from the model. For classification tasks, each label is associated with a string (e.g. “positive” and “negative” for sentiment analysis) and a label is assigned by choosing the label string that the model assigns the highest probability to. For multiple-choice tasks (e.g. choosing between $N$ possible answers to a question), the model’s prediction is similarly determined by determining which choice is assigned the highest probability. + +The primary advantage of ICL is that it enables a single model to perform many tasks immediately without fine-tuning. This also enables mixed-task batches, where different examples in a batch of data correspond to different tasks by using different contexts in the input. ICL is also typically performed with only a limited number of labeled examples – called few-shot learning – making it data-efficient. + +Despite these advantages, ICL comes with significant practical drawbacks: First, making a prediction is dramatically more expensive because the model needs to process all of the in-context labeled examples. Specifically, ignoring the quadratic complexity of self-attention operations in Transformer language models (which are typically small compared to the costs of the rest of the model [20]), processing the $k$ training examples for $k$ -shot ICL increases the computational cost by approximately $k + 1$ times compared to processing the unlabeled example alone. Memory costs similarly scale approximately linearly with $k$ , though during inference the memory costs are typically dominated by storing the model’s parameters. Separately, there is a small amount of on-disk storage required for storing the in-context examples for a given task. For example, storing 32 examples for a task where the prompted input and target for each example is 512 tokens long would require about 66 kilobytes of storage on disk (32 examples $\times \ 5 1 2$ tokens $\times \ 3 2$ bits). + +Beyond the aforementioned costs, ICL also exhibits unintuitive behavior. Zhao et al. [12] showed that the ordering of examples in the context heavily influences the model’s predictions. Min et al. [9] showed that ICL can still perform well even if the in-context example labels are swapped (i.e. made incorrect), which raises questions about whether ICL is really “learning” from the labeled examples. + +Various approaches have been proposed to mitigate these issues. One way to decrease computational costs is to cache the key and value vectors for in-context examples. This is possible because decoderonly Transformer language models have a causal masking pattern, so the model’s activations for the context do not do not depend on the unlabeled example. In an extreme case, 32-shot ICL with 512 tokens per in-context example would result in over 144 gigabytes of cached key and value vectors for the GPT-3 model (32 examples $\times \ 5 1 2 \ \mathrm { t o k e n s \times 9 6 \ l a y e r s \times 1 2 2 8 8 \mathrm { d _ { m o d e l } \times 3 2 } }$ bits each for the key and value vectors). Separately, Min et al. [21] proposed ensemble $I C L$ , where instead of using the output probability from concatenating the $k$ training examples, the output probabilities of the model on each training example (i.e. 1-shot ICL for each of the $k$ examples) are multiplied together. This lowers the non-parameter memory cost by a factor of $k / 2$ but increases the computational cost by a factor of 2. In terms of task performance, Min et al. [21] find that ensemble ICL outperforms the standard concatenative variant. + +# 2.2 Parameter-efficient fine-tuning + +While standard fine-tuning updates all parameters of the pre-trained model, it has been demonstrated that it is possible to instead update or add a relatively small number of parameters. Early methods proposed adding adapters [22–24], which are small trainable feed-forward networks inserted between the layers in the fixed pre-trained model. Since then, various sophisticated PEFT methods have been proposed, including methods that choose a sparse subset of parameters to train [25, 26], produce low-rank updates [13], perform optimization in a lower-dimensional subspace [27], add low-rank adapters using hypercomplex multiplication [28], and more. Relatedly, prompt tuning [14] and prefix tuning [29] concatenate learned continuous embeddings to the model’s input or activations to induce it to perform a task; this can be seen as a PEFT method [30]. State-of-the-art PEFT methods can match the performance of fine-tuning all of the model’s parameters while updating only a tiny fraction (e.g. $0 . 0 1 \%$ ) of the model’s parameters. + +PEFT drastically reduces the memory and storage requirements for training and saving the model. In addition, certain PEFT methods straightforwardly allow mixed-task batches – for example, prompt tuning enables a single model to perform many tasks simply by concatenating different prompt embeddings to each example in the batch [14]. On the other hand, PEFT methods that re-parameterize the model (e.g. [27, 13]) are costly or onerous for mixed-task batches. Separately, different PEFT methods increase the computation and memory required to perform inference by different amounts. For example, adapters effectively add additional (small) layers to the model, resulting in small but non-negligible increases in computational costs and memory. An additional cost incurred by PEFT is the cost of fine-tuning itself, which must be performed once and is then amortized as the model is used for inference. However, we will show that PEFT can be dramatically more computationally efficient when considering both fine-tuning and inference while achieving better accuracy than ICL. + +# 3 Designing the T-Few Recipe + +Given that PEFT allows a model to be adapted to a new task with relatively small storage requirements and computational cost, we argue that PEFT presents a promising alternative to ICL. Our goal is therefore to develop a recipe that allows a model to attain high accuracy on new tasks with limited labeled examples while allowing mixed-task batches during inference and incurring minimal computational and storage costs. By recipe, we mean a specific model and hyperparameter setting that provides strong performance on any new task without manual tuning or per-task adjustments. In this way, we can ensure that our approach is a realistic option in few-shot settings where limited labeled data is available for evaluation [31, 32]. + +# 3.1 Model and Datasets + +As a first step, we must choose a pre-trained model. Ideally, the model should attain high performance on new tasks after fine-tuning on a limited number of labeled examples. In preliminary experiments applying PEFT methods to different pre-trained models, we attained the best performance with T0 [1]. T0 is based on T5 [15], an encoder-decoder Transformer model [33] that was pre-trained via a masked language modeling objective [34] on a large corpus of unlabeled text data. T0 was created by fine-tuning T5 on a multitask mixture of datasets in order to enable zero-shot generalization, i.e. the ability to perform tasks without any additional gradient-based training. Examples in the datasets used to train T0 were prompted by applying the prompt templates from the Public Pool of Prompts (P3 [35]), which convert each example in each dataset to a prompted text-to-text format where each label corresponds to a different string. For brevity, we omit a detailed description of T0 and T5; interested readers can refer to Sanh et al. [1] and Raffel et al. [15]. T0 was released in three billion and eleven billion parameter variants, referred to as “T0-3B” and simply “T0” respectively. In this section (where our goal is to design the T-Few recipe through extensive experimentation), we use T0-3B to reduce computational costs. For all models and experiments, we use Hugging Face Transformers [36]. + +While T0 was designed for zero-shot generalization, we will demonstrate that it also attains strong performance after fine-tuning with only a few labeled examples. To test T0’s generalization, Sanh et al. [1] chose a set of tasks (and corresponding datasets) to hold out from the multitask training mixture – specifically, sentence completion (COPA [37], H-SWAG [38], and Story Cloze [39] datasets), natural language inference (ANLI [40], CB [41], and RTE [42]), coreference resolution (WSC [43] and Winogrande [44]), and word sense disambiguation (WiC [45]). Evaluation of generalization capabilities can then be straightforwardly done by measuring performance on these held-out datasets. We also will later test T-Few’s abilities in the RAFT benchmark [2] in section 4.3, a collection of unseen “real-world” few-shot tasks with no validation set and a held-out test set. ANLI, WiC, WSC is licensed under a Creative Commons License. Winogrande is licensed under an Apache license. COPA is under a BSD-2 Clause license. We could not find the license of RTE and CB but they are part of SuperGLUE which mentions the datasets are allowed for use in research context. + +To ease comparison, we use the same number of few-shot training examples for each dataset as Brown et al. [4], which varies from 20 to 70. Unfortunately, the few-shot dataset subsets used by Brown et al. [4] have not been publicly disclosed. To allow for a more robust comparison, we therefore constructed five few-shot datasets by sampling subsets with different seeds and report the median and interquartile range. We prompt examples using a randomly-sampled prompt template from P3 Bach et al. [35] for each example at each step. Unless otherwise stated, we train our model for 1K steps with a batch size of 8 and report performance at the end of training. + +For evaluation, we use “rank classification”, where the model’s log-probabilities for all possible label strings are ranked and the model’s prediction is considered correct if the highest-ranked choice is the correct answer. Rank classification evaluation is compatible with both classification and multiplechoice tasks. Since model performance can vary significantly depending on the prompt template used, we report the median accuracy across all prompt templates from P3 and across few-shot data subsets for each dataset. For all datasets, we report the accuracy on the test set or validation set when the test labels are not public (e.g. SuperGLUE datasets). In the main text, we report median accuracy across the nine datasets mentioned above. Detailed results on each dataset are provided in the appendices. + +# 3.2 Unlikelihood Training and Length Normalization + +Before investigating PEFT methods, we first explore two additional loss terms to improve the performance of few-shot fine-tuning of language models. Language models are normally trained with cross-entropy loss $\begin{array} { r } { L _ { \mathrm { L M } } = - \frac { 1 } { T } \sum _ { t } \log \bar { p } ( y _ { t } | \mathbf { x } , y _ { < t } ) } \end{array}$ where the model is trained to increase the probability of the correct target sequence $\mathbf { y } = ( y _ { 1 } , y _ { 2 } , \dots y _ { T } )$ given the input sequence $\mathbf { x }$ . + +For evaluation, we use rank classification (described in section 3.1) which depends on both the probabilities that the model assigns to the correct choice as well as the incorrect choices. To account for this during training, we add an unlikelihood loss [16, 17]: + +$$ +L _ { \mathrm { U L } } = - \frac { \sum _ { n = 1 } ^ { N } \sum _ { t = 1 } ^ { T ^ { ( n ) } } \log ( 1 - p ( \hat { y } _ { i } ^ { ( n ) } | \mathbf { x } , \hat { y } _ { < t } ^ { ( n ) } ) ) } { \sum _ { n = 1 } ^ { N } T ^ { ( n ) } } +$$ + +which discourages the model from predicting tokens from incorrect target sequences, where $\hat { \mathbf { y } } ^ { ( n ) } =$ $\left( \hat { y } _ { 1 } , \hat { y } _ { 2 } , \dots , \hat { y } _ { T ^ { ( n ) } } \right)$ is the $n$ -th of $N$ incorrect target sequences. We hypothesize that adding $L _ { \mathrm { U L } }$ will improve results on rank classification because the model will be trained to assign lower probabilities to incorrect choices, thereby improving the chance that the correct choice is ranked highest. + +The possible target sequences for a given training example can have significantly different lengths, especially in multiple-choice tasks. Ranking each choice based on probability can therefore “favor” shorter choices because the model’s assigned probability to each token is $\leq 1$ . To rectify this, we consider using length normalization when performing rank classification, which divides the model’s score on each possible answer choice by the number of tokens in the choice (as used in GPT-3 [4]). When using length normalization during evaluation, we introduce an additional loss term during training that more closely reflects length-normalized evaluation. First, we compute the length-normalized log probability of a given output sequence $\begin{array} { r } { \beta ( \mathbf { x } , \mathbf { y } ) = \frac { 1 } { T } \sum _ { t = 1 } ^ { T } \log p ( y _ { t } | \mathbf { \bar { x } } , y _ { < t } ) } \end{array}$ . Then, we maximize the length-normalized log probability of the correct answer choice by minimizing the softmax cross-entropy loss: + +$$ +L _ { \mathrm { L N } } = - \log \frac { \exp ( \beta ( \mathbf { x } , \mathbf { y } ) ) } { \exp ( \beta ( \mathbf { x } , \mathbf { y } ) ) + \sum _ { n = 1 } ^ { N } \exp ( \beta ( \mathbf { x } , \hat { \mathbf { y } } ^ { ( n ) } ) ) } +$$ + +When training a model with $L _ { \mathrm { L M } } , L _ { \mathrm { U L } }$ , and $L _ { \mathrm { L N } }$ , we simply sum them. This avoids introducing any hyperparameters that would be problematic to tune in the few-shot setting (where realistically-sized validation sets are tiny by necessity [31, 32]). + +We report the results of fine-tuning all of T0-3B’s parameters with and without length normalization on all datasets in appendix B. We find that adding $L _ { \mathrm { L N } }$ improves the accuracy from $6 0 . 7 \%$ to $6 2 . 7 1 \%$ and including both $L _ { \mathrm { U L } }$ and $L _ { \mathrm { L N } }$ provides a further improvement to $6 3 . 3 \%$ . Since these loss terms improve performance without introducing any additional hyperparameters, we include them in our recipe and use them in all following experiments. + +# 3.3 Parameter-efficient fine-tuning with (IA)3 + +In order to compare favorably to few-shot ICL, we need a PEFT method that has the following properties: First, it must add or update as few parameters as possible to avoid incurring storage and memory costs. Second, it should achieve strong accuracy after few-shot training on new tasks. + +Finally, it must allow for mixed-task batches, since that is a capability of ICL. In order to easily enable mixed-task batches, a PEFT method should ideally not modify the model itself. Otherwise, each example in a batch would effectively need to be processed by a different model or computational graph. A more convenient alternative is provided by methods that directly modify the activations of the model since this can be done independently and cheaply to each example in the batch according to which task the example corresponds to. Prompt tuning and prefix tuning methods [14, 29] work by concatenating learned vectors to activation or embedding sequences and are therefore examples of activation-modifying PEFT methods that allow for mixed-task batches. However, as we will discuss later, we were unable to attain reasonable accuracy with prompt tuning and found that the more performant PEFT methods did not allow for mixed-task batches. We therefore developed a new PEFT method that meets our desiderata. + +As an alternative, we explored element-wise multiplication (i.e. rescaling) of the model’s activations against a learned vector. Specifically, we consider adaptation of the form $l \odot x$ where $l \in \mathbb { R } ^ { d }$ is a learned task-specific vector, $\odot$ represents element-wise multiplication, and $\boldsymbol { x } \in \mathbb { R } ^ { T \times d }$ is a length- $T$ sequence of activations. We use “broadcasting notation” [46] so that the $( i , j ) ^ { \mathrm { t h } }$ entry of $l \odot x$ is $l _ { j } x _ { i , j }$ In preliminary experiments, we found it was not necessary to introduce a learned rescaling vector for each set of activations in the Transformer model. Instead, we found it was sufficient to introduce rescaling vectors on the keys and values in self-attention and encoder-decoder attention mechanisms and on the intermediate activation of the position-wise feed-forward networks. Specifically, using the notation from Vaswani et al. [33], we introduce three learned vectors $l _ { \mathbf { k } } \in \mathbb { R } ^ { \hat { d } _ { \mathbf { k } } } , l _ { \mathbf { v } } \in \mathbb { R } ^ { \hat { d } _ { \mathbf { v } } }$ , and $l _ { \mathrm { f f } } \in \mathbb { R } ^ { d _ { \mathrm { f f } } }$ , which are introduced into the attention mechanisms as: + +$$ +\mathrm { s o f t m a x } \left( \frac { Q ( l _ { \mathrm { k } } \odot K ^ { T } ) } { \sqrt { d _ { k } } } \right) ( l _ { \mathrm { v } } \odot V ) +$$ + +and in the position-wise feed-forward networks as $( l _ { \mathrm { f f } } \odot \gamma ( W _ { 1 } x ) ) W _ { 2 }$ , where $\gamma$ is the feed-forward network nonlinearity. We introduce a separate set of $l _ { \mathrm { k } } , l _ { \mathrm { v } }$ , and $l _ { \mathrm { f f } }$ vectors in each Transformer layer block. This adds a total of $L ( d _ { k } + d _ { v } + \bar { d } _ { \mathrm { f f } } )$ new parameters for a $L$ -layer-block Transformer encoder and $L ( 2 d _ { k } + 2 d _ { v } + d _ { \mathrm { f f } } )$ (with factors of 2 accounting for the presence of both self-attention and encoder-decoder attention) for a $L$ -layer-block decoder. $l _ { \mathrm { k } } , l _ { \mathrm { v } }$ , and $l _ { \mathrm { f f } }$ are all initialized with ones so that the overall function computed by the model does not change when they are added. We call our method $( \mathtt { I A } ) ^ { 3 }$ , which stands for “Infused Adapter by Inhibiting and Amplifying Inner Activations”. + +$( \mathtt { I A } ) ^ { 3 }$ makes mixed-task batches possible because each sequence of activations in the batch can be separately and cheaply multiplied by its associated learned task vector. We also note that, in the event that a model will only be used on a single task, the modifications introduced by $( \mathtt { I A } ) ^ { 3 }$ can also be applied to weight matrices permanently so that no elementwise multiplication is required and the model’s architecture remains unchanged. This possible because element-wise multiplications performed in $( \mathtt { I A } ) ^ { 3 }$ always co-occur with a matrix multiplication, and $l \odot W x = ( l \odot W ) x$ . In this case, our method incurs no additional computational cost compared to the original model. + +To validate (IA)3, we compare it to a large variety of existing adaptation methods in our setting of fine-tuning T0-3B on few-shot datasets from held-out tasks. Specifically, we compare with 9 strong PEFT methods: BitFit [47] which updates only the bias parameters; Adapters [23] which introduce task-specific layers after the self-attention and position-wise feed-forward networks; Compacter and Compacter $^ { + + }$ [28] which improve upon adapters by using low-rank matrices and hypercomplex multiplication; prompt tuning [14] which learns task-specific prompt embeddings that are concatenated to the model’s input; FISH Mask [26] which chooses a subset of parameters to update based on their approximate Fisher information; Intrinsic SAID [27] which performs optimization in a low-dimensional subspace; prefix-tuning [29] which learns task-specific vectors that are concatenated to the model’s activations; and LoRA [13] which assigns low-rank updates to parameter matrices. Additionally, we include the baselines of full-model fine-tuning and updating only the layer normalization parameters. For certain methods that allow changing the parameter efficiency, we report results for different budgets: $0 . 2 \%$ and $0 . 0 2 \%$ sparsity for FISH Mask, 10 and 100 learned prompt vectors for prompt tuning, and 20,000- or 500,000-dimensional subspaces for Intrinsic SAID. + +The results are shown in fig. 2, with detailed per-dataset results in appendix C. We find that (IA)3 is the only method that attains higher accuracy than the full-model-fine-tuning baseline. While other PEFT methods (e.g. Intrinsic SAID and prompt tuning) update or introduce fewer parameters, $( \mathtt { I A } ) ^ { 3 }$ performs considerably better. Our results and setting differ with some past work on the PEFT methods we compare against. Mahabadi et al. [28] report that Compacter and Compacter++ outperform full-model fine-tuning, including in the few-shot setting. Lester et al. [14] found that prompt tuning could match full-model fine-tuning, and in subsequent work Wei et al. [48] found that prompt tuning performed well when applied to a multitask fine-tuned model in the few-shot setting. In both cases, we experimented with various hyperparameter choices to try to match past results. We hypothesize the disagreement comes from us using a different model and different datasets. For prompt tuning specifically, we noticed that the validation set performance could fluctuate wildly over the course of training, hinting at possible optimization issues. + +![](images/ec5ffa216af6c47257d616d6cc1d5f6ea60664e581ae772fa7d50daf965b6e9f.jpg) +Figure 2: Accuracy of PEFT methods with $L _ { \mathrm { U L } }$ and $L _ { \mathrm { L N } }$ when applied to T0-3B. Methods that with variable parameter budgets are represented with larger and smaller markers for more or less parameters. + +![](images/4069406d67c113c81e8fa2fa95996a77df0f6f0e675138606ae99952a7f0b0f2.jpg) +Figure 3: Accuracy of different few-shot learning methods. T-Few uses $( \mathtt { I A } ) ^ { 3 }$ for PEFT methods of T0, T0 uses zero-shot learning, and $_ { \mathrm { T 5 + L M } }$ and the GPT-3 variants use few-shot ICL. The $\mathbf { X }$ -axis corresponds to inference costs; details are provided in section 4.2. + +# 3.4 Pre-training (IA)3 + +In recent work, Gu et al. [18], Vu et al. [19] showed that pre-training the prompt embeddings in prompt tuning can improve performance when fine-tuning on downstream few-shot tasks. For pretraining, Gu et al. [18] use a suite of self-supervised tasks applied to unlabeled text data, and $\mathrm { V u }$ et al. [19] consider using embeddings from a separate task or multitask mixture. We follow Vu et al. [19] and simply pre-train the new parameters introduced by $( \mathtt { I A } ) ^ { 3 }$ on the same multitask mixture used to train $\mathrm { T 0 }$ . We pre-train for 100,000 steps with a batch size of 16 before fine-tuning the $( \mathtt { I A } ) ^ { 3 }$ parameters on each individual downstream dataset. A full comparison of accuracy with and without pre-training $( \mathtt { I A } ) ^ { 3 }$ is detailed in appendix D. We find that pre-training improves fine-tuned accuracy from 64.6 to 65.8 and therefore add it to our recipe. + +# 3.5 Combining the ingredients + +In summary, the T-Few recipe is defined as follows: We use the T0 model as a backbone. We add $( \mathtt { I A } ) ^ { 3 }$ for downstream task adaptation and use parameters initialized from pre-training $( \mathtt { I A } ) ^ { 3 }$ on the same multitask mixture for $\mathrm { T 0 }$ . As an objective, we use the sum of a standard language modeling loss $L _ { \mathrm { L M } }$ , an unlikelihood loss $L _ { \mathrm { U L } }$ for incorrect choices, and a length-normalized loss $L _ { \mathrm { L N } }$ . We train for 1,000 steps with a batch size of 8 sequences using the Adafactor optimizer [49] with a learning rate of $3 e ^ { - 3 }$ and a linear decay schedule with a 60-step warmup. We apply prompt templates to downstream datasets during training and inference to convert each example into an instructive text-to-text format. Importantly, we apply this recipe to every downstream dataset in exactly the same way without per-dataset hyperparameter tuning or modifications. This makes the recipe a realistic option for few-shot learning settings where validation sets are tiny by definition [31, 32]. + +# 4 Outperforming ICL with T-Few + +Having designed and established the T-Few recipe on T0-3B, we now apply it to T0 (with 11 billion parameters) and compare performance to strong few-shot ICL baselines. From this point onwards, we use exactly the same recipe and hyperparameters across all tasks. + +# 4.1 Performance on T0 tasks + +First, we evaluate T-Few on the datasets that were held out from T0’s training mixture. We compare against zero-shot learning with T0 [1] (since we found few-shot ICL to performed worse than zeroshot for T0, see appendix E); few-shot ICL with $_ { \mathrm { T 5 + L M } }$ [14] (the next-step-prediction language model upon which T0 is based); and few-shot ICL with the 6.7, 13, and 175 billion parameter variants of GPT-3. See appendix E for more details on these baselines. The accuracy on the held-out T0 datasets (described in section 3.1) is shown in table 1 and fig. 3, with per-dataset results reported in appendix E. We find that T-Few outperforms all other methods by a substantial margin. Notably, T-Few achieves a $6 \%$ higher accuracy than few-shot ICL with GPT-3 175B despite being about $1 6 \times$ smaller and outperforms the smaller GPT-3 variants by an even larger margin. T-Few also attains significantly higher accuracy than both zero-shot learning with T0 and few-shot ICL with $_ { \mathrm { T 5 + L M } }$ . + +
MethodAcc.
T-Few75.8%
Human baseline [2]73.5%
PET[50]69.6%
SetFit [51]66.9%
GPT-3 [4]62.7%
+ +Table 2: Top-5 best methods on RAFT as of writing. T-Few is the first method to outperform the human baseline and achieves over $6 \%$ higher accuracy than the nextbest method. + +
MethodInference FLOPsTraining FLOPsDisk spaceAcc.
T-Few1.1e122.7e164.2 MB72.4%
T0[1]1.1e120OB66.9%
T5+LM[14]4.5e13016 kB49.6%
GPT-3 6.7B [4]5.4e13016 kB57.2%
GPT-3 13B [4]1.0e14016 kB60.3%
GPT-3 175B[4]1.4e15016 kB66.6%
+ +Table 1: Accuracy on held-out T0 tasks and computational costs for different few-shot learning methods and models. T-Few attains the highest accuracy with $1 { , } 0 0 0 \times$ lower computational cost than ICL with GPT-3 175B. Fine-tuning with T-Few costs about as much as ICL on 20 examples with GPT-3 175B. + +# 4.2 Comparing computational costs + +Having established that T-Few significantly outperforms ICL-based models, we now compare the relative costs of each few-shot learning approach. For simplicity, we use the FLOPs-per-token estimates for Transformer-based language models introduced by Kaplan et al. [20]. Specifically, we estimate that a decoder-only Transformer (e.g. the GPT series) with $N$ parameters uses $2 N$ FLOPs per token for inference and $6 N$ FLOPs per token for training. Encoder-decoder models like T0 and T5 (where the encoder and decoder have the same number of layers and layer sizes) only process each token with either the encoder or decoder (each having roughly half the parameters of the full model), so the FLOPs per token estimates are halved to $N$ and $3 N$ FLOPs per token for inference and training. We note that FLOPs are not a direct measurement of real-world computational cost because latency, power usage, and other costs can vary significantly depending on hardware and other factors [52]. However, we focus on FLOPs because it is a hardware-independent metric that closely with real-world costs the hardware setup used for running the different methods we consider would likely vary significantly across methods. We summarize the costs in table 1 and discuss them below. For all estimates, we use the median number of shots (41) across the datasets we consider. Rank evaluation and our unlikelihood loss both require processing every possible output choice to attain a prediction for an unlabeled example. The median combined tokenized sequence length for the input and all possible targets is 103 for the datasets we consider. For in-context examples processed for few-shot ICL, only the correct target is required, producing a median sequence length of 98. Assuming that key and value vectors are cached, processing a single example with ICL therefore involves processing $4 1 \times 9 8 + 1 0 3$ tokens. A summary of our cost estimates is provided in table 1. + +Inference cost. Beyond improved accuracy, the primary advantage of avoiding few-shot ICL is dramatically lower inference costs. Processing a single input and all target choices with T-Few requires $1 1 \mathrm { { e 9 \times 1 0 3 = 1 . 1 \mathrm { { e 1 2 } } } }$ FLOPs, whereas few-shot ICL with GPT-3 175B requires $2 \times 1 7 5 \mathrm { e 9 \times }$ $( 4 1 \times 9 8 + 1 0 3 ) = 1 . 4 \mathrm { { e } 1 5 }$ FLOPs – more than 3 orders of magnitude more. Inference costs with ICL using the smaller GPT-3 variants are also dramatically higher than the inference cost of T-Few. As discussed in section 2.1, caching the key and value vectors of the in-context examples can reduce the computational cost of ICL. However, this would only result in an approximately $4 1 \times$ reduction, which is not nearly enough to make any of the GPT-3 ICL costs as low as T-Few. + +Training cost. Since T-Few is the only method that involves updating parameters, it is the only method that incurs a training cost. Training an eleven billion parameter encoder-decoder model for 1,000 steps with a batch size of 8 length-103 sequences requires approximately $3 \times 1 1 { \mathrm { e 9 } } \times 1 , 0 0 0 \times$ $8 \times 1 0 3 = 2 . 7 { \mathrm { e 1 6 } }$ FLOPs. While not insignificant, this is only about 20 times larger than the FLOPs required to process a single example with few-shot ICL using GPT-3 175B. In other words, training T-Few costs as much as using GPT-3 175B to process 20 examples with few-shot ICL. We also found that fine-tuning T0 with T-Few on a single dataset only takes about a half an hour on a single NVIDIA A100 GPU. As of writing, this would cost about $\$ 2$ USD using Microsoft Azure.2 + +Storage cost. T-Few also incurs the largest storage cost. When stored as single-precision floats, the parameters added by $( \mathtt { I A } ) ^ { 3 }$ take up $4 . 2 \mathrm { M B }$ of space on disk. In contrast, ICL methods only require storing the tokenized in-context examples (typically stored as 32-bit integers), resulting in a smaller $4 1 \times 9 8 \times 3 2$ bits $= 1 6 \mathrm { k B }$ disk space requirement. However, we note that $4 . 2 \mathrm { M B }$ is dwarfed by the on-disk size of the model checkpoints themselves – storing the $( \mathtt { I A } ) ^ { 3 }$ adaptation vectors for 10,000 tasks would take about as much space as the T0 checkpoint (41.5 GB). + +Memory usage. During inference, the primary memory cost is incurred by the model’s parameters. The only model smaller than T0 (used by T-Few) is GPT-3 6.7B; otherwise, T-Few will incur a lower memory cost during inference. Additional memory costs are incurred when training T-Few due to the need to cache intermediate activations for backpropagation and for the gradient accumulator variables in Adafactor. However, as mentioned above, a single 80GB A100 GPU is enough for T-Few. + +# 4.3 Performance on Real-world Few-shot Tasks (RAFT) + +So far, we have run evaluatation on a collection of datasets not explicitly designed for benchmarking few-shot learning. To better evaluate T-Few in the real world, we took our approach to the RAFT benchmark [2]. RAFT comprise 11 “economically valuable” tasks that mirror real-world applications. Importantly, each RAFT datasets has only 50 training examples with no validation set and a (larger) test set with no public labels, so it is impossible to “cheat” by tuning on an unrealistically-large validation set or by peeking at the test set [32, 31]. We apply T-Few to RAFT by using the standard prompts released alongside the dataset. The accuracy of the current top-5 methods is shown in table 2, with further details in appendix G. T-Few attains a state-of-the-art accuracy of $7 5 . 8 \%$ and outperforms the human baseline $7 3 . 5 \%$ accuracy) for the first time. The next-best model (from Schick and Schütze [50]) achieves $6 \%$ lower accuracy and GPT-3 175B attains only $6 2 . 7 \%$ . These results validate that T-Few can be readily applied as-is to novel real-world tasks for strong performance. + +# 4.4 Ablation experiments + +Given that our T-Few design experiments were on T0-3B, we perform an ablation of some of the ingredients of T-Few on T0. Results are shown in appendix F. While the gains from adding each ingredient does not always significant increase the accuracy on each individual dataset, each ingredient consistently improves the average performance across datasets: Removing pre-training decreases accuracy by $1 . 6 \%$ , removing unlikelihood training and length normalization decreases accuracy by $4 . 1 \%$ , and removing both pre-training and our additional loss terms reduces accuracy by $2 . 5 \%$ . + +# 5 Related Work + +Currently, prompt tuning is one of the most parameter-efficient methods for large language models [29, 14, 53]. Liu et al. [54] introduce several tricks to improve prompt tuning, An et al. [55] tune prompts along with input embeddings for boost in performance, and Chen et al. [56] improve prompt embeddings through continued pre-training. Given optimization difficulties when training prompt embeddings, Diao et al. [57] recently used black-box optimization to train prompt embeddings without requiring gradients. Several works have analyzed prompt tuning from the perspective of interpretability Khashabi et al. [58] and its similarity to other PEFT methods He et al. [30]. Prompt tuning has been applied to various applications for NLP including continual learning [59], model robustness [60, 61], summarization [62], machine translation [63], co-training [64], probing language models [65, 65], inverse prompting [66] and transfer learning [67]. He et al. [68] recently proposed the use of a hypernetwork to predict prompts for new tasks (rather than training the prompt parameters with gradient descent). Prompt tuning and other PEFT methods have also been explored outside of the context of language models (e.g. vision [22, 69] and vision-and-language models [26]). + +Separately, various studies have considered few-shot full-model fine-tuning with discrete prompts [70]. Recent work has analyzed training with discrete prompts, demonstrating a boost in performance with prompting when training on various numbers of examples [71], finding that models perform similarly when trained on good and bad prompts [11], and exploring which prompts work well for few-shot and full-shot setting [72]. There have also been efforts to develop methods that find discrete prompts [73, 74] and training prompts using methods similar to prompt tuning [75]. + +There has also been a great deal of work on improving ICL. Chen et al. [5], Min et al. [6] use ICL for meta-learning to perform few-shot learning on new tasks. Lampinen et al. [7] show ICL can improve when explanations are provided and [8] use ICL with text retrieved from the web for open-domain question-answering. Meanwhile, Min et al. [9] analyze how ICL works and show that ICL can still perform well when incorrect labels are provided for the in-context examples. + +With the advent of billion-parameter language models, there has been a great deal of recent interest in PEFT methods and their compatibility in the few-shot setting. Mahabadi et al. [28] found that PEFT outperforms standard fine-tuning in the low-resource setting. In concurrent work, Mahabadi et al. [76] find that PEFT compares favorably in few-shot fine-tuning against discrete prompts (e.g. PET [70]). Also concurrently, Moosavi et al. [77] propose a framework for introducing adapters whose architecture and design vary from task to task and demonstrate improved results in few-shot settings. Gu et al. [18] and Vu et al. [19] both explored how pre-training prompt tuning parameters can improve when limited labeled data is available. For few-shot learning, Triantafillou et al. [78] explore learning universal and dataset dependent parameters that can be blended for generalization. Requeima et al. [79] use conditional neural adaptive processes and Li et al. [80] leverage distillation from multiple feature extractors to learn new classes or domains in few-shot learning. + +# 6 Conclusion + +We introduced T-Few, a parameter-efficient few-shot learning recipe that attains higher accuracy than few-shot ICL at a lower computational cost. T-Few uses (IA)3, a new PEFT method that rescales inner activations with learned vectors. Using $( \mathtt { I A } ) ^ { 3 }$ produces better performance than fine-tuning the full model while introducing minimal additional parameters. T-Few also uses two additional loss terms that encourage the model to output lower probabilities for incorrect choices and account for the length of different answer choices. When applying T-Few as-is (with no task-specific hyperparameter tuning or other changes) to the RAFT benchmark, we attained super-human performance for the first time and outperformed prior submissions by a large margin. Through detailed characterization of computational costs, we found that T-Few uses over $1 { , } 0 0 0 \times$ fewer FLOPs during inference than few-shot ICL with GPT-3 and only requires 30 minutes to train on a single NVIDIA A100 GPU. Since all of our experiments were on classification tasks, we are interested in applying T-Few to generative tasks like as summarization and question answering in future work. We hope our results provide a new perspective on how best to perform few-shot learning with large language models. + +# Acknowledgments and Disclosure of Funding + +We thank Brian Lester and Noah Constant for helpful discussion on debugging prompt tuning and Rabeeh Karimi Mahabadi for help with Compacter and Intrinsic SAID. 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Proceedings of the IEEE/CVF International Conference on Computer Vision., 2021. +[81] Leo Gao, Jonathan Tow, Stella Biderman, Sid Black, Anthony DiPofi, Charles Foster, Laurence Golding, Jeffrey Hsu, Kyle McDonell, Niklas Muennighoff, Jason Phang, Laria Reynolds, Eric Tang, Anish Thite, Ben Wang, Kevin Wang, and Andy Zou. A framework for few-shot language model evaluation, September 2021. URL https://doi.org/10.5281/zenodo.5371628. + +# 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] We compare different PEFT methods in Figure 2 and demonstate PEFT outperforms ICL in section 4. +(b) Did you describe the limitations of your work? [Yes] Section 5 +(c) Did you discuss any potential negative societal impacts of your work? [No] +(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)? [Yes] Included code with README +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] Section 3.1, Section 3.5, Appendix D, H +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] Appendix C, D, E, F, G +(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] Appendix A + +4. 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[N/A] \ No newline at end of file diff --git a/parse/dev/rBCvMG-JsPd/rBCvMG-JsPd_content_list.json b/parse/dev/rBCvMG-JsPd/rBCvMG-JsPd_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..400c59539a9172d12fb949e34cc84081f778db96 --- /dev/null +++ b/parse/dev/rBCvMG-JsPd/rBCvMG-JsPd_content_list.json @@ -0,0 +1,1358 @@ +[ + { + "type": "text", + "text": "Few-Shot Parameter-Efficient Fine-Tuning is Better and Cheaper than In-Context Learning ", + "text_level": 1, + "bbox": [ + 187, + 122, + 812, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Haokun Liu∗ Derek Tam∗ Mohammed Muqeeth∗ ", + "bbox": [ + 312, + 213, + 683, + 228 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jay Mohta Tenghao Huang Mohit Bansal Colin Raffel ", + "bbox": [ + 281, + 236, + 710, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Department of Computer Science University of North Carolina at Chapel Hill {haokunl,dtredsox,muqeeth,craffel}@cs.unc.edu ", + "bbox": [ + 305, + 257, + 691, + 297 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 315, + 535, + 332 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Few-shot in-context learning (ICL) enables pre-trained language models to perform a previously-unseen task without any gradient-based training by feeding a small number of training examples as part of the input. ICL incurs substantial computational, memory, and storage costs because it involves processing all of the training examples every time a prediction is made. Parameter-efficient fine-tuning (PEFT) (e.g. adapter modules, prompt tuning, sparse update methods, etc.) offers an alternative paradigm where a small set of parameters are trained to enable a model to perform the new task. In this paper, we rigorously compare few-shot ICL and PEFT and demonstrate that the latter offers better accuracy as well as dramatically lower computational costs. Along the way, we introduce a new PEFT method called $( \\mathtt { I A } ) ^ { 3 }$ that scales activations by learned vectors, attaining stronger performance while only introducing a relatively tiny amount of new parameters. We also propose a simple recipe based on the T0 model [1] called T-Few that can be applied to new tasks without task-specific tuning or modifications. We validate the effectiveness of T-Few on completely unseen tasks by applying it to the RAFT benchmark [2], attaining super-human performance for the first time and outperforming the state-of-the-art by $6 \\%$ absolute. All of the code used in our experiments is publicly available.1 ", + "bbox": [ + 233, + 349, + 766, + 598 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 626, + 310, + 643 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Pre-trained language models have become a cornerstone of natural language processing, thanks to the fact that they can dramatically improve data efficiency on tasks of interest – i.e., using a pre-trained language model for initialization often produces better results with less labeled data. A historically common approach has been gradient-based fine-tuning on a downstream task of interest with pre-trained parameters as the initialization. While fine-tuning has produced many state-of-the-art results [1], it results in a model specialized for a single task with an entirely new set of parameter values, which can become impractical when fine-tuning on many downstream tasks. ", + "bbox": [ + 174, + 659, + 825, + 756 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "An alternative approach popularized by [3, 4] is in-context learning (ICL), which induces a model to perform a downstream task by inputting prompted examples. Few-shot prompting converts a small collection of input-target pairs into (typically) human-understandable instructions and examples [3, 4], along with a single unlabeled example for which a prediction is desired. Notably, ICL requires no gradient-based training and therefore allows a single model to immediately perform a wide variety of tasks. Performing ICL therefore solely relies on the capabilities that a model learned during pre-training. These characteristics have led to a great deal of recent interest in ICL methods [5–10]. ", + "bbox": [ + 174, + 762, + 825, + 858 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/f3a2decc1db9d1ee4079a3c65d82a4f73bb8450c9cfd81b9e8bca6486d996280.jpg", + "image_caption": [ + "Figure 1: Diagram of $( \\mathtt { I A } ) ^ { 3 }$ and the loss terms used in the T-Few recipe. Left: $( \\mathtt { I A } ) ^ { 3 }$ introduces the learned vectors $l _ { \\mathrm { k } } , l _ { \\mathrm { v } }$ , and $l _ { \\mathrm { f f } }$ which respectively rescale (via element-wise multiplication, visualized as $\\odot$ ) the keys and values in attention mechanisms and the inner activations in position-wise feed-forward networks. Right: In addition to a standard cross-entropy loss $L _ { \\mathrm { L M } }$ , we introduce an unlikelihood loss $L _ { \\mathrm { U L } }$ that lowers the probability of incorrect outputs and a length-normalized loss $L _ { \\mathrm { L N } }$ that applies a standard softmax cross-entropy loss to length-normalized log-probabilities of all output choices. " + ], + "image_footnote": [], + "bbox": [ + 174, + 88, + 826, + 194 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Despite the practical benefits of ICL, it has several major drawbacks. First, processing all prompted input-target pairs every time the model makes a prediction incurs significant compute costs. Second, ICL typically produces inferior performance compared to fine-tuning [4]. Finally, the exact formatting of the prompt (including the wording [11] and ordering of examples [12]) can have significant and unpredictable impact on the model’s performance, far beyond inter-run variation of fine-tuning. Recent work has also demonstrated that ICL can perform well even when provided with incorrect labels, raising questions as to how much learning is taking place at all [9]. ", + "bbox": [ + 173, + 327, + 825, + 425 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "An additional paradigm for enabling a model to perform a new task with minimal updates is parameterefficient fine-tuning (PEFT), where a pre-trained model is fine-tuned by only updating a small number of added or selected parameters. Recent methods have matched the performance of fine-tuning the full model while only updating or adding a small fraction (e.g. $0 . 0 1 \\%$ ) of the full model’s parameters [13, 14]. Furthermore, certain PEFT methods allow mixed-task batches where different examples in a batch are processed differently [14], making both PEFT and ICL viable for multitask models. ", + "bbox": [ + 174, + 431, + 825, + 515 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "While the benefits of PEFT address some shortcomings of fine-tuning (when compared to ICL), there has been relatively little focus on whether PEFT methods work well when very little labeled data is available. Our primary goal in this paper is to close this gap by proposing a recipe – i.e., a model, a PEFT method, and a fixed set of hyperparameters – that attains strong performance on novel, unseen tasks while only updating a tiny fraction of the model’s parameters. Specifically, we base our approach on the T0 model [1], a variant of T5 [15] fine-tuned on a multitask mixture of prompted datasets. To improve performance on classification and multiple-choice tasks, we add unlikelihood [16, 17] and length normalization-based [4] loss terms. In addition, we develop (IA)3, a PEFT method that multiplies intermediate activations by learned vectors. $( \\mathtt { I A } ) ^ { 3 }$ attains stronger performance than full-model fine-tuning while updating up to $1 0 { , } 0 0 0 \\times$ fewer parameters. Finally, we demonstrate the benefits of pre-training the $( \\mathtt { I A } ) ^ { \\tilde { 3 } }$ parameters before fine-tuning [18, 19]. Our overall recipe, which we dub “T-Few”, performs significantly better than ICL (even against $1 6 \\times$ larger models) and outperforms humans for the first time on the real-world few-shot learning benchmark RAFT [2] while requiring dramatically less compute and allowing for mixed-task batches during inference. To facilitate the use of T-Few on new problems and future research on PEFT, we release our code.1 ", + "bbox": [ + 174, + 520, + 825, + 727 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "After providing background on ICL and PEFT in the following section, we discuss the design of T-Few in section 3. In section 4, we present experiments comparing T-Few to strong ICL baselines. Finally, we discuss related work in section 5 and conclude in section 6. ", + "bbox": [ + 176, + 734, + 825, + 776 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Background ", + "text_level": 1, + "bbox": [ + 174, + 813, + 308, + 830 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this section, we provide am verview of ICL and PEFT with a focus on characterizing the computation, memory, and on-disk storage costs of making a prediction. Real-world costs depend on implementation and hardware, so we report costs in terms of FLOPs for computation and bytes for memory and storage, respectively. Additional related work is discussed in section 5. ", + "bbox": [ + 176, + 854, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 Few-shot in-context learning (ICL) ", + "text_level": 1, + "bbox": [ + 176, + 92, + 454, + 106 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "ICL [3, 4] aims to induce a model to perform a task by feeding in concatenated and prompted input-target examples (called “shots”) along with an unlabeled query example. Taking the cycled letter task from Brown et al. [4] as an example, a 4-shot input or context would be “Please unscramble the letters into a word, and write that word: asinoc $=$ casino, yfrogg $=$ froggy, plesim $=$ simple, iggestb $=$ biggest, astedro $= ^ { \\ast }$ , for which the desired output would be “roasted”. ICL induces an autoregressive language model to perform this task by feeding in the context and sampling from the model. For classification tasks, each label is associated with a string (e.g. “positive” and “negative” for sentiment analysis) and a label is assigned by choosing the label string that the model assigns the highest probability to. For multiple-choice tasks (e.g. choosing between $N$ possible answers to a question), the model’s prediction is similarly determined by determining which choice is assigned the highest probability. ", + "bbox": [ + 174, + 121, + 825, + 273 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The primary advantage of ICL is that it enables a single model to perform many tasks immediately without fine-tuning. This also enables mixed-task batches, where different examples in a batch of data correspond to different tasks by using different contexts in the input. ICL is also typically performed with only a limited number of labeled examples – called few-shot learning – making it data-efficient. ", + "bbox": [ + 174, + 280, + 825, + 335 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Despite these advantages, ICL comes with significant practical drawbacks: First, making a prediction is dramatically more expensive because the model needs to process all of the in-context labeled examples. Specifically, ignoring the quadratic complexity of self-attention operations in Transformer language models (which are typically small compared to the costs of the rest of the model [20]), processing the $k$ training examples for $k$ -shot ICL increases the computational cost by approximately $k + 1$ times compared to processing the unlabeled example alone. Memory costs similarly scale approximately linearly with $k$ , though during inference the memory costs are typically dominated by storing the model’s parameters. Separately, there is a small amount of on-disk storage required for storing the in-context examples for a given task. For example, storing 32 examples for a task where the prompted input and target for each example is 512 tokens long would require about 66 kilobytes of storage on disk (32 examples $\\times \\ 5 1 2$ tokens $\\times \\ 3 2$ bits). ", + "bbox": [ + 174, + 342, + 825, + 493 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Beyond the aforementioned costs, ICL also exhibits unintuitive behavior. Zhao et al. [12] showed that the ordering of examples in the context heavily influences the model’s predictions. Min et al. [9] showed that ICL can still perform well even if the in-context example labels are swapped (i.e. made incorrect), which raises questions about whether ICL is really “learning” from the labeled examples. ", + "bbox": [ + 174, + 500, + 825, + 555 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Various approaches have been proposed to mitigate these issues. One way to decrease computational costs is to cache the key and value vectors for in-context examples. This is possible because decoderonly Transformer language models have a causal masking pattern, so the model’s activations for the context do not do not depend on the unlabeled example. In an extreme case, 32-shot ICL with 512 tokens per in-context example would result in over 144 gigabytes of cached key and value vectors for the GPT-3 model (32 examples $\\times \\ 5 1 2 \\ \\mathrm { t o k e n s \\times 9 6 \\ l a y e r s \\times 1 2 2 8 8 \\mathrm { d _ { m o d e l } \\times 3 2 } }$ bits each for the key and value vectors). Separately, Min et al. [21] proposed ensemble $I C L$ , where instead of using the output probability from concatenating the $k$ training examples, the output probabilities of the model on each training example (i.e. 1-shot ICL for each of the $k$ examples) are multiplied together. This lowers the non-parameter memory cost by a factor of $k / 2$ but increases the computational cost by a factor of 2. In terms of task performance, Min et al. [21] find that ensemble ICL outperforms the standard concatenative variant. ", + "bbox": [ + 174, + 563, + 825, + 728 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 Parameter-efficient fine-tuning ", + "text_level": 1, + "bbox": [ + 176, + 756, + 426, + 771 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "While standard fine-tuning updates all parameters of the pre-trained model, it has been demonstrated that it is possible to instead update or add a relatively small number of parameters. Early methods proposed adding adapters [22–24], which are small trainable feed-forward networks inserted between the layers in the fixed pre-trained model. Since then, various sophisticated PEFT methods have been proposed, including methods that choose a sparse subset of parameters to train [25, 26], produce low-rank updates [13], perform optimization in a lower-dimensional subspace [27], add low-rank adapters using hypercomplex multiplication [28], and more. Relatedly, prompt tuning [14] and prefix tuning [29] concatenate learned continuous embeddings to the model’s input or activations to induce it to perform a task; this can be seen as a PEFT method [30]. State-of-the-art PEFT methods can match the performance of fine-tuning all of the model’s parameters while updating only a tiny fraction (e.g. $0 . 0 1 \\%$ ) of the model’s parameters. ", + "bbox": [ + 174, + 786, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 92, + 823, + 119 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "PEFT drastically reduces the memory and storage requirements for training and saving the model. In addition, certain PEFT methods straightforwardly allow mixed-task batches – for example, prompt tuning enables a single model to perform many tasks simply by concatenating different prompt embeddings to each example in the batch [14]. On the other hand, PEFT methods that re-parameterize the model (e.g. [27, 13]) are costly or onerous for mixed-task batches. Separately, different PEFT methods increase the computation and memory required to perform inference by different amounts. For example, adapters effectively add additional (small) layers to the model, resulting in small but non-negligible increases in computational costs and memory. An additional cost incurred by PEFT is the cost of fine-tuning itself, which must be performed once and is then amortized as the model is used for inference. However, we will show that PEFT can be dramatically more computationally efficient when considering both fine-tuning and inference while achieving better accuracy than ICL. ", + "bbox": [ + 174, + 126, + 825, + 279 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 Designing the T-Few Recipe ", + "text_level": 1, + "bbox": [ + 176, + 297, + 436, + 315 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Given that PEFT allows a model to be adapted to a new task with relatively small storage requirements and computational cost, we argue that PEFT presents a promising alternative to ICL. Our goal is therefore to develop a recipe that allows a model to attain high accuracy on new tasks with limited labeled examples while allowing mixed-task batches during inference and incurring minimal computational and storage costs. By recipe, we mean a specific model and hyperparameter setting that provides strong performance on any new task without manual tuning or per-task adjustments. In this way, we can ensure that our approach is a realistic option in few-shot settings where limited labeled data is available for evaluation [31, 32]. ", + "bbox": [ + 174, + 329, + 825, + 440 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 Model and Datasets ", + "text_level": 1, + "bbox": [ + 174, + 458, + 349, + 472 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "As a first step, we must choose a pre-trained model. Ideally, the model should attain high performance on new tasks after fine-tuning on a limited number of labeled examples. In preliminary experiments applying PEFT methods to different pre-trained models, we attained the best performance with T0 [1]. T0 is based on T5 [15], an encoder-decoder Transformer model [33] that was pre-trained via a masked language modeling objective [34] on a large corpus of unlabeled text data. T0 was created by fine-tuning T5 on a multitask mixture of datasets in order to enable zero-shot generalization, i.e. the ability to perform tasks without any additional gradient-based training. Examples in the datasets used to train T0 were prompted by applying the prompt templates from the Public Pool of Prompts (P3 [35]), which convert each example in each dataset to a prompted text-to-text format where each label corresponds to a different string. For brevity, we omit a detailed description of T0 and T5; interested readers can refer to Sanh et al. [1] and Raffel et al. [15]. T0 was released in three billion and eleven billion parameter variants, referred to as “T0-3B” and simply “T0” respectively. In this section (where our goal is to design the T-Few recipe through extensive experimentation), we use T0-3B to reduce computational costs. For all models and experiments, we use Hugging Face Transformers [36]. ", + "bbox": [ + 174, + 484, + 825, + 676 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "While T0 was designed for zero-shot generalization, we will demonstrate that it also attains strong performance after fine-tuning with only a few labeled examples. To test T0’s generalization, Sanh et al. [1] chose a set of tasks (and corresponding datasets) to hold out from the multitask training mixture – specifically, sentence completion (COPA [37], H-SWAG [38], and Story Cloze [39] datasets), natural language inference (ANLI [40], CB [41], and RTE [42]), coreference resolution (WSC [43] and Winogrande [44]), and word sense disambiguation (WiC [45]). Evaluation of generalization capabilities can then be straightforwardly done by measuring performance on these held-out datasets. We also will later test T-Few’s abilities in the RAFT benchmark [2] in section 4.3, a collection of unseen “real-world” few-shot tasks with no validation set and a held-out test set. ANLI, WiC, WSC is licensed under a Creative Commons License. Winogrande is licensed under an Apache license. COPA is under a BSD-2 Clause license. We could not find the license of RTE and CB but they are part of SuperGLUE which mentions the datasets are allowed for use in research context. ", + "bbox": [ + 173, + 683, + 825, + 849 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To ease comparison, we use the same number of few-shot training examples for each dataset as Brown et al. [4], which varies from 20 to 70. Unfortunately, the few-shot dataset subsets used by Brown et al. [4] have not been publicly disclosed. To allow for a more robust comparison, we therefore constructed five few-shot datasets by sampling subsets with different seeds and report the median and interquartile range. We prompt examples using a randomly-sampled prompt template from P3 Bach et al. [35] for each example at each step. Unless otherwise stated, we train our model for 1K steps with a batch size of 8 and report performance at the end of training. ", + "bbox": [ + 174, + 856, + 823, + 911 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 133 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "For evaluation, we use “rank classification”, where the model’s log-probabilities for all possible label strings are ranked and the model’s prediction is considered correct if the highest-ranked choice is the correct answer. Rank classification evaluation is compatible with both classification and multiplechoice tasks. Since model performance can vary significantly depending on the prompt template used, we report the median accuracy across all prompt templates from P3 and across few-shot data subsets for each dataset. For all datasets, we report the accuracy on the test set or validation set when the test labels are not public (e.g. SuperGLUE datasets). In the main text, we report median accuracy across the nine datasets mentioned above. Detailed results on each dataset are provided in the appendices. ", + "bbox": [ + 173, + 138, + 825, + 251 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 Unlikelihood Training and Length Normalization ", + "text_level": 1, + "bbox": [ + 174, + 267, + 557, + 282 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Before investigating PEFT methods, we first explore two additional loss terms to improve the performance of few-shot fine-tuning of language models. Language models are normally trained with cross-entropy loss $\\begin{array} { r } { L _ { \\mathrm { L M } } = - \\frac { 1 } { T } \\sum _ { t } \\log \\bar { p } ( y _ { t } | \\mathbf { x } , y _ { < t } ) } \\end{array}$ where the model is trained to increase the probability of the correct target sequence $\\mathbf { y } = ( y _ { 1 } , y _ { 2 } , \\dots y _ { T } )$ given the input sequence $\\mathbf { x }$ . ", + "bbox": [ + 173, + 292, + 825, + 349 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "For evaluation, we use rank classification (described in section 3.1) which depends on both the probabilities that the model assigns to the correct choice as well as the incorrect choices. To account for this during training, we add an unlikelihood loss [16, 17]: ", + "bbox": [ + 176, + 354, + 823, + 397 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/09597e6adfa17b86f3b9c5cf1f08d608571afbd01f372ddf3b09c30cd5f1d152.jpg", + "text": "$$\nL _ { \\mathrm { U L } } = - \\frac { \\sum _ { n = 1 } ^ { N } \\sum _ { t = 1 } ^ { T ^ { ( n ) } } \\log ( 1 - p ( \\hat { y } _ { i } ^ { ( n ) } | \\mathbf { x } , \\hat { y } _ { < t } ^ { ( n ) } ) ) } { \\sum _ { n = 1 } ^ { N } T ^ { ( n ) } }\n$$", + "text_format": "latex", + "bbox": [ + 336, + 404, + 660, + 448 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "which discourages the model from predicting tokens from incorrect target sequences, where $\\hat { \\mathbf { y } } ^ { ( n ) } =$ $\\left( \\hat { y } _ { 1 } , \\hat { y } _ { 2 } , \\dots , \\hat { y } _ { T ^ { ( n ) } } \\right)$ is the $n$ -th of $N$ incorrect target sequences. We hypothesize that adding $L _ { \\mathrm { U L } }$ will improve results on rank classification because the model will be trained to assign lower probabilities to incorrect choices, thereby improving the chance that the correct choice is ranked highest. ", + "bbox": [ + 174, + 455, + 825, + 511 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The possible target sequences for a given training example can have significantly different lengths, especially in multiple-choice tasks. Ranking each choice based on probability can therefore “favor” shorter choices because the model’s assigned probability to each token is $\\leq 1$ . To rectify this, we consider using length normalization when performing rank classification, which divides the model’s score on each possible answer choice by the number of tokens in the choice (as used in GPT-3 [4]). When using length normalization during evaluation, we introduce an additional loss term during training that more closely reflects length-normalized evaluation. First, we compute the length-normalized log probability of a given output sequence $\\begin{array} { r } { \\beta ( \\mathbf { x } , \\mathbf { y } ) = \\frac { 1 } { T } \\sum _ { t = 1 } ^ { T } \\log p ( y _ { t } | \\mathbf { \\bar { x } } , y _ { < t } ) } \\end{array}$ . Then, we maximize the length-normalized log probability of the correct answer choice by minimizing the softmax cross-entropy loss: ", + "bbox": [ + 173, + 517, + 826, + 659 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/6bebee14ad649a0aab42ace70b0e9e373d5e77b5b6427bc54162cd106dc05588.jpg", + "text": "$$\nL _ { \\mathrm { L N } } = - \\log \\frac { \\exp ( \\beta ( \\mathbf { x } , \\mathbf { y } ) ) } { \\exp ( \\beta ( \\mathbf { x } , \\mathbf { y } ) ) + \\sum _ { n = 1 } ^ { N } \\exp ( \\beta ( \\mathbf { x } , \\hat { \\mathbf { y } } ^ { ( n ) } ) ) }\n$$", + "text_format": "latex", + "bbox": [ + 318, + 665, + 678, + 704 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "When training a model with $L _ { \\mathrm { L M } } , L _ { \\mathrm { U L } }$ , and $L _ { \\mathrm { L N } }$ , we simply sum them. This avoids introducing any hyperparameters that would be problematic to tune in the few-shot setting (where realistically-sized validation sets are tiny by necessity [31, 32]). ", + "bbox": [ + 174, + 709, + 823, + 752 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We report the results of fine-tuning all of T0-3B’s parameters with and without length normalization on all datasets in appendix B. We find that adding $L _ { \\mathrm { L N } }$ improves the accuracy from $6 0 . 7 \\%$ to $6 2 . 7 1 \\%$ and including both $L _ { \\mathrm { U L } }$ and $L _ { \\mathrm { L N } }$ provides a further improvement to $6 3 . 3 \\%$ . Since these loss terms improve performance without introducing any additional hyperparameters, we include them in our recipe and use them in all following experiments. ", + "bbox": [ + 174, + 757, + 825, + 827 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 Parameter-efficient fine-tuning with (IA)3 ", + "text_level": 1, + "bbox": [ + 173, + 843, + 506, + 858 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In order to compare favorably to few-shot ICL, we need a PEFT method that has the following properties: First, it must add or update as few parameters as possible to avoid incurring storage and memory costs. Second, it should achieve strong accuracy after few-shot training on new tasks. ", + "bbox": [ + 174, + 868, + 825, + 911 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Finally, it must allow for mixed-task batches, since that is a capability of ICL. In order to easily enable mixed-task batches, a PEFT method should ideally not modify the model itself. Otherwise, each example in a batch would effectively need to be processed by a different model or computational graph. A more convenient alternative is provided by methods that directly modify the activations of the model since this can be done independently and cheaply to each example in the batch according to which task the example corresponds to. Prompt tuning and prefix tuning methods [14, 29] work by concatenating learned vectors to activation or embedding sequences and are therefore examples of activation-modifying PEFT methods that allow for mixed-task batches. However, as we will discuss later, we were unable to attain reasonable accuracy with prompt tuning and found that the more performant PEFT methods did not allow for mixed-task batches. We therefore developed a new PEFT method that meets our desiderata. ", + "bbox": [ + 174, + 90, + 825, + 243 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "As an alternative, we explored element-wise multiplication (i.e. rescaling) of the model’s activations against a learned vector. Specifically, we consider adaptation of the form $l \\odot x$ where $l \\in \\mathbb { R } ^ { d }$ is a learned task-specific vector, $\\odot$ represents element-wise multiplication, and $\\boldsymbol { x } \\in \\mathbb { R } ^ { T \\times d }$ is a length- $T$ sequence of activations. We use “broadcasting notation” [46] so that the $( i , j ) ^ { \\mathrm { t h } }$ entry of $l \\odot x$ is $l _ { j } x _ { i , j }$ In preliminary experiments, we found it was not necessary to introduce a learned rescaling vector for each set of activations in the Transformer model. Instead, we found it was sufficient to introduce rescaling vectors on the keys and values in self-attention and encoder-decoder attention mechanisms and on the intermediate activation of the position-wise feed-forward networks. Specifically, using the notation from Vaswani et al. [33], we introduce three learned vectors $l _ { \\mathbf { k } } \\in \\mathbb { R } ^ { \\hat { d } _ { \\mathbf { k } } } , l _ { \\mathbf { v } } \\in \\mathbb { R } ^ { \\hat { d } _ { \\mathbf { v } } }$ , and $l _ { \\mathrm { f f } } \\in \\mathbb { R } ^ { d _ { \\mathrm { f f } } }$ , which are introduced into the attention mechanisms as: ", + "bbox": [ + 174, + 250, + 825, + 388 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/ea464786d6df4a5cf212c9add5baf0056ab43c59bad7c04cf8d7096f728c58ee.jpg", + "text": "$$\n\\mathrm { s o f t m a x } \\left( \\frac { Q ( l _ { \\mathrm { k } } \\odot K ^ { T } ) } { \\sqrt { d _ { k } } } \\right) ( l _ { \\mathrm { v } } \\odot V )\n$$", + "text_format": "latex", + "bbox": [ + 382, + 393, + 616, + 429 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "and in the position-wise feed-forward networks as $( l _ { \\mathrm { f f } } \\odot \\gamma ( W _ { 1 } x ) ) W _ { 2 }$ , where $\\gamma$ is the feed-forward network nonlinearity. We introduce a separate set of $l _ { \\mathrm { k } } , l _ { \\mathrm { v } }$ , and $l _ { \\mathrm { f f } }$ vectors in each Transformer layer block. This adds a total of $L ( d _ { k } + d _ { v } + \\bar { d } _ { \\mathrm { f f } } )$ new parameters for a $L$ -layer-block Transformer encoder and $L ( 2 d _ { k } + 2 d _ { v } + d _ { \\mathrm { f f } } )$ (with factors of 2 accounting for the presence of both self-attention and encoder-decoder attention) for a $L$ -layer-block decoder. $l _ { \\mathrm { k } } , l _ { \\mathrm { v } }$ , and $l _ { \\mathrm { f f } }$ are all initialized with ones so that the overall function computed by the model does not change when they are added. We call our method $( \\mathtt { I A } ) ^ { 3 }$ , which stands for “Infused Adapter by Inhibiting and Amplifying Inner Activations”. ", + "bbox": [ + 174, + 435, + 825, + 532 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$( \\mathtt { I A } ) ^ { 3 }$ makes mixed-task batches possible because each sequence of activations in the batch can be separately and cheaply multiplied by its associated learned task vector. We also note that, in the event that a model will only be used on a single task, the modifications introduced by $( \\mathtt { I A } ) ^ { 3 }$ can also be applied to weight matrices permanently so that no elementwise multiplication is required and the model’s architecture remains unchanged. This possible because element-wise multiplications performed in $( \\mathtt { I A } ) ^ { 3 }$ always co-occur with a matrix multiplication, and $l \\odot W x = ( l \\odot W ) x$ . In this case, our method incurs no additional computational cost compared to the original model. ", + "bbox": [ + 174, + 537, + 825, + 636 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To validate (IA)3, we compare it to a large variety of existing adaptation methods in our setting of fine-tuning T0-3B on few-shot datasets from held-out tasks. Specifically, we compare with 9 strong PEFT methods: BitFit [47] which updates only the bias parameters; Adapters [23] which introduce task-specific layers after the self-attention and position-wise feed-forward networks; Compacter and Compacter $^ { + + }$ [28] which improve upon adapters by using low-rank matrices and hypercomplex multiplication; prompt tuning [14] which learns task-specific prompt embeddings that are concatenated to the model’s input; FISH Mask [26] which chooses a subset of parameters to update based on their approximate Fisher information; Intrinsic SAID [27] which performs optimization in a low-dimensional subspace; prefix-tuning [29] which learns task-specific vectors that are concatenated to the model’s activations; and LoRA [13] which assigns low-rank updates to parameter matrices. Additionally, we include the baselines of full-model fine-tuning and updating only the layer normalization parameters. For certain methods that allow changing the parameter efficiency, we report results for different budgets: $0 . 2 \\%$ and $0 . 0 2 \\%$ sparsity for FISH Mask, 10 and 100 learned prompt vectors for prompt tuning, and 20,000- or 500,000-dimensional subspaces for Intrinsic SAID. ", + "bbox": [ + 173, + 641, + 826, + 835 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The results are shown in fig. 2, with detailed per-dataset results in appendix C. We find that (IA)3 is the only method that attains higher accuracy than the full-model-fine-tuning baseline. While other PEFT methods (e.g. Intrinsic SAID and prompt tuning) update or introduce fewer parameters, $( \\mathtt { I A } ) ^ { 3 }$ performs considerably better. Our results and setting differ with some past work on the PEFT methods we compare against. Mahabadi et al. [28] report that Compacter and Compacter++ outperform full-model fine-tuning, including in the few-shot setting. Lester et al. [14] found that prompt tuning could match full-model fine-tuning, and in subsequent work Wei et al. [48] found that prompt tuning performed well when applied to a multitask fine-tuned model in the few-shot setting. In both cases, we experimented with various hyperparameter choices to try to match past results. We hypothesize the disagreement comes from us using a different model and different datasets. For prompt tuning specifically, we noticed that the validation set performance could fluctuate wildly over the course of training, hinting at possible optimization issues. ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 90, + 826, + 189 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/ec5ffa216af6c47257d616d6cc1d5f6ea60664e581ae772fa7d50daf965b6e9f.jpg", + "image_caption": [ + "Figure 2: Accuracy of PEFT methods with $L _ { \\mathrm { U L } }$ and $L _ { \\mathrm { L N } }$ when applied to T0-3B. Methods that with variable parameter budgets are represented with larger and smaller markers for more or less parameters. " + ], + "image_footnote": [], + "bbox": [ + 183, + 207, + 477, + 482 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/4069406d67c113c81e8fa2fa95996a77df0f6f0e675138606ae99952a7f0b0f2.jpg", + "image_caption": [ + "Figure 3: Accuracy of different few-shot learning methods. T-Few uses $( \\mathtt { I A } ) ^ { 3 }$ for PEFT methods of T0, T0 uses zero-shot learning, and $_ { \\mathrm { T 5 + L M } }$ and the GPT-3 variants use few-shot ICL. The $\\mathbf { X }$ -axis corresponds to inference costs; details are provided in section 4.2. " + ], + "image_footnote": [], + "bbox": [ + 519, + 210, + 816, + 449 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "3.4 Pre-training (IA)3 ", + "text_level": 1, + "bbox": [ + 174, + 579, + 343, + 594 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In recent work, Gu et al. [18], Vu et al. [19] showed that pre-training the prompt embeddings in prompt tuning can improve performance when fine-tuning on downstream few-shot tasks. For pretraining, Gu et al. [18] use a suite of self-supervised tasks applied to unlabeled text data, and $\\mathrm { V u }$ et al. [19] consider using embeddings from a separate task or multitask mixture. We follow Vu et al. [19] and simply pre-train the new parameters introduced by $( \\mathtt { I A } ) ^ { 3 }$ on the same multitask mixture used to train $\\mathrm { T 0 }$ . We pre-train for 100,000 steps with a batch size of 16 before fine-tuning the $( \\mathtt { I A } ) ^ { 3 }$ parameters on each individual downstream dataset. A full comparison of accuracy with and without pre-training $( \\mathtt { I A } ) ^ { 3 }$ is detailed in appendix D. We find that pre-training improves fine-tuned accuracy from 64.6 to 65.8 and therefore add it to our recipe. ", + "bbox": [ + 174, + 604, + 825, + 731 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "3.5 Combining the ingredients ", + "text_level": 1, + "bbox": [ + 174, + 747, + 398, + 762 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In summary, the T-Few recipe is defined as follows: We use the T0 model as a backbone. We add $( \\mathtt { I A } ) ^ { 3 }$ for downstream task adaptation and use parameters initialized from pre-training $( \\mathtt { I A } ) ^ { 3 }$ on the same multitask mixture for $\\mathrm { T 0 }$ . As an objective, we use the sum of a standard language modeling loss $L _ { \\mathrm { L M } }$ , an unlikelihood loss $L _ { \\mathrm { U L } }$ for incorrect choices, and a length-normalized loss $L _ { \\mathrm { L N } }$ . We train for 1,000 steps with a batch size of 8 sequences using the Adafactor optimizer [49] with a learning rate of $3 e ^ { - 3 }$ and a linear decay schedule with a 60-step warmup. We apply prompt templates to downstream datasets during training and inference to convert each example into an instructive text-to-text format. Importantly, we apply this recipe to every downstream dataset in exactly the same way without per-dataset hyperparameter tuning or modifications. This makes the recipe a realistic option for few-shot learning settings where validation sets are tiny by definition [31, 32]. ", + "bbox": [ + 174, + 772, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 Outperforming ICL with T-Few ", + "text_level": 1, + "bbox": [ + 176, + 88, + 470, + 107 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Having designed and established the T-Few recipe on T0-3B, we now apply it to T0 (with 11 billion parameters) and compare performance to strong few-shot ICL baselines. From this point onwards, we use exactly the same recipe and hyperparameters across all tasks. ", + "bbox": [ + 176, + 119, + 825, + 162 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.1 Performance on T0 tasks ", + "text_level": 1, + "bbox": [ + 174, + 178, + 387, + 193 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "First, we evaluate T-Few on the datasets that were held out from T0’s training mixture. We compare against zero-shot learning with T0 [1] (since we found few-shot ICL to performed worse than zeroshot for T0, see appendix E); few-shot ICL with $_ { \\mathrm { T 5 + L M } }$ [14] (the next-step-prediction language model upon which T0 is based); and few-shot ICL with the 6.7, 13, and 175 billion parameter variants of GPT-3. See appendix E for more details on these baselines. The accuracy on the held-out T0 datasets (described in section 3.1) is shown in table 1 and fig. 3, with per-dataset results reported in appendix E. We find that T-Few outperforms all other methods by a substantial margin. Notably, T-Few achieves a $6 \\%$ higher accuracy than few-shot ICL with GPT-3 175B despite being about $1 6 \\times$ smaller and outperforms the smaller GPT-3 variants by an even larger margin. T-Few also attains significantly higher accuracy than both zero-shot learning with T0 and few-shot ICL with $_ { \\mathrm { T 5 + L M } }$ . ", + "bbox": [ + 173, + 203, + 825, + 342 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/026d7440548c8e41af0452784eff74061f5ca36d54a6d8e830c3887d67b4abe2.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
MethodAcc.
T-Few75.8%
Human baseline [2]73.5%
PET[50]69.6%
SetFit [51]66.9%
GPT-3 [4]62.7%
", + "bbox": [ + 607, + 348, + 823, + 448 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/40b321b5687eae32a98d4d450f37e95533e02b8c81b7852cb682c522236b082d.jpg", + "table_caption": [ + "Table 2: Top-5 best methods on RAFT as of writing. T-Few is the first method to outperform the human baseline and achieves over $6 \\%$ higher accuracy than the nextbest method. " + ], + "table_footnote": [], + "table_body": "
MethodInference FLOPsTraining FLOPsDisk spaceAcc.
T-Few1.1e122.7e164.2 MB72.4%
T0[1]1.1e120OB66.9%
T5+LM[14]4.5e13016 kB49.6%
GPT-3 6.7B [4]5.4e13016 kB57.2%
GPT-3 13B [4]1.0e14016 kB60.3%
GPT-3 175B[4]1.4e15016 kB66.6%
", + "bbox": [ + 176, + 348, + 588, + 474 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Table 1: Accuracy on held-out T0 tasks and computational costs for different few-shot learning methods and models. T-Few attains the highest accuracy with $1 { , } 0 0 0 \\times$ lower computational cost than ICL with GPT-3 175B. Fine-tuning with T-Few costs about as much as ICL on 20 examples with GPT-3 175B. ", + "bbox": [ + 173, + 481, + 591, + 551 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.2 Comparing computational costs ", + "text_level": 1, + "bbox": [ + 176, + 568, + 434, + 582 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Having established that T-Few significantly outperforms ICL-based models, we now compare the relative costs of each few-shot learning approach. For simplicity, we use the FLOPs-per-token estimates for Transformer-based language models introduced by Kaplan et al. [20]. Specifically, we estimate that a decoder-only Transformer (e.g. the GPT series) with $N$ parameters uses $2 N$ FLOPs per token for inference and $6 N$ FLOPs per token for training. Encoder-decoder models like T0 and T5 (where the encoder and decoder have the same number of layers and layer sizes) only process each token with either the encoder or decoder (each having roughly half the parameters of the full model), so the FLOPs per token estimates are halved to $N$ and $3 N$ FLOPs per token for inference and training. We note that FLOPs are not a direct measurement of real-world computational cost because latency, power usage, and other costs can vary significantly depending on hardware and other factors [52]. However, we focus on FLOPs because it is a hardware-independent metric that closely with real-world costs the hardware setup used for running the different methods we consider would likely vary significantly across methods. We summarize the costs in table 1 and discuss them below. For all estimates, we use the median number of shots (41) across the datasets we consider. Rank evaluation and our unlikelihood loss both require processing every possible output choice to attain a prediction for an unlabeled example. The median combined tokenized sequence length for the input and all possible targets is 103 for the datasets we consider. For in-context examples processed for few-shot ICL, only the correct target is required, producing a median sequence length of 98. Assuming that key and value vectors are cached, processing a single example with ICL therefore involves processing $4 1 \\times 9 8 + 1 0 3$ tokens. A summary of our cost estimates is provided in table 1. ", + "bbox": [ + 173, + 592, + 825, + 868 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Inference cost. Beyond improved accuracy, the primary advantage of avoiding few-shot ICL is dramatically lower inference costs. Processing a single input and all target choices with T-Few requires $1 1 \\mathrm { { e 9 \\times 1 0 3 = 1 . 1 \\mathrm { { e 1 2 } } } }$ FLOPs, whereas few-shot ICL with GPT-3 175B requires $2 \\times 1 7 5 \\mathrm { e 9 \\times }$ $( 4 1 \\times 9 8 + 1 0 3 ) = 1 . 4 \\mathrm { { e } 1 5 }$ FLOPs – more than 3 orders of magnitude more. Inference costs with ICL using the smaller GPT-3 variants are also dramatically higher than the inference cost of T-Few. As discussed in section 2.1, caching the key and value vectors of the in-context examples can reduce the computational cost of ICL. However, this would only result in an approximately $4 1 \\times$ reduction, which is not nearly enough to make any of the GPT-3 ICL costs as low as T-Few. ", + "bbox": [ + 173, + 883, + 820, + 911 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 90, + 825, + 174 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Training cost. Since T-Few is the only method that involves updating parameters, it is the only method that incurs a training cost. Training an eleven billion parameter encoder-decoder model for 1,000 steps with a batch size of 8 length-103 sequences requires approximately $3 \\times 1 1 { \\mathrm { e 9 } } \\times 1 , 0 0 0 \\times$ $8 \\times 1 0 3 = 2 . 7 { \\mathrm { e 1 6 } }$ FLOPs. While not insignificant, this is only about 20 times larger than the FLOPs required to process a single example with few-shot ICL using GPT-3 175B. In other words, training T-Few costs as much as using GPT-3 175B to process 20 examples with few-shot ICL. We also found that fine-tuning T0 with T-Few on a single dataset only takes about a half an hour on a single NVIDIA A100 GPU. As of writing, this would cost about $\\$ 2$ USD using Microsoft Azure.2 ", + "bbox": [ + 173, + 190, + 825, + 300 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Storage cost. T-Few also incurs the largest storage cost. When stored as single-precision floats, the parameters added by $( \\mathtt { I A } ) ^ { 3 }$ take up $4 . 2 \\mathrm { M B }$ of space on disk. In contrast, ICL methods only require storing the tokenized in-context examples (typically stored as 32-bit integers), resulting in a smaller $4 1 \\times 9 8 \\times 3 2$ bits $= 1 6 \\mathrm { k B }$ disk space requirement. However, we note that $4 . 2 \\mathrm { M B }$ is dwarfed by the on-disk size of the model checkpoints themselves – storing the $( \\mathtt { I A } ) ^ { 3 }$ adaptation vectors for 10,000 tasks would take about as much space as the T0 checkpoint (41.5 GB). ", + "bbox": [ + 173, + 316, + 825, + 400 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Memory usage. During inference, the primary memory cost is incurred by the model’s parameters. The only model smaller than T0 (used by T-Few) is GPT-3 6.7B; otherwise, T-Few will incur a lower memory cost during inference. Additional memory costs are incurred when training T-Few due to the need to cache intermediate activations for backpropagation and for the gradient accumulator variables in Adafactor. However, as mentioned above, a single 80GB A100 GPU is enough for T-Few. ", + "bbox": [ + 174, + 415, + 825, + 484 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4.3 Performance on Real-world Few-shot Tasks (RAFT) ", + "text_level": 1, + "bbox": [ + 173, + 501, + 575, + 516 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "So far, we have run evaluatation on a collection of datasets not explicitly designed for benchmarking few-shot learning. To better evaluate T-Few in the real world, we took our approach to the RAFT benchmark [2]. RAFT comprise 11 “economically valuable” tasks that mirror real-world applications. Importantly, each RAFT datasets has only 50 training examples with no validation set and a (larger) test set with no public labels, so it is impossible to “cheat” by tuning on an unrealistically-large validation set or by peeking at the test set [32, 31]. We apply T-Few to RAFT by using the standard prompts released alongside the dataset. The accuracy of the current top-5 methods is shown in table 2, with further details in appendix G. T-Few attains a state-of-the-art accuracy of $7 5 . 8 \\%$ and outperforms the human baseline $7 3 . 5 \\%$ accuracy) for the first time. The next-best model (from Schick and Schütze [50]) achieves $6 \\%$ lower accuracy and GPT-3 175B attains only $6 2 . 7 \\%$ . These results validate that T-Few can be readily applied as-is to novel real-world tasks for strong performance. ", + "bbox": [ + 174, + 527, + 826, + 679 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4.4 Ablation experiments ", + "text_level": 1, + "bbox": [ + 176, + 696, + 362, + 712 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Given that our T-Few design experiments were on T0-3B, we perform an ablation of some of the ingredients of T-Few on T0. Results are shown in appendix F. While the gains from adding each ingredient does not always significant increase the accuracy on each individual dataset, each ingredient consistently improves the average performance across datasets: Removing pre-training decreases accuracy by $1 . 6 \\%$ , removing unlikelihood training and length normalization decreases accuracy by $4 . 1 \\%$ , and removing both pre-training and our additional loss terms reduces accuracy by $2 . 5 \\%$ . ", + "bbox": [ + 174, + 722, + 825, + 806 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 825, + 321, + 843 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Currently, prompt tuning is one of the most parameter-efficient methods for large language models [29, 14, 53]. Liu et al. [54] introduce several tricks to improve prompt tuning, An et al. [55] tune prompts along with input embeddings for boost in performance, and Chen et al. [56] improve prompt embeddings through continued pre-training. Given optimization difficulties when training prompt embeddings, Diao et al. [57] recently used black-box optimization to train prompt embeddings without requiring gradients. Several works have analyzed prompt tuning from the perspective of interpretability Khashabi et al. [58] and its similarity to other PEFT methods He et al. [30]. Prompt tuning has been applied to various applications for NLP including continual learning [59], model robustness [60, 61], summarization [62], machine translation [63], co-training [64], probing language models [65, 65], inverse prompting [66] and transfer learning [67]. He et al. [68] recently proposed the use of a hypernetwork to predict prompts for new tasks (rather than training the prompt parameters with gradient descent). Prompt tuning and other PEFT methods have also been explored outside of the context of language models (e.g. vision [22, 69] and vision-and-language models [26]). ", + "bbox": [ + 176, + 858, + 823, + 886 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 243 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Separately, various studies have considered few-shot full-model fine-tuning with discrete prompts [70]. Recent work has analyzed training with discrete prompts, demonstrating a boost in performance with prompting when training on various numbers of examples [71], finding that models perform similarly when trained on good and bad prompts [11], and exploring which prompts work well for few-shot and full-shot setting [72]. There have also been efforts to develop methods that find discrete prompts [73, 74] and training prompts using methods similar to prompt tuning [75]. ", + "bbox": [ + 174, + 250, + 823, + 333 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "There has also been a great deal of work on improving ICL. Chen et al. [5], Min et al. [6] use ICL for meta-learning to perform few-shot learning on new tasks. Lampinen et al. [7] show ICL can improve when explanations are provided and [8] use ICL with text retrieved from the web for open-domain question-answering. Meanwhile, Min et al. [9] analyze how ICL works and show that ICL can still perform well when incorrect labels are provided for the in-context examples. ", + "bbox": [ + 174, + 339, + 823, + 409 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "With the advent of billion-parameter language models, there has been a great deal of recent interest in PEFT methods and their compatibility in the few-shot setting. Mahabadi et al. [28] found that PEFT outperforms standard fine-tuning in the low-resource setting. In concurrent work, Mahabadi et al. [76] find that PEFT compares favorably in few-shot fine-tuning against discrete prompts (e.g. PET [70]). Also concurrently, Moosavi et al. [77] propose a framework for introducing adapters whose architecture and design vary from task to task and demonstrate improved results in few-shot settings. Gu et al. [18] and Vu et al. [19] both explored how pre-training prompt tuning parameters can improve when limited labeled data is available. For few-shot learning, Triantafillou et al. [78] explore learning universal and dataset dependent parameters that can be blended for generalization. Requeima et al. [79] use conditional neural adaptive processes and Li et al. [80] leverage distillation from multiple feature extractors to learn new classes or domains in few-shot learning. ", + "bbox": [ + 174, + 415, + 825, + 566 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 588, + 297, + 606 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We introduced T-Few, a parameter-efficient few-shot learning recipe that attains higher accuracy than few-shot ICL at a lower computational cost. T-Few uses (IA)3, a new PEFT method that rescales inner activations with learned vectors. Using $( \\mathtt { I A } ) ^ { 3 }$ produces better performance than fine-tuning the full model while introducing minimal additional parameters. T-Few also uses two additional loss terms that encourage the model to output lower probabilities for incorrect choices and account for the length of different answer choices. When applying T-Few as-is (with no task-specific hyperparameter tuning or other changes) to the RAFT benchmark, we attained super-human performance for the first time and outperformed prior submissions by a large margin. Through detailed characterization of computational costs, we found that T-Few uses over $1 { , } 0 0 0 \\times$ fewer FLOPs during inference than few-shot ICL with GPT-3 and only requires 30 minutes to train on a single NVIDIA A100 GPU. Since all of our experiments were on classification tasks, we are interested in applying T-Few to generative tasks like as summarization and question answering in future work. We hope our results provide a new perspective on how best to perform few-shot learning with large language models. ", + "bbox": [ + 174, + 621, + 825, + 801 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgments and Disclosure of Funding ", + "text_level": 1, + "bbox": [ + 174, + 821, + 553, + 840 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We thank Brian Lester and Noah Constant for helpful discussion on debugging prompt tuning and Rabeeh Karimi Mahabadi for help with Compacter and Intrinsic SAID. We also thank Stella Biderman and the Google TPU Research Cloud who provided valuable computational resources to support this work. This work was supported by NSF-AI Engage Institute DRL-2112635. ", + "bbox": [ + 176, + 856, + 825, + 911 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "References \n[1] Victor Sanh, Albert Webson, Colin Raffel, Stephen H. Bach, Lintang Sutawika, Zaid Alyafeai, Antoine Chaffin, Arnaud Stiegler, Teven Le Scao, Arun Raja, et al. 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Proceedings of the IEEE/CVF International Conference on Computer Vision., 2021. \n[81] Leo Gao, Jonathan Tow, Stella Biderman, Sid Black, Anthony DiPofi, Charles Foster, Laurence Golding, Jeffrey Hsu, Kyle McDonell, Niklas Muennighoff, Jason Phang, Laria Reynolds, Eric Tang, Anish Thite, Ben Wang, Kevin Wang, and Andy Zou. A framework for few-shot language model evaluation, September 2021. URL https://doi.org/10.5281/zenodo.5371628. ", + "bbox": [ + 171, + 30, + 828, + 912 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "", + "bbox": [ + 169, + 68, + 828, + 917 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 92, + 826, + 525 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Checklist ", + "text_level": 1, + "bbox": [ + 174, + 549, + 254, + 565 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "1. For all authors... ", + "bbox": [ + 214, + 577, + 339, + 590 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "(a) Do the main claims made in the abstract and introduction accurately reflect the paper’s contributions and scope? [Yes] We compare different PEFT methods in Figure 2 and demonstate PEFT outperforms ICL in section 4. \n(b) Did you describe the limitations of your work? [Yes] Section 5 \n(c) Did you discuss any potential negative societal impacts of your work? [No] \n(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 238, + 595, + 825, + 700 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... ", + "bbox": [ + 214, + 705, + 493, + 719 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "(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] ", + "bbox": [ + 238, + 723, + 738, + 756 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "3. If you ran experiments... ", + "bbox": [ + 212, + 761, + 393, + 773 + ], + "page_idx": 14 + }, + { + "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] Included code with README \n(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] Section 3.1, Section 3.5, Appendix D, H \n(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] Appendix C, D, E, F, G \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] Appendix A ", + "bbox": [ + 238, + 779, + 825, + 912 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "4. 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", + "bbox": [ + 214, + 250, + 705, + 263 + ], + "page_idx": 15 + }, + { + "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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Recent methods have matched the performance of fine-tuning the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 374, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 353, + 387 + ], + "score": 1.0, + "content": "full model while only updating or adding a small fraction (e.g.", + "type": "text" + }, + { + "bbox": [ + 354, + 375, + 381, + 385 + ], + "score": 0.84, + "content": "0 . 0 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 374, + 505, + 387 + ], + "score": 1.0, + "content": ") of the full model’s parameters", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "[13, 14]. Furthermore, certain PEFT methods allow mixed-task batches where different examples in", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 396, + 488, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 488, + 409 + ], + "score": 1.0, + "content": "a batch are processed differently [14], making both PEFT and ICL viable for multitask models.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "While the benefits of PEFT address some shortcomings of fine-tuning (when compared to ICL), there", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 424, + 504, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 504, + 435 + ], + "score": 1.0, + "content": "has been relatively little focus on whether PEFT methods work well when very little labeled data", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 433, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 104, + 433, + 506, + 448 + ], + "score": 1.0, + "content": "is available. Our primary goal in this paper is to close this gap by proposing a recipe – i.e., a model, a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 444, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 506, + 459 + ], + "score": 1.0, + "content": "PEFT method, and a fixed set of hyperparameters – that attains strong performance on novel, unseen", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 469 + ], + "score": 1.0, + "content": "tasks while only updating a tiny fraction of the model’s parameters. Specifically, we base our approach", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 467, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 506, + 480 + ], + "score": 1.0, + "content": "on the T0 model [1], a variant of T5 [15] fine-tuned on a multitask mixture of prompted datasets.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 478, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 505, + 490 + ], + "score": 1.0, + "content": "To improve performance on classification and multiple-choice tasks, we add unlikelihood [16, 17]", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "and length normalization-based [4] loss terms. In addition, we develop (IA)3, a PEFT method", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 499, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 343, + 513 + ], + "score": 1.0, + "content": "that multiplies intermediate activations by learned vectors.", + "type": "text" + }, + { + "bbox": [ + 343, + 500, + 368, + 511 + ], + "score": 0.82, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 499, + 506, + 513 + ], + "score": 1.0, + "content": "attains stronger performance than", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 511, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 288, + 523 + ], + "score": 1.0, + "content": "full-model fine-tuning while updating up to", + "type": "text" + }, + { + "bbox": [ + 289, + 511, + 325, + 522 + ], + "score": 0.89, + "content": "1 0 { , } 0 0 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 511, + 505, + 523 + ], + "score": 1.0, + "content": "fewer parameters. Finally, we demonstrate", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 520, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 236, + 535 + ], + "score": 1.0, + "content": "the benefits of pre-training the", + "type": "text" + }, + { + "bbox": [ + 236, + 521, + 261, + 533 + ], + "score": 0.48, + "content": "( \\mathtt { I A } ) ^ { \\tilde { 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 520, + 506, + 535 + ], + "score": 1.0, + "content": "parameters before fine-tuning [18, 19]. 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To", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 564, + 490, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 490, + 578 + ], + "score": 1.0, + "content": "facilitate the use of T-Few on new problems and future research on PEFT, we release our code.1", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 108, + 582, + 505, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 582, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 506, + 594 + ], + "score": 1.0, + "content": "After providing background on ICL and PEFT in the following section, we discuss the design of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 592, + 507, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 507, + 605 + ], + "score": 1.0, + "content": "T-Few in section 3. In section 4, we present experiments comparing T-Few to strong ICL baselines.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 603, + 392, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 392, + 615 + ], + "score": 1.0, + "content": "Finally, we discuss related work in section 5 and conclude in section 6.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38 + }, + { + "type": "title", + "bbox": [ + 107, + 644, + 189, + 658 + ], + "lines": [ + { + "bbox": [ + 103, + 642, + 191, + 662 + ], + "spans": [ + { + "bbox": [ + 103, + 642, + 191, + 662 + ], + "score": 1.0, + "content": "2 Background", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 108, + 677, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "In this section, we provide am verview of ICL and PEFT with a focus on characterizing the com-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "putation, memory, and on-disk storage costs of making a prediction. Real-world costs depend on", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "implementation and hardware, so we report costs in terms of FLOPs for computation and bytes for", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 711, + 444, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 444, + 722 + ], + "score": 1.0, + "content": "memory and storage, respectively. 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Finally, the exact formatting", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "score": 1.0, + "content": "of the prompt (including the wording [11] and ordering of examples [12]) can have significant and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 302, + 507, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 507, + 317 + ], + "score": 1.0, + "content": "unpredictable impact on the model’s performance, far beyond inter-run variation of fine-tuning.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 315, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 327 + ], + "score": 1.0, + "content": "Recent work has also demonstrated that ICL can perform well even when provided with incorrect", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 325, + 403, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 403, + 338 + ], + "score": 1.0, + "content": "labels, raising questions as to how much learning is taking place at all [9].", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 260, + 507, + 338 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 342, + 505, + 408 + ], + "lines": [ + { + "bbox": [ + 105, + 341, + 507, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 507, + 354 + ], + "score": 1.0, + "content": "An additional paradigm for enabling a model to perform a new task with minimal updates is parameter-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 353, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 353, + 506, + 366 + ], + "score": 1.0, + "content": "efficient fine-tuning (PEFT), where a pre-trained model is fine-tuned by only updating a small number", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 363, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 505, + 376 + ], + "score": 1.0, + "content": "of added or selected parameters. Recent methods have matched the performance of fine-tuning the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 374, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 353, + 387 + ], + "score": 1.0, + "content": "full model while only updating or adding a small fraction (e.g.", + "type": "text" + }, + { + "bbox": [ + 354, + 375, + 381, + 385 + ], + "score": 0.84, + "content": "0 . 0 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 374, + 505, + 387 + ], + "score": 1.0, + "content": ") of the full model’s parameters", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "[13, 14]. Furthermore, certain PEFT methods allow mixed-task batches where different examples in", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 396, + 488, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 488, + 409 + ], + "score": 1.0, + "content": "a batch are processed differently [14], making both PEFT and ICL viable for multitask models.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 341, + 507, + 409 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "While the benefits of PEFT address some shortcomings of fine-tuning (when compared to ICL), there", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 424, + 504, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 504, + 435 + ], + "score": 1.0, + "content": "has been relatively little focus on whether PEFT methods work well when very little labeled data", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 433, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 104, + 433, + 506, + 448 + ], + "score": 1.0, + "content": "is available. Our primary goal in this paper is to close this gap by proposing a recipe – i.e., a model, a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 444, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 506, + 459 + ], + "score": 1.0, + "content": "PEFT method, and a fixed set of hyperparameters – that attains strong performance on novel, unseen", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 469 + ], + "score": 1.0, + "content": "tasks while only updating a tiny fraction of the model’s parameters. Specifically, we base our approach", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 467, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 506, + 480 + ], + "score": 1.0, + "content": "on the T0 model [1], a variant of T5 [15] fine-tuned on a multitask mixture of prompted datasets.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 478, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 505, + 490 + ], + "score": 1.0, + "content": "To improve performance on classification and multiple-choice tasks, we add unlikelihood [16, 17]", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "and length normalization-based [4] loss terms. In addition, we develop (IA)3, a PEFT method", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 499, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 343, + 513 + ], + "score": 1.0, + "content": "that multiplies intermediate activations by learned vectors.", + "type": "text" + }, + { + "bbox": [ + 343, + 500, + 368, + 511 + ], + "score": 0.82, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 499, + 506, + 513 + ], + "score": 1.0, + "content": "attains stronger performance than", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 511, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 288, + 523 + ], + "score": 1.0, + "content": "full-model fine-tuning while updating up to", + "type": "text" + }, + { + "bbox": [ + 289, + 511, + 325, + 522 + ], + "score": 0.89, + "content": "1 0 { , } 0 0 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 511, + 505, + 523 + ], + "score": 1.0, + "content": "fewer parameters. Finally, we demonstrate", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 520, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 236, + 535 + ], + "score": 1.0, + "content": "the benefits of pre-training the", + "type": "text" + }, + { + "bbox": [ + 236, + 521, + 261, + 533 + ], + "score": 0.48, + "content": "( \\mathtt { I A } ) ^ { \\tilde { 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 520, + 506, + 535 + ], + "score": 1.0, + "content": "parameters before fine-tuning [18, 19]. Our overall recipe,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 531, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 423, + 546 + ], + "score": 1.0, + "content": "which we dub “T-Few”, performs significantly better than ICL (even against", + "type": "text" + }, + { + "bbox": [ + 423, + 533, + 442, + 544 + ], + "score": 0.87, + "content": "1 6 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 531, + 506, + 546 + ], + "score": 1.0, + "content": "larger models)", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 544, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 505, + 556 + ], + "score": 1.0, + "content": "and outperforms humans for the first time on the real-world few-shot learning benchmark RAFT [2]", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 554, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 505, + 567 + ], + "score": 1.0, + "content": "while requiring dramatically less compute and allowing for mixed-task batches during inference. To", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 564, + 490, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 490, + 578 + ], + "score": 1.0, + "content": "facilitate the use of T-Few on new problems and future research on PEFT, we release our code.1", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 29, + "bbox_fs": [ + 104, + 412, + 506, + 578 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 582, + 505, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 582, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 506, + 594 + ], + "score": 1.0, + "content": "After providing background on ICL and PEFT in the following section, we discuss the design of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 592, + 507, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 507, + 605 + ], + "score": 1.0, + "content": "T-Few in section 3. In section 4, we present experiments comparing T-Few to strong ICL baselines.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 603, + 392, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 392, + 615 + ], + "score": 1.0, + "content": "Finally, we discuss related work in section 5 and conclude in section 6.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 582, + 507, + 615 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 644, + 189, + 658 + ], + "lines": [ + { + "bbox": [ + 103, + 642, + 191, + 662 + ], + "spans": [ + { + "bbox": [ + 103, + 642, + 191, + 662 + ], + "score": 1.0, + "content": "2 Background", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 108, + 677, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "In this section, we provide am verview of ICL and PEFT with a focus on characterizing the com-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "putation, memory, and on-disk storage costs of making a prediction. Real-world costs depend on", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "implementation and hardware, so we report costs in terms of FLOPs for computation and bytes for", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 711, + 444, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 444, + 722 + ], + "score": 1.0, + "content": "memory and storage, respectively. Additional related work is discussed in section 5.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 677, + 506, + 722 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 73, + 278, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 70, + 280, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 280, + 87 + ], + "score": 1.0, + "content": "2.1 Few-shot in-context learning (ICL)", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 96, + 505, + 217 + ], + "lines": [ + { + "bbox": [ + 105, + 96, + 505, + 109 + ], + "spans": [ + { + "bbox": [ + 105, + 96, + 505, + 109 + ], + "score": 1.0, + "content": "ICL [3, 4] aims to induce a model to perform a task by feeding in concatenated and prompted", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 108, + 505, + 120 + ], + "spans": [ + { + "bbox": [ + 106, + 108, + 505, + 120 + ], + "score": 1.0, + "content": "input-target examples (called “shots”) along with an unlabeled query example. Taking the cycled", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "score": 1.0, + "content": "letter task from Brown et al. [4] as an example, a 4-shot input or context would be “Please", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 128, + 495, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 444, + 142 + ], + "score": 1.0, + "content": "unscramble the letters into a word, and write that word: asinoc", + "type": "text" + }, + { + "bbox": [ + 445, + 131, + 454, + 139 + ], + "score": 0.79, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 128, + 495, + 142 + ], + "score": 1.0, + "content": "casino,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 140, + 505, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 140, + 141, + 153 + ], + "score": 1.0, + "content": "yfrogg", + "type": "text" + }, + { + "bbox": [ + 142, + 142, + 151, + 150 + ], + "score": 0.77, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 140, + 230, + 153 + ], + "score": 1.0, + "content": "froggy, plesim", + "type": "text" + }, + { + "bbox": [ + 231, + 141, + 240, + 150 + ], + "score": 0.74, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 140, + 324, + 153 + ], + "score": 1.0, + "content": "simple, iggestb", + "type": "text" + }, + { + "bbox": [ + 325, + 142, + 334, + 150 + ], + "score": 0.78, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 140, + 424, + 153 + ], + "score": 1.0, + "content": "biggest, astedro", + "type": "text" + }, + { + "bbox": [ + 424, + 141, + 436, + 150 + ], + "score": 0.66, + "content": "= ^ { \\ast }", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 140, + 505, + 153 + ], + "score": 1.0, + "content": ", for which the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 151, + 505, + 164 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 505, + 164 + ], + "score": 1.0, + "content": "desired output would be “roasted”. ICL induces an autoregressive language model to perform", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 162, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 106, + 162, + 505, + 174 + ], + "score": 1.0, + "content": "this task by feeding in the context and sampling from the model. For classification tasks, each", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 506, + 186 + ], + "score": 1.0, + "content": "label is associated with a string (e.g. “positive” and “negative” for sentiment analysis) and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 182, + 507, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 507, + 197 + ], + "score": 1.0, + "content": "a label is assigned by choosing the label string that the model assigns the highest probability to.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 194, + 506, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 310, + 208 + ], + "score": 1.0, + "content": "For multiple-choice tasks (e.g. choosing between", + "type": "text" + }, + { + "bbox": [ + 310, + 195, + 321, + 204 + ], + "score": 0.77, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 194, + 506, + 208 + ], + "score": 1.0, + "content": "possible answers to a question), the model’s", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 205, + 503, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 503, + 219 + ], + "score": 1.0, + "content": "prediction is similarly determined by determining which choice is assigned the highest probability.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 222, + 505, + 266 + ], + "lines": [ + { + "bbox": [ + 106, + 222, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 222, + 505, + 234 + ], + "score": 1.0, + "content": "The primary advantage of ICL is that it enables a single model to perform many tasks immediately", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 233, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 505, + 245 + ], + "score": 1.0, + "content": "without fine-tuning. This also enables mixed-task batches, where different examples in a batch of data", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 244, + 505, + 256 + ], + "spans": [ + { + "bbox": [ + 106, + 244, + 505, + 256 + ], + "score": 1.0, + "content": "correspond to different tasks by using different contexts in the input. ICL is also typically performed", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 254, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 506, + 267 + ], + "score": 1.0, + "content": "with only a limited number of labeled examples – called few-shot learning – making it data-efficient.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 271, + 505, + 391 + ], + "lines": [ + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "score": 1.0, + "content": "Despite these advantages, ICL comes with significant practical drawbacks: First, making a prediction", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 282, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 294 + ], + "score": 1.0, + "content": "is dramatically more expensive because the model needs to process all of the in-context labeled", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "score": 1.0, + "content": "examples. Specifically, ignoring the quadratic complexity of self-attention operations in Transformer", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "score": 1.0, + "content": "language models (which are typically small compared to the costs of the rest of the model [20]),", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 315, + 506, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 165, + 328 + ], + "score": 1.0, + "content": "processing the", + "type": "text" + }, + { + "bbox": [ + 165, + 315, + 172, + 325 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 315, + 259, + 328 + ], + "score": 1.0, + "content": "training examples for", + "type": "text" + }, + { + "bbox": [ + 259, + 315, + 266, + 325 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 315, + 506, + 328 + ], + "score": 1.0, + "content": "-shot ICL increases the computational cost by approximately", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 326, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 107, + 326, + 131, + 336 + ], + "score": 0.89, + "content": "k + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 326, + 505, + 339 + ], + "score": 1.0, + "content": "times compared to processing the unlabeled example alone. Memory costs similarly scale", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 336, + 505, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 218, + 350 + ], + "score": 1.0, + "content": "approximately linearly with", + "type": "text" + }, + { + "bbox": [ + 218, + 337, + 225, + 347 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 336, + 505, + 350 + ], + "score": 1.0, + "content": ", though during inference the memory costs are typically dominated by", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "storing the model’s parameters. Separately, there is a small amount of on-disk storage required for", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "storing the in-context examples for a given task. For example, storing 32 examples for a task where", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 370, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 382 + ], + "score": 1.0, + "content": "the prompted input and target for each example is 512 tokens long would require about 66 kilobytes", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 380, + 338, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 235, + 393 + ], + "score": 1.0, + "content": "of storage on disk (32 examples", + "type": "text" + }, + { + "bbox": [ + 236, + 380, + 263, + 391 + ], + "score": 0.82, + "content": "\\times \\ 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 380, + 292, + 393 + ], + "score": 1.0, + "content": "tokens", + "type": "text" + }, + { + "bbox": [ + 292, + 380, + 314, + 391 + ], + "score": 0.82, + "content": "\\times \\ 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 380, + 338, + 393 + ], + "score": 1.0, + "content": "bits).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 396, + 505, + 440 + ], + "lines": [ + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "score": 1.0, + "content": "Beyond the aforementioned costs, ICL also exhibits unintuitive behavior. Zhao et al. [12] showed", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "that the ordering of examples in the context heavily influences the model’s predictions. Min et al. [9]", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 418, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 505, + 431 + ], + "score": 1.0, + "content": "showed that ICL can still perform well even if the in-context example labels are swapped (i.e. made", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 429, + 507, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 507, + 442 + ], + "score": 1.0, + "content": "incorrect), which raises questions about whether ICL is really “learning” from the labeled examples.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + }, + { + "type": "text", + "bbox": [ + 107, + 446, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "Various approaches have been proposed to mitigate these issues. One way to decrease computational", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 457, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 506, + 469 + ], + "score": 1.0, + "content": "costs is to cache the key and value vectors for in-context examples. This is possible because decoder-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 468, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 479 + ], + "score": 1.0, + "content": "only Transformer language models have a causal masking pattern, so the model’s activations for the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 479, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 506, + 490 + ], + "score": 1.0, + "content": "context do not do not depend on the unlabeled example. In an extreme case, 32-shot ICL with 512", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 489, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 501 + ], + "score": 1.0, + "content": "tokens per in-context example would result in over 144 gigabytes of cached key and value vectors for", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 500, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 230, + 513 + ], + "score": 1.0, + "content": "the GPT-3 model (32 examples", + "type": "text" + }, + { + "bbox": [ + 233, + 500, + 423, + 511 + ], + "score": 0.27, + "content": "\\times \\ 5 1 2 \\ \\mathrm { t o k e n s \\times 9 6 \\ l a y e r s \\times 1 2 2 8 8 \\mathrm { d _ { m o d e l } \\times 3 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 500, + 506, + 513 + ], + "score": 1.0, + "content": "bits each for the key", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 374, + 524 + ], + "score": 1.0, + "content": "and value vectors). Separately, Min et al. [21] proposed ensemble", + "type": "text" + }, + { + "bbox": [ + 375, + 512, + 392, + 522 + ], + "score": 0.4, + "content": "I C L", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 511, + 505, + 524 + ], + "score": 1.0, + "content": ", where instead of using the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 522, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 274, + 534 + ], + "score": 1.0, + "content": "output probability from concatenating the", + "type": "text" + }, + { + "bbox": [ + 274, + 523, + 281, + 532 + ], + "score": 0.8, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 522, + 505, + 534 + ], + "score": 1.0, + "content": "training examples, the output probabilities of the model", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 532, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 335, + 545 + ], + "score": 1.0, + "content": "on each training example (i.e. 1-shot ICL for each of the", + "type": "text" + }, + { + "bbox": [ + 336, + 533, + 343, + 543 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 532, + 505, + 545 + ], + "score": 1.0, + "content": "examples) are multiplied together. This", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 542, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 104, + 542, + 325, + 557 + ], + "score": 1.0, + "content": "lowers the non-parameter memory cost by a factor of", + "type": "text" + }, + { + "bbox": [ + 325, + 544, + 342, + 555 + ], + "score": 0.88, + "content": "k / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 542, + 505, + 557 + ], + "score": 1.0, + "content": "but increases the computational cost by", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "score": 1.0, + "content": "a factor of 2. In terms of task performance, Min et al. [21] find that ensemble ICL outperforms the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 566, + 231, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 231, + 577 + ], + "score": 1.0, + "content": "standard concatenative variant.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 36.5 + }, + { + "type": "title", + "bbox": [ + 108, + 599, + 261, + 611 + ], + "lines": [ + { + "bbox": [ + 105, + 597, + 263, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 263, + 613 + ], + "score": 1.0, + "content": "2.2 Parameter-efficient fine-tuning", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 505, + 636 + ], + "score": 1.0, + "content": "While standard fine-tuning updates all parameters of the pre-trained model, it has been demonstrated", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "that it is possible to instead update or add a relatively small number of parameters. Early methods", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 644, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 658 + ], + "score": 1.0, + "content": "proposed adding adapters [22–24], which are small trainable feed-forward networks inserted between", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "the layers in the fixed pre-trained model. 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Relatedly, prompt tuning [14] and prefix", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "tuning [29] concatenate learned continuous embeddings to the model’s input or activations to induce", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "it to perform a task; this can be seen as a PEFT method [30]. 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Taking the cycled", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "score": 1.0, + "content": "letter task from Brown et al. 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For classification tasks, each", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 506, + 186 + ], + "score": 1.0, + "content": "label is associated with a string (e.g. “positive” and “negative” for sentiment analysis) and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 182, + 507, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 507, + 197 + ], + "score": 1.0, + "content": "a label is assigned by choosing the label string that the model assigns the highest probability to.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 194, + 506, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 310, + 208 + ], + "score": 1.0, + "content": "For multiple-choice tasks (e.g. choosing between", + "type": "text" + }, + { + "bbox": [ + 310, + 195, + 321, + 204 + ], + "score": 0.77, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 194, + 506, + 208 + ], + "score": 1.0, + "content": "possible answers to a question), the model’s", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 205, + 503, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 503, + 219 + ], + "score": 1.0, + "content": "prediction is similarly determined by determining which choice is assigned the highest probability.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 96, + 507, + 219 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 222, + 505, + 266 + ], + "lines": [ + { + "bbox": [ + 106, + 222, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 222, + 505, + 234 + ], + "score": 1.0, + "content": "The primary advantage of ICL is that it enables a single model to perform many tasks immediately", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 233, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 505, + 245 + ], + "score": 1.0, + "content": "without fine-tuning. This also enables mixed-task batches, where different examples in a batch of data", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 244, + 505, + 256 + ], + "spans": [ + { + "bbox": [ + 106, + 244, + 505, + 256 + ], + "score": 1.0, + "content": "correspond to different tasks by using different contexts in the input. ICL is also typically performed", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 254, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 506, + 267 + ], + "score": 1.0, + "content": "with only a limited number of labeled examples – called few-shot learning – making it data-efficient.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 222, + 506, + 267 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 271, + 505, + 391 + ], + "lines": [ + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "score": 1.0, + "content": "Despite these advantages, ICL comes with significant practical drawbacks: First, making a prediction", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 282, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 294 + ], + "score": 1.0, + "content": "is dramatically more expensive because the model needs to process all of the in-context labeled", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "score": 1.0, + "content": "examples. 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Memory costs similarly scale", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 336, + 505, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 218, + 350 + ], + "score": 1.0, + "content": "approximately linearly with", + "type": "text" + }, + { + "bbox": [ + 218, + 337, + 225, + 347 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 336, + 505, + 350 + ], + "score": 1.0, + "content": ", though during inference the memory costs are typically dominated by", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "storing the model’s parameters. Separately, there is a small amount of on-disk storage required for", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "storing the in-context examples for a given task. For example, storing 32 examples for a task where", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 370, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 382 + ], + "score": 1.0, + "content": "the prompted input and target for each example is 512 tokens long would require about 66 kilobytes", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 380, + 338, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 235, + 393 + ], + "score": 1.0, + "content": "of storage on disk (32 examples", + "type": "text" + }, + { + "bbox": [ + 236, + 380, + 263, + 391 + ], + "score": 0.82, + "content": "\\times \\ 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 380, + 292, + 393 + ], + "score": 1.0, + "content": "tokens", + "type": "text" + }, + { + "bbox": [ + 292, + 380, + 314, + 391 + ], + "score": 0.82, + "content": "\\times \\ 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 380, + 338, + 393 + ], + "score": 1.0, + "content": "bits).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 271, + 506, + 393 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 396, + 505, + 440 + ], + "lines": [ + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "score": 1.0, + "content": "Beyond the aforementioned costs, ICL also exhibits unintuitive behavior. Zhao et al. [12] showed", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "that the ordering of examples in the context heavily influences the model’s predictions. Min et al. [9]", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 418, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 505, + 431 + ], + "score": 1.0, + "content": "showed that ICL can still perform well even if the in-context example labels are swapped (i.e. made", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 429, + 507, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 507, + 442 + ], + "score": 1.0, + "content": "incorrect), which raises questions about whether ICL is really “learning” from the labeled examples.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 396, + 507, + 442 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 446, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "Various approaches have been proposed to mitigate these issues. One way to decrease computational", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 457, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 506, + 469 + ], + "score": 1.0, + "content": "costs is to cache the key and value vectors for in-context examples. This is possible because decoder-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 468, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 479 + ], + "score": 1.0, + "content": "only Transformer language models have a causal masking pattern, so the model’s activations for the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 479, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 506, + 490 + ], + "score": 1.0, + "content": "context do not do not depend on the unlabeled example. In an extreme case, 32-shot ICL with 512", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 489, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 501 + ], + "score": 1.0, + "content": "tokens per in-context example would result in over 144 gigabytes of cached key and value vectors for", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 500, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 230, + 513 + ], + "score": 1.0, + "content": "the GPT-3 model (32 examples", + "type": "text" + }, + { + "bbox": [ + 233, + 500, + 423, + 511 + ], + "score": 0.27, + "content": "\\times \\ 5 1 2 \\ \\mathrm { t o k e n s \\times 9 6 \\ l a y e r s \\times 1 2 2 8 8 \\mathrm { d _ { m o d e l } \\times 3 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 500, + 506, + 513 + ], + "score": 1.0, + "content": "bits each for the key", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 374, + 524 + ], + "score": 1.0, + "content": "and value vectors). Separately, Min et al. [21] proposed ensemble", + "type": "text" + }, + { + "bbox": [ + 375, + 512, + 392, + 522 + ], + "score": 0.4, + "content": "I C L", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 511, + 505, + 524 + ], + "score": 1.0, + "content": ", where instead of using the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 522, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 274, + 534 + ], + "score": 1.0, + "content": "output probability from concatenating the", + "type": "text" + }, + { + "bbox": [ + 274, + 523, + 281, + 532 + ], + "score": 0.8, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 522, + 505, + 534 + ], + "score": 1.0, + "content": "training examples, the output probabilities of the model", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 532, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 335, + 545 + ], + "score": 1.0, + "content": "on each training example (i.e. 1-shot ICL for each of the", + "type": "text" + }, + { + "bbox": [ + 336, + 533, + 343, + 543 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 532, + 505, + 545 + ], + "score": 1.0, + "content": "examples) are multiplied together. This", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 542, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 104, + 542, + 325, + 557 + ], + "score": 1.0, + "content": "lowers the non-parameter memory cost by a factor of", + "type": "text" + }, + { + "bbox": [ + 325, + 544, + 342, + 555 + ], + "score": 0.88, + "content": "k / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 542, + 505, + 557 + ], + "score": 1.0, + "content": "but increases the computational cost by", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "score": 1.0, + "content": "a factor of 2. In terms of task performance, Min et al. [21] find that ensemble ICL outperforms the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 566, + 231, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 231, + 577 + ], + "score": 1.0, + "content": "standard concatenative variant.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 36.5, + "bbox_fs": [ + 104, + 446, + 506, + 577 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 599, + 261, + 611 + ], + "lines": [ + { + "bbox": [ + 105, + 597, + 263, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 263, + 613 + ], + "score": 1.0, + "content": "2.2 Parameter-efficient fine-tuning", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 505, + 636 + ], + "score": 1.0, + "content": "While standard fine-tuning updates all parameters of the pre-trained model, it has been demonstrated", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "that it is possible to instead update or add a relatively small number of parameters. Early methods", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 644, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 658 + ], + "score": 1.0, + "content": "proposed adding adapters [22–24], which are small trainable feed-forward networks inserted between", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "the layers in the fixed pre-trained model. Since then, various sophisticated PEFT methods have been", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "proposed, including methods that choose a sparse subset of parameters to train [25, 26], produce", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "low-rank updates [13], perform optimization in a lower-dimensional subspace [27], add low-rank", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 689, + 504, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 504, + 701 + ], + "score": 1.0, + "content": "adapters using hypercomplex multiplication [28], and more. Relatedly, prompt tuning [14] and prefix", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "tuning [29] concatenate learned continuous embeddings to the model’s input or activations to induce", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "it to perform a task; this can be seen as a PEFT method [30]. State-of-the-art PEFT methods can", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 72, + 504, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 504, + 86 + ], + "score": 1.0, + "content": "match the performance of fine-tuning all of the model’s parameters while updating only a tiny fraction", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 84, + 266, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 84, + 126, + 96 + ], + "score": 1.0, + "content": "(e.g.", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 126, + 84, + 154, + 95 + ], + "score": 0.82, + "content": "0 . 0 1 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 154, + 84, + 266, + 96 + ], + "score": 1.0, + "content": ") of the model’s parameters.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 48, + "bbox_fs": [ + 105, + 622, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 504, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 504, + 86 + ], + "score": 1.0, + "content": "match the performance of fine-tuning all of the model’s parameters while updating only a tiny fraction", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 84, + 266, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 84, + 126, + 96 + ], + "score": 1.0, + "content": "(e.g.", + "type": "text" + }, + { + "bbox": [ + 126, + 84, + 154, + 95 + ], + "score": 0.82, + "content": "0 . 0 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 84, + 266, + 96 + ], + "score": 1.0, + "content": ") of the model’s parameters.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 107, + 100, + 505, + 221 + ], + "lines": [ + { + "bbox": [ + 106, + 100, + 505, + 113 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 505, + 113 + ], + "score": 1.0, + "content": "PEFT drastically reduces the memory and storage requirements for training and saving the model. In", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 505, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 505, + 124 + ], + "score": 1.0, + "content": "addition, certain PEFT methods straightforwardly allow mixed-task batches – for example, prompt", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 121, + 505, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 505, + 135 + ], + "score": 1.0, + "content": "tuning enables a single model to perform many tasks simply by concatenating different prompt", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "score": 1.0, + "content": "embeddings to each example in the batch [14]. On the other hand, PEFT methods that re-parameterize", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "the model (e.g. [27, 13]) are costly or onerous for mixed-task batches. Separately, different PEFT", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 507, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 507, + 167 + ], + "score": 1.0, + "content": "methods increase the computation and memory required to perform inference by different amounts.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 505, + 177 + ], + "score": 1.0, + "content": "For example, adapters effectively add additional (small) layers to the model, resulting in small but", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 506, + 188 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 188 + ], + "score": 1.0, + "content": "non-negligible increases in computational costs and memory. An additional cost incurred by PEFT", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 186, + 506, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 506, + 199 + ], + "score": 1.0, + "content": "is the cost of fine-tuning itself, which must be performed once and is then amortized as the model", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "is used for inference. However, we will show that PEFT can be dramatically more computationally", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "efficient when considering both fine-tuning and inference while achieving better accuracy than ICL.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 7 + }, + { + "type": "title", + "bbox": [ + 108, + 236, + 267, + 250 + ], + "lines": [ + { + "bbox": [ + 104, + 234, + 269, + 254 + ], + "spans": [ + { + "bbox": [ + 104, + 234, + 269, + 254 + ], + "score": 1.0, + "content": "3 Designing the T-Few Recipe", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 261, + 505, + 349 + ], + "lines": [ + { + "bbox": [ + 106, + 261, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 505, + 274 + ], + "score": 1.0, + "content": "Given that PEFT allows a model to be adapted to a new task with relatively small storage requirements", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 273, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 285 + ], + "score": 1.0, + "content": "and computational cost, we argue that PEFT presents a promising alternative to ICL. Our goal", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "score": 1.0, + "content": "is therefore to develop a recipe that allows a model to attain high accuracy on new tasks with", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 295, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 505, + 307 + ], + "score": 1.0, + "content": "limited labeled examples while allowing mixed-task batches during inference and incurring minimal", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 304, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 505, + 319 + ], + "score": 1.0, + "content": "computational and storage costs. By recipe, we mean a specific model and hyperparameter setting", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 315, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 330 + ], + "score": 1.0, + "content": "that provides strong performance on any new task without manual tuning or per-task adjustments.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 326, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 506, + 340 + ], + "score": 1.0, + "content": "In this way, we can ensure that our approach is a realistic option in few-shot settings where limited", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 338, + 298, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 298, + 350 + ], + "score": 1.0, + "content": "labeled data is available for evaluation [31, 32].", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5 + }, + { + "type": "title", + "bbox": [ + 107, + 363, + 214, + 374 + ], + "lines": [ + { + "bbox": [ + 106, + 363, + 216, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 216, + 376 + ], + "score": 1.0, + "content": "3.1 Model and Datasets", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 536 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "As a first step, we must choose a pre-trained model. Ideally, the model should attain high performance", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "score": 1.0, + "content": "on new tasks after fine-tuning on a limited number of labeled examples. In preliminary experiments", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "score": 1.0, + "content": "applying PEFT methods to different pre-trained models, we attained the best performance with T0", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "[1]. T0 is based on T5 [15], an encoder-decoder Transformer model [33] that was pre-trained via a", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "score": 1.0, + "content": "masked language modeling objective [34] on a large corpus of unlabeled text data. T0 was created by", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "fine-tuning T5 on a multitask mixture of datasets in order to enable zero-shot generalization, i.e. the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "score": 1.0, + "content": "ability to perform tasks without any additional gradient-based training. Examples in the datasets used", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "score": 1.0, + "content": "to train T0 were prompted by applying the prompt templates from the Public Pool of Prompts (P3", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "[35]), which convert each example in each dataset to a prompted text-to-text format where each label", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 481, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 493 + ], + "score": 1.0, + "content": "corresponds to a different string. For brevity, we omit a detailed description of T0 and T5; interested", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "readers can refer to Sanh et al. [1] and Raffel et al. [15]. T0 was released in three billion and eleven", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "billion parameter variants, referred to as “T0-3B” and simply “T0” respectively. In this section (where", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "our goal is to design the T-Few recipe through extensive experimentation), we use T0-3B to reduce", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 524, + 488, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 488, + 538 + ], + "score": 1.0, + "content": "computational costs. For all models and experiments, we use Hugging Face Transformers [36].", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 106, + 541, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 555 + ], + "score": 1.0, + "content": "While T0 was designed for zero-shot generalization, we will demonstrate that it also attains strong", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 553, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 565 + ], + "score": 1.0, + "content": "performance after fine-tuning with only a few labeled examples. To test T0’s generalization, Sanh et al.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 563, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 505, + 576 + ], + "score": 1.0, + "content": "[1] chose a set of tasks (and corresponding datasets) to hold out from the multitask training mixture", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "– specifically, sentence completion (COPA [37], H-SWAG [38], and Story Cloze [39] datasets),", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "natural language inference (ANLI [40], CB [41], and RTE [42]), coreference resolution (WSC [43]", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "and Winogrande [44]), and word sense disambiguation (WiC [45]). Evaluation of generalization", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 608, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 506, + 620 + ], + "score": 1.0, + "content": "capabilities can then be straightforwardly done by measuring performance on these held-out datasets.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "We also will later test T-Few’s abilities in the RAFT benchmark [2] in section 4.3, a collection of", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "unseen “real-world” few-shot tasks with no validation set and a held-out test set. ANLI, WiC, WSC", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 639, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 652 + ], + "score": 1.0, + "content": "is licensed under a Creative Commons License. Winogrande is licensed under an Apache license.", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "score": 1.0, + "content": "COPA is under a BSD-2 Clause license. We could not find the license of RTE and CB but they are", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 662, + 461, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 461, + 674 + ], + "score": 1.0, + "content": "part of SuperGLUE which mentions the datasets are allowed for use in research context.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 42.5 + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "To ease comparison, we use the same number of few-shot training examples for each dataset as Brown", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "et al. [4], which varies from 20 to 70. Unfortunately, the few-shot dataset subsets used by Brown", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "et al. [4] have not been publicly disclosed. To allow for a more robust comparison, we therefore", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "constructed five few-shot datasets by sampling subsets with different seeds and report the median and", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 50.5 + } + ], + "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": "text", + "bbox": [ + 107, + 73, + 504, + 95 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 105, + 72, + 504, + 96 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 100, + 505, + 221 + ], + "lines": [ + { + "bbox": [ + 106, + 100, + 505, + 113 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 505, + 113 + ], + "score": 1.0, + "content": "PEFT drastically reduces the memory and storage requirements for training and saving the model. In", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 505, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 505, + 124 + ], + "score": 1.0, + "content": "addition, certain PEFT methods straightforwardly allow mixed-task batches – for example, prompt", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 121, + 505, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 505, + 135 + ], + "score": 1.0, + "content": "tuning enables a single model to perform many tasks simply by concatenating different prompt", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "score": 1.0, + "content": "embeddings to each example in the batch [14]. On the other hand, PEFT methods that re-parameterize", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "the model (e.g. [27, 13]) are costly or onerous for mixed-task batches. Separately, different PEFT", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 507, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 507, + 167 + ], + "score": 1.0, + "content": "methods increase the computation and memory required to perform inference by different amounts.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 505, + 177 + ], + "score": 1.0, + "content": "For example, adapters effectively add additional (small) layers to the model, resulting in small but", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 506, + 188 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 188 + ], + "score": 1.0, + "content": "non-negligible increases in computational costs and memory. An additional cost incurred by PEFT", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 186, + 506, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 506, + 199 + ], + "score": 1.0, + "content": "is the cost of fine-tuning itself, which must be performed once and is then amortized as the model", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "is used for inference. However, we will show that PEFT can be dramatically more computationally", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "efficient when considering both fine-tuning and inference while achieving better accuracy than ICL.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 100, + 507, + 222 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 236, + 267, + 250 + ], + "lines": [ + { + "bbox": [ + 104, + 234, + 269, + 254 + ], + "spans": [ + { + "bbox": [ + 104, + 234, + 269, + 254 + ], + "score": 1.0, + "content": "3 Designing the T-Few Recipe", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 261, + 505, + 349 + ], + "lines": [ + { + "bbox": [ + 106, + 261, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 505, + 274 + ], + "score": 1.0, + "content": "Given that PEFT allows a model to be adapted to a new task with relatively small storage requirements", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 273, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 285 + ], + "score": 1.0, + "content": "and computational cost, we argue that PEFT presents a promising alternative to ICL. Our goal", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "score": 1.0, + "content": "is therefore to develop a recipe that allows a model to attain high accuracy on new tasks with", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 295, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 505, + 307 + ], + "score": 1.0, + "content": "limited labeled examples while allowing mixed-task batches during inference and incurring minimal", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 304, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 505, + 319 + ], + "score": 1.0, + "content": "computational and storage costs. By recipe, we mean a specific model and hyperparameter setting", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 315, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 330 + ], + "score": 1.0, + "content": "that provides strong performance on any new task without manual tuning or per-task adjustments.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 326, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 506, + 340 + ], + "score": 1.0, + "content": "In this way, we can ensure that our approach is a realistic option in few-shot settings where limited", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 338, + 298, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 298, + 350 + ], + "score": 1.0, + "content": "labeled data is available for evaluation [31, 32].", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 261, + 506, + 350 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 363, + 214, + 374 + ], + "lines": [ + { + "bbox": [ + 106, + 363, + 216, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 216, + 376 + ], + "score": 1.0, + "content": "3.1 Model and Datasets", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 536 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "As a first step, we must choose a pre-trained model. Ideally, the model should attain high performance", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "score": 1.0, + "content": "on new tasks after fine-tuning on a limited number of labeled examples. In preliminary experiments", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 417 + ], + "score": 1.0, + "content": "applying PEFT methods to different pre-trained models, we attained the best performance with T0", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "[1]. T0 is based on T5 [15], an encoder-decoder Transformer model [33] that was pre-trained via a", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "score": 1.0, + "content": "masked language modeling objective [34] on a large corpus of unlabeled text data. T0 was created by", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "fine-tuning T5 on a multitask mixture of datasets in order to enable zero-shot generalization, i.e. the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 461 + ], + "score": 1.0, + "content": "ability to perform tasks without any additional gradient-based training. Examples in the datasets used", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "score": 1.0, + "content": "to train T0 were prompted by applying the prompt templates from the Public Pool of Prompts (P3", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "[35]), which convert each example in each dataset to a prompted text-to-text format where each label", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 481, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 493 + ], + "score": 1.0, + "content": "corresponds to a different string. For brevity, we omit a detailed description of T0 and T5; interested", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "readers can refer to Sanh et al. [1] and Raffel et al. [15]. T0 was released in three billion and eleven", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "billion parameter variants, referred to as “T0-3B” and simply “T0” respectively. In this section (where", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "our goal is to design the T-Few recipe through extensive experimentation), we use T0-3B to reduce", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 524, + 488, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 488, + 538 + ], + "score": 1.0, + "content": "computational costs. For all models and experiments, we use Hugging Face Transformers [36].", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 383, + 506, + 538 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 541, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 555 + ], + "score": 1.0, + "content": "While T0 was designed for zero-shot generalization, we will demonstrate that it also attains strong", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 553, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 565 + ], + "score": 1.0, + "content": "performance after fine-tuning with only a few labeled examples. To test T0’s generalization, Sanh et al.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 563, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 505, + 576 + ], + "score": 1.0, + "content": "[1] chose a set of tasks (and corresponding datasets) to hold out from the multitask training mixture", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "– specifically, sentence completion (COPA [37], H-SWAG [38], and Story Cloze [39] datasets),", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "natural language inference (ANLI [40], CB [41], and RTE [42]), coreference resolution (WSC [43]", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "and Winogrande [44]), and word sense disambiguation (WiC [45]). Evaluation of generalization", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 608, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 506, + 620 + ], + "score": 1.0, + "content": "capabilities can then be straightforwardly done by measuring performance on these held-out datasets.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "We also will later test T-Few’s abilities in the RAFT benchmark [2] in section 4.3, a collection of", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "unseen “real-world” few-shot tasks with no validation set and a held-out test set. ANLI, WiC, WSC", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 639, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 652 + ], + "score": 1.0, + "content": "is licensed under a Creative Commons License. Winogrande is licensed under an Apache license.", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "score": 1.0, + "content": "COPA is under a BSD-2 Clause license. We could not find the license of RTE and CB but they are", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 662, + 461, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 461, + 674 + ], + "score": 1.0, + "content": "part of SuperGLUE which mentions the datasets are allowed for use in research context.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 540, + 506, + 674 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "To ease comparison, we use the same number of few-shot training examples for each dataset as Brown", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "et al. [4], which varies from 20 to 70. Unfortunately, the few-shot dataset subsets used by Brown", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "et al. [4] have not been publicly disclosed. To allow for a more robust comparison, we therefore", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "constructed five few-shot datasets by sampling subsets with different seeds and report the median and", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "interquartile range. We prompt examples using a randomly-sampled prompt template from P3 Bach", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "et al. [35] for each example at each step. Unless otherwise stated, we train our model for 1K steps", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 378, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 378, + 107 + ], + "score": 1.0, + "content": "with a batch size of 8 and report performance at the end of training.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 50.5, + "bbox_fs": [ + 105, + 678, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 106 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "interquartile range. We prompt examples using a randomly-sampled prompt template from P3 Bach", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "et al. [35] for each example at each step. Unless otherwise stated, we train our model for 1K steps", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 378, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 378, + 107 + ], + "score": 1.0, + "content": "with a batch size of 8 and report performance at the end of training.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 106, + 110, + 505, + 199 + ], + "lines": [ + { + "bbox": [ + 106, + 110, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 110, + 505, + 123 + ], + "score": 1.0, + "content": "For evaluation, we use “rank classification”, where the model’s log-probabilities for all possible label", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 122, + 505, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 505, + 133 + ], + "score": 1.0, + "content": "strings are ranked and the model’s prediction is considered correct if the highest-ranked choice is the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 133, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 506, + 144 + ], + "score": 1.0, + "content": "correct answer. Rank classification evaluation is compatible with both classification and multiple-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "score": 1.0, + "content": "choice tasks. Since model performance can vary significantly depending on the prompt template used,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "score": 1.0, + "content": "we report the median accuracy across all prompt templates from P3 and across few-shot data subsets", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "for each dataset. For all datasets, we report the accuracy on the test set or validation set when the test", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "labels are not public (e.g. SuperGLUE datasets). In the main text, we report median accuracy across", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 504, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 504, + 200 + ], + "score": 1.0, + "content": "the nine datasets mentioned above. Detailed results on each dataset are provided in the appendices.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6.5 + }, + { + "type": "title", + "bbox": [ + 107, + 212, + 341, + 224 + ], + "lines": [ + { + "bbox": [ + 105, + 211, + 340, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 340, + 226 + ], + "score": 1.0, + "content": "3.2 Unlikelihood Training and Length Normalization", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 232, + 505, + 277 + ], + "lines": [ + { + "bbox": [ + 106, + 232, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 505, + 244 + ], + "score": 1.0, + "content": "Before investigating PEFT methods, we first explore two additional loss terms to improve the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 243, + 505, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 505, + 256 + ], + "score": 1.0, + "content": "performance of few-shot fine-tuning of language models. Language models are normally trained", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 253, + 505, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 202, + 267 + ], + "score": 1.0, + "content": "with cross-entropy loss", + "type": "text" + }, + { + "bbox": [ + 202, + 253, + 333, + 267 + ], + "score": 0.92, + "content": "\\begin{array} { r } { L _ { \\mathrm { L M } } = - \\frac { 1 } { T } \\sum _ { t } \\log \\bar { p } ( y _ { t } | \\mathbf { x } , y _ { < t } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 254, + 505, + 267 + ], + "score": 1.0, + "content": "where the model is trained to increase the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 265, + 470, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 272, + 279 + ], + "score": 1.0, + "content": "probability of the correct target sequence", + "type": "text" + }, + { + "bbox": [ + 272, + 266, + 357, + 277 + ], + "score": 0.88, + "content": "\\mathbf { y } = ( y _ { 1 } , y _ { 2 } , \\dots y _ { T } )", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 265, + 459, + 279 + ], + "score": 1.0, + "content": "given the input sequence", + "type": "text" + }, + { + "bbox": [ + 459, + 267, + 467, + 275 + ], + "score": 0.41, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 265, + 470, + 279 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 108, + 281, + 504, + 315 + ], + "lines": [ + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "score": 1.0, + "content": "For evaluation, we use rank classification (described in section 3.1) which depends on both the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 292, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 292, + 506, + 304 + ], + "score": 1.0, + "content": "probabilities that the model assigns to the correct choice as well as the incorrect choices. To account", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 303, + 352, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 352, + 315 + ], + "score": 1.0, + "content": "for this during training, we add an unlikelihood loss [16, 17]:", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17 + }, + { + "type": "interline_equation", + "bbox": [ + 206, + 320, + 404, + 355 + ], + "lines": [ + { + "bbox": [ + 206, + 320, + 404, + 355 + ], + "spans": [ + { + "bbox": [ + 206, + 320, + 404, + 355 + ], + "score": 0.93, + "content": "L _ { \\mathrm { U L } } = - \\frac { \\sum _ { n = 1 } ^ { N } \\sum _ { t = 1 } ^ { T ^ { ( n ) } } \\log ( 1 - p ( \\hat { y } _ { i } ^ { ( n ) } | \\mathbf { x } , \\hat { y } _ { < t } ^ { ( n ) } ) ) } { \\sum _ { n = 1 } ^ { N } T ^ { ( n ) } }", + "type": "interline_equation", + "image_path": "09597e6adfa17b86f3b9c5cf1f08d608571afbd01f372ddf3b09c30cd5f1d152.jpg" + } + ] + } + ], + "index": 19.5, + "virtual_lines": [ + { + "bbox": [ + 206, + 320, + 404, + 337.5 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 206, + 337.5, + 404, + 355.0 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 361, + 505, + 405 + ], + "lines": [ + { + "bbox": [ + 104, + 360, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 104, + 360, + 474, + 374 + ], + "score": 1.0, + "content": "which discourages the model from predicting tokens from incorrect target sequences, where", + "type": "text" + }, + { + "bbox": [ + 474, + 360, + 505, + 372 + ], + "score": 0.89, + "content": "\\hat { \\mathbf { y } } ^ { ( n ) } =", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 181, + 384 + ], + "score": 0.9, + "content": "\\left( \\hat { y } _ { 1 } , \\hat { y } _ { 2 } , \\dots , \\hat { y } _ { T ^ { ( n ) } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 372, + 205, + 385 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 206, + 374, + 213, + 382 + ], + "score": 0.77, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 372, + 236, + 385 + ], + "score": 1.0, + "content": "-th of", + "type": "text" + }, + { + "bbox": [ + 236, + 372, + 246, + 382 + ], + "score": 0.84, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 372, + 466, + 385 + ], + "score": 1.0, + "content": "incorrect target sequences. We hypothesize that adding", + "type": "text" + }, + { + "bbox": [ + 467, + 372, + 486, + 383 + ], + "score": 0.9, + "content": "L _ { \\mathrm { U L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 372, + 506, + 385 + ], + "score": 1.0, + "content": "will", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 383, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 395 + ], + "score": 1.0, + "content": "improve results on rank classification because the model will be trained to assign lower probabilities", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 394, + 473, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 473, + 406 + ], + "score": 1.0, + "content": "to incorrect choices, thereby improving the chance that the correct choice is ranked highest.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 106, + 410, + 506, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 506, + 423 + ], + "score": 1.0, + "content": "The possible target sequences for a given training example can have significantly different lengths,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 420, + 507, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 507, + 434 + ], + "score": 1.0, + "content": "especially in multiple-choice tasks. Ranking each choice based on probability can therefore “favor”", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 416, + 445 + ], + "score": 1.0, + "content": "shorter choices because the model’s assigned probability to each token is", + "type": "text" + }, + { + "bbox": [ + 416, + 433, + 435, + 443 + ], + "score": 0.87, + "content": "\\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 432, + 506, + 445 + ], + "score": 1.0, + "content": ". To rectify this,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 443, + 506, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 506, + 455 + ], + "score": 1.0, + "content": "we consider using length normalization when performing rank classification, which divides the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 454, + 506, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 466 + ], + "score": 1.0, + "content": "model’s score on each possible answer choice by the number of tokens in the choice (as used in", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "GPT-3 [4]). When using length normalization during evaluation, we introduce an additional loss", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 476, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 505, + 487 + ], + "score": 1.0, + "content": "term during training that more closely reflects length-normalized evaluation. First, we compute the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 103, + 483, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 103, + 483, + 358, + 506 + ], + "score": 1.0, + "content": "length-normalized log probability of a given output sequence", + "type": "text" + }, + { + "bbox": [ + 358, + 486, + 503, + 502 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\beta ( \\mathbf { x } , \\mathbf { y } ) = \\frac { 1 } { T } \\sum _ { t = 1 } ^ { T } \\log p ( y _ { t } | \\mathbf { \\bar { x } } , y _ { < t } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 504, + 483, + 506, + 506 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 498, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 104, + 498, + 506, + 514 + ], + "score": 1.0, + "content": "Then, we maximize the length-normalized log probability of the correct answer choice by minimizing", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 510, + 235, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 235, + 524 + ], + "score": 1.0, + "content": "the softmax cross-entropy loss:", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29.5 + }, + { + "type": "interline_equation", + "bbox": [ + 195, + 527, + 415, + 558 + ], + "lines": [ + { + "bbox": [ + 195, + 527, + 415, + 558 + ], + "spans": [ + { + "bbox": [ + 195, + 527, + 415, + 558 + ], + "score": 0.94, + "content": "L _ { \\mathrm { L N } } = - \\log \\frac { \\exp ( \\beta ( \\mathbf { x } , \\mathbf { y } ) ) } { \\exp ( \\beta ( \\mathbf { x } , \\mathbf { y } ) ) + \\sum _ { n = 1 } ^ { N } \\exp ( \\beta ( \\mathbf { x } , \\hat { \\mathbf { y } } ^ { ( n ) } ) ) }", + "type": "interline_equation", + "image_path": "6bebee14ad649a0aab42ace70b0e9e373d5e77b5b6427bc54162cd106dc05588.jpg" + } + ] + } + ], + "index": 35.5, + "virtual_lines": [ + { + "bbox": [ + 195, + 527, + 415, + 542.5 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 195, + 542.5, + 415, + 558.0 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 562, + 504, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 560, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 218, + 576 + ], + "score": 1.0, + "content": "When training a model with", + "type": "text" + }, + { + "bbox": [ + 219, + 562, + 263, + 573 + ], + "score": 0.29, + "content": "L _ { \\mathrm { L M } } , L _ { \\mathrm { U L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 560, + 283, + 576 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 283, + 562, + 302, + 573 + ], + "score": 0.9, + "content": "L _ { \\mathrm { L N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 560, + 506, + 576 + ], + "score": 1.0, + "content": ", we simply sum them. This avoids introducing any", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "hyperparameters that would be problematic to tune in the few-shot setting (where realistically-sized", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 584, + 289, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 584, + 289, + 596 + ], + "score": 1.0, + "content": "validation sets are tiny by necessity [31, 32]).", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 600, + 505, + 655 + ], + "lines": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "score": 1.0, + "content": "We report the results of fine-tuning all of T0-3B’s parameters with and without length normalization", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 609, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 303, + 625 + ], + "score": 1.0, + "content": "on all datasets in appendix B. We find that adding", + "type": "text" + }, + { + "bbox": [ + 303, + 611, + 323, + 622 + ], + "score": 0.9, + "content": "L _ { \\mathrm { L N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 609, + 435, + 625 + ], + "score": 1.0, + "content": "improves the accuracy from", + "type": "text" + }, + { + "bbox": [ + 435, + 611, + 462, + 622 + ], + "score": 0.86, + "content": "6 0 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 609, + 473, + 625 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 473, + 611, + 505, + 622 + ], + "score": 0.86, + "content": "6 2 . 7 1 \\%", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 622, + 506, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 184, + 635 + ], + "score": 1.0, + "content": "and including both", + "type": "text" + }, + { + "bbox": [ + 185, + 622, + 204, + 633 + ], + "score": 0.91, + "content": "L _ { \\mathrm { U L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 622, + 222, + 635 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 222, + 622, + 241, + 633 + ], + "score": 0.9, + "content": "L _ { \\mathrm { L N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 622, + 382, + 635 + ], + "score": 1.0, + "content": "provides a further improvement to", + "type": "text" + }, + { + "bbox": [ + 383, + 622, + 410, + 633 + ], + "score": 0.86, + "content": "6 3 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 622, + 506, + 635 + ], + "score": 1.0, + "content": ". Since these loss terms", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "score": 1.0, + "content": "improve performance without introducing any additional hyperparameters, we include them in our", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 644, + 305, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 305, + 657 + ], + "score": 1.0, + "content": "recipe and use them in all following experiments.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42 + }, + { + "type": "title", + "bbox": [ + 106, + 668, + 310, + 680 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 311, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 311, + 682 + ], + "score": 1.0, + "content": "3.3 Parameter-efficient fine-tuning with (IA)3", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 107, + 688, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 702 + ], + "score": 1.0, + "content": "In order to compare favorably to few-shot ICL, we need a PEFT method that has the following", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "score": 1.0, + "content": "properties: First, it must add or update as few parameters as possible to avoid incurring storage", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 711, + 507, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 507, + 723 + ], + "score": 1.0, + "content": "and memory costs. Second, it should achieve strong accuracy after few-shot training on new tasks.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47 + } + ], + "page_idx": 4, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "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": "text", + "bbox": [ + 107, + 72, + 505, + 106 + ], + "lines": [], + "index": 1, + "bbox_fs": [ + 105, + 73, + 505, + 107 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 110, + 505, + 199 + ], + "lines": [ + { + "bbox": [ + 106, + 110, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 110, + 505, + 123 + ], + "score": 1.0, + "content": "For evaluation, we use “rank classification”, where the model’s log-probabilities for all possible label", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 122, + 505, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 505, + 133 + ], + "score": 1.0, + "content": "strings are ranked and the model’s prediction is considered correct if the highest-ranked choice is the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 133, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 506, + 144 + ], + "score": 1.0, + "content": "correct answer. Rank classification evaluation is compatible with both classification and multiple-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 506, + 156 + ], + "score": 1.0, + "content": "choice tasks. Since model performance can vary significantly depending on the prompt template used,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "score": 1.0, + "content": "we report the median accuracy across all prompt templates from P3 and across few-shot data subsets", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "for each dataset. For all datasets, we report the accuracy on the test set or validation set when the test", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "labels are not public (e.g. SuperGLUE datasets). In the main text, we report median accuracy across", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 504, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 504, + 200 + ], + "score": 1.0, + "content": "the nine datasets mentioned above. Detailed results on each dataset are provided in the appendices.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6.5, + "bbox_fs": [ + 105, + 110, + 506, + 200 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 212, + 341, + 224 + ], + "lines": [ + { + "bbox": [ + 105, + 211, + 340, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 340, + 226 + ], + "score": 1.0, + "content": "3.2 Unlikelihood Training and Length Normalization", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 232, + 505, + 277 + ], + "lines": [ + { + "bbox": [ + 106, + 232, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 505, + 244 + ], + "score": 1.0, + "content": "Before investigating PEFT methods, we first explore two additional loss terms to improve the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 243, + 505, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 505, + 256 + ], + "score": 1.0, + "content": "performance of few-shot fine-tuning of language models. Language models are normally trained", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 253, + 505, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 202, + 267 + ], + "score": 1.0, + "content": "with cross-entropy loss", + "type": "text" + }, + { + "bbox": [ + 202, + 253, + 333, + 267 + ], + "score": 0.92, + "content": "\\begin{array} { r } { L _ { \\mathrm { L M } } = - \\frac { 1 } { T } \\sum _ { t } \\log \\bar { p } ( y _ { t } | \\mathbf { x } , y _ { < t } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 254, + 505, + 267 + ], + "score": 1.0, + "content": "where the model is trained to increase the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 265, + 470, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 272, + 279 + ], + "score": 1.0, + "content": "probability of the correct target sequence", + "type": "text" + }, + { + "bbox": [ + 272, + 266, + 357, + 277 + ], + "score": 0.88, + "content": "\\mathbf { y } = ( y _ { 1 } , y _ { 2 } , \\dots y _ { T } )", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 265, + 459, + 279 + ], + "score": 1.0, + "content": "given the input sequence", + "type": "text" + }, + { + "bbox": [ + 459, + 267, + 467, + 275 + ], + "score": 0.41, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 265, + 470, + 279 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 232, + 505, + 279 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 281, + 504, + 315 + ], + "lines": [ + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "score": 1.0, + "content": "For evaluation, we use rank classification (described in section 3.1) which depends on both the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 292, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 292, + 506, + 304 + ], + "score": 1.0, + "content": "probabilities that the model assigns to the correct choice as well as the incorrect choices. To account", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 303, + 352, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 352, + 315 + ], + "score": 1.0, + "content": "for this during training, we add an unlikelihood loss [16, 17]:", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 280, + 506, + 315 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 206, + 320, + 404, + 355 + ], + "lines": [ + { + "bbox": [ + 206, + 320, + 404, + 355 + ], + "spans": [ + { + "bbox": [ + 206, + 320, + 404, + 355 + ], + "score": 0.93, + "content": "L _ { \\mathrm { U L } } = - \\frac { \\sum _ { n = 1 } ^ { N } \\sum _ { t = 1 } ^ { T ^ { ( n ) } } \\log ( 1 - p ( \\hat { y } _ { i } ^ { ( n ) } | \\mathbf { x } , \\hat { y } _ { < t } ^ { ( n ) } ) ) } { \\sum _ { n = 1 } ^ { N } T ^ { ( n ) } }", + "type": "interline_equation", + "image_path": "09597e6adfa17b86f3b9c5cf1f08d608571afbd01f372ddf3b09c30cd5f1d152.jpg" + } + ] + } + ], + "index": 19.5, + "virtual_lines": [ + { + "bbox": [ + 206, + 320, + 404, + 337.5 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 206, + 337.5, + 404, + 355.0 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 361, + 505, + 405 + ], + "lines": [ + { + "bbox": [ + 104, + 360, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 104, + 360, + 474, + 374 + ], + "score": 1.0, + "content": "which discourages the model from predicting tokens from incorrect target sequences, where", + "type": "text" + }, + { + "bbox": [ + 474, + 360, + 505, + 372 + ], + "score": 0.89, + "content": "\\hat { \\mathbf { y } } ^ { ( n ) } =", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 181, + 384 + ], + "score": 0.9, + "content": "\\left( \\hat { y } _ { 1 } , \\hat { y } _ { 2 } , \\dots , \\hat { y } _ { T ^ { ( n ) } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 372, + 205, + 385 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 206, + 374, + 213, + 382 + ], + "score": 0.77, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 372, + 236, + 385 + ], + "score": 1.0, + "content": "-th of", + "type": "text" + }, + { + "bbox": [ + 236, + 372, + 246, + 382 + ], + "score": 0.84, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 372, + 466, + 385 + ], + "score": 1.0, + "content": "incorrect target sequences. We hypothesize that adding", + "type": "text" + }, + { + "bbox": [ + 467, + 372, + 486, + 383 + ], + "score": 0.9, + "content": "L _ { \\mathrm { U L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 372, + 506, + 385 + ], + "score": 1.0, + "content": "will", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 383, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 395 + ], + "score": 1.0, + "content": "improve results on rank classification because the model will be trained to assign lower probabilities", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 394, + 473, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 473, + 406 + ], + "score": 1.0, + "content": "to incorrect choices, thereby improving the chance that the correct choice is ranked highest.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5, + "bbox_fs": [ + 104, + 360, + 506, + 406 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 410, + 506, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 506, + 423 + ], + "score": 1.0, + "content": "The possible target sequences for a given training example can have significantly different lengths,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 420, + 507, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 507, + 434 + ], + "score": 1.0, + "content": "especially in multiple-choice tasks. Ranking each choice based on probability can therefore “favor”", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 416, + 445 + ], + "score": 1.0, + "content": "shorter choices because the model’s assigned probability to each token is", + "type": "text" + }, + { + "bbox": [ + 416, + 433, + 435, + 443 + ], + "score": 0.87, + "content": "\\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 432, + 506, + 445 + ], + "score": 1.0, + "content": ". To rectify this,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 443, + 506, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 506, + 455 + ], + "score": 1.0, + "content": "we consider using length normalization when performing rank classification, which divides the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 454, + 506, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 466 + ], + "score": 1.0, + "content": "model’s score on each possible answer choice by the number of tokens in the choice (as used in", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "GPT-3 [4]). When using length normalization during evaluation, we introduce an additional loss", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 476, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 505, + 487 + ], + "score": 1.0, + "content": "term during training that more closely reflects length-normalized evaluation. First, we compute the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 103, + 483, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 103, + 483, + 358, + 506 + ], + "score": 1.0, + "content": "length-normalized log probability of a given output sequence", + "type": "text" + }, + { + "bbox": [ + 358, + 486, + 503, + 502 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\beta ( \\mathbf { x } , \\mathbf { y } ) = \\frac { 1 } { T } \\sum _ { t = 1 } ^ { T } \\log p ( y _ { t } | \\mathbf { \\bar { x } } , y _ { < t } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 504, + 483, + 506, + 506 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 498, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 104, + 498, + 506, + 514 + ], + "score": 1.0, + "content": "Then, we maximize the length-normalized log probability of the correct answer choice by minimizing", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 510, + 235, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 235, + 524 + ], + "score": 1.0, + "content": "the softmax cross-entropy loss:", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29.5, + "bbox_fs": [ + 103, + 410, + 507, + 524 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 195, + 527, + 415, + 558 + ], + "lines": [ + { + "bbox": [ + 195, + 527, + 415, + 558 + ], + "spans": [ + { + "bbox": [ + 195, + 527, + 415, + 558 + ], + "score": 0.94, + "content": "L _ { \\mathrm { L N } } = - \\log \\frac { \\exp ( \\beta ( \\mathbf { x } , \\mathbf { y } ) ) } { \\exp ( \\beta ( \\mathbf { x } , \\mathbf { y } ) ) + \\sum _ { n = 1 } ^ { N } \\exp ( \\beta ( \\mathbf { x } , \\hat { \\mathbf { y } } ^ { ( n ) } ) ) }", + "type": "interline_equation", + "image_path": "6bebee14ad649a0aab42ace70b0e9e373d5e77b5b6427bc54162cd106dc05588.jpg" + } + ] + } + ], + "index": 35.5, + "virtual_lines": [ + { + "bbox": [ + 195, + 527, + 415, + 542.5 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 195, + 542.5, + 415, + 558.0 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 562, + 504, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 560, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 218, + 576 + ], + "score": 1.0, + "content": "When training a model with", + "type": "text" + }, + { + "bbox": [ + 219, + 562, + 263, + 573 + ], + "score": 0.29, + "content": "L _ { \\mathrm { L M } } , L _ { \\mathrm { U L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 560, + 283, + 576 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 283, + 562, + 302, + 573 + ], + "score": 0.9, + "content": "L _ { \\mathrm { L N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 560, + 506, + 576 + ], + "score": 1.0, + "content": ", we simply sum them. This avoids introducing any", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "hyperparameters that would be problematic to tune in the few-shot setting (where realistically-sized", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 584, + 289, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 584, + 289, + 596 + ], + "score": 1.0, + "content": "validation sets are tiny by necessity [31, 32]).", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 560, + 506, + 596 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 600, + 505, + 655 + ], + "lines": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "score": 1.0, + "content": "We report the results of fine-tuning all of T0-3B’s parameters with and without length normalization", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 609, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 303, + 625 + ], + "score": 1.0, + "content": "on all datasets in appendix B. We find that adding", + "type": "text" + }, + { + "bbox": [ + 303, + 611, + 323, + 622 + ], + "score": 0.9, + "content": "L _ { \\mathrm { L N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 609, + 435, + 625 + ], + "score": 1.0, + "content": "improves the accuracy from", + "type": "text" + }, + { + "bbox": [ + 435, + 611, + 462, + 622 + ], + "score": 0.86, + "content": "6 0 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 609, + 473, + 625 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 473, + 611, + 505, + 622 + ], + "score": 0.86, + "content": "6 2 . 7 1 \\%", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 622, + 506, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 184, + 635 + ], + "score": 1.0, + "content": "and including both", + "type": "text" + }, + { + "bbox": [ + 185, + 622, + 204, + 633 + ], + "score": 0.91, + "content": "L _ { \\mathrm { U L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 622, + 222, + 635 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 222, + 622, + 241, + 633 + ], + "score": 0.9, + "content": "L _ { \\mathrm { L N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 622, + 382, + 635 + ], + "score": 1.0, + "content": "provides a further improvement to", + "type": "text" + }, + { + "bbox": [ + 383, + 622, + 410, + 633 + ], + "score": 0.86, + "content": "6 3 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 622, + 506, + 635 + ], + "score": 1.0, + "content": ". Since these loss terms", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "score": 1.0, + "content": "improve performance without introducing any additional hyperparameters, we include them in our", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 644, + 305, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 305, + 657 + ], + "score": 1.0, + "content": "recipe and use them in all following experiments.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 600, + 506, + 657 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 668, + 310, + 680 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 311, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 311, + 682 + ], + "score": 1.0, + "content": "3.3 Parameter-efficient fine-tuning with (IA)3", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 107, + 688, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 702 + ], + "score": 1.0, + "content": "In order to compare favorably to few-shot ICL, we need a PEFT method that has the following", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "score": 1.0, + "content": "properties: First, it must add or update as few parameters as possible to avoid incurring storage", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 711, + 507, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 507, + 723 + ], + "score": 1.0, + "content": "and memory costs. Second, it should achieve strong accuracy after few-shot training on new tasks.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 687, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 193 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Finally, it must allow for mixed-task batches, since that is a capability of ICL. In order to easily", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "enable mixed-task batches, a PEFT method should ideally not modify the model itself. Otherwise,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 506, + 107 + ], + "score": 1.0, + "content": "each example in a batch would effectively need to be processed by a different model or computational", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "graph. A more convenient alternative is provided by methods that directly modify the activations of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 506, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 130 + ], + "score": 1.0, + "content": "the model since this can be done independently and cheaply to each example in the batch according", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 127, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 506, + 140 + ], + "score": 1.0, + "content": "to which task the example corresponds to. Prompt tuning and prefix tuning methods [14, 29] work by", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 138, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 506, + 150 + ], + "score": 1.0, + "content": "concatenating learned vectors to activation or embedding sequences and are therefore examples of", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "score": 1.0, + "content": "activation-modifying PEFT methods that allow for mixed-task batches. However, as we will discuss", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "score": 1.0, + "content": "later, we were unable to attain reasonable accuracy with prompt tuning and found that the more", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "score": 1.0, + "content": "performant PEFT methods did not allow for mixed-task batches. We therefore developed a new PEFT", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 182, + 243, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 243, + 194 + ], + "score": 1.0, + "content": "method that meets our desiderata.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 198, + 505, + 308 + ], + "lines": [ + { + "bbox": [ + 106, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "As an alternative, we explored element-wise multiplication (i.e. rescaling) of the model’s activations", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 406, + 222 + ], + "score": 1.0, + "content": "against a learned vector. Specifically, we consider adaptation of the form", + "type": "text" + }, + { + "bbox": [ + 406, + 209, + 429, + 219 + ], + "score": 0.86, + "content": "l \\odot x", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 208, + 457, + 222 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 458, + 208, + 487, + 219 + ], + "score": 0.91, + "content": "l \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 208, + 506, + 222 + ], + "score": 1.0, + "content": "is a", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 217, + 504, + 234 + ], + "spans": [ + { + "bbox": [ + 104, + 217, + 220, + 234 + ], + "score": 1.0, + "content": "learned task-specific vector,", + "type": "text" + }, + { + "bbox": [ + 220, + 221, + 229, + 230 + ], + "score": 0.81, + "content": "\\odot", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 217, + 406, + 234 + ], + "score": 1.0, + "content": "represents element-wise multiplication, and", + "type": "text" + }, + { + "bbox": [ + 407, + 219, + 450, + 230 + ], + "score": 0.92, + "content": "\\boldsymbol { x } \\in \\mathbb { R } ^ { T \\times d }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 217, + 495, + 234 + ], + "score": 1.0, + "content": "is a length-", + "type": "text" + }, + { + "bbox": [ + 496, + 221, + 504, + 230 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + } + ], + "index": 13 + }, + { + "bbox": [ + 103, + 227, + 503, + 247 + ], + "spans": [ + { + "bbox": [ + 103, + 227, + 388, + 247 + ], + "score": 1.0, + "content": "sequence of activations. We use “broadcasting notation” [46] so that the", + "type": "text" + }, + { + "bbox": [ + 388, + 231, + 416, + 243 + ], + "score": 0.93, + "content": "( i , j ) ^ { \\mathrm { t h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 227, + 450, + 247 + ], + "score": 1.0, + "content": "entry of", + "type": "text" + }, + { + "bbox": [ + 450, + 231, + 470, + 242 + ], + "score": 0.89, + "content": "l \\odot x", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 227, + 479, + 247 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 480, + 231, + 503, + 243 + ], + "score": 0.91, + "content": "l _ { j } x _ { i , j }", + "type": "inline_equation" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 242, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 506, + 254 + ], + "score": 1.0, + "content": "In preliminary experiments, we found it was not necessary to introduce a learned rescaling vector", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 252, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 505, + 266 + ], + "score": 1.0, + "content": "for each set of activations in the Transformer model. Instead, we found it was sufficient to introduce", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "rescaling vectors on the keys and values in self-attention and encoder-decoder attention mechanisms", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "score": 1.0, + "content": "and on the intermediate activation of the position-wise feed-forward networks. Specifically, using", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 284, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 405, + 298 + ], + "score": 1.0, + "content": "the notation from Vaswani et al. 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We call our", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 140, + 423 + ], + "score": 1.0, + "content": "method", + "type": "text" + }, + { + "bbox": [ + 141, + 410, + 165, + 421 + ], + "score": 0.62, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 410, + 506, + 423 + ], + "score": 1.0, + "content": ", which stands for “Infused Adapter by Inhibiting and Amplifying Inner Activations”.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 426, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 107, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 107, + 426, + 132, + 438 + ], + "score": 0.33, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "makes mixed-task batches possible because each sequence of activations in the batch can be", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "separately and cheaply multiplied by its associated learned task vector. We also note that, in the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 448, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 104, + 448, + 462, + 462 + ], + "score": 1.0, + "content": "event that a model will only be used on a single task, the modifications introduced by", + "type": "text" + }, + { + "bbox": [ + 462, + 448, + 487, + 460 + ], + "score": 0.68, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 448, + 506, + 462 + ], + "score": 1.0, + "content": "can", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "score": 1.0, + "content": "also be applied to weight matrices permanently so that no elementwise multiplication is required and", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "the model’s architecture remains unchanged. This possible because element-wise multiplications", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 162, + 494 + ], + "score": 1.0, + "content": "performed in", + "type": "text" + }, + { + "bbox": [ + 162, + 481, + 187, + 492 + ], + "score": 0.32, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 481, + 387, + 494 + ], + "score": 1.0, + "content": "always co-occur with a matrix multiplication, and", + "type": "text" + }, + { + "bbox": [ + 388, + 481, + 473, + 493 + ], + "score": 0.91, + "content": "l \\odot W x = ( l \\odot W ) x", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 481, + 506, + 494 + ], + "score": 1.0, + "content": ". In this", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 493, + 466, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 466, + 505 + ], + "score": 1.0, + "content": "case, our method incurs no additional computational cost compared to the original model.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 508, + 506, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "score": 1.0, + "content": "To validate (IA)3, we compare it to a large variety of existing adaptation methods in our setting of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 519, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 533 + ], + "score": 1.0, + "content": "fine-tuning T0-3B on few-shot datasets from held-out tasks. 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Additionally, we", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 617, + 507, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 507, + 631 + ], + "score": 1.0, + "content": "include the baselines of full-model fine-tuning and updating only the layer normalization parameters.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 628, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 643 + ], + "score": 1.0, + "content": "For certain methods that allow changing the parameter efficiency, we report results for different", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 144, + 653 + ], + "score": 1.0, + "content": "budgets:", + "type": "text" + }, + { + "bbox": [ + 144, + 640, + 167, + 650 + ], + "score": 0.87, + "content": "0 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 639, + 185, + 653 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 185, + 640, + 213, + 650 + ], + "score": 0.88, + "content": "0 . 0 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "sparsity for FISH Mask, 10 and 100 learned prompt vectors for prompt", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 650, + 405, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 405, + 663 + ], + "score": 1.0, + "content": "tuning, and 20,000- or 500,000-dimensional subspaces for Intrinsic SAID.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 43.5 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "score": 1.0, + "content": "The results are shown in fig. 2, with detailed per-dataset results in appendix C. We find that (IA)3", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "is the only method that attains higher accuracy than the full-model-fine-tuning baseline. While", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "score": 1.0, + "content": "other PEFT methods (e.g. Intrinsic SAID and prompt tuning) update or introduce fewer parameters,", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 107, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 107, + 699, + 132, + 711 + ], + "score": 0.62, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "performs considerably better. Our results and setting differ with some past work on the", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 710, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 724 + ], + "score": 1.0, + "content": "PEFT methods we compare against. Mahabadi et al. [28] report that Compacter and Compacter++", + "type": "text" + } + ], + "index": 55 + } + ], + "index": 53 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 193 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Finally, it must allow for mixed-task batches, since that is a capability of ICL. In order to easily", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "enable mixed-task batches, a PEFT method should ideally not modify the model itself. Otherwise,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 506, + 107 + ], + "score": 1.0, + "content": "each example in a batch would effectively need to be processed by a different model or computational", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "graph. A more convenient alternative is provided by methods that directly modify the activations of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 506, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 130 + ], + "score": 1.0, + "content": "the model since this can be done independently and cheaply to each example in the batch according", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 127, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 506, + 140 + ], + "score": 1.0, + "content": "to which task the example corresponds to. Prompt tuning and prefix tuning methods [14, 29] work by", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 138, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 506, + 150 + ], + "score": 1.0, + "content": "concatenating learned vectors to activation or embedding sequences and are therefore examples of", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "score": 1.0, + "content": "activation-modifying PEFT methods that allow for mixed-task batches. However, as we will discuss", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "score": 1.0, + "content": "later, we were unable to attain reasonable accuracy with prompt tuning and found that the more", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 505, + 183 + ], + "score": 1.0, + "content": "performant PEFT methods did not allow for mixed-task batches. We therefore developed a new PEFT", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 182, + 243, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 243, + 194 + ], + "score": 1.0, + "content": "method that meets our desiderata.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5, + "bbox_fs": [ + 105, + 73, + 506, + 194 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 198, + 505, + 308 + ], + "lines": [ + { + "bbox": [ + 106, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "As an alternative, we explored element-wise multiplication (i.e. rescaling) of the model’s activations", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 406, + 222 + ], + "score": 1.0, + "content": "against a learned vector. Specifically, we consider adaptation of the form", + "type": "text" + }, + { + "bbox": [ + 406, + 209, + 429, + 219 + ], + "score": 0.86, + "content": "l \\odot x", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 208, + 457, + 222 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 458, + 208, + 487, + 219 + ], + "score": 0.91, + "content": "l \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 208, + 506, + 222 + ], + "score": 1.0, + "content": "is a", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 217, + 504, + 234 + ], + "spans": [ + { + "bbox": [ + 104, + 217, + 220, + 234 + ], + "score": 1.0, + "content": "learned task-specific vector,", + "type": "text" + }, + { + "bbox": [ + 220, + 221, + 229, + 230 + ], + "score": 0.81, + "content": "\\odot", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 217, + 406, + 234 + ], + "score": 1.0, + "content": "represents element-wise multiplication, and", + "type": "text" + }, + { + "bbox": [ + 407, + 219, + 450, + 230 + ], + "score": 0.92, + "content": "\\boldsymbol { x } \\in \\mathbb { R } ^ { T \\times d }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 217, + 495, + 234 + ], + "score": 1.0, + "content": "is a length-", + "type": "text" + }, + { + "bbox": [ + 496, + 221, + 504, + 230 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + } + ], + "index": 13 + }, + { + "bbox": [ + 103, + 227, + 503, + 247 + ], + "spans": [ + { + "bbox": [ + 103, + 227, + 388, + 247 + ], + "score": 1.0, + "content": "sequence of activations. We use “broadcasting notation” [46] so that the", + "type": "text" + }, + { + "bbox": [ + 388, + 231, + 416, + 243 + ], + "score": 0.93, + "content": "( i , j ) ^ { \\mathrm { t h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 227, + 450, + 247 + ], + "score": 1.0, + "content": "entry of", + "type": "text" + }, + { + "bbox": [ + 450, + 231, + 470, + 242 + ], + "score": 0.89, + "content": "l \\odot x", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 227, + 479, + 247 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 480, + 231, + 503, + 243 + ], + "score": 0.91, + "content": "l _ { j } x _ { i , j }", + "type": "inline_equation" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 242, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 506, + 254 + ], + "score": 1.0, + "content": "In preliminary experiments, we found it was not necessary to introduce a learned rescaling vector", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 252, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 505, + 266 + ], + "score": 1.0, + "content": "for each set of activations in the Transformer model. Instead, we found it was sufficient to introduce", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "rescaling vectors on the keys and values in self-attention and encoder-decoder attention mechanisms", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "score": 1.0, + "content": "and on the intermediate activation of the position-wise feed-forward networks. Specifically, using", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 284, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 405, + 298 + ], + "score": 1.0, + "content": "the notation from Vaswani et al. 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We introduce a separate set of", + "type": "text" + }, + { + "bbox": [ + 316, + 357, + 337, + 367 + ], + "score": 0.9, + "content": "l _ { \\mathrm { k } } , l _ { \\mathrm { v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 356, + 358, + 369 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 358, + 357, + 368, + 367 + ], + "score": 0.87, + "content": "l _ { \\mathrm { f f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "vectors in each Transformer layer", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 366, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 104, + 366, + 211, + 380 + ], + "score": 1.0, + "content": "block. This adds a total of", + "type": "text" + }, + { + "bbox": [ + 211, + 367, + 279, + 379 + ], + "score": 0.92, + "content": "L ( d _ { k } + d _ { v } + \\bar { d } _ { \\mathrm { f f } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 366, + 364, + 380 + ], + "score": 1.0, + "content": "new parameters for a", + "type": "text" + }, + { + "bbox": [ + 365, + 368, + 372, + 377 + ], + "score": 0.82, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 366, + 506, + 380 + ], + "score": 1.0, + "content": "-layer-block Transformer encoder", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 124, + 390 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 378, + 207, + 390 + ], + "score": 0.91, + "content": "L ( 2 d _ { k } + 2 d _ { v } + d _ { \\mathrm { f f } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "(with factors of 2 accounting for the presence of both self-attention and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 388, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 236, + 401 + ], + "score": 1.0, + "content": "encoder-decoder attention) for a", + "type": "text" + }, + { + "bbox": [ + 236, + 389, + 245, + 399 + ], + "score": 0.78, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 388, + 330, + 401 + ], + "score": 1.0, + "content": "-layer-block decoder.", + "type": "text" + }, + { + "bbox": [ + 330, + 389, + 352, + 400 + ], + "score": 0.91, + "content": "l _ { \\mathrm { k } } , l _ { \\mathrm { v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 388, + 372, + 401 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 372, + 389, + 382, + 400 + ], + "score": 0.86, + "content": "l _ { \\mathrm { f f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 388, + 505, + 401 + ], + "score": 1.0, + "content": "are all initialized with ones so", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 400, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 505, + 412 + ], + "score": 1.0, + "content": "that the overall function computed by the model does not change when they are added. We call our", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 140, + 423 + ], + "score": 1.0, + "content": "method", + "type": "text" + }, + { + "bbox": [ + 141, + 410, + 165, + 421 + ], + "score": 0.62, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 410, + 506, + 423 + ], + "score": 1.0, + "content": ", which stands for “Infused Adapter by Inhibiting and Amplifying Inner Activations”.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26, + "bbox_fs": [ + 104, + 344, + 506, + 423 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 426, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 107, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 107, + 426, + 132, + 438 + ], + "score": 0.33, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "makes mixed-task batches possible because each sequence of activations in the batch can be", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "separately and cheaply multiplied by its associated learned task vector. We also note that, in the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 448, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 104, + 448, + 462, + 462 + ], + "score": 1.0, + "content": "event that a model will only be used on a single task, the modifications introduced by", + "type": "text" + }, + { + "bbox": [ + 462, + 448, + 487, + 460 + ], + "score": 0.68, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 448, + 506, + 462 + ], + "score": 1.0, + "content": "can", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "score": 1.0, + "content": "also be applied to weight matrices permanently so that no elementwise multiplication is required and", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "the model’s architecture remains unchanged. This possible because element-wise multiplications", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 162, + 494 + ], + "score": 1.0, + "content": "performed in", + "type": "text" + }, + { + "bbox": [ + 162, + 481, + 187, + 492 + ], + "score": 0.32, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 481, + 387, + 494 + ], + "score": 1.0, + "content": "always co-occur with a matrix multiplication, and", + "type": "text" + }, + { + "bbox": [ + 388, + 481, + 473, + 493 + ], + "score": 0.91, + "content": "l \\odot W x = ( l \\odot W ) x", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 481, + 506, + 494 + ], + "score": 1.0, + "content": ". In this", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 493, + 466, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 466, + 505 + ], + "score": 1.0, + "content": "case, our method incurs no additional computational cost compared to the original model.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33, + "bbox_fs": [ + 104, + 426, + 506, + 505 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 508, + 506, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "score": 1.0, + "content": "To validate (IA)3, we compare it to a large variety of existing adaptation methods in our setting of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 519, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 533 + ], + "score": 1.0, + "content": "fine-tuning T0-3B on few-shot datasets from held-out tasks. Specifically, we compare with 9 strong", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "PEFT methods: BitFit [47] which updates only the bias parameters; Adapters [23] which introduce", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "task-specific layers after the self-attention and position-wise feed-forward networks; Compacter and", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 150, + 565 + ], + "score": 1.0, + "content": "Compacter", + "type": "text" + }, + { + "bbox": [ + 150, + 554, + 163, + 563 + ], + "score": 0.49, + "content": "^ { + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "[28] which improve upon adapters by using low-rank matrices and hypercomplex mul-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "tiplication; prompt tuning [14] which learns task-specific prompt embeddings that are concatenated to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 573, + 507, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 507, + 588 + ], + "score": 1.0, + "content": "the model’s input; FISH Mask [26] which chooses a subset of parameters to update based on their ap-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 585, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 597 + ], + "score": 1.0, + "content": "proximate Fisher information; Intrinsic SAID [27] which performs optimization in a low-dimensional", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "subspace; prefix-tuning [29] which learns task-specific vectors that are concatenated to the model’s", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 606, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 620 + ], + "score": 1.0, + "content": "activations; and LoRA [13] which assigns low-rank updates to parameter matrices. 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We find that (IA)3", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "is the only method that attains higher accuracy than the full-model-fine-tuning baseline. While", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "score": 1.0, + "content": "other PEFT methods (e.g. Intrinsic SAID and prompt tuning) update or introduce fewer parameters,", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 107, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 107, + 699, + 132, + 711 + ], + "score": 0.62, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "performs considerably better. 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[48] found that", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 93, + 506, + 109 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 109 + ], + "score": 1.0, + "content": "prompt tuning performed well when applied to a multitask fine-tuned model in the few-shot setting.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 506, + 118 + ], + "score": 1.0, + "content": "In both cases, we experimented with various hyperparameter choices to try to match past results.", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 129 + ], + "score": 1.0, + "content": "We hypothesize the disagreement comes from us using a different model and different datasets. 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We find that pre-training improves fine-tuned accuracy", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 105, + 566, + 314, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 314, + 580 + ], + "score": 1.0, + "content": "from 64.6 to 65.8 and therefore add it to our recipe.", + "type": "text" + } + ], + "index": 60 + } + ], + "index": 56 + }, + { + "type": "title", + "bbox": [ + 107, + 592, + 244, + 604 + ], + "lines": [ + { + "bbox": [ + 105, + 590, + 245, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 245, + 606 + ], + "score": 1.0, + "content": "3.5 Combining the ingredients", + "type": "text" + } + ], + "index": 61 + } + ], + "index": 61 + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "score": 1.0, + "content": "In summary, the T-Few recipe is defined as follows: We use the T0 model as a backbone. 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We find that pre-training improves fine-tuned accuracy", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 105, + 566, + 314, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 314, + 580 + ], + "score": 1.0, + "content": "from 64.6 to 65.8 and therefore add it to our recipe.", + "type": "text" + } + ], + "index": 60 + } + ], + "index": 56, + "bbox_fs": [ + 105, + 480, + 506, + 580 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 592, + 244, + 604 + ], + "lines": [ + { + "bbox": [ + 105, + 590, + 245, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 245, + 606 + ], + "score": 1.0, + "content": "3.5 Combining the ingredients", + "type": "text" + } + ], + "index": 61 + } + ], + "index": 61 + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "score": 1.0, + "content": "In summary, the T-Few recipe is defined as follows: We use the T0 model as a backbone. 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As an objective, we use the sum of a standard language modeling", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 125, + 658 + ], + "score": 1.0, + "content": "loss", + "type": "text" + }, + { + "bbox": [ + 125, + 646, + 145, + 656 + ], + "score": 0.9, + "content": "L _ { \\mathrm { L M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 645, + 234, + 658 + ], + "score": 1.0, + "content": ", an unlikelihood loss", + "type": "text" + }, + { + "bbox": [ + 235, + 646, + 254, + 657 + ], + "score": 0.91, + "content": "L _ { \\mathrm { U L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 645, + 464, + 658 + ], + "score": 1.0, + "content": "for incorrect choices, and a length-normalized loss", + "type": "text" + }, + { + "bbox": [ + 465, + 645, + 484, + 656 + ], + "score": 0.89, + "content": "L _ { \\mathrm { L N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 645, + 506, + 658 + ], + "score": 1.0, + "content": ". We", + "type": "text" + } + ], + "index": 65 + }, + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "train for 1,000 steps with a batch size of 8 sequences using the Adafactor optimizer [49] with a", + "type": "text" + } + ], + "index": 66 + }, + { + "bbox": [ + 105, + 665, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 168, + 680 + ], + "score": 1.0, + "content": "learning rate of", + "type": "text" + }, + { + "bbox": [ + 168, + 667, + 190, + 677 + ], + "score": 0.91, + "content": "3 e ^ { - 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 665, + 506, + 680 + ], + "score": 1.0, + "content": "and a linear decay schedule with a 60-step warmup. We apply prompt templates", + "type": "text" + } + ], + "index": 67 + }, + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "to downstream datasets during training and inference to convert each example into an instructive", + "type": "text" + } + ], + "index": 68 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "text-to-text format. Importantly, we apply this recipe to every downstream dataset in exactly the same", + "type": "text" + } + ], + "index": 69 + }, + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "way without per-dataset hyperparameter tuning or modifications. This makes the recipe a realistic", + "type": "text" + } + ], + "index": 70 + }, + { + "bbox": [ + 105, + 711, + 462, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 462, + 723 + ], + "score": 1.0, + "content": "option for few-shot learning settings where validation sets are tiny by definition [31, 32].", + "type": "text" + } + ], + "index": 71 + } + ], + "index": 66.5, + "bbox_fs": [ + 105, + 613, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 70, + 288, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 70, + 290, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 70, + 290, + 87 + ], + "score": 1.0, + "content": "4 Outperforming ICL with T-Few", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 108, + 95, + 505, + 129 + ], + "lines": [ + { + "bbox": [ + 106, + 95, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 95, + 505, + 108 + ], + "score": 1.0, + "content": "Having designed and established the T-Few recipe on T0-3B, we now apply it to T0 (with 11 billion", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 106, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 506, + 119 + ], + "score": 1.0, + "content": "parameters) and compare performance to strong few-shot ICL baselines. From this point onwards,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 118, + 382, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 382, + 129 + ], + "score": 1.0, + "content": "we use exactly the same recipe and hyperparameters across all tasks.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 107, + 141, + 237, + 153 + ], + "lines": [ + { + "bbox": [ + 106, + 141, + 237, + 154 + ], + "spans": [ + { + "bbox": [ + 106, + 141, + 237, + 154 + ], + "score": 1.0, + "content": "4.1 Performance on T0 tasks", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 106, + 161, + 505, + 271 + ], + "lines": [ + { + "bbox": [ + 105, + 160, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 505, + 174 + ], + "score": 1.0, + "content": "First, we evaluate T-Few on the datasets that were held out from T0’s training mixture. We compare", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 172, + 507, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 507, + 185 + ], + "score": 1.0, + "content": "against zero-shot learning with T0 [1] (since we found few-shot ICL to performed worse than zero-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 182, + 506, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 307, + 197 + ], + "score": 1.0, + "content": "shot for T0, see appendix E); few-shot ICL with", + "type": "text" + }, + { + "bbox": [ + 307, + 183, + 342, + 194 + ], + "score": 0.58, + "content": "_ { \\mathrm { T 5 + L M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 182, + 506, + 197 + ], + "score": 1.0, + "content": "[14] (the next-step-prediction language", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "model upon which T0 is based); and few-shot ICL with the 6.7, 13, and 175 billion parameter variants", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 205, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 506, + 218 + ], + "score": 1.0, + "content": "of GPT-3. See appendix E for more details on these baselines. The accuracy on the held-out T0", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 216, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 506, + 228 + ], + "score": 1.0, + "content": "datasets (described in section 3.1) is shown in table 1 and fig. 3, with per-dataset results reported", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 226, + 507, + 240 + ], + "spans": [ + { + "bbox": [ + 104, + 226, + 507, + 240 + ], + "score": 1.0, + "content": "in appendix E. We find that T-Few outperforms all other methods by a substantial margin. Notably,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 237, + 504, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 177, + 250 + ], + "score": 1.0, + "content": "T-Few achieves a", + "type": "text" + }, + { + "bbox": [ + 178, + 238, + 192, + 248 + ], + "score": 0.86, + "content": "6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 237, + 484, + 250 + ], + "score": 1.0, + "content": "higher accuracy than few-shot ICL with GPT-3 175B despite being about", + "type": "text" + }, + { + "bbox": [ + 485, + 238, + 504, + 249 + ], + "score": 0.86, + "content": "1 6 \\times", + "type": "inline_equation" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 248, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 262 + ], + "score": 1.0, + "content": "smaller and outperforms the smaller GPT-3 variants by an even larger margin. T-Few also attains", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 259, + 502, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 464, + 272 + ], + "score": 1.0, + "content": "significantly higher accuracy than both zero-shot learning with T0 and few-shot ICL with", + "type": "text" + }, + { + "bbox": [ + 465, + 260, + 498, + 270 + ], + "score": 0.76, + "content": "_ { \\mathrm { T 5 + L M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 498, + 259, + 502, + 272 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9.5 + }, + { + "type": "table", + "bbox": [ + 372, + 276, + 504, + 355 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 372, + 276, + 504, + 355 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 372, + 276, + 504, + 355 + ], + "spans": [ + { + "bbox": [ + 372, + 276, + 504, + 355 + ], + "score": 0.969, + "html": "
MethodAcc.
T-Few75.8%
Human baseline [2]73.5%
PET[50]69.6%
SetFit [51]66.9%
GPT-3 [4]62.7%
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MethodInference FLOPsTraining FLOPsDisk spaceAcc.
T-Few1.1e122.7e164.2 MB72.4%
T0[1]1.1e120OB66.9%
T5+LM[14]4.5e13016 kB49.6%
GPT-3 6.7B [4]5.4e13016 kB57.2%
GPT-3 13B [4]1.0e14016 kB60.3%
GPT-3 175B[4]1.4e15016 kB66.6%
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T-Few is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 371, + 382, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 371, + 382, + 505, + 393 + ], + "score": 1.0, + "content": "the first method to outperform the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 371, + 393, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 371, + 393, + 505, + 405 + ], + "score": 1.0, + "content": "human baseline and achieves over", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 371, + 403, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 371, + 404, + 386, + 415 + ], + "score": 0.82, + "content": "6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 403, + 506, + 416 + ], + "score": 1.0, + "content": "higher accuracy than the next-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 371, + 415, + 425, + 426 + ], + "spans": [ + { + "bbox": [ + 371, + 415, + 425, + 426 + ], + "score": 1.0, + "content": "best method.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24.0 + } + ], + "index": 20.0 + }, + { + "type": "text", + "bbox": [ + 106, + 381, + 362, + 437 + ], + "lines": [ + { + "bbox": [ + 105, + 381, + 363, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 363, + 394 + ], + "score": 1.0, + "content": "Table 1: Accuracy on held-out T0 tasks and computational costs", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 392, + 363, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 363, + 405 + ], + "score": 1.0, + "content": "for different few-shot learning methods and models. T-Few", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 403, + 362, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 243, + 416 + ], + "score": 1.0, + "content": "attains the highest accuracy with", + "type": "text" + }, + { + "bbox": [ + 243, + 404, + 275, + 414 + ], + "score": 0.87, + "content": "1 { , } 0 0 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 403, + 362, + 416 + ], + "score": 1.0, + "content": "lower computational", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 414, + 363, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 363, + 426 + ], + "score": 1.0, + "content": "cost than ICL with GPT-3 175B. Fine-tuning with T-Few costs", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 425, + 336, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 336, + 437 + ], + "score": 1.0, + "content": "about as much as ICL on 20 examples with GPT-3 175B.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 108, + 450, + 266, + 461 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 267, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 267, + 464 + ], + "score": 1.0, + "content": "4.2 Comparing computational costs", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 469, + 505, + 688 + ], + "lines": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "score": 1.0, + "content": "Having established that T-Few significantly outperforms ICL-based models, we now compare the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "relative costs of each few-shot learning approach. For simplicity, we use the FLOPs-per-token", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "estimates for Transformer-based language models introduced by Kaplan et al. [20]. Specifically, we", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 502, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 502, + 379, + 515 + ], + "score": 1.0, + "content": "estimate that a decoder-only Transformer (e.g. the GPT series) with", + "type": "text" + }, + { + "bbox": [ + 380, + 503, + 390, + 513 + ], + "score": 0.75, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 502, + 457, + 515 + ], + "score": 1.0, + "content": "parameters uses", + "type": "text" + }, + { + "bbox": [ + 457, + 502, + 473, + 513 + ], + "score": 0.68, + "content": "2 N", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 502, + 505, + 515 + ], + "score": 1.0, + "content": "FLOPs", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 513, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 104, + 513, + 217, + 526 + ], + "score": 1.0, + "content": "per token for inference and", + "type": "text" + }, + { + "bbox": [ + 217, + 514, + 233, + 524 + ], + "score": 0.74, + "content": "6 N", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 513, + 506, + 526 + ], + "score": 1.0, + "content": "FLOPs per token for training. Encoder-decoder models like T0 and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "score": 1.0, + "content": "T5 (where the encoder and decoder have the same number of layers and layer sizes) only process", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "each token with either the encoder or decoder (each having roughly half the parameters of the full", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 323, + 559 + ], + "score": 1.0, + "content": "model), so the FLOPs per token estimates are halved to", + "type": "text" + }, + { + "bbox": [ + 324, + 547, + 334, + 556 + ], + "score": 0.81, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 546, + 351, + 559 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 351, + 546, + 367, + 556 + ], + "score": 0.74, + "content": "3 N", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 546, + 505, + 559 + ], + "score": 1.0, + "content": "FLOPs per token for inference and", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 557, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 505, + 570 + ], + "score": 1.0, + "content": "training. We note that FLOPs are not a direct measurement of real-world computational cost because", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 568, + 505, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 580 + ], + "score": 1.0, + "content": "latency, power usage, and other costs can vary significantly depending on hardware and other factors", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "[52]. However, we focus on FLOPs because it is a hardware-independent metric that closely with", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 590, + 505, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 602 + ], + "score": 1.0, + "content": "real-world costs the hardware setup used for running the different methods we consider would likely", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 601, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 612 + ], + "score": 1.0, + "content": "vary significantly across methods. We summarize the costs in table 1 and discuss them below. For all", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "score": 1.0, + "content": "estimates, we use the median number of shots (41) across the datasets we consider. Rank evaluation", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "score": 1.0, + "content": "and our unlikelihood loss both require processing every possible output choice to attain a prediction", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "score": 1.0, + "content": "for an unlabeled example. The median combined tokenized sequence length for the input and all", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "score": 1.0, + "content": "possible targets is 103 for the datasets we consider. For in-context examples processed for few-shot", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "ICL, only the correct target is required, producing a median sequence length of 98. Assuming that", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 104, + 664, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 104, + 664, + 506, + 680 + ], + "score": 1.0, + "content": "key and value vectors are cached, processing a single example with ICL therefore involves processing", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 676, + 423, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 167, + 687 + ], + "score": 0.9, + "content": "4 1 \\times 9 8 + 1 0 3", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 676, + 423, + 689 + ], + "score": 1.0, + "content": "tokens. A summary of our cost estimates is provided in table 1.", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 41.5 + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 502, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "Inference cost. Beyond improved accuracy, the primary advantage of avoiding few-shot ICL is", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "score": 1.0, + "content": "dramatically lower inference costs. Processing a single input and all target choices with T-Few", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 52.5 + } + ], + "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": "title", + "bbox": [ + 108, + 70, + 288, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 70, + 290, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 70, + 290, + 87 + ], + "score": 1.0, + "content": "4 Outperforming ICL with T-Few", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 108, + 95, + 505, + 129 + ], + "lines": [ + { + "bbox": [ + 106, + 95, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 95, + 505, + 108 + ], + "score": 1.0, + "content": "Having designed and established the T-Few recipe on T0-3B, we now apply it to T0 (with 11 billion", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 106, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 506, + 119 + ], + "score": 1.0, + "content": "parameters) and compare performance to strong few-shot ICL baselines. From this point onwards,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 118, + 382, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 382, + 129 + ], + "score": 1.0, + "content": "we use exactly the same recipe and hyperparameters across all tasks.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 95, + 506, + 129 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 141, + 237, + 153 + ], + "lines": [ + { + "bbox": [ + 106, + 141, + 237, + 154 + ], + "spans": [ + { + "bbox": [ + 106, + 141, + 237, + 154 + ], + "score": 1.0, + "content": "4.1 Performance on T0 tasks", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 106, + 161, + 505, + 271 + ], + "lines": [ + { + "bbox": [ + 105, + 160, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 505, + 174 + ], + "score": 1.0, + "content": "First, we evaluate T-Few on the datasets that were held out from T0’s training mixture. We compare", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 172, + 507, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 507, + 185 + ], + "score": 1.0, + "content": "against zero-shot learning with T0 [1] (since we found few-shot ICL to performed worse than zero-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 182, + 506, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 307, + 197 + ], + "score": 1.0, + "content": "shot for T0, see appendix E); few-shot ICL with", + "type": "text" + }, + { + "bbox": [ + 307, + 183, + 342, + 194 + ], + "score": 0.58, + "content": "_ { \\mathrm { T 5 + L M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 182, + 506, + 197 + ], + "score": 1.0, + "content": "[14] (the next-step-prediction language", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "model upon which T0 is based); and few-shot ICL with the 6.7, 13, and 175 billion parameter variants", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 205, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 506, + 218 + ], + "score": 1.0, + "content": "of GPT-3. See appendix E for more details on these baselines. The accuracy on the held-out T0", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 216, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 506, + 228 + ], + "score": 1.0, + "content": "datasets (described in section 3.1) is shown in table 1 and fig. 3, with per-dataset results reported", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 226, + 507, + 240 + ], + "spans": [ + { + "bbox": [ + 104, + 226, + 507, + 240 + ], + "score": 1.0, + "content": "in appendix E. We find that T-Few outperforms all other methods by a substantial margin. Notably,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 237, + 504, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 177, + 250 + ], + "score": 1.0, + "content": "T-Few achieves a", + "type": "text" + }, + { + "bbox": [ + 178, + 238, + 192, + 248 + ], + "score": 0.86, + "content": "6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 237, + 484, + 250 + ], + "score": 1.0, + "content": "higher accuracy than few-shot ICL with GPT-3 175B despite being about", + "type": "text" + }, + { + "bbox": [ + 485, + 238, + 504, + 249 + ], + "score": 0.86, + "content": "1 6 \\times", + "type": "inline_equation" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 248, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 262 + ], + "score": 1.0, + "content": "smaller and outperforms the smaller GPT-3 variants by an even larger margin. T-Few also attains", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 259, + 502, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 464, + 272 + ], + "score": 1.0, + "content": "significantly higher accuracy than both zero-shot learning with T0 and few-shot ICL with", + "type": "text" + }, + { + "bbox": [ + 465, + 260, + 498, + 270 + ], + "score": 0.76, + "content": "_ { \\mathrm { T 5 + L M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 498, + 259, + 502, + 272 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9.5, + "bbox_fs": [ + 104, + 160, + 507, + 272 + ] + }, + { + "type": "table", + "bbox": [ + 372, + 276, + 504, + 355 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 372, + 276, + 504, + 355 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 372, + 276, + 504, + 355 + ], + "spans": [ + { + "bbox": [ + 372, + 276, + 504, + 355 + ], + "score": 0.969, + "html": "
MethodAcc.
T-Few75.8%
Human baseline [2]73.5%
PET[50]69.6%
SetFit [51]66.9%
GPT-3 [4]62.7%
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MethodInference FLOPsTraining FLOPsDisk spaceAcc.
T-Few1.1e122.7e164.2 MB72.4%
T0[1]1.1e120OB66.9%
T5+LM[14]4.5e13016 kB49.6%
GPT-3 6.7B [4]5.4e13016 kB57.2%
GPT-3 13B [4]1.0e14016 kB60.3%
GPT-3 175B[4]1.4e15016 kB66.6%
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T-Few is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 371, + 382, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 371, + 382, + 505, + 393 + ], + "score": 1.0, + "content": "the first method to outperform the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 371, + 393, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 371, + 393, + 505, + 405 + ], + "score": 1.0, + "content": "human baseline and achieves over", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 371, + 403, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 371, + 404, + 386, + 415 + ], + "score": 0.82, + "content": "6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 403, + 506, + 416 + ], + "score": 1.0, + "content": "higher accuracy than the next-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 371, + 415, + 425, + 426 + ], + "spans": [ + { + "bbox": [ + 371, + 415, + 425, + 426 + ], + "score": 1.0, + "content": "best method.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24.0 + } + ], + "index": 20.0 + }, + { + "type": "text", + "bbox": [ + 106, + 381, + 362, + 437 + ], + "lines": [ + { + "bbox": [ + 105, + 381, + 363, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 363, + 394 + ], + "score": 1.0, + "content": "Table 1: Accuracy on held-out T0 tasks and computational costs", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 392, + 363, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 363, + 405 + ], + "score": 1.0, + "content": "for different few-shot learning methods and models. T-Few", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 403, + 362, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 243, + 416 + ], + "score": 1.0, + "content": "attains the highest accuracy with", + "type": "text" + }, + { + "bbox": [ + 243, + 404, + 275, + 414 + ], + "score": 0.87, + "content": "1 { , } 0 0 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 403, + 362, + 416 + ], + "score": 1.0, + "content": "lower computational", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 414, + 363, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 363, + 426 + ], + "score": 1.0, + "content": "cost than ICL with GPT-3 175B. Fine-tuning with T-Few costs", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 425, + 336, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 336, + 437 + ], + "score": 1.0, + "content": "about as much as ICL on 20 examples with GPT-3 175B.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 381, + 363, + 437 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 450, + 266, + 461 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 267, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 267, + 464 + ], + "score": 1.0, + "content": "4.2 Comparing computational costs", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 469, + 505, + 688 + ], + "lines": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "score": 1.0, + "content": "Having established that T-Few significantly outperforms ICL-based models, we now compare the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "relative costs of each few-shot learning approach. For simplicity, we use the FLOPs-per-token", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "estimates for Transformer-based language models introduced by Kaplan et al. [20]. Specifically, we", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 502, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 502, + 379, + 515 + ], + "score": 1.0, + "content": "estimate that a decoder-only Transformer (e.g. the GPT series) with", + "type": "text" + }, + { + "bbox": [ + 380, + 503, + 390, + 513 + ], + "score": 0.75, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 502, + 457, + 515 + ], + "score": 1.0, + "content": "parameters uses", + "type": "text" + }, + { + "bbox": [ + 457, + 502, + 473, + 513 + ], + "score": 0.68, + "content": "2 N", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 502, + 505, + 515 + ], + "score": 1.0, + "content": "FLOPs", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 513, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 104, + 513, + 217, + 526 + ], + "score": 1.0, + "content": "per token for inference and", + "type": "text" + }, + { + "bbox": [ + 217, + 514, + 233, + 524 + ], + "score": 0.74, + "content": "6 N", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 513, + 506, + 526 + ], + "score": 1.0, + "content": "FLOPs per token for training. Encoder-decoder models like T0 and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 537 + ], + "score": 1.0, + "content": "T5 (where the encoder and decoder have the same number of layers and layer sizes) only process", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "each token with either the encoder or decoder (each having roughly half the parameters of the full", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 323, + 559 + ], + "score": 1.0, + "content": "model), so the FLOPs per token estimates are halved to", + "type": "text" + }, + { + "bbox": [ + 324, + 547, + 334, + 556 + ], + "score": 0.81, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 546, + 351, + 559 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 351, + 546, + 367, + 556 + ], + "score": 0.74, + "content": "3 N", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 546, + 505, + 559 + ], + "score": 1.0, + "content": "FLOPs per token for inference and", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 557, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 505, + 570 + ], + "score": 1.0, + "content": "training. We note that FLOPs are not a direct measurement of real-world computational cost because", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 568, + 505, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 580 + ], + "score": 1.0, + "content": "latency, power usage, and other costs can vary significantly depending on hardware and other factors", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "[52]. However, we focus on FLOPs because it is a hardware-independent metric that closely with", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 590, + 505, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 602 + ], + "score": 1.0, + "content": "real-world costs the hardware setup used for running the different methods we consider would likely", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 601, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 612 + ], + "score": 1.0, + "content": "vary significantly across methods. We summarize the costs in table 1 and discuss them below. For all", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "score": 1.0, + "content": "estimates, we use the median number of shots (41) across the datasets we consider. Rank evaluation", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "score": 1.0, + "content": "and our unlikelihood loss both require processing every possible output choice to attain a prediction", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "score": 1.0, + "content": "for an unlabeled example. The median combined tokenized sequence length for the input and all", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "score": 1.0, + "content": "possible targets is 103 for the datasets we consider. For in-context examples processed for few-shot", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "ICL, only the correct target is required, producing a median sequence length of 98. Assuming that", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 104, + 664, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 104, + 664, + 506, + 680 + ], + "score": 1.0, + "content": "key and value vectors are cached, processing a single example with ICL therefore involves processing", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 676, + 423, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 167, + 687 + ], + "score": 0.9, + "content": "4 1 \\times 9 8 + 1 0 3", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 676, + 423, + 689 + ], + "score": 1.0, + "content": "tokens. A summary of our cost estimates is provided in table 1.", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 41.5, + "bbox_fs": [ + 104, + 469, + 506, + 689 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 502, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "Inference cost. Beyond improved accuracy, the primary advantage of avoiding few-shot ICL is", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 504, + 723 + ], + "score": 1.0, + "content": "dramatically lower inference costs. Processing a single input and all target choices with T-Few", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 140, + 85 + ], + "score": 1.0, + "content": "requires", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 141, + 73, + 227, + 83 + ], + "score": 0.86, + "content": "1 1 \\mathrm { { e 9 \\times 1 0 3 = 1 . 1 \\mathrm { { e 1 2 } } } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 227, + 73, + 453, + 85 + ], + "score": 1.0, + "content": "FLOPs, whereas few-shot ICL with GPT-3 175B requires", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 454, + 73, + 505, + 83 + ], + "score": 0.88, + "content": "2 \\times 1 7 5 \\mathrm { e 9 \\times }", + "type": "inline_equation", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 213, + 95 + ], + "score": 0.66, + "content": "( 4 1 \\times 9 8 + 1 0 3 ) = 1 . 4 \\mathrm { { e } 1 5 }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 213, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "FLOPs – more than 3 orders of magnitude more. Inference costs with ICL", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 95, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 95, + 505, + 106 + ], + "score": 1.0, + "content": "using the smaller GPT-3 variants are also dramatically higher than the inference cost of T-Few. As", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "discussed in section 2.1, caching the key and value vectors of the in-context examples can reduce", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 443, + 129 + ], + "score": 1.0, + "content": "the computational cost of ICL. However, this would only result in an approximately", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 443, + 117, + 462, + 127 + ], + "score": 0.86, + "content": "4 1 \\times", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 463, + 116, + 506, + 129 + ], + "score": 1.0, + "content": "reduction,", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 127, + 433, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 433, + 139 + ], + "score": 1.0, + "content": "which is not nearly enough to make any of the GPT-3 ICL costs as low as T-Few.", + "type": "text", + "cross_page": true + } + ], + "index": 5 + } + ], + "index": 52.5, + "bbox_fs": [ + 105, + 699, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 140, + 85 + ], + "score": 1.0, + "content": "requires", + "type": "text" + }, + { + "bbox": [ + 141, + 73, + 227, + 83 + ], + "score": 0.86, + "content": "1 1 \\mathrm { { e 9 \\times 1 0 3 = 1 . 1 \\mathrm { { e 1 2 } } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 73, + 453, + 85 + ], + "score": 1.0, + "content": "FLOPs, whereas few-shot ICL with GPT-3 175B requires", + "type": "text" + }, + { + "bbox": [ + 454, + 73, + 505, + 83 + ], + "score": 0.88, + "content": "2 \\times 1 7 5 \\mathrm { e 9 \\times }", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 213, + 95 + ], + "score": 0.66, + "content": "( 4 1 \\times 9 8 + 1 0 3 ) = 1 . 4 \\mathrm { { e } 1 5 }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "FLOPs – more than 3 orders of magnitude more. Inference costs with ICL", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 95, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 95, + 505, + 106 + ], + "score": 1.0, + "content": "using the smaller GPT-3 variants are also dramatically higher than the inference cost of T-Few. As", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "discussed in section 2.1, caching the key and value vectors of the in-context examples can reduce", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 443, + 129 + ], + "score": 1.0, + "content": "the computational cost of ICL. However, this would only result in an approximately", + "type": "text" + }, + { + "bbox": [ + 443, + 117, + 462, + 127 + ], + "score": 0.86, + "content": "4 1 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 116, + 506, + 129 + ], + "score": 1.0, + "content": "reduction,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 127, + 433, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 433, + 139 + ], + "score": 1.0, + "content": "which is not nearly enough to make any of the GPT-3 ICL costs as low as T-Few.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 151, + 505, + 238 + ], + "lines": [ + { + "bbox": [ + 106, + 150, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 106, + 150, + 505, + 163 + ], + "score": 1.0, + "content": "Training cost. Since T-Few is the only method that involves updating parameters, it is the only", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 162, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 506, + 174 + ], + "score": 1.0, + "content": "method that incurs a training cost. Training an eleven billion parameter encoder-decoder model for", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 419, + 186 + ], + "score": 1.0, + "content": "1,000 steps with a batch size of 8 length-103 sequences requires approximately", + "type": "text" + }, + { + "bbox": [ + 420, + 173, + 506, + 184 + ], + "score": 0.63, + "content": "3 \\times 1 1 { \\mathrm { e 9 } } \\times 1 , 0 0 0 \\times", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 184, + 181, + 194 + ], + "score": 0.87, + "content": "8 \\times 1 0 3 = 2 . 7 { \\mathrm { e 1 6 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 184, + 505, + 196 + ], + "score": 1.0, + "content": "FLOPs. While not insignificant, this is only about 20 times larger than the FLOPs", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 193, + 506, + 208 + ], + "spans": [ + { + "bbox": [ + 104, + 193, + 506, + 208 + ], + "score": 1.0, + "content": "required to process a single example with few-shot ICL using GPT-3 175B. In other words, training", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "score": 1.0, + "content": "T-Few costs as much as using GPT-3 175B to process 20 examples with few-shot ICL. We also", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 216, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 505, + 229 + ], + "score": 1.0, + "content": "found that fine-tuning T0 with T-Few on a single dataset only takes about a half an hour on a single", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 227, + 473, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 339, + 239 + ], + "score": 1.0, + "content": "NVIDIA A100 GPU. As of writing, this would cost about", + "type": "text" + }, + { + "bbox": [ + 339, + 227, + 351, + 238 + ], + "score": 0.85, + "content": "\\$ 2", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 227, + 473, + 239 + ], + "score": 1.0, + "content": "USD using Microsoft Azure.2", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 106, + 251, + 505, + 317 + ], + "lines": [ + { + "bbox": [ + 105, + 250, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 505, + 263 + ], + "score": 1.0, + "content": "Storage cost. T-Few also incurs the largest storage cost. When stored as single-precision floats, the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 261, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 104, + 261, + 192, + 276 + ], + "score": 1.0, + "content": "parameters added by", + "type": "text" + }, + { + "bbox": [ + 192, + 261, + 218, + 273 + ], + "score": 0.7, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 261, + 250, + 276 + ], + "score": 1.0, + "content": "take up", + "type": "text" + }, + { + "bbox": [ + 250, + 262, + 282, + 272 + ], + "score": 0.36, + "content": "4 . 2 \\mathrm { M B }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 261, + 505, + 276 + ], + "score": 1.0, + "content": "of space on disk. In contrast, ICL methods only require", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 273, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 505, + 285 + ], + "score": 1.0, + "content": "storing the tokenized in-context examples (typically stored as 32-bit integers), resulting in a smaller", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 283, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 106, + 284, + 162, + 294 + ], + "score": 0.89, + "content": "4 1 \\times 9 8 \\times 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 283, + 179, + 296 + ], + "score": 1.0, + "content": "bits", + "type": "text" + }, + { + "bbox": [ + 179, + 284, + 216, + 294 + ], + "score": 0.45, + "content": "= 1 6 \\mathrm { k B }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 283, + 402, + 296 + ], + "score": 1.0, + "content": "disk space requirement. However, we note that", + "type": "text" + }, + { + "bbox": [ + 403, + 284, + 434, + 294 + ], + "score": 0.47, + "content": "4 . 2 \\mathrm { M B }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 283, + 505, + 296 + ], + "score": 1.0, + "content": "is dwarfed by the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 294, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 360, + 307 + ], + "score": 1.0, + "content": "on-disk size of the model checkpoints themselves – storing the", + "type": "text" + }, + { + "bbox": [ + 360, + 294, + 385, + 305 + ], + "score": 0.62, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 294, + 505, + 307 + ], + "score": 1.0, + "content": "adaptation vectors for 10,000", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 306, + 390, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 306, + 390, + 317 + ], + "score": 1.0, + "content": "tasks would take about as much space as the T0 checkpoint (41.5 GB).", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 384 + ], + "lines": [ + { + "bbox": [ + 106, + 330, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 506, + 342 + ], + "score": 1.0, + "content": "Memory usage. During inference, the primary memory cost is incurred by the model’s parameters.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 339, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 506, + 353 + ], + "score": 1.0, + "content": "The only model smaller than T0 (used by T-Few) is GPT-3 6.7B; otherwise, T-Few will incur a lower", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "score": 1.0, + "content": "memory cost during inference. Additional memory costs are incurred when training T-Few due to the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 362, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 505, + 374 + ], + "score": 1.0, + "content": "need to cache intermediate activations for backpropagation and for the gradient accumulator variables", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 372, + 479, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 479, + 386 + ], + "score": 1.0, + "content": "in Adafactor. However, as mentioned above, a single 80GB A100 GPU is enough for T-Few.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 106, + 397, + 352, + 409 + ], + "lines": [ + { + "bbox": [ + 105, + 397, + 353, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 353, + 411 + ], + "score": 1.0, + "content": "4.3 Performance on Real-world Few-shot Tasks (RAFT)", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 418, + 506, + 538 + ], + "lines": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "score": 1.0, + "content": "So far, we have run evaluatation on a collection of datasets not explicitly designed for benchmarking", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 429, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 506, + 442 + ], + "score": 1.0, + "content": "few-shot learning. To better evaluate T-Few in the real world, we took our approach to the RAFT", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 439, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 506, + 453 + ], + "score": 1.0, + "content": "benchmark [2]. RAFT comprise 11 “economically valuable” tasks that mirror real-world applications.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "score": 1.0, + "content": "Importantly, each RAFT datasets has only 50 training examples with no validation set and a (larger)", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 460, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 104, + 460, + 506, + 476 + ], + "score": 1.0, + "content": "test set with no public labels, so it is impossible to “cheat” by tuning on an unrealistically-large", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 473, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 506, + 486 + ], + "score": 1.0, + "content": "validation set or by peeking at the test set [32, 31]. We apply T-Few to RAFT by using the standard", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "score": 1.0, + "content": "prompts released alongside the dataset. The accuracy of the current top-5 methods is shown in table 2,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 411, + 507 + ], + "score": 1.0, + "content": "with further details in appendix G. T-Few attains a state-of-the-art accuracy of", + "type": "text" + }, + { + "bbox": [ + 411, + 495, + 438, + 505 + ], + "score": 0.87, + "content": "7 5 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "and outperforms", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 505, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 186, + 518 + ], + "score": 1.0, + "content": "the human baseline", + "type": "text" + }, + { + "bbox": [ + 187, + 506, + 213, + 516 + ], + "score": 0.81, + "content": "7 3 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 505, + 505, + 518 + ], + "score": 1.0, + "content": "accuracy) for the first time. The next-best model (from Schick and Schütze", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 516, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 165, + 528 + ], + "score": 1.0, + "content": "[50]) achieves", + "type": "text" + }, + { + "bbox": [ + 165, + 516, + 181, + 527 + ], + "score": 0.86, + "content": "6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 516, + 365, + 528 + ], + "score": 1.0, + "content": "lower accuracy and GPT-3 175B attains only", + "type": "text" + }, + { + "bbox": [ + 366, + 516, + 393, + 527 + ], + "score": 0.87, + "content": "6 2 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 516, + 505, + 528 + ], + "score": 1.0, + "content": ". These results validate that", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 527, + 444, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 444, + 541 + ], + "score": 1.0, + "content": "T-Few can be readily applied as-is to novel real-world tasks for strong performance.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31 + }, + { + "type": "title", + "bbox": [ + 108, + 552, + 222, + 564 + ], + "lines": [ + { + "bbox": [ + 105, + 551, + 223, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 223, + 566 + ], + "score": 1.0, + "content": "4.4 Ablation experiments", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 572, + 505, + 639 + ], + "lines": [ + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "Given that our T-Few design experiments were on T0-3B, we perform an ablation of some of the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "ingredients of T-Few on T0. Results are shown in appendix F. While the gains from adding each", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "ingredient does not always significant increase the accuracy on each individual dataset, each ingredient", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "consistently improves the average performance across datasets: Removing pre-training decreases", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 615, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 615, + 157, + 630 + ], + "score": 1.0, + "content": "accuracy by", + "type": "text" + }, + { + "bbox": [ + 158, + 617, + 179, + 627 + ], + "score": 0.85, + "content": "1 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 615, + 505, + 630 + ], + "score": 1.0, + "content": ", removing unlikelihood training and length normalization decreases accuracy by", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 627, + 486, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 128, + 638 + ], + "score": 0.85, + "content": "4 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 627, + 459, + 639 + ], + "score": 1.0, + "content": ", and removing both pre-training and our additional loss terms reduces accuracy by", + "type": "text" + }, + { + "bbox": [ + 460, + 627, + 482, + 638 + ], + "score": 0.85, + "content": "2 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 627, + 486, + 639 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5 + }, + { + "type": "title", + "bbox": [ + 107, + 654, + 197, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 653, + 198, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 198, + 669 + ], + "score": 1.0, + "content": "5 Related Work", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 108, + 680, + 504, + 702 + ], + "lines": [ + { + "bbox": [ + 107, + 680, + 504, + 691 + ], + "spans": [ + { + "bbox": [ + 107, + 680, + 504, + 691 + ], + "score": 1.0, + "content": "Currently, prompt tuning is one of the most parameter-efficient methods for large language models", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 690, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 106, + 690, + 506, + 703 + ], + "score": 1.0, + "content": "[29, 14, 53]. Liu et al. [54] introduce several tricks to improve prompt tuning, An et al. [55] tune", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 45.5 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 115, + 712, + 475, + 722 + ], + "lines": [ + { + "bbox": [ + 119, + 709, + 476, + 723 + ], + "spans": [ + { + "bbox": [ + 119, + 709, + 476, + 723 + ], + "score": 1.0, + "content": "2https://docs.microsoft.com/en-us/azure/virtual-machines/ndm-a100-v4-series", + "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": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 138 + ], + "lines": [], + "index": 2.5, + "bbox_fs": [ + 105, + 73, + 506, + 139 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 151, + 505, + 238 + ], + "lines": [ + { + "bbox": [ + 106, + 150, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 106, + 150, + 505, + 163 + ], + "score": 1.0, + "content": "Training cost. Since T-Few is the only method that involves updating parameters, it is the only", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 162, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 506, + 174 + ], + "score": 1.0, + "content": "method that incurs a training cost. Training an eleven billion parameter encoder-decoder model for", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 419, + 186 + ], + "score": 1.0, + "content": "1,000 steps with a batch size of 8 length-103 sequences requires approximately", + "type": "text" + }, + { + "bbox": [ + 420, + 173, + 506, + 184 + ], + "score": 0.63, + "content": "3 \\times 1 1 { \\mathrm { e 9 } } \\times 1 , 0 0 0 \\times", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 184, + 181, + 194 + ], + "score": 0.87, + "content": "8 \\times 1 0 3 = 2 . 7 { \\mathrm { e 1 6 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 184, + 505, + 196 + ], + "score": 1.0, + "content": "FLOPs. While not insignificant, this is only about 20 times larger than the FLOPs", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 193, + 506, + 208 + ], + "spans": [ + { + "bbox": [ + 104, + 193, + 506, + 208 + ], + "score": 1.0, + "content": "required to process a single example with few-shot ICL using GPT-3 175B. In other words, training", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "score": 1.0, + "content": "T-Few costs as much as using GPT-3 175B to process 20 examples with few-shot ICL. We also", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 216, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 505, + 229 + ], + "score": 1.0, + "content": "found that fine-tuning T0 with T-Few on a single dataset only takes about a half an hour on a single", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 227, + 473, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 339, + 239 + ], + "score": 1.0, + "content": "NVIDIA A100 GPU. As of writing, this would cost about", + "type": "text" + }, + { + "bbox": [ + 339, + 227, + 351, + 238 + ], + "score": 0.85, + "content": "\\$ 2", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 227, + 473, + 239 + ], + "score": 1.0, + "content": "USD using Microsoft Azure.2", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9.5, + "bbox_fs": [ + 104, + 150, + 506, + 239 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 251, + 505, + 317 + ], + "lines": [ + { + "bbox": [ + 105, + 250, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 505, + 263 + ], + "score": 1.0, + "content": "Storage cost. T-Few also incurs the largest storage cost. When stored as single-precision floats, the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 261, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 104, + 261, + 192, + 276 + ], + "score": 1.0, + "content": "parameters added by", + "type": "text" + }, + { + "bbox": [ + 192, + 261, + 218, + 273 + ], + "score": 0.7, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 261, + 250, + 276 + ], + "score": 1.0, + "content": "take up", + "type": "text" + }, + { + "bbox": [ + 250, + 262, + 282, + 272 + ], + "score": 0.36, + "content": "4 . 2 \\mathrm { M B }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 261, + 505, + 276 + ], + "score": 1.0, + "content": "of space on disk. In contrast, ICL methods only require", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 273, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 505, + 285 + ], + "score": 1.0, + "content": "storing the tokenized in-context examples (typically stored as 32-bit integers), resulting in a smaller", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 283, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 106, + 284, + 162, + 294 + ], + "score": 0.89, + "content": "4 1 \\times 9 8 \\times 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 283, + 179, + 296 + ], + "score": 1.0, + "content": "bits", + "type": "text" + }, + { + "bbox": [ + 179, + 284, + 216, + 294 + ], + "score": 0.45, + "content": "= 1 6 \\mathrm { k B }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 283, + 402, + 296 + ], + "score": 1.0, + "content": "disk space requirement. However, we note that", + "type": "text" + }, + { + "bbox": [ + 403, + 284, + 434, + 294 + ], + "score": 0.47, + "content": "4 . 2 \\mathrm { M B }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 283, + 505, + 296 + ], + "score": 1.0, + "content": "is dwarfed by the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 294, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 360, + 307 + ], + "score": 1.0, + "content": "on-disk size of the model checkpoints themselves – storing the", + "type": "text" + }, + { + "bbox": [ + 360, + 294, + 385, + 305 + ], + "score": 0.62, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 294, + 505, + 307 + ], + "score": 1.0, + "content": "adaptation vectors for 10,000", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 306, + 390, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 306, + 390, + 317 + ], + "score": 1.0, + "content": "tasks would take about as much space as the T0 checkpoint (41.5 GB).", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5, + "bbox_fs": [ + 104, + 250, + 505, + 317 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 384 + ], + "lines": [ + { + "bbox": [ + 106, + 330, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 506, + 342 + ], + "score": 1.0, + "content": "Memory usage. During inference, the primary memory cost is incurred by the model’s parameters.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 339, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 506, + 353 + ], + "score": 1.0, + "content": "The only model smaller than T0 (used by T-Few) is GPT-3 6.7B; otherwise, T-Few will incur a lower", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "score": 1.0, + "content": "memory cost during inference. Additional memory costs are incurred when training T-Few due to the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 362, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 505, + 374 + ], + "score": 1.0, + "content": "need to cache intermediate activations for backpropagation and for the gradient accumulator variables", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 372, + 479, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 479, + 386 + ], + "score": 1.0, + "content": "in Adafactor. However, as mentioned above, a single 80GB A100 GPU is enough for T-Few.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 330, + 506, + 386 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 397, + 352, + 409 + ], + "lines": [ + { + "bbox": [ + 105, + 397, + 353, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 353, + 411 + ], + "score": 1.0, + "content": "4.3 Performance on Real-world Few-shot Tasks (RAFT)", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 418, + 506, + 538 + ], + "lines": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "score": 1.0, + "content": "So far, we have run evaluatation on a collection of datasets not explicitly designed for benchmarking", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 429, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 506, + 442 + ], + "score": 1.0, + "content": "few-shot learning. To better evaluate T-Few in the real world, we took our approach to the RAFT", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 439, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 506, + 453 + ], + "score": 1.0, + "content": "benchmark [2]. RAFT comprise 11 “economically valuable” tasks that mirror real-world applications.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "score": 1.0, + "content": "Importantly, each RAFT datasets has only 50 training examples with no validation set and a (larger)", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 460, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 104, + 460, + 506, + 476 + ], + "score": 1.0, + "content": "test set with no public labels, so it is impossible to “cheat” by tuning on an unrealistically-large", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 473, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 506, + 486 + ], + "score": 1.0, + "content": "validation set or by peeking at the test set [32, 31]. We apply T-Few to RAFT by using the standard", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "score": 1.0, + "content": "prompts released alongside the dataset. The accuracy of the current top-5 methods is shown in table 2,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 411, + 507 + ], + "score": 1.0, + "content": "with further details in appendix G. T-Few attains a state-of-the-art accuracy of", + "type": "text" + }, + { + "bbox": [ + 411, + 495, + 438, + 505 + ], + "score": 0.87, + "content": "7 5 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "and outperforms", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 505, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 186, + 518 + ], + "score": 1.0, + "content": "the human baseline", + "type": "text" + }, + { + "bbox": [ + 187, + 506, + 213, + 516 + ], + "score": 0.81, + "content": "7 3 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 505, + 505, + 518 + ], + "score": 1.0, + "content": "accuracy) for the first time. The next-best model (from Schick and Schütze", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 516, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 165, + 528 + ], + "score": 1.0, + "content": "[50]) achieves", + "type": "text" + }, + { + "bbox": [ + 165, + 516, + 181, + 527 + ], + "score": 0.86, + "content": "6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 516, + 365, + 528 + ], + "score": 1.0, + "content": "lower accuracy and GPT-3 175B attains only", + "type": "text" + }, + { + "bbox": [ + 366, + 516, + 393, + 527 + ], + "score": 0.87, + "content": "6 2 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 516, + 505, + 528 + ], + "score": 1.0, + "content": ". These results validate that", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 527, + 444, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 444, + 541 + ], + "score": 1.0, + "content": "T-Few can be readily applied as-is to novel real-world tasks for strong performance.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31, + "bbox_fs": [ + 104, + 417, + 506, + 541 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 552, + 222, + 564 + ], + "lines": [ + { + "bbox": [ + 105, + 551, + 223, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 223, + 566 + ], + "score": 1.0, + "content": "4.4 Ablation experiments", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 572, + 505, + 639 + ], + "lines": [ + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "Given that our T-Few design experiments were on T0-3B, we perform an ablation of some of the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "ingredients of T-Few on T0. Results are shown in appendix F. While the gains from adding each", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "ingredient does not always significant increase the accuracy on each individual dataset, each ingredient", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "consistently improves the average performance across datasets: Removing pre-training decreases", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 615, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 615, + 157, + 630 + ], + "score": 1.0, + "content": "accuracy by", + "type": "text" + }, + { + "bbox": [ + 158, + 617, + 179, + 627 + ], + "score": 0.85, + "content": "1 . 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 615, + 505, + 630 + ], + "score": 1.0, + "content": ", removing unlikelihood training and length normalization decreases accuracy by", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 627, + 486, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 128, + 638 + ], + "score": 0.85, + "content": "4 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 627, + 459, + 639 + ], + "score": 1.0, + "content": ", and removing both pre-training and our additional loss terms reduces accuracy by", + "type": "text" + }, + { + "bbox": [ + 460, + 627, + 482, + 638 + ], + "score": 0.85, + "content": "2 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 627, + 486, + 639 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5, + "bbox_fs": [ + 104, + 573, + 506, + 639 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 654, + 197, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 653, + 198, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 198, + 669 + ], + "score": 1.0, + "content": "5 Related Work", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 108, + 680, + 504, + 702 + ], + "lines": [ + { + "bbox": [ + 107, + 680, + 504, + 691 + ], + "spans": [ + { + "bbox": [ + 107, + 680, + 504, + 691 + ], + "score": 1.0, + "content": "Currently, prompt tuning is one of the most parameter-efficient methods for large language models", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 690, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 106, + 690, + 506, + 703 + ], + "score": 1.0, + "content": "[29, 14, 53]. Liu et al. [54] introduce several tricks to improve prompt tuning, An et al. [55] tune", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "prompts along with input embeddings for boost in performance, and Chen et al. [56] improve prompt", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 97 + ], + "score": 1.0, + "content": "embeddings through continued pre-training. Given optimization difficulties when training prompt", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "embeddings, Diao et al. [57] recently used black-box optimization to train prompt embeddings", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "without requiring gradients. Several works have analyzed prompt tuning from the perspective of", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "interpretability Khashabi et al. [58] and its similarity to other PEFT methods He et al. [30]. Prompt", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "score": 1.0, + "content": "tuning has been applied to various applications for NLP including continual learning [59], model", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 137, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 152 + ], + "score": 1.0, + "content": "robustness [60, 61], summarization [62], machine translation [63], co-training [64], probing language", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 148, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 162 + ], + "score": 1.0, + "content": "models [65, 65], inverse prompting [66] and transfer learning [67]. He et al. [68] recently proposed", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 505, + 172 + ], + "score": 1.0, + "content": "the use of a hypernetwork to predict prompts for new tasks (rather than training the prompt parameters", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "score": 1.0, + "content": "with gradient descent). Prompt tuning and other PEFT methods have also been explored outside of", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 182, + 471, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 471, + 194 + ], + "score": 1.0, + "content": "the context of language models (e.g. vision [22, 69] and vision-and-language models [26]).", + "type": "text", + "cross_page": true + } + ], + "index": 10 + } + ], + "index": 45.5, + "bbox_fs": [ + 106, + 680, + 506, + 703 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 193 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "prompts along with input embeddings for boost in performance, and Chen et al. [56] improve prompt", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 97 + ], + "score": 1.0, + "content": "embeddings through continued pre-training. Given optimization difficulties when training prompt", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "embeddings, Diao et al. [57] recently used black-box optimization to train prompt embeddings", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "without requiring gradients. Several works have analyzed prompt tuning from the perspective of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "interpretability Khashabi et al. [58] and its similarity to other PEFT methods He et al. [30]. Prompt", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "score": 1.0, + "content": "tuning has been applied to various applications for NLP including continual learning [59], model", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 137, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 152 + ], + "score": 1.0, + "content": "robustness [60, 61], summarization [62], machine translation [63], co-training [64], probing language", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 148, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 162 + ], + "score": 1.0, + "content": "models [65, 65], inverse prompting [66] and transfer learning [67]. He et al. [68] recently proposed", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 505, + 172 + ], + "score": 1.0, + "content": "the use of a hypernetwork to predict prompts for new tasks (rather than training the prompt parameters", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "score": 1.0, + "content": "with gradient descent). Prompt tuning and other PEFT methods have also been explored outside of", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 182, + 471, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 471, + 194 + ], + "score": 1.0, + "content": "the context of language models (e.g. vision [22, 69] and vision-and-language models [26]).", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 198, + 504, + 264 + ], + "lines": [ + { + "bbox": [ + 105, + 197, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 505, + 210 + ], + "score": 1.0, + "content": "Separately, various studies have considered few-shot full-model fine-tuning with discrete prompts", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "score": 1.0, + "content": "[70]. Recent work has analyzed training with discrete prompts, demonstrating a boost in performance", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 506, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 506, + 232 + ], + "score": 1.0, + "content": "with prompting when training on various numbers of examples [71], finding that models perform", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 231, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 506, + 244 + ], + "score": 1.0, + "content": "similarly when trained on good and bad prompts [11], and exploring which prompts work well for", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 506, + 254 + ], + "score": 1.0, + "content": "few-shot and full-shot setting [72]. There have also been efforts to develop methods that find discrete", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 252, + 443, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 443, + 266 + ], + "score": 1.0, + "content": "prompts [73, 74] and training prompts using methods similar to prompt tuning [75].", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 269, + 504, + 324 + ], + "lines": [ + { + "bbox": [ + 106, + 269, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "There has also been a great deal of work on improving ICL. Chen et al. [5], Min et al. [6] use ICL for", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "score": 1.0, + "content": "meta-learning to perform few-shot learning on new tasks. Lampinen et al. [7] show ICL can improve", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "score": 1.0, + "content": "when explanations are provided and [8] use ICL with text retrieved from the web for open-domain", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "score": 1.0, + "content": "question-answering. Meanwhile, Min et al. [9] analyze how ICL works and show that ICL can still", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 313, + 414, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 414, + 325 + ], + "score": 1.0, + "content": "perform well when incorrect labels are provided for the in-context examples.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 449 + ], + "lines": [ + { + "bbox": [ + 106, + 328, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 506, + 342 + ], + "score": 1.0, + "content": "With the advent of billion-parameter language models, there has been a great deal of recent interest", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 340, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 352 + ], + "score": 1.0, + "content": "in PEFT methods and their compatibility in the few-shot setting. Mahabadi et al. [28] found that", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "PEFT outperforms standard fine-tuning in the low-resource setting. In concurrent work, Mahabadi", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 361, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 104, + 361, + 506, + 376 + ], + "score": 1.0, + "content": "et al. [76] find that PEFT compares favorably in few-shot fine-tuning against discrete prompts (e.g.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 371, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 104, + 371, + 506, + 386 + ], + "score": 1.0, + "content": "PET [70]). Also concurrently, Moosavi et al. [77] propose a framework for introducing adapters", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 384, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 506, + 396 + ], + "score": 1.0, + "content": "whose architecture and design vary from task to task and demonstrate improved results in few-shot", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "score": 1.0, + "content": "settings. Gu et al. [18] and Vu et al. [19] both explored how pre-training prompt tuning parameters", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 406, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 418 + ], + "score": 1.0, + "content": "can improve when limited labeled data is available. For few-shot learning, Triantafillou et al. [78]", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "explore learning universal and dataset dependent parameters that can be blended for generalization.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "score": 1.0, + "content": "Requeima et al. [79] use conditional neural adaptive processes and Li et al. [80] leverage distillation", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 437, + 449, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 449, + 451 + ], + "score": 1.0, + "content": "from multiple feature extractors to learn new classes or domains in few-shot learning.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 107, + 466, + 182, + 480 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 185, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 185, + 483 + ], + "score": 1.0, + "content": "6 Conclusion", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "We introduced T-Few, a parameter-efficient few-shot learning recipe that attains higher accuracy than", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "few-shot ICL at a lower computational cost. T-Few uses (IA)3, a new PEFT method that rescales", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 285, + 527 + ], + "score": 1.0, + "content": "inner activations with learned vectors. Using", + "type": "text" + }, + { + "bbox": [ + 285, + 514, + 310, + 525 + ], + "score": 0.34, + "content": "( \\mathtt { I A } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 513, + 505, + 527 + ], + "score": 1.0, + "content": "produces better performance than fine-tuning the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "full model while introducing minimal additional parameters. T-Few also uses two additional loss", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 537, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 505, + 548 + ], + "score": 1.0, + "content": "terms that encourage the model to output lower probabilities for incorrect choices and account for the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "length of different answer choices. When applying T-Few as-is (with no task-specific hyperparameter", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "score": 1.0, + "content": "tuning or other changes) to the RAFT benchmark, we attained super-human performance for the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "score": 1.0, + "content": "first time and outperformed prior submissions by a large margin. Through detailed characterization", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 328, + 592 + ], + "score": 1.0, + "content": "of computational costs, we found that T-Few uses over", + "type": "text" + }, + { + "bbox": [ + 329, + 580, + 360, + 591 + ], + "score": 0.87, + "content": "1 { , } 0 0 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "fewer FLOPs during inference than", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "few-shot ICL with GPT-3 and only requires 30 minutes to train on a single NVIDIA A100 GPU.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 602, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 602, + 505, + 614 + ], + "score": 1.0, + "content": "Since all of our experiments were on classification tasks, we are interested in applying T-Few to", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "generative tasks like as summarization and question answering in future work. We hope our results", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 624, + 495, + 637 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 495, + 637 + ], + "score": 1.0, + "content": "provide a new perspective on how best to perform few-shot learning with large language models.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 40 + }, + { + "type": "title", + "bbox": [ + 107, + 651, + 339, + 666 + ], + "lines": [ + { + "bbox": [ + 105, + 650, + 341, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 341, + 669 + ], + "score": 1.0, + "content": "Acknowledgments and Disclosure of Funding", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 47 + }, + { + "type": "text", + "bbox": [ + 108, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "We thank Brian Lester and Noah Constant for helpful discussion on debugging prompt tuning and", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "Rabeeh Karimi Mahabadi for help with Compacter and Intrinsic SAID. We also thank Stella Biderman", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "and the Google TPU Research Cloud who provided valuable computational resources to support this", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 711, + 412, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 412, + 723 + ], + "score": 1.0, + "content": "work. 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Recent work has analyzed training with discrete prompts, demonstrating a boost in performance", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 506, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 506, + 232 + ], + "score": 1.0, + "content": "with prompting when training on various numbers of examples [71], finding that models perform", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 231, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 506, + 244 + ], + "score": 1.0, + "content": "similarly when trained on good and bad prompts [11], and exploring which prompts work well for", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 506, + 254 + ], + "score": 1.0, + "content": "few-shot and full-shot setting [72]. There have also been efforts to develop methods that find discrete", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 252, + 443, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 443, + 266 + ], + "score": 1.0, + "content": "prompts [73, 74] and training prompts using methods similar to prompt tuning [75].", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 197, + 506, + 266 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 269, + 504, + 324 + ], + "lines": [ + { + "bbox": [ + 106, + 269, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "There has also been a great deal of work on improving ICL. Chen et al. [5], Min et al. [6] use ICL for", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "score": 1.0, + "content": "meta-learning to perform few-shot learning on new tasks. Lampinen et al. [7] show ICL can improve", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "score": 1.0, + "content": "when explanations are provided and [8] use ICL with text retrieved from the web for open-domain", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "score": 1.0, + "content": "question-answering. Meanwhile, Min et al. [9] analyze how ICL works and show that ICL can still", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 313, + 414, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 414, + 325 + ], + "score": 1.0, + "content": "perform well when incorrect labels are provided for the in-context examples.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 269, + 506, + 325 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 449 + ], + "lines": [ + { + "bbox": [ + 106, + 328, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 506, + 342 + ], + "score": 1.0, + "content": "With the advent of billion-parameter language models, there has been a great deal of recent interest", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 340, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 352 + ], + "score": 1.0, + "content": "in PEFT methods and their compatibility in the few-shot setting. Mahabadi et al. [28] found that", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "PEFT outperforms standard fine-tuning in the low-resource setting. In concurrent work, Mahabadi", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 361, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 104, + 361, + 506, + 376 + ], + "score": 1.0, + "content": "et al. [76] find that PEFT compares favorably in few-shot fine-tuning against discrete prompts (e.g.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 371, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 104, + 371, + 506, + 386 + ], + "score": 1.0, + "content": "PET [70]). Also concurrently, Moosavi et al. [77] propose a framework for introducing adapters", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 384, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 506, + 396 + ], + "score": 1.0, + "content": "whose architecture and design vary from task to task and demonstrate improved results in few-shot", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "score": 1.0, + "content": "settings. Gu et al. [18] and Vu et al. [19] both explored how pre-training prompt tuning parameters", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 406, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 418 + ], + "score": 1.0, + "content": "can improve when limited labeled data is available. For few-shot learning, Triantafillou et al. [78]", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "explore learning universal and dataset dependent parameters that can be blended for generalization.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "score": 1.0, + "content": "Requeima et al. [79] use conditional neural adaptive processes and Li et al. [80] leverage distillation", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 437, + 449, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 449, + 451 + ], + "score": 1.0, + "content": "from multiple feature extractors to learn new classes or domains in few-shot learning.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 328, + 506, + 451 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 466, + 182, + 480 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 185, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 185, + 483 + ], + "score": 1.0, + "content": "6 Conclusion", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "We introduced T-Few, a parameter-efficient few-shot learning recipe that attains higher accuracy than", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "few-shot ICL at a lower computational cost. 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T-Few also uses two additional loss", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 537, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 505, + 548 + ], + "score": 1.0, + "content": "terms that encourage the model to output lower probabilities for incorrect choices and account for the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "length of different answer choices. 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Through detailed characterization", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 328, + 592 + ], + "score": 1.0, + "content": "of computational costs, we found that T-Few uses over", + "type": "text" + }, + { + "bbox": [ + 329, + 580, + 360, + 591 + ], + "score": 0.87, + "content": "1 { , } 0 0 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "fewer FLOPs during inference than", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "few-shot ICL with GPT-3 and only requires 30 minutes to train on a single NVIDIA A100 GPU.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 602, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 602, + 505, + 614 + ], + "score": 1.0, + "content": "Since all of our experiments were on classification tasks, we are interested in applying T-Few to", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "generative tasks like as summarization and question answering in future work. We hope our results", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 624, + 495, + 637 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 495, + 637 + ], + "score": 1.0, + "content": "provide a new perspective on how best to perform few-shot learning with large language models.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 492, + 506, + 637 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 651, + 339, + 666 + ], + "lines": [ + { + "bbox": [ + 105, + 650, + 341, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 341, + 669 + ], + "score": 1.0, + "content": "Acknowledgments and Disclosure of Funding", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 47 + }, + { + "type": "text", + "bbox": [ + 108, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "We thank Brian Lester and Noah Constant for helpful discussion on debugging prompt tuning and", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "Rabeeh Karimi Mahabadi for help with Compacter and Intrinsic SAID. We also thank Stella Biderman", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "and the Google TPU Research Cloud who provided valuable computational resources to support this", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 711, + 412, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 412, + 723 + ], + "score": 1.0, + "content": "work. This work was supported by NSF-AI Engage Institute DRL-2112635.", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 49.5, + "bbox_fs": [ + 105, + 677, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 60, + 507, + 726 + ], + "lines": [ + { + "bbox": [ + 106, + 70, + 165, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 165, + 86 + ], + "score": 1.0, + "content": "References", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 109, + 90, + 506, + 103 + ], + "spans": [ + { + "bbox": [ + 109, + 90, + 506, + 103 + ], + "score": 1.0, + "content": "[1] Victor Sanh, Albert Webson, Colin Raffel, Stephen H. Bach, Lintang Sutawika, Zaid Alyafeai,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 125, + 99, + 506, + 116 + ], + "spans": [ + { + "bbox": [ + 125, + 99, + 506, + 116 + ], + "score": 1.0, + "content": "Antoine Chaffin, Arnaud Stiegler, Teven Le Scao, Arun Raja, et al. 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MethodInference FLOPsTraining FLOPsDisk spaceAcc.
T-Few1.1e122.7e164.2 MB72.4%
T0[1]1.1e120OB66.9%
T5+LM[14]4.5e13016 kB49.6%
GPT-3 6.7B [4]5.4e13016 kB57.2%
GPT-3 13B [4]1.0e14016 kB60.3%
GPT-3 175B[4]1.4e15016 kB66.6%
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MethodAcc.
T-Few75.8%
Human baseline [2]73.5%
PET[50]69.6%
SetFit [51]66.9%
GPT-3 [4]62.7%
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Visual generative foundation models", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 329, + 469, + 342 + ], + "spans": [ + { + "bbox": [ + 141, + 329, + 469, + 342 + ], + "score": 1.0, + "content": "such as Stable Diffusion show promise in navigating these goals, especially when", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 339, + 470, + 353 + ], + "spans": [ + { + "bbox": [ + 141, + 339, + 470, + 353 + ], + "score": 1.0, + "content": "prompted with arbitrary languages. However, they often fall short in generating", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 351, + 469, + 363 + ], + "spans": [ + { + "bbox": [ + 141, + 351, + 469, + 363 + ], + "score": 1.0, + "content": "images with spatial, structural, or geometric controls. 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Trained on", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 471, + 469, + 483 + ], + "spans": [ + { + "bbox": [ + 141, + 471, + 469, + 483 + ], + "score": 1.0, + "content": "nine unique C2I tasks, UniControl demonstrates impressive zero-shot generation", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 142, + 482, + 469, + 494 + ], + "spans": [ + { + "bbox": [ + 142, + 482, + 469, + 494 + ], + "score": 1.0, + "content": "abilities with unseen visual conditions. 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Stable DiffusionControlNetMoE-AdapterTaskHyperNetTotal
UniControl1065.7M361M0.06M12.7M1.44B
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Diffusion models emerge to set up a cutting-edge performance in", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "text-to-image generation tasks [20, 19], by cross-attending U-Net denoiser in diffusion generators", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "with CLIP [22] or T5-pretrained [2] text embeddings. GLIDE [35] is another example of a text-", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 711, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 506, + 724 + ], + "score": 1.0, + "content": "guided diffusion model that supports image generation and editing. UniControl and closely related", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 49.5, + "bbox_fs": [ + 105, + 678, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 105, + 71, + 506, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 506, + 86 + ], + "score": 1.0, + "content": "ControlNet [21] are both built upon previous works on diffusion-based text-to-image generation [9].", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 394, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 394, + 96 + ], + "score": 1.0, + "content": "[36] introduces the compositional conditions to guide visual generation.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 107, + 100, + 506, + 242 + ], + "lines": [ + { + "bbox": [ + 106, + 100, + 506, + 113 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 506, + 113 + ], + "score": 1.0, + "content": "Image-to-Image Translation. Image-to-image (I2I) translation task was initially proposed in", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 506, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 506, + 124 + ], + "score": 1.0, + "content": "Pix2Pix [37], focusing on learning a mapping between images in different domains. Recently,", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 120, + 507, + 136 + ], + "spans": [ + { + "bbox": [ + 105, + 120, + 507, + 136 + ], + "score": 1.0, + "content": "diffusion-based approaches [38, 39, 21] set up the new state of the art results. Recent diffusion-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 131, + 507, + 147 + ], + "spans": [ + { + "bbox": [ + 105, + 131, + 507, + 147 + ], + "score": 1.0, + "content": "based image editing methods show outstanding performances without requiring paired data, e.g.,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "SDEdit [40], prompt-to-prompt [41], Edict [42]. Other image editing examples include various", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "score": 1.0, + "content": "diffusion bridges and flows [43–47], classifier guidance [30] based methods for colorization, super-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "resolution [34], inpainting [48], and etc. ControlNet [21] takes both visual and text conditions and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "score": 1.0, + "content": "achieves new state-of-the-art controllable image generation. Our proposed UniControl unifies various", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "visual conditions of ControlNet, and is capable of performing zero-shot learning on newly unseen", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "tasks. Concurrently, Prompt Diffusion [49] introduces visual prompt [50] from image inpainting to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "controllable diffusion models, which requires two additional image pairs as the in-context example", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 506, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 506, + 233 + ], + "score": 1.0, + "content": "for both training and inference. By contrast, UniControl takes only a single visual condition while", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 230, + 337, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 337, + 245 + ], + "score": 1.0, + "content": "still capable of both multi-tasking and zero-shot learning.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 8 + }, + { + "type": "title", + "bbox": [ + 107, + 257, + 185, + 270 + ], + "lines": [ + { + "bbox": [ + 104, + 256, + 186, + 272 + ], + "spans": [ + { + "bbox": [ + 104, + 256, + 186, + 272 + ], + "score": 1.0, + "content": "3 UniControl", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 272, + 505, + 316 + ], + "lines": [ + { + "bbox": [ + 105, + 272, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 505, + 285 + ], + "score": 1.0, + "content": "In this section, we describe the training and the model design of our unified controllable diffusion", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 284, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 295 + ], + "score": 1.0, + "content": "model UniControl. Specifically, we first provide the problem setup and training objectives in Sec. 3.1,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 294, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 505, + 306 + ], + "score": 1.0, + "content": "and then show the novel network design of UniControl in Sec. 3.2. Finally, we explain how to perform", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 305, + 378, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 378, + 317 + ], + "score": 1.0, + "content": "zero-shot image generation with the trained UniControl in Sec. 3.3.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + }, + { + "type": "title", + "bbox": [ + 107, + 322, + 194, + 334 + ], + "lines": [ + { + "bbox": [ + 104, + 319, + 196, + 338 + ], + "spans": [ + { + "bbox": [ + 104, + 319, + 196, + 338 + ], + "score": 1.0, + "content": "3.1 Training Setup", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 343, + 505, + 387 + ], + "lines": [ + { + "bbox": [ + 105, + 342, + 506, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 506, + 355 + ], + "score": 1.0, + "content": "Different from the previous generative models such as Stable Diffusion Models (SDM) [9] or", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "score": 1.0, + "content": "ControlNet [21], where the image generation conditions are single language prompt, or single type of", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 364, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 505, + 378 + ], + "score": 1.0, + "content": "visual condition such as canny, UniControl is required to take a wide range of visual conditions from", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 375, + 297, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 297, + 388 + ], + "score": 1.0, + "content": "different tasks, as well as the language prompt.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 505, + 458 + ], + "lines": [ + { + "bbox": [ + 105, + 391, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 506, + 405 + ], + "score": 1.0, + "content": "To achieve this, we reformulate the training conditions and target pairs for UniControl. Specifically,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 402, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 264, + 416 + ], + "score": 1.0, + "content": "suppose we have a dataset consisting of", + "type": "text" + }, + { + "bbox": [ + 264, + 403, + 275, + 413 + ], + "score": 0.78, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 402, + 300, + 416 + ], + "score": 1.0, + "content": "tasks :", + "type": "text" + }, + { + "bbox": [ + 301, + 403, + 399, + 415 + ], + "score": 0.88, + "content": "\\mathcal { D } : = \\{ { \\mathcal { D } } _ { 1 } \\cup \\cdot \\cdot \\cdot \\cup { \\mathcal { D } } _ { K } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 402, + 506, + 416 + ], + "score": 1.0, + "content": ", and for each task training", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 413, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 120, + 428 + ], + "score": 1.0, + "content": "set", + "type": "text" + }, + { + "bbox": [ + 120, + 414, + 134, + 425 + ], + "score": 0.89, + "content": "\\mathcal { D } _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 413, + 254, + 428 + ], + "score": 1.0, + "content": ", denote the training pairs by", + "type": "text" + }, + { + "bbox": [ + 254, + 414, + 334, + 426 + ], + "score": 0.9, + "content": "( [ c _ { \\mathrm { t e x t } } , c _ { \\mathrm { t a s k } } ] , { \\mathcal { T } } _ { c } , \\pmb { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 413, + 359, + 428 + ], + "score": 1.0, + "content": ", with", + "type": "text" + }, + { + "bbox": [ + 359, + 415, + 380, + 425 + ], + "score": 0.87, + "content": "c _ { \\mathrm { t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 413, + 506, + 428 + ], + "score": 1.0, + "content": "being the task instruction that", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 423, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 202, + 438 + ], + "score": 1.0, + "content": "indicates the task type,", + "type": "text" + }, + { + "bbox": [ + 203, + 426, + 223, + 436 + ], + "score": 0.89, + "content": "c _ { \\mathrm { t e x t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 423, + 452, + 438 + ], + "score": 1.0, + "content": "being the language prompt describing the target image,", + "type": "text" + }, + { + "bbox": [ + 452, + 425, + 463, + 435 + ], + "score": 0.86, + "content": "\\mathcal { T } _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 423, + 506, + 438 + ], + "score": 1.0, + "content": "being the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 195, + 448 + ], + "score": 1.0, + "content": "visual conditions, and", + "type": "text" + }, + { + "bbox": [ + 195, + 437, + 203, + 446 + ], + "score": 0.77, + "content": "_ { \\pmb { x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "being the target image. 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Recent diffusion-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 131, + 507, + 147 + ], + "spans": [ + { + "bbox": [ + 105, + 131, + 507, + 147 + ], + "score": 1.0, + "content": "based image editing methods show outstanding performances without requiring paired data, e.g.,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "SDEdit [40], prompt-to-prompt [41], Edict [42]. Other image editing examples include various", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 155, + 506, + 167 + ], + "score": 1.0, + "content": "diffusion bridges and flows [43–47], classifier guidance [30] based methods for colorization, super-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "resolution [34], inpainting [48], and etc. ControlNet [21] takes both visual and text conditions and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "score": 1.0, + "content": "achieves new state-of-the-art controllable image generation. Our proposed UniControl unifies various", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "visual conditions of ControlNet, and is capable of performing zero-shot learning on newly unseen", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "tasks. 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By contrast, UniControl takes only a single visual condition while", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 230, + 337, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 337, + 245 + ], + "score": 1.0, + "content": "still capable of both multi-tasking and zero-shot learning.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 100, + 507, + 245 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 257, + 185, + 270 + ], + "lines": [ + { + "bbox": [ + 104, + 256, + 186, + 272 + ], + "spans": [ + { + "bbox": [ + 104, + 256, + 186, + 272 + ], + "score": 1.0, + "content": "3 UniControl", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 272, + 505, + 316 + ], + "lines": [ + { + "bbox": [ + 105, + 272, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 505, + 285 + ], + "score": 1.0, + "content": "In this section, we describe the training and the model design of our unified controllable diffusion", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 284, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 295 + ], + "score": 1.0, + "content": "model UniControl. Specifically, we first provide the problem setup and training objectives in Sec. 3.1,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 294, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 505, + 306 + ], + "score": 1.0, + "content": "and then show the novel network design of UniControl in Sec. 3.2. Finally, we explain how to perform", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 305, + 378, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 378, + 317 + ], + "score": 1.0, + "content": "zero-shot image generation with the trained UniControl in Sec. 3.3.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 272, + 506, + 317 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 322, + 194, + 334 + ], + "lines": [ + { + "bbox": [ + 104, + 319, + 196, + 338 + ], + "spans": [ + { + "bbox": [ + 104, + 319, + 196, + 338 + ], + "score": 1.0, + "content": "3.1 Training Setup", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 343, + 505, + 387 + ], + "lines": [ + { + "bbox": [ + 105, + 342, + 506, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 506, + 355 + ], + "score": 1.0, + "content": "Different from the previous generative models such as Stable Diffusion Models (SDM) [9] or", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "score": 1.0, + "content": "ControlNet [21], where the image generation conditions are single language prompt, or single type of", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 364, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 505, + 378 + ], + "score": 1.0, + "content": "visual condition such as canny, UniControl is required to take a wide range of visual conditions from", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 375, + 297, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 297, + 388 + ], + "score": 1.0, + "content": "different tasks, as well as the language prompt.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 342, + 506, + 388 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 505, + 458 + ], + "lines": [ + { + "bbox": [ + 105, + 391, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 506, + 405 + ], + "score": 1.0, + "content": "To achieve this, we reformulate the training conditions and target pairs for UniControl. 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With the additional task instruction, UniControl can", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 444, + 507, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 507, + 461 + ], + "score": 1.0, + "content": "differentiate visual conditions from different tasks. 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To accommodate diverse tasks, we’ve", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 368, + 379 + ], + "score": 1.0, + "content": "designed a Mixture of Experts (MOE) Adapter, containing roughly", + "type": "text" + }, + { + "bbox": [ + 369, + 366, + 394, + 376 + ], + "score": 0.85, + "content": "\\mathord { \\sim } 7 0 \\mathrm { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 366, + 405, + 377 + ], + "score": 0.47, + "content": "\\#", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 365, + 505, + 379 + ], + "score": 1.0, + "content": "params for each task, and", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 376, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 207, + 390 + ], + "score": 1.0, + "content": "a Task-aware HyperNet", + "type": "text" + }, + { + "bbox": [ + 207, + 377, + 236, + 388 + ], + "score": 0.78, + "content": "\\mathrm { \\sim } 1 2 \\mathrm { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 376, + 331, + 390 + ], + "score": 1.0, + "content": "#params) to modulate", + "type": "text" + }, + { + "bbox": [ + 331, + 377, + 342, + 387 + ], + "score": 0.77, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 376, + 506, + 390 + ], + "score": 1.0, + "content": "(i.e., 7) zero-conv layers. This structure", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 386, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 505, + 401 + ], + "score": 1.0, + "content": "allows for multi-task functionality within a singular model, significantly reducing the model size", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 398, + 462, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 462, + 411 + ], + "score": 1.0, + "content": "compared to an equivalent stack of single-task models, each with around 1.4B #params.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 423, + 503, + 445 + ], + "lines": [ + { + "bbox": [ + 105, + 421, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 437 + ], + "score": 1.0, + "content": "the misalignment of low-level features from different tasks; 2) The model can learn meta-knowledge", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 433, + 295, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 295, + 446 + ], + "score": 1.0, + "content": "across tasks, and adapt to each task effectively.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 107, + 450, + 505, + 506 + ], + "lines": [ + { + "bbox": [ + 106, + 451, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 505, + 462 + ], + "score": 1.0, + "content": "The first property can ensure that UniControl can learn necessary and unique information from all", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "tasks. For instance, if UniControl takes the segmentation map as the visual condition, the model", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 471, + 506, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 485 + ], + "score": 1.0, + "content": "might ignore the 3D information. As a result, the feature map learned may not be suitable for the task", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "score": 1.0, + "content": "that takes the depth map images as visual condition. The second property would allow the model to", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 493, + 426, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 426, + 507 + ], + "score": 1.0, + "content": "learn the shared knowledge across tasks, as well as the differences among them.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 510, + 505, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "score": 1.0, + "content": "We introduce two novel designed modules, MOE-style adapter and task-aware HyperNet, that allows", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "score": 1.0, + "content": "UniControl enjoys the above two properties. An overview of the model design for UniControl is in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 532, + 366, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 366, + 545 + ], + "score": 1.0, + "content": "Fig. 2. We describe the detailed designs of these modules below.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 558, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "MOE-Style Adapter. Inspired by the design of Mixture-of-Experts (MOEs) [52], we devise a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "score": 1.0, + "content": "group of convolution modules to serve as the adapter for UniControl to capture features of various", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 579, + 458, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 458, + 594 + ], + "score": 1.0, + "content": "low-level visual conditions. Precisely, the designed adapter module can be expressed as", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19 + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 599, + 416, + 635 + ], + "lines": [ + { + "bbox": [ + 193, + 599, + 416, + 635 + ], + "spans": [ + { + "bbox": [ + 193, + 599, + 416, + 635 + ], + "score": 0.94, + "content": "\\mathcal { F } _ { \\mathrm { A d a p t e r } } ( \\mathcal { Z } _ { c } ^ { k } ) : = \\sum _ { i = 1 } ^ { K } \\mathbb { 1 } ( i = = k ) \\cdot \\mathcal { F } _ { \\mathrm { C o v 1 } } ^ { ( i ) } \\circ \\mathcal { F } _ { \\mathrm { C o v 2 } } ^ { ( i ) } ( \\mathcal { Z } _ { c } ^ { k } ) ,", + "type": "interline_equation", + "image_path": "2894b41f5846561381beb85496e0b282142f7b08075deb7087b257189fa6b884.jpg" + } + ] + } + ], + "index": 21.5, + "virtual_lines": [ + { + "bbox": [ + 193, + 599, + 416, + 617.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 193, + 617.0, + 416, + 635.0 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 643, + 506, + 723 + ], + "lines": [ + { + "bbox": [ + 100, + 631, + 504, + 667 + ], + "spans": [ + { + "bbox": [ + 100, + 631, + 134, + 667 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 645, + 152, + 657 + ], + "score": 0.71, + "content": "\\mathbb { 1 } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 631, + 238, + 667 + ], + "score": 1.0, + "content": "is the indicator func", + "type": "text" + }, + { + "bbox": [ + 243, + 631, + 257, + 667 + ], + "score": 1.0, + "content": "on,", + "type": "text" + }, + { + "bbox": [ + 258, + 644, + 270, + 657 + ], + "score": 0.9, + "content": "\\mathcal { T } _ { c } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 631, + 418, + 667 + ], + "score": 1.0, + "content": "is the conditioned image from task", + "type": "text" + }, + { + "bbox": [ + 419, + 646, + 425, + 655 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 631, + 447, + 667 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 448, + 642, + 504, + 658 + ], + "score": 0.89, + "content": "\\mathcal { F } _ { \\mathrm { { C o v 1 } } } ^ { ( i ) } , \\mathcal { F } _ { \\mathrm { { C o v 2 } } } ^ { ( i ) }", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 657, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 238, + 668 + ], + "score": 1.0, + "content": "are the convolution layers of the", + "type": "text" + }, + { + "bbox": [ + 239, + 657, + 243, + 666 + ], + "score": 0.76, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 657, + 506, + 668 + ], + "score": 1.0, + "content": "-th module of the adapter. 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To accommodate diverse tasks, we’ve", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 368, + 379 + ], + "score": 1.0, + "content": "designed a Mixture of Experts (MOE) Adapter, containing roughly", + "type": "text" + }, + { + "bbox": [ + 369, + 366, + 394, + 376 + ], + "score": 0.85, + "content": "\\mathord { \\sim } 7 0 \\mathrm { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 366, + 405, + 377 + ], + "score": 0.47, + "content": "\\#", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 365, + 505, + 379 + ], + "score": 1.0, + "content": "params for each task, and", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 376, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 207, + 390 + ], + "score": 1.0, + "content": "a Task-aware HyperNet", + "type": "text" + }, + { + "bbox": [ + 207, + 377, + 236, + 388 + ], + "score": 0.78, + "content": "\\mathrm { \\sim } 1 2 \\mathrm { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 376, + 331, + 390 + ], + "score": 1.0, + "content": "#params) to modulate", + "type": "text" + }, + { + "bbox": [ + 331, + 377, + 342, + 387 + ], + "score": 0.77, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 376, + 506, + 390 + ], + "score": 1.0, + "content": "(i.e., 7) zero-conv layers. This structure", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 386, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 505, + 401 + ], + "score": 1.0, + "content": "allows for multi-task functionality within a singular model, significantly reducing the model size", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 398, + 462, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 462, + 411 + ], + "score": 1.0, + "content": "compared to an equivalent stack of single-task models, each with around 1.4B #params.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 423, + 503, + 445 + ], + "lines": [], + "index": 8.5, + "bbox_fs": [ + 105, + 421, + 505, + 446 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 450, + 505, + 506 + ], + "lines": [ + { + "bbox": [ + 106, + 451, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 505, + 462 + ], + "score": 1.0, + "content": "The first property can ensure that UniControl can learn necessary and unique information from all", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "tasks. For instance, if UniControl takes the segmentation map as the visual condition, the model", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 471, + 506, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 485 + ], + "score": 1.0, + "content": "might ignore the 3D information. As a result, the feature map learned may not be suitable for the task", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "score": 1.0, + "content": "that takes the depth map images as visual condition. The second property would allow the model to", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 493, + 426, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 426, + 507 + ], + "score": 1.0, + "content": "learn the shared knowledge across tasks, as well as the differences among them.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 451, + 506, + 507 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 510, + 505, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "score": 1.0, + "content": "We introduce two novel designed modules, MOE-style adapter and task-aware HyperNet, that allows", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "score": 1.0, + "content": "UniControl enjoys the above two properties. An overview of the model design for UniControl is in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 532, + 366, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 366, + 545 + ], + "score": 1.0, + "content": "Fig. 2. We describe the detailed designs of these modules below.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 510, + 506, + 545 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 558, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "MOE-Style Adapter. Inspired by the design of Mixture-of-Experts (MOEs) [52], we devise a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "score": 1.0, + "content": "group of convolution modules to serve as the adapter for UniControl to capture features of various", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 579, + 458, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 458, + 594 + ], + "score": 1.0, + "content": "low-level visual conditions. Precisely, the designed adapter module can be expressed as", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 558, + 506, + 594 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 599, + 416, + 635 + ], + "lines": [ + { + "bbox": [ + 193, + 599, + 416, + 635 + ], + "spans": [ + { + "bbox": [ + 193, + 599, + 416, + 635 + ], + "score": 0.94, + "content": "\\mathcal { F } _ { \\mathrm { A d a p t e r } } ( \\mathcal { Z } _ { c } ^ { k } ) : = \\sum _ { i = 1 } ^ { K } \\mathbb { 1 } ( i = = k ) \\cdot \\mathcal { F } _ { \\mathrm { C o v 1 } } ^ { ( i ) } \\circ \\mathcal { F } _ { \\mathrm { C o v 2 } } ^ { ( i ) } ( \\mathcal { Z } _ { c } ^ { k } ) ,", + "type": "interline_equation", + "image_path": "2894b41f5846561381beb85496e0b282142f7b08075deb7087b257189fa6b884.jpg" + } + ] + } + ], + "index": 21.5, + "virtual_lines": [ + { + "bbox": [ + 193, + 599, + 416, + 617.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 193, + 617.0, + 416, + 635.0 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 643, + 506, + 723 + ], + "lines": [ + { + "bbox": [ + 100, + 631, + 504, + 667 + ], + "spans": [ + { + "bbox": [ + 100, + 631, + 134, + 667 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 645, + 152, + 657 + ], + "score": 0.71, + "content": "\\mathbb { 1 } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 631, + 238, + 667 + ], + "score": 1.0, + "content": "is the indicator func", + "type": "text" + }, + { + "bbox": [ + 243, + 631, + 257, + 667 + ], + "score": 1.0, + "content": "on,", + "type": "text" + }, + { + "bbox": [ + 258, + 644, + 270, + 657 + ], + "score": 0.9, + "content": "\\mathcal { T } _ { c } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 631, + 418, + 667 + ], + "score": 1.0, + "content": "is the conditioned image from task", + "type": "text" + }, + { + "bbox": [ + 419, + 646, + 425, + 655 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 631, + 447, + 667 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 448, + 642, + 504, + 658 + ], + "score": 0.89, + "content": "\\mathcal { F } _ { \\mathrm { { C o v 1 } } } ^ { ( i ) } , \\mathcal { F } _ { \\mathrm { { C o v 2 } } } ^ { ( i ) }", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 657, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 238, + 668 + ], + "score": 1.0, + "content": "are the convolution layers of the", + "type": "text" + }, + { + "bbox": [ + 239, + 657, + 243, + 666 + ], + "score": 0.76, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 657, + 506, + 668 + ], + "score": 1.0, + "content": "-th module of the adapter. We remove the weights of the original", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "MOEs since our designed adapter is required to differentiate various visual conditions. Meanwhile,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "naive MOE modules can not explicitly distinguish different visual conditions when the weights are", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "learnable. Moreover, such task-specific MOE adapters facilitate the zero-shot tasks with explicit", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 700, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 711 + ], + "score": 1.0, + "content": "retrieval of the adapters of highly related pre-training tasks. Besides, the number of parameters for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 711, + 440, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 440, + 723 + ], + "score": 1.0, + "content": "each convolution module is approximately 70K, which is computationally efficient.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26, + "bbox_fs": [ + 100, + 631, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 72, + 503, + 139 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 72, + 503, + 139 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 72, + 503, + 139 + ], + "spans": [ + { + "bbox": [ + 108, + 72, + 503, + 139 + ], + "score": 0.962, + "type": "image", + "image_path": "ddfdf7bb249088e3f366e8b8ba221b8f472a1b46e62e984081e2fc92dd49c629.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 72, + 503, + 94.33333333333333 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 94.33333333333333, + 503, + 116.66666666666666 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 116.66666666666666, + 503, + 139.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 147, + 505, + 192 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "score": 1.0, + "content": "Figure 3: Illustration of MOE’s behaviors under zero-shot scenarios. The left part shows the capacity", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "score": 1.0, + "content": "of the MOE to generalize to hybrid task conditions, achieved through the integration of outputs from", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 171, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 505, + 182 + ], + "score": 1.0, + "content": "two pertinent convolution layers. The right part illustrates the ability of the MOE-style adapter to", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "score": 1.0, + "content": "generalize to unseen tasks, facilitated by the aggregation of pre-trained tasks using estimated weights.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 107, + 204, + 505, + 303 + ], + "lines": [ + { + "bbox": [ + 106, + 203, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "Task-Aware HyperNet. The task-aware HyperNet modulates the zero-convolution modules of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 214, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 314, + 228 + ], + "score": 1.0, + "content": "ControlNet [21] with the task instruction condition", + "type": "text" + }, + { + "bbox": [ + 314, + 217, + 335, + 226 + ], + "score": 0.88, + "content": "c _ { \\mathrm { t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 214, + 506, + 228 + ], + "score": 1.0, + "content": ". As shown in Figure 2, our hyperNet first", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 225, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 104, + 225, + 222, + 239 + ], + "score": 1.0, + "content": "projects the task instruction", + "type": "text" + }, + { + "bbox": [ + 223, + 227, + 244, + 237 + ], + "score": 0.91, + "content": "c _ { \\mathrm { t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 225, + 506, + 239 + ], + "score": 1.0, + "content": "into task embedding with the help of CLIPText encoder. Then", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 236, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 505, + 250 + ], + "score": 1.0, + "content": "similar in spirit of style modulation in StyleGAN2 [53], we inject the task embedding into the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 247, + 507, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 507, + 261 + ], + "score": 1.0, + "content": "trainable copy of ControlNet, by multiplying the task embedding to each zero-conv layer. In specific,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 257, + 507, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 507, + 273 + ], + "score": 1.0, + "content": "the length of the embedding is the same as the number of input channels of the zero-conv layer,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 269, + 507, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 507, + 282 + ], + "score": 1.0, + "content": "and each element scalar in the embedding is multiplied to the convolution kernel per input channel.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 295 + ], + "score": 1.0, + "content": "We also show that our newly designed task-aware HyperNet can also efficiently learn from training", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 292, + 432, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 292, + 432, + 304 + ], + "score": 1.0, + "content": "instances and task supervision following a similar analysis as in ControlNet [21].", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 107, + 317, + 247, + 329 + ], + "lines": [ + { + "bbox": [ + 105, + 316, + 249, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 249, + 332 + ], + "score": 1.0, + "content": "3.3 Task Generalization Ability", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 334, + 505, + 378 + ], + "lines": [ + { + "bbox": [ + 105, + 334, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 506, + 347 + ], + "score": 1.0, + "content": "With the comprehensive pretraining on the MultiGen-20M dataset, UniControl exhibits zero-shot", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "capabilities on tasks that were not encountered during its training, suggesting that Unicontrol possesses", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 356, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 506, + 368 + ], + "score": 1.0, + "content": "the ability to transcend in-domain distributions for broader generalization. We demonstrate the zero-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 366, + 338, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 338, + 379 + ], + "score": 1.0, + "content": "shot ability of UniControl in the following two scenarios:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 107, + 382, + 505, + 438 + ], + "lines": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "score": 1.0, + "content": "Hybrid Tasks Generalization. As shown in the left side of Fig. 3, We consider two different", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 393, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 407 + ], + "score": 1.0, + "content": "visual conditions as the input of UniControl, a hybrid combination of segmentation maps and human", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "skeletons, and augment specific keywords \"background\" and \"foreground\" into the text prompts.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "Besides, we rewrite the hybrid task instruction as a blend of instructions of the combined two tasks", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 426, + 343, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 343, + 440 + ], + "score": 1.0, + "content": "such as \"segmentation map and human skeleton to image\".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 443, + 505, + 530 + ], + "lines": [ + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "Zero-Shot New Tasks Generalization. As shown in the right side of Fig. 3, UniControl needs to", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 453, + 506, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 466 + ], + "score": 1.0, + "content": "generate controllable images on a newly unseen visual condition. To achieve this, estimating the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 465, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 505, + 477 + ], + "score": 1.0, + "content": "task weights based on the relationship between unseen and seen pre-trained tasks is essential. The", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 476, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 487 + ], + "score": 1.0, + "content": "task weights can be estimated by either manual assignment or calculating the similarity score of task", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 487, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 499 + ], + "score": 1.0, + "content": "instructions in the embedding space. The example result in Fig. 5 (d) is generated by our manually", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 497, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 510 + ], + "score": 1.0, + "content": "assigned MOE weights as “depth: 0.6, seg: 0.3, canny: 0.1” for colorization. The MOE-style adapter", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "can be linearly assembled with the estimated task weights to extract shallow features from the newly", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 520, + 205, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 205, + 530 + ], + "score": 1.0, + "content": "unseen visual condition.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29.5 + }, + { + "type": "title", + "bbox": [ + 107, + 538, + 192, + 551 + ], + "lines": [ + { + "bbox": [ + 103, + 536, + 194, + 555 + ], + "spans": [ + { + "bbox": [ + 103, + 536, + 194, + 555 + ], + "score": 1.0, + "content": "4 Experiments", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 554, + 505, + 598 + ], + "lines": [ + { + "bbox": [ + 105, + 554, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 565 + ], + "score": 1.0, + "content": "We empirically evaluate the effectiveness and robustness of UniControl. We conduct a series of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "score": 1.0, + "content": "comprehensive experiments across various conditions and tasks, utilizing diverse datasets to challenge", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "the model’s adaptability and versatility. Experimental setup, methodologies, and results analysis are", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 587, + 253, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 253, + 600 + ], + "score": 1.0, + "content": "provided in the subsequent sections.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5 + }, + { + "type": "title", + "bbox": [ + 107, + 613, + 208, + 625 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 209, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 209, + 629 + ], + "score": 1.0, + "content": "4.1 Experiment Setup", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 106, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "Implementation. The UniControl is illustrated as Fig. 2 with Stable Diffusion, ControlNet, MOE", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 291, + 658 + ], + "score": 1.0, + "content": "Adapter, and Task-aware HyperNet consisting", + "type": "text" + }, + { + "bbox": [ + 291, + 645, + 319, + 656 + ], + "score": 0.84, + "content": "{ \\sim } 1 . 5 \\mathrm { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "parameters. MOE Adapter consists of parallel", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 655, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 104, + 655, + 505, + 669 + ], + "score": 1.0, + "content": "convolutional modules, each of which corresponds to one task. The task-aware HyperNet inputs", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "the CLIP text embedding [22] of task instructions and outputs the task embeddings to modulate", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "the weights of zero-conv kernels. We implement our model upon the ControlNet . We take the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "score": 1.0, + "content": "AdamW [54] as the optimizer based on PyTorch Lightning [55]. 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The left part shows the capacity", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "score": 1.0, + "content": "of the MOE to generalize to hybrid task conditions, achieved through the integration of outputs from", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 171, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 505, + 182 + ], + "score": 1.0, + "content": "two pertinent convolution layers. The right part illustrates the ability of the MOE-style adapter to", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "score": 1.0, + "content": "generalize to unseen tasks, facilitated by the aggregation of pre-trained tasks using estimated weights.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 107, + 204, + 505, + 303 + ], + "lines": [ + { + "bbox": [ + 106, + 203, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "Task-Aware HyperNet. 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As shown in Figure 2, our hyperNet first", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 225, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 104, + 225, + 222, + 239 + ], + "score": 1.0, + "content": "projects the task instruction", + "type": "text" + }, + { + "bbox": [ + 223, + 227, + 244, + 237 + ], + "score": 0.91, + "content": "c _ { \\mathrm { t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 225, + 506, + 239 + ], + "score": 1.0, + "content": "into task embedding with the help of CLIPText encoder. Then", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 236, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 505, + 250 + ], + "score": 1.0, + "content": "similar in spirit of style modulation in StyleGAN2 [53], we inject the task embedding into the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 247, + 507, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 507, + 261 + ], + "score": 1.0, + "content": "trainable copy of ControlNet, by multiplying the task embedding to each zero-conv layer. In specific,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 257, + 507, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 507, + 273 + ], + "score": 1.0, + "content": "the length of the embedding is the same as the number of input channels of the zero-conv layer,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 269, + 507, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 507, + 282 + ], + "score": 1.0, + "content": "and each element scalar in the embedding is multiplied to the convolution kernel per input channel.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 295 + ], + "score": 1.0, + "content": "We also show that our newly designed task-aware HyperNet can also efficiently learn from training", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 292, + 432, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 292, + 432, + 304 + ], + "score": 1.0, + "content": "instances and task supervision following a similar analysis as in ControlNet [21].", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11, + "bbox_fs": [ + 104, + 203, + 507, + 304 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 317, + 247, + 329 + ], + "lines": [ + { + "bbox": [ + 105, + 316, + 249, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 249, + 332 + ], + "score": 1.0, + "content": "3.3 Task Generalization Ability", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 334, + 505, + 378 + ], + "lines": [ + { + "bbox": [ + 105, + 334, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 506, + 347 + ], + "score": 1.0, + "content": "With the comprehensive pretraining on the MultiGen-20M dataset, UniControl exhibits zero-shot", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "capabilities on tasks that were not encountered during its training, suggesting that Unicontrol possesses", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 356, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 506, + 368 + ], + "score": 1.0, + "content": "the ability to transcend in-domain distributions for broader generalization. We demonstrate the zero-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 366, + 338, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 338, + 379 + ], + "score": 1.0, + "content": "shot ability of UniControl in the following two scenarios:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 334, + 506, + 379 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 382, + 505, + 438 + ], + "lines": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "score": 1.0, + "content": "Hybrid Tasks Generalization. As shown in the left side of Fig. 3, We consider two different", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 393, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 407 + ], + "score": 1.0, + "content": "visual conditions as the input of UniControl, a hybrid combination of segmentation maps and human", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "skeletons, and augment specific keywords \"background\" and \"foreground\" into the text prompts.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "Besides, we rewrite the hybrid task instruction as a blend of instructions of the combined two tasks", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 426, + 343, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 343, + 440 + ], + "score": 1.0, + "content": "such as \"segmentation map and human skeleton to image\".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 382, + 506, + 440 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 443, + 505, + 530 + ], + "lines": [ + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "Zero-Shot New Tasks Generalization. As shown in the right side of Fig. 3, UniControl needs to", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 453, + 506, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 466 + ], + "score": 1.0, + "content": "generate controllable images on a newly unseen visual condition. To achieve this, estimating the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 465, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 505, + 477 + ], + "score": 1.0, + "content": "task weights based on the relationship between unseen and seen pre-trained tasks is essential. The", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 476, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 487 + ], + "score": 1.0, + "content": "task weights can be estimated by either manual assignment or calculating the similarity score of task", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 487, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 499 + ], + "score": 1.0, + "content": "instructions in the embedding space. The example result in Fig. 5 (d) is generated by our manually", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 497, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 510 + ], + "score": 1.0, + "content": "assigned MOE weights as “depth: 0.6, seg: 0.3, canny: 0.1” for colorization. The MOE-style adapter", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "can be linearly assembled with the estimated task weights to extract shallow features from the newly", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 520, + 205, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 205, + 530 + ], + "score": 1.0, + "content": "unseen visual condition.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 443, + 506, + 530 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 538, + 192, + 551 + ], + "lines": [ + { + "bbox": [ + 103, + 536, + 194, + 555 + ], + "spans": [ + { + "bbox": [ + 103, + 536, + 194, + 555 + ], + "score": 1.0, + "content": "4 Experiments", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 554, + 505, + 598 + ], + "lines": [ + { + "bbox": [ + 105, + 554, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 565 + ], + "score": 1.0, + "content": "We empirically evaluate the effectiveness and robustness of UniControl. We conduct a series of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "score": 1.0, + "content": "comprehensive experiments across various conditions and tasks, utilizing diverse datasets to challenge", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "the model’s adaptability and versatility. 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The UniControl is illustrated as Fig. 2 with Stable Diffusion, ControlNet, MOE", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 291, + 658 + ], + "score": 1.0, + "content": "Adapter, and Task-aware HyperNet consisting", + "type": "text" + }, + { + "bbox": [ + 291, + 645, + 319, + 656 + ], + "score": 0.84, + "content": "{ \\sim } 1 . 5 \\mathrm { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "parameters. MOE Adapter consists of parallel", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 655, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 104, + 655, + 505, + 669 + ], + "score": 1.0, + "content": "convolutional modules, each of which corresponds to one task. 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The example data is collected from our testing set sampled from COCO and Laion.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 339, + 506, + 394 + ], + "lines": [ + { + "bbox": [ + 106, + 339, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 506, + 352 + ], + "score": 1.0, + "content": "Data Collection. Since the training set of ControlNet is currently unavailable, we initiate our", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "score": 1.0, + "content": "own data collection process from scratch and name it as MultiGen-20M. 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Overall, we amass over 20 million image-prompt-condition triplets. Task", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 606, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 621 + ], + "score": 1.0, + "content": "instructions were naturally derived from the respective conditions, with each task corresponding", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "score": 1.0, + "content": "to a specific instruction, such as \"canny edge to image\" for the canny task. 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We will", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 662, + 422, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 422, + 674 + ], + "score": 1.0, + "content": "open-source our training and testing data to contribute to the community.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 584, + 506, + 674 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "Benchmark Models. The most straightforward comparison for UniControl comes from task-specific", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "ControlNet models. Six tasks overlap with those presented in ControlNet, so their official models", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "are chosen as baselines for these tasks. For fair comparison, we re-implement the ControlNet model", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 709, + 505, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 725 + ], + "score": 1.0, + "content": "(single task) using our collected data. Our unified multi-task UniControl is compared against these", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "score": 1.0, + "content": "task-aware models for each task. 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The total size", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 527, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 383, + 539 + ], + "score": 1.0, + "content": "of UniControl is around 1.5B #params and a single task ControlNet", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 383, + 528, + 389, + 537 + ], + "score": 0.26, + "content": "^ +", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 389, + 527, + 506, + 539 + ], + "score": 1.0, + "content": "SDM takes 1.4B. 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Our", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 458, + 286, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 286, + 469 + ], + "score": 1.0, + "content": "method outperforms ControlNet on all tasks.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5 + } + ], + "index": 8.25 + }, + { + "type": "text", + "bbox": [ + 107, + 483, + 505, + 560 + ], + "lines": [ + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 505, + 495 + ], + "score": 1.0, + "content": "task-aware models for each task. We apply default sampler as DDIM [32] with guidance weight 9", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 494, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 506 + ], + "score": 1.0, + "content": "and steps 50. 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Our method consistently outperforms the baseline ControlNet", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "model. This superiority is in terms of both visual quality and alignment with conditions or prompts.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "score": 1.0, + "content": "For the Canny task, the results generated by our model exhibit a higher degree of detail preservation", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 646, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 505, + 658 + ], + "score": 1.0, + "content": "and visual consistency. 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Canny↓HED↓Normal↓Depth↓Pose↓Segmentation ↓
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ControlNet0.5770.5820.7780.7000.7470.693
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The experimental results have showcased the model’s robust performance and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "adaptability across different tasks and conditions, demonstrating its potential for handling complex", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 618, + 231, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 231, + 630 + ], + "score": 1.0, + "content": "text-to-image generation tasks.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5, + "bbox_fs": [ + 104, + 563, + 506, + 630 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "Limitation and Broader Impact. While UniControl demonstrates impressive performance, it still", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 644, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 658 + ], + "score": 1.0, + "content": "inherits the limitation of diffusion-based image generation models. Specifically, it is limited by our", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "training data, which is obtained from a subset of the Laion-Aesthetics datasets. We observe that", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "there is a data bias in this dataset. Although we have performed keywords and image based data", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "filtering methods, we are aware that the model may generate biased or low-fidelity output. Our model", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "is also limited when high-quality human output is desired. 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Gligen: Open-set grounded text-to-image generation. arXiv:2301.07093,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 126, + 709, + 154, + 723 + ], + "spans": [ + { + "bbox": [ + 126, + 709, + 154, + 723 + ], + "score": 1.0, + "content": "2023.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46, + "bbox_fs": [ + 105, + 687, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [], + "para_blocks": [] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 276, + 69, + 336, + 85 + ], + "lines": [ + { + "bbox": [ + 273, + 68, + 338, + 88 + ], + "spans": [ + { + "bbox": [ + 273, + 68, + 338, + 88 + ], + "score": 1.0, + "content": "Appendix", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 108, + 102, + 261, + 116 + ], + "lines": [ + { + "bbox": [ + 104, + 101, + 263, + 119 + ], + "spans": [ + { + "bbox": [ + 104, + 101, + 263, + 119 + ], + "score": 1.0, + "content": "A Details of Implementation", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "title", + "bbox": [ + 107, + 129, + 218, + 141 + ], + "lines": [ + { + "bbox": [ + 105, + 127, + 220, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 220, + 144 + ], + "score": 1.0, + "content": "A.1 MOE-Style Adapter", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 150, + 506, + 217 + ], + "lines": [ + { + "bbox": [ + 106, + 150, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 106, + 150, + 506, + 163 + ], + "score": 1.0, + "content": "The MOE adapter is implemented as a set of parallel ConvNets composed of three consecutive", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 162, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 162, + 505, + 173 + ], + "score": 1.0, + "content": "convolution and non-linear activation layers. 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Then,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "such instructions will be projected as text embeddings with the help of a language model (we adopt", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 362, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 506, + 376 + ], + "score": 1.0, + "content": "CLIPText in our implementation). The Task-aware HyperNet takes these task instruction embeddings,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 374, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 505, + 387 + ], + "score": 1.0, + "content": "and projects them into different shapes to match the size of different zero-conv kernels, which will", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "be modulated by these task embeddings accordingly. We would fix the parameters of task-aware", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 396, + 428, + 409 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 428, + 409 + ], + "score": 1.0, + "content": "hyperNet in the later stage of model training to ensure the stability of dynamics.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 16.5 + }, + { + "type": "title", + "bbox": [ + 107, + 423, + 199, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 422, + 200, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 200, + 437 + ], + "score": 1.0, + "content": "A.3 Data Collection", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 444, + 506, + 511 + ], + "lines": [ + { + "bbox": [ + 106, + 445, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 506, + 457 + ], + "score": 1.0, + "content": "We have collected a large amount of training set (MultiGen-20M) including over 20M condition-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 467 + ], + "score": 1.0, + "content": "image-prompt triplets across nine different tasks. We firstly download 3/4 of Laion-Aesthetics-V2", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 467, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 294, + 479 + ], + "score": 1.0, + "content": "with score over six and filter out low-resolution", + "type": "text" + }, + { + "bbox": [ + 294, + 467, + 322, + 478 + ], + "score": 0.5, + "content": "( < 5 1 2 )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 467, + 403, + 479 + ], + "score": 1.0, + "content": "images. As a result,", + "type": "text" + }, + { + "bbox": [ + 403, + 467, + 426, + 478 + ], + "score": 0.27, + "content": "2 . 8 \\mathbf { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 467, + 505, + 479 + ], + "score": 1.0, + "content": "images are selected", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 478, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 505, + 491 + ], + "score": 1.0, + "content": "as source images. Then we apply the visual condition extractors as described in the main paper to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "collect Canny, HED, Sketch, Depth, Normal Surface, Seg Map, Object Bounding Box, Human", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 498, + 230, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 230, + 513 + ], + "score": 1.0, + "content": "Skeleton and Outpainting.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27.5 + }, + { + "type": "title", + "bbox": [ + 107, + 529, + 424, + 543 + ], + "lines": [ + { + "bbox": [ + 105, + 528, + 425, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 425, + 544 + ], + "score": 1.0, + "content": "B Numerical Analysis of Task-Aware Modulated ControlNet", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 556, + 505, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "score": 1.0, + "content": "We show that our proposed task-aware modulated ControlNet preserves the properties of the original", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 566, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 506, + 580 + ], + "score": 1.0, + "content": "ControlNet structure. Specifically, we show 1) The new task-aware modulated ControlNet preserves", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "the zero-initialization property of ControlNet; 2) The parameters of the task-aware modulated", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 589, + 345, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 345, + 601 + ], + "score": 1.0, + "content": "Controlnet can be updated once we start to train the model.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 107, + 605, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 240, + 618 + ], + "score": 1.0, + "content": "Denote the input feature map by", + "type": "text" + }, + { + "bbox": [ + 248, + 604, + 390, + 618 + ], + "score": 1.0, + "content": ", the frozen SD Block in Fig. 2 by", + "type": "text" + }, + { + "bbox": [ + 390, + 605, + 409, + 617 + ], + "score": 0.89, + "content": "\\mathcal { F } _ { \\mathrm { S D } }", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 604, + 506, + 618 + ], + "score": 1.0, + "content": ", the extra condition by", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 610, + 504, + 635 + ], + "spans": [ + { + "bbox": [ + 107, + 619, + 112, + 626 + ], + "score": 0.51, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 610, + 255, + 635 + ], + "score": 1.0, + "content": ", two zero convolution operators by", + "type": "text" + }, + { + "bbox": [ + 255, + 616, + 282, + 629 + ], + "score": 0.93, + "content": "\\mathcal { Z } _ { \\theta _ { 1 } } ^ { 1 } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 610, + 300, + 635 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 301, + 615, + 327, + 629 + ], + "score": 0.93, + "content": "\\mathcal { Z } _ { \\theta _ { 2 } } ^ { 2 } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 610, + 473, + 635 + ], + "score": 1.0, + "content": ", the trainable copy of SD Block by", + "type": "text" + }, + { + "bbox": [ + 474, + 615, + 502, + 630 + ], + "score": 0.92, + "content": "\\mathcal { G } _ { \\theta _ { \\mathrm { s } } } ^ { \\mathrm { S D } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 610, + 504, + 635 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 199, + 642 + ], + "score": 1.0, + "content": "the task instruction by", + "type": "text" + }, + { + "bbox": [ + 200, + 630, + 220, + 640 + ], + "score": 0.88, + "content": "c _ { \\mathrm { t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 628, + 356, + 642 + ], + "score": 1.0, + "content": ", and the task-aware hyperNet by", + "type": "text" + }, + { + "bbox": [ + 357, + 628, + 387, + 641 + ], + "score": 0.93, + "content": "\\mathcal { H } _ { \\boldsymbol { \\theta } _ { \\mathcal { H } } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 628, + 506, + 642 + ], + "score": 1.0, + "content": ". Then the output of the new", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 639, + 323, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 323, + 651 + ], + "score": 1.0, + "content": "task-aware modulated Controlnet can be expressed as", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37.5 + }, + { + "type": "interline_equation", + "bbox": [ + 168, + 659, + 442, + 675 + ], + "lines": [ + { + "bbox": [ + 168, + 659, + 442, + 675 + ], + "spans": [ + { + "bbox": [ + 168, + 659, + 442, + 675 + ], + "score": 0.88, + "content": "{ \\pmb y } _ { c } = \\mathcal { F } _ { \\mathrm { S D } } ( { \\pmb x } ) + \\mathcal { Z } _ { \\theta _ { 1 } } ^ { 1 } ( \\mathcal { G } _ { \\theta _ { \\mathrm { s } } } ^ { \\mathrm { S D } } ( { \\pmb x } + \\mathcal { Z } _ { \\theta _ { 2 } } ^ { 2 } ( c ) \\cdot \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) ) ) \\cdot \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) .", + "type": "interline_equation", + "image_path": "ab6f416a97b422c487dc1aa7092d717e2592c527817607bd86a1f204d3c87beb.jpg" + } + ] + } + ], + "index": 40, + "virtual_lines": [ + { + "bbox": [ + 168, + 659, + 442, + 675 + ], + "spans": [], + "index": 40 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 506, + 723 + ], + "lines": [ + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "score": 1.0, + "content": "Property of Zero Initialization. Similar to ControlNet [21], the weights and biases of the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 375, + 712 + ], + "score": 1.0, + "content": "convolution layers are initialized as zeros. 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The entire model is comprised of nine individual MOE", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 171, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 186 + ], + "score": 1.0, + "content": "adapters, each of which consumes 70K parameters. Task keys are designated to each adapter, ensuring", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 183, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 506, + 196 + ], + "score": 1.0, + "content": "that they align with the corresponding visual conditions. Once the MOE adapter processes the input,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 106, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "the remaining model parameters become shared across all tasks. This architecture facilitates task", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 205, + 310, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 310, + 219 + ], + "score": 1.0, + "content": "adaptability while promoting parameter efficiency.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 150, + 506, + 219 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 232, + 226, + 244 + ], + "lines": [ + { + "bbox": [ + 105, + 231, + 228, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 228, + 246 + ], + "score": 1.0, + "content": "A.2 Task-aware HyperNet", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 254, + 506, + 407 + ], + "lines": [ + { + "bbox": [ + 104, + 253, + 507, + 267 + ], + "spans": [ + { + "bbox": [ + 104, + 253, + 507, + 267 + ], + "score": 1.0, + "content": "The task-aware hypernet is applied to modulate the parameters of zero-conv layers in the ControlNet.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "Since the ControlNet can be considered as the hypernet of Stable Diffusion (fixed copy). Our idea", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 275, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 505, + 288 + ], + "score": 1.0, + "content": "can be concluded as the control over control or meta-control to let the task-aware hypernet learn the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 286, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 505, + 299 + ], + "score": 1.0, + "content": "universe representation that is generalizable across different tasks. To implement it, we firstly map the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 297, + 506, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 394, + 311 + ], + "score": 1.0, + "content": "task keys to instruction with a mapping function as: {\"hed\":", + "type": "text" + }, + { + "bbox": [ + 398, + 297, + 506, + 311 + ], + "score": 1.0, + "content": "\"hed edge to image\",", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 307, + 468, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 308, + 151, + 321 + ], + "score": 1.0, + "content": "\"canny\":", + "type": "text" + }, + { + "bbox": [ + 156, + 307, + 314, + 323 + ], + "score": 1.0, + "content": "\"canny edge to image\", \"seg\":", + "type": "text" + }, + { + "bbox": [ + 316, + 307, + 468, + 323 + ], + "score": 1.0, + "content": "\"segmentation map to image\",", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 319, + 488, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 151, + 333 + ], + "score": 1.0, + "content": "\"depth\":", + "type": "text" + }, + { + "bbox": [ + 153, + 319, + 325, + 333 + ], + "score": 1.0, + "content": "\"depth map to image\", \"normal\":", + "type": "text" + }, + { + "bbox": [ + 330, + 319, + 488, + 333 + ], + "score": 1.0, + "content": "\"normal surface map to image\",", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 329, + 490, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 146, + 344 + ], + "score": 1.0, + "content": "\"pose\":", + "type": "text" + }, + { + "bbox": [ + 151, + 329, + 387, + 344 + ], + "score": 1.0, + "content": "\"human pose skeleton to image\", \"hedsketch\":", + "type": "text" + }, + { + "bbox": [ + 391, + 330, + 490, + 344 + ], + "score": 1.0, + "content": "\"sketch to image\",", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 340, + 506, + 355 + ], + "spans": [ + { + "bbox": [ + 106, + 341, + 147, + 353 + ], + "score": 1.0, + "content": "\"bbox\":", + "type": "text" + }, + { + "bbox": [ + 151, + 340, + 361, + 355 + ], + "score": 1.0, + "content": "\"bounding box to image\", \"outpainting\":", + "type": "text" + }, + { + "bbox": [ + 366, + 341, + 506, + 354 + ], + "score": 1.0, + "content": "\"image outpainting\"}. Then,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "such instructions will be projected as text embeddings with the help of a language model (we adopt", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 362, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 506, + 376 + ], + "score": 1.0, + "content": "CLIPText in our implementation). The Task-aware HyperNet takes these task instruction embeddings,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 374, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 505, + 387 + ], + "score": 1.0, + "content": "and projects them into different shapes to match the size of different zero-conv kernels, which will", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "be modulated by these task embeddings accordingly. We would fix the parameters of task-aware", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 396, + 428, + 409 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 428, + 409 + ], + "score": 1.0, + "content": "hyperNet in the later stage of model training to ensure the stability of dynamics.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 16.5, + "bbox_fs": [ + 104, + 253, + 507, + 409 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 423, + 199, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 422, + 200, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 200, + 437 + ], + "score": 1.0, + "content": "A.3 Data Collection", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 444, + 506, + 511 + ], + "lines": [ + { + "bbox": [ + 106, + 445, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 506, + 457 + ], + "score": 1.0, + "content": "We have collected a large amount of training set (MultiGen-20M) including over 20M condition-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 467 + ], + "score": 1.0, + "content": "image-prompt triplets across nine different tasks. We firstly download 3/4 of Laion-Aesthetics-V2", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 467, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 294, + 479 + ], + "score": 1.0, + "content": "with score over six and filter out low-resolution", + "type": "text" + }, + { + "bbox": [ + 294, + 467, + 322, + 478 + ], + "score": 0.5, + "content": "( < 5 1 2 )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 467, + 403, + 479 + ], + "score": 1.0, + "content": "images. As a result,", + "type": "text" + }, + { + "bbox": [ + 403, + 467, + 426, + 478 + ], + "score": 0.27, + "content": "2 . 8 \\mathbf { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 467, + 505, + 479 + ], + "score": 1.0, + "content": "images are selected", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 478, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 505, + 491 + ], + "score": 1.0, + "content": "as source images. Then we apply the visual condition extractors as described in the main paper to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "collect Canny, HED, Sketch, Depth, Normal Surface, Seg Map, Object Bounding Box, Human", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 498, + 230, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 230, + 513 + ], + "score": 1.0, + "content": "Skeleton and Outpainting.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 445, + 506, + 513 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 529, + 424, + 543 + ], + "lines": [ + { + "bbox": [ + 105, + 528, + 425, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 425, + 544 + ], + "score": 1.0, + "content": "B Numerical Analysis of Task-Aware Modulated ControlNet", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 556, + 505, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "score": 1.0, + "content": "We show that our proposed task-aware modulated ControlNet preserves the properties of the original", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 566, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 506, + 580 + ], + "score": 1.0, + "content": "ControlNet structure. Specifically, we show 1) The new task-aware modulated ControlNet preserves", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "the zero-initialization property of ControlNet; 2) The parameters of the task-aware modulated", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 589, + 345, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 345, + 601 + ], + "score": 1.0, + "content": "Controlnet can be updated once we start to train the model.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 556, + 506, + 601 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 605, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 240, + 618 + ], + "score": 1.0, + "content": "Denote the input feature map by", + "type": "text" + }, + { + "bbox": [ + 248, + 604, + 390, + 618 + ], + "score": 1.0, + "content": ", the frozen SD Block in Fig. 2 by", + "type": "text" + }, + { + "bbox": [ + 390, + 605, + 409, + 617 + ], + "score": 0.89, + "content": "\\mathcal { F } _ { \\mathrm { S D } }", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 604, + 506, + 618 + ], + "score": 1.0, + "content": ", the extra condition by", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 610, + 504, + 635 + ], + "spans": [ + { + "bbox": [ + 107, + 619, + 112, + 626 + ], + "score": 0.51, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 610, + 255, + 635 + ], + "score": 1.0, + "content": ", two zero convolution operators by", + "type": "text" + }, + { + "bbox": [ + 255, + 616, + 282, + 629 + ], + "score": 0.93, + "content": "\\mathcal { Z } _ { \\theta _ { 1 } } ^ { 1 } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 610, + 300, + 635 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 301, + 615, + 327, + 629 + ], + "score": 0.93, + "content": "\\mathcal { Z } _ { \\theta _ { 2 } } ^ { 2 } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 610, + 473, + 635 + ], + "score": 1.0, + "content": ", the trainable copy of SD Block by", + "type": "text" + }, + { + "bbox": [ + 474, + 615, + 502, + 630 + ], + "score": 0.92, + "content": "\\mathcal { G } _ { \\theta _ { \\mathrm { s } } } ^ { \\mathrm { S D } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 610, + 504, + 635 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 199, + 642 + ], + "score": 1.0, + "content": "the task instruction by", + "type": "text" + }, + { + "bbox": [ + 200, + 630, + 220, + 640 + ], + "score": 0.88, + "content": "c _ { \\mathrm { t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 628, + 356, + 642 + ], + "score": 1.0, + "content": ", and the task-aware hyperNet by", + "type": "text" + }, + { + "bbox": [ + 357, + 628, + 387, + 641 + ], + "score": 0.93, + "content": "\\mathcal { H } _ { \\boldsymbol { \\theta } _ { \\mathcal { H } } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 628, + 506, + 642 + ], + "score": 1.0, + "content": ". Then the output of the new", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 639, + 323, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 323, + 651 + ], + "score": 1.0, + "content": "task-aware modulated Controlnet can be expressed as", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37.5, + "bbox_fs": [ + 105, + 604, + 506, + 651 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 168, + 659, + 442, + 675 + ], + "lines": [ + { + "bbox": [ + 168, + 659, + 442, + 675 + ], + "spans": [ + { + "bbox": [ + 168, + 659, + 442, + 675 + ], + "score": 0.88, + "content": "{ \\pmb y } _ { c } = \\mathcal { F } _ { \\mathrm { S D } } ( { \\pmb x } ) + \\mathcal { Z } _ { \\theta _ { 1 } } ^ { 1 } ( \\mathcal { G } _ { \\theta _ { \\mathrm { s } } } ^ { \\mathrm { S D } } ( { \\pmb x } + \\mathcal { Z } _ { \\theta _ { 2 } } ^ { 2 } ( c ) \\cdot \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) ) ) \\cdot \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) .", + "type": "interline_equation", + "image_path": "ab6f416a97b422c487dc1aa7092d717e2592c527817607bd86a1f204d3c87beb.jpg" + } + ] + } + ], + "index": 40, + "virtual_lines": [ + { + "bbox": [ + 168, + 659, + 442, + 675 + ], + "spans": [], + "index": 40 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 506, + 723 + ], + "lines": [ + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "score": 1.0, + "content": "Property of Zero Initialization. Similar to ControlNet [21], the weights and biases of the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 375, + 712 + ], + "score": 1.0, + "content": "convolution layers are initialized as zeros. As a result, we have", + "type": "text" + }, + { + "bbox": [ + 376, + 698, + 424, + 712 + ], + "score": 0.95, + "content": "\\mathcal { Z } _ { \\theta _ { 1 } } ^ { 1 } ( \\cdot ) \\equiv 0", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 698, + 443, + 712 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 444, + 698, + 502, + 711 + ], + "score": 0.93, + "content": "\\pmb { y } _ { c } = \\mathcal { F } _ { \\mathrm { S D } } ( \\pmb { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 698, + 506, + 712 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 710, + 273, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 238, + 724 + ], + "score": 1.0, + "content": "regardless of the initialization of", + "type": "text" + }, + { + "bbox": [ + 239, + 711, + 269, + 723 + ], + "score": 0.92, + "content": "\\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 710, + 273, + 724 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 686, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 382, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 383, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 383, + 86 + ], + "score": 1.0, + "content": "Gradient Analysis. We analyze the gradient of the modulated part", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "interline_equation", + "bbox": [ + 139, + 86, + 470, + 101 + ], + "lines": [ + { + "bbox": [ + 139, + 86, + 470, + 101 + ], + "spans": [ + { + "bbox": [ + 139, + 86, + 470, + 101 + ], + "score": 0.85, + "content": "\\nabla _ { \\theta } \\left( Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) \\cdot \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) \\right) = \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) \\cdot \\nabla _ { \\theta } Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) + Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) \\cdot \\nabla _ { \\theta _ { \\mathcal { H } } } \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) ,", + "type": "interline_equation", + "image_path": "c799b6b76ab35eaa3b515c74d2b485fd146a5a355e015d55c85a4189e876416e.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 139, + 86, + 470, + 101 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 103, + 305, + 114 + ], + "lines": [ + { + "bbox": [ + 106, + 102, + 306, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 133, + 116 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 104, + 140, + 113 + ], + "score": 0.8, + "content": "I", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 102, + 306, + 116 + ], + "score": 1.0, + "content": "is the input of the zero convolution layer.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 119, + 505, + 187 + ], + "lines": [ + { + "bbox": [ + 106, + 119, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 106, + 119, + 505, + 131 + ], + "score": 1.0, + "content": "When we start to train the network, the first part of the RHS of (2) follows similar analysis of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 128, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 198, + 144 + ], + "score": 1.0, + "content": "ControlNet [21] since", + "type": "text" + }, + { + "bbox": [ + 198, + 130, + 245, + 142 + ], + "score": 0.93, + "content": "\\mathcal { H } _ { \\boldsymbol { \\theta } _ { \\mathcal { H } } } \\left( c _ { \\mathrm { t a s k } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 128, + 417, + 144 + ], + "score": 1.0, + "content": "is constant when we analyze the gradient", + "type": "text" + }, + { + "bbox": [ + 418, + 129, + 459, + 143 + ], + "score": 0.93, + "content": "\\nabla _ { \\theta } Z _ { \\theta _ { 1 } } ^ { 1 } ( I )", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 128, + 506, + 144 + ], + "score": 1.0, + "content": ". Since the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 142, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 142, + 162, + 155 + ], + "score": 1.0, + "content": "parameters of", + "type": "text" + }, + { + "bbox": [ + 162, + 142, + 209, + 154 + ], + "score": 0.92, + "content": "\\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 142, + 374, + 155 + ], + "score": 1.0, + "content": "are not initialized to zero, it is known that", + "type": "text" + }, + { + "bbox": [ + 374, + 142, + 440, + 154 + ], + "score": 0.89, + "content": "\\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) \\neq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 142, + 505, + 155 + ], + "score": 1.0, + "content": ". So the gradient", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 153, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 402, + 167 + ], + "score": 1.0, + "content": "dynamic follows the analysis of ControlNet. Therefore, we conclude that", + "type": "text" + }, + { + "bbox": [ + 403, + 154, + 450, + 167 + ], + "score": 0.91, + "content": "Z _ { \\theta _ { \\bot } } ^ { 1 } ( I ) \\neq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 153, + 506, + 167 + ], + "score": 1.0, + "content": "after the first", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 163, + 506, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 163, + 506, + 177 + ], + "score": 1.0, + "content": "gradient update, and that the network can start to learn and update the following standard dynamics", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 228, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 228, + 187 + ], + "score": 1.0, + "content": "of stochastic gradient descent.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 107, + 190, + 505, + 227 + ], + "lines": [ + { + "bbox": [ + 105, + 190, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 270, + 205 + ], + "score": 1.0, + "content": "As for the second part of the RHS of (2),", + "type": "text" + }, + { + "bbox": [ + 270, + 191, + 317, + 205 + ], + "score": 0.93, + "content": "Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) \\equiv 0", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 190, + 506, + 205 + ], + "score": 1.0, + "content": "before the first gradient update, so the gradient", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 203, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 150, + 218 + ], + "score": 1.0, + "content": "is zero for", + "type": "text" + }, + { + "bbox": [ + 150, + 204, + 163, + 216 + ], + "score": 0.88, + "content": "\\theta _ { \\mathcal { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 203, + 340, + 218 + ], + "score": 1.0, + "content": ". However, after the first gradient update of", + "type": "text" + }, + { + "bbox": [ + 340, + 205, + 350, + 216 + ], + "score": 0.88, + "content": "\\theta _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 203, + 393, + 218 + ], + "score": 1.0, + "content": ", we know", + "type": "text" + }, + { + "bbox": [ + 393, + 204, + 441, + 217 + ], + "score": 0.93, + "content": "Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) \\neq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 203, + 461, + 218 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 462, + 204, + 475, + 216 + ], + "score": 0.89, + "content": "\\theta _ { \\mathcal { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 203, + 505, + 218 + ], + "score": 1.0, + "content": "can be", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 216, + 241, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 241, + 228 + ], + "score": 1.0, + "content": "updated with non-zero gradients.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 231, + 504, + 254 + ], + "lines": [ + { + "bbox": [ + 106, + 231, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 505, + 244 + ], + "score": 1.0, + "content": "To conclude, the new task-aware Modulated ControlNet can still be efficiently updated and learned", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 242, + 316, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 316, + 255 + ], + "score": 1.0, + "content": "even if the convolution layers are initialized to zero.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 107, + 268, + 312, + 282 + ], + "lines": [ + { + "bbox": [ + 106, + 267, + 313, + 284 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 313, + 284 + ], + "score": 1.0, + "content": "C Zero-shot-task Results and Analysis", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 293, + 505, + 403 + ], + "lines": [ + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "score": 1.0, + "content": "We show more zero-shot-task results in this section, where the tasks have not been trained on. In", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "score": 1.0, + "content": "Fig. 13, we show zero-shot deblurring results guided by the keywords. Our deblurred images can", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 316, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 505, + 327 + ], + "score": 1.0, + "content": "successfully recover the fine-grained details of the images without training on such data. We note", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 325, + 506, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 506, + 339 + ], + "score": 1.0, + "content": "that some details are still missing, e.g., the details in the painting in the first row are still not clear", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "enough. In Fig. 14, we illustrate two zero-shot image colorization results. We believe that most parts", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 349, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 505, + 360 + ], + "score": 1.0, + "content": "of the generated images are acceptable, though the clothes of the second woman do not look the same", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 359, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 505, + 370 + ], + "score": 1.0, + "content": "to the input blurred image. In Fig. 15, we observe impressive zero-shot inpainting results. In the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 368, + 506, + 383 + ], + "spans": [ + { + "bbox": [ + 104, + 368, + 506, + 383 + ], + "score": 1.0, + "content": "first row, the duck that is inputted in the text has been successfully generated in the inpainted image.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 381, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 381, + 505, + 392 + ], + "score": 1.0, + "content": "The second row obtains acceptable results as well, though the faces do not look perfect. The overall", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 392, + 294, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 294, + 403 + ], + "score": 1.0, + "content": "zero-shot quality of UniControl is remarkable.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 407, + 505, + 485 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 421 + ], + "score": 1.0, + "content": "While inpainting and outpainting might appear related, they are fundamentally distinct. Inpainting", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 418, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 506, + 432 + ], + "score": 1.0, + "content": "heavily leverages the contextual information from unmasked regions, necessitating a precise match.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "Conversely, outpainting has more freedom, with the generative model prioritizing prompts to envision", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 441, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 453 + ], + "score": 1.0, + "content": "new content. As shown in Fig. 8, directly using outpainting model for inpainting tasks can be", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "challenging since the model tends to leave a sharp change over the mask boundaries. Our pretrained", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "score": 1.0, + "content": "UniControl, thanks to intensive training across multiple tasks, has learned edge and region-to-image", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 473, + 356, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 356, + 487 + ], + "score": 1.0, + "content": "mappings, which assists in preserving contextual information.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 108, + 489, + 503, + 523 + ], + "lines": [ + { + "bbox": [ + 105, + 488, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 503 + ], + "score": 1.0, + "content": "Our model also demonstrates a promising capacity to generalize under scribble conditions, showing", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "parallels to the ControlNet’s ability, even though UniControl hasn’t been directly trained using", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 512, + 433, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 433, + 524 + ], + "score": 1.0, + "content": "scribble data. Fig. 9 provides results illustrating the scribble-to-image generation.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33 + }, + { + "type": "title", + "bbox": [ + 107, + 537, + 237, + 551 + ], + "lines": [ + { + "bbox": [ + 105, + 535, + 237, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 237, + 554 + ], + "score": 1.0, + "content": "D Details of User Study", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 561, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 560, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 575 + ], + "score": 1.0, + "content": "In the evaluation steps, we use Amazon Mechanical Turk (Mturk) 2 to perform user study. Specifically,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 572, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 506, + 586 + ], + "score": 1.0, + "content": "we ask three Mturk master workers to select the best output result for each input condition. As shown", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 583, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 597 + ], + "score": 1.0, + "content": "in Fig. 10, we provide instructions on guidelines to select the best generated image. The annotators", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 595, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 607 + ], + "score": 1.0, + "content": "are provided the condition map and the text that describes the image, and are required to select the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "better output between the two generated images. Considering that images can both in good or bad", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 616, + 506, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 506, + 629 + ], + "score": 1.0, + "content": "qualities, we provide the tie option as well. We use the majority vote to determine the result of each", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 628, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 505, + 639 + ], + "score": 1.0, + "content": "image, which means that an image is considered as a better image if two or more annotators vote", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "score": 1.0, + "content": "for it. We use 294 images for the tasks of Canny, HED, Surface Normal, Depth, Segmentation, User", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "score": 1.0, + "content": "Sketch, and Outpainting. We adopt 100 images for the task of Human Skeleton and 187 images for", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "the task of Bounding Box. In summary, we totally obtain 7,035 voting results for all nine tasks. 2/3", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 671, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 684 + ], + "score": 1.0, + "content": "of source images in testing set are collected from MSCOCO with the remaining 1/3 from Laion. And", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "score": 1.0, + "content": "it includes a very diverse range of topics including indoor scene, outdoor scene, oil painting, portrait,", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 693, + 260, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 693, + 260, + 705 + ], + "score": 1.0, + "content": "pencil sketch, animation, cartoon, etc.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 42 + } + ], + "page_idx": 16, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 120, + 712, + 209, + 722 + ], + "lines": [ + { + "bbox": [ + 118, + 709, + 211, + 724 + ], + "spans": [ + { + "bbox": [ + 118, + 709, + 211, + 724 + ], + "score": 1.0, + "content": "2https://www.mturk.com", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 299, + 740, + 312, + 754 + ], + "spans": [ + { + "bbox": [ + 299, + 740, + 312, + 754 + ], + "score": 1.0, + "content": "17", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 382, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 383, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 383, + 86 + ], + "score": 1.0, + "content": "Gradient Analysis. We analyze the gradient of the modulated part", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 106, + 72, + 383, + 86 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 139, + 86, + 470, + 101 + ], + "lines": [ + { + "bbox": [ + 139, + 86, + 470, + 101 + ], + "spans": [ + { + "bbox": [ + 139, + 86, + 470, + 101 + ], + "score": 0.85, + "content": "\\nabla _ { \\theta } \\left( Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) \\cdot \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) \\right) = \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) \\cdot \\nabla _ { \\theta } Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) + Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) \\cdot \\nabla _ { \\theta _ { \\mathcal { H } } } \\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) ,", + "type": "interline_equation", + "image_path": "c799b6b76ab35eaa3b515c74d2b485fd146a5a355e015d55c85a4189e876416e.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 139, + 86, + 470, + 101 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 103, + 305, + 114 + ], + "lines": [ + { + "bbox": [ + 106, + 102, + 306, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 133, + 116 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 104, + 140, + 113 + ], + "score": 0.8, + "content": "I", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 102, + 306, + 116 + ], + "score": 1.0, + "content": "is the input of the zero convolution layer.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2, + "bbox_fs": [ + 106, + 102, + 306, + 116 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 119, + 505, + 187 + ], + "lines": [ + { + "bbox": [ + 106, + 119, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 106, + 119, + 505, + 131 + ], + "score": 1.0, + "content": "When we start to train the network, the first part of the RHS of (2) follows similar analysis of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 128, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 198, + 144 + ], + "score": 1.0, + "content": "ControlNet [21] since", + "type": "text" + }, + { + "bbox": [ + 198, + 130, + 245, + 142 + ], + "score": 0.93, + "content": "\\mathcal { H } _ { \\boldsymbol { \\theta } _ { \\mathcal { H } } } \\left( c _ { \\mathrm { t a s k } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 128, + 417, + 144 + ], + "score": 1.0, + "content": "is constant when we analyze the gradient", + "type": "text" + }, + { + "bbox": [ + 418, + 129, + 459, + 143 + ], + "score": 0.93, + "content": "\\nabla _ { \\theta } Z _ { \\theta _ { 1 } } ^ { 1 } ( I )", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 128, + 506, + 144 + ], + "score": 1.0, + "content": ". Since the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 142, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 142, + 162, + 155 + ], + "score": 1.0, + "content": "parameters of", + "type": "text" + }, + { + "bbox": [ + 162, + 142, + 209, + 154 + ], + "score": 0.92, + "content": "\\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 142, + 374, + 155 + ], + "score": 1.0, + "content": "are not initialized to zero, it is known that", + "type": "text" + }, + { + "bbox": [ + 374, + 142, + 440, + 154 + ], + "score": 0.89, + "content": "\\mathcal { H } _ { \\theta _ { \\mathcal { H } } } ( c _ { \\mathrm { t a s k } } ) \\neq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 142, + 505, + 155 + ], + "score": 1.0, + "content": ". So the gradient", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 153, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 402, + 167 + ], + "score": 1.0, + "content": "dynamic follows the analysis of ControlNet. Therefore, we conclude that", + "type": "text" + }, + { + "bbox": [ + 403, + 154, + 450, + 167 + ], + "score": 0.91, + "content": "Z _ { \\theta _ { \\bot } } ^ { 1 } ( I ) \\neq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 153, + 506, + 167 + ], + "score": 1.0, + "content": "after the first", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 163, + 506, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 163, + 506, + 177 + ], + "score": 1.0, + "content": "gradient update, and that the network can start to learn and update the following standard dynamics", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 228, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 228, + 187 + ], + "score": 1.0, + "content": "of stochastic gradient descent.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 119, + 506, + 187 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 190, + 505, + 227 + ], + "lines": [ + { + "bbox": [ + 105, + 190, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 270, + 205 + ], + "score": 1.0, + "content": "As for the second part of the RHS of (2),", + "type": "text" + }, + { + "bbox": [ + 270, + 191, + 317, + 205 + ], + "score": 0.93, + "content": "Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) \\equiv 0", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 190, + 506, + 205 + ], + "score": 1.0, + "content": "before the first gradient update, so the gradient", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 203, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 150, + 218 + ], + "score": 1.0, + "content": "is zero for", + "type": "text" + }, + { + "bbox": [ + 150, + 204, + 163, + 216 + ], + "score": 0.88, + "content": "\\theta _ { \\mathcal { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 203, + 340, + 218 + ], + "score": 1.0, + "content": ". However, after the first gradient update of", + "type": "text" + }, + { + "bbox": [ + 340, + 205, + 350, + 216 + ], + "score": 0.88, + "content": "\\theta _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 203, + 393, + 218 + ], + "score": 1.0, + "content": ", we know", + "type": "text" + }, + { + "bbox": [ + 393, + 204, + 441, + 217 + ], + "score": 0.93, + "content": "Z _ { \\theta _ { 1 } } ^ { 1 } ( I ) \\neq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 203, + 461, + 218 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 462, + 204, + 475, + 216 + ], + "score": 0.89, + "content": "\\theta _ { \\mathcal { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 203, + 505, + 218 + ], + "score": 1.0, + "content": "can be", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 216, + 241, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 241, + 228 + ], + "score": 1.0, + "content": "updated with non-zero gradients.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 190, + 506, + 228 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 231, + 504, + 254 + ], + "lines": [ + { + "bbox": [ + 106, + 231, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 505, + 244 + ], + "score": 1.0, + "content": "To conclude, the new task-aware Modulated ControlNet can still be efficiently updated and learned", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 242, + 316, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 316, + 255 + ], + "score": 1.0, + "content": "even if the convolution layers are initialized to zero.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 231, + 505, + 255 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 268, + 312, + 282 + ], + "lines": [ + { + "bbox": [ + 106, + 267, + 313, + 284 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 313, + 284 + ], + "score": 1.0, + "content": "C Zero-shot-task Results and Analysis", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 293, + 505, + 403 + ], + "lines": [ + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "score": 1.0, + "content": "We show more zero-shot-task results in this section, where the tasks have not been trained on. In", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "score": 1.0, + "content": "Fig. 13, we show zero-shot deblurring results guided by the keywords. Our deblurred images can", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 316, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 505, + 327 + ], + "score": 1.0, + "content": "successfully recover the fine-grained details of the images without training on such data. We note", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 325, + 506, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 506, + 339 + ], + "score": 1.0, + "content": "that some details are still missing, e.g., the details in the painting in the first row are still not clear", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "enough. In Fig. 14, we illustrate two zero-shot image colorization results. We believe that most parts", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 349, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 505, + 360 + ], + "score": 1.0, + "content": "of the generated images are acceptable, though the clothes of the second woman do not look the same", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 359, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 505, + 370 + ], + "score": 1.0, + "content": "to the input blurred image. In Fig. 15, we observe impressive zero-shot inpainting results. In the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 368, + 506, + 383 + ], + "spans": [ + { + "bbox": [ + 104, + 368, + 506, + 383 + ], + "score": 1.0, + "content": "first row, the duck that is inputted in the text has been successfully generated in the inpainted image.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 381, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 381, + 505, + 392 + ], + "score": 1.0, + "content": "The second row obtains acceptable results as well, though the faces do not look perfect. The overall", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 392, + 294, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 294, + 403 + ], + "score": 1.0, + "content": "zero-shot quality of UniControl is remarkable.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 19.5, + "bbox_fs": [ + 104, + 293, + 506, + 403 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 407, + 505, + 485 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 421 + ], + "score": 1.0, + "content": "While inpainting and outpainting might appear related, they are fundamentally distinct. Inpainting", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 418, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 506, + 432 + ], + "score": 1.0, + "content": "heavily leverages the contextual information from unmasked regions, necessitating a precise match.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "Conversely, outpainting has more freedom, with the generative model prioritizing prompts to envision", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 441, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 453 + ], + "score": 1.0, + "content": "new content. As shown in Fig. 8, directly using outpainting model for inpainting tasks can be", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "challenging since the model tends to leave a sharp change over the mask boundaries. Our pretrained", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "score": 1.0, + "content": "UniControl, thanks to intensive training across multiple tasks, has learned edge and region-to-image", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 473, + 356, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 356, + 487 + ], + "score": 1.0, + "content": "mappings, which assists in preserving contextual information.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 406, + 506, + 487 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 489, + 503, + 523 + ], + "lines": [ + { + "bbox": [ + 105, + 488, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 503 + ], + "score": 1.0, + "content": "Our model also demonstrates a promising capacity to generalize under scribble conditions, showing", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "parallels to the ControlNet’s ability, even though UniControl hasn’t been directly trained using", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 512, + 433, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 433, + 524 + ], + "score": 1.0, + "content": "scribble data. Fig. 9 provides results illustrating the scribble-to-image generation.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 488, + 505, + 524 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 537, + 237, + 551 + ], + "lines": [ + { + "bbox": [ + 105, + 535, + 237, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 237, + 554 + ], + "score": 1.0, + "content": "D Details of User Study", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 561, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 560, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 575 + ], + "score": 1.0, + "content": "In the evaluation steps, we use Amazon Mechanical Turk (Mturk) 2 to perform user study. Specifically,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 572, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 506, + 586 + ], + "score": 1.0, + "content": "we ask three Mturk master workers to select the best output result for each input condition. As shown", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 583, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 597 + ], + "score": 1.0, + "content": "in Fig. 10, we provide instructions on guidelines to select the best generated image. The annotators", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 595, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 607 + ], + "score": 1.0, + "content": "are provided the condition map and the text that describes the image, and are required to select the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "better output between the two generated images. Considering that images can both in good or bad", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 616, + 506, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 506, + 629 + ], + "score": 1.0, + "content": "qualities, we provide the tie option as well. We use the majority vote to determine the result of each", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 628, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 505, + 639 + ], + "score": 1.0, + "content": "image, which means that an image is considered as a better image if two or more annotators vote", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "score": 1.0, + "content": "for it. We use 294 images for the tasks of Canny, HED, Surface Normal, Depth, Segmentation, User", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "score": 1.0, + "content": "Sketch, and Outpainting. We adopt 100 images for the task of Human Skeleton and 187 images for", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "the task of Bounding Box. In summary, we totally obtain 7,035 voting results for all nine tasks. 2/3", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 671, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 684 + ], + "score": 1.0, + "content": "of source images in testing set are collected from MSCOCO with the remaining 1/3 from Laion. 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In the first row, although our generated image successfully", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 403, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 106, + 403, + 506, + 416 + ], + "score": 1.0, + "content": "aligns the Bounding Box condition, the generated human has a distorted body. In the second row, our", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 414, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 506, + 426 + ], + "score": 1.0, + "content": "generated image looks similar to the ground truth; however, the human faces are blurred. We think", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "that the reason is that UniControl inherits the data and model bias of Stable Diffusion, where the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 435, + 507, + 448 + ], + "spans": [ + { + "bbox": [ + 104, + 435, + 507, + 448 + ], + "score": 1.0, + "content": "generated human commonly have issues. In the third row, the generated image does not look realistic.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 446, + 453, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 453, + 460 + ], + "score": 1.0, + "content": "We believe that the training data can be improved both quantitatively and qualitatively.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 108, + 473, + 222, + 487 + ], + "lines": [ + { + "bbox": [ + 105, + 473, + 223, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 223, + 489 + ], + "score": 1.0, + "content": "F Additional Results", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 498, + 506, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "score": 1.0, + "content": "We illustrate more visualized results in this section on tasks Canny (Fig. 16), HED (Fig. 17),", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 508, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 523 + ], + "score": 1.0, + "content": "Depth (Fig. 18), Surface Normal (Fig. 19), Human Skeleton (Fig. 20), Bounding Box (Fig. 21),", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "score": 1.0, + "content": "Segmentation (Fig. 22) and Outpainting (Fig. 23). These results further demonstrate the effectiveness", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 531, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 544 + ], + "score": 1.0, + "content": "of our proposed method. Moreover, due to the space limitation in the main paper, we report results of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 541, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 554 + ], + "score": 1.0, + "content": "the last task, User Sketch. Given a sketched image, UniControl is able to achieve promising realistic", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "images. The visualized results are in Fig. 24. The user study result can be found in Fig. 11, where it", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 564, + 457, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 457, + 576 + ], + "score": 1.0, + "content": "is observed that UniControl obtains significantly more votes than the single task model.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18 + } + ], + "page_idx": 18, + "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": "19", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 110, + 70, + 501, + 183 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 70, + 501, + 183 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 70, + 501, + 183 + ], + "spans": [ + { + "bbox": [ + 110, + 70, + 501, + 183 + ], + "score": 0.97, + "type": "image", + "image_path": "16698d49a4b5517d756c624b1810c4b1688ca335a2f7854252080f45c1e5e283.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 110, + 70, + 501, + 107.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 110, + 107.66666666666666, + 501, + 145.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 110, + 145.33333333333331, + 501, + 182.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 178, + 196, + 433, + 207 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 177, + 194, + 433, + 210 + ], + "spans": [ + { + "bbox": [ + 177, + 194, + 433, + 210 + ], + "score": 1.0, + "content": "Figure 10: Mturk interface to select the better generated image.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "image", + "bbox": [ + 234, + 222, + 371, + 321 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 234, + 222, + 371, + 321 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 234, + 222, + 371, + 321 + ], + "spans": [ + { + "bbox": [ + 234, + 222, + 371, + 321 + ], + "score": 0.961, + "type": "image", + "image_path": "533f5d7e0c6cc374e12d4d3c734e3d41fc6ad14014462c57fa1def5de3219eb5.jpg" + } + ] + } + ], + "index": 4.5, + "virtual_lines": [ + { + "bbox": [ + 234, + 222, + 371, + 271.5 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 234, + 271.5, + 371, + 321.0 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 172, + 336, + 437, + 348 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 172, + 334, + 438, + 350 + ], + "spans": [ + { + "bbox": [ + 172, + 334, + 438, + 350 + ], + "score": 1.0, + "content": "Figure 11: User study results of User Sketch to image generation.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + } + ], + "index": 5.25 + }, + { + "type": "title", + "bbox": [ + 107, + 366, + 197, + 381 + ], + "lines": [ + { + "bbox": [ + 104, + 365, + 199, + 383 + ], + "spans": [ + { + "bbox": [ + 104, + 365, + 199, + 383 + ], + "score": 1.0, + "content": "E Failure Cases", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 392, + 506, + 458 + ], + "lines": [ + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "score": 1.0, + "content": "We illustrate some failure cases in Fig. 12. In the first row, although our generated image successfully", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 403, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 106, + 403, + 506, + 416 + ], + "score": 1.0, + "content": "aligns the Bounding Box condition, the generated human has a distorted body. In the second row, our", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 414, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 506, + 426 + ], + "score": 1.0, + "content": "generated image looks similar to the ground truth; however, the human faces are blurred. We think", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "that the reason is that UniControl inherits the data and model bias of Stable Diffusion, where the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 435, + 507, + 448 + ], + "spans": [ + { + "bbox": [ + 104, + 435, + 507, + 448 + ], + "score": 1.0, + "content": "generated human commonly have issues. 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