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+Vivien Seguy +Kyoto University +Graduate School of Informatics +vivien.seguy@iip.ist.i.kyoto-u.ac.jp +Bharath Bhushan Damodaran +Universite de Bretagne Sud´ +IRISA, UMR 6074, CNRS +bharath-bhushan.damodaran@irisa.fr +Remi Flamary ´ +Universite C´ ote dAzur ˆ +Lagrange, UMR 7293, CNRS, OCA +remi.flamary@unice.fr + +Nicolas Courty Universite de Bretagne Sud ´ IRISA, UMR 6074, CNRS courty@univ-ubs.fr + +# Antoine Rolet + +# Mathieu Blondel + +Kyoto University Graduate School of Informatics antoine.rolet@iip.ist.i.kyoto-u.ac.jp + +NTT Communication Science Laboratories mathieu@mblondel.org + +# ABSTRACT + +This paper presents a novel two-step approach for the fundamental problem of learning an optimal map from one distribution to another. First, we learn an optimal transport (OT) plan, which can be thought as a one-to-many map between the two distributions. To that end, we propose a stochastic dual approach of regularized OT, and show empirically that it scales better than a recent related approach when the amount of samples is very large. Second, we estimate a Monge map as a deep neural network learned by approximating the barycentric projection of the previously-obtained OT plan. This parameterization allows generalization of the mapping outside the support of the input measure. We prove two theoretical stability results of regularized OT which show that our estimations converge to the OT plan and Monge map between the underlying continuous measures. We showcase our proposed approach on two applications: domain adaptation and generative modeling. + +# 1 INTRODUCTION + +Mapping one distribution to another Given two random variables $X$ and $Y$ taking values in $\mathcal { X }$ and $\mathcal { V }$ respectively, the problem of finding a map $f$ such that $f ( X )$ and $Y$ have the same distribution, denoted $f ( X ) \sim Y$ henceforth, finds applications in many areas. For instance, in domain adaptation, given a source dataset and a target dataset with different distributions, the use of a mapping to align the source and target distributions is a natural formulation (Gopalan et al., 2011) since theory has shown that generalization depends on the similarity between the two distributions (Ben-David et al., 2010). Current state-of-the-art methods for computing generative models such as generative adversarial networks (Goodfellow et al., 2014), generative moments matching networks (Li et al., 2015) or variational auto encoders (Kingma & Welling, 2013) also rely on finding $f$ such that $f ( X ) \sim Y$ . In this setting, the latent variable $X$ is often chosen as a continuous random variable, such as a Gaussian distribution, and $Y$ is a discrete distribution of real data, e.g. the ImageNet dataset. By learning a map $f$ , sampling from the generative model boils down to simply drawing a sample from $X$ and then applying $f$ to that sample. + +Mapping with optimality Among the potentially many maps $f$ verifying $f ( X ) \sim Y$ , it may be of interest to find a map which satisfies some optimality criterion. Given a cost of moving mass from one point to another, one would naturally look for a map which minimizes the total cost of transporting the mass from $X$ to $Y$ . This is the original formulation of Monge (1781), which initiated the development of the optimal transport (OT) theory. Such optimal maps can be useful in numerous applications such as color transfer (Ferradans et al., 2014), shape matching (Su et al., 2015), data assimilation (Reich, 2011; 2013), or Bayesian inference (Moselhy & Marzouk, 2012). In small dimension and for some specific costs, multi-scale approaches (Merigot, 2011) or dynamic formu- ´ lations (Evans & Gangbo, 1999; Benamou & Brenier, 2000; Papadakis et al., 2014; Solomon et al., 2014) can be used to compute optimal maps, but these approaches become intractable in higher dimension as they are based on space discretization. Furthermore, maps veryfiying $f ( X ) \sim Y$ might not exist, for instance when $X$ is a constant but not $Y$ . Still, one would like to find optimal maps between distributions at least approximately. The modern approach to OT relaxes the Monge problem by optimizing over plans, i.e. distributions over the product space $\mathcal { X } \times \mathcal { V }$ , rather than maps, casting the OT problem as a linear program which is always feasible and easier to solve. However, even with specialized algorithms such as the network simplex, solving that linear program takes $O ( n ^ { 3 } \log { n } )$ time, where $n$ is the size of the discrete distribution (measure) support. + +Large-scale OT Recently, Cuturi (2013) showed that introducing entropic regularization into the OT problem turns its dual into an easier optimization problem which can be solved using the Sinkhorn algorithm. However, the Sinkhorn algorithm does not scale well to measures supported on a large number of samples, since each of its iterations has an $\mathcal { O } ( n ^ { 2 } )$ complexity. In addition, the Sinkhorn algorithm cannot handle continuous probability measures. To address these issues, two recent works proposed to optimize variations of the dual OT problem through stochastic gradient methods. Genevay et al. (2016) proposed to optimize a “semi-dual” objective function. However, their approach still requires ${ \mathcal { O } } ( n )$ operations per iteration and hence only scales moderately w.r.t. the size of the input measures. Arjovsky et al. (2017) proposed a formulation that is specific to the so-called 1-Wasserstein distance (unregularized OT using the Euclidean distance as a cost function). This formulation has a simpler dual form with a single variable which can be parameterized as a neural network. This approach scales better to very large datasets and handles continuous measures, enabling the use of OT as a loss for learning a generative model. However, a drawback of that formulation is that the dual variable has to satisfy the non-trivial constraint of being a Lipschitz function. As a workaround, Arjovsky et al. (2017) proposed to use weight clipping between updates of the neural network parameters. However, this makes unclear whether the learned generative model is truly optimized in an OT sense. Besides these limitations, these works only focus on the computation of the OT objective and do not address the problem of finding an optimal map between two distributions. + +Contributions We present a novel two-step approach for learning an optimal map $f$ that satisfies $f ( X ) \sim Y$ . First, we compute an optimal transport plan, which can be thought as a one-to-many map between the two distributions. To that end, we propose a new simple dual stochastic gradient algorithm for solving regularized OT which scales well with the size of the input measures. We provide numerical evidence that our approach converges faster than semi-dual approaches considered in (Genevay et al., 2016). Second, we learn an optimal map (also referred to as a Monge map) as a neural network by approximating the barycentric projection of the OT plan obtained in the first step. Parameterization of this map with a neural network allows efficient learning and provides generalization outside the support of the input measure. Fig. 1 provides a 2D example showing the computed map between a Gaussian measure and a discrete measure and the resulting density estimation. On the theoretical side, we prove the convergence of regularized optimal plans (resp. barycentric projections of regularized optimal plans) to the optimal plan (resp. Monge map) between the underlying continuous measures from which data are sampled. We demonstrate our approach on domain adaptation and generative modeling. + +Notations: We denote $\mathcal { X }$ and $\mathcal { V }$ some complete metric spaces. In most applications, these are Euclidean spaces. We denote random variables such as $X$ or $Y$ as capital letters. We use $X \sim Y$ to say that $X$ and $Y$ have the same distribution, and also $X \sim \mu$ to say that $X$ is distributed according to the probability measure $\mu$ . $\operatorname { S u p p } ( \mu )$ refers to the support of $\mu$ , a subset of $\mathcal { X }$ , which is also the set of values which $X \sim \mu$ can take. Given $X \sim \mu$ and a map $f$ defined on $\operatorname { S u p p } ( \mu )$ , $f \# \mu$ is the probability distribution of $f ( X )$ . We say that a measure is continuous when it admits a density w.r.t. the Lebesgues measure. We denote id the identity map. + +![](images/07e4bd983be99827944da466a7d4cc363ae64d25b67429c33574be47a404eccc.jpg) +Figure 1: Example of estimated optimal map between a continuous Gaussian distribution (colored level sets) and a multi-modal discrete measure (red $+$ ). (left) Continuous source and discrete target distributions. (center left) displacement field of the estimated optimal map: each arrow is proportional to $f ( x _ { i } ) - x _ { i }$ where $( x _ { i } )$ is a uniform discrete grid. (center right) Generated samples obtained by sampling from the source distribution and applying our estimated Monge map $f$ . (right) Level sets of the resulting density (approximated as a 2D histogram over $1 0 ^ { 6 }$ samples). + +# 2 BACKGROUND ON OPTIMAL TRANSPORT + +The Monge Problem Consider a cost function $c \ : \ ( x , y ) \in \mathcal { X } \times \mathcal { Y } \mapsto c ( x , y ) \in \mathbb { R } ^ { + }$ , and two random variables $X \sim \mu$ and $Y \sim \nu$ taking values in $\mathcal { X }$ and $\mathcal { V }$ respectively. The Monge problem (Monge, 1781) consists in finding a map $f : \mathcal { X } \mathcal { Y }$ which transports the mass from $\mu$ to $\nu$ while minimizing the mass transportation cost, + +$$ +{ \underset { f } { \operatorname* { i n f } } } \ \operatorname { \mathbb { E } } _ { X \sim \mu } \left[ c ( X , f ( X ) ) \right] \ { \mathrm { \ s u b j e c t { \ t o } } } \ f ( X ) \sim Y . +$$ + +Monge originally considered the cost $c ( x , y ) = \| x - y \| _ { 2 }$ , but in the present article we refer to the Monge problem as Problem (1) for any cost $c$ . When $\mu$ is a discrete measure, a map $f$ satisfying the constraint may not exist: if $\mu$ is supported on a single point, no such map exists as soon as $\nu$ is not supported on a single point. In that case, the Monge problem is not feasible. However, when $\mathcal X = \mathcal { \bar { y } } = \mathbb R ^ { d }$ , $\mu$ admits a density and $c$ is the squared Euclidean distance, an important result by Brenier (1991) states that the Monge problem is feasible and that the infinum of Problem (1) is attained. The existence and uniqueness of Monge maps, also referred to as optimal maps, was later generalized to more general costs (e.g. strictly convex and super-linear) by several authors. With the notable exception of the Gaussian to Gaussian case which has a close form affine solution, computation of Monge maps remains an open problem for measures supported on high-dimensional spaces. + +Kantorovich Relaxation In order to make Problem (1) always feasible, Kantorovich (1942) relaxed the Monge problem by casting Problem (1) into a minimization over couplings $( X , Y ) \sim \pi$ rather than the set of maps, where $\pi$ should have marginals equals to $\mu$ and $\nu$ , + +$$ +\operatorname* { i n f } _ { \pi } \ \mathbb { E } _ { ( X , Y ) \sim \pi } \left[ c ( X , Y ) \right] \ \mathrm { ~ s u b j e c t ~ t o ~ } X \sim \mu , \ Y \sim \nu . +$$ + +Concretely, this relaxation allows mass at a given point $x \in \operatorname { S u p p } ( \mu )$ to be transported to several locations $y \in \operatorname { S u p p } ( \nu )$ , while the Monge problem would send the whole mass at $x$ to a unique location $f ( x )$ . This relaxed formulation is a linear program, which can be solved by specialized algorithms such as the network simplex when considering discrete measures. However, current implementations of this algorithm have a super-cubic complexity in the size of the support of $\mu$ and $\nu$ , preventing wider use of OT in large-scale settings. + +Regularized OT OT regularization was introduced by Cuturi (2013) in order to speed up the computation of OT. Regularization is achieved by adding a negative-entropy penalty $R$ (defined in Eq. (5)) to the primal variable $\pi$ of Problem (2), + +$$ +\operatorname* { i n f } _ { \pi } ~ \mathbb { E } _ { ( X , Y ) \sim \pi } \left[ c ( X , Y ) \right] + \varepsilon R ( \pi ) ~ { \mathrm { s u b j e c t ~ t o ~ } } X \sim \mu , ~ Y \sim \nu . +$$ + +Besides efficient computation through the Sinkhorn algorithm, regularization also makes the OT distance differentiable everywhere w.r.t. the weights of the input measures (Blondel et al., 2018), whereas $\mathrm { O T }$ is differentiable only almost everywhere. We also consider the $L ^ { 2 }$ regularization introduced by Dessein et al. (2016), whose computation is found to be more stable since there is no exponential term causing overflow. As highlighted by Blondel et al. (2018), adding an entropy or squared $L ^ { 2 }$ norm regularization term to the primal problem (3) makes the dual problem an unconstrained maximization problem. We use this dual formulation in the next section to propose an efficient stochastic gradient algorithm. + +# 3 LARGE-SCALE OPTIMAL TRANSPORT + +By considering the dual of the regularized OT problem, we first show that stochastic gradient ascent can be used to maximize the resulting concave objective. A close form for the primal solution $\pi$ of Problem (3) can then be obtained by using first-order optimality conditions. + +# 3.1 DUAL STOCHASTIC APPROACH + +OT dual Let $X \sim \mu$ and $Y \sim \nu$ . The Kantorovich duality provides the following dual of the OT problem (2), + +$$ +\operatorname* { s u p } _ { u \in { \mathcal { C } } ( x ) , v \in { \mathcal { C } } ( { \mathcal { V } } ) } \mathbb { E } _ { ( X , Y ) \sim \mu \times \nu } \left[ u ( X ) + v ( Y ) \right] \quad { \mathrm { s u b j e c t ~ t o ~ } } u ( x ) + v ( y ) \leqslant c ( x , y ) { \mathrm { ~ f o r ~ a l l ~ } } u ( x ) + v ( y ) . +$$ + +This dual formulation suggests that stochastic gradient methods can be used to maximize the objective of Problem (4) by sampling batches from the independant coupling $\mu \times \nu$ . However there is no easy way to fulfill the constraint on $u$ and $v$ along gradient iterations. This motivates considering regularized optimal transport. + +Regularized OT dual The hard constraint in Eq. (4) can be relaxed by regularizing the primal problem (2) with a strictly convex regularizer $R$ as detailed in (Blondel et al., 2018). In the present paper, we consider both entropy regularization $R _ { e }$ used in (Cuturi, 2013; Genevay et al., 2016) and $L ^ { 2 }$ regularization $R _ { L ^ { 2 } }$ , + +$$ +\mathfrak { L } _ { e } ( \pi ) \overset { \mathrm { d e f . } } { = } \int _ { x \times y } \left( \ln \left( \frac { d \pi ( x , y ) } { d \mu ( x ) d \nu ( y ) } \right) - 1 \right) d \pi ( x , y ) , ~ R _ { L ^ { 2 } } ( \pi ) \overset { \mathrm { d e f . } } { = } \int _ { x \times y } \left( \frac { d \pi ( x , y ) } { d \mu ( x ) d \nu ( y ) } \right) ^ { 2 } d \mu ( x ) d \nu ( y ) . +$$ + +where $\frac { d \pi ( x , y ) } { d \mu ( x ) d \nu ( y ) }$ is the density, i.e. the Radon-Nikodym derivative, of $\pi$ w.r.t. $\mu \times \nu$ . When $\mu$ and $\nu$ are discrete, and so is $\pi$ , the integrals are replaced by sums. The dual of the regularized OT problems can be obtained through the Fenchel-Rockafellar’s duality theorem, + +$$ +\operatorname* { s u p } _ { u , v } \mathbb { E } _ { ( X , Y ) \sim \mu \times \nu } \left[ u ( X ) + v ( Y ) + F _ { \varepsilon } ( u ( X ) , v ( Y ) ) \right] , +$$ + +$$ +F _ { \varepsilon } ( u ( x ) , v ( y ) ) = \left\{ \begin{array} { l l } { - \varepsilon e ^ { \frac { 1 } { \varepsilon } ( u ( x ) + v ( y ) - c ( x , y ) ) } \quad \mathrm { ( e n t r o p y ~ r e g . ) } } \\ { - \frac { 1 } { 4 \varepsilon } ( u ( x ) + v ( y ) - c ( x , y ) ) _ { + } ^ { 2 } \quad ( L ^ { 2 } ~ \mathrm { r e g . } ) } \end{array} \right. ~ . +$$ + +Compared to Problem (4), the constraint $u ( x ) + v ( y ) \leqslant c ( x , y )$ has been relaxed and is now enforced smoothly through a penalty term $F _ { \varepsilon } ( u ( x ) , v ( y ) )$ which is concave w.r.t. $( u , v )$ . Although we derive formula and perform experiments w.r.t. entropy and $L ^ { 2 }$ regularizations, any strictly convex regularizer which is decomposable, i.e. which can be written $\begin{array} { r } { R ( \pi ) { \bf \equiv } \sum _ { i j } R _ { i j } ( \pi _ { i j } ) } \end{array}$ (in the discrete case), gives rise to a dual problem of the form Eq. (6), and the proposed algorithms can be adapted. + +Primal-Dual relationship In order to recover the solution $\pi ^ { \varepsilon }$ of the regularized primal problem (3), we can use the first-order optimality conditions of the Fenchel-Rockafellar’s duality theorem, + +$$ +\begin{array} { r } { d \pi ^ { \varepsilon } ( x , y ) = H _ { \varepsilon } ( x , y ) d \mu ( x ) d \nu ( y ) \mathrm { ~ w h e r e ~ } H _ { \varepsilon } ( x , y ) = \left\{ \begin{array} { l l } { e ^ { \frac { u ( x ) } { \varepsilon } } e ^ { - \frac { c ( x , y ) } { \varepsilon } } e ^ { \frac { v ( y ) } { \varepsilon } } } & { ( \mathrm { e n t r o p y ~ r e g . } ) } \\ { \frac { 1 } { 2 \varepsilon } \left( u ( x ) + v ( y ) - c ( x , y ) \right) _ { + } \ : ( L ^ { 2 } \mathrm { ~ r e g . } ) } & { . } \end{array} \right. . } \end{array} +$$ + +Algorithm The relaxed dual (6) is an unconstrained concave problem which can be maximized through stochastic gradient methods by sampling batches from $\mu \times \nu$ . When $\mu$ is discrete, i.e. $\begin{array} { r } { \mu = \breve { \sum } _ { i = 1 } ^ { n } a _ { i } \delta _ { x _ { i } } } \end{array}$ , the dual variable $u$ is a $n$ -dimensional vector over which we carry the optimization, where $u ( x _ { i } ) \ { \stackrel { \mathrm { d e f . } } { = } } \ u _ { i }$ . When $\mu$ has a density, $u$ is a function on $\mathcal { X }$ which has to be parameterized in order to carry optimization. We thus consider deep neural networks for their ability to approximate + +# Algorithm 1 Stochastic OT computation + +
1: Inputs: input measures μ,V; cost function c; batch size p; learning rate y. Discrete case: μ = ∑i aiδxi and u is a finite vector: u(xi) @f ui (similarly for v and v)
2: 3:Continuous case: μ is a continuous measure and u is a neural network (similarly for V and u)
Vindicates the gradient w.r.t. the parameters
4:while not converged do
5:sample a batch (x1,..,xp) from μ
6: 7:sample a batch (y1,.., yp) from v update u ←u+γ∑ij Vu(xi)+OuFe(u(xi),v(yj))Vu(xi)
8:updateu ← U+γ∑ij Vv(yj)+OUFe(u(xi),v(yj))Vv(yj) 9: :end while
+ +general functions. Genevay et al. (2016) used the same stochastic dual maximization approach to compute the regularized OT objective in the continuous-continuous setting. The difference lies in their pamaterization of the dual variables as kernel expansions, while we decide to use deep neural networks. Using a neural network for parameterizing a continuous dual variable was done also by Arjovsky et al. (2017). The same discussion also stands for the second dual variable $v$ . Our stochastic gradient algorithm is detailed in Alg. 1. + +Convergence rates and computational cost comparison. We first discuss convergence rates in the discrete-discrete setting (i.e. both measures are discrete), where the problem is convex, while parameterization of dual variables as neural networks in the semi-discrete or continuous-continuous settings make the problem non-convex. Because the dual (6) is not strongly convex, full-gradient descent converges at a rate of $\mathcal { O } ( 1 / k )$ , where $k$ is the iteration number. SGD with a decreasing step size converges at the inferior rate of $\mathcal { O } ( 1 / \sqrt { k } )$ (Nemirovski et al., 2009), but with a $\mathcal { O } ( 1 )$ cost per iteration. The two rates can be interpolated when using mini-batches, at the cost of $\mathcal { O } ( p ^ { 2 } )$ per iteration, where $p$ is the mini-batch size. In contrast, Genevay et al. (2016) considered a semi-dual objective of the form $\mathbb { E } _ { X \sim \mu } \left[ u ( X ) + G _ { \varepsilon } ( u ( X ) ) \right]$ , with a cost per iteration which is now ${ \mathcal { O } } ( n )$ due to the computation of the gradient of √ $G _ { \varepsilon }$ . Because that objective is not strongly convex either, SGD converges at the same $O ( 1 / \sqrt { k } )$ rate, up to problem-specific constants. As noted by Genevay et al. (2016), this rate can be improved to $\mathcal { O } ( 1 / k )$ while maintaining the same iteration cost, by using stochastic average gradient (SAG) method (Schmidt et al., 2017). However, SAG requires to store past stochastic gradients, which can be problematic in a large-scale setting. + +In the semi-discrete setting (i.e. one measure is discrete and the other is continuous), SGD on the semi-dual objective proposed by Genevay et al. (2016) also converges at a rate of $\mathcal { O } ( 1 / \sqrt { k } )$ , whereas we only know that Alg. 1 converges to a stationary point in this non-convex case. + +In the continuous-continuous setting (i.e. both measures are continuous), Genevay et al. (2016) proposed to represent the dual variables as kernel expansions. A disadvantage of their approach, however, is the $\mathcal { O } ( k ^ { 2 } )$ cost per iteration. In contrast, our approach represents dual variables as neural networks. While non-convex, our approach preserves a $\mathcal { O } ( p ^ { 2 } )$ cost per iteration. This parameterization with neural networks was also used by Arjovsky et al. (2017) who maximized the 1-Wasserstein dual-objective function $\mathbb { E } _ { ( X , Y ) \sim \mu \times \nu } \left[ u ( X ) - u ( Y ) \right]$ . Their algorithm is hence very similar to ours, with the same complexity $\mathcal { O } ( p ^ { 2 } )$ per iteration. The main difference is that they had to constrain $u$ to be a Lipschitz function and hence relied of weight clipping in-between gradient updates. The proposed algorithm is capable of computing the regularized OT objective and optimal plans between empirical measures supported on arbitrary large numbers of samples. In statistical machine learning, one aims at estimating the underlying continuous distribution from which empirical observations have been sampled. In the context of optimal transport, one would like to approximate the true (non-regularized) optimal plan between the underlying measures. The next section states theoretical guarantees regarding this problem. + +# 3.2 CONVERGENCE OF REGULARIZED OT PLANS + +Consider discrete probability measures $\begin{array} { r } { \mu _ { n } = \sum _ { i = 1 } ^ { n } a _ { i } \delta _ { x _ { i } } \in P ( \mathcal { X } ) } \end{array}$ and $\textstyle \nu _ { n } = \sum _ { j = 1 } ^ { n } b _ { j } \delta _ { y _ { j } } \in P ( \mathcal { Y } )$ Analysis of entropy-regularized linear programs (Cominetti $\&$ San Mart´ın, 1994) shows that the solution $\boldsymbol { \pi } _ { n } ^ { \varepsilon }$ of the entropy-regularized problem (3) converges exponentially fast to a solution $\pi _ { n }$ of the non-regularized OT problem (2). Also, a result about stability of optimal transport (Villani, 2008)[Theorem 5.20] states that, if $\mu _ { n } \mu$ and $\nu _ { n } \to \nu$ weakly, then a sequence $\left( \pi _ { n } \right)$ of optimal transport plans between $\mu _ { n }$ and $\nu _ { n }$ converges weakly to a solution $\pi$ of the OT problem between $\mu$ and $\nu$ . We can thus write, + +$$ +\operatorname* { l i m } _ { n \to \infty } \operatorname* { l i m } _ { \varepsilon \to 0 } \pi _ { n } ^ { \varepsilon } = \pi . +$$ + +A more refined result consists in establishing the weak convergence of $\pi _ { n } ^ { \varepsilon }$ to $\pi$ when $( n , \varepsilon )$ jointly converge to $( \infty , 0 )$ . This is the result of the following theorem which states a stability property of entropy-regularized plans (proof in the Appendix). + +$\mu \in P ( \mathcal { X } )$ $\nu \in P ( \mathcal { V } )$ where iscrete $\mathcal { X }$ and babi $\mathcal { V }$ are complete metric spaces. Let measures which converge weakly $\textstyle \mu _ { n } = \sum _ { i = 1 } ^ { n } a _ { i } \delta _ { x _ { i } }$ $\begin{array} { r } { \nu _ { n } = \sum _ { j = 1 } ^ { n } b _ { j } \delta _ { y _ { j } } } \end{array}$ to $\mu$ and $\nu$ respectively, and let $\left( \varepsilon _ { n } \right)$ a sequence of non-negative real numbers converging to 0 sufficiently fast. Assume the cost $c$ is continuous on $\mathcal { X } \times \mathcal { V }$ and finite. Let $\pi _ { n } ^ { \varepsilon _ { n } }$ the solution of the entropy-regularized OT problem (3) between $\mu _ { n }$ and $\nu _ { n }$ . Then, up to extraction of a subsequence, $( \pi _ { n } ^ { \varepsilon _ { n } } )$ converges weakly to the solution $\pi$ of the OT problem (2) between $\mu$ and $\nu$ , + +$$ +\pi _ { n } ^ { \varepsilon _ { n } } \to \pi w e a k l y . +$$ + +Keeping the analogy with statistical machine learning, this result is an analog to the universal consistency property of a learning method. In most applications, we consider empirical measures and $n$ is fixed, so that regularization, besides enabling dual stochastic approach, may also help learn the optimal plan between the underlying continuous measures. + +So far, we have derived an algorithm for computing the regularized OT objective and regularized optimal plans regardless of $\mu$ and $\nu$ being discrete or continuous. The OT objective has been used successfully as a loss in machine learning (Montavon et al., 2015; Frogner et al., 2015; Rolet et al., 2016; 2018; Arjovsky et al., 2017; Courty et al., 2017a), whereas the use of optimal plans has straightforward applications in logistics, as well as economy (Kantorovich, 1942; Carlier, 2012) or computer graphics (Bonneel et al., 2011). In numerous applications however, we often need mappings rather than joint distributions. This is all the more motivated since Brenier (1991) proved that when the source measure is continuous, the optimal transport plan is actually induced by a map. Assuming that available data samples are sampled from some underlying continuous distributions, finding the Monge map between these continuous measures rather than a discrete optimal plan between discrete measures is essential in machine learning applications. Hence in the next section, we investigate how to recover an optimal map, i.e. find an approximate solution to the Monge problem (1), from regularized optimal plans. + +# 4 OPTIMAL MAPPING ESTIMATIONS + +A map can be obtained from a solution to the OT problem (2) or regularized OT problem (3) through the computation of its barycentric projection. Indeed, a solution $\pi$ of Problem (2) or (3) between a source measure $\mu$ and a target measure $\nu$ is, identifying the plan $\pi$ with its density w.r.t. a reference measure, a function $\pi : ( \bar { x , y } ) \in \mathcal { X } \times \mathcal { Y } \mapsto \mathbb { R } ^ { + }$ which can be seen as a weighted one-to-many map, i.e. $\pi$ sends $x$ to each location $y \in \operatorname { S u p p } ( \nu )$ where $\pi ( x , y ) > 0$ . A map can then be obtained by simply averaging over these $y$ according to the weights $\pi ( x , y )$ . + +Definition 1. (Barycentric projection) Let $\pi$ be a solution of the OT problem (2) or regularized OT problem (3). The barycentric projection $\bar { \pi }$ w.r.t. a convex cost $d : \mathcal { V } \times \mathcal { V } \mathbb { R } ^ { + }$ is defined as, + +$$ +\bar { \pi } ( x ) = \arg \operatorname* { m i n } _ { z } \mathbb { E } _ { Y \sim \pi ( \cdot | x ) } \left[ d ( z , Y ) \right] . +$$ + +In the special case $d ( x , y ) = \| x - y \| _ { 2 } ^ { 2 }$ , Eq. (11) has the close form solution $\bar { \pi } ( x ) = \operatorname { \mathbb { E } } _ { Y \sim \pi ( \cdot | x ) } \left[ Y \right] .$ , which is equal to $\begin{array} { r } { \bar { \boldsymbol { \pi } } = \frac { \boldsymbol { \pi } \mathbf { y } ^ { t } } { a } } \end{array}$ in a discrete setting with $\mathbf { y } = ( y _ { 1 } , \dotsb , y _ { n } )$ and $a$ the weights of $\mu$ . Moreover, for the specific squared Euclidean cost $c ( x , y ) = \| x - y \| _ { 2 } ^ { 2 }$ , the barycentric projection $\bar { \pi }$ is an optimal map (Ambrosio et al., 2006)[Theorem 12.4.4], i.e. $\bar { \pi }$ is a solution to the Monge problem (1) between the source measure $\mu$ and the target measure $\bar { \pi } \# \mu$ . Hence the barycentric projection w.r.t. the squared Euclidean cost is often used as a simple way to recover optimal maps from optimal transport plans (Reich, 2013; Wang et al., 2013; Ferradans et al., 2014; Seguy & Cuturi, 2015). + +
lgorithm 2 Optimal map learning with SGD
Inputs: input measures μ, V; cost function c; dual optimal variables u and v; map fe parame-
terized as a deep NN; batch size n; learning rate y. while not converged do
sample a batch (x1,·· ,xn) from μ
sample a batch (y1,:.,yn) from v
updateθ←0-γ∑ijHe(xi,yj)Vθd(yj,fe(xi)) end while
+ +Formula (11) provides a pointwise value of the barycentric projection. When $\mu$ is discrete, this means that we only have mapping estimations for a finite number of points. In order to define a map which is defined everywhere, we parameterize the barycentric projection as a deep neural network. We show in the next paragraph how to efficiently learn its parameters. + +Optimal map learning An estimation $f$ of the barycentric projection of a regularized plan $\pi ^ { \varepsilon }$ which generalizes outside the support of $\mu$ can be obtained by learning a deep neural network which minimizes the following objective w.r.t. the parameters $\theta$ , + +$$ +\begin{array} { r l } & { \mathbb { E } _ { X \sim \mu } \left[ \mathbb { E } _ { Y \sim \pi ^ { \varepsilon } ( \cdot | X ) } \left[ d ( Y , f _ { \theta } ( X ) ) \right] \right] = \mathbb { E } _ { ( X , Y ) \sim \pi ^ { \varepsilon } } \left[ d ( Y , f _ { \theta } ( X ) ) \right] } \\ & { \qquad = \mathbb { E } _ { ( X , Y ) \sim \mu \times \nu } \left[ d ( Y , f _ { \theta } ( X ) ) H _ { \varepsilon } ( X , Y ) \right] . } \end{array} +$$ + +When $d ( x , y ) = \| x - y \| ^ { 2 }$ , the last term in Eq. (12) is simply a weighted sum of squared errors, with possibly an infinite number of terms whenever $\mu$ or $\nu$ are continuous. We propose to minimize the objective (12) by stochastic gradient descent, which provides the simple Algorithm 2. The OT problem being symmetric, we can also compute the opposite barycentric projection $g$ w.r.t. a cost $\bar { d } : \mathcal { X } \times \mathcal { X } \overset { } { \to } \bar { \mathbb { R } } ^ { + }$ by minimizing $\mathbb { E } _ { ( X , Y ) \sim \mu \times \nu } \left[ d ( g ( \bar { Y } ) , X ) H _ { \varepsilon } ( \bar { X } , Y ) \right]$ . + +However, unless the plan $\pi$ is induced by a map, the averaging process results in having the image of the source measure by $\bar { \pi }$ only approximately equal to the target measure $\nu$ . Still, when the size of discrete measure is large and the regularization is small, we show in the next paragraph that 1) the barycentric projection of a regularized OT plan is close to the Monge map between the underlying continuous measures (Theorem 2) and 2) the image of the source measure by this barycentric projection should be close to the target measure $\nu$ (Corollary 1). + +Theoretical guarantees As stated earlier, when $\mathcal { X } = \mathcal { V }$ and $c ( x , y ) = \| x - y \| _ { 2 } ^ { 2 }$ , Brenier (1991) proved that when the source measure $\mu$ is continuous, there exists a solution to the Monge problem (1). This result was generalized to more general cost functions, see (Villani, 2008)[Corollary 9.3] for details. In that case, the plan $\pi$ between $\mu$ and $\nu$ is written as $( \operatorname { i d } , f ) \# \mu$ where $f$ is the Monge map. Now considering discrete measures $\mu _ { n }$ and $\nu _ { n }$ which converge to $\mu$ (continuous) and $\nu$ respectively, we have proved in Theorem 1 that $\boldsymbol { \pi } _ { n } ^ { \varepsilon }$ converges weakly to $\pi = ( \operatorname { i d } , f ) \# \mu$ when $( n , \varepsilon ) \to ( \infty , 0 )$ . The next theorem, proved in the Appendix, shows that the barycentric projection $\bar { \pi } _ { n } ^ { \varepsilon }$ also converges weakly to the true Monge map between $\mu$ and $\nu$ , justifying our approach. + +Theorem 2. Let $\mu$ be a continuous probability measure on $\mathbb { R } ^ { d }$ , and $\nu$ an arbitrary probability and measure on $\textstyle \nu _ { n } = { \frac { 1 } { n } } \sum _ { j = 1 } ^ { n } \delta _ { y _ { j } }$ $\mathbb { R } ^ { d }$ and c a cost function satisfying (Villani, 2008)[Corollary 9.3]. Let converging weakly to $\mu$ and $\nu$ n i=1 respectively. Assume that the OT solution $\begin{array} { r } { \mu _ { n } = \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \delta _ { x _ { i } } } \end{array}$ $\pi _ { n }$ of Problem (2) between $\mu _ { n }$ and $\nu _ { n }$ is unique for all $n$ . Let $\left( \varepsilon _ { n } \right)$ a sequence of non-negative real numbers converging sufficiently fast to 0 and $\bar { \pi } _ { n } ^ { \varepsilon _ { n } }$ the barycentric projection w.r.t. the convex cost $d = c$ of the solution $\pi _ { n } ^ { \varepsilon _ { n } }$ of the entropy-regularized OT problem (3). Then, up to extraction of $a$ subsequence, + +$$ +( i d , \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ) \# \mu _ { n } ( i d , f ) \# \mu \ w e a k l y , +$$ + +where $f$ is the solution of the Monge problem (1) between $\mu$ and $\nu$ . + +This theorem shows that our estimated barycentric projection is close to an optimal map between the underlying continuous measures for $n$ big and $\varepsilon$ small. The following corollary confirms the intuition that the image of the source measure by this map converges to the underlying target measure. + +Corollary 1. With the same assumptions as above, ${ \bar { \pi } } _ { n } ^ { \varepsilon _ { n } } \# \mu _ { n } \to \nu$ weakly. + +In terms of random variables, the last equation states that if $X _ { n } \sim \mu _ { n }$ and $Y \sim \nu$ , then $\bar { \pi } _ { n } ^ { \varepsilon _ { n } } \left( X _ { n } \right)$ converges in distribution to $Y$ . + +![](images/108bd959a523d171261a4465782b24928b96161ec71032e31d7571b8fde56237.jpg) +Figure 2: Convergence plots of the the Stochastic Dual Algorithm 1 against a stochastic semi-dual implementation (adapted from (Genevay et al., 2016): we use SGD instead of SAG), for several entropy-regularization values. Learning rates are $\{ 5 . , 2 0 . , 2 0 . \}$ and batch sizes $\{ 1 0 2 4 , 5 0 0 , 1 0 0 \}$ respectively and are taken the same for the dual and semi-dual methods. + +These theoretical results show that our estimated Monge map can thus be used to perform domain adaptation by mapping a source dataset to a target dataset, as well as perform generative modeling by mapping a continuous measure to a target discrete dataset. We demontrate this in the following section. + +# 5 NUMERICAL EXPERIMENTS + +# 5.1 DUAL VS SEMI-DUAL SPEED COMPARISONS + +We start by evaluating the training time of our dual stochastic algorithm 1 against a stochastic semidual approach similar to (Genevay et al., 2016). In the semi-dual approach, one of the dual variable is eliminated and is computed in close form. However, this computation has ${ \mathcal { O } } ( n )$ complexity where $n$ is the size of the target measure $\nu$ . We compute the regularized OT objective with both methods on a spectral transfer problem, which is related to the color transfer problem (Reinhard et al., 2001; Pitie et al., 2007), but where images are multispectral, ´ i.e. they share a finer sampling of the light wavelength. We take two $5 0 0 \times 5 0 0$ images from the CAVE dataset (Yasuma et al., 2010) that have 31 spectral bands. As such, the optimal transport problem is computed on two empirical distributions of 250000 samples in $\mathbb { R } ^ { 3 1 }$ on which we consider the squared Euclidean ground cost $c$ . The timing evolution of train losses are reported in Figure 2 for three different regularization values $\varepsilon = \{ 0 . 0 \bar { 2 } 5 , 0 . 1 , 1 . \}$ . In the three cases, one can observe that convergence of our proposed dual algorithm is much faster. + +# 5.2 LARGE SCALE DOMAIN ADAPTATION + +We apply here our computation framework on an unsupervised domain adaptation (DA) task, for which optimal transport has shown to perform well on small scale datasets (Courty et al., 2017b; Perrot et al., 2016; Courty et al., 2014). This restriction is mainly due to the fact that those works only consider the primal formulation of the OT problem. Our goal here is not to compete with the state-of-the-art methods in domain adaptation but to assess that our formulation allows to scale optimal transport based domain adaptation (OTDA) to large datasets. OTDA is illustrated in Fig. 3 and follows two steps: 1) learn an optimal map between the source and target distribution, 2) map the source samples and train a classifier on them in the target domain. Our formulation also allows to use any differentiable ground cost $c$ while (Courty et al., 2017b) was limited to the squared Euclidean distance. + +Datasets We consider the three cross-domain digit image datasets MNIST (Lecun et al., 1998), USPS, and SVHN (Netzer et al., 2011), which have 10 classes each. For the adaptation between MNIST and USPS, we use 60000 samples in the MNIST domain and 9298 samples in USPS domain. MNIST images are resized to the same resolution as USPS ones $( 1 6 \times 1 6 )$ ). For the adaptation between SVHN and MNIST, we use 73212 samples in the SVHN domain and 60000 samples in the MNIST domain. MNIST images are zero-padded to reach the same resolution as SVHN $( 3 2 \times 3 2 )$ and extended to three channels to match SVHN image sizes. The labels in the target domain are withheld during the adaptation. In the experiment, we consider the adaptation in three directions: M $\mathrm { I N I S T } \to \mathrm { U S P S }$ , $\mathrm { U S P S } \to \mathrm { M N I S T }$ , and $\mathrm { S V H N } \to \mathrm { M N I S T } .$ + +![](images/68a2bc0b8ddaf4a608cd6baab93562a2a306655bd64ab896bcdaaba30e300dd6.jpg) +Figure 3: Illustration of the OT Domain Adaptation method adapted from (Courty et al., 2017b). Source samples are mapped to the target set through the barycentric projection $\bar { \pi } ^ { \varepsilon }$ . A classifier is then learned on the mapped source samples. + +Table 1: Results (accuracy in $\%$ ) on domain adaptation among MNIST, USPS and SVHN datasets with entropy $( R _ { e } )$ and L2 $( R _ { L ^ { 2 } } )$ regularizations. Source only refers to 1-NN classification between source and target samples without adaptation. + +
MethodMNIST→USPSUSPS→MNISTSVHN→MNIST
Source onlyBar. proj. OTBar. proj. OT with ReBar. proj. Alg. 1 with ReBar. proj. Alg.1 with RL2Monge map Alg. 1+2 with ReMonge map Alg. 1+2 with RL273.4736.9754.33
57.7552.46intractableintractable
68.7557.35
68.8467.877.9257.5558.8760.56
57.47
60.0261.1162.88
72.6160.50
+ +Methods and experimental setup Our goal is to demonstrate the potential of the proposed method in large-scale settings. Adaptation performance is evaluated using a 1-nearest neighbor (1-NN) classifier, since it has the advantage of being parameter free and allows better assessment of the quality of the adapted representation, as discussed in (Courty et al., 2017b). In all experiments, we consider the 1-NN classification as a baseline, where labeled neighbors are searched in the source domain and the accuracy is computed on target data. We compare our approach to previous OTDA methods where an optimal map is obtained through the discrete barycentric projection of either an optimal plan (computed with the network simplex algorithm1) or an entropy-regularized optimal plan (computed with the Sinkhorn algorithm (Cuturi, 2013)), whenever their computation is tractable. Note that these methods do not provide out-of-sample mapping. In all experiments, the ground cost $c$ is the squared Euclidean distance and the barycentric projection is computed w.r.t. that cost. We learn the Monge map of our proposed approach with either entropy or L2 regularizations. Regarding the adaptation between SVHN and MNIST, we extract deep features by learning a modified LeNet architecture on the source data and extracting the 100-dimensional features output by the top hidden layer. Adaptation is performed on those features. We report for all the methods the best accuracy over the hyperparameters on the target dataset. While this setting is unrealistic in a practical DA application, it is widely used in the DA community (Long et al., 2013) and our goal is here to investigate the relative performances of large-scale OTDA in a fair setting. + +Hyper-parameters and learning rate The value for the regularization parameter is set in $\{ 5 , 2 , 0 . 9 , 0 . 5 , 0 . 1 , 0 . 0 5 , 0 . 0 1 \}$ . Adam optimizer with batch size 1000 is used to optimize the network. The learning rate is varied in $\{ 2 , 0 . 9 , 0 . 1 , 0 . 0 1 , 0 . 0 0 1 , 0 . 0 0 0 1 \}$ . The learned Monge map $f$ in Alg. 2 is parameterized as a neural network with two fully-connected hidden layers $\mathit { \Delta } d \to 2 0 0 \to 5 0 0 \to d \ u { a }$ and ReLU activations, and the weights are optimized using the Adam optimizer with learning rate equal to $1 0 ^ { - 4 }$ and batch size equal to 1000. For the Sinkhorn algorithm, regularization value is chosen from $\{ 0 . 0 1 , 0 . 1 , 0 . 5 , 0 . 9 , 2 . 0 , 5 . 0 , 1 0 . 0 \}$ . + +![](images/c792b2f09a9a3e0261ccb25c92f455031f5f02b6d05822b19e4e25a261d4ceba.jpg) +Figure 4: Samples generated by our optimal generator learned through Algorithms 1 and 2. + +Results Results are reported in Table 1. In all cases, our proposed approach outperforms previous OTDA algorithms. On MNIST USPS, previous OTDA methods perform worse than using directly source labels, whereas our method leads to successful adaptation results with $20 \%$ and $10 \%$ accuracy points over OT and regularized OT methods respectively. On USPS MNIST, all three algorithms lead to successful adaptation results, but our method achieves the highest adaptation results. Finally, on the challenging large-scale adaptation task SVHN MNIST, only our method is able to handle the whole datasets, and outperforms the source only results. + +Comparing the results between the barycentric projection and estimated Monge map illustrates that learning a parametric mapping provides some kind of regularization, and improves the performance. + +# 5.3 GENERATIVE OPTIMAL TRANSPORT (GOT) + +Approach Corollary 1 shows that when the support of the discrete measures $\mu$ and $\nu$ is large and the regularization $\varepsilon$ is small, then we have approximately ${ \bar { \pi } } ^ { \varepsilon } \# \mu = \nu$ . This observation motivates the use of our Monge map estimation as a generator between an arbitrary continuous measure $\mu$ and a discrete measure $\nu$ representing the discrete distribution of some dataset. We can thus obtain a generative model by first computing regularized OT through Alg. 1 between a Gaussian measure $\mu$ and a discrete dataset $\nu$ and then compute our generator with Alg. 2. This requires to have a cost function between the latent variable $X \sim \mu$ and the discrete variable $Y \sim \nu$ . The property we gain compared to other generative models is that our generator is, at least approximately, an optimal map w.r.t. this cost. In our case, the Gaussian is taken with the same dimensionality as the discrete data and the squared Euclidean distance is used as ground cost $c$ . + +Permutation-invariant MNIST We preprocess MNIST data by rescaling grayscale values in $[ - 1 , 1 ]$ . We run Alg. 1 and Alg. 2 where $\mu$ is a Gaussian whose mean and covariance are taken equal to the empirical mean and covariance of the preprocessed MNIST dataset; we have observed that this makes the learning easier. The target discrete measure $\nu$ is the preprocessed MNIST dataset. Permutation invariance means that we consider each grayscale $2 8 \times 2 8$ images as a 784-dimensional vector and do not rely on convolutional architectures. In Alg. 1 the dual potential $u$ is parameterized as a $\mathit { \Delta } d 1 0 2 4 1 0 2 4 1 \mathrm { { \Omega } }$ ) fully-connected NN with ReLU activations for each hidden layer, and the $L ^ { 2 }$ regularization is considered as it produced experimentally less blurring. The barycentric projection $f$ of Alg. 2 is parameterized as a $\mathit { \Delta } d 1 0 2 4 1 0 2 4 d \mathit { \Delta }$ ) fully-connected NN with ReLU activation for each hidden layer and a tanh activation on the output layer. We display some generated samples in Fig. 4. + +# 6 CONCLUSION + +We proposed two original algorithms that allow for $i$ ) large-scale computation of regularized optimal transport $\romannumeral 2$ ) learning an optimal map that moves one probability distribution onto another (the so-called Monge map). To our knowledge, our approach introduces the first tractable algorithms for computing both the regularized OT objective and optimal maps in large-scale or continuous settings. We believe that these two contributions enable a wider use of optimal transport strategies in machine learning applications. Notably, we have shown how it can be used in an unsupervised domain adaptation setting, or in generative modeling, where a Monge map acts directly as a generator. Our consistency results show that our approach is theoretically well-grounded. An interesting direction for future work is to investigate the corresponding convergence rates of the empirical regularized optimal plans. 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We still write $\left( \pi _ { n } \right)$ this subsequence, as well as $\left( \pi _ { n } ^ { \varepsilon _ { n } } \right)$ the corresponding subsequence. + +Let $g \in \mathcal { C } _ { b } ( \mathcal { X } \times \mathcal { Y } )$ a bounded continuous function on $\mathcal { X } \times \mathcal { V }$ . We have, + +$$ +\int _ { \mathcal { X } \times \mathcal { Y } } g d \pi _ { n } ^ { \varepsilon _ { n } } - \int _ { \mathcal { X } \times \mathcal { Y } } g d \pi = \left( \int _ { \mathcal { X } \times \mathcal { Y } } g d \pi _ { n } ^ { \varepsilon _ { n } } - \int _ { \mathcal { X } \times \mathcal { Y } } g d \pi _ { n } \right) + \left( \int _ { \mathcal { X } \times \mathcal { Y } } g d \pi _ { n } - \int _ { \mathcal { X } \times \mathcal { Y } } g d \pi \right) _ { n } , +$$ + +The second term in the right-hand side converges to 0 as a result of the previously mentioned stability of optimal transport (Villani, 2008)[Theorem 5.20]. We now show the convergence of the first term to 0 when $\varepsilon _ { n } \to 0$ sufficiently fast. We have, + +$$ +\begin{array} { l } { \displaystyle \int _ { \mathcal { X } \times \mathcal { Y } } g d \pi _ { n } ^ { \varepsilon _ { n } } - \int _ { \mathcal { X } \times \mathcal { Y } } g d \pi _ { n } \bigg | = \left| \sum _ { i = 1 , n \ j = 1 , n } g ( x _ { i } , y _ { j } ) \pi _ { n } ^ { \varepsilon _ { n } } ( x _ { i } , y _ { j } ) - \sum _ { i = 1 , n \ j = 1 , n } g ( x _ { i } , y _ { j } ) \pi _ { n } ( x _ { i } , y _ { j } ) \right| } \\ { \displaystyle \leqslant M _ { g } \sum _ { i j } | \pi _ { n } ^ { \varepsilon _ { n } } ( x _ { i } , y _ { j } ) - \pi _ { n } ( x _ { i } , y _ { j } ) | } \\ { \displaystyle = M _ { g } \| \pi _ { n } ^ { \varepsilon _ { n } } - \pi _ { n } \| _ { \mathbb { R } ^ { n \times n } , 1 } } \end{array} +$$ + +where $M _ { g }$ is an upper-bound of $g$ . A convergence result by Cominetti & San Mart´ın (1994) shows that there exists positive constants (w.r.t. $\varepsilon _ { n }$ ) $M _ { c _ { n } , \mu _ { n } , \nu _ { n } }$ and $\lambda _ { c _ { n } , \mu _ { n } , \nu _ { n } }$ such that, + +$$ +\| \pi _ { n } ^ { \varepsilon _ { n } } - \pi _ { n } \| _ { \mathbb { R } ^ { n \times n } , 1 } \leqslant M _ { c _ { n } , \mu _ { n } , \nu _ { n } } e ^ { - \frac { \lambda _ { c _ { n } , \mu _ { n } , \nu _ { n } } } { \varepsilon _ { n } } } +$$ + +where $c _ { n } = ( c ( x _ { 1 } , y _ { 1 } ) , \cdot \cdot \cdot , c ( x _ { n } , y _ { n } ) )$ . The subscript indices indicate the dependences of each constant. Hence, we see that choosing any $\left( \varepsilon _ { n } \right)$ such that the right-hand side of Eq. (16) tends to 0 provides the results. In particular, we can take + +$$ +\varepsilon _ { n } = \frac { \lambda _ { c _ { n } , \mu _ { n } , \nu _ { n } } } { \ln ( n M _ { c _ { n } , \mu _ { n } , \nu _ { n } } ) } +$$ + +which suffices to have the convergence of (15) to 0 for any bounded continuous function $g \in \mathcal { C } _ { b } ( \mathcal { X } \times$ $\mathcal { V }$ ). This proves the weak convergence of $\pi _ { n } ^ { \varepsilon _ { n } }$ to $\pi$ . □ + +# Proof of Theorem 2. + +Proof. First, note that the existence of a Monge map between $\mu$ and $\nu$ follows from the absolute continuity of $\mu$ and the assumptions on the cost functions $c$ (Villani, 2008)[Corollary 9.3]. Let $g \in \mathcal { C } _ { l } ( \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } )$ a Lipschitz function on $\mathbb { R } ^ { d } \times \mathbb { R } ^ { d }$ . Let $\pi _ { n }$ be the unique (by assumption) solution of the OT problem between $\mu _ { n }$ and $\nu _ { n }$ . We have, + +$$ +\begin{array} { r l r } & { } & { \displaystyle \int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ) \# \mu _ { n } - \int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , f ) \# \mu = ( \int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ) \# \mu _ { n } - \int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , \bar { \pi } _ { n } ) \# \mu } \\ & { } & { \displaystyle + ( \int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , \bar { \pi } _ { n } ) \# \mu _ { n } - \int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , f ) \# \mu ) \mathrm { i d } \mu \mathrm { ) , ~ } } \end{array} +$$ + +Since $\mu _ { n }$ and $\nu _ { n }$ are uniform discrete probability measures supported on the same number of points, we know by (Birkhoff, 1946) that the optimal transport $\pi _ { n }$ is actually an optimal assignment $T _ { n }$ , so that we have $\pi _ { n } = ( \mathrm { i d } , T _ { n } ) \# \mu _ { n }$ . This also implies $\bar { \pi } _ { n } = T _ { n }$ so that $( \mathrm { i d } , \bar { \pi } _ { n } ) \# \mu _ { n } = ( \mathrm { i d } , T _ { n } ) \# \mu _ { n }$ . Hence, the second term in the right-hand side of (18) converges to 0 as a result of the stability of optimal transport (Villani, 2008)[Theorem 5.20]. Now, we show that the first term also converges to 0 for $\varepsilon _ { n }$ converging sufficiently fast to 0. By definition of the pushforward operator, + +$$ +\int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ) \# \mu _ { n } - \int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , \bar { \pi } _ { n } ) \# \mu _ { n } = \int _ { \mathbb { R } ^ { d } } g ( x , \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ( x ) d \mu _ { n } ( x ) - \int _ { \mathbb { R } ^ { d } } g ( x , T _ { n } ( x ) ) d \mu _ { n } ( x ) \mathrm { d } \mu _ { n } \mathrm { d } \mu _ { n } +$$ + +and we can bound, + +$$ +\begin{array} { r l } { \displaystyle \int _ { \mathbb R ^ { d } } g ( x , \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ( x ) ) d \mu _ { n } ( x ) - \displaystyle \int _ { \mathbb R ^ { d } } g ( x , T _ { n } ( x ) ) d \mu _ { n } ( x ) \bigg \rvert = \displaystyle \bigg \lvert \frac { 1 } { n } \displaystyle \sum _ { i = 1 } ^ { n } g ( x _ { i } , \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ( x _ { i } ) ) - \frac { 1 } { n } \displaystyle \sum _ { i = 1 } ^ { n } g ( x _ { i } , T _ { n } ( x _ { i } ) ) } \\ { \displaystyle } & { \leqslant \displaystyle \sum _ { i } K _ { g } \| \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ( x _ { i } ) - T _ { n } ( x _ { i } ) \| _ { \mathbb R ^ { d } , 2 } } \\ { \displaystyle } & { = n K _ { g } \| \pi _ { n } ^ { \varepsilon _ { n } } Y _ { n } - \pi _ { n } Y _ { n } \| _ { \mathbb R ^ { n \times n } , 2 } } \\ { \displaystyle } & { \leqslant n K _ { g } \| \pi _ { n } ^ { \varepsilon _ { n } } - \pi _ { n } \| _ { \mathbb R ^ { n \times n } , 2 } ^ { 1 / 2 } \| Y _ { n } \| _ { \mathbb R ^ { n \times d } , 2 } ^ { 1 / 2 } } \end{array} +$$ + +where $Y _ { n } = ( y _ { 1 } , \cdots , y _ { n } ) ^ { t }$ and $K _ { g }$ is the Lipschitz constant of $g$ . The first inequality follows from $g$ being Lipschitz. The next equality follows from the discrete close form of the barycentric projection. The last inequality is obtained through Cauchy-Schwartz. We can now use the same arguments as in the previous proof. A convergence result by Cominetti & San Mart´ın (1994) shows that there exists positive constants (w.r.t. $\varepsilon _ { n }$ ) $M _ { c _ { n } , \mu _ { n } , \nu _ { n } }$ and $\lambda _ { c _ { n } , \mu _ { n } , \nu _ { n } }$ such that, + +$$ +\begin{array} { r } { \| \pi _ { n } ^ { \varepsilon _ { n } } - \pi _ { n } \| _ { \mathbb { R } ^ { n \times n } , 2 } ^ { 1 / 2 } \leqslant M _ { c _ { n } , \mu _ { n } , \nu _ { n } } e ^ { - \frac { \lambda _ { c _ { n } , \mu _ { n } , \nu _ { n } } } { \varepsilon _ { n } } } \qquad } \end{array} +$$ + +where $c _ { n } = ( c ( x _ { 1 } , y _ { 1 } ) , \cdot \cdot \cdot , c ( x _ { n } , y _ { n } ) )$ . The subscript indices indicate the dependences of each constant. Hence, we see that choosing any $\left( \varepsilon _ { n } \right)$ such that (21) tends to 0 provides the results. In particular, we can take + +$$ +\varepsilon _ { n } = \frac { \lambda _ { c _ { n } , \mu _ { n } , \nu _ { n } } } { \ln ( n ^ { 2 } \| Y _ { n } \| _ { \mathbb { R } ^ { n } \times d , 2 } ^ { 1 / 2 } M _ { c _ { n } , \mu _ { n } , \nu _ { n } } ) } +$$ + +which suffices to have the convergence of (15) to 0 for Lipschitz function $g \in \mathcal { C } _ { l } ( \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } )$ . This proves the weak convergence of $( \mathrm { i d } , \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ) \# \mu _ { n }$ to $( \operatorname { i d } , f ) \# \mu$ . □ + +# Proof of Corollary 1. + +Proof. Let $\textit { h } \in \mathcal { C } _ { b } ( \mathbb { R } ^ { d } )$ a bounded continuous function. Let $g ~ \in ~ \mathcal { C } _ { b } ( \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } )$ defined as $g : { \mathit { \Phi } } ( x , y ) \mapsto h ( y )$ . We have, + +$$ +\int _ { \mathbb { R } ^ { d } } h d \bar { \pi } _ { n } ^ { \varepsilon _ { n } } \# \mu _ { n } - \int _ { \mathbb { R } ^ { d } } h d f \# \mu = \int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , \bar { \pi } _ { n } ^ { \varepsilon _ { n } } ) \# \mu _ { n } - \int _ { \mathbb { R } ^ { d } \times \mathbb { R } ^ { d } } g d ( \mathrm { i d } , f ) \# \mu _ { n } +$$ + +which converges to 0 by Theorem (2). Since $f \# \mu = \nu$ , this proves the corollary. \ No newline at end of file diff --git a/parse/train/B1zlp1bRW/B1zlp1bRW_content_list.json b/parse/train/B1zlp1bRW/B1zlp1bRW_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..e0c27c8095fb0da2eea1208b44f73834199a6509 --- /dev/null +++ b/parse/train/B1zlp1bRW/B1zlp1bRW_content_list.json @@ -0,0 +1,2111 @@ +[ + { + "type": "text", + "text": "LARGE-SCALE OPTIMAL TRANSPORT AND MAPPING ESTIMATION ", + "text_level": 1, + "bbox": [ + 174, + 99, + 825, + 145 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Vivien Seguy \nKyoto University \nGraduate School of Informatics \nvivien.seguy@iip.ist.i.kyoto-u.ac.jp \nBharath Bhushan Damodaran \nUniversite de Bretagne Sud´ \nIRISA, UMR 6074, CNRS \nbharath-bhushan.damodaran@irisa.fr \nRemi Flamary ´ \nUniversite C´ ote dAzur ˆ \nLagrange, UMR 7293, CNRS, OCA \nremi.flamary@unice.fr ", + "bbox": [ + 183, + 170, + 501, + 227 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 519, + 171, + 820, + 226 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 184, + 247, + 423, + 303 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Nicolas Courty Universite de Bretagne Sud ´ IRISA, UMR 6074, CNRS courty@univ-ubs.fr ", + "bbox": [ + 529, + 247, + 710, + 303 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Antoine Rolet ", + "text_level": 1, + "bbox": [ + 184, + 325, + 281, + 338 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Mathieu Blondel ", + "text_level": 1, + "bbox": [ + 529, + 325, + 647, + 338 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Kyoto University Graduate School of Informatics antoine.rolet@iip.ist.i.kyoto-u.ac.jp ", + "bbox": [ + 184, + 339, + 509, + 380 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "NTT Communication Science Laboratories mathieu@mblondel.org ", + "bbox": [ + 529, + 339, + 813, + 366 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 417, + 544, + 433 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "This paper presents a novel two-step approach for the fundamental problem of learning an optimal map from one distribution to another. First, we learn an optimal transport (OT) plan, which can be thought as a one-to-many map between the two distributions. To that end, we propose a stochastic dual approach of regularized OT, and show empirically that it scales better than a recent related approach when the amount of samples is very large. Second, we estimate a Monge map as a deep neural network learned by approximating the barycentric projection of the previously-obtained OT plan. This parameterization allows generalization of the mapping outside the support of the input measure. We prove two theoretical stability results of regularized OT which show that our estimations converge to the OT plan and Monge map between the underlying continuous measures. We showcase our proposed approach on two applications: domain adaptation and generative modeling. ", + "bbox": [ + 233, + 446, + 766, + 626 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 650, + 336, + 665 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Mapping one distribution to another Given two random variables $X$ and $Y$ taking values in $\\mathcal { X }$ and $\\mathcal { V }$ respectively, the problem of finding a map $f$ such that $f ( X )$ and $Y$ have the same distribution, denoted $f ( X ) \\sim Y$ henceforth, finds applications in many areas. For instance, in domain adaptation, given a source dataset and a target dataset with different distributions, the use of a mapping to align the source and target distributions is a natural formulation (Gopalan et al., 2011) since theory has shown that generalization depends on the similarity between the two distributions (Ben-David et al., 2010). Current state-of-the-art methods for computing generative models such as generative adversarial networks (Goodfellow et al., 2014), generative moments matching networks (Li et al., 2015) or variational auto encoders (Kingma & Welling, 2013) also rely on finding $f$ such that $f ( X ) \\sim Y$ . In this setting, the latent variable $X$ is often chosen as a continuous random variable, such as a Gaussian distribution, and $Y$ is a discrete distribution of real data, e.g. the ImageNet dataset. By learning a map $f$ , sampling from the generative model boils down to simply drawing a sample from $X$ and then applying $f$ to that sample. ", + "bbox": [ + 174, + 680, + 825, + 861 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Mapping with optimality Among the potentially many maps $f$ verifying $f ( X ) \\sim Y$ , it may be of interest to find a map which satisfies some optimality criterion. Given a cost of moving mass from one point to another, one would naturally look for a map which minimizes the total cost of transporting the mass from $X$ to $Y$ . This is the original formulation of Monge (1781), which initiated the development of the optimal transport (OT) theory. Such optimal maps can be useful in numerous applications such as color transfer (Ferradans et al., 2014), shape matching (Su et al., 2015), data assimilation (Reich, 2011; 2013), or Bayesian inference (Moselhy & Marzouk, 2012). In small dimension and for some specific costs, multi-scale approaches (Merigot, 2011) or dynamic formu- ´ lations (Evans & Gangbo, 1999; Benamou & Brenier, 2000; Papadakis et al., 2014; Solomon et al., 2014) can be used to compute optimal maps, but these approaches become intractable in higher dimension as they are based on space discretization. Furthermore, maps veryfiying $f ( X ) \\sim Y$ might not exist, for instance when $X$ is a constant but not $Y$ . Still, one would like to find optimal maps between distributions at least approximately. The modern approach to OT relaxes the Monge problem by optimizing over plans, i.e. distributions over the product space $\\mathcal { X } \\times \\mathcal { V }$ , rather than maps, casting the OT problem as a linear program which is always feasible and easier to solve. However, even with specialized algorithms such as the network simplex, solving that linear program takes $O ( n ^ { 3 } \\log { n } )$ time, where $n$ is the size of the discrete distribution (measure) support. ", + "bbox": [ + 174, + 868, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 284 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Large-scale OT Recently, Cuturi (2013) showed that introducing entropic regularization into the OT problem turns its dual into an easier optimization problem which can be solved using the Sinkhorn algorithm. However, the Sinkhorn algorithm does not scale well to measures supported on a large number of samples, since each of its iterations has an $\\mathcal { O } ( n ^ { 2 } )$ complexity. In addition, the Sinkhorn algorithm cannot handle continuous probability measures. To address these issues, two recent works proposed to optimize variations of the dual OT problem through stochastic gradient methods. Genevay et al. (2016) proposed to optimize a “semi-dual” objective function. However, their approach still requires ${ \\mathcal { O } } ( n )$ operations per iteration and hence only scales moderately w.r.t. the size of the input measures. Arjovsky et al. (2017) proposed a formulation that is specific to the so-called 1-Wasserstein distance (unregularized OT using the Euclidean distance as a cost function). This formulation has a simpler dual form with a single variable which can be parameterized as a neural network. This approach scales better to very large datasets and handles continuous measures, enabling the use of OT as a loss for learning a generative model. However, a drawback of that formulation is that the dual variable has to satisfy the non-trivial constraint of being a Lipschitz function. As a workaround, Arjovsky et al. (2017) proposed to use weight clipping between updates of the neural network parameters. However, this makes unclear whether the learned generative model is truly optimized in an OT sense. Besides these limitations, these works only focus on the computation of the OT objective and do not address the problem of finding an optimal map between two distributions. ", + "bbox": [ + 173, + 290, + 825, + 554 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Contributions We present a novel two-step approach for learning an optimal map $f$ that satisfies $f ( X ) \\sim Y$ . First, we compute an optimal transport plan, which can be thought as a one-to-many map between the two distributions. To that end, we propose a new simple dual stochastic gradient algorithm for solving regularized OT which scales well with the size of the input measures. We provide numerical evidence that our approach converges faster than semi-dual approaches considered in (Genevay et al., 2016). Second, we learn an optimal map (also referred to as a Monge map) as a neural network by approximating the barycentric projection of the OT plan obtained in the first step. Parameterization of this map with a neural network allows efficient learning and provides generalization outside the support of the input measure. Fig. 1 provides a 2D example showing the computed map between a Gaussian measure and a discrete measure and the resulting density estimation. On the theoretical side, we prove the convergence of regularized optimal plans (resp. barycentric projections of regularized optimal plans) to the optimal plan (resp. Monge map) between the underlying continuous measures from which data are sampled. We demonstrate our approach on domain adaptation and generative modeling. ", + "bbox": [ + 174, + 561, + 825, + 756 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Notations: We denote $\\mathcal { X }$ and $\\mathcal { V }$ some complete metric spaces. In most applications, these are Euclidean spaces. We denote random variables such as $X$ or $Y$ as capital letters. We use $X \\sim Y$ to say that $X$ and $Y$ have the same distribution, and also $X \\sim \\mu$ to say that $X$ is distributed according to the probability measure $\\mu$ . $\\operatorname { S u p p } ( \\mu )$ refers to the support of $\\mu$ , a subset of $\\mathcal { X }$ , which is also the set of values which $X \\sim \\mu$ can take. Given $X \\sim \\mu$ and a map $f$ defined on $\\operatorname { S u p p } ( \\mu )$ , $f \\# \\mu$ is the probability distribution of $f ( X )$ . We say that a measure is continuous when it admits a density w.r.t. the Lebesgues measure. We denote id the identity map. ", + "bbox": [ + 174, + 762, + 825, + 861 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/07e4bd983be99827944da466a7d4cc363ae64d25b67429c33574be47a404eccc.jpg", + "image_caption": [ + "Figure 1: Example of estimated optimal map between a continuous Gaussian distribution (colored level sets) and a multi-modal discrete measure (red $+$ ). (left) Continuous source and discrete target distributions. (center left) displacement field of the estimated optimal map: each arrow is proportional to $f ( x _ { i } ) - x _ { i }$ where $( x _ { i } )$ is a uniform discrete grid. (center right) Generated samples obtained by sampling from the source distribution and applying our estimated Monge map $f$ . (right) Level sets of the resulting density (approximated as a 2D histogram over $1 0 ^ { 6 }$ samples). " + ], + "image_footnote": [], + "bbox": [ + 174, + 99, + 820, + 229 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2 BACKGROUND ON OPTIMAL TRANSPORT ", + "text_level": 1, + "bbox": [ + 174, + 349, + 547, + 367 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The Monge Problem Consider a cost function $c \\ : \\ ( x , y ) \\in \\mathcal { X } \\times \\mathcal { Y } \\mapsto c ( x , y ) \\in \\mathbb { R } ^ { + }$ , and two random variables $X \\sim \\mu$ and $Y \\sim \\nu$ taking values in $\\mathcal { X }$ and $\\mathcal { V }$ respectively. The Monge problem (Monge, 1781) consists in finding a map $f : \\mathcal { X } \\mathcal { Y }$ which transports the mass from $\\mu$ to $\\nu$ while minimizing the mass transportation cost, ", + "bbox": [ + 173, + 381, + 825, + 438 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/6c86ed075055aaf043b003e83c4012188260a1489cdce1f665ee002587973ad5.jpg", + "text": "$$\n{ \\underset { f } { \\operatorname* { i n f } } } \\ \\operatorname { \\mathbb { E } } _ { X \\sim \\mu } \\left[ c ( X , f ( X ) ) \\right] \\ { \\mathrm { \\ s u b j e c t { \\ t o } } } \\ f ( X ) \\sim Y .\n$$", + "text_format": "latex", + "bbox": [ + 339, + 441, + 656, + 467 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Monge originally considered the cost $c ( x , y ) = \\| x - y \\| _ { 2 }$ , but in the present article we refer to the Monge problem as Problem (1) for any cost $c$ . When $\\mu$ is a discrete measure, a map $f$ satisfying the constraint may not exist: if $\\mu$ is supported on a single point, no such map exists as soon as $\\nu$ is not supported on a single point. In that case, the Monge problem is not feasible. However, when $\\mathcal X = \\mathcal { \\bar { y } } = \\mathbb R ^ { d }$ , $\\mu$ admits a density and $c$ is the squared Euclidean distance, an important result by Brenier (1991) states that the Monge problem is feasible and that the infinum of Problem (1) is attained. The existence and uniqueness of Monge maps, also referred to as optimal maps, was later generalized to more general costs (e.g. strictly convex and super-linear) by several authors. With the notable exception of the Gaussian to Gaussian case which has a close form affine solution, computation of Monge maps remains an open problem for measures supported on high-dimensional spaces. ", + "bbox": [ + 173, + 469, + 825, + 625 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Kantorovich Relaxation In order to make Problem (1) always feasible, Kantorovich (1942) relaxed the Monge problem by casting Problem (1) into a minimization over couplings $( X , Y ) \\sim \\pi$ rather than the set of maps, where $\\pi$ should have marginals equals to $\\mu$ and $\\nu$ , ", + "bbox": [ + 174, + 631, + 825, + 672 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/07b8ddf1b6ee43794fee922954456075cc2d26477cb44b5c9cc1e98d6eb6a6a0.jpg", + "text": "$$\n\\operatorname* { i n f } _ { \\pi } \\ \\mathbb { E } _ { ( X , Y ) \\sim \\pi } \\left[ c ( X , Y ) \\right] \\ \\mathrm { ~ s u b j e c t ~ t o ~ } X \\sim \\mu , \\ Y \\sim \\nu .\n$$", + "text_format": "latex", + "bbox": [ + 323, + 678, + 671, + 699 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Concretely, this relaxation allows mass at a given point $x \\in \\operatorname { S u p p } ( \\mu )$ to be transported to several locations $y \\in \\operatorname { S u p p } ( \\nu )$ , while the Monge problem would send the whole mass at $x$ to a unique location $f ( x )$ . This relaxed formulation is a linear program, which can be solved by specialized algorithms such as the network simplex when considering discrete measures. However, current implementations of this algorithm have a super-cubic complexity in the size of the support of $\\mu$ and $\\nu$ , preventing wider use of OT in large-scale settings. ", + "bbox": [ + 173, + 704, + 825, + 789 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Regularized OT OT regularization was introduced by Cuturi (2013) in order to speed up the computation of OT. Regularization is achieved by adding a negative-entropy penalty $R$ (defined in Eq. (5)) to the primal variable $\\pi$ of Problem (2), ", + "bbox": [ + 173, + 795, + 823, + 837 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/d8b25dfcb1594d43e1341f971741540c0ecac27a44619ecea7d371af287b96cc.jpg", + "text": "$$\n\\operatorname* { i n f } _ { \\pi } ~ \\mathbb { E } _ { ( X , Y ) \\sim \\pi } \\left[ c ( X , Y ) \\right] + \\varepsilon R ( \\pi ) ~ { \\mathrm { s u b j e c t ~ t o ~ } } X \\sim \\mu , ~ Y \\sim \\nu .\n$$", + "text_format": "latex", + "bbox": [ + 292, + 842, + 702, + 863 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Besides efficient computation through the Sinkhorn algorithm, regularization also makes the OT distance differentiable everywhere w.r.t. the weights of the input measures (Blondel et al., 2018), whereas $\\mathrm { O T }$ is differentiable only almost everywhere. We also consider the $L ^ { 2 }$ regularization introduced by Dessein et al. (2016), whose computation is found to be more stable since there is no exponential term causing overflow. As highlighted by Blondel et al. (2018), adding an entropy or squared $L ^ { 2 }$ norm regularization term to the primal problem (3) makes the dual problem an unconstrained maximization problem. We use this dual formulation in the next section to propose an efficient stochastic gradient algorithm. ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 160 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 LARGE-SCALE OPTIMAL TRANSPORT ", + "text_level": 1, + "bbox": [ + 174, + 179, + 521, + 196 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "By considering the dual of the regularized OT problem, we first show that stochastic gradient ascent can be used to maximize the resulting concave objective. A close form for the primal solution $\\pi$ of Problem (3) can then be obtained by using first-order optimality conditions. ", + "bbox": [ + 173, + 210, + 825, + 253 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 DUAL STOCHASTIC APPROACH", + "text_level": 1, + "bbox": [ + 176, + 270, + 428, + 285 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "OT dual Let $X \\sim \\mu$ and $Y \\sim \\nu$ . The Kantorovich duality provides the following dual of the OT problem (2), ", + "bbox": [ + 173, + 295, + 823, + 325 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/71939fbbcd3f709d13dccd4cdd128eab0aa6f37aaf43e3dfc83b548f54d5cf23.jpg", + "text": "$$\n\\operatorname* { s u p } _ { u \\in { \\mathcal { C } } ( x ) , v \\in { \\mathcal { C } } ( { \\mathcal { V } } ) } \\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ u ( X ) + v ( Y ) \\right] \\quad { \\mathrm { s u b j e c t ~ t o ~ } } u ( x ) + v ( y ) \\leqslant c ( x , y ) { \\mathrm { ~ f o r ~ a l l ~ } } u ( x ) + v ( y ) .\n$$", + "text_format": "latex", + "bbox": [ + 186, + 329, + 746, + 359 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "This dual formulation suggests that stochastic gradient methods can be used to maximize the objective of Problem (4) by sampling batches from the independant coupling $\\mu \\times \\nu$ . However there is no easy way to fulfill the constraint on $u$ and $v$ along gradient iterations. This motivates considering regularized optimal transport. ", + "bbox": [ + 174, + 364, + 825, + 421 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Regularized OT dual The hard constraint in Eq. (4) can be relaxed by regularizing the primal problem (2) with a strictly convex regularizer $R$ as detailed in (Blondel et al., 2018). In the present paper, we consider both entropy regularization $R _ { e }$ used in (Cuturi, 2013; Genevay et al., 2016) and $L ^ { 2 }$ regularization $R _ { L ^ { 2 } }$ , ", + "bbox": [ + 174, + 426, + 826, + 484 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/367ade5d31328bf1a921da3ba6c565e216c018789ae023cf6c5abbe8a315a27d.jpg", + "text": "$$\n\\mathfrak { L } _ { e } ( \\pi ) \\overset { \\mathrm { d e f . } } { = } \\int _ { x \\times y } \\left( \\ln \\left( \\frac { d \\pi ( x , y ) } { d \\mu ( x ) d \\nu ( y ) } \\right) - 1 \\right) d \\pi ( x , y ) , ~ R _ { L ^ { 2 } } ( \\pi ) \\overset { \\mathrm { d e f . } } { = } \\int _ { x \\times y } \\left( \\frac { d \\pi ( x , y ) } { d \\mu ( x ) d \\nu ( y ) } \\right) ^ { 2 } d \\mu ( x ) d \\nu ( y ) .\n$$", + "text_format": "latex", + "bbox": [ + 181, + 489, + 836, + 536 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\frac { d \\pi ( x , y ) } { d \\mu ( x ) d \\nu ( y ) }$ is the density, i.e. the Radon-Nikodym derivative, of $\\pi$ w.r.t. $\\mu \\times \\nu$ . When $\\mu$ and $\\nu$ are discrete, and so is $\\pi$ , the integrals are replaced by sums. The dual of the regularized OT problems can be obtained through the Fenchel-Rockafellar’s duality theorem, ", + "bbox": [ + 173, + 546, + 828, + 593 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/5ce2e051e5c2e764eba8f2c929a209f4ba0924cf7b0d2a00a0d20bb368095399.jpg", + "text": "$$\n\\operatorname* { s u p } _ { u , v } \\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ u ( X ) + v ( Y ) + F _ { \\varepsilon } ( u ( X ) , v ( Y ) ) \\right] ,\n$$", + "text_format": "latex", + "bbox": [ + 321, + 599, + 673, + 627 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/87933224b972b08f4bac07d174ebe13b6f7e8963ef02c5c16f5a0eb2aef3c825.jpg", + "text": "$$\nF _ { \\varepsilon } ( u ( x ) , v ( y ) ) = \\left\\{ \\begin{array} { l l } { - \\varepsilon e ^ { \\frac { 1 } { \\varepsilon } ( u ( x ) + v ( y ) - c ( x , y ) ) } \\quad \\mathrm { ( e n t r o p y ~ r e g . ) } } \\\\ { - \\frac { 1 } { 4 \\varepsilon } ( u ( x ) + v ( y ) - c ( x , y ) ) _ { + } ^ { 2 } \\quad ( L ^ { 2 } ~ \\mathrm { r e g . } ) } \\end{array} \\right. ~ .\n$$", + "text_format": "latex", + "bbox": [ + 305, + 632, + 741, + 674 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Compared to Problem (4), the constraint $u ( x ) + v ( y ) \\leqslant c ( x , y )$ has been relaxed and is now enforced smoothly through a penalty term $F _ { \\varepsilon } ( u ( x ) , v ( y ) )$ which is concave w.r.t. $( u , v )$ . Although we derive formula and perform experiments w.r.t. entropy and $L ^ { 2 }$ regularizations, any strictly convex regularizer which is decomposable, i.e. which can be written $\\begin{array} { r } { R ( \\pi ) { \\bf \\equiv } \\sum _ { i j } R _ { i j } ( \\pi _ { i j } ) } \\end{array}$ (in the discrete case), gives rise to a dual problem of the form Eq. (6), and the proposed algorithms can be adapted. ", + "bbox": [ + 173, + 675, + 826, + 748 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Primal-Dual relationship In order to recover the solution $\\pi ^ { \\varepsilon }$ of the regularized primal problem (3), we can use the first-order optimality conditions of the Fenchel-Rockafellar’s duality theorem, ", + "bbox": [ + 169, + 753, + 823, + 784 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/4bc662ab0c2472fbdefb8ae11e9990970496aae4e2bef1b02aad25970f0a8a21.jpg", + "text": "$$\n\\begin{array} { r } { d \\pi ^ { \\varepsilon } ( x , y ) = H _ { \\varepsilon } ( x , y ) d \\mu ( x ) d \\nu ( y ) \\mathrm { ~ w h e r e ~ } H _ { \\varepsilon } ( x , y ) = \\left\\{ \\begin{array} { l l } { e ^ { \\frac { u ( x ) } { \\varepsilon } } e ^ { - \\frac { c ( x , y ) } { \\varepsilon } } e ^ { \\frac { v ( y ) } { \\varepsilon } } } & { ( \\mathrm { e n t r o p y ~ r e g . } ) } \\\\ { \\frac { 1 } { 2 \\varepsilon } \\left( u ( x ) + v ( y ) - c ( x , y ) \\right) _ { + } \\ : ( L ^ { 2 } \\mathrm { ~ r e g . } ) } & { . } \\end{array} \\right. . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 787, + 821, + 832 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Algorithm The relaxed dual (6) is an unconstrained concave problem which can be maximized through stochastic gradient methods by sampling batches from $\\mu \\times \\nu$ . When $\\mu$ is discrete, i.e. $\\begin{array} { r } { \\mu = \\breve { \\sum } _ { i = 1 } ^ { n } a _ { i } \\delta _ { x _ { i } } } \\end{array}$ , the dual variable $u$ is a $n$ -dimensional vector over which we carry the optimization, where $u ( x _ { i } ) \\ { \\stackrel { \\mathrm { d e f . } } { = } } \\ u _ { i }$ . When $\\mu$ has a density, $u$ is a function on $\\mathcal { X }$ which has to be parameterized in order to carry optimization. We thus consider deep neural networks for their ability to approximate ", + "bbox": [ + 173, + 848, + 825, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Algorithm 1 Stochastic OT computation ", + "text_level": 1, + "bbox": [ + 176, + 103, + 442, + 118 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/b3ca3f1b302e44b245c466f2b070224821caedc6528d20966e2963670c83313f.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
1: Inputs: input measures μ,V; cost function c; batch size p; learning rate y. Discrete case: μ = ∑i aiδxi and u is a finite vector: u(xi) @f ui (similarly for v and v)
2: 3:Continuous case: μ is a continuous measure and u is a neural network (similarly for V and u)
Vindicates the gradient w.r.t. the parameters
4:while not converged do
5:sample a batch (x1,..,xp) from μ
6: 7:sample a batch (y1,.., yp) from v update u ←u+γ∑ij Vu(xi)+OuFe(u(xi),v(yj))Vu(xi)
8:updateu ← U+γ∑ij Vv(yj)+OUFe(u(xi),v(yj))Vv(yj) 9: :end while
", + "bbox": [ + 179, + 122, + 815, + 272 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "general functions. Genevay et al. (2016) used the same stochastic dual maximization approach to compute the regularized OT objective in the continuous-continuous setting. The difference lies in their pamaterization of the dual variables as kernel expansions, while we decide to use deep neural networks. Using a neural network for parameterizing a continuous dual variable was done also by Arjovsky et al. (2017). The same discussion also stands for the second dual variable $v$ . Our stochastic gradient algorithm is detailed in Alg. 1. ", + "bbox": [ + 174, + 301, + 825, + 386 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Convergence rates and computational cost comparison. We first discuss convergence rates in the discrete-discrete setting (i.e. both measures are discrete), where the problem is convex, while parameterization of dual variables as neural networks in the semi-discrete or continuous-continuous settings make the problem non-convex. Because the dual (6) is not strongly convex, full-gradient descent converges at a rate of $\\mathcal { O } ( 1 / k )$ , where $k$ is the iteration number. SGD with a decreasing step size converges at the inferior rate of $\\mathcal { O } ( 1 / \\sqrt { k } )$ (Nemirovski et al., 2009), but with a $\\mathcal { O } ( 1 )$ cost per iteration. The two rates can be interpolated when using mini-batches, at the cost of $\\mathcal { O } ( p ^ { 2 } )$ per iteration, where $p$ is the mini-batch size. In contrast, Genevay et al. (2016) considered a semi-dual objective of the form $\\mathbb { E } _ { X \\sim \\mu } \\left[ u ( X ) + G _ { \\varepsilon } ( u ( X ) ) \\right]$ , with a cost per iteration which is now ${ \\mathcal { O } } ( n )$ due to the computation of the gradient of √ $G _ { \\varepsilon }$ . Because that objective is not strongly convex either, SGD converges at the same $O ( 1 / \\sqrt { k } )$ rate, up to problem-specific constants. As noted by Genevay et al. (2016), this rate can be improved to $\\mathcal { O } ( 1 / k )$ while maintaining the same iteration cost, by using stochastic average gradient (SAG) method (Schmidt et al., 2017). However, SAG requires to store past stochastic gradients, which can be problematic in a large-scale setting. ", + "bbox": [ + 173, + 392, + 825, + 590 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In the semi-discrete setting (i.e. one measure is discrete and the other is continuous), SGD on the semi-dual objective proposed by Genevay et al. (2016) also converges at a rate of $\\mathcal { O } ( 1 / \\sqrt { k } )$ , whereas we only know that Alg. 1 converges to a stationary point in this non-convex case. ", + "bbox": [ + 174, + 598, + 825, + 642 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In the continuous-continuous setting (i.e. both measures are continuous), Genevay et al. (2016) proposed to represent the dual variables as kernel expansions. A disadvantage of their approach, however, is the $\\mathcal { O } ( k ^ { 2 } )$ cost per iteration. In contrast, our approach represents dual variables as neural networks. While non-convex, our approach preserves a $\\mathcal { O } ( p ^ { 2 } )$ cost per iteration. This parameterization with neural networks was also used by Arjovsky et al. (2017) who maximized the 1-Wasserstein dual-objective function $\\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ u ( X ) - u ( Y ) \\right]$ . Their algorithm is hence very similar to ours, with the same complexity $\\mathcal { O } ( p ^ { 2 } )$ per iteration. The main difference is that they had to constrain $u$ to be a Lipschitz function and hence relied of weight clipping in-between gradient updates. The proposed algorithm is capable of computing the regularized OT objective and optimal plans between empirical measures supported on arbitrary large numbers of samples. In statistical machine learning, one aims at estimating the underlying continuous distribution from which empirical observations have been sampled. In the context of optimal transport, one would like to approximate the true (non-regularized) optimal plan between the underlying measures. The next section states theoretical guarantees regarding this problem. ", + "bbox": [ + 173, + 648, + 825, + 845 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 CONVERGENCE OF REGULARIZED OT PLANS ", + "text_level": 1, + "bbox": [ + 178, + 866, + 524, + 881 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Consider discrete probability measures $\\begin{array} { r } { \\mu _ { n } = \\sum _ { i = 1 } ^ { n } a _ { i } \\delta _ { x _ { i } } \\in P ( \\mathcal { X } ) } \\end{array}$ and $\\textstyle \\nu _ { n } = \\sum _ { j = 1 } ^ { n } b _ { j } \\delta _ { y _ { j } } \\in P ( \\mathcal { Y } )$ Analysis of entropy-regularized linear programs (Cominetti $\\&$ San Mart´ın, 1994) shows that the solution $\\boldsymbol { \\pi } _ { n } ^ { \\varepsilon }$ of the entropy-regularized problem (3) converges exponentially fast to a solution $\\pi _ { n }$ of the non-regularized OT problem (2). Also, a result about stability of optimal transport (Villani, 2008)[Theorem 5.20] states that, if $\\mu _ { n } \\mu$ and $\\nu _ { n } \\to \\nu$ weakly, then a sequence $\\left( \\pi _ { n } \\right)$ of optimal transport plans between $\\mu _ { n }$ and $\\nu _ { n }$ converges weakly to a solution $\\pi$ of the OT problem between $\\mu$ and $\\nu$ . We can thus write, ", + "bbox": [ + 174, + 892, + 823, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 172 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/308b54b39912b32160eacaa43673af27a8b487017ac8b8801bb48ffa7bb8a6b8.jpg", + "text": "$$\n\\operatorname* { l i m } _ { n \\to \\infty } \\operatorname* { l i m } _ { \\varepsilon \\to 0 } \\pi _ { n } ^ { \\varepsilon } = \\pi .\n$$", + "text_format": "latex", + "bbox": [ + 437, + 171, + 562, + 194 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "A more refined result consists in establishing the weak convergence of $\\pi _ { n } ^ { \\varepsilon }$ to $\\pi$ when $( n , \\varepsilon )$ jointly converge to $( \\infty , 0 )$ . This is the result of the following theorem which states a stability property of entropy-regularized plans (proof in the Appendix). ", + "bbox": [ + 173, + 196, + 825, + 239 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$\\mu \\in P ( \\mathcal { X } )$ $\\nu \\in P ( \\mathcal { V } )$ where iscrete $\\mathcal { X }$ and babi $\\mathcal { V }$ are complete metric spaces. Let measures which converge weakly $\\textstyle \\mu _ { n } = \\sum _ { i = 1 } ^ { n } a _ { i } \\delta _ { x _ { i } }$ $\\begin{array} { r } { \\nu _ { n } = \\sum _ { j = 1 } ^ { n } b _ { j } \\delta _ { y _ { j } } } \\end{array}$ to $\\mu$ and $\\nu$ respectively, and let $\\left( \\varepsilon _ { n } \\right)$ a sequence of non-negative real numbers converging to 0 sufficiently fast. Assume the cost $c$ is continuous on $\\mathcal { X } \\times \\mathcal { V }$ and finite. Let $\\pi _ { n } ^ { \\varepsilon _ { n } }$ the solution of the entropy-regularized OT problem (3) between $\\mu _ { n }$ and $\\nu _ { n }$ . Then, up to extraction of a subsequence, $( \\pi _ { n } ^ { \\varepsilon _ { n } } )$ converges weakly to the solution $\\pi$ of the OT problem (2) between $\\mu$ and $\\nu$ , ", + "bbox": [ + 173, + 242, + 825, + 329 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/3b50b27e75934696e360f025b59c2af984d64f5b6f393603e784bcc9428691e7.jpg", + "text": "$$\n\\pi _ { n } ^ { \\varepsilon _ { n } } \\to \\pi w e a k l y .\n$$", + "text_format": "latex", + "bbox": [ + 433, + 334, + 565, + 352 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Keeping the analogy with statistical machine learning, this result is an analog to the universal consistency property of a learning method. In most applications, we consider empirical measures and $n$ is fixed, so that regularization, besides enabling dual stochastic approach, may also help learn the optimal plan between the underlying continuous measures. ", + "bbox": [ + 174, + 363, + 825, + 420 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "So far, we have derived an algorithm for computing the regularized OT objective and regularized optimal plans regardless of $\\mu$ and $\\nu$ being discrete or continuous. The OT objective has been used successfully as a loss in machine learning (Montavon et al., 2015; Frogner et al., 2015; Rolet et al., 2016; 2018; Arjovsky et al., 2017; Courty et al., 2017a), whereas the use of optimal plans has straightforward applications in logistics, as well as economy (Kantorovich, 1942; Carlier, 2012) or computer graphics (Bonneel et al., 2011). In numerous applications however, we often need mappings rather than joint distributions. This is all the more motivated since Brenier (1991) proved that when the source measure is continuous, the optimal transport plan is actually induced by a map. Assuming that available data samples are sampled from some underlying continuous distributions, finding the Monge map between these continuous measures rather than a discrete optimal plan between discrete measures is essential in machine learning applications. Hence in the next section, we investigate how to recover an optimal map, i.e. find an approximate solution to the Monge problem (1), from regularized optimal plans. ", + "bbox": [ + 173, + 426, + 825, + 608 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 OPTIMAL MAPPING ESTIMATIONS ", + "text_level": 1, + "bbox": [ + 174, + 627, + 490, + 643 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "A map can be obtained from a solution to the OT problem (2) or regularized OT problem (3) through the computation of its barycentric projection. Indeed, a solution $\\pi$ of Problem (2) or (3) between a source measure $\\mu$ and a target measure $\\nu$ is, identifying the plan $\\pi$ with its density w.r.t. a reference measure, a function $\\pi : ( \\bar { x , y } ) \\in \\mathcal { X } \\times \\mathcal { Y } \\mapsto \\mathbb { R } ^ { + }$ which can be seen as a weighted one-to-many map, i.e. $\\pi$ sends $x$ to each location $y \\in \\operatorname { S u p p } ( \\nu )$ where $\\pi ( x , y ) > 0$ . A map can then be obtained by simply averaging over these $y$ according to the weights $\\pi ( x , y )$ . ", + "bbox": [ + 173, + 659, + 825, + 743 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Definition 1. (Barycentric projection) Let $\\pi$ be a solution of the OT problem (2) or regularized OT problem (3). The barycentric projection $\\bar { \\pi }$ w.r.t. a convex cost $d : \\mathcal { V } \\times \\mathcal { V } \\mathbb { R } ^ { + }$ is defined as, ", + "bbox": [ + 171, + 746, + 825, + 775 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/2ce2cd6aae8f1baa1888c0bbdb06cd7789f25c4559036dd75702d04fef61613c.jpg", + "text": "$$\n\\bar { \\pi } ( x ) = \\arg \\operatorname* { m i n } _ { z } \\mathbb { E } _ { Y \\sim \\pi ( \\cdot | x ) } \\left[ d ( z , Y ) \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 374, + 780, + 622, + 804 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In the special case $d ( x , y ) = \\| x - y \\| _ { 2 } ^ { 2 }$ , Eq. (11) has the close form solution $\\bar { \\pi } ( x ) = \\operatorname { \\mathbb { E } } _ { Y \\sim \\pi ( \\cdot | x ) } \\left[ Y \\right] .$ , which is equal to $\\begin{array} { r } { \\bar { \\boldsymbol { \\pi } } = \\frac { \\boldsymbol { \\pi } \\mathbf { y } ^ { t } } { a } } \\end{array}$ in a discrete setting with $\\mathbf { y } = ( y _ { 1 } , \\dotsb , y _ { n } )$ and $a$ the weights of $\\mu$ . Moreover, for the specific squared Euclidean cost $c ( x , y ) = \\| x - y \\| _ { 2 } ^ { 2 }$ , the barycentric projection $\\bar { \\pi }$ is an optimal map (Ambrosio et al., 2006)[Theorem 12.4.4], i.e. $\\bar { \\pi }$ is a solution to the Monge problem (1) between the source measure $\\mu$ and the target measure $\\bar { \\pi } \\# \\mu$ . Hence the barycentric projection w.r.t. the squared Euclidean cost is often used as a simple way to recover optimal maps from optimal transport plans (Reich, 2013; Wang et al., 2013; Ferradans et al., 2014; Seguy & Cuturi, 2015). ", + "bbox": [ + 173, + 816, + 825, + 924 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/005b83c7e1e2dd1b696892e55336da0baf1cf57ed3f985bcc641333679575402.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
lgorithm 2 Optimal map learning with SGD
Inputs: input measures μ, V; cost function c; dual optimal variables u and v; map fe parame-
terized as a deep NN; batch size n; learning rate y. while not converged do
sample a batch (x1,·· ,xn) from μ
sample a batch (y1,:.,yn) from v
updateθ←0-γ∑ijHe(xi,yj)Vθd(yj,fe(xi)) end while
", + "bbox": [ + 174, + 99, + 825, + 224 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Formula (11) provides a pointwise value of the barycentric projection. When $\\mu$ is discrete, this means that we only have mapping estimations for a finite number of points. In order to define a map which is defined everywhere, we parameterize the barycentric projection as a deep neural network. We show in the next paragraph how to efficiently learn its parameters. ", + "bbox": [ + 173, + 247, + 825, + 304 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Optimal map learning An estimation $f$ of the barycentric projection of a regularized plan $\\pi ^ { \\varepsilon }$ which generalizes outside the support of $\\mu$ can be obtained by learning a deep neural network which minimizes the following objective w.r.t. the parameters $\\theta$ , ", + "bbox": [ + 173, + 310, + 825, + 353 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/99112b75efa82526f4065b76eee6fd113d983719cb533a205bff100a18f6c5f3.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { E } _ { X \\sim \\mu } \\left[ \\mathbb { E } _ { Y \\sim \\pi ^ { \\varepsilon } ( \\cdot | X ) } \\left[ d ( Y , f _ { \\theta } ( X ) ) \\right] \\right] = \\mathbb { E } _ { ( X , Y ) \\sim \\pi ^ { \\varepsilon } } \\left[ d ( Y , f _ { \\theta } ( X ) ) \\right] } \\\\ & { \\qquad = \\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ d ( Y , f _ { \\theta } ( X ) ) H _ { \\varepsilon } ( X , Y ) \\right] . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 246, + 356, + 751, + 397 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "When $d ( x , y ) = \\| x - y \\| ^ { 2 }$ , the last term in Eq. (12) is simply a weighted sum of squared errors, with possibly an infinite number of terms whenever $\\mu$ or $\\nu$ are continuous. We propose to minimize the objective (12) by stochastic gradient descent, which provides the simple Algorithm 2. The OT problem being symmetric, we can also compute the opposite barycentric projection $g$ w.r.t. a cost $\\bar { d } : \\mathcal { X } \\times \\mathcal { X } \\overset { } { \\to } \\bar { \\mathbb { R } } ^ { + }$ by minimizing $\\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ d ( g ( \\bar { Y } ) , X ) H _ { \\varepsilon } ( \\bar { X } , Y ) \\right]$ . ", + "bbox": [ + 173, + 398, + 825, + 472 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "However, unless the plan $\\pi$ is induced by a map, the averaging process results in having the image of the source measure by $\\bar { \\pi }$ only approximately equal to the target measure $\\nu$ . Still, when the size of discrete measure is large and the regularization is small, we show in the next paragraph that 1) the barycentric projection of a regularized OT plan is close to the Monge map between the underlying continuous measures (Theorem 2) and 2) the image of the source measure by this barycentric projection should be close to the target measure $\\nu$ (Corollary 1). ", + "bbox": [ + 173, + 476, + 825, + 560 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Theoretical guarantees As stated earlier, when $\\mathcal { X } = \\mathcal { V }$ and $c ( x , y ) = \\| x - y \\| _ { 2 } ^ { 2 }$ , Brenier (1991) proved that when the source measure $\\mu$ is continuous, there exists a solution to the Monge problem (1). This result was generalized to more general cost functions, see (Villani, 2008)[Corollary 9.3] for details. In that case, the plan $\\pi$ between $\\mu$ and $\\nu$ is written as $( \\operatorname { i d } , f ) \\# \\mu$ where $f$ is the Monge map. Now considering discrete measures $\\mu _ { n }$ and $\\nu _ { n }$ which converge to $\\mu$ (continuous) and $\\nu$ respectively, we have proved in Theorem 1 that $\\boldsymbol { \\pi } _ { n } ^ { \\varepsilon }$ converges weakly to $\\pi = ( \\operatorname { i d } , f ) \\# \\mu$ when $( n , \\varepsilon ) \\to ( \\infty , 0 )$ . The next theorem, proved in the Appendix, shows that the barycentric projection $\\bar { \\pi } _ { n } ^ { \\varepsilon }$ also converges weakly to the true Monge map between $\\mu$ and $\\nu$ , justifying our approach. ", + "bbox": [ + 173, + 565, + 825, + 679 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Theorem 2. Let $\\mu$ be a continuous probability measure on $\\mathbb { R } ^ { d }$ , and $\\nu$ an arbitrary probability and measure on $\\textstyle \\nu _ { n } = { \\frac { 1 } { n } } \\sum _ { j = 1 } ^ { n } \\delta _ { y _ { j } }$ $\\mathbb { R } ^ { d }$ and c a cost function satisfying (Villani, 2008)[Corollary 9.3]. Let converging weakly to $\\mu$ and $\\nu$ n i=1 respectively. Assume that the OT solution $\\begin{array} { r } { \\mu _ { n } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\delta _ { x _ { i } } } \\end{array}$ $\\pi _ { n }$ of Problem (2) between $\\mu _ { n }$ and $\\nu _ { n }$ is unique for all $n$ . Let $\\left( \\varepsilon _ { n } \\right)$ a sequence of non-negative real numbers converging sufficiently fast to 0 and $\\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } }$ the barycentric projection w.r.t. the convex cost $d = c$ of the solution $\\pi _ { n } ^ { \\varepsilon _ { n } }$ of the entropy-regularized OT problem (3). Then, up to extraction of $a$ subsequence, ", + "bbox": [ + 173, + 681, + 825, + 784 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/a23a5eb78f59b0e108b2a2aa02a64a266e228755f22459bb28143378ee9dfde7.jpg", + "text": "$$\n( i d , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } ( i d , f ) \\# \\mu \\ w e a k l y ,\n$$", + "text_format": "latex", + "bbox": [ + 372, + 782, + 625, + 799 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "where $f$ is the solution of the Monge problem (1) between $\\mu$ and $\\nu$ . ", + "bbox": [ + 174, + 800, + 612, + 815 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "This theorem shows that our estimated barycentric projection is close to an optimal map between the underlying continuous measures for $n$ big and $\\varepsilon$ small. The following corollary confirms the intuition that the image of the source measure by this map converges to the underlying target measure. ", + "bbox": [ + 174, + 824, + 825, + 867 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Corollary 1. With the same assumptions as above, ${ \\bar { \\pi } } _ { n } ^ { \\varepsilon _ { n } } \\# \\mu _ { n } \\to \\nu$ weakly. ", + "bbox": [ + 176, + 871, + 666, + 886 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In terms of random variables, the last equation states that if $X _ { n } \\sim \\mu _ { n }$ and $Y \\sim \\nu$ , then $\\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } \\left( X _ { n } \\right)$ converges in distribution to $Y$ . ", + "bbox": [ + 173, + 895, + 820, + 924 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/108bd959a523d171261a4465782b24928b96161ec71032e31d7571b8fde56237.jpg", + "image_caption": [ + "Figure 2: Convergence plots of the the Stochastic Dual Algorithm 1 against a stochastic semi-dual implementation (adapted from (Genevay et al., 2016): we use SGD instead of SAG), for several entropy-regularization values. Learning rates are $\\{ 5 . , 2 0 . , 2 0 . \\}$ and batch sizes $\\{ 1 0 2 4 , 5 0 0 , 1 0 0 \\}$ respectively and are taken the same for the dual and semi-dual methods. " + ], + "image_footnote": [], + "bbox": [ + 183, + 102, + 812, + 236 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "These theoretical results show that our estimated Monge map can thus be used to perform domain adaptation by mapping a source dataset to a target dataset, as well as perform generative modeling by mapping a continuous measure to a target discrete dataset. We demontrate this in the following section. ", + "bbox": [ + 174, + 332, + 825, + 387 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 NUMERICAL EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 410, + 436, + 425 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.1 DUAL VS SEMI-DUAL SPEED COMPARISONS ", + "text_level": 1, + "bbox": [ + 176, + 441, + 516, + 455 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We start by evaluating the training time of our dual stochastic algorithm 1 against a stochastic semidual approach similar to (Genevay et al., 2016). In the semi-dual approach, one of the dual variable is eliminated and is computed in close form. However, this computation has ${ \\mathcal { O } } ( n )$ complexity where $n$ is the size of the target measure $\\nu$ . We compute the regularized OT objective with both methods on a spectral transfer problem, which is related to the color transfer problem (Reinhard et al., 2001; Pitie et al., 2007), but where images are multispectral, ´ i.e. they share a finer sampling of the light wavelength. We take two $5 0 0 \\times 5 0 0$ images from the CAVE dataset (Yasuma et al., 2010) that have 31 spectral bands. As such, the optimal transport problem is computed on two empirical distributions of 250000 samples in $\\mathbb { R } ^ { 3 1 }$ on which we consider the squared Euclidean ground cost $c$ . The timing evolution of train losses are reported in Figure 2 for three different regularization values $\\varepsilon = \\{ 0 . 0 \\bar { 2 } 5 , 0 . 1 , 1 . \\}$ . In the three cases, one can observe that convergence of our proposed dual algorithm is much faster. ", + "bbox": [ + 173, + 468, + 825, + 635 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.2 LARGE SCALE DOMAIN ADAPTATION ", + "text_level": 1, + "bbox": [ + 176, + 654, + 467, + 667 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We apply here our computation framework on an unsupervised domain adaptation (DA) task, for which optimal transport has shown to perform well on small scale datasets (Courty et al., 2017b; Perrot et al., 2016; Courty et al., 2014). This restriction is mainly due to the fact that those works only consider the primal formulation of the OT problem. Our goal here is not to compete with the state-of-the-art methods in domain adaptation but to assess that our formulation allows to scale optimal transport based domain adaptation (OTDA) to large datasets. OTDA is illustrated in Fig. 3 and follows two steps: 1) learn an optimal map between the source and target distribution, 2) map the source samples and train a classifier on them in the target domain. Our formulation also allows to use any differentiable ground cost $c$ while (Courty et al., 2017b) was limited to the squared Euclidean distance. ", + "bbox": [ + 174, + 680, + 825, + 819 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Datasets We consider the three cross-domain digit image datasets MNIST (Lecun et al., 1998), USPS, and SVHN (Netzer et al., 2011), which have 10 classes each. For the adaptation between MNIST and USPS, we use 60000 samples in the MNIST domain and 9298 samples in USPS domain. MNIST images are resized to the same resolution as USPS ones $( 1 6 \\times 1 6 )$ ). For the adaptation between SVHN and MNIST, we use 73212 samples in the SVHN domain and 60000 samples in the MNIST domain. MNIST images are zero-padded to reach the same resolution as SVHN $( 3 2 \\times 3 2 )$ and extended to three channels to match SVHN image sizes. The labels in the target domain are withheld during the adaptation. In the experiment, we consider the adaptation in three directions: M $\\mathrm { I N I S T } \\to \\mathrm { U S P S }$ , $\\mathrm { U S P S } \\to \\mathrm { M N I S T }$ , and $\\mathrm { S V H N } \\to \\mathrm { M N I S T } .$ ", + "bbox": [ + 174, + 827, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/68a2bc0b8ddaf4a608cd6baab93562a2a306655bd64ab896bcdaaba30e300dd6.jpg", + "image_caption": [ + "Figure 3: Illustration of the OT Domain Adaptation method adapted from (Courty et al., 2017b). Source samples are mapped to the target set through the barycentric projection $\\bar { \\pi } ^ { \\varepsilon }$ . A classifier is then learned on the mapped source samples. " + ], + "image_footnote": [], + "bbox": [ + 204, + 97, + 794, + 231 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/7734982315e7adbb9ae54a18cbdfb39b354e1e05535cad2b853fabaeb4ad0c0d.jpg", + "table_caption": [ + "Table 1: Results (accuracy in $\\%$ ) on domain adaptation among MNIST, USPS and SVHN datasets with entropy $( R _ { e } )$ and L2 $( R _ { L ^ { 2 } } )$ regularizations. Source only refers to 1-NN classification between source and target samples without adaptation. " + ], + "table_footnote": [], + "table_body": "
MethodMNIST→USPSUSPS→MNISTSVHN→MNIST
Source onlyBar. proj. OTBar. proj. OT with ReBar. proj. Alg. 1 with ReBar. proj. Alg.1 with RL2Monge map Alg. 1+2 with ReMonge map Alg. 1+2 with RL273.4736.9754.33
57.7552.46intractableintractable
68.7557.35
68.8467.877.9257.5558.8760.56
57.47
60.0261.1162.88
72.6160.50
", + "bbox": [ + 205, + 358, + 790, + 468 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 500, + 823, + 527 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Methods and experimental setup Our goal is to demonstrate the potential of the proposed method in large-scale settings. Adaptation performance is evaluated using a 1-nearest neighbor (1-NN) classifier, since it has the advantage of being parameter free and allows better assessment of the quality of the adapted representation, as discussed in (Courty et al., 2017b). In all experiments, we consider the 1-NN classification as a baseline, where labeled neighbors are searched in the source domain and the accuracy is computed on target data. We compare our approach to previous OTDA methods where an optimal map is obtained through the discrete barycentric projection of either an optimal plan (computed with the network simplex algorithm1) or an entropy-regularized optimal plan (computed with the Sinkhorn algorithm (Cuturi, 2013)), whenever their computation is tractable. Note that these methods do not provide out-of-sample mapping. In all experiments, the ground cost $c$ is the squared Euclidean distance and the barycentric projection is computed w.r.t. that cost. We learn the Monge map of our proposed approach with either entropy or L2 regularizations. Regarding the adaptation between SVHN and MNIST, we extract deep features by learning a modified LeNet architecture on the source data and extracting the 100-dimensional features output by the top hidden layer. Adaptation is performed on those features. We report for all the methods the best accuracy over the hyperparameters on the target dataset. While this setting is unrealistic in a practical DA application, it is widely used in the DA community (Long et al., 2013) and our goal is here to investigate the relative performances of large-scale OTDA in a fair setting. ", + "bbox": [ + 174, + 535, + 825, + 784 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Hyper-parameters and learning rate The value for the regularization parameter is set in $\\{ 5 , 2 , 0 . 9 , 0 . 5 , 0 . 1 , 0 . 0 5 , 0 . 0 1 \\}$ . Adam optimizer with batch size 1000 is used to optimize the network. The learning rate is varied in $\\{ 2 , 0 . 9 , 0 . 1 , 0 . 0 1 , 0 . 0 0 1 , 0 . 0 0 0 1 \\}$ . The learned Monge map $f$ in Alg. 2 is parameterized as a neural network with two fully-connected hidden layers $\\mathit { \\Delta } d \\to 2 0 0 \\to 5 0 0 \\to d \\ u { a }$ and ReLU activations, and the weights are optimized using the Adam optimizer with learning rate equal to $1 0 ^ { - 4 }$ and batch size equal to 1000. For the Sinkhorn algorithm, regularization value is chosen from $\\{ 0 . 0 1 , 0 . 1 , 0 . 5 , 0 . 9 , 2 . 0 , 5 . 0 , 1 0 . 0 \\}$ . ", + "bbox": [ + 174, + 791, + 825, + 890 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/c792b2f09a9a3e0261ccb25c92f455031f5f02b6d05822b19e4e25a261d4ceba.jpg", + "image_caption": [ + "Figure 4: Samples generated by our optimal generator learned through Algorithms 1 and 2. " + ], + "image_footnote": [], + "bbox": [ + 205, + 101, + 792, + 253 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Results Results are reported in Table 1. In all cases, our proposed approach outperforms previous OTDA algorithms. On MNIST USPS, previous OTDA methods perform worse than using directly source labels, whereas our method leads to successful adaptation results with $20 \\%$ and $10 \\%$ accuracy points over OT and regularized OT methods respectively. On USPS MNIST, all three algorithms lead to successful adaptation results, but our method achieves the highest adaptation results. Finally, on the challenging large-scale adaptation task SVHN MNIST, only our method is able to handle the whole datasets, and outperforms the source only results. ", + "bbox": [ + 174, + 308, + 825, + 405 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Comparing the results between the barycentric projection and estimated Monge map illustrates that learning a parametric mapping provides some kind of regularization, and improves the performance. ", + "bbox": [ + 174, + 412, + 823, + 440 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5.3 GENERATIVE OPTIMAL TRANSPORT (GOT) ", + "text_level": 1, + "bbox": [ + 174, + 459, + 516, + 473 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Approach Corollary 1 shows that when the support of the discrete measures $\\mu$ and $\\nu$ is large and the regularization $\\varepsilon$ is small, then we have approximately ${ \\bar { \\pi } } ^ { \\varepsilon } \\# \\mu = \\nu$ . This observation motivates the use of our Monge map estimation as a generator between an arbitrary continuous measure $\\mu$ and a discrete measure $\\nu$ representing the discrete distribution of some dataset. We can thus obtain a generative model by first computing regularized OT through Alg. 1 between a Gaussian measure $\\mu$ and a discrete dataset $\\nu$ and then compute our generator with Alg. 2. This requires to have a cost function between the latent variable $X \\sim \\mu$ and the discrete variable $Y \\sim \\nu$ . The property we gain compared to other generative models is that our generator is, at least approximately, an optimal map w.r.t. this cost. In our case, the Gaussian is taken with the same dimensionality as the discrete data and the squared Euclidean distance is used as ground cost $c$ . ", + "bbox": [ + 174, + 486, + 825, + 626 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Permutation-invariant MNIST We preprocess MNIST data by rescaling grayscale values in $[ - 1 , 1 ]$ . We run Alg. 1 and Alg. 2 where $\\mu$ is a Gaussian whose mean and covariance are taken equal to the empirical mean and covariance of the preprocessed MNIST dataset; we have observed that this makes the learning easier. The target discrete measure $\\nu$ is the preprocessed MNIST dataset. Permutation invariance means that we consider each grayscale $2 8 \\times 2 8$ images as a 784-dimensional vector and do not rely on convolutional architectures. In Alg. 1 the dual potential $u$ is parameterized as a $\\mathit { \\Delta } d 1 0 2 4 1 0 2 4 1 \\mathrm { { \\Omega } }$ ) fully-connected NN with ReLU activations for each hidden layer, and the $L ^ { 2 }$ regularization is considered as it produced experimentally less blurring. The barycentric projection $f$ of Alg. 2 is parameterized as a $\\mathit { \\Delta } d 1 0 2 4 1 0 2 4 d \\mathit { \\Delta }$ ) fully-connected NN with ReLU activation for each hidden layer and a tanh activation on the output layer. We display some generated samples in Fig. 4. ", + "bbox": [ + 174, + 632, + 825, + 785 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 808, + 318, + 823 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We proposed two original algorithms that allow for $i$ ) large-scale computation of regularized optimal transport $\\romannumeral 2$ ) learning an optimal map that moves one probability distribution onto another (the so-called Monge map). To our knowledge, our approach introduces the first tractable algorithms for computing both the regularized OT objective and optimal maps in large-scale or continuous settings. We believe that these two contributions enable a wider use of optimal transport strategies in machine learning applications. Notably, we have shown how it can be used in an unsupervised domain adaptation setting, or in generative modeling, where a Monge map acts directly as a generator. Our consistency results show that our approach is theoretically well-grounded. An interesting direction for future work is to investigate the corresponding convergence rates of the empirical regularized optimal plans. We believe this is a very complex problem since technical proofs regarding convergence rates of the empirical OT objective used e.g. in (Sriperumbudur et al., 2012; Boissard et al., 2014; Fournier & Guillin, 2015) do not extend simply to the optimal transport plans. ", + "bbox": [ + 174, + 840, + 823, + 924 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 188 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 204, + 326, + 218 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "This work benefited from the support of the project OATMIL ANR-17-CE23-0012 of the French National Research Agency (ANR). 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", + "bbox": [ + 174, + 827, + 823, + 871 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Fumihito Yasuma, Tomoo Mitsunaga, Daisuke Iso, and Shree K Nayar. Generalized assorted pixel camera: postcapture control of resolution, dynamic range, and spectrum. IEEE Transactions on Image Processing, 19(9):2241–2253, 2010. ", + "bbox": [ + 174, + 882, + 823, + 924 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Appendix ", + "text_level": 1, + "bbox": [ + 429, + 98, + 570, + 127 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A PROOFS ", + "text_level": 1, + "bbox": [ + 176, + 148, + 277, + 166 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Proof of Theorem 1. ", + "text_level": 1, + "bbox": [ + 174, + 180, + 315, + 195 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Proof. Let $\\pi _ { n }$ be the solution of the OT problem (2) between $\\mu _ { n }$ and $\\nu _ { n }$ which has maximum entropy. A result about stability of optimal transport (Villani, 2008)[Theorem 5.20] states that, up to extraction of a subsequence, $\\pi _ { n }$ converges weakly to a solution $\\pi$ of the OT problem between $\\mu$ and $\\nu$ (regardless of $\\pi _ { n }$ being the solution with maximum entropy or not). We still write $\\left( \\pi _ { n } \\right)$ this subsequence, as well as $\\left( \\pi _ { n } ^ { \\varepsilon _ { n } } \\right)$ the corresponding subsequence. ", + "bbox": [ + 173, + 210, + 825, + 281 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Let $g \\in \\mathcal { C } _ { b } ( \\mathcal { X } \\times \\mathcal { Y } )$ a bounded continuous function on $\\mathcal { X } \\times \\mathcal { V }$ . We have, ", + "bbox": [ + 174, + 281, + 650, + 295 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/e4a6a62a89d3d4d524f948c815fd1ff1cea68d8fd76260bc40d7048e0c6bea4e.jpg", + "text": "$$\n\\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } ^ { \\varepsilon _ { n } } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi = \\left( \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } ^ { \\varepsilon _ { n } } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } \\right) + \\left( \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi \\right) _ { n } ,\n$$", + "text_format": "latex", + "bbox": [ + 187, + 300, + 810, + 337 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "The second term in the right-hand side converges to 0 as a result of the previously mentioned stability of optimal transport (Villani, 2008)[Theorem 5.20]. We now show the convergence of the first term to 0 when $\\varepsilon _ { n } \\to 0$ sufficiently fast. We have, ", + "bbox": [ + 174, + 347, + 823, + 388 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/6eea2be517a4b7719463b3a1f0af3b47abfa4ec952a2123b4770fd673eb59d55.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } ^ { \\varepsilon _ { n } } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } \\bigg | = \\left| \\sum _ { i = 1 , n \\ j = 1 , n } g ( x _ { i } , y _ { j } ) \\pi _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } , y _ { j } ) - \\sum _ { i = 1 , n \\ j = 1 , n } g ( x _ { i } , y _ { j } ) \\pi _ { n } ( x _ { i } , y _ { j } ) \\right| } \\\\ { \\displaystyle \\leqslant M _ { g } \\sum _ { i j } | \\pi _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } , y _ { j } ) - \\pi _ { n } ( x _ { i } , y _ { j } ) | } \\\\ { \\displaystyle = M _ { g } \\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb { R } ^ { n \\times n } , 1 } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 393, + 833, + 501 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where $M _ { g }$ is an upper-bound of $g$ . A convergence result by Cominetti & San Mart´ın (1994) shows that there exists positive constants (w.r.t. $\\varepsilon _ { n }$ ) $M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }$ and $\\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }$ such that, ", + "bbox": [ + 173, + 518, + 826, + 549 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/6f0b373ee7c3b84945a5ae5760ed18b982485a8871bd93986098e5e47fd54b79.jpg", + "text": "$$\n\\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb { R } ^ { n \\times n } , 1 } \\leqslant M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } e ^ { - \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\varepsilon _ { n } } }\n$$", + "text_format": "latex", + "bbox": [ + 351, + 554, + 643, + 577 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where $c _ { n } = ( c ( x _ { 1 } , y _ { 1 } ) , \\cdot \\cdot \\cdot , c ( x _ { n } , y _ { n } ) )$ . The subscript indices indicate the dependences of each constant. Hence, we see that choosing any $\\left( \\varepsilon _ { n } \\right)$ such that the right-hand side of Eq. (16) tends to 0 provides the results. In particular, we can take ", + "bbox": [ + 173, + 582, + 825, + 625 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/f82ce0173b011c2f756134dea25bd3d3010e152b684b412efa736d7cfcc59ef3.jpg", + "text": "$$\n\\varepsilon _ { n } = \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\ln ( n M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } ) }\n$$", + "text_format": "latex", + "bbox": [ + 423, + 630, + 575, + 664 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "which suffices to have the convergence of (15) to 0 for any bounded continuous function $g \\in \\mathcal { C } _ { b } ( \\mathcal { X } \\times$ $\\mathcal { V }$ ). This proves the weak convergence of $\\pi _ { n } ^ { \\varepsilon _ { n } }$ to $\\pi$ . □ ", + "bbox": [ + 173, + 669, + 826, + 698 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Proof of Theorem 2. ", + "text_level": 1, + "bbox": [ + 173, + 713, + 313, + 728 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Proof. First, note that the existence of a Monge map between $\\mu$ and $\\nu$ follows from the absolute continuity of $\\mu$ and the assumptions on the cost functions $c$ (Villani, 2008)[Corollary 9.3]. Let $g \\in \\mathcal { C } _ { l } ( \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } )$ a Lipschitz function on $\\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d }$ . Let $\\pi _ { n }$ be the unique (by assumption) solution of the OT problem between $\\mu _ { n }$ and $\\nu _ { n }$ . We have, ", + "bbox": [ + 173, + 742, + 828, + 799 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/e13def8afae7f6e16307eff5ed56afc54db5a068b6575927265991c5c54557bd.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { \\displaystyle \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , f ) \\# \\mu = ( \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu } \\\\ & { } & { \\displaystyle + ( \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , f ) \\# \\mu ) \\mathrm { i d } \\mu \\mathrm { ) , ~ } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 804, + 839, + 877 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Since $\\mu _ { n }$ and $\\nu _ { n }$ are uniform discrete probability measures supported on the same number of points, we know by (Birkhoff, 1946) that the optimal transport $\\pi _ { n }$ is actually an optimal assignment $T _ { n }$ , so that we have $\\pi _ { n } = ( \\mathrm { i d } , T _ { n } ) \\# \\mu _ { n }$ . This also implies $\\bar { \\pi } _ { n } = T _ { n }$ so that $( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu _ { n } = ( \\mathrm { i d } , T _ { n } ) \\# \\mu _ { n }$ . Hence, the second term in the right-hand side of (18) converges to 0 as a result of the stability of optimal transport (Villani, 2008)[Theorem 5.20]. Now, we show that the first term also converges to 0 for $\\varepsilon _ { n }$ converging sufficiently fast to 0. By definition of the pushforward operator, ", + "bbox": [ + 173, + 895, + 828, + 924 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 102, + 826, + 160 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/08d7be34bdaf0a6ce2818b8de208a5319b02293251fd4d746fc1891393d66488.jpg", + "text": "$$\n\\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu _ { n } = \\int _ { \\mathbb { R } ^ { d } } g ( x , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x ) d \\mu _ { n } ( x ) - \\int _ { \\mathbb { R } ^ { d } } g ( x , T _ { n } ( x ) ) d \\mu _ { n } ( x ) \\mathrm { d } \\mu _ { n } \\mathrm { d } \\mu _ { n }\n$$", + "text_format": "latex", + "bbox": [ + 181, + 166, + 839, + 200 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "and we can bound, ", + "bbox": [ + 173, + 212, + 299, + 226 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/e2b8b12d7cd92ec9c8c2bdaba47a172c1f61491ec10b7e2ab34f192d456f46bd.jpg", + "text": "$$\n\\begin{array} { r l } { \\displaystyle \\int _ { \\mathbb R ^ { d } } g ( x , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x ) ) d \\mu _ { n } ( x ) - \\displaystyle \\int _ { \\mathbb R ^ { d } } g ( x , T _ { n } ( x ) ) d \\mu _ { n } ( x ) \\bigg \\rvert = \\displaystyle \\bigg \\lvert \\frac { 1 } { n } \\displaystyle \\sum _ { i = 1 } ^ { n } g ( x _ { i } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } ) ) - \\frac { 1 } { n } \\displaystyle \\sum _ { i = 1 } ^ { n } g ( x _ { i } , T _ { n } ( x _ { i } ) ) } \\\\ { \\displaystyle } & { \\leqslant \\displaystyle \\sum _ { i } K _ { g } \\| \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } ) - T _ { n } ( x _ { i } ) \\| _ { \\mathbb R ^ { d } , 2 } } \\\\ { \\displaystyle } & { = n K _ { g } \\| \\pi _ { n } ^ { \\varepsilon _ { n } } Y _ { n } - \\pi _ { n } Y _ { n } \\| _ { \\mathbb R ^ { n \\times n } , 2 } } \\\\ { \\displaystyle } & { \\leqslant n K _ { g } \\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb R ^ { n \\times n } , 2 } ^ { 1 / 2 } \\| Y _ { n } \\| _ { \\mathbb R ^ { n \\times d } , 2 } ^ { 1 / 2 } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 231, + 839, + 354 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "where $Y _ { n } = ( y _ { 1 } , \\cdots , y _ { n } ) ^ { t }$ and $K _ { g }$ is the Lipschitz constant of $g$ . The first inequality follows from $g$ being Lipschitz. The next equality follows from the discrete close form of the barycentric projection. The last inequality is obtained through Cauchy-Schwartz. We can now use the same arguments as in the previous proof. A convergence result by Cominetti & San Mart´ın (1994) shows that there exists positive constants (w.r.t. $\\varepsilon _ { n }$ ) $M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }$ and $\\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }$ such that, ", + "bbox": [ + 173, + 373, + 826, + 445 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/cacff79242546f70f1e9a6f18ba7f10317bc2c30b91f137678c7f89386276ba5.jpg", + "text": "$$\n\\begin{array} { r } { \\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb { R } ^ { n \\times n } , 2 } ^ { 1 / 2 } \\leqslant M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } e ^ { - \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\varepsilon _ { n } } } \\qquad } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 352, + 452, + 643, + 477 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "where $c _ { n } = ( c ( x _ { 1 } , y _ { 1 } ) , \\cdot \\cdot \\cdot , c ( x _ { n } , y _ { n } ) )$ . The subscript indices indicate the dependences of each constant. Hence, we see that choosing any $\\left( \\varepsilon _ { n } \\right)$ such that (21) tends to 0 provides the results. In particular, we can take ", + "bbox": [ + 173, + 483, + 825, + 525 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/914cab973b59b69d740867a97253f9077a595c0cfcc3734b88bca58bd2a4383d.jpg", + "text": "$$\n\\varepsilon _ { n } = \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\ln ( n ^ { 2 } \\| Y _ { n } \\| _ { \\mathbb { R } ^ { n } \\times d , 2 } ^ { 1 / 2 } M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } ) }\n$$", + "text_format": "latex", + "bbox": [ + 383, + 523, + 614, + 564 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "which suffices to have the convergence of (15) to 0 for Lipschitz function $g \\in \\mathcal { C } _ { l } ( \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } )$ . This proves the weak convergence of $( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n }$ to $( \\operatorname { i d } , f ) \\# \\mu$ . □ ", + "bbox": [ + 174, + 568, + 825, + 598 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Proof of Corollary 1. ", + "text_level": 1, + "bbox": [ + 174, + 611, + 318, + 626 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Proof. Let $\\textit { h } \\in \\mathcal { C } _ { b } ( \\mathbb { R } ^ { d } )$ a bounded continuous function. Let $g ~ \\in ~ \\mathcal { C } _ { b } ( \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } )$ defined as $g : { \\mathit { \\Phi } } ( x , y ) \\mapsto h ( y )$ . We have, ", + "bbox": [ + 171, + 641, + 825, + 671 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/0b0e1ffada4fa69657641f54afe5cd84ec7c73de1f57bbc036e61cf453869f70.jpg", + "text": "$$\n\\int _ { \\mathbb { R } ^ { d } } h d \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } } h d f \\# \\mu = \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , f ) \\# \\mu _ { n }\n$$", + "text_format": "latex", + "bbox": [ + 227, + 676, + 767, + 712 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "which converges to 0 by Theorem (2). Since $f \\# \\mu = \\nu$ , this proves the corollary. 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However, the Sinkhorn algorithm does not scale well to measures supported", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 363, + 276 + ], + "score": 1.0, + "content": "on a large number of samples, since each of its iterations has an", + "type": "text" + }, + { + "bbox": [ + 363, + 263, + 390, + 276 + ], + "score": 0.93, + "content": "\\mathcal { O } ( n ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 264, + 505, + 276 + ], + "score": 1.0, + "content": "complexity. In addition, the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 274, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 506, + 288 + ], + "score": 1.0, + "content": "Sinkhorn algorithm cannot handle continuous probability measures. To address these issues, two", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 286, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 506, + 299 + ], + "score": 1.0, + "content": "recent works proposed to optimize variations of the dual OT problem through stochastic gradient", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 295, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 104, + 295, + 506, + 310 + ], + "score": 1.0, + "content": "methods. Genevay et al. (2016) proposed to optimize a “semi-dual” objective function. However,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 221, + 321 + ], + "score": 1.0, + "content": "their approach still requires", + "type": "text" + }, + { + "bbox": [ + 221, + 308, + 244, + 319 + ], + "score": 0.92, + "content": "{ \\mathcal { O } } ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "operations per iteration and hence only scales moderately w.r.t.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 319, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 505, + 331 + ], + "score": 1.0, + "content": "the size of the input measures. Arjovsky et al. (2017) proposed a formulation that is specific to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "score": 1.0, + "content": "so-called 1-Wasserstein distance (unregularized OT using the Euclidean distance as a cost function).", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 340, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 506, + 353 + ], + "score": 1.0, + "content": "This formulation has a simpler dual form with a single variable which can be parameterized as a", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 351, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 365 + ], + "score": 1.0, + "content": "neural network. This approach scales better to very large datasets and handles continuous measures,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 362, + 504, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 504, + 375 + ], + "score": 1.0, + "content": "enabling the use of OT as a loss for learning a generative model. However, a drawback of that formu-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 374, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 386 + ], + "score": 1.0, + "content": "lation is that the dual variable has to satisfy the non-trivial constraint of being a Lipschitz function.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "As a workaround, Arjovsky et al. (2017) proposed to use weight clipping between updates of the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 396, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 505, + 407 + ], + "score": 1.0, + "content": "neural network parameters. However, this makes unclear whether the learned generative model is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 406, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 419 + ], + "score": 1.0, + "content": "truly optimized in an OT sense. Besides these limitations, these works only focus on the compu-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "tation of the OT objective and do not address the problem of finding an optimal map between two", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 428, + 162, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 162, + 440 + ], + "score": 1.0, + "content": "distributions.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 445, + 505, + 599 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 506, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 443, + 458 + ], + "score": 1.0, + "content": "Contributions We present a novel two-step approach for learning an optimal map", + "type": "text" + }, + { + "bbox": [ + 444, + 446, + 451, + 457 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 444, + 506, + 458 + ], + "score": 1.0, + "content": "that satisfies", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 107, + 455, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 107, + 456, + 154, + 468 + ], + "score": 0.92, + "content": "f ( X ) \\sim Y", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 455, + 505, + 470 + ], + "score": 1.0, + "content": ". First, we compute an optimal transport plan, which can be thought as a one-to-many", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 467, + 504, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 504, + 479 + ], + "score": 1.0, + "content": "map between the two distributions. To that end, we propose a new simple dual stochastic gradi-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 478, + 504, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 504, + 491 + ], + "score": 1.0, + "content": "ent algorithm for solving regularized OT which scales well with the size of the input measures.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 488, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 505, + 502 + ], + "score": 1.0, + "content": "We provide numerical evidence that our approach converges faster than semi-dual approaches con-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "sidered in (Genevay et al., 2016). Second, we learn an optimal map (also referred to as a Monge", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "map) as a neural network by approximating the barycentric projection of the OT plan obtained in", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 522, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 505, + 534 + ], + "score": 1.0, + "content": "the first step. Parameterization of this map with a neural network allows efficient learning and", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 533, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 505, + 545 + ], + "score": 1.0, + "content": "provides generalization outside the support of the input measure. Fig. 1 provides a 2D example", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 543, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 506, + 558 + ], + "score": 1.0, + "content": "showing the computed map between a Gaussian measure and a discrete measure and the resulting", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "score": 1.0, + "content": "density estimation. On the theoretical side, we prove the convergence of regularized optimal plans", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "score": 1.0, + "content": "(resp. barycentric projections of regularized optimal plans) to the optimal plan (resp. 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We demonstrate our", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 587, + 337, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 337, + 601 + ], + "score": 1.0, + "content": "approach on domain adaptation and generative modeling.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 107, + 604, + 505, + 682 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 202, + 617 + ], + "score": 1.0, + "content": "Notations: We denote", + "type": "text" + }, + { + "bbox": [ + 202, + 605, + 212, + 615 + ], + "score": 0.81, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 604, + 232, + 617 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 233, + 605, + 243, + 615 + ], + "score": 0.82, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "some complete metric spaces. In most applications, these are", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 616, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 327, + 627 + ], + "score": 1.0, + "content": "Euclidean spaces. We denote random variables such as", + "type": "text" + }, + { + "bbox": [ + 328, + 616, + 338, + 626 + ], + "score": 0.84, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 616, + 350, + 627 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 350, + 616, + 360, + 626 + ], + "score": 0.72, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 616, + 461, + 627 + ], + "score": 1.0, + "content": "as capital letters. We use", + "type": "text" + }, + { + "bbox": [ + 462, + 616, + 493, + 626 + ], + "score": 0.9, + "content": "X \\sim Y", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 616, + 505, + 627 + ], + "score": 1.0, + "content": "to", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 140, + 639 + ], + "score": 1.0, + "content": "say that", + "type": "text" + }, + { + "bbox": [ + 140, + 627, + 150, + 636 + ], + "score": 0.82, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 627, + 168, + 639 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 168, + 627, + 177, + 637 + ], + "score": 0.74, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 627, + 323, + 639 + ], + "score": 1.0, + "content": "have the same distribution, and also", + "type": "text" + }, + { + "bbox": [ + 324, + 627, + 353, + 638 + ], + "score": 0.91, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 627, + 397, + 639 + ], + "score": 1.0, + "content": "to say that", + "type": "text" + }, + { + "bbox": [ + 398, + 627, + 408, + 636 + ], + "score": 0.82, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "is distributed according", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 215, + 650 + ], + "score": 1.0, + "content": "to the probability measure", + "type": "text" + }, + { + "bbox": [ + 215, + 639, + 223, + 649 + ], + "score": 0.69, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 638, + 228, + 650 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 228, + 637, + 264, + 650 + ], + "score": 0.51, + "content": "\\operatorname { S u p p } ( \\mu )", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 638, + 361, + 650 + ], + "score": 1.0, + "content": "refers to the support of", + "type": "text" + }, + { + "bbox": [ + 362, + 640, + 369, + 649 + ], + "score": 0.81, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 638, + 420, + 650 + ], + "score": 1.0, + "content": ", a subset of", + "type": "text" + }, + { + "bbox": [ + 420, + 638, + 430, + 648 + ], + "score": 0.82, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 638, + 505, + 650 + ], + "score": 1.0, + "content": ", which is also the", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 187, + 662 + ], + "score": 1.0, + "content": "set of values which", + "type": "text" + }, + { + "bbox": [ + 187, + 649, + 218, + 659 + ], + "score": 0.9, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 648, + 286, + 662 + ], + "score": 1.0, + "content": "can take. Given", + "type": "text" + }, + { + "bbox": [ + 287, + 649, + 318, + 660 + ], + "score": 0.92, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 648, + 363, + 662 + ], + "score": 1.0, + "content": "and a map", + "type": "text" + }, + { + "bbox": [ + 364, + 649, + 371, + 660 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 648, + 418, + 662 + ], + "score": 1.0, + "content": "defined on", + "type": "text" + }, + { + "bbox": [ + 418, + 649, + 453, + 660 + ], + "score": 0.61, + "content": "\\operatorname { S u p p } ( \\mu )", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 648, + 458, + 662 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 458, + 649, + 479, + 660 + ], + "score": 0.52, + "content": "f \\# \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 648, + 505, + 662 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 211, + 672 + ], + "score": 1.0, + "content": "probability distribution of", + "type": "text" + }, + { + "bbox": [ + 212, + 659, + 235, + 671 + ], + "score": 0.92, + "content": "f ( X )", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 659, + 505, + 672 + ], + "score": 1.0, + "content": ". We say that a measure is continuous when it admits a density w.r.t.", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 670, + 328, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 328, + 684 + ], + "score": 1.0, + "content": "the Lebesgues measure. We denote id the identity map.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 49 + } + ], + "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 2018", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 225 + ], + "lines": [], + "index": 6, + "bbox_fs": [ + 104, + 82, + 506, + 227 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 230, + 505, + 439 + ], + "lines": [ + { + "bbox": [ + 106, + 231, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 505, + 244 + ], + "score": 1.0, + "content": "Large-scale OT Recently, Cuturi (2013) showed that introducing entropic regularization into the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 241, + 505, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 255 + ], + "score": 1.0, + "content": "OT problem turns its dual into an easier optimization problem which can be solved using the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "Sinkhorn algorithm. However, the Sinkhorn algorithm does not scale well to measures supported", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 363, + 276 + ], + "score": 1.0, + "content": "on a large number of samples, since each of its iterations has an", + "type": "text" + }, + { + "bbox": [ + 363, + 263, + 390, + 276 + ], + "score": 0.93, + "content": "\\mathcal { O } ( n ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 264, + 505, + 276 + ], + "score": 1.0, + "content": "complexity. In addition, the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 274, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 506, + 288 + ], + "score": 1.0, + "content": "Sinkhorn algorithm cannot handle continuous probability measures. To address these issues, two", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 286, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 506, + 299 + ], + "score": 1.0, + "content": "recent works proposed to optimize variations of the dual OT problem through stochastic gradient", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 295, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 104, + 295, + 506, + 310 + ], + "score": 1.0, + "content": "methods. Genevay et al. (2016) proposed to optimize a “semi-dual” objective function. However,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 221, + 321 + ], + "score": 1.0, + "content": "their approach still requires", + "type": "text" + }, + { + "bbox": [ + 221, + 308, + 244, + 319 + ], + "score": 0.92, + "content": "{ \\mathcal { O } } ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "operations per iteration and hence only scales moderately w.r.t.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 319, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 505, + 331 + ], + "score": 1.0, + "content": "the size of the input measures. Arjovsky et al. (2017) proposed a formulation that is specific to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "score": 1.0, + "content": "so-called 1-Wasserstein distance (unregularized OT using the Euclidean distance as a cost function).", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 340, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 506, + 353 + ], + "score": 1.0, + "content": "This formulation has a simpler dual form with a single variable which can be parameterized as a", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 351, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 365 + ], + "score": 1.0, + "content": "neural network. This approach scales better to very large datasets and handles continuous measures,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 362, + 504, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 504, + 375 + ], + "score": 1.0, + "content": "enabling the use of OT as a loss for learning a generative model. However, a drawback of that formu-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 374, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 386 + ], + "score": 1.0, + "content": "lation is that the dual variable has to satisfy the non-trivial constraint of being a Lipschitz function.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "As a workaround, Arjovsky et al. (2017) proposed to use weight clipping between updates of the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 396, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 505, + 407 + ], + "score": 1.0, + "content": "neural network parameters. However, this makes unclear whether the learned generative model is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 406, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 419 + ], + "score": 1.0, + "content": "truly optimized in an OT sense. Besides these limitations, these works only focus on the compu-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "tation of the OT objective and do not address the problem of finding an optimal map between two", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 428, + 162, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 162, + 440 + ], + "score": 1.0, + "content": "distributions.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 22, + "bbox_fs": [ + 104, + 231, + 506, + 440 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 445, + 505, + 599 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 506, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 443, + 458 + ], + "score": 1.0, + "content": "Contributions We present a novel two-step approach for learning an optimal map", + "type": "text" + }, + { + "bbox": [ + 444, + 446, + 451, + 457 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 444, + 506, + 458 + ], + "score": 1.0, + "content": "that satisfies", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 107, + 455, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 107, + 456, + 154, + 468 + ], + "score": 0.92, + "content": "f ( X ) \\sim Y", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 455, + 505, + 470 + ], + "score": 1.0, + "content": ". First, we compute an optimal transport plan, which can be thought as a one-to-many", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 467, + 504, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 504, + 479 + ], + "score": 1.0, + "content": "map between the two distributions. To that end, we propose a new simple dual stochastic gradi-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 478, + 504, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 504, + 491 + ], + "score": 1.0, + "content": "ent algorithm for solving regularized OT which scales well with the size of the input measures.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 488, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 505, + 502 + ], + "score": 1.0, + "content": "We provide numerical evidence that our approach converges faster than semi-dual approaches con-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "sidered in (Genevay et al., 2016). Second, we learn an optimal map (also referred to as a Monge", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "map) as a neural network by approximating the barycentric projection of the OT plan obtained in", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 522, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 505, + 534 + ], + "score": 1.0, + "content": "the first step. Parameterization of this map with a neural network allows efficient learning and", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 533, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 505, + 545 + ], + "score": 1.0, + "content": "provides generalization outside the support of the input measure. Fig. 1 provides a 2D example", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 543, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 506, + 558 + ], + "score": 1.0, + "content": "showing the computed map between a Gaussian measure and a discrete measure and the resulting", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 567 + ], + "score": 1.0, + "content": "density estimation. On the theoretical side, we prove the convergence of regularized optimal plans", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "score": 1.0, + "content": "(resp. barycentric projections of regularized optimal plans) to the optimal plan (resp. Monge map)", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 577, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 505, + 588 + ], + "score": 1.0, + "content": "between the underlying continuous measures from which data are sampled. We demonstrate our", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 587, + 337, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 337, + 601 + ], + "score": 1.0, + "content": "approach on domain adaptation and generative modeling.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 444, + 506, + 601 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 604, + 505, + 682 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 202, + 617 + ], + "score": 1.0, + "content": "Notations: We denote", + "type": "text" + }, + { + "bbox": [ + 202, + 605, + 212, + 615 + ], + "score": 0.81, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 604, + 232, + 617 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 233, + 605, + 243, + 615 + ], + "score": 0.82, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "some complete metric spaces. In most applications, these are", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 616, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 327, + 627 + ], + "score": 1.0, + "content": "Euclidean spaces. We denote random variables such as", + "type": "text" + }, + { + "bbox": [ + 328, + 616, + 338, + 626 + ], + "score": 0.84, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 616, + 350, + 627 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 350, + 616, + 360, + 626 + ], + "score": 0.72, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 616, + 461, + 627 + ], + "score": 1.0, + "content": "as capital letters. We use", + "type": "text" + }, + { + "bbox": [ + 462, + 616, + 493, + 626 + ], + "score": 0.9, + "content": "X \\sim Y", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 616, + 505, + 627 + ], + "score": 1.0, + "content": "to", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 140, + 639 + ], + "score": 1.0, + "content": "say that", + "type": "text" + }, + { + "bbox": [ + 140, + 627, + 150, + 636 + ], + "score": 0.82, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 627, + 168, + 639 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 168, + 627, + 177, + 637 + ], + "score": 0.74, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 627, + 323, + 639 + ], + "score": 1.0, + "content": "have the same distribution, and also", + "type": "text" + }, + { + "bbox": [ + 324, + 627, + 353, + 638 + ], + "score": 0.91, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 627, + 397, + 639 + ], + "score": 1.0, + "content": "to say that", + "type": "text" + }, + { + "bbox": [ + 398, + 627, + 408, + 636 + ], + "score": 0.82, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "is distributed according", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 215, + 650 + ], + "score": 1.0, + "content": "to the probability measure", + "type": "text" + }, + { + "bbox": [ + 215, + 639, + 223, + 649 + ], + "score": 0.69, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 638, + 228, + 650 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 228, + 637, + 264, + 650 + ], + "score": 0.51, + "content": "\\operatorname { S u p p } ( \\mu )", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 638, + 361, + 650 + ], + "score": 1.0, + "content": "refers to the support of", + "type": "text" + }, + { + "bbox": [ + 362, + 640, + 369, + 649 + ], + "score": 0.81, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 638, + 420, + 650 + ], + "score": 1.0, + "content": ", a subset of", + "type": "text" + }, + { + "bbox": [ + 420, + 638, + 430, + 648 + ], + "score": 0.82, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 638, + 505, + 650 + ], + "score": 1.0, + "content": ", which is also the", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 187, + 662 + ], + "score": 1.0, + "content": "set of values which", + "type": "text" + }, + { + "bbox": [ + 187, + 649, + 218, + 659 + ], + "score": 0.9, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 648, + 286, + 662 + ], + "score": 1.0, + "content": "can take. Given", + "type": "text" + }, + { + "bbox": [ + 287, + 649, + 318, + 660 + ], + "score": 0.92, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 648, + 363, + 662 + ], + "score": 1.0, + "content": "and a map", + "type": "text" + }, + { + "bbox": [ + 364, + 649, + 371, + 660 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 648, + 418, + 662 + ], + "score": 1.0, + "content": "defined on", + "type": "text" + }, + { + "bbox": [ + 418, + 649, + 453, + 660 + ], + "score": 0.61, + "content": "\\operatorname { S u p p } ( \\mu )", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 648, + 458, + 662 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 458, + 649, + 479, + 660 + ], + "score": 0.52, + "content": "f \\# \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 648, + 505, + 662 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 211, + 672 + ], + "score": 1.0, + "content": "probability distribution of", + "type": "text" + }, + { + "bbox": [ + 212, + 659, + 235, + 671 + ], + "score": 0.92, + "content": "f ( X )", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 659, + 505, + 672 + ], + "score": 1.0, + "content": ". 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(center right) Generated samples obtained", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 438, + 249 + ], + "score": 1.0, + "content": "by sampling from the source distribution and applying our estimated Monge map", + "type": "text" + }, + { + "bbox": [ + 439, + 237, + 446, + 249 + ], + "score": 0.81, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 236, + 505, + 249 + ], + "score": 1.0, + "content": ". (right) Level", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 248, + 430, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 373, + 261 + ], + "score": 1.0, + "content": "sets of the resulting density (approximated as a 2D histogram over", + "type": "text" + }, + { + "bbox": [ + 374, + 248, + 389, + 258 + ], + "score": 0.88, + "content": "1 0 ^ { 6 }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 248, + 430, + 261 + ], + "score": 1.0, + "content": "samples).", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "title", + "bbox": [ + 107, + 277, + 335, + 291 + ], + "lines": [ + { + "bbox": [ + 104, + 276, + 336, + 293 + ], + "spans": [ + { + "bbox": [ + 104, + 276, + 336, + 293 + ], + "score": 1.0, + "content": "2 BACKGROUND ON OPTIMAL TRANSPORT", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 302, + 505, + 347 + ], + "lines": [ + { + "bbox": [ + 106, + 302, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 303, + 315 + ], + "score": 1.0, + "content": "The Monge Problem Consider a cost function", + "type": "text" + }, + { + "bbox": [ + 304, + 303, + 465, + 315 + ], + "score": 0.91, + "content": "c \\ : \\ ( x , y ) \\in \\mathcal { X } \\times \\mathcal { Y } \\mapsto c ( x , y ) \\in \\mathbb { R } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 302, + 505, + 315 + ], + "score": 1.0, + "content": ", and two", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 313, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 178, + 326 + ], + "score": 1.0, + "content": "random variables", + "type": "text" + }, + { + "bbox": [ + 178, + 314, + 210, + 325 + ], + "score": 0.91, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 313, + 228, + 326 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 228, + 314, + 259, + 324 + ], + "score": 0.9, + "content": "Y \\sim \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 313, + 326, + 326 + ], + "score": 1.0, + "content": "taking values in", + "type": "text" + }, + { + "bbox": [ + 327, + 315, + 336, + 324 + ], + "score": 0.83, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 313, + 355, + 326 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 355, + 315, + 365, + 325 + ], + "score": 0.83, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 313, + 505, + 326 + ], + "score": 1.0, + "content": "respectively. The Monge problem", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 324, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 271, + 338 + ], + "score": 1.0, + "content": "(Monge, 1781) consists in finding a map", + "type": "text" + }, + { + "bbox": [ + 271, + 325, + 324, + 336 + ], + "score": 0.91, + "content": "f : \\mathcal { X } \\mathcal { Y }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 324, + 453, + 338 + ], + "score": 1.0, + "content": "which transports the mass from", + "type": "text" + }, + { + "bbox": [ + 453, + 327, + 461, + 336 + ], + "score": 0.83, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 324, + 472, + 338 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 472, + 327, + 479, + 335 + ], + "score": 0.76, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 324, + 505, + 338 + ], + "score": 1.0, + "content": "while", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 336, + 271, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 271, + 348 + ], + "score": 1.0, + "content": "minimizing the mass transportation cost,", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "interline_equation", + "bbox": [ + 208, + 350, + 402, + 370 + ], + "lines": [ + { + "bbox": [ + 208, + 350, + 402, + 370 + ], + "spans": [ + { + "bbox": [ + 208, + 350, + 402, + 370 + ], + "score": 0.87, + "content": "{ \\underset { f } { \\operatorname* { i n f } } } \\ \\operatorname { \\mathbb { E } } _ { X \\sim \\mu } \\left[ c ( X , f ( X ) ) \\right] \\ { \\mathrm { \\ s u b j e c t { \\ t o } } } \\ f ( X ) \\sim Y .", + "type": "interline_equation", + "image_path": "6c86ed075055aaf043b003e83c4012188260a1489cdce1f665ee002587973ad5.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 208, + 350, + 402, + 370 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 372, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 373, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 259, + 387 + ], + "score": 1.0, + "content": "Monge originally considered the cost", + "type": "text" + }, + { + "bbox": [ + 260, + 374, + 339, + 386 + ], + "score": 0.95, + "content": "c ( x , y ) = \\| x - y \\| _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 373, + 506, + 387 + ], + "score": 1.0, + "content": ", but in the present article we refer to the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 384, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 104, + 384, + 288, + 399 + ], + "score": 1.0, + "content": "Monge problem as Problem (1) for any cost", + "type": "text" + }, + { + "bbox": [ + 289, + 387, + 294, + 395 + ], + "score": 0.58, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 384, + 327, + 399 + ], + "score": 1.0, + "content": ". 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The existence and uniqueness of Monge maps, also referred to as optimal maps, was", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "score": 1.0, + "content": "later generalized to more general costs (e.g. strictly convex and super-linear) by several authors.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "With the notable exception of the Gaussian to Gaussian case which has a close form affine solution,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "score": 1.0, + "content": "computation of Monge maps remains an open problem for measures supported on high-dimensional", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 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This relaxed formulation is a linear program, which can be solved by specialized", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "algorithms such as the network simplex when considering discrete measures. However, current", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 603, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 479, + 615 + ], + "score": 1.0, + "content": "implementations of this algorithm have a super-cubic complexity in the size of the support of", + "type": "text" + }, + { + "bbox": [ + 480, + 604, + 487, + 614 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 603, + 506, + 615 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 107, + 613, + 321, + 627 + ], + "spans": [ + { + "bbox": [ + 107, + 615, + 113, + 623 + ], + "score": 0.65, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 613, + 321, + 627 + ], + "score": 1.0, + "content": ", preventing wider use of OT in large-scale settings.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 106, + 630, + 504, + 663 + ], + "lines": [ + { + "bbox": [ + 105, + 629, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 505, + 644 + ], + "score": 1.0, + "content": "Regularized OT OT regularization was introduced by Cuturi (2013) in order to speed up the com-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 640, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 432, + 655 + ], + "score": 1.0, + "content": "putation of OT. 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We also consider the", + "type": "text" + }, + { + "bbox": [ + 419, + 709, + 431, + 720 + ], + "score": 0.86, + "content": "L ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "regularization in-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "troduced by Dessein et al. 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(center right) Generated samples obtained", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 438, + 249 + ], + "score": 1.0, + "content": "by sampling from the source distribution and applying our estimated Monge map", + "type": "text" + }, + { + "bbox": [ + 439, + 237, + 446, + 249 + ], + "score": 0.81, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 236, + 505, + 249 + ], + "score": 1.0, + "content": ". 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The Monge problem", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 324, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 271, + 338 + ], + "score": 1.0, + "content": "(Monge, 1781) consists in finding a map", + "type": "text" + }, + { + "bbox": [ + 271, + 325, + 324, + 336 + ], + "score": 0.91, + "content": "f : \\mathcal { X } \\mathcal { Y }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 324, + 453, + 338 + ], + "score": 1.0, + "content": "which transports the mass from", + "type": "text" + }, + { + "bbox": [ + 453, + 327, + 461, + 336 + ], + "score": 0.83, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 324, + 472, + 338 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 472, + 327, + 479, + 335 + ], + "score": 0.76, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 324, + 505, + 338 + ], + "score": 1.0, + "content": "while", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 336, + 271, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 271, + 348 + ], + "score": 1.0, + "content": "minimizing the mass transportation cost,", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 302, + 505, + 348 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 208, + 350, + 402, + 370 + ], + "lines": [ + { + "bbox": [ + 208, + 350, + 402, + 370 + ], + "spans": [ + { + "bbox": [ + 208, + 350, + 402, + 370 + ], + "score": 0.87, + "content": "{ \\underset { f } { \\operatorname* { i n f } } } \\ \\operatorname { \\mathbb { E } } _ { X \\sim \\mu } \\left[ c ( X , f ( X ) ) \\right] \\ { \\mathrm { \\ s u b j e c t { \\ t o } } } \\ f ( X ) \\sim Y .", + "type": "interline_equation", + "image_path": "6c86ed075055aaf043b003e83c4012188260a1489cdce1f665ee002587973ad5.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 208, + 350, + 402, + 370 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 372, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 373, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 259, + 387 + ], + "score": 1.0, + "content": "Monge originally considered the cost", + "type": "text" + }, + { + "bbox": [ + 260, + 374, + 339, + 386 + ], + "score": 0.95, + "content": "c ( x , y ) = \\| x - y \\| _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 373, + 506, + 387 + ], + "score": 1.0, + "content": ", but in the present article we refer to the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 384, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 104, + 384, + 288, + 399 + ], + "score": 1.0, + "content": "Monge problem as Problem (1) for any cost", + "type": "text" + }, + { + "bbox": [ + 289, + 387, + 294, + 395 + ], + "score": 0.58, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 384, + 327, + 399 + ], + "score": 1.0, + "content": ". 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However, when", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 415, + 506, + 431 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 170, + 429 + ], + "score": 0.9, + "content": "\\mathcal X = \\mathcal { \\bar { y } } = \\mathbb R ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 415, + 175, + 431 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 176, + 419, + 183, + 429 + ], + "score": 0.75, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 415, + 273, + 431 + ], + "score": 1.0, + "content": "admits a density and", + "type": "text" + }, + { + "bbox": [ + 274, + 420, + 280, + 428 + ], + "score": 0.68, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 415, + 506, + 431 + ], + "score": 1.0, + "content": "is the squared Euclidean distance, an important result", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "by Brenier (1991) states that the Monge problem is feasible and that the infinum of Problem (1)", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 439, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 104, + 439, + 505, + 453 + ], + "score": 1.0, + "content": "is attained. The existence and uniqueness of Monge maps, also referred to as optimal maps, was", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 463 + ], + "score": 1.0, + "content": "later generalized to more general costs (e.g. strictly convex and super-linear) by several authors.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "With the notable exception of the Gaussian to Gaussian case which has a close form affine solution,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "score": 1.0, + "content": "computation of Monge maps remains an open problem for measures supported on high-dimensional", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 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This relaxed formulation is a linear program, which can be solved by specialized", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "algorithms such as the network simplex when considering discrete measures. However, current", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 603, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 479, + 615 + ], + "score": 1.0, + "content": "implementations of this algorithm have a super-cubic complexity in the size of the support of", + "type": "text" + }, + { + "bbox": [ + 480, + 604, + 487, + 614 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 603, + 506, + 615 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 107, + 613, + 321, + 627 + ], + "spans": [ + { + "bbox": [ + 107, + 615, + 113, + 623 + ], + "score": 0.65, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 613, + 321, + 627 + ], + "score": 1.0, + "content": ", preventing wider use of OT in large-scale settings.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 558, + 506, + 627 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 630, + 504, + 663 + ], + "lines": [ + { + "bbox": [ + 105, + 629, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 505, + 644 + ], + "score": 1.0, + "content": "Regularized OT OT regularization was introduced by Cuturi (2013) in order to speed up the com-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 640, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 432, + 655 + ], + "score": 1.0, + "content": "putation of OT. 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We use this dual formulation in the next section to propose an", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 116, + 261, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 261, + 128 + ], + "score": 1.0, + "content": "efficient stochastic gradient algorithm.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "title", + "bbox": [ + 107, + 142, + 319, + 156 + ], + "lines": [ + { + "bbox": [ + 105, + 141, + 320, + 158 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 320, + 158 + ], + "score": 1.0, + "content": "3 LARGE-SCALE OPTIMAL TRANSPORT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 106, + 167, + 505, + 201 + ], + "lines": [ + { + "bbox": [ + 106, + 167, + 506, + 181 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 506, + 181 + ], + "score": 1.0, + "content": "By considering the dual of the regularized OT problem, we first show that stochastic gradient ascent", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 179, + 506, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 179, + 485, + 191 + ], + "score": 1.0, + "content": "can be used to maximize the resulting concave objective. A close form for the primal solution", + "type": "text" + }, + { + "bbox": [ + 486, + 181, + 493, + 189 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 179, + 506, + 191 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 189, + 411, + 202 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 411, + 202 + ], + "score": 1.0, + "content": "Problem (3) can then be obtained by using first-order optimality conditions.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6 + }, + { + "type": "title", + "bbox": [ + 108, + 214, + 262, + 226 + ], + "lines": [ + { + "bbox": [ + 105, + 214, + 263, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 263, + 228 + ], + "score": 1.0, + "content": "3.1 DUAL STOCHASTIC APPROACH", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 234, + 504, + 258 + ], + "lines": [ + { + "bbox": [ + 106, + 234, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 164, + 246 + ], + "score": 1.0, + "content": "OT dual Let", + "type": "text" + }, + { + "bbox": [ + 164, + 235, + 195, + 247 + ], + "score": 0.9, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 234, + 213, + 246 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 214, + 235, + 243, + 245 + ], + "score": 0.88, + "content": "Y \\sim \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 234, + 505, + 246 + ], + "score": 1.0, + "content": ". 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However there is no", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 253, + 324 + ], + "score": 1.0, + "content": "easy way to fulfill the constraint on", + "type": "text" + }, + { + "bbox": [ + 254, + 313, + 261, + 321 + ], + "score": 0.72, + "content": "u", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 311, + 280, + 324 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 280, + 313, + 287, + 321 + ], + "score": 0.73, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 311, + 505, + 324 + ], + "score": 1.0, + "content": "along gradient iterations. This motivates considering", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 322, + 226, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 226, + 334 + ], + "score": 1.0, + "content": "regularized optimal transport.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 506, + 384 + ], + "lines": [ + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "Regularized OT dual The hard constraint in Eq. 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We thus consider deep neural networks for their ability to approximate", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42 + } + ], + "page_idx": 3, + "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 2018", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 310, + 762 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 12, + "width": 8 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 127 + ], + "lines": [], + "index": 1.5, + "bbox_fs": [ + 105, + 82, + 506, + 128 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 107, + 142, + 319, + 156 + ], + "lines": [ + { + "bbox": [ + 105, + 141, + 320, + 158 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 320, + 158 + ], + "score": 1.0, + "content": "3 LARGE-SCALE OPTIMAL TRANSPORT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 106, + 167, + 505, + 201 + ], + "lines": [ + { + "bbox": [ + 106, + 167, + 506, + 181 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 506, + 181 + ], + "score": 1.0, + "content": "By considering the dual of the regularized OT problem, we first show that stochastic gradient ascent", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 179, + 506, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 179, + 485, + 191 + ], + "score": 1.0, + "content": "can be used to maximize the resulting concave objective. A close form for the primal solution", + "type": "text" + }, + { + "bbox": [ + 486, + 181, + 493, + 189 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 179, + 506, + 191 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 189, + 411, + 202 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 411, + 202 + ], + "score": 1.0, + "content": "Problem (3) can then be obtained by using first-order optimality conditions.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 167, + 506, + 202 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 214, + 262, + 226 + ], + "lines": [ + { + "bbox": [ + 105, + 214, + 263, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 263, + 228 + ], + "score": 1.0, + "content": "3.1 DUAL STOCHASTIC APPROACH", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 234, + 504, + 258 + ], + "lines": [ + { + "bbox": [ + 106, + 234, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 164, + 246 + ], + "score": 1.0, + "content": "OT dual Let", + "type": "text" + }, + { + "bbox": [ + 164, + 235, + 195, + 247 + ], + "score": 0.9, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 234, + 213, + 246 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 214, + 235, + 243, + 245 + ], + "score": 0.88, + "content": "Y \\sim \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 234, + 505, + 246 + ], + "score": 1.0, + "content": ". The Kantorovich duality provides the following dual of the OT", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 245, + 160, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 160, + 260 + ], + "score": 1.0, + "content": "problem (2),", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 234, + 505, + 260 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 114, + 261, + 457, + 285 + ], + "lines": [ + { + "bbox": [ + 114, + 261, + 457, + 285 + ], + "spans": [ + { + "bbox": [ + 114, + 261, + 457, + 285 + ], + "score": 0.87, + "content": "\\operatorname* { s u p } _ { u \\in { \\mathcal { C } } ( x ) , v \\in { \\mathcal { C } } ( { \\mathcal { V } } ) } \\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ u ( X ) + v ( Y ) \\right] \\quad { \\mathrm { s u b j e c t ~ t o ~ } } u ( x ) + v ( y ) \\leqslant c ( x , y ) { \\mathrm { ~ f o r ~ a l l ~ } } u ( x ) + v ( y ) .", + "type": "interline_equation", + "image_path": "71939fbbcd3f709d13dccd4cdd128eab0aa6f37aaf43e3dfc83b548f54d5cf23.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 114, + 261, + 457, + 285 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 289, + 505, + 334 + ], + "lines": [ + { + "bbox": [ + 106, + 289, + 504, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 504, + 301 + ], + "score": 1.0, + "content": "This dual formulation suggests that stochastic gradient methods can be used to maximize the objec-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 299, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 299, + 393, + 313 + ], + "score": 1.0, + "content": "tive of Problem (4) by sampling batches from the independant coupling", + "type": "text" + }, + { + "bbox": [ + 393, + 301, + 419, + 311 + ], + "score": 0.9, + "content": "\\mu \\times \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 299, + 505, + 313 + ], + "score": 1.0, + "content": ". However there is no", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 253, + 324 + ], + "score": 1.0, + "content": "easy way to fulfill the constraint on", + "type": "text" + }, + { + "bbox": [ + 254, + 313, + 261, + 321 + ], + "score": 0.72, + "content": "u", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 311, + 280, + 324 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 280, + 313, + 287, + 321 + ], + "score": 0.73, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 311, + 505, + 324 + ], + "score": 1.0, + "content": "along gradient iterations. This motivates considering", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 322, + 226, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 226, + 334 + ], + "score": 1.0, + "content": "regularized optimal transport.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 289, + 505, + 334 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 506, + 384 + ], + "lines": [ + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "Regularized OT dual The hard constraint in Eq. (4) can be relaxed by regularizing the primal", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 349, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 291, + 362 + ], + "score": 1.0, + "content": "problem (2) with a strictly convex regularizer", + "type": "text" + }, + { + "bbox": [ + 291, + 351, + 300, + 360 + ], + "score": 0.8, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 349, + 506, + 362 + ], + "score": 1.0, + "content": "as detailed in (Blondel et al., 2018). 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When", + "type": "text" + }, + { + "bbox": [ + 472, + 437, + 479, + 447 + ], + "score": 0.81, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 430, + 497, + 451 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 497, + 438, + 504, + 445 + ], + "score": 0.72, + "content": "\\nu", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 192, + 461 + ], + "score": 1.0, + "content": "are discrete, and so is", + "type": "text" + }, + { + "bbox": [ + 193, + 451, + 200, + 458 + ], + "score": 0.74, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 448, + 505, + 461 + ], + "score": 1.0, + "content": ", the integrals are replaced by sums. 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Although we", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 557, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 347, + 571 + ], + "score": 1.0, + "content": "derive formula and perform experiments w.r.t. entropy and", + "type": "text" + }, + { + "bbox": [ + 348, + 558, + 360, + 568 + ], + "score": 0.88, + "content": "L ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 557, + 505, + 571 + ], + "score": 1.0, + "content": "regularizations, any strictly convex", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 567, + 506, + 584 + ], + "spans": [ + { + "bbox": [ + 104, + 567, + 352, + 584 + ], + "score": 1.0, + "content": "regularizer which is decomposable, i.e. which can be written", + "type": "text" + }, + { + "bbox": [ + 352, + 568, + 442, + 583 + ], + "score": 0.92, + "content": "\\begin{array} { r } { R ( \\pi ) { \\bf \\equiv } \\sum _ { i j } R _ { i j } ( \\pi _ { i j } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 567, + 506, + 584 + ], + "score": 1.0, + "content": "(in the discrete", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 581, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 505, + 594 + ], + "score": 1.0, + "content": "case), gives rise to a dual problem of the form Eq. (6), and the proposed algorithms can be adapted.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32, + "bbox_fs": [ + 104, + 535, + 506, + 594 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 597, + 504, + 621 + ], + "lines": [ + { + "bbox": [ + 105, + 597, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 340, + 611 + ], + "score": 1.0, + "content": "Primal-Dual relationship In order to recover the solution", + "type": "text" + }, + { + "bbox": [ + 341, + 599, + 352, + 608 + ], + "score": 0.87, + "content": "\\pi ^ { \\varepsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 597, + 505, + 611 + ], + "score": 1.0, + "content": "of the regularized primal problem (3),", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 608, + 482, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 482, + 622 + ], + "score": 1.0, + "content": "we can use the first-order optimality conditions of the Fenchel-Rockafellar’s duality theorem,", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 597, + 505, + 622 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 624, + 503, + 659 + ], + "lines": [ + { + "bbox": [ + 111, + 624, + 503, + 659 + ], + "spans": [ + { + "bbox": [ + 111, + 624, + 503, + 659 + ], + "score": 0.89, + "content": "\\begin{array} { r } { d \\pi ^ { \\varepsilon } ( x , y ) = H _ { \\varepsilon } ( x , y ) d \\mu ( x ) d \\nu ( y ) \\mathrm { ~ w h e r e ~ } H _ { \\varepsilon } ( x , y ) = \\left\\{ \\begin{array} { l l } { e ^ { \\frac { u ( x ) } { \\varepsilon } } e ^ { - \\frac { c ( x , y ) } { \\varepsilon } } e ^ { \\frac { v ( y ) } { \\varepsilon } } } & { ( \\mathrm { e n t r o p y ~ r e g . } ) } \\\\ { \\frac { 1 } { 2 \\varepsilon } \\left( u ( x ) + v ( y ) - c ( x , y ) \\right) _ { + } \\ : ( L ^ { 2 } \\mathrm { ~ r e g . } ) } & { . } \\end{array} \\right. . } \\end{array}", + "type": "interline_equation", + "image_path": "4bc662ab0c2472fbdefb8ae11e9990970496aae4e2bef1b02aad25970f0a8a21.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 111, + 624, + 503, + 635.6666666666666 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 111, + 635.6666666666666, + 503, + 647.3333333333333 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 111, + 647.3333333333333, + 503, + 658.9999999999999 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 672, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 107, + 672, + 505, + 685 + ], + "spans": [ + { + "bbox": [ + 107, + 672, + 505, + 685 + ], + "score": 1.0, + "content": "Algorithm The relaxed dual (6) is an unconstrained concave problem which can be maximized", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 684, + 505, + 696 + ], + "spans": [ + { + "bbox": [ + 106, + 684, + 369, + 696 + ], + "score": 1.0, + "content": "through stochastic gradient methods by sampling batches from", + "type": "text" + }, + { + "bbox": [ + 370, + 685, + 396, + 695 + ], + "score": 0.89, + "content": "\\mu \\times \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 684, + 432, + 696 + ], + "score": 1.0, + "content": ". When", + "type": "text" + }, + { + "bbox": [ + 432, + 686, + 440, + 696 + ], + "score": 0.79, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 684, + 505, + 696 + ], + "score": 1.0, + "content": "is discrete, i.e.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 107, + 694, + 506, + 709 + ], + "spans": [ + { + "bbox": [ + 107, + 694, + 173, + 708 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\mu = \\breve { \\sum } _ { i = 1 } ^ { n } a _ { i } \\delta _ { x _ { i } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 694, + 244, + 709 + ], + "score": 1.0, + "content": ", the dual variable", + "type": "text" + }, + { + "bbox": [ + 244, + 697, + 251, + 705 + ], + "score": 0.78, + "content": "u", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 694, + 267, + 709 + ], + "score": 1.0, + "content": "is a", + "type": "text" + }, + { + "bbox": [ + 267, + 697, + 274, + 705 + ], + "score": 0.79, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 694, + 506, + 709 + ], + "score": 1.0, + "content": "-dimensional vector over which we carry the optimization,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 707, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 707, + 133, + 723 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 708, + 183, + 722 + ], + "score": 0.89, + "content": "u ( x _ { i } ) \\ { \\stackrel { \\mathrm { d e f . } } { = } } \\ u _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 707, + 215, + 723 + ], + "score": 1.0, + "content": ". When", + "type": "text" + }, + { + "bbox": [ + 216, + 711, + 223, + 721 + ], + "score": 0.8, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 707, + 282, + 723 + ], + "score": 1.0, + "content": "has a density,", + "type": "text" + }, + { + "bbox": [ + 282, + 712, + 289, + 720 + ], + "score": 0.74, + "content": "u", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 707, + 357, + 723 + ], + "score": 1.0, + "content": "is a function on", + "type": "text" + }, + { + "bbox": [ + 357, + 710, + 367, + 720 + ], + "score": 0.82, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 707, + 506, + 723 + ], + "score": 1.0, + "content": "which has to be parameterized in", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "score": 1.0, + "content": "order to carry optimization. We thus consider deep neural networks for their ability to approximate", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 672, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 271, + 94 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 272, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 272, + 96 + ], + "score": 1.0, + "content": "Algorithm 1 Stochastic OT computation", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table", + "bbox": [ + 110, + 97, + 499, + 216 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 110, + 97, + 499, + 216 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 97, + 499, + 216 + ], + "spans": [ + { + "bbox": [ + 110, + 97, + 499, + 216 + ], + "score": 0.509, + "html": "
1: Inputs: input measures μ,V; cost function c; batch size p; learning rate y. Discrete case: μ = ∑i aiδxi and u is a finite vector: u(xi) @f ui (similarly for v and v)
2: 3:Continuous case: μ is a continuous measure and u is a neural network (similarly for V and u)
Vindicates the gradient w.r.t. the parameters
4:while not converged do
5:sample a batch (x1,..,xp) from μ
6: 7:sample a batch (y1,.., yp) from v update u ←u+γ∑ij Vu(xi)+OuFe(u(xi),v(yj))Vu(xi)
8:updateu ← U+γ∑ij Vv(yj)+OUFe(u(xi),v(yj))Vv(yj) 9: :end while
", + "type": "table", + "image_path": "b3ca3f1b302e44b245c466f2b070224821caedc6528d20966e2963670c83313f.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 110, + 97, + 499, + 136.66666666666666 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 110, + 136.66666666666666, + 499, + 176.33333333333331 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 110, + 176.33333333333331, + 499, + 215.99999999999997 + ], + "spans": [], + "index": 3 + } + ] + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 239, + 505, + 306 + ], + "lines": [ + { + "bbox": [ + 105, + 239, + 506, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 506, + 252 + ], + "score": 1.0, + "content": "general functions. Genevay et al. (2016) used the same stochastic dual maximization approach to", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 250, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 506, + 262 + ], + "score": 1.0, + "content": "compute the regularized OT objective in the continuous-continuous setting. The difference lies in", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 262, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 505, + 273 + ], + "score": 1.0, + "content": "their pamaterization of the dual variables as kernel expansions, while we decide to use deep neural", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 273, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 284 + ], + "score": 1.0, + "content": "networks. Using a neural network for parameterizing a continuous dual variable was done also", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 284, + 506, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 473, + 296 + ], + "score": 1.0, + "content": "by Arjovsky et al. (2017). The same discussion also stands for the second dual variable", + "type": "text" + }, + { + "bbox": [ + 473, + 285, + 479, + 293 + ], + "score": 0.65, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 284, + 506, + 296 + ], + "score": 1.0, + "content": ". Our", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 294, + 308, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 308, + 306 + ], + "score": 1.0, + "content": "stochastic gradient algorithm is detailed in Alg. 1.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 106, + 311, + 505, + 468 + ], + "lines": [ + { + "bbox": [ + 106, + 311, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 505, + 323 + ], + "score": 1.0, + "content": "Convergence rates and computational cost comparison. We first discuss convergence rates in", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "the discrete-discrete setting (i.e. both measures are discrete), where the problem is convex, while", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "score": 1.0, + "content": "parameterization of dual variables as neural networks in the semi-discrete or continuous-continuous", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "settings make the problem non-convex. Because the dual (6) is not strongly convex, full-gradient", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 353, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 232, + 369 + ], + "score": 1.0, + "content": "descent converges at a rate of", + "type": "text" + }, + { + "bbox": [ + 232, + 355, + 264, + 367 + ], + "score": 0.93, + "content": "\\mathcal { O } ( 1 / k )", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 353, + 297, + 369 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 297, + 355, + 304, + 365 + ], + "score": 0.8, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 353, + 506, + 369 + ], + "score": 1.0, + "content": "is the iteration number. SGD with a decreasing", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 366, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 272, + 381 + ], + "score": 1.0, + "content": "step size converges at the inferior rate of", + "type": "text" + }, + { + "bbox": [ + 272, + 366, + 312, + 380 + ], + "score": 0.93, + "content": "\\mathcal { O } ( 1 / \\sqrt { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 367, + 463, + 381 + ], + "score": 1.0, + "content": "(Nemirovski et al., 2009), but with a", + "type": "text" + }, + { + "bbox": [ + 463, + 367, + 485, + 379 + ], + "score": 0.84, + "content": "\\mathcal { O } ( 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 367, + 506, + 381 + ], + "score": 1.0, + "content": "cost", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 377, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 104, + 377, + 461, + 393 + ], + "score": 1.0, + "content": "per iteration. The two rates can be interpolated when using mini-batches, at the cost of", + "type": "text" + }, + { + "bbox": [ + 462, + 379, + 488, + 390 + ], + "score": 0.91, + "content": "\\mathcal { O } ( p ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 377, + 506, + 393 + ], + "score": 1.0, + "content": "per", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 172, + 402 + ], + "score": 1.0, + "content": "iteration, where", + "type": "text" + }, + { + "bbox": [ + 172, + 391, + 179, + 401 + ], + "score": 0.8, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "is the mini-batch size. In contrast, Genevay et al. (2016) considered a semi-dual", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 399, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 194, + 415 + ], + "score": 1.0, + "content": "objective of the form", + "type": "text" + }, + { + "bbox": [ + 194, + 401, + 305, + 413 + ], + "score": 0.92, + "content": "\\mathbb { E } _ { X \\sim \\mu } \\left[ u ( X ) + G _ { \\varepsilon } ( u ( X ) ) \\right]", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 399, + 463, + 415 + ], + "score": 1.0, + "content": ", with a cost per iteration which is now", + "type": "text" + }, + { + "bbox": [ + 464, + 401, + 487, + 412 + ], + "score": 0.91, + "content": "{ \\mathcal { O } } ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 399, + 506, + 415 + ], + "score": 1.0, + "content": "due", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 255, + 425 + ], + "score": 1.0, + "content": "to the computation of the gradient of √", + "type": "text" + }, + { + "bbox": [ + 255, + 412, + 268, + 423 + ], + "score": 0.87, + "content": "G _ { \\varepsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 412, + 505, + 425 + ], + "score": 1.0, + "content": ". Because that objective is not strongly convex either, SGD", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 423, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 196, + 438 + ], + "score": 1.0, + "content": "converges at the same", + "type": "text" + }, + { + "bbox": [ + 197, + 423, + 237, + 436 + ], + "score": 0.93, + "content": "O ( 1 / \\sqrt { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 423, + 505, + 438 + ], + "score": 1.0, + "content": "rate, up to problem-specific constants. As noted by Genevay et al.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 433, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 258, + 449 + ], + "score": 1.0, + "content": "(2016), this rate can be improved to", + "type": "text" + }, + { + "bbox": [ + 258, + 435, + 290, + 447 + ], + "score": 0.93, + "content": "\\mathcal { O } ( 1 / k )", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 433, + 506, + 449 + ], + "score": 1.0, + "content": "while maintaining the same iteration cost, by using", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "score": 1.0, + "content": "stochastic average gradient (SAG) method (Schmidt et al., 2017). However, SAG requires to store", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 457, + 408, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 408, + 471 + ], + "score": 1.0, + "content": "past stochastic gradients, which can be problematic in a large-scale setting.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 474, + 505, + 509 + ], + "lines": [ + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "In the semi-discrete setting (i.e. one measure is discrete and the other is continuous), SGD on the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 485, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 426, + 499 + ], + "score": 1.0, + "content": "semi-dual objective proposed by Genevay et al. (2016) also converges at a rate of", + "type": "text" + }, + { + "bbox": [ + 426, + 485, + 466, + 498 + ], + "score": 0.93, + "content": "\\mathcal { O } ( 1 / \\sqrt { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 486, + 505, + 499 + ], + "score": 1.0, + "content": ", whereas", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 498, + 433, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 433, + 509 + ], + "score": 1.0, + "content": "we only know that Alg. 1 converges to a stationary point in this non-convex case.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 514, + 505, + 670 + ], + "lines": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "In the continuous-continuous setting (i.e. both measures are continuous), Genevay et al. (2016)", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "proposed to represent the dual variables as kernel expansions. A disadvantage of their approach,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 173, + 549 + ], + "score": 1.0, + "content": "however, is the", + "type": "text" + }, + { + "bbox": [ + 173, + 536, + 200, + 548 + ], + "score": 0.92, + "content": "\\mathcal { O } ( k ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "cost per iteration. In contrast, our approach represents dual variables as", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 364, + 560 + ], + "score": 1.0, + "content": "neural networks. While non-convex, our approach preserves a", + "type": "text" + }, + { + "bbox": [ + 364, + 547, + 390, + 559 + ], + "score": 0.92, + "content": "\\mathcal { O } ( p ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "cost per iteration. This pa-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 558, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 571 + ], + "score": 1.0, + "content": "rameterization with neural networks was also used by Arjovsky et al. (2017) who maximized the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 568, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 261, + 583 + ], + "score": 1.0, + "content": "1-Wasserstein dual-objective function", + "type": "text" + }, + { + "bbox": [ + 262, + 569, + 376, + 582 + ], + "score": 0.89, + "content": "\\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ u ( X ) - u ( Y ) \\right]", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 568, + 505, + 583 + ], + "score": 1.0, + "content": ". Their algorithm is hence very", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 580, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 104, + 580, + 282, + 596 + ], + "score": 1.0, + "content": "similar to ours, with the same complexity", + "type": "text" + }, + { + "bbox": [ + 283, + 582, + 309, + 594 + ], + "score": 0.91, + "content": "\\mathcal { O } ( p ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 580, + 505, + 596 + ], + "score": 1.0, + "content": "per iteration. The main difference is that they", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 591, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 174, + 606 + ], + "score": 1.0, + "content": "had to constrain", + "type": "text" + }, + { + "bbox": [ + 174, + 595, + 182, + 603 + ], + "score": 0.69, + "content": "u", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 591, + 505, + 606 + ], + "score": 1.0, + "content": "to be a Lipschitz function and hence relied of weight clipping in-between gra-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 603, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 617 + ], + "score": 1.0, + "content": "dient updates. The proposed algorithm is capable of computing the regularized OT objective and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 505, + 628 + ], + "score": 1.0, + "content": "optimal plans between empirical measures supported on arbitrary large numbers of samples. In sta-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 625, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 505, + 637 + ], + "score": 1.0, + "content": "tistical machine learning, one aims at estimating the underlying continuous distribution from which", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 637, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 649 + ], + "score": 1.0, + "content": "empirical observations have been sampled. In the context of optimal transport, one would like to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "score": 1.0, + "content": "approximate the true (non-regularized) optimal plan between the underlying measures. The next", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 659, + 346, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 346, + 671 + ], + "score": 1.0, + "content": "section states theoretical guarantees regarding this problem.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 33.5 + }, + { + "type": "title", + "bbox": [ + 109, + 686, + 321, + 698 + ], + "lines": [ + { + "bbox": [ + 106, + 685, + 323, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 685, + 323, + 699 + ], + "score": 1.0, + "content": "3.2 CONVERGENCE OF REGULARIZED OT PLANS", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 707, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 102, + 702, + 501, + 727 + ], + "spans": [ + { + "bbox": [ + 102, + 702, + 265, + 727 + ], + "score": 1.0, + "content": "Consider discrete probability measures", + "type": "text" + }, + { + "bbox": [ + 265, + 708, + 375, + 721 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mu _ { n } = \\sum _ { i = 1 } ^ { n } a _ { i } \\delta _ { x _ { i } } \\in P ( \\mathcal { X } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 702, + 393, + 727 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 393, + 708, + 501, + 722 + ], + "score": 0.93, + "content": "\\textstyle \\nu _ { n } = \\sum _ { j = 1 } ^ { n } b _ { j } \\delta _ { y _ { j } } \\in P ( \\mathcal { Y } )", + "type": "inline_equation" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 719, + 506, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 353, + 732 + ], + "score": 1.0, + "content": "Analysis of entropy-regularized linear programs (Cominetti", + "type": "text" + }, + { + "bbox": [ + 353, + 721, + 363, + 731 + ], + "score": 0.25, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 719, + 506, + 732 + ], + "score": 1.0, + "content": "San Mart´ın, 1994) shows that the", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5 + } + ], + "page_idx": 4, + "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 2018", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 763 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 763 + ], + "score": 1.0, + "content": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 271, + 94 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 272, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 272, + 96 + ], + "score": 1.0, + "content": "Algorithm 1 Stochastic OT computation", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table", + "bbox": [ + 110, + 97, + 499, + 216 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 110, + 97, + 499, + 216 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 97, + 499, + 216 + ], + "spans": [ + { + "bbox": [ + 110, + 97, + 499, + 216 + ], + "score": 0.509, + "html": "
1: Inputs: input measures μ,V; cost function c; batch size p; learning rate y. Discrete case: μ = ∑i aiδxi and u is a finite vector: u(xi) @f ui (similarly for v and v)
2: 3:Continuous case: μ is a continuous measure and u is a neural network (similarly for V and u)
Vindicates the gradient w.r.t. the parameters
4:while not converged do
5:sample a batch (x1,..,xp) from μ
6: 7:sample a batch (y1,.., yp) from v update u ←u+γ∑ij Vu(xi)+OuFe(u(xi),v(yj))Vu(xi)
8:updateu ← U+γ∑ij Vv(yj)+OUFe(u(xi),v(yj))Vv(yj) 9: :end while
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(2016) used the same stochastic dual maximization approach to", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 250, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 506, + 262 + ], + "score": 1.0, + "content": "compute the regularized OT objective in the continuous-continuous setting. The difference lies in", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 262, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 505, + 273 + ], + "score": 1.0, + "content": "their pamaterization of the dual variables as kernel expansions, while we decide to use deep neural", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 273, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 284 + ], + "score": 1.0, + "content": "networks. Using a neural network for parameterizing a continuous dual variable was done also", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 284, + 506, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 473, + 296 + ], + "score": 1.0, + "content": "by Arjovsky et al. (2017). The same discussion also stands for the second dual variable", + "type": "text" + }, + { + "bbox": [ + 473, + 285, + 479, + 293 + ], + "score": 0.65, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 284, + 506, + 296 + ], + "score": 1.0, + "content": ". Our", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 294, + 308, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 308, + 306 + ], + "score": 1.0, + "content": "stochastic gradient algorithm is detailed in Alg. 1.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5, + "bbox_fs": [ + 105, + 239, + 506, + 306 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 311, + 505, + 468 + ], + "lines": [ + { + "bbox": [ + 106, + 311, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 505, + 323 + ], + "score": 1.0, + "content": "Convergence rates and computational cost comparison. We first discuss convergence rates in", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "the discrete-discrete setting (i.e. both measures are discrete), where the problem is convex, while", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "score": 1.0, + "content": "parameterization of dual variables as neural networks in the semi-discrete or continuous-continuous", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "settings make the problem non-convex. Because the dual (6) is not strongly convex, full-gradient", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 353, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 232, + 369 + ], + "score": 1.0, + "content": "descent converges at a rate of", + "type": "text" + }, + { + "bbox": [ + 232, + 355, + 264, + 367 + ], + "score": 0.93, + "content": "\\mathcal { O } ( 1 / k )", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 353, + 297, + 369 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 297, + 355, + 304, + 365 + ], + "score": 0.8, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 353, + 506, + 369 + ], + "score": 1.0, + "content": "is the iteration number. SGD with a decreasing", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 366, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 272, + 381 + ], + "score": 1.0, + "content": "step size converges at the inferior rate of", + "type": "text" + }, + { + "bbox": [ + 272, + 366, + 312, + 380 + ], + "score": 0.93, + "content": "\\mathcal { O } ( 1 / \\sqrt { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 367, + 463, + 381 + ], + "score": 1.0, + "content": "(Nemirovski et al., 2009), but with a", + "type": "text" + }, + { + "bbox": [ + 463, + 367, + 485, + 379 + ], + "score": 0.84, + "content": "\\mathcal { O } ( 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 367, + 506, + 381 + ], + "score": 1.0, + "content": "cost", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 377, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 104, + 377, + 461, + 393 + ], + "score": 1.0, + "content": "per iteration. The two rates can be interpolated when using mini-batches, at the cost of", + "type": "text" + }, + { + "bbox": [ + 462, + 379, + 488, + 390 + ], + "score": 0.91, + "content": "\\mathcal { O } ( p ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 377, + 506, + 393 + ], + "score": 1.0, + "content": "per", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 172, + 402 + ], + "score": 1.0, + "content": "iteration, where", + "type": "text" + }, + { + "bbox": [ + 172, + 391, + 179, + 401 + ], + "score": 0.8, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "is the mini-batch size. In contrast, Genevay et al. (2016) considered a semi-dual", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 399, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 194, + 415 + ], + "score": 1.0, + "content": "objective of the form", + "type": "text" + }, + { + "bbox": [ + 194, + 401, + 305, + 413 + ], + "score": 0.92, + "content": "\\mathbb { E } _ { X \\sim \\mu } \\left[ u ( X ) + G _ { \\varepsilon } ( u ( X ) ) \\right]", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 399, + 463, + 415 + ], + "score": 1.0, + "content": ", with a cost per iteration which is now", + "type": "text" + }, + { + "bbox": [ + 464, + 401, + 487, + 412 + ], + "score": 0.91, + "content": "{ \\mathcal { O } } ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 399, + 506, + 415 + ], + "score": 1.0, + "content": "due", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 255, + 425 + ], + "score": 1.0, + "content": "to the computation of the gradient of √", + "type": "text" + }, + { + "bbox": [ + 255, + 412, + 268, + 423 + ], + "score": 0.87, + "content": "G _ { \\varepsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 412, + 505, + 425 + ], + "score": 1.0, + "content": ". Because that objective is not strongly convex either, SGD", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 423, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 196, + 438 + ], + "score": 1.0, + "content": "converges at the same", + "type": "text" + }, + { + "bbox": [ + 197, + 423, + 237, + 436 + ], + "score": 0.93, + "content": "O ( 1 / \\sqrt { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 423, + 505, + 438 + ], + "score": 1.0, + "content": "rate, up to problem-specific constants. As noted by Genevay et al.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 433, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 258, + 449 + ], + "score": 1.0, + "content": "(2016), this rate can be improved to", + "type": "text" + }, + { + "bbox": [ + 258, + 435, + 290, + 447 + ], + "score": 0.93, + "content": "\\mathcal { O } ( 1 / k )", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 433, + 506, + 449 + ], + "score": 1.0, + "content": "while maintaining the same iteration cost, by using", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "score": 1.0, + "content": "stochastic average gradient (SAG) method (Schmidt et al., 2017). However, SAG requires to store", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 457, + 408, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 408, + 471 + ], + "score": 1.0, + "content": "past stochastic gradients, which can be problematic in a large-scale setting.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 16.5, + "bbox_fs": [ + 104, + 311, + 506, + 471 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 474, + 505, + 509 + ], + "lines": [ + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "In the semi-discrete setting (i.e. one measure is discrete and the other is continuous), SGD on the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 485, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 426, + 499 + ], + "score": 1.0, + "content": "semi-dual objective proposed by Genevay et al. (2016) also converges at a rate of", + "type": "text" + }, + { + "bbox": [ + 426, + 485, + 466, + 498 + ], + "score": 0.93, + "content": "\\mathcal { O } ( 1 / \\sqrt { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 486, + 505, + 499 + ], + "score": 1.0, + "content": ", whereas", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 498, + 433, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 433, + 509 + ], + "score": 1.0, + "content": "we only know that Alg. 1 converges to a stationary point in this non-convex case.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 473, + 505, + 509 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 514, + 505, + 670 + ], + "lines": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "In the continuous-continuous setting (i.e. both measures are continuous), Genevay et al. (2016)", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "proposed to represent the dual variables as kernel expansions. A disadvantage of their approach,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 173, + 549 + ], + "score": 1.0, + "content": "however, is the", + "type": "text" + }, + { + "bbox": [ + 173, + 536, + 200, + 548 + ], + "score": 0.92, + "content": "\\mathcal { O } ( k ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "cost per iteration. In contrast, our approach represents dual variables as", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 364, + 560 + ], + "score": 1.0, + "content": "neural networks. While non-convex, our approach preserves a", + "type": "text" + }, + { + "bbox": [ + 364, + 547, + 390, + 559 + ], + "score": 0.92, + "content": "\\mathcal { O } ( p ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "cost per iteration. This pa-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 558, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 571 + ], + "score": 1.0, + "content": "rameterization with neural networks was also used by Arjovsky et al. (2017) who maximized the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 568, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 261, + 583 + ], + "score": 1.0, + "content": "1-Wasserstein dual-objective function", + "type": "text" + }, + { + "bbox": [ + 262, + 569, + 376, + 582 + ], + "score": 0.89, + "content": "\\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ u ( X ) - u ( Y ) \\right]", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 568, + 505, + 583 + ], + "score": 1.0, + "content": ". Their algorithm is hence very", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 580, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 104, + 580, + 282, + 596 + ], + "score": 1.0, + "content": "similar to ours, with the same complexity", + "type": "text" + }, + { + "bbox": [ + 283, + 582, + 309, + 594 + ], + "score": 0.91, + "content": "\\mathcal { O } ( p ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 580, + 505, + 596 + ], + "score": 1.0, + "content": "per iteration. The main difference is that they", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 591, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 174, + 606 + ], + "score": 1.0, + "content": "had to constrain", + "type": "text" + }, + { + "bbox": [ + 174, + 595, + 182, + 603 + ], + "score": 0.69, + "content": "u", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 591, + 505, + 606 + ], + "score": 1.0, + "content": "to be a Lipschitz function and hence relied of weight clipping in-between gra-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 603, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 617 + ], + "score": 1.0, + "content": "dient updates. The proposed algorithm is capable of computing the regularized OT objective and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 505, + 628 + ], + "score": 1.0, + "content": "optimal plans between empirical measures supported on arbitrary large numbers of samples. In sta-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 625, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 505, + 637 + ], + "score": 1.0, + "content": "tistical machine learning, one aims at estimating the underlying continuous distribution from which", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 637, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 649 + ], + "score": 1.0, + "content": "empirical observations have been sampled. In the context of optimal transport, one would like to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "score": 1.0, + "content": "approximate the true (non-regularized) optimal plan between the underlying measures. The next", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 659, + 346, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 346, + 671 + ], + "score": 1.0, + "content": "section states theoretical guarantees regarding this problem.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 33.5, + "bbox_fs": [ + 104, + 514, + 506, + 671 + ] + }, + { + "type": "title", + "bbox": [ + 109, + 686, + 321, + 698 + ], + "lines": [ + { + "bbox": [ + 106, + 685, + 323, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 685, + 323, + 699 + ], + "score": 1.0, + "content": "3.2 CONVERGENCE OF REGULARIZED OT PLANS", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 707, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 102, + 702, + 501, + 727 + ], + "spans": [ + { + "bbox": [ + 102, + 702, + 265, + 727 + ], + "score": 1.0, + "content": "Consider discrete probability measures", + "type": "text" + }, + { + "bbox": [ + 265, + 708, + 375, + 721 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mu _ { n } = \\sum _ { i = 1 } ^ { n } a _ { i } \\delta _ { x _ { i } } \\in P ( \\mathcal { X } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 702, + 393, + 727 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 393, + 708, + 501, + 722 + ], + "score": 0.93, + "content": "\\textstyle \\nu _ { n } = \\sum _ { j = 1 } ^ { n } b _ { j } \\delta _ { y _ { j } } \\in P ( \\mathcal { Y } )", + "type": "inline_equation" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 719, + 506, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 353, + 732 + ], + "score": 1.0, + "content": "Analysis of entropy-regularized linear programs (Cominetti", + "type": "text" + }, + { + "bbox": [ + 353, + 721, + 363, + 731 + ], + "score": 0.25, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 719, + 506, + 732 + ], + "score": 1.0, + "content": "San Mart´ın, 1994) shows that the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 81, + 504, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 142, + 96 + ], + "score": 1.0, + "content": "solution", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 142, + 83, + 154, + 95 + ], + "score": 0.89, + "content": "\\boldsymbol { \\pi } _ { n } ^ { \\varepsilon }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 155, + 81, + 491, + 96 + ], + "score": 1.0, + "content": "of the entropy-regularized problem (3) converges exponentially fast to a solution", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 491, + 85, + 504, + 94 + ], + "score": 0.83, + "content": "\\pi _ { n }", + "type": "inline_equation", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "score": 1.0, + "content": "of the non-regularized OT problem (2). Also, a result about stability of optimal transport (Villani,", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 249, + 117 + ], + "score": 1.0, + "content": "2008)[Theorem 5.20] states that, if", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 250, + 106, + 285, + 116 + ], + "score": 0.91, + "content": "\\mu _ { n } \\mu", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 286, + 104, + 303, + 117 + ], + "score": 1.0, + "content": "and", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 304, + 106, + 338, + 115 + ], + "score": 0.9, + "content": "\\nu _ { n } \\to \\nu", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 338, + 104, + 440, + 117 + ], + "score": 1.0, + "content": "weakly, then a sequence", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 440, + 105, + 459, + 116 + ], + "score": 0.85, + "content": "\\left( \\pi _ { n } \\right)", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 459, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "of optimal", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 504, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 204, + 130 + ], + "score": 1.0, + "content": "transport plans between", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 204, + 117, + 217, + 127 + ], + "score": 0.87, + "content": "\\mu _ { n }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 217, + 114, + 235, + 130 + ], + "score": 1.0, + "content": "and", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 236, + 117, + 247, + 127 + ], + "score": 0.88, + "content": "\\nu _ { n }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 247, + 114, + 374, + 130 + ], + "score": 1.0, + "content": "converges weakly to a solution", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 375, + 117, + 382, + 125 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 383, + 114, + 496, + 130 + ], + "score": 1.0, + "content": "of the OT problem between", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 496, + 117, + 504, + 127 + ], + "score": 0.78, + "content": "\\mu", + "type": "inline_equation", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 212, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 123, + 140 + ], + "score": 1.0, + "content": "and", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 123, + 128, + 130, + 136 + ], + "score": 0.7, + "content": "\\nu", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 131, + 125, + 212, + 140 + ], + "score": 1.0, + "content": ". We can thus write,", + "type": "text", + "cross_page": true + } + ], + "index": 4 + } + ], + "index": 42.5, + "bbox_fs": [ + 102, + 702, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 137 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 504, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 142, + 96 + ], + "score": 1.0, + "content": "solution", + "type": "text" + }, + { + "bbox": [ + 142, + 83, + 154, + 95 + ], + "score": 0.89, + "content": "\\boldsymbol { \\pi } _ { n } ^ { \\varepsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 81, + 491, + 96 + ], + "score": 1.0, + "content": "of the entropy-regularized problem (3) converges exponentially fast to a solution", + "type": "text" + }, + { + "bbox": [ + 491, + 85, + 504, + 94 + ], + "score": 0.83, + "content": "\\pi _ { n }", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "score": 1.0, + "content": "of the non-regularized OT problem (2). Also, a result about stability of optimal transport (Villani,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 249, + 117 + ], + "score": 1.0, + "content": "2008)[Theorem 5.20] states that, if", + "type": "text" + }, + { + "bbox": [ + 250, + 106, + 285, + 116 + ], + "score": 0.91, + "content": "\\mu _ { n } \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 104, + 303, + 117 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 304, + 106, + 338, + 115 + ], + "score": 0.9, + "content": "\\nu _ { n } \\to \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 104, + 440, + 117 + ], + "score": 1.0, + "content": "weakly, then a sequence", + "type": "text" + }, + { + "bbox": [ + 440, + 105, + 459, + 116 + ], + "score": 0.85, + "content": "\\left( \\pi _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "of optimal", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 504, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 204, + 130 + ], + "score": 1.0, + "content": "transport plans between", + "type": "text" + }, + { + "bbox": [ + 204, + 117, + 217, + 127 + ], + "score": 0.87, + "content": "\\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 114, + 235, + 130 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 236, + 117, + 247, + 127 + ], + "score": 0.88, + "content": "\\nu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 114, + 374, + 130 + ], + "score": 1.0, + "content": "converges weakly to a solution", + "type": "text" + }, + { + "bbox": [ + 375, + 117, + 382, + 125 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 114, + 496, + 130 + ], + "score": 1.0, + "content": "of the OT problem between", + "type": "text" + }, + { + "bbox": [ + 496, + 117, + 504, + 127 + ], + "score": 0.78, + "content": "\\mu", + "type": "inline_equation" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 212, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 123, + 140 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 128, + 130, + 136 + ], + "score": 0.7, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 125, + 212, + 140 + ], + "score": 1.0, + "content": ". We can thus write,", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "interline_equation", + "bbox": [ + 268, + 136, + 344, + 154 + ], + "lines": [ + { + "bbox": [ + 268, + 136, + 344, + 154 + ], + "spans": [ + { + "bbox": [ + 268, + 136, + 344, + 154 + ], + "score": 0.93, + "content": "\\operatorname* { l i m } _ { n \\to \\infty } \\operatorname* { l i m } _ { \\varepsilon \\to 0 } \\pi _ { n } ^ { \\varepsilon } = \\pi .", + "type": "interline_equation", + "image_path": "308b54b39912b32160eacaa43673af27a8b487017ac8b8801bb48ffa7bb8a6b8.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 268, + 136, + 344, + 154 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 156, + 505, + 190 + ], + "lines": [ + { + "bbox": [ + 106, + 156, + 504, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 156, + 393, + 168 + ], + "score": 1.0, + "content": "A more refined result consists in establishing the weak convergence of", + "type": "text" + }, + { + "bbox": [ + 393, + 157, + 405, + 168 + ], + "score": 0.9, + "content": "\\pi _ { n } ^ { \\varepsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 156, + 417, + 168 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 417, + 158, + 425, + 166 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 156, + 451, + 168 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 451, + 156, + 475, + 168 + ], + "score": 0.92, + "content": "( n , \\varepsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 156, + 504, + 168 + ], + "score": 1.0, + "content": "jointly", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 167, + 506, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 156, + 180 + ], + "score": 1.0, + "content": "converge to", + "type": "text" + }, + { + "bbox": [ + 156, + 167, + 184, + 179 + ], + "score": 0.92, + "content": "( \\infty , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 167, + 506, + 180 + ], + "score": 1.0, + "content": ". This is the result of the following theorem which states a stability property of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 178, + 310, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 310, + 191 + ], + "score": 1.0, + "content": "entropy-regularized plans (proof in the Appendix).", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 192, + 505, + 261 + ], + "lines": [ + { + "bbox": [ + 178, + 191, + 509, + 223 + ], + "spans": [ + { + "bbox": [ + 178, + 192, + 227, + 204 + ], + "score": 0.91, + "content": "\\mu \\in P ( \\mathcal { X } )", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 192, + 295, + 204 + ], + "score": 0.91, + "content": "\\nu \\in P ( \\mathcal { V } )", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 191, + 325, + 223 + ], + "score": 1.0, + "content": "where iscrete", + "type": "text" + }, + { + "bbox": [ + 326, + 193, + 335, + 203 + ], + "score": 0.8, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 191, + 356, + 223 + ], + "score": 1.0, + "content": "and babi", + "type": "text" + }, + { + "bbox": [ + 357, + 193, + 366, + 204 + ], + "score": 0.81, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 191, + 509, + 223 + ], + "score": 1.0, + "content": "are complete metric spaces. Let measures which converge weakly", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 203, + 273, + 217 + ], + "spans": [ + { + "bbox": [ + 107, + 203, + 180, + 217 + ], + "score": 0.92, + "content": "\\textstyle \\mu _ { n } = \\sum _ { i = 1 } ^ { n } a _ { i } \\delta _ { x _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 203, + 273, + 217 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\nu _ { n } = \\sum _ { j = 1 } ^ { n } b _ { j } \\delta _ { y _ { j } } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 216, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 118, + 230 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 118, + 218, + 126, + 228 + ], + "score": 0.68, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 216, + 146, + 230 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 147, + 218, + 154, + 226 + ], + "score": 0.66, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 216, + 243, + 230 + ], + "score": 1.0, + "content": "respectively, and let", + "type": "text" + }, + { + "bbox": [ + 243, + 217, + 261, + 228 + ], + "score": 0.83, + "content": "\\left( \\varepsilon _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 216, + 506, + 230 + ], + "score": 1.0, + "content": "a sequence of non-negative real numbers converging to 0", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 226, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 241, + 241 + ], + "score": 1.0, + "content": "sufficiently fast. Assume the cost", + "type": "text" + }, + { + "bbox": [ + 242, + 230, + 248, + 237 + ], + "score": 0.52, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 226, + 318, + 241 + ], + "score": 1.0, + "content": "is continuous on", + "type": "text" + }, + { + "bbox": [ + 319, + 227, + 349, + 238 + ], + "score": 0.91, + "content": "\\mathcal { X } \\times \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 226, + 411, + 241 + ], + "score": 1.0, + "content": "and finite. Let", + "type": "text" + }, + { + "bbox": [ + 411, + 228, + 427, + 239 + ], + "score": 0.89, + "content": "\\pi _ { n } ^ { \\varepsilon _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 226, + 505, + 241 + ], + "score": 1.0, + "content": "the solution of the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 237, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 289, + 252 + ], + "score": 1.0, + "content": "entropy-regularized OT problem (3) between", + "type": "text" + }, + { + "bbox": [ + 289, + 240, + 302, + 250 + ], + "score": 0.86, + "content": "\\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 237, + 321, + 252 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 321, + 240, + 333, + 249 + ], + "score": 0.86, + "content": "\\nu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 237, + 505, + 252 + ], + "score": 1.0, + "content": ". Then, up to extraction of a subsequence,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 248, + 433, + 264 + ], + "spans": [ + { + "bbox": [ + 107, + 249, + 130, + 261 + ], + "score": 0.9, + "content": "( \\pi _ { n } ^ { \\varepsilon _ { n } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 248, + 263, + 264 + ], + "score": 1.0, + "content": "converges weakly to the solution", + "type": "text" + }, + { + "bbox": [ + 264, + 252, + 271, + 259 + ], + "score": 0.62, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 248, + 396, + 264 + ], + "score": 1.0, + "content": "of the OT problem (2) between", + "type": "text" + }, + { + "bbox": [ + 397, + 251, + 404, + 261 + ], + "score": 0.5, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 248, + 422, + 264 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 423, + 251, + 429, + 259 + ], + "score": 0.6, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 248, + 433, + 264 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5 + }, + { + "type": "interline_equation", + "bbox": [ + 265, + 265, + 346, + 279 + ], + "lines": [ + { + "bbox": [ + 265, + 265, + 346, + 279 + ], + "spans": [ + { + "bbox": [ + 265, + 265, + 346, + 279 + ], + "score": 0.89, + "content": "\\pi _ { n } ^ { \\varepsilon _ { n } } \\to \\pi w e a k l y .", + "type": "interline_equation", + "image_path": "3b50b27e75934696e360f025b59c2af984d64f5b6f393603e784bcc9428691e7.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 265, + 265, + 346, + 279 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 288, + 505, + 333 + ], + "lines": [ + { + "bbox": [ + 105, + 288, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 505, + 301 + ], + "score": 1.0, + "content": "Keeping the analogy with statistical machine learning, this result is an analog to the universal con-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 300, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 312 + ], + "score": 1.0, + "content": "sistency property of a learning method. In most applications, we consider empirical measures and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 311, + 504, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 114, + 321 + ], + "score": 0.7, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 311, + 504, + 323 + ], + "score": 1.0, + "content": "is fixed, so that regularization, besides enabling dual stochastic approach, may also help learn the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 322, + 343, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 343, + 334 + ], + "score": 1.0, + "content": "optimal plan between the underlying continuous measures.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 106, + 338, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "score": 1.0, + "content": "So far, we have derived an algorithm for computing the regularized OT objective and regularized", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 218, + 362 + ], + "score": 1.0, + "content": "optimal plans regardless of", + "type": "text" + }, + { + "bbox": [ + 218, + 351, + 226, + 361 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 349, + 244, + 362 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 244, + 351, + 251, + 360 + ], + "score": 0.73, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "being discrete or continuous. The OT objective has been used", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "successfully as a loss in machine learning (Montavon et al., 2015; Frogner et al., 2015; Rolet et al.,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "2016; 2018; Arjovsky et al., 2017; Courty et al., 2017a), whereas the use of optimal plans has", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 382, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 506, + 396 + ], + "score": 1.0, + "content": "straightforward applications in logistics, as well as economy (Kantorovich, 1942; Carlier, 2012) or", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "score": 1.0, + "content": "computer graphics (Bonneel et al., 2011). In numerous applications however, we often need map-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "pings rather than joint distributions. This is all the more motivated since Brenier (1991) proved that", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 414, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 505, + 430 + ], + "score": 1.0, + "content": "when the source measure is continuous, the optimal transport plan is actually induced by a map.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "Assuming that available data samples are sampled from some underlying continuous distributions,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 437, + 504, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 504, + 450 + ], + "score": 1.0, + "content": "finding the Monge map between these continuous measures rather than a discrete optimal plan be-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "tween discrete measures is essential in machine learning applications. Hence in the next section, we", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "score": 1.0, + "content": "investigate how to recover an optimal map, i.e. find an approximate solution to the Monge problem", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 470, + 250, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 250, + 483 + ], + "score": 1.0, + "content": "(1), from regularized optimal plans.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 107, + 497, + 300, + 510 + ], + "lines": [ + { + "bbox": [ + 105, + 496, + 302, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 302, + 512 + ], + "score": 1.0, + "content": "4 OPTIMAL MAPPING ESTIMATIONS", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 522, + 505, + 589 + ], + "lines": [ + { + "bbox": [ + 106, + 523, + 504, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 504, + 534 + ], + "score": 1.0, + "content": "A map can be obtained from a solution to the OT problem (2) or regularized OT problem (3) through", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 533, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 366, + 546 + ], + "score": 1.0, + "content": "the computation of its barycentric projection. Indeed, a solution", + "type": "text" + }, + { + "bbox": [ + 366, + 535, + 374, + 543 + ], + "score": 0.78, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 533, + 506, + 546 + ], + "score": 1.0, + "content": "of Problem (2) or (3) between a", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 544, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 170, + 557 + ], + "score": 1.0, + "content": "source measure", + "type": "text" + }, + { + "bbox": [ + 171, + 546, + 178, + 556 + ], + "score": 0.81, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 544, + 263, + 557 + ], + "score": 1.0, + "content": "and a target measure", + "type": "text" + }, + { + "bbox": [ + 264, + 546, + 271, + 554 + ], + "score": 0.79, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 544, + 363, + 557 + ], + "score": 1.0, + "content": "is, identifying the plan", + "type": "text" + }, + { + "bbox": [ + 364, + 546, + 371, + 554 + ], + "score": 0.76, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 544, + 506, + 557 + ], + "score": 1.0, + "content": "with its density w.r.t. a reference", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 554, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 186, + 569 + ], + "score": 1.0, + "content": "measure, a function", + "type": "text" + }, + { + "bbox": [ + 187, + 555, + 298, + 567 + ], + "score": 0.91, + "content": "\\pi : ( \\bar { x , y } ) \\in \\mathcal { X } \\times \\mathcal { Y } \\mapsto \\mathbb { R } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 554, + 505, + 569 + ], + "score": 1.0, + "content": "which can be seen as a weighted one-to-many map,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 123, + 579 + ], + "score": 1.0, + "content": "i.e.", + "type": "text" + }, + { + "bbox": [ + 123, + 568, + 131, + 576 + ], + "score": 0.7, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 566, + 158, + 579 + ], + "score": 1.0, + "content": "sends", + "type": "text" + }, + { + "bbox": [ + 158, + 568, + 165, + 576 + ], + "score": 0.73, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 566, + 234, + 579 + ], + "score": 1.0, + "content": "to each location", + "type": "text" + }, + { + "bbox": [ + 234, + 567, + 288, + 578 + ], + "score": 0.86, + "content": "y \\in \\operatorname { S u p p } ( \\nu )", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 566, + 318, + 579 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 318, + 566, + 369, + 578 + ], + "score": 0.91, + "content": "\\pi ( x , y ) > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 566, + 505, + 579 + ], + "score": 1.0, + "content": ". A map can then be obtained by", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 577, + 362, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 220, + 590 + ], + "score": 1.0, + "content": "simply averaging over these", + "type": "text" + }, + { + "bbox": [ + 220, + 579, + 227, + 589 + ], + "score": 0.79, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 577, + 328, + 590 + ], + "score": 1.0, + "content": "according to the weights", + "type": "text" + }, + { + "bbox": [ + 329, + 578, + 358, + 589 + ], + "score": 0.92, + "content": "\\pi ( x , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 577, + 362, + 590 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 105, + 591, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 105, + 590, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 278, + 605 + ], + "score": 1.0, + "content": "Definition 1. (Barycentric projection) Let", + "type": "text" + }, + { + "bbox": [ + 279, + 594, + 286, + 601 + ], + "score": 0.33, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 590, + 506, + 605 + ], + "score": 1.0, + "content": "be a solution of the OT problem (2) or regularized OT", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 602, + 486, + 616 + ], + "spans": [ + { + "bbox": [ + 104, + 602, + 267, + 616 + ], + "score": 1.0, + "content": "problem (3). The barycentric projection", + "type": "text" + }, + { + "bbox": [ + 268, + 604, + 275, + 613 + ], + "score": 0.64, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 602, + 354, + 616 + ], + "score": 1.0, + "content": "w.r.t. a convex cost", + "type": "text" + }, + { + "bbox": [ + 354, + 603, + 430, + 614 + ], + "score": 0.9, + "content": "d : \\mathcal { V } \\times \\mathcal { V } \\mathbb { R } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 602, + 486, + 616 + ], + "score": 1.0, + "content": "is defined as,", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5 + }, + { + "type": "interline_equation", + "bbox": [ + 229, + 618, + 381, + 637 + ], + "lines": [ + { + "bbox": [ + 229, + 618, + 381, + 637 + ], + "spans": [ + { + "bbox": [ + 229, + 618, + 381, + 637 + ], + "score": 0.92, + "content": "\\bar { \\pi } ( x ) = \\arg \\operatorname* { m i n } _ { z } \\mathbb { E } _ { Y \\sim \\pi ( \\cdot | x ) } \\left[ d ( z , Y ) \\right] .", + "type": "interline_equation", + "image_path": "2ce2cd6aae8f1baa1888c0bbdb06cd7789f25c4559036dd75702d04fef61613c.jpg" + } + ] + } + ], + "index": 42, + "virtual_lines": [ + { + "bbox": [ + 229, + 618, + 381, + 637 + ], + "spans": [], + "index": 42 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 647, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 647, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 182, + 663 + ], + "score": 1.0, + "content": "In the special case", + "type": "text" + }, + { + "bbox": [ + 182, + 649, + 261, + 661 + ], + "score": 0.95, + "content": "d ( x , y ) = \\| x - y \\| _ { 2 } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 647, + 411, + 663 + ], + "score": 1.0, + "content": ", Eq. (11) has the close form solution", + "type": "text" + }, + { + "bbox": [ + 412, + 649, + 502, + 662 + ], + "score": 0.92, + "content": "\\bar { \\pi } ( x ) = \\operatorname { \\mathbb { E } } _ { Y \\sim \\pi ( \\cdot | x ) } \\left[ Y \\right] .", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 647, + 505, + 663 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 662, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 104, + 662, + 180, + 678 + ], + "score": 1.0, + "content": "which is equal to", + "type": "text" + }, + { + "bbox": [ + 181, + 662, + 221, + 677 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\bar { \\boldsymbol { \\pi } } = \\frac { \\boldsymbol { \\pi } \\mathbf { y } ^ { t } } { a } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 662, + 327, + 678 + ], + "score": 1.0, + "content": "in a discrete setting with", + "type": "text" + }, + { + "bbox": [ + 327, + 664, + 403, + 676 + ], + "score": 0.91, + "content": "\\mathbf { y } = ( y _ { 1 } , \\dotsb , y _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 662, + 423, + 678 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 423, + 667, + 430, + 675 + ], + "score": 0.76, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 662, + 494, + 678 + ], + "score": 1.0, + "content": "the weights of", + "type": "text" + }, + { + "bbox": [ + 494, + 667, + 501, + 676 + ], + "score": 0.78, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 662, + 505, + 678 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 305, + 690 + ], + "score": 1.0, + "content": "Moreover, for the specific squared Euclidean cost", + "type": "text" + }, + { + "bbox": [ + 305, + 677, + 380, + 689 + ], + "score": 0.92, + "content": "c ( x , y ) = \\| x - y \\| _ { 2 } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 677, + 487, + 690 + ], + "score": 1.0, + "content": ", the barycentric projection", + "type": "text" + }, + { + "bbox": [ + 488, + 678, + 495, + 687 + ], + "score": 0.8, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 687, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 354, + 701 + ], + "score": 1.0, + "content": "an optimal map (Ambrosio et al., 2006)[Theorem 12.4.4], i.e.", + "type": "text" + }, + { + "bbox": [ + 355, + 689, + 362, + 698 + ], + "score": 0.75, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 687, + 505, + 701 + ], + "score": 1.0, + "content": "is a solution to the Monge problem", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 238, + 712 + ], + "score": 1.0, + "content": "(1) between the source measure", + "type": "text" + }, + { + "bbox": [ + 238, + 701, + 246, + 710 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 699, + 342, + 712 + ], + "score": 1.0, + "content": "and the target measure", + "type": "text" + }, + { + "bbox": [ + 343, + 699, + 364, + 711 + ], + "score": 0.81, + "content": "\\bar { \\pi } \\# \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 699, + 505, + 712 + ], + "score": 1.0, + "content": ". Hence the barycentric projection", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "w.r.t. the squared Euclidean cost is often used as a simple way to recover optimal maps from optimal", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 720, + 487, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 487, + 734 + ], + "score": 1.0, + "content": "transport plans (Reich, 2013; Wang et al., 2013; Ferradans et al., 2014; Seguy & Cuturi, 2015).", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 46 + } + ], + "page_idx": 5, + "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 2018", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 310, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 310, + 761 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 137 + ], + "lines": [], + "index": 2, + "bbox_fs": [ + 105, + 81, + 505, + 140 + ], + "lines_deleted": true + }, + { + "type": "interline_equation", + "bbox": [ + 268, + 136, + 344, + 154 + ], + "lines": [ + { + "bbox": [ + 268, + 136, + 344, + 154 + ], + "spans": [ + { + "bbox": [ + 268, + 136, + 344, + 154 + ], + "score": 0.93, + "content": "\\operatorname* { l i m } _ { n \\to \\infty } \\operatorname* { l i m } _ { \\varepsilon \\to 0 } \\pi _ { n } ^ { \\varepsilon } = \\pi .", + "type": "interline_equation", + "image_path": "308b54b39912b32160eacaa43673af27a8b487017ac8b8801bb48ffa7bb8a6b8.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 268, + 136, + 344, + 154 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 156, + 505, + 190 + ], + "lines": [ + { + "bbox": [ + 106, + 156, + 504, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 156, + 393, + 168 + ], + "score": 1.0, + "content": "A more refined result consists in establishing the weak convergence of", + "type": "text" + }, + { + "bbox": [ + 393, + 157, + 405, + 168 + ], + "score": 0.9, + "content": "\\pi _ { n } ^ { \\varepsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 156, + 417, + 168 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 417, + 158, + 425, + 166 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 156, + 451, + 168 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 451, + 156, + 475, + 168 + ], + "score": 0.92, + "content": "( n , \\varepsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 156, + 504, + 168 + ], + "score": 1.0, + "content": "jointly", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 167, + 506, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 156, + 180 + ], + "score": 1.0, + "content": "converge to", + "type": "text" + }, + { + "bbox": [ + 156, + 167, + 184, + 179 + ], + "score": 0.92, + "content": "( \\infty , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 167, + 506, + 180 + ], + "score": 1.0, + "content": ". 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Let measures which converge weakly", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 203, + 273, + 217 + ], + "spans": [ + { + "bbox": [ + 107, + 203, + 180, + 217 + ], + "score": 0.92, + "content": "\\textstyle \\mu _ { n } = \\sum _ { i = 1 } ^ { n } a _ { i } \\delta _ { x _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 203, + 273, + 217 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\nu _ { n } = \\sum _ { j = 1 } ^ { n } b _ { j } \\delta _ { y _ { j } } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 216, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 118, + 230 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 118, + 218, + 126, + 228 + ], + "score": 0.68, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 216, + 146, + 230 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 147, + 218, + 154, + 226 + ], + "score": 0.66, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 216, + 243, + 230 + ], + "score": 1.0, + "content": "respectively, and let", + "type": "text" + }, + { + "bbox": [ + 243, + 217, + 261, + 228 + ], + "score": 0.83, + "content": "\\left( \\varepsilon _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 216, + 506, + 230 + ], + "score": 1.0, + "content": "a sequence of non-negative real numbers converging to 0", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 226, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 241, + 241 + ], + "score": 1.0, + "content": "sufficiently fast. Assume the cost", + "type": "text" + }, + { + "bbox": [ + 242, + 230, + 248, + 237 + ], + "score": 0.52, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 226, + 318, + 241 + ], + "score": 1.0, + "content": "is continuous on", + "type": "text" + }, + { + "bbox": [ + 319, + 227, + 349, + 238 + ], + "score": 0.91, + "content": "\\mathcal { X } \\times \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 226, + 411, + 241 + ], + "score": 1.0, + "content": "and finite. Let", + "type": "text" + }, + { + "bbox": [ + 411, + 228, + 427, + 239 + ], + "score": 0.89, + "content": "\\pi _ { n } ^ { \\varepsilon _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 226, + 505, + 241 + ], + "score": 1.0, + "content": "the solution of the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 237, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 289, + 252 + ], + "score": 1.0, + "content": "entropy-regularized OT problem (3) between", + "type": "text" + }, + { + "bbox": [ + 289, + 240, + 302, + 250 + ], + "score": 0.86, + "content": "\\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 237, + 321, + 252 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 321, + 240, + 333, + 249 + ], + "score": 0.86, + "content": "\\nu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 237, + 505, + 252 + ], + "score": 1.0, + "content": ". Then, up to extraction of a subsequence,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 248, + 433, + 264 + ], + "spans": [ + { + "bbox": [ + 107, + 249, + 130, + 261 + ], + "score": 0.9, + "content": "( \\pi _ { n } ^ { \\varepsilon _ { n } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 248, + 263, + 264 + ], + "score": 1.0, + "content": "converges weakly to the solution", + "type": "text" + }, + { + "bbox": [ + 264, + 252, + 271, + 259 + ], + "score": 0.62, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 248, + 396, + 264 + ], + "score": 1.0, + "content": "of the OT problem (2) between", + "type": "text" + }, + { + "bbox": [ + 397, + 251, + 404, + 261 + ], + "score": 0.5, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 248, + 422, + 264 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 423, + 251, + 429, + 259 + ], + "score": 0.6, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 248, + 433, + 264 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 191, + 509, + 264 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 265, + 265, + 346, + 279 + ], + "lines": [ + { + "bbox": [ + 265, + 265, + 346, + 279 + ], + "spans": [ + { + "bbox": [ + 265, + 265, + 346, + 279 + ], + "score": 0.89, + "content": "\\pi _ { n } ^ { \\varepsilon _ { n } } \\to \\pi w e a k l y .", + "type": "interline_equation", + "image_path": "3b50b27e75934696e360f025b59c2af984d64f5b6f393603e784bcc9428691e7.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 265, + 265, + 346, + 279 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 288, + 505, + 333 + ], + "lines": [ + { + "bbox": [ + 105, + 288, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 505, + 301 + ], + "score": 1.0, + "content": "Keeping the analogy with statistical machine learning, this result is an analog to the universal con-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 300, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 312 + ], + "score": 1.0, + "content": "sistency property of a learning method. In most applications, we consider empirical measures and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 311, + 504, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 114, + 321 + ], + "score": 0.7, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 311, + 504, + 323 + ], + "score": 1.0, + "content": "is fixed, so that regularization, besides enabling dual stochastic approach, may also help learn the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 322, + 343, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 343, + 334 + ], + "score": 1.0, + "content": "optimal plan between the underlying continuous measures.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 288, + 505, + 334 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 338, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "score": 1.0, + "content": "So far, we have derived an algorithm for computing the regularized OT objective and regularized", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 218, + 362 + ], + "score": 1.0, + "content": "optimal plans regardless of", + "type": "text" + }, + { + "bbox": [ + 218, + 351, + 226, + 361 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 349, + 244, + 362 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 244, + 351, + 251, + 360 + ], + "score": 0.73, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "being discrete or continuous. The OT objective has been used", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "successfully as a loss in machine learning (Montavon et al., 2015; Frogner et al., 2015; Rolet et al.,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "2016; 2018; Arjovsky et al., 2017; Courty et al., 2017a), whereas the use of optimal plans has", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 382, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 506, + 396 + ], + "score": 1.0, + "content": "straightforward applications in logistics, as well as economy (Kantorovich, 1942; Carlier, 2012) or", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "score": 1.0, + "content": "computer graphics (Bonneel et al., 2011). In numerous applications however, we often need map-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "pings rather than joint distributions. This is all the more motivated since Brenier (1991) proved that", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 414, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 505, + 430 + ], + "score": 1.0, + "content": "when the source measure is continuous, the optimal transport plan is actually induced by a map.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "Assuming that available data samples are sampled from some underlying continuous distributions,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 437, + 504, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 504, + 450 + ], + "score": 1.0, + "content": "finding the Monge map between these continuous measures rather than a discrete optimal plan be-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "tween discrete measures is essential in machine learning applications. Hence in the next section, we", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "score": 1.0, + "content": "investigate how to recover an optimal map, i.e. find an approximate solution to the Monge problem", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 470, + 250, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 250, + 483 + ], + "score": 1.0, + "content": "(1), from regularized optimal plans.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 339, + 506, + 483 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 497, + 300, + 510 + ], + "lines": [ + { + "bbox": [ + 105, + 496, + 302, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 302, + 512 + ], + "score": 1.0, + "content": "4 OPTIMAL MAPPING ESTIMATIONS", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 522, + 505, + 589 + ], + "lines": [ + { + "bbox": [ + 106, + 523, + 504, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 504, + 534 + ], + "score": 1.0, + "content": "A map can be obtained from a solution to the OT problem (2) or regularized OT problem (3) through", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 533, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 366, + 546 + ], + "score": 1.0, + "content": "the computation of its barycentric projection. Indeed, a solution", + "type": "text" + }, + { + "bbox": [ + 366, + 535, + 374, + 543 + ], + "score": 0.78, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 533, + 506, + 546 + ], + "score": 1.0, + "content": "of Problem (2) or (3) between a", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 544, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 170, + 557 + ], + "score": 1.0, + "content": "source measure", + "type": "text" + }, + { + "bbox": [ + 171, + 546, + 178, + 556 + ], + "score": 0.81, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 544, + 263, + 557 + ], + "score": 1.0, + "content": "and a target measure", + "type": "text" + }, + { + "bbox": [ + 264, + 546, + 271, + 554 + ], + "score": 0.79, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 544, + 363, + 557 + ], + "score": 1.0, + "content": "is, identifying the plan", + "type": "text" + }, + { + "bbox": [ + 364, + 546, + 371, + 554 + ], + "score": 0.76, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 544, + 506, + 557 + ], + "score": 1.0, + "content": "with its density w.r.t. a reference", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 554, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 186, + 569 + ], + "score": 1.0, + "content": "measure, a function", + "type": "text" + }, + { + "bbox": [ + 187, + 555, + 298, + 567 + ], + "score": 0.91, + "content": "\\pi : ( \\bar { x , y } ) \\in \\mathcal { X } \\times \\mathcal { Y } \\mapsto \\mathbb { R } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 554, + 505, + 569 + ], + "score": 1.0, + "content": "which can be seen as a weighted one-to-many map,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 123, + 579 + ], + "score": 1.0, + "content": "i.e.", + "type": "text" + }, + { + "bbox": [ + 123, + 568, + 131, + 576 + ], + "score": 0.7, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 566, + 158, + 579 + ], + "score": 1.0, + "content": "sends", + "type": "text" + }, + { + "bbox": [ + 158, + 568, + 165, + 576 + ], + "score": 0.73, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 566, + 234, + 579 + ], + "score": 1.0, + "content": "to each location", + "type": "text" + }, + { + "bbox": [ + 234, + 567, + 288, + 578 + ], + "score": 0.86, + "content": "y \\in \\operatorname { S u p p } ( \\nu )", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 566, + 318, + 579 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 318, + 566, + 369, + 578 + ], + "score": 0.91, + "content": "\\pi ( x , y ) > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 566, + 505, + 579 + ], + "score": 1.0, + "content": ". A map can then be obtained by", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 577, + 362, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 220, + 590 + ], + "score": 1.0, + "content": "simply averaging over these", + "type": "text" + }, + { + "bbox": [ + 220, + 579, + 227, + 589 + ], + "score": 0.79, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 577, + 328, + 590 + ], + "score": 1.0, + "content": "according to the weights", + "type": "text" + }, + { + "bbox": [ + 329, + 578, + 358, + 589 + ], + "score": 0.92, + "content": "\\pi ( x , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 577, + 362, + 590 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 523, + 506, + 590 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 591, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 105, + 590, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 278, + 605 + ], + "score": 1.0, + "content": "Definition 1. (Barycentric projection) Let", + "type": "text" + }, + { + "bbox": [ + 279, + 594, + 286, + 601 + ], + "score": 0.33, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 590, + 506, + 605 + ], + "score": 1.0, + "content": "be a solution of the OT problem (2) or regularized OT", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 602, + 486, + 616 + ], + "spans": [ + { + "bbox": [ + 104, + 602, + 267, + 616 + ], + "score": 1.0, + "content": "problem (3). The barycentric projection", + "type": "text" + }, + { + "bbox": [ + 268, + 604, + 275, + 613 + ], + "score": 0.64, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 602, + 354, + 616 + ], + "score": 1.0, + "content": "w.r.t. a convex cost", + "type": "text" + }, + { + "bbox": [ + 354, + 603, + 430, + 614 + ], + "score": 0.9, + "content": "d : \\mathcal { V } \\times \\mathcal { V } \\mathbb { R } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 602, + 486, + 616 + ], + "score": 1.0, + "content": "is defined as,", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5, + "bbox_fs": [ + 104, + 590, + 506, + 616 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 229, + 618, + 381, + 637 + ], + "lines": [ + { + "bbox": [ + 229, + 618, + 381, + 637 + ], + "spans": [ + { + "bbox": [ + 229, + 618, + 381, + 637 + ], + "score": 0.92, + "content": "\\bar { \\pi } ( x ) = \\arg \\operatorname* { m i n } _ { z } \\mathbb { E } _ { Y \\sim \\pi ( \\cdot | x ) } \\left[ d ( z , Y ) \\right] .", + "type": "interline_equation", + "image_path": "2ce2cd6aae8f1baa1888c0bbdb06cd7789f25c4559036dd75702d04fef61613c.jpg" + } + ] + } + ], + "index": 42, + "virtual_lines": [ + { + "bbox": [ + 229, + 618, + 381, + 637 + ], + "spans": [], + "index": 42 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 647, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 647, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 182, + 663 + ], + "score": 1.0, + "content": "In the special case", + "type": "text" + }, + { + "bbox": [ + 182, + 649, + 261, + 661 + ], + "score": 0.95, + "content": "d ( x , y ) = \\| x - y \\| _ { 2 } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 647, + 411, + 663 + ], + "score": 1.0, + "content": ", Eq. (11) has the close form solution", + "type": "text" + }, + { + "bbox": [ + 412, + 649, + 502, + 662 + ], + "score": 0.92, + "content": "\\bar { \\pi } ( x ) = \\operatorname { \\mathbb { E } } _ { Y \\sim \\pi ( \\cdot | x ) } \\left[ Y \\right] .", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 647, + 505, + 663 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 662, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 104, + 662, + 180, + 678 + ], + "score": 1.0, + "content": "which is equal to", + "type": "text" + }, + { + "bbox": [ + 181, + 662, + 221, + 677 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\bar { \\boldsymbol { \\pi } } = \\frac { \\boldsymbol { \\pi } \\mathbf { y } ^ { t } } { a } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 662, + 327, + 678 + ], + "score": 1.0, + "content": "in a discrete setting with", + "type": "text" + }, + { + "bbox": [ + 327, + 664, + 403, + 676 + ], + "score": 0.91, + "content": "\\mathbf { y } = ( y _ { 1 } , \\dotsb , y _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 662, + 423, + 678 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 423, + 667, + 430, + 675 + ], + "score": 0.76, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 662, + 494, + 678 + ], + "score": 1.0, + "content": "the weights of", + "type": "text" + }, + { + "bbox": [ + 494, + 667, + 501, + 676 + ], + "score": 0.78, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 662, + 505, + 678 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 305, + 690 + ], + "score": 1.0, + "content": "Moreover, for the specific squared Euclidean cost", + "type": "text" + }, + { + "bbox": [ + 305, + 677, + 380, + 689 + ], + "score": 0.92, + "content": "c ( x , y ) = \\| x - y \\| _ { 2 } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 677, + 487, + 690 + ], + "score": 1.0, + "content": ", the barycentric projection", + "type": "text" + }, + { + "bbox": [ + 488, + 678, + 495, + 687 + ], + "score": 0.8, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 687, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 354, + 701 + ], + "score": 1.0, + "content": "an optimal map (Ambrosio et al., 2006)[Theorem 12.4.4], i.e.", + "type": "text" + }, + { + "bbox": [ + 355, + 689, + 362, + 698 + ], + "score": 0.75, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 687, + 505, + 701 + ], + "score": 1.0, + "content": "is a solution to the Monge problem", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 238, + 712 + ], + "score": 1.0, + "content": "(1) between the source measure", + "type": "text" + }, + { + "bbox": [ + 238, + 701, + 246, + 710 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 699, + 342, + 712 + ], + "score": 1.0, + "content": "and the target measure", + "type": "text" + }, + { + "bbox": [ + 343, + 699, + 364, + 711 + ], + "score": 0.81, + "content": "\\bar { \\pi } \\# \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 699, + 505, + 712 + ], + "score": 1.0, + "content": ". Hence the barycentric projection", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "w.r.t. the squared Euclidean cost is often used as a simple way to recover optimal maps from optimal", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 720, + 487, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 487, + 734 + ], + "score": 1.0, + "content": "transport plans (Reich, 2013; Wang et al., 2013; Ferradans et al., 2014; Seguy & Cuturi, 2015).", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 46, + "bbox_fs": [ + 104, + 647, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 107, + 79, + 505, + 178 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 107, + 79, + 505, + 178 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 79, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 113, + 79, + 505, + 178 + ], + "score": 0.442, + "html": "
lgorithm 2 Optimal map learning with SGD
Inputs: input measures μ, V; cost function c; dual optimal variables u and v; map fe parame-
terized as a deep NN; batch size n; learning rate y. while not converged do
sample a batch (x1,·· ,xn) from μ
sample a batch (y1,:.,yn) from v
updateθ←0-γ∑ijHe(xi,yj)Vθd(yj,fe(xi)) end while
", + "type": "table", + "image_path": "005b83c7e1e2dd1b696892e55336da0baf1cf57ed3f985bcc641333679575402.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 107, + 79, + 505, + 112.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 107, + 112.0, + 505, + 145.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 107, + 145.0, + 505, + 178.0 + ], + "spans": [], + "index": 2 + } + ] + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 106, + 196, + 505, + 241 + ], + "lines": [ + { + "bbox": [ + 105, + 196, + 505, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 430, + 209 + ], + "score": 1.0, + "content": "Formula (11) provides a pointwise value of the barycentric projection. When", + "type": "text" + }, + { + "bbox": [ + 430, + 199, + 438, + 209 + ], + "score": 0.8, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 196, + 505, + 209 + ], + "score": 1.0, + "content": "is discrete, this", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 207, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 505, + 222 + ], + "score": 1.0, + "content": "means that we only have mapping estimations for a finite number of points. In order to define a map", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 219, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 505, + 232 + ], + "score": 1.0, + "content": "which is defined everywhere, we parameterize the barycentric projection as a deep neural network.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 230, + 388, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 388, + 243 + ], + "score": 1.0, + "content": "We show in the next paragraph how to efficiently learn its parameters.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 106, + 246, + 505, + 280 + ], + "lines": [ + { + "bbox": [ + 106, + 246, + 504, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 272, + 259 + ], + "score": 1.0, + "content": "Optimal map learning An estimation", + "type": "text" + }, + { + "bbox": [ + 272, + 247, + 280, + 258 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 246, + 492, + 259 + ], + "score": 1.0, + "content": "of the barycentric projection of a regularized plan", + "type": "text" + }, + { + "bbox": [ + 492, + 247, + 504, + 257 + ], + "score": 0.83, + "content": "\\pi ^ { \\varepsilon }", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 268, + 270 + ], + "score": 1.0, + "content": "which generalizes outside the support of", + "type": "text" + }, + { + "bbox": [ + 269, + 259, + 276, + 270 + ], + "score": 0.85, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 258, + 505, + 270 + ], + "score": 1.0, + "content": "can be obtained by learning a deep neural network which", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 269, + 339, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 328, + 281 + ], + "score": 1.0, + "content": "minimizes the following objective w.r.t. the parameters", + "type": "text" + }, + { + "bbox": [ + 329, + 269, + 334, + 279 + ], + "score": 0.8, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 269, + 339, + 281 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8 + }, + { + "type": "interline_equation", + "bbox": [ + 151, + 282, + 460, + 315 + ], + "lines": [ + { + "bbox": [ + 151, + 282, + 460, + 315 + ], + "spans": [ + { + "bbox": [ + 151, + 282, + 460, + 315 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\mathbb { E } _ { X \\sim \\mu } \\left[ \\mathbb { E } _ { Y \\sim \\pi ^ { \\varepsilon } ( \\cdot | X ) } \\left[ d ( Y , f _ { \\theta } ( X ) ) \\right] \\right] = \\mathbb { E } _ { ( X , Y ) \\sim \\pi ^ { \\varepsilon } } \\left[ d ( Y , f _ { \\theta } ( X ) ) \\right] } \\\\ & { \\qquad = \\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ d ( Y , f _ { \\theta } ( X ) ) H _ { \\varepsilon } ( X , Y ) \\right] . } \\end{array}", + "type": "interline_equation", + "image_path": "99112b75efa82526f4065b76eee6fd113d983719cb533a205bff100a18f6c5f3.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 151, + 282, + 460, + 293.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 151, + 293.0, + 460, + 304.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 151, + 304.0, + 460, + 315.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 316, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 316, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 133, + 330 + ], + "score": 1.0, + "content": "When", + "type": "text" + }, + { + "bbox": [ + 134, + 316, + 215, + 329 + ], + "score": 0.92, + "content": "d ( x , y ) = \\| x - y \\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 316, + 506, + 330 + ], + "score": 1.0, + "content": ", the last term in Eq. (12) is simply a weighted sum of squared errors,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 314, + 340 + ], + "score": 1.0, + "content": "with possibly an infinite number of terms whenever", + "type": "text" + }, + { + "bbox": [ + 314, + 330, + 321, + 339 + ], + "score": 0.83, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 327, + 333, + 340 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 333, + 330, + 340, + 338 + ], + "score": 0.75, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "are continuous. We propose to minimize", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "the objective (12) by stochastic gradient descent, which provides the simple Algorithm 2. The OT", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 350, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 446, + 363 + ], + "score": 1.0, + "content": "problem being symmetric, we can also compute the opposite barycentric projection", + "type": "text" + }, + { + "bbox": [ + 447, + 352, + 453, + 362 + ], + "score": 0.79, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 350, + 506, + 363 + ], + "score": 1.0, + "content": "w.r.t. a cost", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 358, + 399, + 376 + ], + "spans": [ + { + "bbox": [ + 107, + 361, + 185, + 371 + ], + "score": 0.9, + "content": "\\bar { d } : \\mathcal { X } \\times \\mathcal { X } \\overset { } { \\to } \\bar { \\mathbb { R } } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 358, + 247, + 376 + ], + "score": 1.0, + "content": "by minimizing", + "type": "text" + }, + { + "bbox": [ + 247, + 361, + 394, + 374 + ], + "score": 0.91, + "content": "\\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ d ( g ( \\bar { Y } ) , X ) H _ { \\varepsilon } ( \\bar { X } , Y ) \\right]", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 358, + 399, + 376 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 377, + 505, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 209, + 390 + ], + "score": 1.0, + "content": "However, unless the plan", + "type": "text" + }, + { + "bbox": [ + 210, + 380, + 217, + 388 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "is induced by a map, the averaging process results in having the image", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 389, + 506, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 215, + 401 + ], + "score": 1.0, + "content": "of the source measure by", + "type": "text" + }, + { + "bbox": [ + 216, + 390, + 223, + 399 + ], + "score": 0.78, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 389, + 425, + 401 + ], + "score": 1.0, + "content": "only approximately equal to the target measure", + "type": "text" + }, + { + "bbox": [ + 426, + 391, + 433, + 399 + ], + "score": 0.71, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 389, + 506, + 401 + ], + "score": 1.0, + "content": ". Still, when the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "score": 1.0, + "content": "size of discrete measure is large and the regularization is small, we show in the next paragraph", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "score": 1.0, + "content": "that 1) the barycentric projection of a regularized OT plan is close to the Monge map between", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "the underlying continuous measures (Theorem 2) and 2) the image of the source measure by this", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 432, + 411, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 346, + 445 + ], + "score": 1.0, + "content": "barycentric projection should be close to the target measure", + "type": "text" + }, + { + "bbox": [ + 346, + 434, + 353, + 442 + ], + "score": 0.72, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 432, + 411, + 445 + ], + "score": 1.0, + "content": "(Corollary 1).", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 106, + 448, + 505, + 538 + ], + "lines": [ + { + "bbox": [ + 106, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 306, + 462 + ], + "score": 1.0, + "content": "Theoretical guarantees As stated earlier, when", + "type": "text" + }, + { + "bbox": [ + 307, + 450, + 339, + 460 + ], + "score": 0.92, + "content": "\\mathcal { X } = \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 449, + 358, + 462 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 359, + 449, + 438, + 461 + ], + "score": 0.93, + "content": "c ( x , y ) = \\| x - y \\| _ { 2 } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 449, + 505, + 462 + ], + "score": 1.0, + "content": ", Brenier (1991)", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 257, + 473 + ], + "score": 1.0, + "content": "proved that when the source measure", + "type": "text" + }, + { + "bbox": [ + 257, + 462, + 265, + 472 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "is continuous, there exists a solution to the Monge problem", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "(1). This result was generalized to more general cost functions, see (Villani, 2008)[Corollary 9.3] for", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 481, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 104, + 481, + 222, + 496 + ], + "score": 1.0, + "content": "details. 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Let", + "type": "text" + }, + { + "bbox": [ + 179, + 542, + 187, + 552 + ], + "score": 0.73, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 539, + 357, + 553 + ], + "score": 1.0, + "content": "be a continuous probability measure on", + "type": "text" + }, + { + "bbox": [ + 358, + 539, + 370, + 550 + ], + "score": 0.86, + "content": "\\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 539, + 395, + 553 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 395, + 542, + 402, + 550 + ], + "score": 0.71, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 539, + 506, + 553 + ], + "score": 1.0, + "content": "an arbitrary probability", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 100, + 549, + 504, + 582 + ], + "spans": [ + { + "bbox": [ + 100, + 556, + 124, + 582 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 104, + 549, + 154, + 567 + ], + "score": 1.0, + "content": "measure on", + "type": "text" + }, + { + "bbox": [ + 124, + 563, + 198, + 578 + ], + "score": 0.93, + "content": "\\textstyle \\nu _ { n } = { \\frac { 1 } { n } } \\sum _ { j = 1 } ^ { n } \\delta _ { y _ { j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 551, + 167, + 561 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 549, + 431, + 567 + ], + "score": 1.0, + "content": "and c a cost function satisfying (Villani, 2008)[Corollary 9.3]. 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Then, up to extraction of", + "type": "text" + }, + { + "bbox": [ + 498, + 600, + 504, + 609 + ], + "score": 0.54, + "content": "a", + "type": "inline_equation" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 609, + 162, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 162, + 623 + ], + "score": 1.0, + "content": "subsequence,", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34.5 + }, + { + "type": "interline_equation", + "bbox": [ + 228, + 620, + 383, + 633 + ], + "lines": [ + { + "bbox": [ + 228, + 620, + 383, + 633 + ], + "spans": [ + { + "bbox": [ + 228, + 620, + 383, + 633 + ], + "score": 0.9, + "content": "( i d , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } ( i d , f ) \\# \\mu \\ w e a k l y ,", + "type": "interline_equation", + "image_path": "a23a5eb78f59b0e108b2a2aa02a64a266e228755f22459bb28143378ee9dfde7.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 228, + 620, + 383, + 633 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 375, + 646 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 375, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 133, + 647 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 635, + 140, + 646 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 633, + 339, + 647 + ], + "score": 1.0, + "content": "is the solution of the Monge problem (1) between", + "type": "text" + }, + { + "bbox": [ + 339, + 636, + 347, + 646 + ], + "score": 0.73, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 633, + 365, + 647 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 365, + 636, + 372, + 644 + ], + "score": 0.64, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 633, + 375, + 647 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 653, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 106, + 653, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 653, + 505, + 667 + ], + "score": 1.0, + "content": "This theorem shows that our estimated barycentric projection is close to an optimal map between the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 665, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 250, + 677 + ], + "score": 1.0, + "content": "underlying continuous measures for", + "type": "text" + }, + { + "bbox": [ + 250, + 667, + 257, + 675 + ], + "score": 0.78, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 665, + 288, + 677 + ], + "score": 1.0, + "content": "big and", + "type": "text" + }, + { + "bbox": [ + 289, + 667, + 295, + 675 + ], + "score": 0.78, + "content": "\\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 665, + 505, + 677 + ], + "score": 1.0, + "content": "small. The following corollary confirms the intuition", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 675, + 480, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 480, + 690 + ], + "score": 1.0, + "content": "that the image of the source measure by this map converges to the underlying target measure.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 108, + 690, + 408, + 702 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 409, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 313, + 704 + ], + "score": 1.0, + "content": "Corollary 1. With the same assumptions as above,", + "type": "text" + }, + { + "bbox": [ + 313, + 690, + 371, + 702 + ], + "score": 0.87, + "content": "{ \\bar { \\pi } } _ { n } ^ { \\varepsilon _ { n } } \\# \\mu _ { n } \\to \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 688, + 409, + 704 + ], + "score": 1.0, + "content": "weakly.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 502, + 732 + ], + "lines": [ + { + "bbox": [ + 104, + 707, + 504, + 723 + ], + "spans": [ + { + "bbox": [ + 104, + 707, + 351, + 723 + ], + "score": 1.0, + "content": "In terms of random variables, the last equation states that if", + "type": "text" + }, + { + "bbox": [ + 351, + 710, + 392, + 721 + ], + "score": 0.92, + "content": "X _ { n } \\sim \\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 707, + 411, + 723 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 411, + 710, + 441, + 720 + ], + "score": 0.89, + "content": "Y \\sim \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 707, + 465, + 723 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 466, + 709, + 504, + 722 + ], + "score": 0.91, + "content": "\\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } \\left( X _ { n } \\right)", + "type": "inline_equation" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 721, + 230, + 731 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 217, + 731 + ], + "score": 1.0, + "content": "converges in distribution to", + "type": "text" + }, + { + "bbox": [ + 218, + 721, + 226, + 730 + ], + "score": 0.81, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 721, + 230, + 731 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44.5 + } + ], + "page_idx": 6, + "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 2018", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 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": [ + 107, + 79, + 505, + 178 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 107, + 79, + 505, + 178 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 79, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 113, + 79, + 505, + 178 + ], + "score": 0.442, + "html": "
lgorithm 2 Optimal map learning with SGD
Inputs: input measures μ, V; cost function c; dual optimal variables u and v; map fe parame-
terized as a deep NN; batch size n; learning rate y. while not converged do
sample a batch (x1,·· ,xn) from μ
sample a batch (y1,:.,yn) from v
updateθ←0-γ∑ijHe(xi,yj)Vθd(yj,fe(xi)) end while
", + "type": "table", + "image_path": "005b83c7e1e2dd1b696892e55336da0baf1cf57ed3f985bcc641333679575402.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 107, + 79, + 505, + 112.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 107, + 112.0, + 505, + 145.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 107, + 145.0, + 505, + 178.0 + ], + "spans": [], + "index": 2 + } + ] + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 106, + 196, + 505, + 241 + ], + "lines": [ + { + "bbox": [ + 105, + 196, + 505, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 430, + 209 + ], + "score": 1.0, + "content": "Formula (11) provides a pointwise value of the barycentric projection. When", + "type": "text" + }, + { + "bbox": [ + 430, + 199, + 438, + 209 + ], + "score": 0.8, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 196, + 505, + 209 + ], + "score": 1.0, + "content": "is discrete, this", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 207, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 505, + 222 + ], + "score": 1.0, + "content": "means that we only have mapping estimations for a finite number of points. In order to define a map", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 219, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 505, + 232 + ], + "score": 1.0, + "content": "which is defined everywhere, we parameterize the barycentric projection as a deep neural network.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 230, + 388, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 388, + 243 + ], + "score": 1.0, + "content": "We show in the next paragraph how to efficiently learn its parameters.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5, + "bbox_fs": [ + 105, + 196, + 505, + 243 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 246, + 505, + 280 + ], + "lines": [ + { + "bbox": [ + 106, + 246, + 504, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 272, + 259 + ], + "score": 1.0, + "content": "Optimal map learning An estimation", + "type": "text" + }, + { + "bbox": [ + 272, + 247, + 280, + 258 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 246, + 492, + 259 + ], + "score": 1.0, + "content": "of the barycentric projection of a regularized plan", + "type": "text" + }, + { + "bbox": [ + 492, + 247, + 504, + 257 + ], + "score": 0.83, + "content": "\\pi ^ { \\varepsilon }", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 268, + 270 + ], + "score": 1.0, + "content": "which generalizes outside the support of", + "type": "text" + }, + { + "bbox": [ + 269, + 259, + 276, + 270 + ], + "score": 0.85, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 258, + 505, + 270 + ], + "score": 1.0, + "content": "can be obtained by learning a deep neural network which", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 269, + 339, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 328, + 281 + ], + "score": 1.0, + "content": "minimizes the following objective w.r.t. the parameters", + "type": "text" + }, + { + "bbox": [ + 329, + 269, + 334, + 279 + ], + "score": 0.8, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 269, + 339, + 281 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8, + "bbox_fs": [ + 106, + 246, + 505, + 281 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 151, + 282, + 460, + 315 + ], + "lines": [ + { + "bbox": [ + 151, + 282, + 460, + 315 + ], + "spans": [ + { + "bbox": [ + 151, + 282, + 460, + 315 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\mathbb { E } _ { X \\sim \\mu } \\left[ \\mathbb { E } _ { Y \\sim \\pi ^ { \\varepsilon } ( \\cdot | X ) } \\left[ d ( Y , f _ { \\theta } ( X ) ) \\right] \\right] = \\mathbb { E } _ { ( X , Y ) \\sim \\pi ^ { \\varepsilon } } \\left[ d ( Y , f _ { \\theta } ( X ) ) \\right] } \\\\ & { \\qquad = \\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ d ( Y , f _ { \\theta } ( X ) ) H _ { \\varepsilon } ( X , Y ) \\right] . } \\end{array}", + "type": "interline_equation", + "image_path": "99112b75efa82526f4065b76eee6fd113d983719cb533a205bff100a18f6c5f3.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 151, + 282, + 460, + 293.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 151, + 293.0, + 460, + 304.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 151, + 304.0, + 460, + 315.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 316, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 316, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 133, + 330 + ], + "score": 1.0, + "content": "When", + "type": "text" + }, + { + "bbox": [ + 134, + 316, + 215, + 329 + ], + "score": 0.92, + "content": "d ( x , y ) = \\| x - y \\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 316, + 506, + 330 + ], + "score": 1.0, + "content": ", the last term in Eq. (12) is simply a weighted sum of squared errors,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 314, + 340 + ], + "score": 1.0, + "content": "with possibly an infinite number of terms whenever", + "type": "text" + }, + { + "bbox": [ + 314, + 330, + 321, + 339 + ], + "score": 0.83, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 327, + 333, + 340 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 333, + 330, + 340, + 338 + ], + "score": 0.75, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "are continuous. We propose to minimize", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "the objective (12) by stochastic gradient descent, which provides the simple Algorithm 2. The OT", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 350, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 446, + 363 + ], + "score": 1.0, + "content": "problem being symmetric, we can also compute the opposite barycentric projection", + "type": "text" + }, + { + "bbox": [ + 447, + 352, + 453, + 362 + ], + "score": 0.79, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 350, + 506, + 363 + ], + "score": 1.0, + "content": "w.r.t. a cost", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 358, + 399, + 376 + ], + "spans": [ + { + "bbox": [ + 107, + 361, + 185, + 371 + ], + "score": 0.9, + "content": "\\bar { d } : \\mathcal { X } \\times \\mathcal { X } \\overset { } { \\to } \\bar { \\mathbb { R } } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 358, + 247, + 376 + ], + "score": 1.0, + "content": "by minimizing", + "type": "text" + }, + { + "bbox": [ + 247, + 361, + 394, + 374 + ], + "score": 0.91, + "content": "\\mathbb { E } _ { ( X , Y ) \\sim \\mu \\times \\nu } \\left[ d ( g ( \\bar { Y } ) , X ) H _ { \\varepsilon } ( \\bar { X } , Y ) \\right]", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 358, + 399, + 376 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 316, + 506, + 376 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 377, + 505, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 209, + 390 + ], + "score": 1.0, + "content": "However, unless the plan", + "type": "text" + }, + { + "bbox": [ + 210, + 380, + 217, + 388 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "is induced by a map, the averaging process results in having the image", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 389, + 506, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 215, + 401 + ], + "score": 1.0, + "content": "of the source measure by", + "type": "text" + }, + { + "bbox": [ + 216, + 390, + 223, + 399 + ], + "score": 0.78, + "content": "\\bar { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 389, + 425, + 401 + ], + "score": 1.0, + "content": "only approximately equal to the target measure", + "type": "text" + }, + { + "bbox": [ + 426, + 391, + 433, + 399 + ], + "score": 0.71, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 389, + 506, + 401 + ], + "score": 1.0, + "content": ". Still, when the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "score": 1.0, + "content": "size of discrete measure is large and the regularization is small, we show in the next paragraph", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "score": 1.0, + "content": "that 1) the barycentric projection of a regularized OT plan is close to the Monge map between", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "the underlying continuous measures (Theorem 2) and 2) the image of the source measure by this", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 432, + 411, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 346, + 445 + ], + "score": 1.0, + "content": "barycentric projection should be close to the target measure", + "type": "text" + }, + { + "bbox": [ + 346, + 434, + 353, + 442 + ], + "score": 0.72, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 432, + 411, + 445 + ], + "score": 1.0, + "content": "(Corollary 1).", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 378, + 506, + 445 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 448, + 505, + 538 + ], + "lines": [ + { + "bbox": [ + 106, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 306, + 462 + ], + "score": 1.0, + "content": "Theoretical guarantees As stated earlier, when", + "type": "text" + }, + { + "bbox": [ + 307, + 450, + 339, + 460 + ], + "score": 0.92, + "content": "\\mathcal { X } = \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 449, + 358, + 462 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 359, + 449, + 438, + 461 + ], + "score": 0.93, + "content": "c ( x , y ) = \\| x - y \\| _ { 2 } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 449, + 505, + 462 + ], + "score": 1.0, + "content": ", Brenier (1991)", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 257, + 473 + ], + "score": 1.0, + "content": "proved that when the source measure", + "type": "text" + }, + { + "bbox": [ + 257, + 462, + 265, + 472 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "is continuous, there exists a solution to the Monge problem", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "(1). This result was generalized to more general cost functions, see (Villani, 2008)[Corollary 9.3] for", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 481, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 104, + 481, + 222, + 496 + ], + "score": 1.0, + "content": "details. In that case, the plan", + "type": "text" + }, + { + "bbox": [ + 222, + 484, + 230, + 493 + ], + "score": 0.75, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 481, + 266, + 496 + ], + "score": 1.0, + "content": "between", + "type": "text" + }, + { + "bbox": [ + 267, + 484, + 274, + 494 + ], + "score": 0.8, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 481, + 292, + 496 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 292, + 484, + 299, + 492 + ], + "score": 0.75, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 481, + 351, + 496 + ], + "score": 1.0, + "content": "is written as", + "type": "text" + }, + { + "bbox": [ + 351, + 483, + 392, + 494 + ], + "score": 0.73, + "content": "( \\operatorname { i d } , f ) \\# \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 481, + 420, + 496 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 420, + 483, + 427, + 494 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 481, + 505, + 496 + ], + "score": 1.0, + "content": "is the Monge map.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 493, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 249, + 506 + ], + "score": 1.0, + "content": "Now considering discrete measures", + "type": "text" + }, + { + "bbox": [ + 249, + 495, + 262, + 505 + ], + "score": 0.87, + "content": "\\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 493, + 280, + 506 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 280, + 495, + 291, + 504 + ], + "score": 0.87, + "content": "\\nu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 493, + 367, + 506 + ], + "score": 1.0, + "content": "which converge to", + "type": "text" + }, + { + "bbox": [ + 367, + 496, + 375, + 505 + ], + "score": 0.85, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 493, + 445, + 506 + ], + "score": 1.0, + "content": "(continuous) and", + "type": "text" + }, + { + "bbox": [ + 445, + 495, + 452, + 503 + ], + "score": 0.78, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 493, + 505, + 506 + ], + "score": 1.0, + "content": "respectively,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 504, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 247, + 518 + ], + "score": 1.0, + "content": "we have proved in Theorem 1 that", + "type": "text" + }, + { + "bbox": [ + 247, + 505, + 259, + 516 + ], + "score": 0.89, + "content": "\\boldsymbol { \\pi } _ { n } ^ { \\varepsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 504, + 345, + 518 + ], + "score": 1.0, + "content": "converges weakly to", + "type": "text" + }, + { + "bbox": [ + 346, + 505, + 408, + 516 + ], + "score": 0.92, + "content": "\\pi = ( \\operatorname { i d } , f ) \\# \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 504, + 434, + 518 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 434, + 504, + 501, + 516 + ], + "score": 0.92, + "content": "( n , \\varepsilon ) \\to ( \\infty , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 504, + 505, + 518 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 514, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 104, + 514, + 430, + 530 + ], + "score": 1.0, + "content": "The next theorem, proved in the Appendix, shows that the barycentric projection", + "type": "text" + }, + { + "bbox": [ + 431, + 516, + 443, + 527 + ], + "score": 0.89, + "content": "\\bar { \\pi } _ { n } ^ { \\varepsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 514, + 506, + 530 + ], + "score": 1.0, + "content": "also converges", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 527, + 400, + 539 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 266, + 539 + ], + "score": 1.0, + "content": "weakly to the true Monge map between", + "type": "text" + }, + { + "bbox": [ + 267, + 528, + 274, + 538 + ], + "score": 0.81, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 527, + 292, + 539 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 292, + 528, + 299, + 536 + ], + "score": 0.74, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 527, + 400, + 539 + ], + "score": 1.0, + "content": ", justifying our approach.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5, + "bbox_fs": [ + 104, + 449, + 506, + 539 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 540, + 505, + 621 + ], + "lines": [ + { + "bbox": [ + 106, + 539, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 178, + 553 + ], + "score": 1.0, + "content": "Theorem 2. Let", + "type": "text" + }, + { + "bbox": [ + 179, + 542, + 187, + 552 + ], + "score": 0.73, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 539, + 357, + 553 + ], + "score": 1.0, + "content": "be a continuous probability measure on", + "type": "text" + }, + { + "bbox": [ + 358, + 539, + 370, + 550 + ], + "score": 0.86, + "content": "\\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 539, + 395, + 553 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 395, + 542, + 402, + 550 + ], + "score": 0.71, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 539, + 506, + 553 + ], + "score": 1.0, + "content": "an arbitrary probability", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 100, + 549, + 504, + 582 + ], + "spans": [ + { + "bbox": [ + 100, + 556, + 124, + 582 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 104, + 549, + 154, + 567 + ], + "score": 1.0, + "content": "measure on", + "type": "text" + }, + { + "bbox": [ + 124, + 563, + 198, + 578 + ], + "score": 0.93, + "content": "\\textstyle \\nu _ { n } = { \\frac { 1 } { n } } \\sum _ { j = 1 } ^ { n } \\delta _ { y _ { j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 551, + 167, + 561 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 549, + 431, + 567 + ], + "score": 1.0, + "content": "and c a cost function satisfying (Villani, 2008)[Corollary 9.3]. Let", + "type": "text" + }, + { + "bbox": [ + 198, + 556, + 287, + 582 + ], + "score": 1.0, + "content": "converging weakly to", + "type": "text" + }, + { + "bbox": [ + 287, + 566, + 295, + 576 + ], + "score": 0.57, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 556, + 313, + 582 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 314, + 566, + 321, + 574 + ], + "score": 0.52, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 556, + 491, + 582 + ], + "score": 1.0, + "content": "n i=1 respectively. Assume that the OT solution", + "type": "text" + }, + { + "bbox": [ + 431, + 551, + 504, + 564 + ], + "score": 0.88, + "content": "\\begin{array} { r } { \\mu _ { n } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\delta _ { x _ { i } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 566, + 504, + 575 + ], + "score": 0.81, + "content": "\\pi _ { n }", + "type": "inline_equation" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 577, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 205, + 590 + ], + "score": 1.0, + "content": "of Problem (2) between", + "type": "text" + }, + { + "bbox": [ + 206, + 579, + 218, + 588 + ], + "score": 0.83, + "content": "\\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 577, + 238, + 590 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 239, + 578, + 250, + 588 + ], + "score": 0.86, + "content": "\\nu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 577, + 321, + 590 + ], + "score": 1.0, + "content": "is unique for all", + "type": "text" + }, + { + "bbox": [ + 321, + 579, + 329, + 587 + ], + "score": 0.72, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 577, + 352, + 590 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 352, + 577, + 370, + 588 + ], + "score": 0.83, + "content": "\\left( \\varepsilon _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 577, + 506, + 590 + ], + "score": 1.0, + "content": "a sequence of non-negative real", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 587, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 291, + 600 + ], + "score": 1.0, + "content": "numbers converging sufficiently fast to 0 and", + "type": "text" + }, + { + "bbox": [ + 291, + 588, + 307, + 600 + ], + "score": 0.92, + "content": "\\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 587, + 506, + 600 + ], + "score": 1.0, + "content": "the barycentric projection w.r.t. the convex cost", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 107, + 597, + 504, + 614 + ], + "spans": [ + { + "bbox": [ + 107, + 599, + 133, + 609 + ], + "score": 0.89, + "content": "d = c", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 597, + 196, + 614 + ], + "score": 1.0, + "content": "of the solution", + "type": "text" + }, + { + "bbox": [ + 197, + 599, + 212, + 611 + ], + "score": 0.9, + "content": "\\pi _ { n } ^ { \\varepsilon _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 597, + 497, + 614 + ], + "score": 1.0, + "content": "of the entropy-regularized OT problem (3). Then, up to extraction of", + "type": "text" + }, + { + "bbox": [ + 498, + 600, + 504, + 609 + ], + "score": 0.54, + "content": "a", + "type": "inline_equation" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 609, + 162, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 162, + 623 + ], + "score": 1.0, + "content": "subsequence,", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34.5, + "bbox_fs": [ + 100, + 539, + 506, + 623 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 228, + 620, + 383, + 633 + ], + "lines": [ + { + "bbox": [ + 228, + 620, + 383, + 633 + ], + "spans": [ + { + "bbox": [ + 228, + 620, + 383, + 633 + ], + "score": 0.9, + "content": "( i d , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } ( i d , f ) \\# \\mu \\ w e a k l y ,", + "type": "interline_equation", + "image_path": "a23a5eb78f59b0e108b2a2aa02a64a266e228755f22459bb28143378ee9dfde7.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 228, + 620, + 383, + 633 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 375, + 646 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 375, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 133, + 647 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 635, + 140, + 646 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 633, + 339, + 647 + ], + "score": 1.0, + "content": "is the solution of the Monge problem (1) between", + "type": "text" + }, + { + "bbox": [ + 339, + 636, + 347, + 646 + ], + "score": 0.73, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 633, + 365, + 647 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 365, + 636, + 372, + 644 + ], + "score": 0.64, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 633, + 375, + 647 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 633, + 375, + 647 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 653, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 106, + 653, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 653, + 505, + 667 + ], + "score": 1.0, + "content": "This theorem shows that our estimated barycentric projection is close to an optimal map between the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 665, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 250, + 677 + ], + "score": 1.0, + "content": "underlying continuous measures for", + "type": "text" + }, + { + "bbox": [ + 250, + 667, + 257, + 675 + ], + "score": 0.78, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 665, + 288, + 677 + ], + "score": 1.0, + "content": "big and", + "type": "text" + }, + { + "bbox": [ + 289, + 667, + 295, + 675 + ], + "score": 0.78, + "content": "\\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 665, + 505, + 677 + ], + "score": 1.0, + "content": "small. The following corollary confirms the intuition", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 675, + 480, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 480, + 690 + ], + "score": 1.0, + "content": "that the image of the source measure by this map converges to the underlying target measure.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 653, + 505, + 690 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 690, + 408, + 702 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 409, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 313, + 704 + ], + "score": 1.0, + "content": "Corollary 1. With the same assumptions as above,", + "type": "text" + }, + { + "bbox": [ + 313, + 690, + 371, + 702 + ], + "score": 0.87, + "content": "{ \\bar { \\pi } } _ { n } ^ { \\varepsilon _ { n } } \\# \\mu _ { n } \\to \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 688, + 409, + 704 + ], + "score": 1.0, + "content": "weakly.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43, + "bbox_fs": [ + 106, + 688, + 409, + 704 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 502, + 732 + ], + "lines": [ + { + "bbox": [ + 104, + 707, + 504, + 723 + ], + "spans": [ + { + "bbox": [ + 104, + 707, + 351, + 723 + ], + "score": 1.0, + "content": "In terms of random variables, the last equation states that if", + "type": "text" + }, + { + "bbox": [ + 351, + 710, + 392, + 721 + ], + "score": 0.92, + "content": "X _ { n } \\sim \\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 707, + 411, + 723 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 411, + 710, + 441, + 720 + ], + "score": 0.89, + "content": "Y \\sim \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 707, + 465, + 723 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 466, + 709, + 504, + 722 + ], + "score": 0.91, + "content": "\\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } \\left( X _ { n } \\right)", + "type": "inline_equation" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 721, + 230, + 731 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 217, + 731 + ], + "score": 1.0, + "content": "converges in distribution to", + "type": "text" + }, + { + "bbox": [ + 218, + 721, + 226, + 730 + ], + "score": 0.81, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 721, + 230, + 731 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44.5, + "bbox_fs": [ + 104, + 707, + 504, + 731 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 112, + 81, + 497, + 187 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 112, + 81, + 497, + 187 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 112, + 81, + 497, + 187 + ], + "spans": [ + { + "bbox": [ + 112, + 81, + 497, + 187 + ], + "score": 0.97, + "type": "image", + "image_path": "108bd959a523d171261a4465782b24928b96161ec71032e31d7571b8fde56237.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 112, + 81, + 497, + 116.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 112, + 116.33333333333334, + 497, + 151.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 112, + 151.66666666666669, + 497, + 187.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 196, + 505, + 240 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 196, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 505, + 207 + ], + "score": 1.0, + "content": "Figure 2: Convergence plots of the the Stochastic Dual Algorithm 1 against a stochastic semi-dual", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 207, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 505, + 219 + ], + "score": 1.0, + "content": "implementation (adapted from (Genevay et al., 2016): we use SGD instead of SAG), for several", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 218, + 504, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 312, + 230 + ], + "score": 1.0, + "content": "entropy-regularization values. Learning rates are", + "type": "text" + }, + { + "bbox": [ + 312, + 218, + 365, + 230 + ], + "score": 0.85, + "content": "\\{ 5 . , 2 0 . , 2 0 . \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 218, + 434, + 230 + ], + "score": 1.0, + "content": "and batch sizes", + "type": "text" + }, + { + "bbox": [ + 434, + 218, + 504, + 230 + ], + "score": 0.79, + "content": "\\{ 1 0 2 4 , 5 0 0 , 1 0 0 \\}", + "type": "inline_equation" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 229, + 396, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 396, + 241 + ], + "score": 1.0, + "content": "respectively and are taken the same for the dual and semi-dual methods.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 107, + 263, + 505, + 307 + ], + "lines": [ + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "score": 1.0, + "content": "These theoretical results show that our estimated Monge map can thus be used to perform domain", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "score": 1.0, + "content": "adaptation by mapping a source dataset to a target dataset, as well as perform generative modeling", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "score": 1.0, + "content": "by mapping a continuous measure to a target discrete dataset. We demontrate this in the following", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 296, + 140, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 140, + 307 + ], + "score": 1.0, + "content": "section.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5 + }, + { + "type": "title", + "bbox": [ + 108, + 325, + 267, + 337 + ], + "lines": [ + { + "bbox": [ + 105, + 323, + 268, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 268, + 339 + ], + "score": 1.0, + "content": "5 NUMERICAL EXPERIMENTS", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 108, + 350, + 316, + 361 + ], + "lines": [ + { + "bbox": [ + 106, + 350, + 318, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 318, + 363 + ], + "score": 1.0, + "content": "5.1 DUAL VS SEMI-DUAL SPEED COMPARISONS", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 371, + 505, + 503 + ], + "lines": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "score": 1.0, + "content": "We start by evaluating the training time of our dual stochastic algorithm 1 against a stochastic semi-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 383, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 505, + 395 + ], + "score": 1.0, + "content": "dual approach similar to (Genevay et al., 2016). In the semi-dual approach, one of the dual variable", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 392, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 104, + 392, + 432, + 407 + ], + "score": 1.0, + "content": "is eliminated and is computed in close form. However, this computation has", + "type": "text" + }, + { + "bbox": [ + 432, + 393, + 455, + 405 + ], + "score": 0.91, + "content": "{ \\mathcal { O } } ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 392, + 505, + 407 + ], + "score": 1.0, + "content": "complexity", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 134, + 417 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 406, + 142, + 414 + ], + "score": 0.7, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 405, + 277, + 417 + ], + "score": 1.0, + "content": "is the size of the target measure", + "type": "text" + }, + { + "bbox": [ + 277, + 406, + 284, + 414 + ], + "score": 0.65, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 405, + 505, + 417 + ], + "score": 1.0, + "content": ". We compute the regularized OT objective with both", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 415, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 506, + 428 + ], + "score": 1.0, + "content": "methods on a spectral transfer problem, which is related to the color transfer problem (Reinhard", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "et al., 2001; Pitie et al., 2007), but where images are multispectral, ´ i.e. they share a finer sampling of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 245, + 450 + ], + "score": 1.0, + "content": "the light wavelength. We take two", + "type": "text" + }, + { + "bbox": [ + 246, + 437, + 290, + 448 + ], + "score": 0.91, + "content": "5 0 0 \\times 5 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "images from the CAVE dataset (Yasuma et al., 2010)", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "that have 31 spectral bands. As such, the optimal transport problem is computed on two empirical", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 457, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 247, + 472 + ], + "score": 1.0, + "content": "distributions of 250000 samples in", + "type": "text" + }, + { + "bbox": [ + 247, + 459, + 264, + 469 + ], + "score": 0.89, + "content": "\\mathbb { R } ^ { 3 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 457, + 496, + 472 + ], + "score": 1.0, + "content": "on which we consider the squared Euclidean ground cost", + "type": "text" + }, + { + "bbox": [ + 496, + 461, + 502, + 469 + ], + "score": 0.46, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 457, + 506, + 472 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "score": 1.0, + "content": "The timing evolution of train losses are reported in Figure 2 for three different regularization values", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 191, + 493 + ], + "score": 0.9, + "content": "\\varepsilon = \\{ 0 . 0 \\bar { 2 } 5 , 0 . 1 , 1 . \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 481, + 506, + 494 + ], + "score": 1.0, + "content": ". In the three cases, one can observe that convergence of our proposed dual", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 492, + 208, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 208, + 504 + ], + "score": 1.0, + "content": "algorithm is much faster.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 108, + 518, + 286, + 529 + ], + "lines": [ + { + "bbox": [ + 106, + 518, + 288, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 288, + 531 + ], + "score": 1.0, + "content": "5.2 LARGE SCALE DOMAIN ADAPTATION", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 106, + 538, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 506, + 552 + ], + "score": 1.0, + "content": "We apply here our computation framework on an unsupervised domain adaptation (DA) task, for", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 551, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 562 + ], + "score": 1.0, + "content": "which optimal transport has shown to perform well on small scale datasets (Courty et al., 2017b;", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "score": 1.0, + "content": "Perrot et al., 2016; Courty et al., 2014). This restriction is mainly due to the fact that those works", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "only consider the primal formulation of the OT problem. Our goal here is not to compete with", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "the state-of-the-art methods in domain adaptation but to assess that our formulation allows to scale", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "score": 1.0, + "content": "optimal transport based domain adaptation (OTDA) to large datasets. OTDA is illustrated in Fig. 3", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 603, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 104, + 603, + 506, + 619 + ], + "score": 1.0, + "content": "and follows two steps: 1) learn an optimal map between the source and target distribution, 2) map", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 617, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 628 + ], + "score": 1.0, + "content": "the source samples and train a classifier on them in the target domain. Our formulation also allows", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 261, + 639 + ], + "score": 1.0, + "content": "to use any differentiable ground cost", + "type": "text" + }, + { + "bbox": [ + 262, + 629, + 268, + 637 + ], + "score": 0.62, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "while (Courty et al., 2017b) was limited to the squared", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 637, + 186, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 186, + 650 + ], + "score": 1.0, + "content": "Euclidean distance.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "Datasets We consider the three cross-domain digit image datasets MNIST (Lecun et al., 1998),", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "USPS, and SVHN (Netzer et al., 2011), which have 10 classes each. For the adaptation between", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "MNIST and USPS, we use 60000 samples in the MNIST domain and 9298 samples in USPS domain.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 380, + 700 + ], + "score": 1.0, + "content": "MNIST images are resized to the same resolution as USPS ones", + "type": "text" + }, + { + "bbox": [ + 380, + 688, + 418, + 699 + ], + "score": 0.86, + "content": "( 1 6 \\times 1 6 )", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "). For the adaptation", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "between SVHN and MNIST, we use 73212 samples in the SVHN domain and 60000 samples in the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 709, + 503, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 465, + 722 + ], + "score": 1.0, + "content": "MNIST domain. MNIST images are zero-padded to reach the same resolution as SVHN", + "type": "text" + }, + { + "bbox": [ + 465, + 710, + 503, + 721 + ], + "score": 0.85, + "content": "( 3 2 \\times 3 2 )", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "score": 1.0, + "content": "and extended to three channels to match SVHN image sizes. The labels in the target domain are", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39 + } + ], + "page_idx": 7, + "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 2018", + "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": [ + 112, + 81, + 497, + 187 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 112, + 81, + 497, + 187 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 112, + 81, + 497, + 187 + ], + "spans": [ + { + "bbox": [ + 112, + 81, + 497, + 187 + ], + "score": 0.97, + "type": "image", + "image_path": "108bd959a523d171261a4465782b24928b96161ec71032e31d7571b8fde56237.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 112, + 81, + 497, + 116.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 112, + 116.33333333333334, + 497, + 151.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 112, + 151.66666666666669, + 497, + 187.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 196, + 505, + 240 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 196, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 505, + 207 + ], + "score": 1.0, + "content": "Figure 2: Convergence plots of the the Stochastic Dual Algorithm 1 against a stochastic semi-dual", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 207, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 505, + 219 + ], + "score": 1.0, + "content": "implementation (adapted from (Genevay et al., 2016): we use SGD instead of SAG), for several", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 218, + 504, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 312, + 230 + ], + "score": 1.0, + "content": "entropy-regularization values. Learning rates are", + "type": "text" + }, + { + "bbox": [ + 312, + 218, + 365, + 230 + ], + "score": 0.85, + "content": "\\{ 5 . , 2 0 . , 2 0 . \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 218, + 434, + 230 + ], + "score": 1.0, + "content": "and batch sizes", + "type": "text" + }, + { + "bbox": [ + 434, + 218, + 504, + 230 + ], + "score": 0.79, + "content": "\\{ 1 0 2 4 , 5 0 0 , 1 0 0 \\}", + "type": "inline_equation" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 229, + 396, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 396, + 241 + ], + "score": 1.0, + "content": "respectively and are taken the same for the dual and semi-dual methods.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 107, + 263, + 505, + 307 + ], + "lines": [ + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "score": 1.0, + "content": "These theoretical results show that our estimated Monge map can thus be used to perform domain", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 286 + ], + "score": 1.0, + "content": "adaptation by mapping a source dataset to a target dataset, as well as perform generative modeling", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "score": 1.0, + "content": "by mapping a continuous measure to a target discrete dataset. We demontrate this in the following", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 296, + 140, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 140, + 307 + ], + "score": 1.0, + "content": "section.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 262, + 506, + 307 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 325, + 267, + 337 + ], + "lines": [ + { + "bbox": [ + 105, + 323, + 268, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 268, + 339 + ], + "score": 1.0, + "content": "5 NUMERICAL EXPERIMENTS", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 108, + 350, + 316, + 361 + ], + "lines": [ + { + "bbox": [ + 106, + 350, + 318, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 318, + 363 + ], + "score": 1.0, + "content": "5.1 DUAL VS SEMI-DUAL SPEED COMPARISONS", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 371, + 505, + 503 + ], + "lines": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "score": 1.0, + "content": "We start by evaluating the training time of our dual stochastic algorithm 1 against a stochastic semi-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 383, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 505, + 395 + ], + "score": 1.0, + "content": "dual approach similar to (Genevay et al., 2016). In the semi-dual approach, one of the dual variable", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 392, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 104, + 392, + 432, + 407 + ], + "score": 1.0, + "content": "is eliminated and is computed in close form. However, this computation has", + "type": "text" + }, + { + "bbox": [ + 432, + 393, + 455, + 405 + ], + "score": 0.91, + "content": "{ \\mathcal { O } } ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 392, + 505, + 407 + ], + "score": 1.0, + "content": "complexity", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 134, + 417 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 406, + 142, + 414 + ], + "score": 0.7, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 405, + 277, + 417 + ], + "score": 1.0, + "content": "is the size of the target measure", + "type": "text" + }, + { + "bbox": [ + 277, + 406, + 284, + 414 + ], + "score": 0.65, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 405, + 505, + 417 + ], + "score": 1.0, + "content": ". We compute the regularized OT objective with both", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 415, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 506, + 428 + ], + "score": 1.0, + "content": "methods on a spectral transfer problem, which is related to the color transfer problem (Reinhard", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "et al., 2001; Pitie et al., 2007), but where images are multispectral, ´ i.e. they share a finer sampling of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 245, + 450 + ], + "score": 1.0, + "content": "the light wavelength. We take two", + "type": "text" + }, + { + "bbox": [ + 246, + 437, + 290, + 448 + ], + "score": 0.91, + "content": "5 0 0 \\times 5 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "images from the CAVE dataset (Yasuma et al., 2010)", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "that have 31 spectral bands. As such, the optimal transport problem is computed on two empirical", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 457, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 247, + 472 + ], + "score": 1.0, + "content": "distributions of 250000 samples in", + "type": "text" + }, + { + "bbox": [ + 247, + 459, + 264, + 469 + ], + "score": 0.89, + "content": "\\mathbb { R } ^ { 3 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 457, + 496, + 472 + ], + "score": 1.0, + "content": "on which we consider the squared Euclidean ground cost", + "type": "text" + }, + { + "bbox": [ + 496, + 461, + 502, + 469 + ], + "score": 0.46, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 457, + 506, + 472 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "score": 1.0, + "content": "The timing evolution of train losses are reported in Figure 2 for three different regularization values", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 191, + 493 + ], + "score": 0.9, + "content": "\\varepsilon = \\{ 0 . 0 \\bar { 2 } 5 , 0 . 1 , 1 . \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 481, + 506, + 494 + ], + "score": 1.0, + "content": ". In the three cases, one can observe that convergence of our proposed dual", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 492, + 208, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 208, + 504 + ], + "score": 1.0, + "content": "algorithm is much faster.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 18.5, + "bbox_fs": [ + 104, + 370, + 506, + 504 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 518, + 286, + 529 + ], + "lines": [ + { + "bbox": [ + 106, + 518, + 288, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 288, + 531 + ], + "score": 1.0, + "content": "5.2 LARGE SCALE DOMAIN ADAPTATION", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 106, + 538, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 506, + 552 + ], + "score": 1.0, + "content": "We apply here our computation framework on an unsupervised domain adaptation (DA) task, for", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 551, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 562 + ], + "score": 1.0, + "content": "which optimal transport has shown to perform well on small scale datasets (Courty et al., 2017b;", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "score": 1.0, + "content": "Perrot et al., 2016; Courty et al., 2014). This restriction is mainly due to the fact that those works", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "only consider the primal formulation of the OT problem. Our goal here is not to compete with", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "the state-of-the-art methods in domain adaptation but to assess that our formulation allows to scale", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "score": 1.0, + "content": "optimal transport based domain adaptation (OTDA) to large datasets. OTDA is illustrated in Fig. 3", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 603, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 104, + 603, + 506, + 619 + ], + "score": 1.0, + "content": "and follows two steps: 1) learn an optimal map between the source and target distribution, 2) map", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 617, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 628 + ], + "score": 1.0, + "content": "the source samples and train a classifier on them in the target domain. Our formulation also allows", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 261, + 639 + ], + "score": 1.0, + "content": "to use any differentiable ground cost", + "type": "text" + }, + { + "bbox": [ + 262, + 629, + 268, + 637 + ], + "score": 0.62, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "while (Courty et al., 2017b) was limited to the squared", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 637, + 186, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 186, + 650 + ], + "score": 1.0, + "content": "Euclidean distance.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 538, + 506, + 650 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "Datasets We consider the three cross-domain digit image datasets MNIST (Lecun et al., 1998),", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "USPS, and SVHN (Netzer et al., 2011), which have 10 classes each. For the adaptation between", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "MNIST and USPS, we use 60000 samples in the MNIST domain and 9298 samples in USPS domain.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 380, + 700 + ], + "score": 1.0, + "content": "MNIST images are resized to the same resolution as USPS ones", + "type": "text" + }, + { + "bbox": [ + 380, + 688, + 418, + 699 + ], + "score": 0.86, + "content": "( 1 6 \\times 1 6 )", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "). For the adaptation", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "between SVHN and MNIST, we use 73212 samples in the SVHN domain and 60000 samples in the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 709, + 503, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 465, + 722 + ], + "score": 1.0, + "content": "MNIST domain. MNIST images are zero-padded to reach the same resolution as SVHN", + "type": "text" + }, + { + "bbox": [ + 465, + 710, + 503, + 721 + ], + "score": 0.85, + "content": "( 3 2 \\times 3 2 )", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "score": 1.0, + "content": "and extended to three channels to match SVHN image sizes. 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This requires to have a cost", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 450, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 252, + 465 + ], + "score": 1.0, + "content": "function between the latent variable", + "type": "text" + }, + { + "bbox": [ + 252, + 452, + 282, + 463 + ], + "score": 0.92, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 450, + 383, + 465 + ], + "score": 1.0, + "content": "and the discrete variable", + "type": "text" + }, + { + "bbox": [ + 383, + 452, + 412, + 462 + ], + "score": 0.9, + "content": "Y \\sim \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 450, + 505, + 465 + ], + "score": 1.0, + "content": ". 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This requires to have a cost", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 450, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 252, + 465 + ], + "score": 1.0, + "content": "function between the latent variable", + "type": "text" + }, + { + "bbox": [ + 252, + 452, + 282, + 463 + ], + "score": 0.92, + "content": "X \\sim \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 450, + 383, + 465 + ], + "score": 1.0, + "content": "and the discrete variable", + "type": "text" + }, + { + "bbox": [ + 383, + 452, + 412, + 462 + ], + "score": 0.9, + "content": "Y \\sim \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 450, + 505, + 465 + ], + "score": 1.0, + "content": ". The property we gain", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 461, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 477 + ], + "score": 1.0, + "content": "compared to other generative models is that our generator is, at least approximately, an optimal map", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "score": 1.0, + "content": "w.r.t. this cost. In our case, the Gaussian is taken with the same dimensionality as the discrete data", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 485, + 348, + 496 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 339, + 496 + ], + "score": 1.0, + "content": "and the squared Euclidean distance is used as ground cost", + "type": "text" + }, + { + "bbox": [ + 339, + 487, + 344, + 494 + ], + "score": 0.63, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 485, + 348, + 496 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 385, + 506, + 496 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 505, + 622 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "Permutation-invariant MNIST We preprocess MNIST data by rescaling grayscale values in", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 512, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 107, + 512, + 135, + 524 + ], + "score": 0.88, + "content": "[ - 1 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 512, + 268, + 524 + ], + "score": 1.0, + "content": ". 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The target discrete measure", + "type": "text" + }, + { + "bbox": [ + 349, + 536, + 356, + 544 + ], + "score": 0.76, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 533, + 506, + 547 + ], + "score": 1.0, + "content": "is the preprocessed MNIST dataset.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 545, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 355, + 558 + ], + "score": 1.0, + "content": "Permutation invariance means that we consider each grayscale", + "type": "text" + }, + { + "bbox": [ + 356, + 545, + 387, + 556 + ], + "score": 0.91, + "content": "2 8 \\times 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 545, + 505, + 558 + ], + "score": 1.0, + "content": "images as a 784-dimensional", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 556, + 506, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 429, + 568 + ], + "score": 1.0, + "content": "vector and do not rely on convolutional architectures. 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The barycentric", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 150, + 601 + ], + "score": 1.0, + "content": "projection", + "type": "text" + }, + { + "bbox": [ + 150, + 590, + 158, + 601 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 588, + 291, + 601 + ], + "score": 1.0, + "content": "of Alg. 2 is parameterized as a", + "type": "text" + }, + { + "bbox": [ + 291, + 589, + 398, + 600 + ], + "score": 0.91, + "content": "\\mathit { \\Delta } d 1 0 2 4 1 0 2 4 d \\mathit { \\Delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 588, + 505, + 601 + ], + "score": 1.0, + "content": ") fully-connected NN with", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 599, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 104, + 599, + 505, + 614 + ], + "score": 1.0, + "content": "ReLU activation for each hidden layer and a tanh activation on the output layer. We display some", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 611, + 222, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 222, + 623 + ], + "score": 1.0, + "content": "generated samples in Fig. 4.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29, + "bbox_fs": [ + 104, + 500, + 506, + 623 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 640, + 195, + 652 + ], + "lines": [ + { + "bbox": [ + 104, + 637, + 197, + 655 + ], + "spans": [ + { + "bbox": [ + 104, + 637, + 197, + 655 + ], + "score": 1.0, + "content": "6 CONCLUSION", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 317, + 678 + ], + "score": 1.0, + "content": "We proposed two original algorithms that allow for", + "type": "text" + }, + { + "bbox": [ + 317, + 667, + 321, + 676 + ], + "score": 0.4, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 665, + 505, + 678 + ], + "score": 1.0, + "content": ") large-scale computation of regularized opti-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 162, + 690 + ], + "score": 1.0, + "content": "mal transport", + "type": "text" + }, + { + "bbox": [ + 163, + 678, + 169, + 687 + ], + "score": 0.44, + "content": "\\romannumeral 2", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 677, + 506, + 690 + ], + "score": 1.0, + "content": ") learning an optimal map that moves one probability distribution onto another (the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 688, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 700 + ], + "score": 1.0, + "content": "so-called Monge map). To our knowledge, our approach introduces the first tractable algorithms", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "for computing both the regularized OT objective and optimal maps in large-scale or continuous set-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "tings. We believe that these two contributions enable a wider use of optimal transport strategies", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 721, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 506, + 733 + ], + "score": 1.0, + "content": "in machine learning applications. Notably, we have shown how it can be used in an unsupervised", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "domain adaptation setting, or in generative modeling, where a Monge map acts directly as a gener-", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 108 + ], + "score": 1.0, + "content": "ator. Our consistency results show that our approach is theoretically well-grounded. An interesting", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 102, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 505, + 119 + ], + "score": 1.0, + "content": "direction for future work is to investigate the corresponding convergence rates of the empirical reg-", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 506, + 129 + ], + "score": 1.0, + "content": "ularized optimal plans. We believe this is a very complex problem since technical proofs regarding", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "score": 1.0, + "content": "convergence rates of the empirical OT objective used e.g. in (Sriperumbudur et al., 2012; Boissard", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 470, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 470, + 150 + ], + "score": 1.0, + "content": "et al., 2014; Fournier & Guillin, 2015) do not extend simply to the optimal transport plans.", + "type": "text", + "cross_page": true + } + ], + "index": 5 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 665, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 149 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "domain adaptation setting, or in generative modeling, where a Monge map acts directly as a gener-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 108 + ], + "score": 1.0, + "content": "ator. 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A result about stability of optimal transport (Villani, 2008)[Theorem 5.20] states that, up", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 188, + 504, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 233, + 203 + ], + "score": 1.0, + "content": "to extraction of a subsequence,", + "type": "text" + }, + { + "bbox": [ + 234, + 191, + 246, + 200 + ], + "score": 0.86, + "content": "\\pi _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 188, + 374, + 203 + ], + "score": 1.0, + "content": "converges weakly to a solution", + "type": "text" + }, + { + "bbox": [ + 374, + 191, + 381, + 199 + ], + "score": 0.76, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 188, + 496, + 203 + ], + "score": 1.0, + "content": "of the OT problem between", + "type": "text" + }, + { + "bbox": [ + 497, + 191, + 504, + 201 + ], + "score": 0.79, + "content": "\\mu", + "type": "inline_equation" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 199, + 506, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 123, + 214 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 202, + 131, + 210 + ], + "score": 0.7, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 199, + 189, + 214 + ], + "score": 1.0, + "content": "(regardless of", + "type": "text" + }, + { + "bbox": [ + 190, + 201, + 202, + 212 + ], + "score": 0.87, + "content": "\\pi _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 202, + 199, + 467, + 214 + ], + "score": 1.0, + "content": "being the solution with maximum entropy or not). We still write", + "type": "text" + }, + { + "bbox": [ + 467, + 200, + 486, + 212 + ], + "score": 0.83, + "content": "\\left( \\pi _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 199, + 506, + 214 + ], + "score": 1.0, + "content": "this", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 211, + 358, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 203, + 226 + ], + "score": 1.0, + "content": "subsequence, as well as", + "type": "text" + }, + { + "bbox": [ + 204, + 212, + 227, + 223 + ], + "score": 0.92, + "content": "\\left( \\pi _ { n } ^ { \\varepsilon _ { n } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 211, + 358, + 226 + ], + "score": 1.0, + "content": "the corresponding subsequence.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 223, + 398, + 234 + ], + "lines": [ + { + "bbox": [ + 106, + 221, + 398, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 122, + 235 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 222, + 186, + 234 + ], + "score": 0.94, + "content": "g \\in \\mathcal { C } _ { b } ( \\mathcal { X } \\times \\mathcal { Y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 221, + 325, + 235 + ], + "score": 1.0, + "content": "a bounded continuous function on", + "type": "text" + }, + { + "bbox": [ + 326, + 223, + 355, + 233 + ], + "score": 0.9, + "content": "\\mathcal { X } \\times \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 221, + 398, + 235 + ], + "score": 1.0, + "content": ". We have,", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "interline_equation", + "bbox": [ + 115, + 238, + 496, + 267 + ], + "lines": [ + { + "bbox": [ + 115, + 238, + 496, + 267 + ], + "spans": [ + { + "bbox": [ + 115, + 238, + 496, + 267 + ], + "score": 0.94, + "content": "\\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } ^ { \\varepsilon _ { n } } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi = \\left( \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } ^ { \\varepsilon _ { n } } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } \\right) + \\left( \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi \\right) _ { n } ,", + "type": "interline_equation", + "image_path": "e4a6a62a89d3d4d524f948c815fd1ff1cea68d8fd76260bc40d7048e0c6bea4e.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 115, + 238, + 496, + 247.66666666666666 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 115, + 247.66666666666666, + 496, + 257.3333333333333 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 115, + 257.3333333333333, + 496, + 267.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 275, + 504, + 308 + ], + "lines": [ + { + "bbox": [ + 105, + 273, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 288 + ], + "score": 1.0, + "content": "The second term in the right-hand side converges to 0 as a result of the previously mentioned stability", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 286, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 506, + 298 + ], + "score": 1.0, + "content": "of optimal transport (Villani, 2008)[Theorem 5.20]. We now show the convergence of the first term", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 297, + 288, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 148, + 309 + ], + "score": 1.0, + "content": "to 0 when", + "type": "text" + }, + { + "bbox": [ + 148, + 297, + 180, + 308 + ], + "score": 0.91, + "content": "\\varepsilon _ { n } \\to 0", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 297, + 288, + 309 + ], + "score": 1.0, + "content": "sufficiently fast. We have,", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 312, + 510, + 397 + ], + "lines": [ + { + "bbox": [ + 111, + 312, + 510, + 397 + ], + "spans": [ + { + "bbox": [ + 111, + 312, + 510, + 397 + ], + "score": 0.93, + "content": "\\begin{array} { l } { \\displaystyle \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } ^ { \\varepsilon _ { n } } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } \\bigg | = \\left| \\sum _ { i = 1 , n \\ j = 1 , n } g ( x _ { i } , y _ { j } ) \\pi _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } , y _ { j } ) - \\sum _ { i = 1 , n \\ j = 1 , n } g ( x _ { i } , y _ { j } ) \\pi _ { n } ( x _ { i } , y _ { j } ) \\right| } \\\\ { \\displaystyle \\leqslant M _ { g } \\sum _ { i j } | \\pi _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } , y _ { j } ) - \\pi _ { n } ( x _ { i } , y _ { j } ) | } \\\\ { \\displaystyle = M _ { g } \\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb { R } ^ { n \\times n } , 1 } } \\end{array}", + "type": "interline_equation", + "image_path": "6eea2be517a4b7719463b3a1f0af3b47abfa4ec952a2123b4770fd673eb59d55.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 111, + 312, + 510, + 340.3333333333333 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 111, + 340.3333333333333, + 510, + 368.66666666666663 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 111, + 368.66666666666663, + 510, + 396.99999999999994 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 411, + 506, + 435 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 133, + 424 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 412, + 149, + 424 + ], + "score": 0.9, + "content": "M _ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 410, + 236, + 424 + ], + "score": 1.0, + "content": "is an upper-bound of", + "type": "text" + }, + { + "bbox": [ + 237, + 414, + 243, + 423 + ], + "score": 0.76, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 410, + 506, + 424 + ], + "score": 1.0, + "content": ". A convergence result by Cominetti & San Mart´ın (1994) shows", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 421, + 430, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 270, + 437 + ], + "score": 1.0, + "content": "that there exists positive constants (w.r.t.", + "type": "text" + }, + { + "bbox": [ + 271, + 424, + 282, + 434 + ], + "score": 0.72, + "content": "\\varepsilon _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 421, + 286, + 437 + ], + "score": 1.0, + "content": ")", + "type": "text" + }, + { + "bbox": [ + 287, + 423, + 329, + 435 + ], + "score": 0.89, + "content": "M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 421, + 348, + 437 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 348, + 423, + 387, + 435 + ], + "score": 0.92, + "content": "\\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 421, + 430, + 437 + ], + "score": 1.0, + "content": "such that,", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5 + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 439, + 394, + 457 + ], + "lines": [ + { + "bbox": [ + 215, + 439, + 394, + 457 + ], + "spans": [ + { + "bbox": [ + 215, + 439, + 394, + 457 + ], + "score": 0.91, + "content": "\\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb { R } ^ { n \\times n } , 1 } \\leqslant M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } e ^ { - \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\varepsilon _ { n } } }", + "type": "interline_equation", + "image_path": "6f0b373ee7c3b84945a5ae5760ed18b982485a8871bd93986098e5e47fd54b79.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 215, + 439, + 394, + 457 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 461, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 460, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 134, + 475 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 461, + 267, + 473 + ], + "score": 0.92, + "content": "c _ { n } = ( c ( x _ { 1 } , y _ { 1 } ) , \\cdot \\cdot \\cdot , c ( x _ { n } , y _ { n } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 460, + 506, + 475 + ], + "score": 1.0, + "content": ". The subscript indices indicate the dependences of each", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 472, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 280, + 484 + ], + "score": 1.0, + "content": "constant. Hence, we see that choosing any", + "type": "text" + }, + { + "bbox": [ + 281, + 473, + 298, + 484 + ], + "score": 0.78, + "content": "\\left( \\varepsilon _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 472, + 506, + 484 + ], + "score": 1.0, + "content": "such that the right-hand side of Eq. (16) tends to 0", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 483, + 294, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 294, + 496 + ], + "score": 1.0, + "content": "provides the results. In particular, we can take", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22 + }, + { + "type": "interline_equation", + "bbox": [ + 259, + 499, + 352, + 526 + ], + "lines": [ + { + "bbox": [ + 259, + 499, + 352, + 526 + ], + "spans": [ + { + "bbox": [ + 259, + 499, + 352, + 526 + ], + "score": 0.95, + "content": "\\varepsilon _ { n } = \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\ln ( n M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } ) }", + "type": "interline_equation", + "image_path": "f82ce0173b011c2f756134dea25bd3d3010e152b684b412efa736d7cfcc59ef3.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 259, + 499, + 352, + 526 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 530, + 506, + 553 + ], + "lines": [ + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 455, + 543 + ], + "score": 1.0, + "content": "which suffices to have the convergence of (15) to 0 for any bounded continuous function", + "type": "text" + }, + { + "bbox": [ + 455, + 530, + 506, + 542 + ], + "score": 0.88, + "content": "g \\in \\mathcal { C } _ { b } ( \\mathcal { X } \\times", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 541, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 116, + 553 + ], + "score": 0.61, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 541, + 273, + 555 + ], + "score": 1.0, + "content": "). This proves the weak convergence of", + "type": "text" + }, + { + "bbox": [ + 274, + 542, + 289, + 553 + ], + "score": 0.9, + "content": "\\pi _ { n } ^ { \\varepsilon _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 541, + 301, + 555 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 302, + 544, + 308, + 551 + ], + "score": 0.77, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 541, + 313, + 555 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 494, + 542, + 505, + 552 + ], + "score": 1.0, + "content": "□", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5 + }, + { + "type": "title", + "bbox": [ + 106, + 565, + 192, + 577 + ], + "lines": [ + { + "bbox": [ + 105, + 563, + 194, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 194, + 578 + ], + "score": 1.0, + "content": "Proof of Theorem 2.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 588, + 507, + 633 + ], + "lines": [ + { + "bbox": [ + 106, + 589, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 362, + 601 + ], + "score": 1.0, + "content": "Proof. First, note that the existence of a Monge map between", + "type": "text" + }, + { + "bbox": [ + 362, + 591, + 370, + 600 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 589, + 389, + 601 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 389, + 591, + 396, + 599 + ], + "score": 0.75, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 589, + 505, + 601 + ], + "score": 1.0, + "content": "follows from the absolute", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 600, + 468, + 612 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 160, + 612 + ], + "score": 1.0, + "content": "continuity of", + "type": "text" + }, + { + "bbox": [ + 160, + 601, + 167, + 611 + ], + "score": 0.78, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 600, + 337, + 612 + ], + "score": 1.0, + "content": "and the assumptions on the cost functions", + "type": "text" + }, + { + "bbox": [ + 338, + 602, + 343, + 610 + ], + "score": 0.75, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 600, + 468, + 612 + ], + "score": 1.0, + "content": "(Villani, 2008)[Corollary 9.3].", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 609, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 104, + 609, + 123, + 624 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 124, + 611, + 199, + 623 + ], + "score": 0.91, + "content": "g \\in \\mathcal { C } _ { l } ( \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 609, + 300, + 624 + ], + "score": 1.0, + "content": "a Lipschitz function on", + "type": "text" + }, + { + "bbox": [ + 300, + 610, + 339, + 621 + ], + "score": 0.92, + "content": "\\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 609, + 363, + 624 + ], + "score": 1.0, + "content": ". 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\\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , f ) \\# \\mu ) \\mathrm { i d } \\mu \\mathrm { ) , ~ } } \\end{array}", + "type": "interline_equation", + "image_path": "e13def8afae7f6e16307eff5ed56afc54db5a068b6575927265991c5c54557bd.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 111, + 637, + 514, + 656.3333333333334 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 111, + 656.3333333333334, + 514, + 675.6666666666667 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 111, + 675.6666666666667, + 514, + 695.0000000000001 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 507, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 131, + 723 + ], + "score": 1.0, + "content": "Since", + "type": "text" + }, + { + "bbox": [ + 131, + 711, + 144, + 721 + ], + "score": 0.86, + "content": "\\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 709, + 161, + 723 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 162, + 711, + 173, + 721 + ], + "score": 0.86, + "content": "\\nu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "are uniform discrete probability measures supported on the same number of points,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 329, + 734 + ], + "score": 1.0, + "content": "we know by (Birkhoff, 1946) that the optimal transport", + "type": "text" + }, + { + "bbox": [ + 329, + 725, + 340, + 732 + ], + "score": 0.82, + "content": "\\pi _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 720, + 477, + 734 + ], + "score": 1.0, + "content": "is actually an optimal assignment", + "type": "text" + }, + { + "bbox": [ + 478, + 721, + 489, + 732 + ], + "score": 0.88, + "content": "T _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 720, + 505, + 734 + ], + "score": 1.0, + "content": ", so", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5 + } + ], + "page_idx": 13, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2018", + "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": "title", + "bbox": [ + 263, + 78, + 349, + 101 + ], + "lines": [ + { + "bbox": [ + 259, + 77, + 351, + 103 + ], + "spans": [ + { + "bbox": [ + 259, + 77, + 351, + 103 + ], + "score": 1.0, + "content": "Appendix", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 108, + 118, + 170, + 132 + ], + "lines": [ + { + "bbox": [ + 105, + 117, + 171, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 171, + 135 + ], + "score": 1.0, + "content": "A PROOFS", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "title", + "bbox": [ + 107, + 143, + 193, + 155 + ], + "lines": [ + { + "bbox": [ + 105, + 142, + 194, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 142, + 194, + 157 + ], + "score": 1.0, + "content": "Proof of Theorem 1.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 167, + 505, + 223 + ], + "lines": [ + { + "bbox": [ + 105, + 167, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 153, + 180 + ], + "score": 1.0, + "content": "Proof. 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A result about stability of optimal transport (Villani, 2008)[Theorem 5.20] states that, up", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 188, + 504, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 233, + 203 + ], + "score": 1.0, + "content": "to extraction of a subsequence,", + "type": "text" + }, + { + "bbox": [ + 234, + 191, + 246, + 200 + ], + "score": 0.86, + "content": "\\pi _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 188, + 374, + 203 + ], + "score": 1.0, + "content": "converges weakly to a solution", + "type": "text" + }, + { + "bbox": [ + 374, + 191, + 381, + 199 + ], + "score": 0.76, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 188, + 496, + 203 + ], + "score": 1.0, + "content": "of the OT problem between", + "type": "text" + }, + { + "bbox": [ + 497, + 191, + 504, + 201 + ], + "score": 0.79, + "content": "\\mu", + "type": "inline_equation" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 199, + 506, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 123, + 214 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 202, + 131, + 210 + ], + "score": 0.7, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 199, + 189, + 214 + ], + "score": 1.0, + "content": "(regardless of", + "type": "text" + }, + { + "bbox": [ + 190, + 201, + 202, + 212 + ], + "score": 0.87, + "content": "\\pi _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 202, + 199, + 467, + 214 + ], + "score": 1.0, + "content": "being the solution with maximum entropy or not). We still write", + "type": "text" + }, + { + "bbox": [ + 467, + 200, + 486, + 212 + ], + "score": 0.83, + "content": "\\left( \\pi _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 199, + 506, + 214 + ], + "score": 1.0, + "content": "this", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 211, + 358, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 203, + 226 + ], + "score": 1.0, + "content": "subsequence, as well as", + "type": "text" + }, + { + "bbox": [ + 204, + 212, + 227, + 223 + ], + "score": 0.92, + "content": "\\left( \\pi _ { n } ^ { \\varepsilon _ { n } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 211, + 358, + 226 + ], + "score": 1.0, + "content": "the corresponding subsequence.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5, + "bbox_fs": [ + 105, + 167, + 506, + 226 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 223, + 398, + 234 + ], + "lines": [ + { + "bbox": [ + 106, + 221, + 398, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 122, + 235 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 222, + 186, + 234 + ], + "score": 0.94, + "content": "g \\in \\mathcal { C } _ { b } ( \\mathcal { X } \\times \\mathcal { Y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 221, + 325, + 235 + ], + "score": 1.0, + "content": "a bounded continuous function on", + "type": "text" + }, + { + "bbox": [ + 326, + 223, + 355, + 233 + ], + "score": 0.9, + "content": "\\mathcal { X } \\times \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 221, + 398, + 235 + ], + "score": 1.0, + "content": ". We have,", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 106, + 221, + 398, + 235 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 115, + 238, + 496, + 267 + ], + "lines": [ + { + "bbox": [ + 115, + 238, + 496, + 267 + ], + "spans": [ + { + "bbox": [ + 115, + 238, + 496, + 267 + ], + "score": 0.94, + "content": "\\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } ^ { \\varepsilon _ { n } } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi = \\left( \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } ^ { \\varepsilon _ { n } } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } \\right) + \\left( \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi \\right) _ { n } ,", + "type": "interline_equation", + "image_path": "e4a6a62a89d3d4d524f948c815fd1ff1cea68d8fd76260bc40d7048e0c6bea4e.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 115, + 238, + 496, + 247.66666666666666 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 115, + 247.66666666666666, + 496, + 257.3333333333333 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 115, + 257.3333333333333, + 496, + 267.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 275, + 504, + 308 + ], + "lines": [ + { + "bbox": [ + 105, + 273, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 288 + ], + "score": 1.0, + "content": "The second term in the right-hand side converges to 0 as a result of the previously mentioned stability", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 286, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 506, + 298 + ], + "score": 1.0, + "content": "of optimal transport (Villani, 2008)[Theorem 5.20]. We now show the convergence of the first term", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 297, + 288, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 148, + 309 + ], + "score": 1.0, + "content": "to 0 when", + "type": "text" + }, + { + "bbox": [ + 148, + 297, + 180, + 308 + ], + "score": 0.91, + "content": "\\varepsilon _ { n } \\to 0", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 297, + 288, + 309 + ], + "score": 1.0, + "content": "sufficiently fast. We have,", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 273, + 506, + 309 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 312, + 510, + 397 + ], + "lines": [ + { + "bbox": [ + 111, + 312, + 510, + 397 + ], + "spans": [ + { + "bbox": [ + 111, + 312, + 510, + 397 + ], + "score": 0.93, + "content": "\\begin{array} { l } { \\displaystyle \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } ^ { \\varepsilon _ { n } } - \\int _ { \\mathcal { X } \\times \\mathcal { Y } } g d \\pi _ { n } \\bigg | = \\left| \\sum _ { i = 1 , n \\ j = 1 , n } g ( x _ { i } , y _ { j } ) \\pi _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } , y _ { j } ) - \\sum _ { i = 1 , n \\ j = 1 , n } g ( x _ { i } , y _ { j } ) \\pi _ { n } ( x _ { i } , y _ { j } ) \\right| } \\\\ { \\displaystyle \\leqslant M _ { g } \\sum _ { i j } | \\pi _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } , y _ { j } ) - \\pi _ { n } ( x _ { i } , y _ { j } ) | } \\\\ { \\displaystyle = M _ { g } \\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb { R } ^ { n \\times n } , 1 } } \\end{array}", + "type": "interline_equation", + "image_path": "6eea2be517a4b7719463b3a1f0af3b47abfa4ec952a2123b4770fd673eb59d55.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 111, + 312, + 510, + 340.3333333333333 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 111, + 340.3333333333333, + 510, + 368.66666666666663 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 111, + 368.66666666666663, + 510, + 396.99999999999994 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 411, + 506, + 435 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 133, + 424 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 412, + 149, + 424 + ], + "score": 0.9, + "content": "M _ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 410, + 236, + 424 + ], + "score": 1.0, + "content": "is an upper-bound of", + "type": "text" + }, + { + "bbox": [ + 237, + 414, + 243, + 423 + ], + "score": 0.76, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 410, + 506, + 424 + ], + "score": 1.0, + "content": ". A convergence result by Cominetti & San Mart´ın (1994) shows", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 421, + 430, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 270, + 437 + ], + "score": 1.0, + "content": "that there exists positive constants (w.r.t.", + "type": "text" + }, + { + "bbox": [ + 271, + 424, + 282, + 434 + ], + "score": 0.72, + "content": "\\varepsilon _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 421, + 286, + 437 + ], + "score": 1.0, + "content": ")", + "type": "text" + }, + { + "bbox": [ + 287, + 423, + 329, + 435 + ], + "score": 0.89, + "content": "M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 421, + 348, + 437 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 348, + 423, + 387, + 435 + ], + "score": 0.92, + "content": "\\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 421, + 430, + 437 + ], + "score": 1.0, + "content": "such that,", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 410, + 506, + 437 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 439, + 394, + 457 + ], + "lines": [ + { + "bbox": [ + 215, + 439, + 394, + 457 + ], + "spans": [ + { + "bbox": [ + 215, + 439, + 394, + 457 + ], + "score": 0.91, + "content": "\\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb { R } ^ { n \\times n } , 1 } \\leqslant M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } e ^ { - \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\varepsilon _ { n } } }", + "type": "interline_equation", + "image_path": "6f0b373ee7c3b84945a5ae5760ed18b982485a8871bd93986098e5e47fd54b79.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 215, + 439, + 394, + 457 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 461, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 460, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 134, + 475 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 461, + 267, + 473 + ], + "score": 0.92, + "content": "c _ { n } = ( c ( x _ { 1 } , y _ { 1 } ) , \\cdot \\cdot \\cdot , c ( x _ { n } , y _ { n } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 460, + 506, + 475 + ], + "score": 1.0, + "content": ". The subscript indices indicate the dependences of each", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 472, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 280, + 484 + ], + "score": 1.0, + "content": "constant. Hence, we see that choosing any", + "type": "text" + }, + { + "bbox": [ + 281, + 473, + 298, + 484 + ], + "score": 0.78, + "content": "\\left( \\varepsilon _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 472, + 506, + 484 + ], + "score": 1.0, + "content": "such that the right-hand side of Eq. (16) tends to 0", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 483, + 294, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 294, + 496 + ], + "score": 1.0, + "content": "provides the results. In particular, we can take", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 460, + 506, + 496 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 259, + 499, + 352, + 526 + ], + "lines": [ + { + "bbox": [ + 259, + 499, + 352, + 526 + ], + "spans": [ + { + "bbox": [ + 259, + 499, + 352, + 526 + ], + "score": 0.95, + "content": "\\varepsilon _ { n } = \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\ln ( n M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } ) }", + "type": "interline_equation", + "image_path": "f82ce0173b011c2f756134dea25bd3d3010e152b684b412efa736d7cfcc59ef3.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 259, + 499, + 352, + 526 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 530, + 506, + 553 + ], + "lines": [ + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 455, + 543 + ], + "score": 1.0, + "content": "which suffices to have the convergence of (15) to 0 for any bounded continuous function", + "type": "text" + }, + { + "bbox": [ + 455, + 530, + 506, + 542 + ], + "score": 0.88, + "content": "g \\in \\mathcal { C } _ { b } ( \\mathcal { X } \\times", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 541, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 116, + 553 + ], + "score": 0.61, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 541, + 273, + 555 + ], + "score": 1.0, + "content": "). This proves the weak convergence of", + "type": "text" + }, + { + "bbox": [ + 274, + 542, + 289, + 553 + ], + "score": 0.9, + "content": "\\pi _ { n } ^ { \\varepsilon _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 541, + 301, + 555 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 302, + 544, + 308, + 551 + ], + "score": 0.77, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 541, + 313, + 555 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 494, + 542, + 505, + 552 + ], + "score": 1.0, + "content": "□", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 529, + 506, + 555 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 565, + 192, + 577 + ], + "lines": [ + { + "bbox": [ + 105, + 563, + 194, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 194, + 578 + ], + "score": 1.0, + "content": "Proof of Theorem 2.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 588, + 507, + 633 + ], + "lines": [ + { + "bbox": [ + 106, + 589, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 362, + 601 + ], + "score": 1.0, + "content": "Proof. First, note that the existence of a Monge map between", + "type": "text" + }, + { + "bbox": [ + 362, + 591, + 370, + 600 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 589, + 389, + 601 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 389, + 591, + 396, + 599 + ], + "score": 0.75, + "content": "\\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 589, + 505, + 601 + ], + "score": 1.0, + "content": "follows from the absolute", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 600, + 468, + 612 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 160, + 612 + ], + "score": 1.0, + "content": "continuity of", + "type": "text" + }, + { + "bbox": [ + 160, + 601, + 167, + 611 + ], + "score": 0.78, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 600, + 337, + 612 + ], + "score": 1.0, + "content": "and the assumptions on the cost functions", + "type": "text" + }, + { + "bbox": [ + 338, + 602, + 343, + 610 + ], + "score": 0.75, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 600, + 468, + 612 + ], + "score": 1.0, + "content": "(Villani, 2008)[Corollary 9.3].", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 609, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 104, + 609, + 123, + 624 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 124, + 611, + 199, + 623 + ], + "score": 0.91, + "content": "g \\in \\mathcal { C } _ { l } ( \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 609, + 300, + 624 + ], + "score": 1.0, + "content": "a Lipschitz function on", + "type": "text" + }, + { + "bbox": [ + 300, + 610, + 339, + 621 + ], + "score": 0.92, + "content": "\\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 609, + 363, + 624 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 363, + 612, + 375, + 622 + ], + "score": 0.85, + "content": "\\pi _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 609, + 506, + 624 + ], + "score": 1.0, + "content": "be the unique (by assumption)", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 621, + 340, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 253, + 635 + ], + "score": 1.0, + "content": "solution of the OT problem between", + "type": "text" + }, + { + "bbox": [ + 253, + 623, + 266, + 633 + ], + "score": 0.85, + "content": "\\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 621, + 284, + 635 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 284, + 623, + 295, + 633 + ], + "score": 0.86, + "content": "\\nu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 621, + 340, + 635 + ], + "score": 1.0, + "content": ". We have,", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5, + "bbox_fs": [ + 104, + 589, + 506, + 635 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 637, + 514, + 695 + ], + "lines": [ + { + "bbox": [ + 111, + 637, + 514, + 695 + ], + "spans": [ + { + "bbox": [ + 111, + 637, + 514, + 695 + ], + "score": 0.91, + "content": "\\begin{array} { r l r } & { } & { \\displaystyle \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , f ) \\# \\mu = ( \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu } \\\\ & { } & { \\displaystyle + ( \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , f ) \\# \\mu ) \\mathrm { i d } \\mu \\mathrm { ) , ~ } } \\end{array}", + "type": "interline_equation", + "image_path": "e13def8afae7f6e16307eff5ed56afc54db5a068b6575927265991c5c54557bd.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 111, + 637, + 514, + 656.3333333333334 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 111, + 656.3333333333334, + 514, + 675.6666666666667 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 111, + 675.6666666666667, + 514, + 695.0000000000001 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 507, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 131, + 723 + ], + "score": 1.0, + "content": "Since", + "type": "text" + }, + { + "bbox": [ + 131, + 711, + 144, + 721 + ], + "score": 0.86, + "content": "\\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 709, + 161, + 723 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 162, + 711, + 173, + 721 + ], + "score": 0.86, + "content": "\\nu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "are uniform discrete probability measures supported on the same number of points,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 329, + 734 + ], + "score": 1.0, + "content": "we know by (Birkhoff, 1946) that the optimal transport", + "type": "text" + }, + { + "bbox": [ + 329, + 725, + 340, + 732 + ], + "score": 0.82, + "content": "\\pi _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 720, + 477, + 734 + ], + "score": 1.0, + "content": "is actually an optimal assignment", + "type": "text" + }, + { + "bbox": [ + 478, + 721, + 489, + 732 + ], + "score": 0.88, + "content": "T _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 720, + 505, + 734 + ], + "score": 1.0, + "content": ", so", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 160, + 96 + ], + "score": 1.0, + "content": "that we have", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 160, + 82, + 237, + 95 + ], + "score": 0.93, + "content": "\\pi _ { n } = ( \\mathrm { i d } , T _ { n } ) \\# \\mu _ { n }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 238, + 81, + 314, + 96 + ], + "score": 1.0, + "content": ". This also implies", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 315, + 83, + 353, + 94 + ], + "score": 0.92, + "content": "\\bar { \\pi } _ { n } = T _ { n }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 353, + 81, + 384, + 96 + ], + "score": 1.0, + "content": "so that", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 385, + 82, + 501, + 95 + ], + "score": 0.92, + "content": "( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu _ { n } = ( \\mathrm { i d } , T _ { n } ) \\# \\mu _ { n }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 502, + 81, + 505, + 96 + ], + "score": 1.0, + "content": ".", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "Hence, the second term in the right-hand side of (18) converges to 0 as a result of the stability of", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "optimal transport (Villani, 2008)[Theorem 5.20]. Now, we show that the first term also converges to", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 114, + 443, + 129 + ], + "spans": [ + { + "bbox": [ + 104, + 114, + 128, + 129 + ], + "score": 1.0, + "content": "0 for", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 128, + 117, + 139, + 127 + ], + "score": 0.86, + "content": "\\varepsilon _ { n }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 140, + 114, + 443, + 129 + ], + "score": 1.0, + "content": "converging sufficiently fast to 0. 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This also implies", + "type": "text" + }, + { + "bbox": [ + 315, + 83, + 353, + 94 + ], + "score": 0.92, + "content": "\\bar { \\pi } _ { n } = T _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 81, + 384, + 96 + ], + "score": 1.0, + "content": "so that", + "type": "text" + }, + { + "bbox": [ + 385, + 82, + 501, + 95 + ], + "score": 0.92, + "content": "( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu _ { n } = ( \\mathrm { i d } , T _ { n } ) \\# \\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 81, + 505, + 96 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "Hence, the second term in the right-hand side of (18) converges to 0 as a result of the stability of", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "optimal transport (Villani, 2008)[Theorem 5.20]. Now, we show that the first term also converges to", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 114, + 443, + 129 + ], + "spans": [ + { + "bbox": [ + 104, + 114, + 128, + 129 + ], + "score": 1.0, + "content": "0 for", + "type": "text" + }, + { + "bbox": [ + 128, + 117, + 139, + 127 + ], + "score": 0.86, + "content": "\\varepsilon _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 114, + 443, + 129 + ], + "score": 1.0, + "content": "converging sufficiently fast to 0. By definition of the pushforward operator,", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 132, + 514, + 159 + ], + "lines": [ + { + "bbox": [ + 111, + 132, + 514, + 159 + ], + "spans": [ + { + "bbox": [ + 111, + 132, + 514, + 159 + ], + "score": 0.89, + "content": "\\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu _ { n } = \\int _ { \\mathbb { R } ^ { d } } g ( x , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x ) d \\mu _ { n } ( x ) - \\int _ { \\mathbb { R } ^ { d } } g ( x , T _ { n } ( x ) ) d \\mu _ { n } ( x ) \\mathrm { d } \\mu _ { n } \\mathrm { d } \\mu _ { n }", + "type": "interline_equation", + "image_path": "08d7be34bdaf0a6ce2818b8de208a5319b02293251fd4d746fc1891393d66488.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 111, + 132, + 514, + 159 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 168, + 183, + 179 + ], + "lines": [ + { + "bbox": [ + 106, + 167, + 183, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 183, + 180 + ], + "score": 1.0, + "content": "and we can bound,", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 183, + 514, + 281 + ], + "lines": [ + { + "bbox": [ + 111, + 183, + 514, + 281 + ], + "spans": [ + { + "bbox": [ + 111, + 183, + 514, + 281 + ], + "score": 0.93, + "content": "\\begin{array} { r l } { \\displaystyle \\int _ { \\mathbb R ^ { d } } g ( x , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x ) ) d \\mu _ { n } ( x ) - \\displaystyle \\int _ { \\mathbb R ^ { d } } g ( x , T _ { n } ( x ) ) d \\mu _ { n } ( x ) \\bigg \\rvert = \\displaystyle \\bigg \\lvert \\frac { 1 } { n } \\displaystyle \\sum _ { i = 1 } ^ { n } g ( x _ { i } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } ) ) - \\frac { 1 } { n } \\displaystyle \\sum _ { i = 1 } ^ { n } g ( x _ { i } , T _ { n } ( x _ { i } ) ) } \\\\ { \\displaystyle } & { \\leqslant \\displaystyle \\sum _ { i } K _ { g } \\| \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } ) - T _ { n } ( x _ { i } ) \\| _ { \\mathbb R ^ { d } , 2 } } \\\\ { \\displaystyle } & { = n K _ { g } \\| \\pi _ { n } ^ { \\varepsilon _ { n } } Y _ { n } - \\pi _ { n } Y _ { n } \\| _ { \\mathbb R ^ { n \\times n } , 2 } } \\\\ { \\displaystyle } & { \\leqslant n K _ { g } \\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb R ^ { n \\times n } , 2 } ^ { 1 / 2 } \\| Y _ { n } \\| _ { \\mathbb R ^ { n \\times d } , 2 } ^ { 1 / 2 } } \\end{array}", + "type": "interline_equation", + "image_path": "e2b8b12d7cd92ec9c8c2bdaba47a172c1f61491ec10b7e2ab34f192d456f46bd.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 111, + 183, + 514, + 215.66666666666666 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 111, + 215.66666666666666, + 514, + 248.33333333333331 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 111, + 248.33333333333331, + 514, + 281.0 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 296, + 506, + 353 + ], + "lines": [ + { + "bbox": [ + 105, + 295, + 504, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 133, + 311 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 297, + 213, + 309 + ], + "score": 0.92, + "content": "Y _ { n } = ( y _ { 1 } , \\cdots , y _ { n } ) ^ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 295, + 231, + 311 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 231, + 297, + 245, + 309 + ], + "score": 0.9, + "content": "K _ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 295, + 355, + 311 + ], + "score": 1.0, + "content": "is the Lipschitz constant of", + "type": "text" + }, + { + "bbox": [ + 356, + 299, + 362, + 308 + ], + "score": 0.79, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 295, + 498, + 311 + ], + "score": 1.0, + "content": ". The first inequality follows from", + "type": "text" + }, + { + "bbox": [ + 498, + 302, + 504, + 308 + ], + "score": 0.83, + "content": "g", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 306, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 505, + 321 + ], + "score": 1.0, + "content": "being Lipschitz. The next equality follows from the discrete close form of the barycentric projection.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 317, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 506, + 332 + ], + "score": 1.0, + "content": "The last inequality is obtained through Cauchy-Schwartz. We can now use the same arguments as in", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 328, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 343 + ], + "score": 1.0, + "content": "the previous proof. A convergence result by Cominetti & San Mart´ın (1994) shows that there exists", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 340, + 365, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 205, + 355 + ], + "score": 1.0, + "content": "positive constants (w.r.t.", + "type": "text" + }, + { + "bbox": [ + 205, + 342, + 217, + 352 + ], + "score": 0.78, + "content": "\\varepsilon _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 340, + 221, + 355 + ], + "score": 1.0, + "content": ")", + "type": "text" + }, + { + "bbox": [ + 222, + 341, + 264, + 353 + ], + "score": 0.9, + "content": "M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 340, + 282, + 355 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 283, + 341, + 322, + 353 + ], + "score": 0.92, + "content": "\\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 340, + 365, + 355 + ], + "score": 1.0, + "content": "such that,", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 216, + 358, + 394, + 378 + ], + "lines": [ + { + "bbox": [ + 216, + 358, + 394, + 378 + ], + "spans": [ + { + "bbox": [ + 216, + 358, + 394, + 378 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb { R } ^ { n \\times n } , 2 } ^ { 1 / 2 } \\leqslant M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } e ^ { - \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\varepsilon _ { n } } } \\qquad } \\end{array}", + "type": "interline_equation", + "image_path": "cacff79242546f70f1e9a6f18ba7f10317bc2c30b91f137678c7f89386276ba5.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 216, + 358, + 394, + 378 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 383, + 505, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 134, + 396 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 384, + 268, + 396 + ], + "score": 0.91, + "content": "c _ { n } = ( c ( x _ { 1 } , y _ { 1 } ) , \\cdot \\cdot \\cdot , c ( x _ { n } , y _ { n } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 383, + 505, + 396 + ], + "score": 1.0, + "content": ". The subscript indices indicate the dependences of each", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 284, + 407 + ], + "score": 1.0, + "content": "constant. Hence, we see that choosing any", + "type": "text" + }, + { + "bbox": [ + 285, + 395, + 303, + 407 + ], + "score": 0.82, + "content": "\\left( \\varepsilon _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "such that (21) tends to 0 provides the results. In", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 406, + 199, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 199, + 417 + ], + "score": 1.0, + "content": "particular, we can take", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16 + }, + { + "type": "interline_equation", + "bbox": [ + 235, + 415, + 376, + 447 + ], + "lines": [ + { + "bbox": [ + 235, + 415, + 376, + 447 + ], + "spans": [ + { + "bbox": [ + 235, + 415, + 376, + 447 + ], + "score": 0.95, + "content": "\\varepsilon _ { n } = \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\ln ( n ^ { 2 } \\| Y _ { n } \\| _ { \\mathbb { R } ^ { n } \\times d , 2 } ^ { 1 / 2 } M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } ) }", + "type": "interline_equation", + "image_path": "914cab973b59b69d740867a97253f9077a595c0cfcc3734b88bca58bd2a4383d.jpg" + } + ] + } + ], + "index": 18.5, + "virtual_lines": [ + { + "bbox": [ + 235, + 415, + 376, + 431.0 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 235, + 431.0, + 376, + 447.0 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 450, + 505, + 474 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 406, + 463 + ], + "score": 1.0, + "content": "which suffices to have the convergence of (15) to 0 for Lipschitz function", + "type": "text" + }, + { + "bbox": [ + 407, + 449, + 479, + 462 + ], + "score": 0.92, + "content": "g \\in \\mathcal { C } _ { l } ( \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 448, + 506, + 463 + ], + "score": 1.0, + "content": ". This", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 459, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 237, + 475 + ], + "score": 1.0, + "content": "proves the weak convergence of", + "type": "text" + }, + { + "bbox": [ + 237, + 461, + 292, + 474 + ], + "score": 0.91, + "content": "( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 459, + 304, + 475 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 305, + 461, + 345, + 473 + ], + "score": 0.91, + "content": "( \\operatorname { i d } , f ) \\# \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 459, + 350, + 475 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 494, + 461, + 505, + 473 + ], + "score": 0.998, + "content": "□", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 107, + 484, + 195, + 496 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 197, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 197, + 498 + ], + "score": 1.0, + "content": "Proof of Corollary 1.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 105, + 508, + 505, + 532 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 154, + 522 + ], + "score": 1.0, + "content": "Proof. Let", + "type": "text" + }, + { + "bbox": [ + 154, + 508, + 210, + 521 + ], + "score": 0.92, + "content": "\\textit { h } \\in \\mathcal { C } _ { b } ( \\mathbb { R } ^ { d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 507, + 374, + 522 + ], + "score": 1.0, + "content": "a bounded continuous function. Let", + "type": "text" + }, + { + "bbox": [ + 374, + 508, + 456, + 521 + ], + "score": 0.92, + "content": "g ~ \\in ~ \\mathcal { C } _ { b } ( \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 507, + 506, + 522 + ], + "score": 1.0, + "content": "defined as", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 107, + 519, + 227, + 533 + ], + "spans": [ + { + "bbox": [ + 107, + 520, + 183, + 532 + ], + "score": 0.92, + "content": "g : { \\mathit { \\Phi } } ( x , y ) \\mapsto h ( y )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 519, + 227, + 533 + ], + "score": 1.0, + "content": ". We have,", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5 + }, + { + "type": "interline_equation", + "bbox": [ + 139, + 536, + 470, + 564 + ], + "lines": [ + { + "bbox": [ + 139, + 536, + 470, + 564 + ], + "spans": [ + { + "bbox": [ + 139, + 536, + 470, + 564 + ], + "score": 0.91, + "content": "\\int _ { \\mathbb { R } ^ { d } } h d \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } } h d f \\# \\mu = \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , f ) \\# \\mu _ { n }", + "type": "interline_equation", + "image_path": "0b0e1ffada4fa69657641f54afe5cd84ec7c73de1f57bbc036e61cf453869f70.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 139, + 536, + 470, + 564 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 568, + 431, + 581 + ], + "lines": [ + { + "bbox": [ + 105, + 566, + 431, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 286, + 584 + ], + "score": 1.0, + "content": "which converges to 0 by Theorem (2). Since", + "type": "text" + }, + { + "bbox": [ + 286, + 569, + 326, + 581 + ], + "score": 0.92, + "content": "f \\# \\mu = \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 566, + 431, + 584 + ], + "score": 1.0, + "content": ", this proves the corollary.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + } + ], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2018", + "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": "15", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 569, + 504, + 579 + ], + "lines": [ + { + "bbox": [ + 496, + 571, + 504, + 579 + ], + "spans": [ + { + "bbox": [ + 496, + 571, + 504, + 579 + ], + "score": 0.997, + "content": "□", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 81, + 506, + 127 + ], + "lines": [], + "index": 1.5, + "bbox_fs": [ + 104, + 81, + 506, + 129 + ], + "lines_deleted": true + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 132, + 514, + 159 + ], + "lines": [ + { + "bbox": [ + 111, + 132, + 514, + 159 + ], + "spans": [ + { + "bbox": [ + 111, + 132, + 514, + 159 + ], + "score": 0.89, + "content": "\\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ) \\# \\mu _ { n } = \\int _ { \\mathbb { R } ^ { d } } g ( x , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x ) d \\mu _ { n } ( x ) - \\int _ { \\mathbb { R } ^ { d } } g ( x , T _ { n } ( x ) ) d \\mu _ { n } ( x ) \\mathrm { d } \\mu _ { n } \\mathrm { d } \\mu _ { n }", + "type": "interline_equation", + "image_path": "08d7be34bdaf0a6ce2818b8de208a5319b02293251fd4d746fc1891393d66488.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 111, + 132, + 514, + 159 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 168, + 183, + 179 + ], + "lines": [ + { + "bbox": [ + 106, + 167, + 183, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 183, + 180 + ], + "score": 1.0, + "content": "and we can bound,", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5, + "bbox_fs": [ + 106, + 167, + 183, + 180 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 183, + 514, + 281 + ], + "lines": [ + { + "bbox": [ + 111, + 183, + 514, + 281 + ], + "spans": [ + { + "bbox": [ + 111, + 183, + 514, + 281 + ], + "score": 0.93, + "content": "\\begin{array} { r l } { \\displaystyle \\int _ { \\mathbb R ^ { d } } g ( x , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x ) ) d \\mu _ { n } ( x ) - \\displaystyle \\int _ { \\mathbb R ^ { d } } g ( x , T _ { n } ( x ) ) d \\mu _ { n } ( x ) \\bigg \\rvert = \\displaystyle \\bigg \\lvert \\frac { 1 } { n } \\displaystyle \\sum _ { i = 1 } ^ { n } g ( x _ { i } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } ) ) - \\frac { 1 } { n } \\displaystyle \\sum _ { i = 1 } ^ { n } g ( x _ { i } , T _ { n } ( x _ { i } ) ) } \\\\ { \\displaystyle } & { \\leqslant \\displaystyle \\sum _ { i } K _ { g } \\| \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ( x _ { i } ) - T _ { n } ( x _ { i } ) \\| _ { \\mathbb R ^ { d } , 2 } } \\\\ { \\displaystyle } & { = n K _ { g } \\| \\pi _ { n } ^ { \\varepsilon _ { n } } Y _ { n } - \\pi _ { n } Y _ { n } \\| _ { \\mathbb R ^ { n \\times n } , 2 } } \\\\ { \\displaystyle } & { \\leqslant n K _ { g } \\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb R ^ { n \\times n } , 2 } ^ { 1 / 2 } \\| Y _ { n } \\| _ { \\mathbb R ^ { n \\times d } , 2 } ^ { 1 / 2 } } \\end{array}", + "type": "interline_equation", + "image_path": "e2b8b12d7cd92ec9c8c2bdaba47a172c1f61491ec10b7e2ab34f192d456f46bd.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 111, + 183, + 514, + 215.66666666666666 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 111, + 215.66666666666666, + 514, + 248.33333333333331 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 111, + 248.33333333333331, + 514, + 281.0 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 296, + 506, + 353 + ], + "lines": [ + { + "bbox": [ + 105, + 295, + 504, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 133, + 311 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 297, + 213, + 309 + ], + "score": 0.92, + "content": "Y _ { n } = ( y _ { 1 } , \\cdots , y _ { n } ) ^ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 295, + 231, + 311 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 231, + 297, + 245, + 309 + ], + "score": 0.9, + "content": "K _ { g }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 295, + 355, + 311 + ], + "score": 1.0, + "content": "is the Lipschitz constant of", + "type": "text" + }, + { + "bbox": [ + 356, + 299, + 362, + 308 + ], + "score": 0.79, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 295, + 498, + 311 + ], + "score": 1.0, + "content": ". The first inequality follows from", + "type": "text" + }, + { + "bbox": [ + 498, + 302, + 504, + 308 + ], + "score": 0.83, + "content": "g", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 306, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 505, + 321 + ], + "score": 1.0, + "content": "being Lipschitz. The next equality follows from the discrete close form of the barycentric projection.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 317, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 506, + 332 + ], + "score": 1.0, + "content": "The last inequality is obtained through Cauchy-Schwartz. We can now use the same arguments as in", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 328, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 343 + ], + "score": 1.0, + "content": "the previous proof. A convergence result by Cominetti & San Mart´ın (1994) shows that there exists", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 340, + 365, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 205, + 355 + ], + "score": 1.0, + "content": "positive constants (w.r.t.", + "type": "text" + }, + { + "bbox": [ + 205, + 342, + 217, + 352 + ], + "score": 0.78, + "content": "\\varepsilon _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 340, + 221, + 355 + ], + "score": 1.0, + "content": ")", + "type": "text" + }, + { + "bbox": [ + 222, + 341, + 264, + 353 + ], + "score": 0.9, + "content": "M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 340, + 282, + 355 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 283, + 341, + 322, + 353 + ], + "score": 0.92, + "content": "\\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 340, + 365, + 355 + ], + "score": 1.0, + "content": "such that,", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 295, + 506, + 355 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 216, + 358, + 394, + 378 + ], + "lines": [ + { + "bbox": [ + 216, + 358, + 394, + 378 + ], + "spans": [ + { + "bbox": [ + 216, + 358, + 394, + 378 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\| \\pi _ { n } ^ { \\varepsilon _ { n } } - \\pi _ { n } \\| _ { \\mathbb { R } ^ { n \\times n } , 2 } ^ { 1 / 2 } \\leqslant M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } e ^ { - \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\varepsilon _ { n } } } \\qquad } \\end{array}", + "type": "interline_equation", + "image_path": "cacff79242546f70f1e9a6f18ba7f10317bc2c30b91f137678c7f89386276ba5.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 216, + 358, + 394, + 378 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 383, + 505, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 134, + 396 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 384, + 268, + 396 + ], + "score": 0.91, + "content": "c _ { n } = ( c ( x _ { 1 } , y _ { 1 } ) , \\cdot \\cdot \\cdot , c ( x _ { n } , y _ { n } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 383, + 505, + 396 + ], + "score": 1.0, + "content": ". The subscript indices indicate the dependences of each", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 284, + 407 + ], + "score": 1.0, + "content": "constant. Hence, we see that choosing any", + "type": "text" + }, + { + "bbox": [ + 285, + 395, + 303, + 407 + ], + "score": 0.82, + "content": "\\left( \\varepsilon _ { n } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "such that (21) tends to 0 provides the results. In", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 406, + 199, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 199, + 417 + ], + "score": 1.0, + "content": "particular, we can take", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 383, + 505, + 417 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 235, + 415, + 376, + 447 + ], + "lines": [ + { + "bbox": [ + 235, + 415, + 376, + 447 + ], + "spans": [ + { + "bbox": [ + 235, + 415, + 376, + 447 + ], + "score": 0.95, + "content": "\\varepsilon _ { n } = \\frac { \\lambda _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } } { \\ln ( n ^ { 2 } \\| Y _ { n } \\| _ { \\mathbb { R } ^ { n } \\times d , 2 } ^ { 1 / 2 } M _ { c _ { n } , \\mu _ { n } , \\nu _ { n } } ) }", + "type": "interline_equation", + "image_path": "914cab973b59b69d740867a97253f9077a595c0cfcc3734b88bca58bd2a4383d.jpg" + } + ] + } + ], + "index": 18.5, + "virtual_lines": [ + { + "bbox": [ + 235, + 415, + 376, + 431.0 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 235, + 431.0, + 376, + 447.0 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 450, + 505, + 474 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 406, + 463 + ], + "score": 1.0, + "content": "which suffices to have the convergence of (15) to 0 for Lipschitz function", + "type": "text" + }, + { + "bbox": [ + 407, + 449, + 479, + 462 + ], + "score": 0.92, + "content": "g \\in \\mathcal { C } _ { l } ( \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 448, + 506, + 463 + ], + "score": 1.0, + "content": ". This", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 459, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 237, + 475 + ], + "score": 1.0, + "content": "proves the weak convergence of", + "type": "text" + }, + { + "bbox": [ + 237, + 461, + 292, + 474 + ], + "score": 0.91, + "content": "( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 459, + 304, + 475 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 305, + 461, + 345, + 473 + ], + "score": 0.91, + "content": "( \\operatorname { i d } , f ) \\# \\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 459, + 350, + 475 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 494, + 461, + 505, + 473 + ], + "score": 0.998, + "content": "□", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 448, + 506, + 475 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 484, + 195, + 496 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 197, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 197, + 498 + ], + "score": 1.0, + "content": "Proof of Corollary 1.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 105, + 508, + 505, + 532 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 154, + 522 + ], + "score": 1.0, + "content": "Proof. Let", + "type": "text" + }, + { + "bbox": [ + 154, + 508, + 210, + 521 + ], + "score": 0.92, + "content": "\\textit { h } \\in \\mathcal { C } _ { b } ( \\mathbb { R } ^ { d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 507, + 374, + 522 + ], + "score": 1.0, + "content": "a bounded continuous function. Let", + "type": "text" + }, + { + "bbox": [ + 374, + 508, + 456, + 521 + ], + "score": 0.92, + "content": "g ~ \\in ~ \\mathcal { C } _ { b } ( \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 507, + 506, + 522 + ], + "score": 1.0, + "content": "defined as", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 107, + 519, + 227, + 533 + ], + "spans": [ + { + "bbox": [ + 107, + 520, + 183, + 532 + ], + "score": 0.92, + "content": "g : { \\mathit { \\Phi } } ( x , y ) \\mapsto h ( y )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 519, + 227, + 533 + ], + "score": 1.0, + "content": ". We have,", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 507, + 506, + 533 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 139, + 536, + 470, + 564 + ], + "lines": [ + { + "bbox": [ + 139, + 536, + 470, + 564 + ], + "spans": [ + { + "bbox": [ + 139, + 536, + 470, + 564 + ], + "score": 0.91, + "content": "\\int _ { \\mathbb { R } ^ { d } } h d \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } } h d f \\# \\mu = \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , \\bar { \\pi } _ { n } ^ { \\varepsilon _ { n } } ) \\# \\mu _ { n } - \\int _ { \\mathbb { R } ^ { d } \\times \\mathbb { R } ^ { d } } g d ( \\mathrm { i d } , f ) \\# \\mu _ { n }", + "type": "interline_equation", + "image_path": "0b0e1ffada4fa69657641f54afe5cd84ec7c73de1f57bbc036e61cf453869f70.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 139, + 536, + 470, + 564 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 568, + 431, + 581 + ], + "lines": [ + { + "bbox": [ + 105, + 566, + 431, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 286, + 584 + ], + "score": 1.0, + "content": "which converges to 0 by Theorem (2). Since", + "type": "text" + }, + { + "bbox": [ + 286, + 569, + 326, + 581 + ], + "score": 0.92, + "content": "f \\# \\mu = \\nu", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 566, + 431, + 584 + ], + "score": 1.0, + "content": ", this proves the corollary.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 566, + 431, + 584 + ] + } + ] + } + ], + "_backend": "pipeline", + "_version_name": "2.2.2" +} \ No newline at end of file diff --git a/parse/train/B1zlp1bRW/B1zlp1bRW_model.json b/parse/train/B1zlp1bRW/B1zlp1bRW_model.json new file mode 100644 index 0000000000000000000000000000000000000000..bdd93416fabbe04e09f686db052d02de26ca0c04 --- /dev/null +++ b/parse/train/B1zlp1bRW/B1zlp1bRW_model.json @@ -0,0 +1,27876 @@ +[ + { + "layout_dets": [ + { + "category_id": 1, + "poly": [ + 298, + 1499, + 1405, + 1499, + 1405, + 1896, + 298, + 1896 + ], + "score": 0.984 + }, + { + "category_id": 1, + "poly": [ + 398, + 984, + 1303, + 984, + 1303, + 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1: Inputs: input measures μ,V; cost function c; batch size p; learning rate y. Discrete case: μ = ∑i aiδxi and u is a finite vector: u(xi) @f ui (similarly for v and v)
2: 3:Continuous case: μ is a continuous measure and u is a neural network (similarly for V and u)
Vindicates the gradient w.r.t. the parameters
4:while not converged do
5:sample a batch (x1,..,xp) from μ
6: 7:sample a batch (y1,.., yp) from v update u ←u+γ∑ij Vu(xi)+OuFe(u(xi),v(yj))Vu(xi)
8:updateu ← U+γ∑ij Vv(yj)+OUFe(u(xi),v(yj))Vv(yj) 9: :end while
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lgorithm 2 Optimal map learning with SGD
Inputs: input measures μ, V; cost function c; dual optimal variables u and v; map fe parame-
terized as a deep NN; batch size n; learning rate y. while not converged do
sample a batch (x1,·· ,xn) from μ
sample a batch (y1,:.,yn) from v
updateθ←0-γ∑ijHe(xi,yj)Vθd(yj,fe(xi)) end while
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MethodMNIST→USPSUSPS→MNISTSVHN→MNIST
Source onlyBar. proj. OTBar. proj. OT with ReBar. proj. Alg. 1 with ReBar. proj. Alg.1 with RL2Monge map Alg. 1+2 with ReMonge map Alg. 1+2 with RL273.4736.9754.33
57.7552.46intractableintractable
68.7557.35
68.8467.877.9257.5558.8760.56
57.47
60.0261.1162.88
72.6160.50
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DIFFERENTIABLE NEURAL ARCHITECTURE SEARCH + +Anonymous authors Paper under double-blind review + +# ABSTRACT + +Recent work in network quantization has substantially reduced the time and space complexity of neural network inference, enabling their deployment on embedded and mobile devices with limited computational and memory resources. However, existing quantization methods often represent all weights and activations with the same precision (bit-width). In this paper, we explore a new dimension of the design space: quantizing different layers with different bit-widths. We formulate this problem as a neural architecture search problem and propose a novel differentiable neural architecture search (DNAS) framework to efficiently explore its exponential search space with gradient-based optimization. Experiments show we surpass the state-of-the-art compression of ResNet on CIFAR-10 and ImageNet. Our quantized models with 21.1x smaller model size or $1 0 3 . 9 \mathrm { X }$ lower computational cost can still outperform baseline quantized or even full precision models. + +# 1 INTRODUCTION + +Recently, ConvNets have become the de-facto method in a wide range of computer vision tasks, achieving state-of-the-art performance. However, due to high computation complexity, it is nontrivial to deploy ConvNets to embedded and mobile devices with limited computational and storage budgets. In recent years, research efforts in both software and hardware have focused on lowprecision inference of ConvNets. Most of the existing quantization methods use the same precision for all (or most of) the layers of a ConvNet. However, such uniform bit-width assignment can be suboptimal since quantizing different layers can have different impact on the accuracy and efficiency of the overall network. Although mixed precision computation is widely supported in a wide range of hardware platforms such as CPUs, FPGAs, and dedicated accelerators, prior efforts have not thoroughly explored the mixed precision quantization of ConvNets. + +For a ConvNet with $N$ layers and $M$ candidate precisions in each layer, we want to find an optimal assignment of precisions to minimize the cost in terms of model size, memory footprint or computation, while keeping the accuracy. An exhaustive combinatorial search has exponential time complexity $( \mathcal { O } ( M ^ { N } ) )$ . Therefore, we need a more efficient approach to explore the design space. + +In this work, we propose a novel, effective, and efficient differentiable neural architecture search (DNAS) framework to solve this problem. The idea is illustrated in Fig. 1. The problem of neural architecture search (NAS) aims to find the optimal neural net architecture in a given search space. In the DNAS framework, we represent the architecture search space with a stochastic super net where nodes represent intermediate data tensors of the super net (e.g., feature maps of a ConvNet) and edges represent operators (e.g., convolution layers in a ConvNet). Any candidate architecture can be seen as a child network (sub-graph) of the super net. When executing the super net, edges are executed stochastically and the probability of execution is parameterized by some architecture parameters $\pmb \theta$ . Under this formulation, we can relax the NAS problem and focus on finding the optimal $\pmb \theta$ that gives the optimal expected performance of the stochastic super net. The child network can then be sampled from the optimal architecture distribution. + +We solve for the optimal architecture parameter $\pmb \theta$ by training the stochastic super net with SGD with respect to both the network’s weights and the architecture parameter $\pmb \theta$ . To compute the gradient of $\pmb \theta$ , we need to back propagate gradients through discrete random variables that control the stochastic edge execution. To address this, we use the Gumbel SoftMax function (Jang et al. (2016)) to “soft-control” the edges. This allows us to directly compute the gradient estimation of $\pmb \theta$ with a controllable trade-off between bias and variance. Using this technique, the stochastic super net becomes fully differentiable and can be effectively and efficiently solved by SGD. + +![](images/d0e4dcc60431b54ef4063c3c7a278c7b6c1d91350873c4d727e753722602d1e1.jpg) +Figure 1: Illustration of a stochastic super net. Nodes represent data tensors and edges represent operators. Edges are executed stochastically following the distribution $P _ { \theta }$ . $\pmb \theta$ denotes the architecture parameter and $\textbf { \em w }$ denotes network weights. The stochastic super net is fully differentiable. + +We apply the DNAS framework to solve the mixed precision quantization problem, by constructing a super net whose macro architecture (number of layers, filter size of each layer, etc.) is the same as the target network. Each layer of the super net contains several parallel edges representing convolution operators with quantized weights and activations with different precisions. We show that using DNAS to search for layer-wise precision assignments for ResNet models on CIFAR10 and ImageNet, we surpass the state-of-the-art compression. Our quantized models with $2 1 . 1 \mathbf { x }$ smaller model size or $1 0 3 . 9 \mathrm { X }$ smaller computational cost can still outperform baseline quantized or even full precision models. The DNAS pipeline is very fast, taking less than 5 hours on 8 V100 GPUs to complete a search on ResNet18 for ImageNet, while previous NAS algorithms (such as Zoph & Le (2016)) typically take a few hundred GPUs for several days. Last, but not least, DNAS is a general architecture search framework that can be applied to other problems such as efficient ConvNet-structure discovery. Due to the page limit, we will leave the discussion to future publications. + +# 2 RELATED WORK + +Network quantization received a lot of research attention in recent years. Early works such as Han et al. (2015); Zhu et al. (2016); Leng et al. (2017) mainly focus on quantizing neural network weights while still using 32-bit activations. Quantizing weights can reduce the model size of the network and therefore reduce storage space and over-the-air communication cost. More recent works such as Rastegari et al. (2016); Zhou et al. (2016); Choi et al. (2018); Jung et al. (2018); Zhuang et al. (2018) quantize both weights and activations to reduce the computational cost on CPUs and dedicated hardware accelerators. Most of the works use the same precision for all or most of the layers of a network. The problem of mixed precision quantization is rarely explored. + +Neural Architecture Search becomes an active research area in recent two years. Zoph & Le (2016) first propose to use reinforcement learning to generate neural network architectures with high accuracy and efficiency. However, the proposed method requires huge amounts of computing resources. Pham et al. (2018) propose an efficient neural architecture search (ENAS) framework that drastically reduces the computational cost. ENAS constructs a super network whose weights are shared with its child networks. They use reinforcement learning to train an RNN controller to sample better child networks from the super net. More recently, Liu et al. (2018) propose DARTS, a differentiable architecture search framework. DARTS also constructs a super net whose edges (candidate operators) are parameterized with coefficients computed by a SoftMax function. The super net is trained and edges with the highest coefficients are kept to form the child network. Our proposed DNAS framework is different from DARTS since we use a stochastic super net – in DARTS, the execution of edges are deterministic and the entire super net is trained together. In DNAS, when training the super net, child networks are sampled, decoupled from the super net and trained independently. The idea of super net and stochastic super net is also used in Saxena & Verbeek (2016); Veniat & Denoyer (2017) to explore macro architectures of neural nets. Another related work is He et al. (2018), which uses AutoML for model compression through network pruning. To the best of our knowledge, we are the first to apply neural architecture search to model quantization. + +# 3 MIXED PRECISION QUANTIZATION + +Normally 32-bit (full-precision) floating point numbers are used to represent weights and activations of neural nets. Quantization projects full-precision weights and activations to fixed-point numbers with lower bit-width, such as 8, 4, and 1 bit. We follow DoReFa-Net (Zhou et al. (2016)) to quantize weights and PACT (Choi et al. (2018)) to quantize activations. See Appendix A for more details. + +For mixed precision quantization, we assume that we have the flexibility to choose different precisions for different layers of a network. Mixed precision computation is widely supported by hardware platforms such as CPUs, FPGAs, and dedicated accelerators. Then the problem is how should we decide the precision for each layer such that we can maintain the accuracy of the network while minimizing the cost in terms of model size or computation. Previous methods use the same precision for all or most of the layers. We expand the design space by choosing different precision assignment from $M$ candidate precisions at $N$ different layers. While exhaustive search yields $\mathcal { O } ( M ^ { N } )$ time complexity, our automated approach is efficient in finding the optimal precision assignment. + +# 4 DIFFERENTIABLE NEURAL ARCHITECTURE SEARCH + +# 4.1 NEURAL ARCHITECTURE SEARCH + +Formally, the neural architecture search (NAS) problem can be formulated as + +$$ +\operatorname* { m i n } _ { a \in \mathcal { A } } \operatorname* { m i n } _ { { \boldsymbol w } _ { a } } \mathcal { L } ( a , { \boldsymbol w } _ { a } ) +$$ + +Here, $a$ denotes a neural architecture, $\mathcal { A }$ denotes the architecture space. ${ \pmb w } _ { a }$ denotes the weights of architecture $a$ . $\mathcal L ( \cdot , \cdot )$ represents the loss function on a target dataset given the architecture $a$ and its parameter ${ \pmb w } _ { a }$ . The loss function is differentiable with respect to ${ \pmb w } _ { a }$ , but not to $a$ . As a consequence, the computational cost of solving the problem in (1) is very high. To solve the inner optimization problem requires to train a neural network $a$ to convergence, which can take days. The outer problem has a discrete search space with exponential complexity. To solve the problem efficiently, we need to avoid enumerating the search space and evaluating each candidate architecture one-by-one. + +# 4.2 DIFFERENTIABLE NEURAL ARCHITECTURE SEARCH + +We discuss the idea of differentiable neural architecture search (DNAS). The idea is illustrated in Fig. 1. We start by constructing a super net to represent the architecture space $\mathcal { A }$ . The super net is essentially a computational DAG (directed acyclic graph) that is denoted as $G = ( V , E )$ . Each node $v _ { i } \in V$ of the super net represents a data tensor. Between two nodes $v _ { i }$ and $v _ { j }$ , there can be $K ^ { i j }$ edges connecting them, indexed as $e _ { k } ^ { i j }$ . Each edge represents an operator parameterized by its trainable weight $w _ { k } ^ { i j }$ . The operator takes the data tensor at $v _ { i }$ as its input and computes its output as $e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } )$ . To compute the data tensor at $v _ { j }$ , we sum the output of all incoming edges as + +$$ +v _ { j } = \sum _ { i , k } e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } ) . +$$ + +With this representation, any neural net architecture $a \in \mathcal A$ can be represented by a subgraph $G _ { a } ( V _ { a } , E _ { a } )$ with $V _ { a } \subseteq V , E _ { a } \subseteq E$ . For simplicity, in a candidate architecture, we keep all the nodes of the graph, so $V _ { a } = V$ . And for a pair of nodes $v _ { i } , v _ { j }$ that are connected by $K ^ { i j }$ candidate edges, we only select one edge. Formally, in a candidate architecture $a$ , we re-write equation (2) as + +$$ +v _ { j } = \sum _ { i , k } m _ { k } ^ { i j } e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } ) , +$$ + +where $m _ { k } ^ { i j } \in \{ 0 , 1 \}$ is an “edge-mask” and $\begin{array} { r } { \sum _ { k } m _ { k } ^ { i j } = 1 } \end{array}$ . Note that though the value of $m _ { k } ^ { i j }$ is discrete, we can still compute the gradient to mijk . Let $_ { \mathbf { \nabla } } \mathbf { m } _ { \mathbf { \nabla } }$ be a vector that consists of $m _ { k } ^ { i j }$ for all $e _ { k } ^ { i j } \in E$ . For any architecture $a \in { \mathcal { A } }$ , we can encode it using an “edge-mask” vector $m _ { a }$ . So we re-write the loss function in equation (1) to an equivalent form as $\mathcal { L } ( m _ { a } , w _ { a } )$ . + +We next convert the super net to a stochastic super net whose edges are executed stochastically. For each edge $e _ { k } ^ { i j }$ , we let $\mathbf { m } _ { k } ^ { i j } \in \{ 0 , 1 \}$ be a random variable and we execute edge $e _ { k } ^ { i j }$ when $\mathrm { m } _ { k } ^ { i j }$ is sampled to be 1. We assign each edge a parameter $\theta _ { k } ^ { i j }$ such that the probability of executing $e _ { k } ^ { i j }$ is + +$$ +P _ { \pmb { \theta } ^ { i j } } \big ( \mathbf { m } _ { k } ^ { i j } = 1 \big ) = \mathrm { s o f t m a x } \big ( \theta _ { k } ^ { i j } \big | \pmb { \theta } ^ { i j } \big ) = \frac { \exp \bigl ( \theta _ { k } ^ { i j } \bigr ) } { \sum _ { k = 1 } ^ { K ^ { i j } } \exp \bigl ( \theta _ { k } ^ { i j } \bigr ) } . +$$ + +The stochastic super net is now parameterized by $\pmb { \theta }$ , a vector whose elements are $\theta _ { k } ^ { i j }$ for all $e _ { k } ^ { i j } \in E$ . From the distribution $P _ { \theta }$ , we can sample a mask vector $m _ { a }$ that corresponds to a candidate architecture $a \in \mathcal A$ . We can further compute the expected loss of the stochastic super net as $\mathbb { E } _ { \mathrm { a } \sim P _ { \theta } } \left[ \mathcal { L } ( \boldsymbol { m } _ { a } , \boldsymbol { w } _ { a } ) \right]$ . The expectation of the loss function is differentiable with respect to ${ \pmb w } _ { a }$ , but not directly to $\pmb \theta$ , since we cannot directly back-propagate the gradient to $\pmb { \theta }$ through the discrete random variable $\mathbf { \nabla } m _ { a }$ . To estimate the gradient, we can use Straight-Through estimation (Bengio et al. (2013)) or REINFORCE (Williams (1992)). Our final choice is to use the Gumbel Softmax technique (Jang et al. (2016)), which will be explained in the next section. Now that the expectation of the loss function becomes fully differentiable, we re-write the problem in equation (1) as + +$$ +\operatorname* { m i n } _ { \theta } \operatorname* { m i n } _ { w _ { a } } \mathbb { E } _ { \mathrm { a } \sim P _ { \theta } } \left[ \mathcal { L } ( m _ { a } , \pmb { w } _ { a } ) \right] +$$ + +The combinatorial optimization problem of solving for the optimal architecture $a \in { \mathcal { A } }$ is relaxed to solving for the optimal architecture-distribution parameter $\pmb \theta$ that minimizes the expected loss. Once we obtain the optimal $\pmb \theta$ , we acquire the optimal architecture by sampling from $P _ { \theta }$ . + +# 4.3 DNAS WITH GUMBEL SOFTMAX + +We use stochastic gradient descent (SGD) to solve Equation (5). The optimization process is also denoted as training the stochastic super net. We compute the Monte Carlo estimation of the gradient + +$$ +\nabla _ { \pmb { \theta } , { \pmb w } _ { a } } \mathbb { E } _ { { \mathbf { a } } \sim P _ { \pmb { \theta } } } \left[ { \mathcal L } ( { \pmb m } _ { a } , { \pmb w } _ { a } ) \right] \approx \frac { 1 } { B } \sum _ { i = 1 } ^ { B } \nabla _ { \pmb { \theta } , { \pmb w } _ { a } } { \mathcal L } ( m _ { a _ { i } } , { \pmb w } _ { a _ { i } } ) , +$$ + +where $a _ { i }$ is an architecture sampled from distribution $P _ { \theta }$ and $B$ is the batch size. Equation (6) provides an unbiased estimation of the gradient, but it has high variance, since the size of the architecture space is orders of magnitude larger than any feasible batch size $B$ . Such high variance for gradient estimation makes it difficult for SGD to converge. + +To address this issue, we use Gumbel Softmax proposed by Jang et al. (2016); Maddison et al. (2016) to control the edge selection. For a node pair $( v _ { i } , v _ { j } )$ , instead of applying a “hard” sampling and execute only one edge, we use Gumbel Softmax to apply a “soft” sampling. We compute $\mathrm { m } _ { k } ^ { i j }$ as + +$$ +\mathbf { m } _ { k } ^ { i j } = \mathrm { G u m b e l S o f t m a x } ( \theta _ { k } ^ { i j } | \theta ^ { i j } ) = \frac { \exp ( ( \theta _ { k } ^ { i j } + \mathbf { g } _ { k } ^ { i j } ) / \tau ) } { \sum _ { k } \exp ( ( \theta _ { k } ^ { i j } + \mathbf { g } _ { k } ^ { i j } ) / \tau ) } , \ g _ { k } ^ { i j } \sim \mathrm { G u m b e l } ( 0 , 1 ) . +$$ + +$\mathbf { g } _ { k } ^ { i j }$ is a random variable drawn from the Gumbel distribution. Note that now $\mathrm { m } _ { k } ^ { i j }$ becomes a continuous random variable. It is directly differentiable with respect to $\theta _ { k } ^ { i j }$ and we don’t need to pass gradient through the random variable $\mathbf { g } _ { k } ^ { i j }$ . Therefore, the gradient of the loss function with respect to $\pmb \theta$ can be computed as + +$$ +\nabla _ { \theta } \mathbb { E } _ { a \sim P _ { \theta } } \left[ \mathcal { L } ( m _ { a } , w _ { a } ) \right] = \mathbb { E } _ { \mathbf { g } \sim \operatorname { G u m b e l } ( 0 , 1 ) } \left[ \frac { \partial \mathcal { L } ( m _ { a } , w _ { a } ) } { \partial \mathbf { m } _ { a } } \cdot \frac { \partial \mathbf { m } _ { a } ( \theta , \mathbf { g } ) } { \partial \theta } \right] . +$$ + +A temperature coefficient $\tau$ is used to control the behavior of the Gumbel Softmax. As $\tau \infty$ , $m ^ { i j }$ become continuous random variable following a uniform distribution. Therefore, in equation (3), all edges are executed and their outputs are averaged. The gradient estimation in equation (6) are biased but the variance is low, which is favorable during the initial stage of the training. As $\tau 0$ , $m ^ { i j }$ gradually becomes a discrete random variable following the categorical distribution of $P _ { \theta ^ { i j } }$ . When computing equation (3), only one edge is sampled to be executed. The gradient estimation then becomes unbiased but the variance is high. This is favorable towards the end of the training. In our experiment, we use an exponential decaying schedule to anneal the temperature as + +$$ +\tau = T _ { 0 } \exp ( - \eta \times e p o c h ) , +$$ + +where $T _ { 0 }$ is the initial temperature when training begins. We decay the temperature exponentially after every epoch. Using the Gumbel Softmax trick effectively stabilizes the super net training. + +In some sense, our work is in the middle ground of two previous works: ENAS by Pham et al. (2018) and DARTS by Liu et al. (2018). ENAS samples child networks from the super net to be trained independently while DARTS trains the entire super net together without decoupling child networks from the super net. By using Gumbel Softmax with an annealing temperature, our DNAS pipeline behaves more like DARTS at the beginning of the search and behaves more like ENAS at the end. + +# 4.4 THE DNAS PIPELINE + +Based on the analysis above, we propose a differentiable neural architecture search pipeline, summarized in Algorithm 1. We first construct a stochastic super net $G$ with architecture parameter $\pmb \theta$ and weight $\textbf { \em w }$ . We train $G$ with respect to $\pmb { w }$ and $\pmb \theta$ separately and alternately. Training the weight $\pmb { w }$ optimizes all candidate edges (operators). However, different edges can have different impact on the overall performance. Therefore, we train the architecture parameter $\pmb \theta$ , to increase the probability to sample those edges with better performance, and to suppress those with worse performance. To ensure generalization, we split the dataset for architecture search into ${ { \mathcal { X } } _ { w } }$ , which is used specifically to train $\pmb { w }$ , and $\mathcal { X } _ { \theta }$ , which is used to train $\pmb \theta$ . The idea is illustrated in Fig. 1. + +In each epoch, we anneal the temperature $\tau$ for gumbel softmax with the schedule in equation (9). To ensure $\textbf { \em w }$ is sufficiently trained before updating $\pmb \theta$ , we postpone the training of $\pmb \theta$ for $N _ { w }$ armup epochs. Through the training, we draw samples $a \sim P _ { \theta }$ . These sampled architectures are then trained on the training dataset $\chi _ { t r a i n }$ and evaluated on the test set $\chi _ { t e s t }$ . + +# Algorithm 1: The DNAS pipeline. + +Input: Stochastic super net $G = ( V , E )$ with parameter $\pmb { \theta }$ and $\pmb { w }$ , searching dataset ${ { \mathcal { X } } _ { w } }$ and $\mathcal { X } _ { \theta }$ , +training dataset $\chi _ { t r a i n }$ , test dataset $\chi _ { t e s t }$ ; +1 $Q _ { A } \varnothing$ ; +2 for epoch $\iota = 0 , \cdots N$ do +3 $\tau T _ { 0 } \exp ( - \eta \times e p o c h )$ ; +4 Train $G$ with respect to $\pmb { w }$ for one epoch; +5 if epoch $> N _ { w a r m u p }$ then +6 Train $G$ with respect to $\pmb \theta$ for one epoch; +7 Sample architectures $a \sim P _ { \theta }$ ; Push $a$ to $Q _ { A }$ ; +8 end +9 end +10 for $a \in Q _ { A }$ do +11 Train $a$ on $\chi _ { t r a i n }$ to convergence; +12 Test a on Xtest; +13 end +Output: Trained architectures $Q _ { A }$ . + +# 5 DNAS FOR MIXED PRECISION QUANTIZATION + +We use the DNAS framework to solve the mixed precision quantization problem – deciding the optimal layer-wise precision assignment. For a ConvNet, we first construct a super net that has the same “macro-structure” (number of layers, number of filters each layer, etc.) as the given network. As shown in Fig. 2. Each node $v _ { i }$ in the super net corresponds to the output tensor (feature map) of layer-i. Each candidate edge ei,ik $e _ { k } ^ { i , i + 1 }$ represents a convolution operator whose weights or activation are quantized to a lower precision. + +![](images/e5028b8fa91b48d78ff66a25b9c60dd072c8879749f8a348c1552b58bf528a46.jpg) +Figure 2: One layer of a super net for mixed precision quantization of a ConvNet. Nodes in the super net represent feature maps, edges represent convolution operators with different bit-widths. + +In order to encourage using lower-precision weights and activations, we define the loss function as + +$$ +{ \mathcal { L } } ( a , { \boldsymbol { w } } _ { a } ) = \operatorname { C r o s s E n t r o p y } ( a ) \times { \mathcal { C } } ( C o s t ( a ) ) . +$$ + +$C o s t ( a )$ denotes the cost of a candidate architecture and $\mathcal { C } ( \cdot )$ is a weighting function to balance the cross entropy term and the cost term. To compress the model size, we define the cost as + +$$ +C o s t ( a ) = \sum _ { e _ { k } ^ { i j } \in E } m _ { k } ^ { i j } \times \# \mathrm { P A R A M } ( e _ { k } ^ { i j } ) \times \mathrm { w e i g h t } \mathrm { b i t } ( e _ { k } ^ { i j } ) , +$$ + +where $\# \mathrm { { P A R A M } ( \cdot ) }$ denotes the number of parameters of a convolution operator and weight-bit(·) denotes the bit-width of the weight. Alternatively, to reduce the computatio $m _ { k } ^ { i j }$ is the edge selection mask described in equation (3).ost by jointly compressing both weights and activations, we use the cost function + +$$ +C o s t ( a ) = \sum _ { e _ { k } ^ { i j } \in E } m _ { k } ^ { i j } \times \# \mathrm { F L O P } ( e _ { k } ^ { i j } ) \times \mathrm { w e i g h t - b i t } ( e _ { k } ^ { i j } ) \times \mathrm { a c t - b i t } ( e _ { k } ^ { i j } ) , +$$ + +where $\# \mathrm { F L O P ( \cdot ) }$ denotes the number of floating point operations of the convolution operator, weight-bit $( \cdot )$ denotes the bit-width of the weight and act-bit $( \cdot )$ denotes the bit-width of the activation. Note that in a candidate architecture, $m _ { k } ^ { i j }$ have binary values $\{ 0 , 1 \}$ . In the super net, we allow $m _ { k } ^ { i j }$ to be continuous so we can compute the expected cost of the super net.. + +To balance the cost term with the cross entropy term in equation (10), we define where $\beta$ is a coefficient to adjust the initial value of $\mathcal { C } ( C o s t ( a ) )$ to be around 1. $\gamma$ is a coefficient to adjust the relative importance of the cost term vs. the cross-entropy term. A larger $\gamma$ leads to a stronger cost term in the loss function, which favors efficiency over accuracy. + +# 6 EXPERIMENTS + +# 6.1 CIFAR10 EXPERIMENTS + +In the first experiment, we focus on quantizing ResNet20, ResNet56, and ResNet110 (He et al. (2016a)) on CIFAR10 (Krizhevsky & Hinton (2009)) dataset. We start by focusing on reducing model size, since smaller models require less storage and communication cost, which is important for mobile and embedded devices. We only perform quantization on weights and use full-precision activations. We conduct mixed precision search at the block level – all layers in one block use the same precision. Following the convention, we do not quantize the first and the last layer. We construct a super net whose macro architecture is exactly the same as our target network. For each block, we can choose a precision from $\{ 0 , 1 , 2 , 3 , 4 , 8 , 3 \dot { 2 } \}$ . If the precision is 0, we simply skip this block so the input and output are identical. If the precision is 32, we use the full-precision floating point weights. For all other precisions with $k$ -bit, we quantize weights to $k$ -bit fixed-point numbers. See Appendix B for more experiment details. + +Our experiment result is summarized in Table 1. For each quantized model, we report its accuracy and model size compression rate compared with 32-bit full precision models. The model size is computed by equation (11). Among all the models we searched, we report the one with the highest test accuracy and the one with the highest compression rate. We compare our method with Zhu et al. (2016), where they use 2-bit (ternary) weights for all the layers of the network, except the first convolution and the last fully connect layer. From the table, we have the following observations: 1) All of our most accurate models out-perform their full-precision counterparts by up to $0 . 3 7 \%$ while still achieves $1 1 . 6 \mathrm { ~ - ~ } 1 2 . 5 X$ model size reduction. 2) Our most efficient models can achieve $1 6 . 6 - 2 0 . 3 X$ model size compression with accuracy drop less than $0 . 3 9 \%$ . 3) Compared with Zhu et al. (2016), our model achieves up to $1 . 5 9 \%$ better accuracy. This is partially due to our improved training recipe as our full-precision model’s accuracy is also higher. But it still demonstrates that our models with searched mixed precision assignment can very well preserve the accuracy. + +Table 2 compares the precision assignment for the most accurate and the most efficient models for ResNet20. Note that for the most efficient model, it directly skips the 3rd block in group-1. In Fig. 3, we plot the accuracy vs. compression rate of searched architectures of ResNet110. We observe that models with random precision assignment (from epoch 0) have significantly worse compression while searched precision assignments generally have higher compression rate and accuracy. + +Table 1: Mixed Precision Quantization for ResNet on CIFAR10 dataset. We report results on $\mathrm { R e s N e t } \{ 2 0 , 5 6 , 1 1 0 \}$ . In the table, we abbreviate accuracy as “Acc” and compression as “Comp”. + +
DNAS (ours)TTQ (Zhu et al. (2016))
FullMost AccurateMost EfficientFull2bit
ResNet20Acc92.3592.72 (+0.37)92.00 (-0.35)91.7791.13 (-0.64)
Comp1.011.616.61.016.0
ResNet56Acc94.4294.57 (+0.15)94.12 (-0.30)93.2093.56 (+0.36)
Comp1.014.618.931.016.0
ResNet110Acc94.7895.07 (+0.29)94.39 (-0.39)1-
Comp1.012.520.311
+ +
g1b1 g1b2g1b3g2b1g2b2g2b3g3b1g3b2g3b3
MostAccurate4 43334431
Most Efficient2 30242321
+ +Table 2: Layer-wise bit-widths for the most accurate vs. the most efficient architecture of ResNet20. + +# 6.2 IMAGENET EXPERIMENTS + +We quantize ResNet18 and ResNet34 on the ImageNet ILSVRC2012 (Deng et al. (2009)) dataset. Different from the original ResNet (He et al. (2016a)), we use the “ReLU-only preactivation” ResNet from He et al. (2016b). Similar to the CIFAR10 experiments, we conduct mixed precision search at the block level. We do not quanitze the first and the last layer. See Appendix B for more details. + +We conduct two sets of experiments. In the first set, we aim at compressing the model size, so we only quantize weights and use the cost function from equation (11). Each block contains convolution operators with weights quantized to $\{ 1 , 2 , 4 , 8 , 3 2 \}$ -bit. In the second set, we aim at compressing computational cost. So we quantize both weights and activations and use the cost function from equation (12). Each block in the super net contains convolution operators with weights and activations quantized to $\{ ( 1 , 4 ) , ( 2 , 4 ) , ( \bar { 3 } , 3 ) , ( 4 , 4 ) , ( 8 , 8 ) , ( 3 2 , 3 2 ) \}$ -bit. The first number in the tuple denotes the weight precision and the second denotes the activation precision. The DNAS search is very efficient, taking less than 5 hours on 8 V100 GPUs to finish the search on ResNet18. + +Our model size compression experiment is reported in Table 3. We report two searched results for each model. “MA” denotes the searched architecture with the highest accuracy, and “ME” denotes the most efficient. We compare our results with TTQ (Zhu et al. (2016)) and ADMM (Leng et al. (2017)). TTQ uses ternary weights (stored by 2 bits) to quantize a network. For ADMM, we cite the result with $\{ - 4 , 4 \}$ configuration where weights can have 7 values and are stored by 3 bits. We report the accuracy and model size compression rate of each model. From Table 3, we have the following observations: 1) All of our most accurate models out-perform full-precision models by up to $0 . 5 \%$ while achieving 10.6-11.2X reduction of model size. 2) Our most efficient models can achieve 19.0 to $2 1 . 1 \mathrm { X }$ reduction of model size, still preserving competitive accuracy. 3) Compared with previous works, even our less accurate model has almost the same accuracy as the full-precision model with 21.1X smaller model size. This is partially because we use label-refinery (Bagherinezhad et al. (2018)) to effectively boost the accuracy of quantized models. But it still demonstrate that our searched models can very well preserve the accuracy, despite its high compression rate. + +Table 3: Mixed Precision Quantization for ResNet on ImageNet for model size compression. In the table, we abbreviate accuracy as “Acc” and compression as “Comp”. “MA” denotes the most accurate model from architecture search and “ME” denotes the most efficient model. + +
DNAS (ours)TTQADMM
FullMAMEFull2bit3bit
ResNet18Acc71.0371.21 (+0.18)69.58 (-1.45)69.668.0 (-1.6)
Comp1.011.221.11.010.7
ResNet34Acc Comp74.12 1.074.61 (+0.49) 10.673.37 (-0.75) 19.0
+ +![](images/7ceb49ae57fc2a02588e83764c2bff94448ae623f85a67c35c2a0be97f306d91.jpg) + +Figure 3: Visualization of all searched architectures for ResNet110 and CIFAR10 dataset. x-axis is the compression rate of each model. y-axis is the accuracy. +Table 4: Mixed Precision Quantization for ResNet on ImageNet for computational cost compression. We abbreviate accuracy as “Acc” and compression rate as “Comp”. “arch- $\{ 1 , 2 , 3 \} ^ { \ast }$ are three searched architectures ranked by accuracy. + +
DNAS (ours)PACTDoReFAQIPGroupNet
arch-1arch-2arch-3W4A4W4A4W4A4W1A2G5
ResNet18Acc71.0170.6468.6569.268.169.367.6
Full Acc71.0371.0371.0370.270.269.269.7
Acc △-0.02-0.39-2.38-1.0-2.1+0.1-2.1
ResNet34Comp Acc33.262.9 73.98103.5646464102.4
Full Acc74.21 74.1273.23
74.1274.12
Acc△ Comp+0.09 40.8-0.14 59.0-0.89 87.4
+ +Our experiment on computational cost compression is reported in Table 4. We report three searched architectures for each model. We report the accuracy and the compression rate of the computational cost of each architecture. We compute the computational cost of each model using equation (12). We compare our results with PACT (Choi et al. (2018)), DoReFA (Zhou et al. (2016)), QIP (Jung et al. (2018)), and GroupNet (Zhuang et al. (2018)). The first three use 4-bit weights and activations. We compute their compression rate as $( 3 2 / 4 ) \times ( 3 2 / 4 ) = 6 4$ . GroupNet uses binary weights and 2-bit activations, but its blocks contain 5 parallel branches. We compute its compression rate as $( 3 2 / 1 ) \times ( 3 2 / 2 ) / 5 \approx 1 0 2 . 4$ The DoReFA result is cited from Choi et al. (2018). From table 4, we have the following observations: 1) Our most accurate architectures (arch-1) have almost the same accuracy $( - 0 . 0 2 \%$ or $+ 0 . 0 9 \%$ ) as the full-precision models with compression rates of $3 3 . 2 \mathrm { x }$ and 40.8X. 2) Comparing arch-2 with PACT, DoReFa, and QIP, we have a similar compression rate (62.9 vs 64), but the accuracy is $0 . 7 1 \mathrm { - } 1 . 9 1 \%$ higher. 3) Comparing arch-3 with GroupNet, we have slightly higher compression rate (103.5 vs. 102.4), but $1 . 0 5 \%$ higher accuracy. + +# 7 CONCLUSION + +In this work we focus on the problem of mixed precision quantization of a ConvNet to determine its layer-wise bit-widths. We formulate this problem as a neural architecture search (NAS) problem and propose a novel, efficient, and effective differentiable neural architecture search (DNAS) framework to solve it. Under the DNAS framework, we efficiently explore the exponential search space of the NAS problem through gradient based optimization (SGD). We use DNAS to search for layer-wise precision assignment for ResNet on CIFAR10 and ImageNet. Our quantized models with $2 1 . 1 \mathbf { x }$ smaller model size or $1 0 3 . 9 \mathrm { X }$ smaller computational cost can still outperform baseline quantized or even full precision models. DNAS is very efficient, taking less than 5 hours to finish a search on ResNet18 for ImageNet. It is also a general architecture search framework that is not limited to the mixed precision quantization problem. Its other applications will be discussed in future publications. + +# REFERENCES + +Hessam Bagherinezhad, Maxwell Horton, Mohammad Rastegari, and Ali Farhadi. Label refinery: Improving imagenet classification through label progression. arXiv preprint arXiv:1805.02641, 2018. + +Yoshua Bengio, Nicholas Leonard, and Aaron Courville. Estimating or propagating gradients ´ through stochastic neurons for conditional computation. arXiv preprint arXiv:1308.3432, 2013. + +Jungwook Choi, Zhuo Wang, Swagath Venkataramani, Pierce I-Jen Chuang, Vijayalakshmi Srinivasan, and Kailash Gopalakrishnan. Pact: Parameterized clipping activation for quantized neural networks. arXiv preprint arXiv:1805.06085, 2018. + +Jia Deng, Wei Dong, Richard Socher, Li-Jia Li, Kai Li, and Li Fei-Fei. Imagenet: A large-scale hierarchical image database. In Computer Vision and Pattern Recognition, 2009. CVPR 2009. IEEE Conference on, pp. 248–255. Ieee, 2009. + +Terrance DeVries and Graham W Taylor. Improved regularization of convolutional neural networks with cutout. arXiv preprint arXiv:1708.04552, 2017. + +Song Han, Huizi Mao, and William J Dally. Deep compression: Compressing deep neural networks with pruning, trained quantization and huffman coding. arXiv preprint arXiv:1510.00149, 2015. + +Kaiming He, Xiangyu Zhang, Shaoqing Ren, and Jian Sun. Deep residual learning for image recognition. In Proceedings of the IEEE conference on computer vision and pattern recognition, pp. 770–778, 2016a. + +Kaiming He, Xiangyu Zhang, Shaoqing Ren, and Jian Sun. Identity mappings in deep residual networks. In European conference on computer vision, pp. 630–645. Springer, 2016b. + +Yihui He, Ji Lin, Zhijian Liu, Hanrui Wang, Li-Jia Li, and Song Han. Amc: Automl for model compression and acceleration on mobile devices. In Proceedings of the European Conference on Computer Vision (ECCV), pp. 784–800, 2018. + +Eric Jang, Shixiang Gu, and Ben Poole. Categorical reparameterization with gumbel-softmax. arXiv preprint arXiv:1611.01144, 2016. + +Sangil Jung, Changyong Son, Seohyung Lee, Jinwoo Son, Youngjun Kwak, Jae-Joon Han, and Changkyu Choi. Joint training of low-precision neural network with quantization interval parameters. arXiv preprint arXiv:1808.05779, 2018. + +Diederik P Kingma and Jimmy Ba. Adam: A method for stochastic optimization. arXiv preprint arXiv:1412.6980, 2014. + +Alex Krizhevsky and Geoffrey Hinton. Learning multiple layers of features from tiny images. Technical report, Citeseer, 2009. + +Cong Leng, Hao Li, Shenghuo Zhu, and Rong Jin. Extremely low bit neural network: Squeeze the last bit out with admm. arXiv preprint arXiv:1707.09870, 2017. + +Hanxiao Liu, Karen Simonyan, and Yiming Yang. Darts: Differentiable architecture search. arXiv preprint arXiv:1806.09055, 2018. + +Chris J Maddison, Andriy Mnih, and Yee Whye Teh. The concrete distribution: A continuous relaxation of discrete random variables. arXiv preprint arXiv:1611.00712, 2016. + +Hieu Pham, Melody Y Guan, Barret Zoph, Quoc V Le, and Jeff Dean. Efficient neural architecture search via parameter sharing. arXiv preprint arXiv:1802.03268, 2018. + +Mohammad Rastegari, Vicente Ordonez, Joseph Redmon, and Ali Farhadi. Xnor-net: Imagenet classification using binary convolutional neural networks. In European Conference on Computer Vision, pp. 525–542. Springer, 2016. + +Shreyas Saxena and Jakob Verbeek. Convolutional neural fabrics. In Advances in Neural Information Processing Systems, pp. 4053–4061, 2016. + +Tom Veniat and Ludovic Denoyer. Learning time/memory-efficient deep architectures with budgeted super networks. arXiv preprint arXiv:1706.00046, 2017. + +Ronald J Williams. Simple statistical gradient-following algorithms for connectionist reinforcement learning. Machine learning, 8(3-4):229–256, 1992. + +Shuchang Zhou, Yuxin Wu, Zekun Ni, Xinyu Zhou, He Wen, and Yuheng Zou. Dorefa-net: Training low bitwidth convolutional neural networks with low bitwidth gradients. arXiv preprint arXiv:1606.06160, 2016. + +Chenzhuo Zhu, Song Han, Huizi Mao, and William J Dally. Trained ternary quantization. arXiv preprint arXiv:1612.01064, 2016. + +Bohan Zhuang, Chunhua Shen, and Ian Reid. Training compact neural networks with binary weights and low precision activations. arXiv preprint arXiv:1808.02631, 2018. + +Barret Zoph and Quoc V Le. Neural architecture search with reinforcement learning. arXiv preprint arXiv:1611.01578, 2016. + +# APPENDIX A WEIGHT AND ACTIVATION QUANTIZATION + +For readers’ convenience, we describe the functions we use to quantize weights and activations in this section. We follow DoReFa-Net (Zhou et al. (2016)) to quantize weights as + +$$ +w _ { k } = 2 Q _ { k } ( \frac { \operatorname { t a n h } ( w ) } { 2 \operatorname* { m a x } ( | \operatorname { t a n h } ( w ) | ) } + 0 . 5 ) . +$$ + +$w$ denotes the latent full-precision weight of a network. $Q _ { k } ( \cdot )$ denotes a $k$ -bit quantization function that quantizes a continuous value $w \in [ 0 , 1 ]$ to its nearest neighbor in $\{ \frac { i } { 2 ^ { k } - 1 } | i = 0 , \cdots , 2 ^ { k } - 1 \}$ . To quantize activations, we follow Choi et al. (2018) to use a bounded activation function followed by a quantization function as + +$$ +\begin{array} { c } { y = P A C T ( x ) = 0 . 5 ( | x | - | x - \alpha | + \alpha ) , } \\ { y _ { k } = Q _ { k } ( y / \alpha ) \cdot \alpha . } \end{array} +$$ + +Here, $x$ is the full precision activation, $y _ { k }$ is the quantized activation. $P A C T ( \cdot )$ is a function that bounds the output between $[ 0 , \alpha ]$ . $\alpha$ is a learnable upper bound of the activation function. + +# APPENDIX B EXPERIMENT DETAILS + +We discuss the experiment details for the CIFAR10 experiments. CIFAR10 contains 50,000 training images and 10,000 testing images to be classified into 10 categories. Image size is $3 2 \times 3 2$ . We report the accuracy on the test set. To train the super net, we randomly split $80 \%$ of the CIFAR10 training set to train the weights $\pmb { w }$ , and $20 \%$ to train the architecture parameter $\pmb \theta$ . We train the super net for 90 epochs with a batch size of 512. To train the model weights, we use SGD with momentum with an initial learning rate of 0.2, momentum of 0.9 and weight decay of $5 \times 1 0 ^ { - 4 }$ . We use the cosine decay schedule to reduce the learning rate. For architecture parameters, we use Adam optimizer (Kingma & Ba (2014)) with a learning rate of $5 \times 1 0 ^ { - 3 }$ and weight decay of $1 0 ^ { - 3 }$ . We use the cost function from equation (11). We set $\beta$ from equation (13) to 0.1 and $\gamma$ to 0.9. To control Gumbel Softmax functions, we use an initial temperature of $T _ { 0 } ~ = ~ 5 . 0$ , and we set the decaying factor $\eta$ from equation (9) to be 0.025. After every 10 epochs of training of super net, we sample 5 architectures from the distribution $P _ { \theta }$ . We train each sampled architecture for 160 epochs and use cutout (DeVries & Taylor (2017)) in data augmentation. Other hyper parameters are the same as training the super net. + +We next discuss the experiment details for ImageNet experiments. ImageNet contains 1,000 classes, with roughly $1 . 3 { \bf M }$ training images and 50K validation images. Images are scaled such that their shorter side is 256 pixels and are cropped to $2 2 4 \times 2 2 4$ before feeding into the network. We report the accuracy on the validation set. Training a super net on ImageNet can be very computationally expensive. Instead, we randomly sample 40 categories from the ImageNet training set to train the super net. We use SGD with momentum to train the super net weights for 60 epochs with a batch size of 256 for ResNet18 and 128 for ResNet34. We set the initial learning rate to be 0.1 and reduce it with the cosine decay schedule. We set the momentum to 0.9. For architecture parameters, we use Adam optimizer with the a learning rate of $1 0 ^ { - 3 }$ and a weight decay of $5 \times 1 0 ^ { - 4 }$ . We set the cost coefficient $\beta$ to 0.05, cost exponent $\gamma$ to 1.2. We set $T _ { 0 }$ to be 5.0 and decay factor $\eta$ to be 0.065. We postpone the training of the architecture parameters by 10 epochs. We sample 2 architectures from the architecture distribution $P _ { \theta }$ every 10 epochs. The rest of the hyper parameters are the same as the CIFAR10 experiments. We train sampled architectures for 120 epochs using SGD with an initial learning rate of 0.1 and cosine decay schedule. We use label-refinery (Bagherinezhad et al. (2018)) in training and we use the same data augmentation as this Pytorch example1. \ No newline at end of file diff --git a/parse/train/BJGVX3CqYm/BJGVX3CqYm_content_list.json b/parse/train/BJGVX3CqYm/BJGVX3CqYm_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..da2b95f6920bd092ec47e79977973e0a7e98e0ba --- /dev/null +++ b/parse/train/BJGVX3CqYm/BJGVX3CqYm_content_list.json @@ -0,0 +1,1376 @@ +[ + { + "type": "text", + "text": "MIXED PRECISION QUANTIZATION OF CONVNETS VIA DIFFERENTIABLE NEURAL ARCHITECTURE SEARCH ", + "text_level": 1, + "bbox": [ + 176, + 98, + 821, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 171, + 398, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Recent work in network quantization has substantially reduced the time and space complexity of neural network inference, enabling their deployment on embedded and mobile devices with limited computational and memory resources. However, existing quantization methods often represent all weights and activations with the same precision (bit-width). In this paper, we explore a new dimension of the design space: quantizing different layers with different bit-widths. We formulate this problem as a neural architecture search problem and propose a novel differentiable neural architecture search (DNAS) framework to efficiently explore its exponential search space with gradient-based optimization. Experiments show we surpass the state-of-the-art compression of ResNet on CIFAR-10 and ImageNet. Our quantized models with 21.1x smaller model size or $1 0 3 . 9 \\mathrm { X }$ lower computational cost can still outperform baseline quantized or even full precision models. ", + "bbox": [ + 233, + 265, + 764, + 431 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 454, + 336, + 470 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Recently, ConvNets have become the de-facto method in a wide range of computer vision tasks, achieving state-of-the-art performance. However, due to high computation complexity, it is nontrivial to deploy ConvNets to embedded and mobile devices with limited computational and storage budgets. In recent years, research efforts in both software and hardware have focused on lowprecision inference of ConvNets. Most of the existing quantization methods use the same precision for all (or most of) the layers of a ConvNet. However, such uniform bit-width assignment can be suboptimal since quantizing different layers can have different impact on the accuracy and efficiency of the overall network. Although mixed precision computation is widely supported in a wide range of hardware platforms such as CPUs, FPGAs, and dedicated accelerators, prior efforts have not thoroughly explored the mixed precision quantization of ConvNets. ", + "bbox": [ + 174, + 484, + 825, + 625 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "For a ConvNet with $N$ layers and $M$ candidate precisions in each layer, we want to find an optimal assignment of precisions to minimize the cost in terms of model size, memory footprint or computation, while keeping the accuracy. An exhaustive combinatorial search has exponential time complexity $( \\mathcal { O } ( M ^ { N } ) )$ . Therefore, we need a more efficient approach to explore the design space. ", + "bbox": [ + 174, + 631, + 825, + 686 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work, we propose a novel, effective, and efficient differentiable neural architecture search (DNAS) framework to solve this problem. The idea is illustrated in Fig. 1. The problem of neural architecture search (NAS) aims to find the optimal neural net architecture in a given search space. In the DNAS framework, we represent the architecture search space with a stochastic super net where nodes represent intermediate data tensors of the super net (e.g., feature maps of a ConvNet) and edges represent operators (e.g., convolution layers in a ConvNet). Any candidate architecture can be seen as a child network (sub-graph) of the super net. When executing the super net, edges are executed stochastically and the probability of execution is parameterized by some architecture parameters $\\pmb \\theta$ . Under this formulation, we can relax the NAS problem and focus on finding the optimal $\\pmb \\theta$ that gives the optimal expected performance of the stochastic super net. The child network can then be sampled from the optimal architecture distribution. ", + "bbox": [ + 174, + 694, + 825, + 847 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We solve for the optimal architecture parameter $\\pmb \\theta$ by training the stochastic super net with SGD with respect to both the network’s weights and the architecture parameter $\\pmb \\theta$ . To compute the gradient of $\\pmb \\theta$ , we need to back propagate gradients through discrete random variables that control the stochastic edge execution. To address this, we use the Gumbel SoftMax function (Jang et al. (2016)) to “soft-control” the edges. This allows us to directly compute the gradient estimation of $\\pmb \\theta$ with a controllable trade-off between bias and variance. Using this technique, the stochastic super net becomes fully differentiable and can be effectively and efficiently solved by SGD. ", + "bbox": [ + 176, + 854, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 132 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/d0e4dcc60431b54ef4063c3c7a278c7b6c1d91350873c4d727e753722602d1e1.jpg", + "image_caption": [ + "Figure 1: Illustration of a stochastic super net. Nodes represent data tensors and edges represent operators. Edges are executed stochastically following the distribution $P _ { \\theta }$ . $\\pmb \\theta$ denotes the architecture parameter and $\\textbf { \\em w }$ denotes network weights. The stochastic super net is fully differentiable. " + ], + "image_footnote": [], + "bbox": [ + 205, + 137, + 792, + 219 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We apply the DNAS framework to solve the mixed precision quantization problem, by constructing a super net whose macro architecture (number of layers, filter size of each layer, etc.) is the same as the target network. Each layer of the super net contains several parallel edges representing convolution operators with quantized weights and activations with different precisions. We show that using DNAS to search for layer-wise precision assignments for ResNet models on CIFAR10 and ImageNet, we surpass the state-of-the-art compression. Our quantized models with $2 1 . 1 \\mathbf { x }$ smaller model size or $1 0 3 . 9 \\mathrm { X }$ smaller computational cost can still outperform baseline quantized or even full precision models. The DNAS pipeline is very fast, taking less than 5 hours on 8 V100 GPUs to complete a search on ResNet18 for ImageNet, while previous NAS algorithms (such as Zoph & Le (2016)) typically take a few hundred GPUs for several days. Last, but not least, DNAS is a general architecture search framework that can be applied to other problems such as efficient ConvNet-structure discovery. Due to the page limit, we will leave the discussion to future publications. ", + "bbox": [ + 174, + 273, + 825, + 440 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 460, + 339, + 476 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Network quantization received a lot of research attention in recent years. Early works such as Han et al. (2015); Zhu et al. (2016); Leng et al. (2017) mainly focus on quantizing neural network weights while still using 32-bit activations. Quantizing weights can reduce the model size of the network and therefore reduce storage space and over-the-air communication cost. More recent works such as Rastegari et al. (2016); Zhou et al. (2016); Choi et al. (2018); Jung et al. (2018); Zhuang et al. (2018) quantize both weights and activations to reduce the computational cost on CPUs and dedicated hardware accelerators. Most of the works use the same precision for all or most of the layers of a network. The problem of mixed precision quantization is rarely explored. ", + "bbox": [ + 173, + 491, + 825, + 602 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Neural Architecture Search becomes an active research area in recent two years. Zoph & Le (2016) first propose to use reinforcement learning to generate neural network architectures with high accuracy and efficiency. However, the proposed method requires huge amounts of computing resources. Pham et al. (2018) propose an efficient neural architecture search (ENAS) framework that drastically reduces the computational cost. ENAS constructs a super network whose weights are shared with its child networks. They use reinforcement learning to train an RNN controller to sample better child networks from the super net. More recently, Liu et al. (2018) propose DARTS, a differentiable architecture search framework. DARTS also constructs a super net whose edges (candidate operators) are parameterized with coefficients computed by a SoftMax function. The super net is trained and edges with the highest coefficients are kept to form the child network. Our proposed DNAS framework is different from DARTS since we use a stochastic super net – in DARTS, the execution of edges are deterministic and the entire super net is trained together. In DNAS, when training the super net, child networks are sampled, decoupled from the super net and trained independently. The idea of super net and stochastic super net is also used in Saxena & Verbeek (2016); Veniat & Denoyer (2017) to explore macro architectures of neural nets. Another related work is He et al. (2018), which uses AutoML for model compression through network pruning. To the best of our knowledge, we are the first to apply neural architecture search to model quantization. ", + "bbox": [ + 173, + 609, + 825, + 844 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3 MIXED PRECISION QUANTIZATION ", + "text_level": 1, + "bbox": [ + 174, + 864, + 496, + 881 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Normally 32-bit (full-precision) floating point numbers are used to represent weights and activations of neural nets. Quantization projects full-precision weights and activations to fixed-point numbers with lower bit-width, such as 8, 4, and 1 bit. We follow DoReFa-Net (Zhou et al. (2016)) to quantize weights and PACT (Choi et al. (2018)) to quantize activations. See Appendix A for more details. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "For mixed precision quantization, we assume that we have the flexibility to choose different precisions for different layers of a network. Mixed precision computation is widely supported by hardware platforms such as CPUs, FPGAs, and dedicated accelerators. Then the problem is how should we decide the precision for each layer such that we can maintain the accuracy of the network while minimizing the cost in terms of model size or computation. Previous methods use the same precision for all or most of the layers. We expand the design space by choosing different precision assignment from $M$ candidate precisions at $N$ different layers. While exhaustive search yields $\\mathcal { O } ( M ^ { N } )$ time complexity, our automated approach is efficient in finding the optimal precision assignment. ", + "bbox": [ + 173, + 138, + 825, + 251 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "4 DIFFERENTIABLE NEURAL ARCHITECTURE SEARCH ", + "text_level": 1, + "bbox": [ + 176, + 270, + 642, + 286 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "4.1 NEURAL ARCHITECTURE SEARCH ", + "text_level": 1, + "bbox": [ + 176, + 301, + 452, + 315 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Formally, the neural architecture search (NAS) problem can be formulated as ", + "bbox": [ + 174, + 327, + 679, + 342 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/1c72c50b682fc0a27ea5d0030ac6b696fe81530eda10d98d9f2f33ab02459a90.jpg", + "text": "$$\n\\operatorname* { m i n } _ { a \\in \\mathcal { A } } \\operatorname* { m i n } _ { { \\boldsymbol w } _ { a } } \\mathcal { L } ( a , { \\boldsymbol w } _ { a } )\n$$", + "text_format": "latex", + "bbox": [ + 434, + 345, + 562, + 369 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Here, $a$ denotes a neural architecture, $\\mathcal { A }$ denotes the architecture space. ${ \\pmb w } _ { a }$ denotes the weights of architecture $a$ . $\\mathcal L ( \\cdot , \\cdot )$ represents the loss function on a target dataset given the architecture $a$ and its parameter ${ \\pmb w } _ { a }$ . The loss function is differentiable with respect to ${ \\pmb w } _ { a }$ , but not to $a$ . As a consequence, the computational cost of solving the problem in (1) is very high. To solve the inner optimization problem requires to train a neural network $a$ to convergence, which can take days. The outer problem has a discrete search space with exponential complexity. To solve the problem efficiently, we need to avoid enumerating the search space and evaluating each candidate architecture one-by-one. ", + "bbox": [ + 173, + 372, + 825, + 472 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "4.2 DIFFERENTIABLE NEURAL ARCHITECTURE SEARCH ", + "text_level": 1, + "bbox": [ + 173, + 486, + 578, + 502 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We discuss the idea of differentiable neural architecture search (DNAS). The idea is illustrated in Fig. 1. We start by constructing a super net to represent the architecture space $\\mathcal { A }$ . The super net is essentially a computational DAG (directed acyclic graph) that is denoted as $G = ( V , E )$ . Each node $v _ { i } \\in V$ of the super net represents a data tensor. Between two nodes $v _ { i }$ and $v _ { j }$ , there can be $K ^ { i j }$ edges connecting them, indexed as $e _ { k } ^ { i j }$ . Each edge represents an operator parameterized by its trainable weight $w _ { k } ^ { i j }$ . The operator takes the data tensor at $v _ { i }$ as its input and computes its output as $e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } )$ . To compute the data tensor at $v _ { j }$ , we sum the output of all incoming edges as ", + "bbox": [ + 173, + 512, + 825, + 621 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/da22426b4f025e4b0a0ee8590dd2fb407f4215eedb3e349258e80e2d9d35d8cf.jpg", + "text": "$$\nv _ { j } = \\sum _ { i , k } e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } ) .\n$$", + "text_format": "latex", + "bbox": [ + 426, + 625, + 573, + 660 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "With this representation, any neural net architecture $a \\in \\mathcal A$ can be represented by a subgraph $G _ { a } ( V _ { a } , E _ { a } )$ with $V _ { a } \\subseteq V , E _ { a } \\subseteq E$ . For simplicity, in a candidate architecture, we keep all the nodes of the graph, so $V _ { a } = V$ . And for a pair of nodes $v _ { i } , v _ { j }$ that are connected by $K ^ { i j }$ candidate edges, we only select one edge. Formally, in a candidate architecture $a$ , we re-write equation (2) as ", + "bbox": [ + 173, + 664, + 823, + 720 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/51438f5a3af0ed63eca33cef95be39619cfc7df3dd9d3aeedfcb6a597bd69480.jpg", + "text": "$$\nv _ { j } = \\sum _ { i , k } m _ { k } ^ { i j } e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 413, + 724, + 584, + 760 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $m _ { k } ^ { i j } \\in \\{ 0 , 1 \\}$ is an “edge-mask” and $\\begin{array} { r } { \\sum _ { k } m _ { k } ^ { i j } = 1 } \\end{array}$ . Note that though the value of $m _ { k } ^ { i j }$ is discrete, we can still compute the gradient to mijk . Let $_ { \\mathbf { \\nabla } } \\mathbf { m } _ { \\mathbf { \\nabla } }$ be a vector that consists of $m _ { k } ^ { i j }$ for all $e _ { k } ^ { i j } \\in E$ . For any architecture $a \\in { \\mathcal { A } }$ , we can encode it using an “edge-mask” vector $m _ { a }$ . So we re-write the loss function in equation (1) to an equivalent form as $\\mathcal { L } ( m _ { a } , w _ { a } )$ . ", + "bbox": [ + 174, + 763, + 825, + 829 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We next convert the super net to a stochastic super net whose edges are executed stochastically. For each edge $e _ { k } ^ { i j }$ , we let $\\mathbf { m } _ { k } ^ { i j } \\in \\{ 0 , 1 \\}$ be a random variable and we execute edge $e _ { k } ^ { i j }$ when $\\mathrm { m } _ { k } ^ { i j }$ is sampled to be 1. We assign each edge a parameter $\\theta _ { k } ^ { i j }$ such that the probability of executing $e _ { k } ^ { i j }$ is ", + "bbox": [ + 174, + 835, + 825, + 883 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/354148fa171ce9a8accd39b7c9c2bd3dd853dabe7080065001d0001f8dd5ff6a.jpg", + "text": "$$\nP _ { \\pmb { \\theta } ^ { i j } } \\big ( \\mathbf { m } _ { k } ^ { i j } = 1 \\big ) = \\mathrm { s o f t m a x } \\big ( \\theta _ { k } ^ { i j } \\big | \\pmb { \\theta } ^ { i j } \\big ) = \\frac { \\exp \\bigl ( \\theta _ { k } ^ { i j } \\bigr ) } { \\sum _ { k = 1 } ^ { K ^ { i j } } \\exp \\bigl ( \\theta _ { k } ^ { i j } \\bigr ) } .\n$$", + "text_format": "latex", + "bbox": [ + 316, + 888, + 681, + 929 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The stochastic super net is now parameterized by $\\pmb { \\theta }$ , a vector whose elements are $\\theta _ { k } ^ { i j }$ for all $e _ { k } ^ { i j } \\in E$ . From the distribution $P _ { \\theta }$ , we can sample a mask vector $m _ { a }$ that corresponds to a candidate architecture $a \\in \\mathcal A$ . We can further compute the expected loss of the stochastic super net as $\\mathbb { E } _ { \\mathrm { a } \\sim P _ { \\theta } } \\left[ \\mathcal { L } ( \\boldsymbol { m } _ { a } , \\boldsymbol { w } _ { a } ) \\right]$ . The expectation of the loss function is differentiable with respect to ${ \\pmb w } _ { a }$ , but not directly to $\\pmb \\theta$ , since we cannot directly back-propagate the gradient to $\\pmb { \\theta }$ through the discrete random variable $\\mathbf { \\nabla } m _ { a }$ . To estimate the gradient, we can use Straight-Through estimation (Bengio et al. (2013)) or REINFORCE (Williams (1992)). Our final choice is to use the Gumbel Softmax technique (Jang et al. (2016)), which will be explained in the next section. Now that the expectation of the loss function becomes fully differentiable, we re-write the problem in equation (1) as ", + "bbox": [ + 173, + 102, + 825, + 229 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/06c8f14612b8c48c6d2bff80d7acd09f923b758a9839a5063029a217eb2da031.jpg", + "text": "$$\n\\operatorname* { m i n } _ { \\theta } \\operatorname* { m i n } _ { w _ { a } } \\mathbb { E } _ { \\mathrm { a } \\sim P _ { \\theta } } \\left[ \\mathcal { L } ( m _ { a } , \\pmb { w } _ { a } ) \\right]\n$$", + "text_format": "latex", + "bbox": [ + 400, + 232, + 596, + 256 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The combinatorial optimization problem of solving for the optimal architecture $a \\in { \\mathcal { A } }$ is relaxed to solving for the optimal architecture-distribution parameter $\\pmb \\theta$ that minimizes the expected loss. Once we obtain the optimal $\\pmb \\theta$ , we acquire the optimal architecture by sampling from $P _ { \\theta }$ . ", + "bbox": [ + 174, + 258, + 825, + 301 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.3 DNAS WITH GUMBEL SOFTMAX ", + "text_level": 1, + "bbox": [ + 174, + 318, + 444, + 332 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We use stochastic gradient descent (SGD) to solve Equation (5). The optimization process is also denoted as training the stochastic super net. We compute the Monte Carlo estimation of the gradient ", + "bbox": [ + 171, + 343, + 823, + 372 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/ffc8698a677c96b35e665fc92a537c446b9a0c8f84d083cad80bbebfa611b408.jpg", + "text": "$$\n\\nabla _ { \\pmb { \\theta } , { \\pmb w } _ { a } } \\mathbb { E } _ { { \\mathbf { a } } \\sim P _ { \\pmb { \\theta } } } \\left[ { \\mathcal L } ( { \\pmb m } _ { a } , { \\pmb w } _ { a } ) \\right] \\approx \\frac { 1 } { B } \\sum _ { i = 1 } ^ { B } \\nabla _ { \\pmb { \\theta } , { \\pmb w } _ { a } } { \\mathcal L } ( m _ { a _ { i } } , { \\pmb w } _ { a _ { i } } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 307, + 375, + 689, + 419 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $a _ { i }$ is an architecture sampled from distribution $P _ { \\theta }$ and $B$ is the batch size. Equation (6) provides an unbiased estimation of the gradient, but it has high variance, since the size of the architecture space is orders of magnitude larger than any feasible batch size $B$ . Such high variance for gradient estimation makes it difficult for SGD to converge. ", + "bbox": [ + 174, + 421, + 825, + 478 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To address this issue, we use Gumbel Softmax proposed by Jang et al. (2016); Maddison et al. (2016) to control the edge selection. For a node pair $( v _ { i } , v _ { j } )$ , instead of applying a “hard” sampling and execute only one edge, we use Gumbel Softmax to apply a “soft” sampling. We compute $\\mathrm { m } _ { k } ^ { i j }$ as ", + "bbox": [ + 173, + 483, + 825, + 530 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/e1cf22f9b9fceb703382afb8dfb00d0d407379347930e8fd2a99850ab1864059.jpg", + "text": "$$\n\\mathbf { m } _ { k } ^ { i j } = \\mathrm { G u m b e l S o f t m a x } ( \\theta _ { k } ^ { i j } | \\theta ^ { i j } ) = \\frac { \\exp ( ( \\theta _ { k } ^ { i j } + \\mathbf { g } _ { k } ^ { i j } ) / \\tau ) } { \\sum _ { k } \\exp ( ( \\theta _ { k } ^ { i j } + \\mathbf { g } _ { k } ^ { i j } ) / \\tau ) } , \\ g _ { k } ^ { i j } \\sim \\mathrm { G u m b e l } ( 0 , 1 ) .\n$$", + "text_format": "latex", + "bbox": [ + 227, + 534, + 767, + 573 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "$\\mathbf { g } _ { k } ^ { i j }$ is a random variable drawn from the Gumbel distribution. Note that now $\\mathrm { m } _ { k } ^ { i j }$ becomes a continuous random variable. It is directly differentiable with respect to $\\theta _ { k } ^ { i j }$ and we don’t need to pass gradient through the random variable $\\mathbf { g } _ { k } ^ { i j }$ . Therefore, the gradient of the loss function with respect to $\\pmb \\theta$ can be computed as ", + "bbox": [ + 173, + 577, + 825, + 641 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/2291b827b0b0b87b8dbb7e25c5c384f47d9167adf12e2d911fabe9ae6cbf6b83.jpg", + "text": "$$\n\\nabla _ { \\theta } \\mathbb { E } _ { a \\sim P _ { \\theta } } \\left[ \\mathcal { L } ( m _ { a } , w _ { a } ) \\right] = \\mathbb { E } _ { \\mathbf { g } \\sim \\operatorname { G u m b e l } ( 0 , 1 ) } \\left[ \\frac { \\partial \\mathcal { L } ( m _ { a } , w _ { a } ) } { \\partial \\mathbf { m } _ { a } } \\cdot \\frac { \\partial \\mathbf { m } _ { a } ( \\theta , \\mathbf { g } ) } { \\partial \\theta } \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 258, + 643, + 738, + 679 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "A temperature coefficient $\\tau$ is used to control the behavior of the Gumbel Softmax. As $\\tau \\infty$ , $m ^ { i j }$ become continuous random variable following a uniform distribution. Therefore, in equation (3), all edges are executed and their outputs are averaged. The gradient estimation in equation (6) are biased but the variance is low, which is favorable during the initial stage of the training. As $\\tau 0$ , $m ^ { i j }$ gradually becomes a discrete random variable following the categorical distribution of $P _ { \\theta ^ { i j } }$ . When computing equation (3), only one edge is sampled to be executed. The gradient estimation then becomes unbiased but the variance is high. This is favorable towards the end of the training. In our experiment, we use an exponential decaying schedule to anneal the temperature as ", + "bbox": [ + 173, + 683, + 825, + 795 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/c5bd09b3262e9ab114429cd2214cf54465436781142846a54a09098c1143d99b.jpg", + "text": "$$\n\\tau = T _ { 0 } \\exp ( - \\eta \\times e p o c h ) ,\n$$", + "text_format": "latex", + "bbox": [ + 410, + 799, + 586, + 815 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $T _ { 0 }$ is the initial temperature when training begins. We decay the temperature exponentially after every epoch. Using the Gumbel Softmax trick effectively stabilizes the super net training. ", + "bbox": [ + 173, + 818, + 825, + 848 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In some sense, our work is in the middle ground of two previous works: ENAS by Pham et al. (2018) and DARTS by Liu et al. (2018). ENAS samples child networks from the super net to be trained independently while DARTS trains the entire super net together without decoupling child networks from the super net. By using Gumbel Softmax with an annealing temperature, our DNAS pipeline behaves more like DARTS at the beginning of the search and behaves more like ENAS at the end. ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.4 THE DNAS PIPELINE", + "text_level": 1, + "bbox": [ + 176, + 103, + 364, + 117 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Based on the analysis above, we propose a differentiable neural architecture search pipeline, summarized in Algorithm 1. We first construct a stochastic super net $G$ with architecture parameter $\\pmb \\theta$ and weight $\\textbf { \\em w }$ . We train $G$ with respect to $\\pmb { w }$ and $\\pmb \\theta$ separately and alternately. Training the weight $\\pmb { w }$ optimizes all candidate edges (operators). However, different edges can have different impact on the overall performance. Therefore, we train the architecture parameter $\\pmb \\theta$ , to increase the probability to sample those edges with better performance, and to suppress those with worse performance. To ensure generalization, we split the dataset for architecture search into ${ { \\mathcal { X } } _ { w } }$ , which is used specifically to train $\\pmb { w }$ , and $\\mathcal { X } _ { \\theta }$ , which is used to train $\\pmb \\theta$ . The idea is illustrated in Fig. 1. ", + "bbox": [ + 173, + 135, + 825, + 247 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In each epoch, we anneal the temperature $\\tau$ for gumbel softmax with the schedule in equation (9). To ensure $\\textbf { \\em w }$ is sufficiently trained before updating $\\pmb \\theta$ , we postpone the training of $\\pmb \\theta$ for $N _ { w }$ armup epochs. Through the training, we draw samples $a \\sim P _ { \\theta }$ . These sampled architectures are then trained on the training dataset $\\chi _ { t r a i n }$ and evaluated on the test set $\\chi _ { t e s t }$ . ", + "bbox": [ + 174, + 253, + 823, + 310 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Algorithm 1: The DNAS pipeline. ", + "text_level": 1, + "bbox": [ + 174, + 323, + 403, + 337 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Input: Stochastic super net $G = ( V , E )$ with parameter $\\pmb { \\theta }$ and $\\pmb { w }$ , searching dataset ${ { \\mathcal { X } } _ { w } }$ and $\\mathcal { X } _ { \\theta }$ , \ntraining dataset $\\chi _ { t r a i n }$ , test dataset $\\chi _ { t e s t }$ ; \n1 $Q _ { A } \\varnothing$ ; \n2 for epoch $\\iota = 0 , \\cdots N$ do \n3 $\\tau T _ { 0 } \\exp ( - \\eta \\times e p o c h )$ ; \n4 Train $G$ with respect to $\\pmb { w }$ for one epoch; \n5 if epoch $> N _ { w a r m u p }$ then \n6 Train $G$ with respect to $\\pmb \\theta$ for one epoch; \n7 Sample architectures $a \\sim P _ { \\theta }$ ; Push $a$ to $Q _ { A }$ ; \n8 end \n9 end \n10 for $a \\in Q _ { A }$ do \n11 Train $a$ on $\\chi _ { t r a i n }$ to convergence; \n12 Test a on Xtest; \n13 end \nOutput: Trained architectures $Q _ { A }$ . ", + "bbox": [ + 158, + 340, + 818, + 569 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "5 DNAS FOR MIXED PRECISION QUANTIZATION ", + "text_level": 1, + "bbox": [ + 173, + 604, + 596, + 622 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We use the DNAS framework to solve the mixed precision quantization problem – deciding the optimal layer-wise precision assignment. For a ConvNet, we first construct a super net that has the same “macro-structure” (number of layers, number of filters each layer, etc.) as the given network. As shown in Fig. 2. Each node $v _ { i }$ in the super net corresponds to the output tensor (feature map) of layer-i. Each candidate edge ei,ik $e _ { k } ^ { i , i + 1 }$ represents a convolution operator whose weights or activation are quantized to a lower precision. ", + "bbox": [ + 173, + 645, + 826, + 731 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/e5028b8fa91b48d78ff66a25b9c60dd072c8879749f8a348c1552b58bf528a46.jpg", + "image_caption": [ + "Figure 2: One layer of a super net for mixed precision quantization of a ConvNet. Nodes in the super net represent feature maps, edges represent convolution operators with different bit-widths. " + ], + "image_footnote": [], + "bbox": [ + 285, + 755, + 712, + 875 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In order to encourage using lower-precision weights and activations, we define the loss function as ", + "bbox": [ + 169, + 103, + 818, + 118 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/064607cc4076f7ae9a64a15dce821f2fdb40d25e5db6b76d57f018d4853981df.jpg", + "text": "$$\n{ \\mathcal { L } } ( a , { \\boldsymbol { w } } _ { a } ) = \\operatorname { C r o s s E n t r o p y } ( a ) \\times { \\mathcal { C } } ( C o s t ( a ) ) .\n$$", + "text_format": "latex", + "bbox": [ + 348, + 119, + 643, + 136 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$C o s t ( a )$ denotes the cost of a candidate architecture and $\\mathcal { C } ( \\cdot )$ is a weighting function to balance the cross entropy term and the cost term. To compress the model size, we define the cost as ", + "bbox": [ + 173, + 137, + 825, + 165 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/8a4c160d8bc77bf8e771b2ab4741866f9726bcfe1a3574784528211b2a6b9bb2.jpg", + "text": "$$\nC o s t ( a ) = \\sum _ { e _ { k } ^ { i j } \\in E } m _ { k } ^ { i j } \\times \\# \\mathrm { P A R A M } ( e _ { k } ^ { i j } ) \\times \\mathrm { w e i g h t } \\mathrm { b i t } ( e _ { k } ^ { i j } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 305, + 166, + 691, + 204 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\# \\mathrm { { P A R A M } ( \\cdot ) }$ denotes the number of parameters of a convolution operator and weight-bit(·) denotes the bit-width of the weight. Alternatively, to reduce the computatio $m _ { k } ^ { i j }$ is the edge selection mask described in equation (3).ost by jointly compressing both weights and activations, we use the cost function ", + "bbox": [ + 174, + 205, + 825, + 262 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/f695b8f5542fd63180788056c38a70cea93557a119c3f618837ccbf973906162.jpg", + "text": "$$\nC o s t ( a ) = \\sum _ { e _ { k } ^ { i j } \\in E } m _ { k } ^ { i j } \\times \\# \\mathrm { F L O P } ( e _ { k } ^ { i j } ) \\times \\mathrm { w e i g h t - b i t } ( e _ { k } ^ { i j } ) \\times \\mathrm { a c t - b i t } ( e _ { k } ^ { i j } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 267, + 261, + 728, + 300 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\# \\mathrm { F L O P ( \\cdot ) }$ denotes the number of floating point operations of the convolution operator, weight-bit $( \\cdot )$ denotes the bit-width of the weight and act-bit $( \\cdot )$ denotes the bit-width of the activation. Note that in a candidate architecture, $m _ { k } ^ { i j }$ have binary values $\\{ 0 , 1 \\}$ . In the super net, we allow $m _ { k } ^ { i j }$ to be continuous so we can compute the expected cost of the super net.. ", + "bbox": [ + 174, + 301, + 825, + 363 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To balance the cost term with the cross entropy term in equation (10), we define where $\\beta$ is a coefficient to adjust the initial value of $\\mathcal { C } ( C o s t ( a ) )$ to be around 1. $\\gamma$ is a coefficient to adjust the relative importance of the cost term vs. the cross-entropy term. A larger $\\gamma$ leads to a stronger cost term in the loss function, which favors efficiency over accuracy. ", + "bbox": [ + 176, + 369, + 696, + 383 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 402, + 828, + 445 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "6 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 174, + 464, + 326, + 479 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "6.1 CIFAR10 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 174, + 494, + 388, + 508 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In the first experiment, we focus on quantizing ResNet20, ResNet56, and ResNet110 (He et al. (2016a)) on CIFAR10 (Krizhevsky & Hinton (2009)) dataset. We start by focusing on reducing model size, since smaller models require less storage and communication cost, which is important for mobile and embedded devices. We only perform quantization on weights and use full-precision activations. We conduct mixed precision search at the block level – all layers in one block use the same precision. Following the convention, we do not quantize the first and the last layer. We construct a super net whose macro architecture is exactly the same as our target network. For each block, we can choose a precision from $\\{ 0 , 1 , 2 , 3 , 4 , 8 , 3 \\dot { 2 } \\}$ . If the precision is 0, we simply skip this block so the input and output are identical. If the precision is 32, we use the full-precision floating point weights. For all other precisions with $k$ -bit, we quantize weights to $k$ -bit fixed-point numbers. See Appendix B for more experiment details. ", + "bbox": [ + 173, + 520, + 825, + 674 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Our experiment result is summarized in Table 1. For each quantized model, we report its accuracy and model size compression rate compared with 32-bit full precision models. The model size is computed by equation (11). Among all the models we searched, we report the one with the highest test accuracy and the one with the highest compression rate. We compare our method with Zhu et al. (2016), where they use 2-bit (ternary) weights for all the layers of the network, except the first convolution and the last fully connect layer. From the table, we have the following observations: 1) All of our most accurate models out-perform their full-precision counterparts by up to $0 . 3 7 \\%$ while still achieves $1 1 . 6 \\mathrm { ~ - ~ } 1 2 . 5 X$ model size reduction. 2) Our most efficient models can achieve $1 6 . 6 - 2 0 . 3 X$ model size compression with accuracy drop less than $0 . 3 9 \\%$ . 3) Compared with Zhu et al. (2016), our model achieves up to $1 . 5 9 \\%$ better accuracy. This is partially due to our improved training recipe as our full-precision model’s accuracy is also higher. But it still demonstrates that our models with searched mixed precision assignment can very well preserve the accuracy. ", + "bbox": [ + 173, + 680, + 825, + 847 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Table 2 compares the precision assignment for the most accurate and the most efficient models for ResNet20. Note that for the most efficient model, it directly skips the 3rd block in group-1. In Fig. 3, we plot the accuracy vs. compression rate of searched architectures of ResNet110. We observe that models with random precision assignment (from epoch 0) have significantly worse compression while searched precision assignments generally have higher compression rate and accuracy. ", + "bbox": [ + 174, + 854, + 823, + 924 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/44a24723b5549e576902af457dd4d1b13a986d42bafc3383ecc0e7830f7e04f9.jpg", + "table_caption": [ + "Table 1: Mixed Precision Quantization for ResNet on CIFAR10 dataset. We report results on $\\mathrm { R e s N e t } \\{ 2 0 , 5 6 , 1 1 0 \\}$ . In the table, we abbreviate accuracy as “Acc” and compression as “Comp”. " + ], + "table_footnote": [], + "table_body": "
DNAS (ours)TTQ (Zhu et al. (2016))
FullMost AccurateMost EfficientFull2bit
ResNet20Acc92.3592.72 (+0.37)92.00 (-0.35)91.7791.13 (-0.64)
Comp1.011.616.61.016.0
ResNet56Acc94.4294.57 (+0.15)94.12 (-0.30)93.2093.56 (+0.36)
Comp1.014.618.931.016.0
ResNet110Acc94.7895.07 (+0.29)94.39 (-0.39)1-
Comp1.012.520.311
", + "bbox": [ + 173, + 101, + 789, + 217 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/6cb1adba73257cf4e4cc463628cb1ea3cbee39882d350146bae716205064cb63.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
g1b1 g1b2g1b3g2b1g2b2g2b3g3b1g3b2g3b3
MostAccurate4 43334431
Most Efficient2 30242321
", + "bbox": [ + 174, + 275, + 763, + 320 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 2: Layer-wise bit-widths for the most accurate vs. the most efficient architecture of ResNet20. ", + "bbox": [ + 171, + 332, + 821, + 345 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.2 IMAGENET EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 361, + 398, + 376 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We quantize ResNet18 and ResNet34 on the ImageNet ILSVRC2012 (Deng et al. (2009)) dataset. Different from the original ResNet (He et al. (2016a)), we use the “ReLU-only preactivation” ResNet from He et al. (2016b). Similar to the CIFAR10 experiments, we conduct mixed precision search at the block level. We do not quanitze the first and the last layer. See Appendix B for more details. ", + "bbox": [ + 174, + 388, + 825, + 445 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We conduct two sets of experiments. In the first set, we aim at compressing the model size, so we only quantize weights and use the cost function from equation (11). Each block contains convolution operators with weights quantized to $\\{ 1 , 2 , 4 , 8 , 3 2 \\}$ -bit. In the second set, we aim at compressing computational cost. So we quantize both weights and activations and use the cost function from equation (12). Each block in the super net contains convolution operators with weights and activations quantized to $\\{ ( 1 , 4 ) , ( 2 , 4 ) , ( \\bar { 3 } , 3 ) , ( 4 , 4 ) , ( 8 , 8 ) , ( 3 2 , 3 2 ) \\}$ -bit. The first number in the tuple denotes the weight precision and the second denotes the activation precision. The DNAS search is very efficient, taking less than 5 hours on 8 V100 GPUs to finish the search on ResNet18. ", + "bbox": [ + 174, + 452, + 825, + 564 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Our model size compression experiment is reported in Table 3. We report two searched results for each model. “MA” denotes the searched architecture with the highest accuracy, and “ME” denotes the most efficient. We compare our results with TTQ (Zhu et al. (2016)) and ADMM (Leng et al. (2017)). TTQ uses ternary weights (stored by 2 bits) to quantize a network. For ADMM, we cite the result with $\\{ - 4 , 4 \\}$ configuration where weights can have 7 values and are stored by 3 bits. We report the accuracy and model size compression rate of each model. From Table 3, we have the following observations: 1) All of our most accurate models out-perform full-precision models by up to $0 . 5 \\%$ while achieving 10.6-11.2X reduction of model size. 2) Our most efficient models can achieve 19.0 to $2 1 . 1 \\mathrm { X }$ reduction of model size, still preserving competitive accuracy. 3) Compared with previous works, even our less accurate model has almost the same accuracy as the full-precision model with 21.1X smaller model size. This is partially because we use label-refinery (Bagherinezhad et al. (2018)) to effectively boost the accuracy of quantized models. But it still demonstrate that our searched models can very well preserve the accuracy, despite its high compression rate. ", + "bbox": [ + 173, + 570, + 825, + 751 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/c5e7fe1590ba4f051097824b2e5ec09235c800fea1823b86d223558345f1aa5b.jpg", + "table_caption": [ + "Table 3: Mixed Precision Quantization for ResNet on ImageNet for model size compression. In the table, we abbreviate accuracy as “Acc” and compression as “Comp”. “MA” denotes the most accurate model from architecture search and “ME” denotes the most efficient model. " + ], + "table_footnote": [], + "table_body": "
DNAS (ours)TTQADMM
FullMAMEFull2bit3bit
ResNet18Acc71.0371.21 (+0.18)69.58 (-1.45)69.668.0 (-1.6)
Comp1.011.221.11.010.7
ResNet34Acc Comp74.12 1.074.61 (+0.49) 10.673.37 (-0.75) 19.0
", + "bbox": [ + 173, + 779, + 820, + 867 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/7ceb49ae57fc2a02588e83764c2bff94448ae623f85a67c35c2a0be97f306d91.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 285, + 99, + 712, + 261 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/fd758ba2a29aae24b8bb28a79c21ac09e7e01f2568ef24cc4b61bfcec07de3f3.jpg", + "table_caption": [ + "Figure 3: Visualization of all searched architectures for ResNet110 and CIFAR10 dataset. x-axis is the compression rate of each model. y-axis is the accuracy. ", + "Table 4: Mixed Precision Quantization for ResNet on ImageNet for computational cost compression. We abbreviate accuracy as “Acc” and compression rate as “Comp”. “arch- $\\{ 1 , 2 , 3 \\} ^ { \\ast }$ are three searched architectures ranked by accuracy. " + ], + "table_footnote": [], + "table_body": "
DNAS (ours)PACTDoReFAQIPGroupNet
arch-1arch-2arch-3W4A4W4A4W4A4W1A2G5
ResNet18Acc71.0170.6468.6569.268.169.367.6
Full Acc71.0371.0371.0370.270.269.269.7
Acc △-0.02-0.39-2.38-1.0-2.1+0.1-2.1
ResNet34Comp Acc33.262.9 73.98103.5646464102.4
Full Acc74.21 74.1273.23
74.1274.12
Acc△ Comp+0.09 40.8-0.14 59.0-0.89 87.4
", + "bbox": [ + 173, + 313, + 810, + 457 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Our experiment on computational cost compression is reported in Table 4. We report three searched architectures for each model. We report the accuracy and the compression rate of the computational cost of each architecture. We compute the computational cost of each model using equation (12). We compare our results with PACT (Choi et al. (2018)), DoReFA (Zhou et al. (2016)), QIP (Jung et al. (2018)), and GroupNet (Zhuang et al. (2018)). The first three use 4-bit weights and activations. We compute their compression rate as $( 3 2 / 4 ) \\times ( 3 2 / 4 ) = 6 4$ . GroupNet uses binary weights and 2-bit activations, but its blocks contain 5 parallel branches. We compute its compression rate as $( 3 2 / 1 ) \\times ( 3 2 / 2 ) / 5 \\approx 1 0 2 . 4$ The DoReFA result is cited from Choi et al. (2018). From table 4, we have the following observations: 1) Our most accurate architectures (arch-1) have almost the same accuracy $( - 0 . 0 2 \\%$ or $+ 0 . 0 9 \\%$ ) as the full-precision models with compression rates of $3 3 . 2 \\mathrm { x }$ and 40.8X. 2) Comparing arch-2 with PACT, DoReFa, and QIP, we have a similar compression rate (62.9 vs 64), but the accuracy is $0 . 7 1 \\mathrm { - } 1 . 9 1 \\%$ higher. 3) Comparing arch-3 with GroupNet, we have slightly higher compression rate (103.5 vs. 102.4), but $1 . 0 5 \\%$ higher accuracy. ", + "bbox": [ + 173, + 531, + 825, + 713 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "7 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 746, + 318, + 761 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In this work we focus on the problem of mixed precision quantization of a ConvNet to determine its layer-wise bit-widths. We formulate this problem as a neural architecture search (NAS) problem and propose a novel, efficient, and effective differentiable neural architecture search (DNAS) framework to solve it. Under the DNAS framework, we efficiently explore the exponential search space of the NAS problem through gradient based optimization (SGD). We use DNAS to search for layer-wise precision assignment for ResNet on CIFAR10 and ImageNet. Our quantized models with $2 1 . 1 \\mathbf { x }$ smaller model size or $1 0 3 . 9 \\mathrm { X }$ smaller computational cost can still outperform baseline quantized or even full precision models. DNAS is very efficient, taking less than 5 hours to finish a search on ResNet18 for ImageNet. It is also a general architecture search framework that is not limited to the mixed precision quantization problem. Its other applications will be discussed in future publications. 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", + "bbox": [ + 171, + 103, + 825, + 132 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Ronald J Williams. Simple statistical gradient-following algorithms for connectionist reinforcement learning. Machine learning, 8(3-4):229–256, 1992. ", + "bbox": [ + 173, + 140, + 823, + 170 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Shuchang Zhou, Yuxin Wu, Zekun Ni, Xinyu Zhou, He Wen, and Yuheng Zou. Dorefa-net: Training low bitwidth convolutional neural networks with low bitwidth gradients. arXiv preprint arXiv:1606.06160, 2016. ", + "bbox": [ + 176, + 178, + 823, + 220 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Chenzhuo Zhu, Song Han, Huizi Mao, and William J Dally. Trained ternary quantization. arXiv preprint arXiv:1612.01064, 2016. ", + "bbox": [ + 173, + 228, + 823, + 258 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Bohan Zhuang, Chunhua Shen, and Ian Reid. Training compact neural networks with binary weights and low precision activations. arXiv preprint arXiv:1808.02631, 2018. ", + "bbox": [ + 173, + 267, + 823, + 296 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Barret Zoph and Quoc V Le. Neural architecture search with reinforcement learning. arXiv preprint arXiv:1611.01578, 2016. ", + "bbox": [ + 174, + 304, + 823, + 333 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "APPENDIX A WEIGHT AND ACTIVATION QUANTIZATION", + "text_level": 1, + "bbox": [ + 174, + 359, + 658, + 376 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "For readers’ convenience, we describe the functions we use to quantize weights and activations in this section. We follow DoReFa-Net (Zhou et al. (2016)) to quantize weights as ", + "bbox": [ + 173, + 390, + 823, + 420 + ], + "page_idx": 9 + }, + { + "type": "equation", + "img_path": "images/ac46633022d9982e13689e41f6d6036de7ce278a7fdcd8a9052735cfc89e19ff.jpg", + "text": "$$\nw _ { k } = 2 Q _ { k } ( \\frac { \\operatorname { t a n h } ( w ) } { 2 \\operatorname* { m a x } ( | \\operatorname { t a n h } ( w ) | ) } + 0 . 5 ) .\n$$", + "text_format": "latex", + "bbox": [ + 370, + 425, + 625, + 459 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "$w$ denotes the latent full-precision weight of a network. $Q _ { k } ( \\cdot )$ denotes a $k$ -bit quantization function that quantizes a continuous value $w \\in [ 0 , 1 ]$ to its nearest neighbor in $\\{ \\frac { i } { 2 ^ { k } - 1 } | i = 0 , \\cdots , 2 ^ { k } - 1 \\}$ . To quantize activations, we follow Choi et al. (2018) to use a bounded activation function followed by a quantization function as ", + "bbox": [ + 174, + 465, + 825, + 523 + ], + "page_idx": 9 + }, + { + "type": "equation", + "img_path": "images/714cd805430c1e8232814985dec6375606b2e8146100ebc90d02ae4cb2f7e32c.jpg", + "text": "$$\n\\begin{array} { c } { y = P A C T ( x ) = 0 . 5 ( | x | - | x - \\alpha | + \\alpha ) , } \\\\ { y _ { k } = Q _ { k } ( y / \\alpha ) \\cdot \\alpha . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 357, + 529, + 642, + 569 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Here, $x$ is the full precision activation, $y _ { k }$ is the quantized activation. $P A C T ( \\cdot )$ is a function that bounds the output between $[ 0 , \\alpha ]$ . $\\alpha$ is a learnable upper bound of the activation function. ", + "bbox": [ + 173, + 573, + 826, + 602 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "APPENDIX B EXPERIMENT DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 621, + 488, + 637 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We discuss the experiment details for the CIFAR10 experiments. CIFAR10 contains 50,000 training images and 10,000 testing images to be classified into 10 categories. Image size is $3 2 \\times 3 2$ . We report the accuracy on the test set. To train the super net, we randomly split $80 \\%$ of the CIFAR10 training set to train the weights $\\pmb { w }$ , and $20 \\%$ to train the architecture parameter $\\pmb \\theta$ . We train the super net for 90 epochs with a batch size of 512. To train the model weights, we use SGD with momentum with an initial learning rate of 0.2, momentum of 0.9 and weight decay of $5 \\times 1 0 ^ { - 4 }$ . We use the cosine decay schedule to reduce the learning rate. For architecture parameters, we use Adam optimizer (Kingma & Ba (2014)) with a learning rate of $5 \\times 1 0 ^ { - 3 }$ and weight decay of $1 0 ^ { - 3 }$ . We use the cost function from equation (11). We set $\\beta$ from equation (13) to 0.1 and $\\gamma$ to 0.9. To control Gumbel Softmax functions, we use an initial temperature of $T _ { 0 } ~ = ~ 5 . 0$ , and we set the decaying factor $\\eta$ from equation (9) to be 0.025. After every 10 epochs of training of super net, we sample 5 architectures from the distribution $P _ { \\theta }$ . We train each sampled architecture for 160 epochs and use cutout (DeVries & Taylor (2017)) in data augmentation. Other hyper parameters are the same as training the super net. ", + "bbox": [ + 174, + 651, + 825, + 848 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We next discuss the experiment details for ImageNet experiments. ImageNet contains 1,000 classes, with roughly $1 . 3 { \\bf M }$ training images and 50K validation images. Images are scaled such that their shorter side is 256 pixels and are cropped to $2 2 4 \\times 2 2 4$ before feeding into the network. We report the accuracy on the validation set. Training a super net on ImageNet can be very computationally expensive. Instead, we randomly sample 40 categories from the ImageNet training set to train the super net. We use SGD with momentum to train the super net weights for 60 epochs with a batch size of 256 for ResNet18 and 128 for ResNet34. We set the initial learning rate to be 0.1 and reduce it with the cosine decay schedule. We set the momentum to 0.9. For architecture parameters, we use Adam optimizer with the a learning rate of $1 0 ^ { - 3 }$ and a weight decay of $5 \\times 1 0 ^ { - 4 }$ . We set the cost coefficient $\\beta$ to 0.05, cost exponent $\\gamma$ to 1.2. We set $T _ { 0 }$ to be 5.0 and decay factor $\\eta$ to be 0.065. We postpone the training of the architecture parameters by 10 epochs. We sample 2 architectures from the architecture distribution $P _ { \\theta }$ every 10 epochs. The rest of the hyper parameters are the same as the CIFAR10 experiments. We train sampled architectures for 120 epochs using SGD with an initial learning rate of 0.1 and cosine decay schedule. We use label-refinery (Bagherinezhad et al. (2018)) in training and we use the same data augmentation as this Pytorch example1. 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However, due to high computation complexity, it is non-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "score": 1.0, + "content": "trivial to deploy ConvNets to embedded and mobile devices with limited computational and storage", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "budgets. In recent years, research efforts in both software and hardware have focused on low-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 428, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 104, + 428, + 506, + 442 + ], + "score": 1.0, + "content": "precision inference of ConvNets. 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An exhaustive combinatorial search has exponential time", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 532, + 498, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 155, + 547 + ], + "score": 1.0, + "content": "complexity", + "type": "text" + }, + { + "bbox": [ + 155, + 533, + 194, + 545 + ], + "score": 0.9, + "content": "( \\mathcal { O } ( M ^ { N } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 532, + 498, + 547 + ], + "score": 1.0, + "content": ". Therefore, we need a more efficient approach to explore the design space.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 107, + 550, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "score": 1.0, + "content": "In this work, we propose a novel, effective, and efficient differentiable neural architecture search", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "(DNAS) framework to solve this problem. The idea is illustrated in Fig. 1. The problem of neural", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "score": 1.0, + "content": "architecture search (NAS) aims to find the optimal neural net architecture in a given search space.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "In the DNAS framework, we represent the architecture search space with a stochastic super net", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "where nodes represent intermediate data tensors of the super net (e.g., feature maps of a ConvNet)", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 604, + 507, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 507, + 619 + ], + "score": 1.0, + "content": "and edges represent operators (e.g., convolution layers in a ConvNet). Any candidate architecture", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 616, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 629 + ], + "score": 1.0, + "content": "can be seen as a child network (sub-graph) of the super net. 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However,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 243, + 469, + 255 + ], + "spans": [ + { + "bbox": [ + 141, + 243, + 469, + 255 + ], + "score": 1.0, + "content": "existing quantization methods often represent all weights and activations with the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 254, + 469, + 266 + ], + "spans": [ + { + "bbox": [ + 141, + 254, + 469, + 266 + ], + "score": 1.0, + "content": "same precision (bit-width). In this paper, we explore a new dimension of the de-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 265, + 469, + 276 + ], + "spans": [ + { + "bbox": [ + 141, + 265, + 469, + 276 + ], + "score": 1.0, + "content": "sign space: quantizing different layers with different bit-widths. We formulate", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 276, + 469, + 287 + ], + "spans": [ + { + "bbox": [ + 141, + 276, + 469, + 287 + ], + "score": 1.0, + "content": "this problem as a neural architecture search problem and propose a novel differ-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 286, + 469, + 299 + ], + "spans": [ + { + "bbox": [ + 141, + 286, + 469, + 299 + ], + "score": 1.0, + "content": "entiable neural architecture search (DNAS) framework to efficiently explore its", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 298, + 469, + 310 + ], + "spans": [ + { + "bbox": [ + 141, + 298, + 469, + 310 + ], + "score": 1.0, + "content": "exponential search space with gradient-based optimization. Experiments show we", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 309, + 469, + 321 + ], + "spans": [ + { + "bbox": [ + 141, + 309, + 469, + 321 + ], + "score": 1.0, + "content": "surpass the state-of-the-art compression of ResNet on CIFAR-10 and ImageNet.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 319, + 469, + 332 + ], + "spans": [ + { + "bbox": [ + 141, + 319, + 373, + 332 + ], + "score": 1.0, + "content": "Our quantized models with 21.1x smaller model size or", + "type": "text" + }, + { + "bbox": [ + 373, + 320, + 402, + 330 + ], + "score": 0.84, + "content": "1 0 3 . 9 \\mathrm { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 319, + 469, + 332 + ], + "score": 1.0, + "content": "lower computa-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 142, + 331, + 464, + 343 + ], + "spans": [ + { + "bbox": [ + 142, + 331, + 464, + 343 + ], + "score": 1.0, + "content": "tional cost can still outperform baseline quantized or even full precision models.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 10.5, + "bbox_fs": [ + 141, + 210, + 470, + 343 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 360, + 206, + 373 + ], + "lines": [ + { + "bbox": [ + 105, + 359, + 208, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 208, + 376 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 384, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 505, + 398 + ], + "score": 1.0, + "content": "Recently, ConvNets have become the de-facto method in a wide range of computer vision tasks,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 395, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 505, + 408 + ], + "score": 1.0, + "content": "achieving state-of-the-art performance. However, due to high computation complexity, it is non-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "score": 1.0, + "content": "trivial to deploy ConvNets to embedded and mobile devices with limited computational and storage", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "budgets. In recent years, research efforts in both software and hardware have focused on low-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 428, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 104, + 428, + 506, + 442 + ], + "score": 1.0, + "content": "precision inference of ConvNets. 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An exhaustive combinatorial search has exponential time", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 532, + 498, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 155, + 547 + ], + "score": 1.0, + "content": "complexity", + "type": "text" + }, + { + "bbox": [ + 155, + 533, + 194, + 545 + ], + "score": 0.9, + "content": "( \\mathcal { O } ( M ^ { N } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 532, + 498, + 547 + ], + "score": 1.0, + "content": ". Therefore, we need a more efficient approach to explore the design space.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 499, + 505, + 547 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 550, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "score": 1.0, + "content": "In this work, we propose a novel, effective, and efficient differentiable neural architecture search", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "(DNAS) framework to solve this problem. The idea is illustrated in Fig. 1. The problem of neural", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "score": 1.0, + "content": "architecture search (NAS) aims to find the optimal neural net architecture in a given search space.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "In the DNAS framework, we represent the architecture search space with a stochastic super net", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "where nodes represent intermediate data tensors of the super net (e.g., feature maps of a ConvNet)", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 604, + 507, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 507, + 619 + ], + "score": 1.0, + "content": "and edges represent operators (e.g., convolution layers in a ConvNet). Any candidate architecture", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 616, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 629 + ], + "score": 1.0, + "content": "can be seen as a child network (sub-graph) of the super net. 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To compute the gra-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 140, + 712 + ], + "score": 1.0, + "content": "dient of", + "type": "text" + }, + { + "bbox": [ + 141, + 699, + 147, + 709 + ], + "score": 0.76, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 699, + 506, + 712 + ], + "score": 1.0, + "content": ", we need to back propagate gradients through discrete random variables that control the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "stochastic edge execution. To address this, we use the Gumbel SoftMax function (Jang et al. (2016))", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 475, + 733 + ], + "score": 1.0, + "content": "to “soft-control” the edges. This allows us to directly compute the gradient estimation of", + "type": "text" + }, + { + "bbox": [ + 476, + 721, + 483, + 730 + ], + "score": 0.79, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "score": 1.0, + "content": "a controllable trade-off between bias and variance. Using this technique, the stochastic super net", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 94, + 435, + 105 + ], + "spans": [ + { + "bbox": [ + 107, + 94, + 435, + 105 + ], + "score": 1.0, + "content": "becomes fully differentiable and can be effectively and efficiently solved by SGD.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 45, + "bbox_fs": [ + 105, + 676, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "score": 1.0, + "content": "a controllable trade-off between bias and variance. Using this technique, the stochastic super net", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 94, + 435, + 105 + ], + "spans": [ + { + "bbox": [ + 107, + 94, + 435, + 105 + ], + "score": 1.0, + "content": "becomes fully differentiable and can be effectively and efficiently solved by SGD.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "image", + "bbox": [ + 126, + 109, + 485, + 174 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 126, + 109, + 485, + 174 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 126, + 109, + 485, + 174 + ], + "spans": [ + { + "bbox": [ + 126, + 109, + 485, + 174 + ], + "score": 0.961, + "type": "image", + "image_path": "d0e4dcc60431b54ef4063c3c7a278c7b6c1d91350873c4d727e753722602d1e1.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 126, + 109, + 485, + 130.66666666666666 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 126, + 130.66666666666666, + 485, + 152.33333333333331 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 126, + 152.33333333333331, + 485, + 173.99999999999997 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 108, + 178, + 505, + 212 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 177, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 505, + 192 + ], + "score": 1.0, + "content": "Figure 1: Illustration of a stochastic super net. Nodes represent data tensors and edges represent op-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 190, + 505, + 202 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 381, + 202 + ], + "score": 1.0, + "content": "erators. Edges are executed stochastically following the distribution", + "type": "text" + }, + { + "bbox": [ + 381, + 190, + 393, + 200 + ], + "score": 0.82, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 190, + 398, + 202 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 399, + 190, + 406, + 199 + ], + "score": 0.36, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 190, + 505, + 202 + ], + "score": 1.0, + "content": "denotes the architecture", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 200, + 468, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 165, + 213 + ], + "score": 1.0, + "content": "parameter and", + "type": "text" + }, + { + "bbox": [ + 166, + 202, + 176, + 210 + ], + "score": 0.54, + "content": "\\textbf { \\em w }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 200, + 468, + 213 + ], + "score": 1.0, + "content": "denotes network weights. The stochastic super net is fully differentiable.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 107, + 217, + 505, + 349 + ], + "lines": [ + { + "bbox": [ + 106, + 216, + 505, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 505, + 231 + ], + "score": 1.0, + "content": "We apply the DNAS framework to solve the mixed precision quantization problem, by constructing", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "a super net whose macro architecture (number of layers, filter size of each layer, etc.) is the same as", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 239, + 504, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 504, + 252 + ], + "score": 1.0, + "content": "the target network. Each layer of the super net contains several parallel edges representing convolu-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 249, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 505, + 263 + ], + "score": 1.0, + "content": "tion operators with quantized weights and activations with different precisions. We show that using", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 260, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 274 + ], + "score": 1.0, + "content": "DNAS to search for layer-wise precision assignments for ResNet models on CIFAR10 and Ima-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 272, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 421, + 284 + ], + "score": 1.0, + "content": "geNet, we surpass the state-of-the-art compression. Our quantized models with", + "type": "text" + }, + { + "bbox": [ + 421, + 272, + 446, + 282 + ], + "score": 0.54, + "content": "2 1 . 1 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 272, + 506, + 284 + ], + "score": 1.0, + "content": "smaller model", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 135, + 295 + ], + "score": 1.0, + "content": "size or", + "type": "text" + }, + { + "bbox": [ + 136, + 283, + 164, + 294 + ], + "score": 0.72, + "content": "1 0 3 . 9 \\mathrm { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 283, + 505, + 295 + ], + "score": 1.0, + "content": "smaller computational cost can still outperform baseline quantized or even full preci-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 294, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 505, + 306 + ], + "score": 1.0, + "content": "sion models. The DNAS pipeline is very fast, taking less than 5 hours on 8 V100 GPUs to complete", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 304, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 104, + 304, + 505, + 318 + ], + "score": 1.0, + "content": "a search on ResNet18 for ImageNet, while previous NAS algorithms (such as Zoph & Le (2016))", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "score": 1.0, + "content": "typically take a few hundred GPUs for several days. Last, but not least, DNAS is a general archi-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "score": 1.0, + "content": "tecture search framework that can be applied to other problems such as efficient ConvNet-structure", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 337, + 443, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 443, + 350 + ], + "score": 1.0, + "content": "discovery. Due to the page limit, we will leave the discussion to future publications.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 13.5 + }, + { + "type": "title", + "bbox": [ + 108, + 365, + 208, + 377 + ], + "lines": [ + { + "bbox": [ + 104, + 363, + 211, + 380 + ], + "spans": [ + { + "bbox": [ + 104, + 363, + 211, + 380 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 389, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 504, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 504, + 401 + ], + "score": 1.0, + "content": "Network quantization received a lot of research attention in recent years. Early works such as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 399, + 505, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 505, + 413 + ], + "score": 1.0, + "content": "Han et al. (2015); Zhu et al. (2016); Leng et al. (2017) mainly focus on quantizing neural network", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 412, + 504, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 504, + 424 + ], + "score": 1.0, + "content": "weights while still using 32-bit activations. Quantizing weights can reduce the model size of the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 423, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 434 + ], + "score": 1.0, + "content": "network and therefore reduce storage space and over-the-air communication cost. More recent works", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 432, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 505, + 447 + ], + "score": 1.0, + "content": "such as Rastegari et al. (2016); Zhou et al. (2016); Choi et al. (2018); Jung et al. (2018); Zhuang", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 444, + 504, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 504, + 456 + ], + "score": 1.0, + "content": "et al. (2018) quantize both weights and activations to reduce the computational cost on CPUs and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 454, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 505, + 467 + ], + "score": 1.0, + "content": "dedicated hardware accelerators. Most of the works use the same precision for all or most of the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 465, + 446, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 446, + 478 + ], + "score": 1.0, + "content": "layers of a network. The problem of mixed precision quantization is rarely explored.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 106, + 483, + 505, + 669 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "Neural Architecture Search becomes an active research area in recent two years. Zoph & Le", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 493, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 506 + ], + "score": 1.0, + "content": "(2016) first propose to use reinforcement learning to generate neural network architectures with", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 504, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 506, + 518 + ], + "score": 1.0, + "content": "high accuracy and efficiency. However, the proposed method requires huge amounts of computing", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "score": 1.0, + "content": "resources. Pham et al. (2018) propose an efficient neural architecture search (ENAS) framework", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "score": 1.0, + "content": "that drastically reduces the computational cost. ENAS constructs a super network whose weights", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "are shared with its child networks. They use reinforcement learning to train an RNN controller to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 547, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 506, + 562 + ], + "score": 1.0, + "content": "sample better child networks from the super net. More recently, Liu et al. (2018) propose DARTS, a", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 558, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 573 + ], + "score": 1.0, + "content": "differentiable architecture search framework. DARTS also constructs a super net whose edges (can-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 571, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 584 + ], + "score": 1.0, + "content": "didate operators) are parameterized with coefficients computed by a SoftMax function. The super", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 581, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 104, + 581, + 506, + 595 + ], + "score": 1.0, + "content": "net is trained and edges with the highest coefficients are kept to form the child network. Our pro-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "score": 1.0, + "content": "posed DNAS framework is different from DARTS since we use a stochastic super net – in DARTS,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 604, + 504, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 504, + 615 + ], + "score": 1.0, + "content": "the execution of edges are deterministic and the entire super net is trained together. In DNAS, when", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "score": 1.0, + "content": "training the super net, child networks are sampled, decoupled from the super net and trained inde-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 624, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 506, + 639 + ], + "score": 1.0, + "content": "pendently. The idea of super net and stochastic super net is also used in Saxena & Verbeek (2016);", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 636, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 506, + 649 + ], + "score": 1.0, + "content": "Veniat & Denoyer (2017) to explore macro architectures of neural nets. Another related work is He", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "score": 1.0, + "content": "et al. (2018), which uses AutoML for model compression through network pruning. To the best of", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 659, + 463, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 463, + 670 + ], + "score": 1.0, + "content": "our knowledge, we are the first to apply neural architecture search to model quantization.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 37 + }, + { + "type": "title", + "bbox": [ + 107, + 685, + 304, + 698 + ], + "lines": [ + { + "bbox": [ + 104, + 683, + 306, + 701 + ], + "spans": [ + { + "bbox": [ + 104, + 683, + 306, + 701 + ], + "score": 1.0, + "content": "3 MIXED PRECISION QUANTIZATION", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Normally 32-bit (full-precision) floating point numbers are used to represent weights and activations", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "of neural nets. Quantization projects full-precision weights and activations to fixed-point numbers", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47.5 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 105 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 505, + 105 + ], + "lines_deleted": true + }, + { + "type": "image", + "bbox": [ + 126, + 109, + 485, + 174 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 126, + 109, + 485, + 174 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 126, + 109, + 485, + 174 + ], + "spans": [ + { + "bbox": [ + 126, + 109, + 485, + 174 + ], + "score": 0.961, + "type": "image", + "image_path": "d0e4dcc60431b54ef4063c3c7a278c7b6c1d91350873c4d727e753722602d1e1.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 126, + 109, + 485, + 130.66666666666666 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 126, + 130.66666666666666, + 485, + 152.33333333333331 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 126, + 152.33333333333331, + 485, + 173.99999999999997 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 108, + 178, + 505, + 212 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 177, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 505, + 192 + ], + "score": 1.0, + "content": "Figure 1: Illustration of a stochastic super net. Nodes represent data tensors and edges represent op-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 190, + 505, + 202 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 381, + 202 + ], + "score": 1.0, + "content": "erators. Edges are executed stochastically following the distribution", + "type": "text" + }, + { + "bbox": [ + 381, + 190, + 393, + 200 + ], + "score": 0.82, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 190, + 398, + 202 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 399, + 190, + 406, + 199 + ], + "score": 0.36, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 190, + 505, + 202 + ], + "score": 1.0, + "content": "denotes the architecture", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 200, + 468, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 165, + 213 + ], + "score": 1.0, + "content": "parameter and", + "type": "text" + }, + { + "bbox": [ + 166, + 202, + 176, + 210 + ], + "score": 0.54, + "content": "\\textbf { \\em w }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 200, + 468, + 213 + ], + "score": 1.0, + "content": "denotes network weights. The stochastic super net is fully differentiable.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 107, + 217, + 505, + 349 + ], + "lines": [ + { + "bbox": [ + 106, + 216, + 505, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 505, + 231 + ], + "score": 1.0, + "content": "We apply the DNAS framework to solve the mixed precision quantization problem, by constructing", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "a super net whose macro architecture (number of layers, filter size of each layer, etc.) is the same as", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 239, + 504, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 504, + 252 + ], + "score": 1.0, + "content": "the target network. Each layer of the super net contains several parallel edges representing convolu-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 249, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 505, + 263 + ], + "score": 1.0, + "content": "tion operators with quantized weights and activations with different precisions. We show that using", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 260, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 274 + ], + "score": 1.0, + "content": "DNAS to search for layer-wise precision assignments for ResNet models on CIFAR10 and Ima-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 272, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 421, + 284 + ], + "score": 1.0, + "content": "geNet, we surpass the state-of-the-art compression. Our quantized models with", + "type": "text" + }, + { + "bbox": [ + 421, + 272, + 446, + 282 + ], + "score": 0.54, + "content": "2 1 . 1 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 272, + 506, + 284 + ], + "score": 1.0, + "content": "smaller model", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 135, + 295 + ], + "score": 1.0, + "content": "size or", + "type": "text" + }, + { + "bbox": [ + 136, + 283, + 164, + 294 + ], + "score": 0.72, + "content": "1 0 3 . 9 \\mathrm { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 283, + 505, + 295 + ], + "score": 1.0, + "content": "smaller computational cost can still outperform baseline quantized or even full preci-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 294, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 505, + 306 + ], + "score": 1.0, + "content": "sion models. The DNAS pipeline is very fast, taking less than 5 hours on 8 V100 GPUs to complete", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 304, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 104, + 304, + 505, + 318 + ], + "score": 1.0, + "content": "a search on ResNet18 for ImageNet, while previous NAS algorithms (such as Zoph & Le (2016))", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "score": 1.0, + "content": "typically take a few hundred GPUs for several days. Last, but not least, DNAS is a general archi-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "score": 1.0, + "content": "tecture search framework that can be applied to other problems such as efficient ConvNet-structure", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 337, + 443, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 443, + 350 + ], + "score": 1.0, + "content": "discovery. Due to the page limit, we will leave the discussion to future publications.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 13.5, + "bbox_fs": [ + 104, + 216, + 506, + 350 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 365, + 208, + 377 + ], + "lines": [ + { + "bbox": [ + 104, + 363, + 211, + 380 + ], + "spans": [ + { + "bbox": [ + 104, + 363, + 211, + 380 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 389, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 504, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 504, + 401 + ], + "score": 1.0, + "content": "Network quantization received a lot of research attention in recent years. Early works such as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 399, + 505, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 505, + 413 + ], + "score": 1.0, + "content": "Han et al. (2015); Zhu et al. (2016); Leng et al. (2017) mainly focus on quantizing neural network", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 412, + 504, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 504, + 424 + ], + "score": 1.0, + "content": "weights while still using 32-bit activations. Quantizing weights can reduce the model size of the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 423, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 434 + ], + "score": 1.0, + "content": "network and therefore reduce storage space and over-the-air communication cost. More recent works", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 432, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 505, + 447 + ], + "score": 1.0, + "content": "such as Rastegari et al. (2016); Zhou et al. (2016); Choi et al. (2018); Jung et al. (2018); Zhuang", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 444, + 504, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 504, + 456 + ], + "score": 1.0, + "content": "et al. (2018) quantize both weights and activations to reduce the computational cost on CPUs and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 454, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 505, + 467 + ], + "score": 1.0, + "content": "dedicated hardware accelerators. Most of the works use the same precision for all or most of the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 465, + 446, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 446, + 478 + ], + "score": 1.0, + "content": "layers of a network. The problem of mixed precision quantization is rarely explored.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 389, + 505, + 478 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 483, + 505, + 669 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "Neural Architecture Search becomes an active research area in recent two years. Zoph & Le", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 493, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 506 + ], + "score": 1.0, + "content": "(2016) first propose to use reinforcement learning to generate neural network architectures with", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 504, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 506, + 518 + ], + "score": 1.0, + "content": "high accuracy and efficiency. However, the proposed method requires huge amounts of computing", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "score": 1.0, + "content": "resources. Pham et al. (2018) propose an efficient neural architecture search (ENAS) framework", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "score": 1.0, + "content": "that drastically reduces the computational cost. ENAS constructs a super network whose weights", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "are shared with its child networks. They use reinforcement learning to train an RNN controller to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 547, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 506, + 562 + ], + "score": 1.0, + "content": "sample better child networks from the super net. More recently, Liu et al. (2018) propose DARTS, a", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 558, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 573 + ], + "score": 1.0, + "content": "differentiable architecture search framework. DARTS also constructs a super net whose edges (can-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 571, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 584 + ], + "score": 1.0, + "content": "didate operators) are parameterized with coefficients computed by a SoftMax function. The super", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 581, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 104, + 581, + 506, + 595 + ], + "score": 1.0, + "content": "net is trained and edges with the highest coefficients are kept to form the child network. Our pro-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 505, + 605 + ], + "score": 1.0, + "content": "posed DNAS framework is different from DARTS since we use a stochastic super net – in DARTS,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 604, + 504, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 504, + 615 + ], + "score": 1.0, + "content": "the execution of edges are deterministic and the entire super net is trained together. In DNAS, when", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "score": 1.0, + "content": "training the super net, child networks are sampled, decoupled from the super net and trained inde-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 624, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 506, + 639 + ], + "score": 1.0, + "content": "pendently. The idea of super net and stochastic super net is also used in Saxena & Verbeek (2016);", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 636, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 506, + 649 + ], + "score": 1.0, + "content": "Veniat & Denoyer (2017) to explore macro architectures of neural nets. Another related work is He", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 506, + 660 + ], + "score": 1.0, + "content": "et al. (2018), which uses AutoML for model compression through network pruning. To the best of", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 659, + 463, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 463, + 670 + ], + "score": 1.0, + "content": "our knowledge, we are the first to apply neural architecture search to model quantization.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 37, + "bbox_fs": [ + 104, + 483, + 506, + 670 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 685, + 304, + 698 + ], + "lines": [ + { + "bbox": [ + 104, + 683, + 306, + 701 + ], + "spans": [ + { + "bbox": [ + 104, + 683, + 306, + 701 + ], + "score": 1.0, + "content": "3 MIXED PRECISION QUANTIZATION", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Normally 32-bit (full-precision) floating point numbers are used to represent weights and activations", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "of neural nets. Quantization projects full-precision weights and activations to fixed-point numbers", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 81, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 505, + 95 + ], + "score": 1.0, + "content": "with lower bit-width, such as 8, 4, and 1 bit. We follow DoReFa-Net (Zhou et al. (2016)) to quantize", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 494, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 494, + 106 + ], + "score": 1.0, + "content": "weights and PACT (Choi et al. (2018)) to quantize activations. See Appendix A for more details.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 47.5, + "bbox_fs": [ + 105, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 505, + 95 + ], + "score": 1.0, + "content": "with lower bit-width, such as 8, 4, and 1 bit. We follow DoReFa-Net (Zhou et al. (2016)) to quantize", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 494, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 494, + 106 + ], + "score": 1.0, + "content": "weights and PACT (Choi et al. (2018)) to quantize activations. See Appendix A for more details.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 106, + 110, + 505, + 199 + ], + "lines": [ + { + "bbox": [ + 106, + 111, + 504, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 111, + 504, + 123 + ], + "score": 1.0, + "content": "For mixed precision quantization, we assume that we have the flexibility to choose different preci-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 122, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 505, + 134 + ], + "score": 1.0, + "content": "sions for different layers of a network. Mixed precision computation is widely supported by hard-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 505, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 144 + ], + "score": 1.0, + "content": "ware platforms such as CPUs, FPGAs, and dedicated accelerators. Then the problem is how should", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 144, + 504, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 504, + 155 + ], + "score": 1.0, + "content": "we decide the precision for each layer such that we can maintain the accuracy of the network while", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "minimizing the cost in terms of model size or computation. Previous methods use the same precision", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "for all or most of the layers. We expand the design space by choosing different precision assignment", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 175, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 129, + 189 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 129, + 176, + 141, + 186 + ], + "score": 0.72, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 176, + 238, + 189 + ], + "score": 1.0, + "content": "candidate precisions at", + "type": "text" + }, + { + "bbox": [ + 238, + 177, + 249, + 186 + ], + "score": 0.77, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 176, + 447, + 189 + ], + "score": 1.0, + "content": "different layers. While exhaustive search yields", + "type": "text" + }, + { + "bbox": [ + 448, + 175, + 483, + 188 + ], + "score": 0.93, + "content": "\\mathcal { O } ( M ^ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "time", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 476, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 476, + 200 + ], + "score": 1.0, + "content": "complexity, our automated approach is efficient in finding the optimal precision assignment.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5 + }, + { + "type": "title", + "bbox": [ + 108, + 214, + 393, + 227 + ], + "lines": [ + { + "bbox": [ + 105, + 213, + 394, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 394, + 229 + ], + "score": 1.0, + "content": "4 DIFFERENTIABLE NEURAL ARCHITECTURE SEARCH", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "title", + "bbox": [ + 108, + 239, + 277, + 250 + ], + "lines": [ + { + "bbox": [ + 106, + 239, + 278, + 251 + ], + "spans": [ + { + "bbox": [ + 106, + 239, + 278, + 251 + ], + "score": 1.0, + "content": "4.1 NEURAL ARCHITECTURE SEARCH", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 259, + 416, + 271 + ], + "lines": [ + { + "bbox": [ + 106, + 259, + 416, + 273 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 416, + 273 + ], + "score": 1.0, + "content": "Formally, the neural architecture search (NAS) problem can be formulated as", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "interline_equation", + "bbox": [ + 266, + 274, + 344, + 293 + ], + "lines": [ + { + "bbox": [ + 266, + 274, + 344, + 293 + ], + "spans": [ + { + "bbox": [ + 266, + 274, + 344, + 293 + ], + "score": 0.92, + "content": "\\operatorname* { m i n } _ { a \\in \\mathcal { A } } \\operatorname* { m i n } _ { { \\boldsymbol w } _ { a } } \\mathcal { L } ( a , { \\boldsymbol w } _ { a } )", + "type": "interline_equation", + "image_path": "1c72c50b682fc0a27ea5d0030ac6b696fe81530eda10d98d9f2f33ab02459a90.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 266, + 274, + 344, + 293 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 295, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 106, + 296, + 506, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 296, + 131, + 308 + ], + "score": 1.0, + "content": "Here,", + "type": "text" + }, + { + "bbox": [ + 131, + 298, + 138, + 306 + ], + "score": 0.68, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 296, + 259, + 308 + ], + "score": 1.0, + "content": "denotes a neural architecture,", + "type": "text" + }, + { + "bbox": [ + 260, + 296, + 269, + 306 + ], + "score": 0.77, + "content": "\\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 296, + 396, + 308 + ], + "score": 1.0, + "content": "denotes the architecture space.", + "type": "text" + }, + { + "bbox": [ + 396, + 298, + 411, + 307 + ], + "score": 0.86, + "content": "{ \\pmb w } _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 296, + 506, + 308 + ], + "score": 1.0, + "content": "denotes the weights of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 307, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 156, + 320 + ], + "score": 1.0, + "content": "architecture", + "type": "text" + }, + { + "bbox": [ + 156, + 309, + 163, + 317 + ], + "score": 0.47, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 307, + 167, + 320 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 167, + 307, + 192, + 319 + ], + "score": 0.88, + "content": "\\mathcal L ( \\cdot , \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 307, + 468, + 320 + ], + "score": 1.0, + "content": "represents the loss function on a target dataset given the architecture", + "type": "text" + }, + { + "bbox": [ + 469, + 309, + 475, + 317 + ], + "score": 0.66, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 307, + 505, + 320 + ], + "score": 1.0, + "content": "and its", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 317, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 148, + 332 + ], + "score": 1.0, + "content": "parameter", + "type": "text" + }, + { + "bbox": [ + 149, + 320, + 162, + 329 + ], + "score": 0.87, + "content": "{ \\pmb w } _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 317, + 361, + 332 + ], + "score": 1.0, + "content": ". The loss function is differentiable with respect to", + "type": "text" + }, + { + "bbox": [ + 362, + 320, + 376, + 329 + ], + "score": 0.87, + "content": "{ \\pmb w } _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 317, + 419, + 332 + ], + "score": 1.0, + "content": ", but not to", + "type": "text" + }, + { + "bbox": [ + 419, + 320, + 425, + 328 + ], + "score": 0.66, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 317, + 506, + 332 + ], + "score": 1.0, + "content": ". As a consequence,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 329, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 505, + 342 + ], + "score": 1.0, + "content": "the computational cost of solving the problem in (1) is very high. To solve the inner optimization", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 273, + 352 + ], + "score": 1.0, + "content": "problem requires to train a neural network", + "type": "text" + }, + { + "bbox": [ + 274, + 342, + 280, + 350 + ], + "score": 0.79, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "to convergence, which can take days. The outer problem", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "has a discrete search space with exponential complexity. To solve the problem efficiently, we need", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 362, + 482, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 482, + 375 + ], + "score": 1.0, + "content": "to avoid enumerating the search space and evaluating each candidate architecture one-by-one.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17 + }, + { + "type": "title", + "bbox": [ + 106, + 385, + 354, + 398 + ], + "lines": [ + { + "bbox": [ + 105, + 385, + 355, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 355, + 399 + ], + "score": 1.0, + "content": "4.2 DIFFERENTIABLE NEURAL ARCHITECTURE SEARCH", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 406, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 107, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 107, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "We discuss the idea of differentiable neural architecture search (DNAS). The idea is illustrated in", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 418, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 431, + 430 + ], + "score": 1.0, + "content": "Fig. 1. We start by constructing a super net to represent the architecture space", + "type": "text" + }, + { + "bbox": [ + 432, + 419, + 441, + 428 + ], + "score": 0.75, + "content": "\\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 418, + 506, + 430 + ], + "score": 1.0, + "content": ". The super net", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 425, + 441 + ], + "score": 1.0, + "content": "is essentially a computational DAG (directed acyclic graph) that is denoted as", + "type": "text" + }, + { + "bbox": [ + 426, + 429, + 476, + 441 + ], + "score": 0.93, + "content": "G = ( V , E )", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 428, + 505, + 441 + ], + "score": 1.0, + "content": ". Each", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 439, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 128, + 453 + ], + "score": 1.0, + "content": "node", + "type": "text" + }, + { + "bbox": [ + 129, + 440, + 160, + 451 + ], + "score": 0.92, + "content": "v _ { i } \\in V", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 439, + 410, + 453 + ], + "score": 1.0, + "content": "of the super net represents a data tensor. 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Each edge represents an operator parameterized by its", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 103, + 462, + 508, + 483 + ], + "spans": [ + { + "bbox": [ + 103, + 462, + 173, + 483 + ], + "score": 1.0, + "content": "trainable weight", + "type": "text" + }, + { + "bbox": [ + 173, + 464, + 189, + 479 + ], + "score": 0.91, + "content": "w _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 462, + 340, + 483 + ], + "score": 1.0, + "content": ". The operator takes the data tensor at", + "type": "text" + }, + { + "bbox": [ + 340, + 469, + 350, + 478 + ], + "score": 0.85, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 462, + 508, + 483 + ], + "score": 1.0, + "content": "as its input and computes its output as", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 107, + 477, + 469, + 495 + ], + "spans": [ + { + "bbox": [ + 107, + 478, + 154, + 492 + ], + "score": 0.93, + "content": "e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } )", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 477, + 278, + 495 + ], + "score": 1.0, + "content": ". To compute the data tensor at", + "type": "text" + }, + { + "bbox": [ + 279, + 482, + 288, + 492 + ], + "score": 0.87, + "content": "v _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 477, + 469, + 495 + ], + "score": 1.0, + "content": ", we sum the output of all incoming edges as", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 25 + }, + { + "type": "interline_equation", + "bbox": [ + 261, + 495, + 351, + 523 + ], + "lines": [ + { + "bbox": [ + 261, + 495, + 351, + 523 + ], + "spans": [ + { + "bbox": [ + 261, + 495, + 351, + 523 + ], + "score": 0.94, + "content": "v _ { j } = \\sum _ { i , k } e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } ) .", + "type": "interline_equation", + "image_path": "da22426b4f025e4b0a0ee8590dd2fb407f4215eedb3e349258e80e2d9d35d8cf.jpg" + } + ] + } + ], + "index": 29.5, + "virtual_lines": [ + { + "bbox": [ + 261, + 495, + 351, + 509.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 261, + 509.0, + 351, + 523.0 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 526, + 504, + 571 + ], + "lines": [ + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 326, + 539 + ], + "score": 1.0, + "content": "With this representation, any neural net architecture", + "type": "text" + }, + { + "bbox": [ + 327, + 527, + 360, + 537 + ], + "score": 0.91, + "content": "a \\in \\mathcal A", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 525, + 506, + 539 + ], + "score": 1.0, + "content": "can be represented by a subgraph", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 536, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 107, + 537, + 155, + 549 + ], + "score": 0.94, + "content": "G _ { a } ( V _ { a } , E _ { a } )", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 536, + 179, + 550 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 179, + 537, + 255, + 549 + ], + "score": 0.92, + "content": "V _ { a } \\subseteq V , E _ { a } \\subseteq E", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 536, + 506, + 550 + ], + "score": 1.0, + "content": ". For simplicity, in a candidate architecture, we keep all the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 548, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 197, + 561 + ], + "score": 1.0, + "content": "nodes of the graph, so", + "type": "text" + }, + { + "bbox": [ + 198, + 549, + 232, + 559 + ], + "score": 0.88, + "content": "V _ { a } = V", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 548, + 333, + 561 + ], + "score": 1.0, + "content": ". 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Formally, in a candidate architecture", + "type": "text" + }, + { + "bbox": [ + 383, + 562, + 389, + 569 + ], + "score": 0.75, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 560, + 504, + 572 + ], + "score": 1.0, + "content": ", we re-write equation (2) as", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5 + }, + { + "type": "interline_equation", + "bbox": [ + 253, + 574, + 358, + 602 + ], + "lines": [ + { + "bbox": [ + 253, + 574, + 358, + 602 + ], + "spans": [ + { + "bbox": [ + 253, + 574, + 358, + 602 + ], + "score": 0.95, + "content": "v _ { j } = \\sum _ { i , k } m _ { k } ^ { i j } e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } ) ,", + "type": "interline_equation", + "image_path": "51438f5a3af0ed63eca33cef95be39619cfc7df3dd9d3aeedfcb6a597bd69480.jpg" + } + ] + } + ], + "index": 35.5, + "virtual_lines": [ + { + "bbox": [ + 253, + 574, + 358, + 588.0 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 253, + 588.0, + 358, + 602.0 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 605, + 505, + 657 + ], + "lines": [ + { + "bbox": [ + 104, + 599, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 104, + 599, + 134, + 628 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 605, + 191, + 620 + ], + "score": 0.94, + "content": "m _ { k } ^ { i j } \\in \\{ 0 , 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 599, + 289, + 628 + ], + "score": 1.0, + "content": "is an “edge-mask” and", + "type": "text" + }, + { + "bbox": [ + 290, + 605, + 345, + 620 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\sum _ { k } m _ { k } ^ { i j } = 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 599, + 477, + 628 + ], + "score": 1.0, + "content": ". Note that though the value of", + "type": "text" + }, + { + "bbox": [ + 477, + 605, + 493, + 619 + ], + "score": 0.92, + "content": "m _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 599, + 505, + 628 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 614, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 104, + 617, + 318, + 636 + ], + "score": 1.0, + "content": "discrete, we can still compute the gradient to mijk", + "type": "text" + }, + { + "bbox": [ + 310, + 614, + 333, + 639 + ], + "score": 1.0, + "content": ". 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For any architecture", + "type": "text" + }, + { + "bbox": [ + 231, + 634, + 260, + 645 + ], + "score": 0.89, + "content": "a \\in { \\mathcal { A } }", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 633, + 455, + 647 + ], + "score": 1.0, + "content": ", we can encode it using an “edge-mask” vector", + "type": "text" + }, + { + "bbox": [ + 455, + 636, + 471, + 645 + ], + "score": 0.87, + "content": "m _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 633, + 506, + 647 + ], + "score": 1.0, + "content": ". 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The loss function is differentiable with respect to", + "type": "text" + }, + { + "bbox": [ + 362, + 320, + 376, + 329 + ], + "score": 0.87, + "content": "{ \\pmb w } _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 317, + 419, + 332 + ], + "score": 1.0, + "content": ", but not to", + "type": "text" + }, + { + "bbox": [ + 419, + 320, + 425, + 328 + ], + "score": 0.66, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 317, + 506, + 332 + ], + "score": 1.0, + "content": ". As a consequence,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 329, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 505, + 342 + ], + "score": 1.0, + "content": "the computational cost of solving the problem in (1) is very high. To solve the inner optimization", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 273, + 352 + ], + "score": 1.0, + "content": "problem requires to train a neural network", + "type": "text" + }, + { + "bbox": [ + 274, + 342, + 280, + 350 + ], + "score": 0.79, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "to convergence, which can take days. The outer problem", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "has a discrete search space with exponential complexity. To solve the problem efficiently, we need", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 362, + 482, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 482, + 375 + ], + "score": 1.0, + "content": "to avoid enumerating the search space and evaluating each candidate architecture one-by-one.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 296, + 506, + 375 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 385, + 354, + 398 + ], + "lines": [ + { + "bbox": [ + 105, + 385, + 355, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 355, + 399 + ], + "score": 1.0, + "content": "4.2 DIFFERENTIABLE NEURAL ARCHITECTURE SEARCH", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 406, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 107, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 107, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "We discuss the idea of differentiable neural architecture search (DNAS). The idea is illustrated in", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 418, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 431, + 430 + ], + "score": 1.0, + "content": "Fig. 1. We start by constructing a super net to represent the architecture space", + "type": "text" + }, + { + "bbox": [ + 432, + 419, + 441, + 428 + ], + "score": 0.75, + "content": "\\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 418, + 506, + 430 + ], + "score": 1.0, + "content": ". The super net", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 425, + 441 + ], + "score": 1.0, + "content": "is essentially a computational DAG (directed acyclic graph) that is denoted as", + "type": "text" + }, + { + "bbox": [ + 426, + 429, + 476, + 441 + ], + "score": 0.93, + "content": "G = ( V , E )", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 428, + 505, + 441 + ], + "score": 1.0, + "content": ". Each", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 439, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 128, + 453 + ], + "score": 1.0, + "content": "node", + "type": "text" + }, + { + "bbox": [ + 129, + 440, + 160, + 451 + ], + "score": 0.92, + "content": "v _ { i } \\in V", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 439, + 410, + 453 + ], + "score": 1.0, + "content": "of the super net represents a data tensor. Between two nodes", + "type": "text" + }, + { + "bbox": [ + 410, + 442, + 420, + 451 + ], + "score": 0.84, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 439, + 438, + 453 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 439, + 442, + 449, + 452 + ], + "score": 0.86, + "content": "v _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 439, + 505, + 453 + ], + "score": 1.0, + "content": ", there can be", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 446, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 124, + 463 + ], + "score": 0.89, + "content": "K ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 124, + 446, + 267, + 473 + ], + "score": 1.0, + "content": "edges connecting them, indexed as", + "type": "text" + }, + { + "bbox": [ + 268, + 451, + 280, + 466 + ], + "score": 0.9, + "content": "e _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 446, + 505, + 473 + ], + "score": 1.0, + "content": ". 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The operator takes the data tensor at", + "type": "text" + }, + { + "bbox": [ + 340, + 469, + 350, + 478 + ], + "score": 0.85, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 462, + 508, + 483 + ], + "score": 1.0, + "content": "as its input and computes its output as", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 107, + 477, + 469, + 495 + ], + "spans": [ + { + "bbox": [ + 107, + 478, + 154, + 492 + ], + "score": 0.93, + "content": "e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } )", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 477, + 278, + 495 + ], + "score": 1.0, + "content": ". To compute the data tensor at", + "type": "text" + }, + { + "bbox": [ + 279, + 482, + 288, + 492 + ], + "score": 0.87, + "content": "v _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 477, + 469, + 495 + ], + "score": 1.0, + "content": ", we sum the output of all incoming edges as", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 25, + "bbox_fs": [ + 103, + 407, + 508, + 495 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 261, + 495, + 351, + 523 + ], + "lines": [ + { + "bbox": [ + 261, + 495, + 351, + 523 + ], + "spans": [ + { + "bbox": [ + 261, + 495, + 351, + 523 + ], + "score": 0.94, + "content": "v _ { j } = \\sum _ { i , k } e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } ) .", + "type": "interline_equation", + "image_path": "da22426b4f025e4b0a0ee8590dd2fb407f4215eedb3e349258e80e2d9d35d8cf.jpg" + } + ] + } + ], + "index": 29.5, + "virtual_lines": [ + { + "bbox": [ + 261, + 495, + 351, + 509.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 261, + 509.0, + 351, + 523.0 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 526, + 504, + 571 + ], + "lines": [ + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 326, + 539 + ], + "score": 1.0, + "content": "With this representation, any neural net architecture", + "type": "text" + }, + { + "bbox": [ + 327, + 527, + 360, + 537 + ], + "score": 0.91, + "content": "a \\in \\mathcal A", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 525, + 506, + 539 + ], + "score": 1.0, + "content": "can be represented by a subgraph", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 536, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 107, + 537, + 155, + 549 + ], + "score": 0.94, + "content": "G _ { a } ( V _ { a } , E _ { a } )", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 536, + 179, + 550 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 179, + 537, + 255, + 549 + ], + "score": 0.92, + "content": "V _ { a } \\subseteq V , E _ { a } \\subseteq E", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 536, + 506, + 550 + ], + "score": 1.0, + "content": ". For simplicity, in a candidate architecture, we keep all the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 548, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 197, + 561 + ], + "score": 1.0, + "content": "nodes of the graph, so", + "type": "text" + }, + { + "bbox": [ + 198, + 549, + 232, + 559 + ], + "score": 0.88, + "content": "V _ { a } = V", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 548, + 333, + 561 + ], + "score": 1.0, + "content": ". And for a pair of nodes", + "type": "text" + }, + { + "bbox": [ + 333, + 550, + 356, + 560 + ], + "score": 0.9, + "content": "v _ { i } , v _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 548, + 445, + 561 + ], + "score": 1.0, + "content": "that are connected by", + "type": "text" + }, + { + "bbox": [ + 446, + 548, + 463, + 559 + ], + "score": 0.9, + "content": "K ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 548, + 506, + 561 + ], + "score": 1.0, + "content": "candidate", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 560, + 504, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 383, + 572 + ], + "score": 1.0, + "content": "edges, we only select one edge. Formally, in a candidate architecture", + "type": "text" + }, + { + "bbox": [ + 383, + 562, + 389, + 569 + ], + "score": 0.75, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 560, + 504, + 572 + ], + "score": 1.0, + "content": ", we re-write equation (2) as", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 525, + 506, + 572 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 253, + 574, + 358, + 602 + ], + "lines": [ + { + "bbox": [ + 253, + 574, + 358, + 602 + ], + "spans": [ + { + "bbox": [ + 253, + 574, + 358, + 602 + ], + "score": 0.95, + "content": "v _ { j } = \\sum _ { i , k } m _ { k } ^ { i j } e _ { k } ^ { i j } ( v _ { i } ; w _ { k } ^ { i j } ) ,", + "type": "interline_equation", + "image_path": "51438f5a3af0ed63eca33cef95be39619cfc7df3dd9d3aeedfcb6a597bd69480.jpg" + } + ] + } + ], + "index": 35.5, + "virtual_lines": [ + { + "bbox": [ + 253, + 574, + 358, + 588.0 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 253, + 588.0, + 358, + 602.0 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 605, + 505, + 657 + ], + "lines": [ + { + "bbox": [ + 104, + 599, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 104, + 599, + 134, + 628 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 605, + 191, + 620 + ], + "score": 0.94, + "content": "m _ { k } ^ { i j } \\in \\{ 0 , 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 599, + 289, + 628 + ], + "score": 1.0, + "content": "is an “edge-mask” and", + "type": "text" + }, + { + "bbox": [ + 290, + 605, + 345, + 620 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\sum _ { k } m _ { k } ^ { i j } = 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 599, + 477, + 628 + ], + "score": 1.0, + "content": ". Note that though the value of", + "type": "text" + }, + { + "bbox": [ + 477, + 605, + 493, + 619 + ], + "score": 0.92, + "content": "m _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 599, + 505, + 628 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 614, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 104, + 617, + 318, + 636 + ], + "score": 1.0, + "content": "discrete, we can still compute the gradient to mijk", + "type": "text" + }, + { + "bbox": [ + 310, + 614, + 333, + 639 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 333, + 623, + 344, + 631 + ], + "score": 0.72, + "content": "_ { \\mathbf { \\nabla } } \\mathbf { m } _ { \\mathbf { \\nabla } }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 614, + 459, + 639 + ], + "score": 1.0, + "content": "be a vector that consists of", + "type": "text" + }, + { + "bbox": [ + 459, + 619, + 475, + 633 + ], + "score": 0.91, + "content": "m _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 476, + 614, + 505, + 639 + ], + "score": 1.0, + "content": "for all", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 107, + 632, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 107, + 632, + 141, + 647 + ], + "score": 0.92, + "content": "e _ { k } ^ { i j } \\in E", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 633, + 231, + 647 + ], + "score": 1.0, + "content": ". For any architecture", + "type": "text" + }, + { + "bbox": [ + 231, + 634, + 260, + 645 + ], + "score": 0.89, + "content": "a \\in { \\mathcal { A } }", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 633, + 455, + 647 + ], + "score": 1.0, + "content": ", we can encode it using an “edge-mask” vector", + "type": "text" + }, + { + "bbox": [ + 455, + 636, + 471, + 645 + ], + "score": 0.87, + "content": "m _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 633, + 506, + 647 + ], + "score": 1.0, + "content": ". So we", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 645, + 421, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 368, + 657 + ], + "score": 1.0, + "content": "re-write the loss function in equation (1) to an equivalent form as", + "type": "text" + }, + { + "bbox": [ + 369, + 645, + 416, + 657 + ], + "score": 0.92, + "content": "\\mathcal { L } ( m _ { a } , w _ { a } )", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 646, + 421, + 657 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38.5, + "bbox_fs": [ + 104, + 599, + 506, + 657 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 662, + 505, + 700 + ], + "lines": [ + { + "bbox": [ + 106, + 661, + 505, + 675 + ], + "spans": [ + { + "bbox": [ + 106, + 661, + 505, + 675 + ], + "score": 1.0, + "content": "We next convert the super net to a stochastic super net whose edges are executed stochastically.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 102, + 667, + 510, + 694 + ], + "spans": [ + { + "bbox": [ + 102, + 667, + 165, + 694 + ], + "score": 1.0, + "content": "For each edge", + "type": "text" + }, + { + "bbox": [ + 166, + 673, + 178, + 687 + ], + "score": 0.9, + "content": "e _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 667, + 210, + 694 + ], + "score": 1.0, + "content": ", we let", + "type": "text" + }, + { + "bbox": [ + 210, + 673, + 264, + 687 + ], + "score": 0.94, + "content": "\\mathbf { m } _ { k } ^ { i j } \\in \\{ 0 , 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 667, + 439, + 694 + ], + "score": 1.0, + "content": "be a random variable and we execute edge", + "type": "text" + }, + { + "bbox": [ + 439, + 673, + 452, + 687 + ], + "score": 0.91, + "content": "e _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 667, + 478, + 694 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 478, + 673, + 494, + 687 + ], + "score": 0.91, + "content": "\\mathrm { m } _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 667, + 510, + 694 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 102, + 681, + 503, + 707 + ], + "spans": [ + { + "bbox": [ + 102, + 681, + 309, + 707 + ], + "score": 1.0, + "content": "sampled to be 1. We assign each edge a parameter", + "type": "text" + }, + { + "bbox": [ + 309, + 686, + 322, + 701 + ], + "score": 0.92, + "content": "\\theta _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 681, + 474, + 707 + ], + "score": 1.0, + "content": "such that the probability of executing", + "type": "text" + }, + { + "bbox": [ + 474, + 687, + 487, + 701 + ], + "score": 0.9, + "content": "e _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 681, + 503, + 707 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42, + "bbox_fs": [ + 102, + 661, + 510, + 707 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 194, + 704, + 417, + 736 + ], + "lines": [ + { + "bbox": [ + 194, + 704, + 417, + 736 + ], + "spans": [ + { + "bbox": [ + 194, + 704, + 417, + 736 + ], + "score": 0.93, + "content": "P _ { \\pmb { \\theta } ^ { i j } } \\big ( \\mathbf { m } _ { k } ^ { i j } = 1 \\big ) = \\mathrm { s o f t m a x } \\big ( \\theta _ { k } ^ { i j } \\big | \\pmb { \\theta } ^ { i j } \\big ) = \\frac { \\exp \\bigl ( \\theta _ { k } ^ { i j } \\bigr ) } { \\sum _ { k = 1 } ^ { K ^ { i j } } \\exp \\bigl ( \\theta _ { k } ^ { i j } \\bigr ) } .", + "type": "interline_equation", + "image_path": "354148fa171ce9a8accd39b7c9c2bd3dd853dabe7080065001d0001f8dd5ff6a.jpg" + } + ] + } + ], + "index": 44.5, + "virtual_lines": [ + { + "bbox": [ + 194, + 704, + 417, + 720.0 + ], + "spans": [], + "index": 44 + }, + { + "bbox": [ + 194, + 720.0, + 417, + 736.0 + ], + "spans": [], + "index": 45 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 81, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 104, + 79, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 104, + 79, + 303, + 97 + ], + "score": 1.0, + "content": "The stochastic super net is now parameterized by", + "type": "text" + }, + { + "bbox": [ + 303, + 83, + 311, + 92 + ], + "score": 0.65, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 79, + 428, + 97 + ], + "score": 1.0, + "content": ", a vector whose elements are", + "type": "text" + }, + { + "bbox": [ + 428, + 81, + 441, + 95 + ], + "score": 0.91, + "content": "\\theta _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 79, + 468, + 97 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 468, + 81, + 501, + 95 + ], + "score": 0.93, + "content": "e _ { k } ^ { i j } \\in E", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 79, + 506, + 97 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 197, + 106 + ], + "score": 1.0, + "content": "From the distribution", + "type": "text" + }, + { + "bbox": [ + 197, + 94, + 209, + 105 + ], + "score": 0.86, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 93, + 341, + 106 + ], + "score": 1.0, + "content": ", we can sample a mask vector", + "type": "text" + }, + { + "bbox": [ + 341, + 95, + 357, + 105 + ], + "score": 0.87, + "content": "m _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "that corresponds to a candidate ar-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 150, + 117 + ], + "score": 1.0, + "content": "chitecture", + "type": "text" + }, + { + "bbox": [ + 150, + 105, + 185, + 115 + ], + "score": 0.89, + "content": "a \\in \\mathcal A", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 104, + 505, + 117 + ], + "score": 1.0, + "content": ". We can further compute the expected loss of the stochastic super net as", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 114, + 507, + 130 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 188, + 127 + ], + "score": 0.91, + "content": "\\mathbb { E } _ { \\mathrm { a } \\sim P _ { \\theta } } \\left[ \\mathcal { L } ( \\boldsymbol { m } _ { a } , \\boldsymbol { w } _ { a } ) \\right]", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 114, + 471, + 130 + ], + "score": 1.0, + "content": ". The expectation of the loss function is differentiable with respect to", + "type": "text" + }, + { + "bbox": [ + 471, + 117, + 485, + 127 + ], + "score": 0.88, + "content": "{ \\pmb w } _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 114, + 507, + 130 + ], + "score": 1.0, + "content": ", but", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 168, + 139 + ], + "score": 1.0, + "content": "not directly to", + "type": "text" + }, + { + "bbox": [ + 168, + 127, + 175, + 136 + ], + "score": 0.75, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 126, + 411, + 139 + ], + "score": 1.0, + "content": ", since we cannot directly back-propagate the gradient to", + "type": "text" + }, + { + "bbox": [ + 412, + 127, + 419, + 137 + ], + "score": 0.69, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 126, + 506, + 139 + ], + "score": 1.0, + "content": "through the discrete", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 175, + 151 + ], + "score": 1.0, + "content": "random variable", + "type": "text" + }, + { + "bbox": [ + 176, + 139, + 191, + 148 + ], + "score": 0.86, + "content": "\\mathbf { \\nabla } m _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 136, + 505, + 151 + ], + "score": 1.0, + "content": ". To estimate the gradient, we can use Straight-Through estimation (Bengio", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 506, + 161 + ], + "score": 1.0, + "content": "et al. (2013)) or REINFORCE (Williams (1992)). Our final choice is to use the Gumbel Softmax", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "technique (Jang et al. (2016)), which will be explained in the next section. Now that the expectation", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 169, + 474, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 474, + 183 + ], + "score": 1.0, + "content": "of the loss function becomes fully differentiable, we re-write the problem in equation (1) as", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4 + }, + { + "type": "interline_equation", + "bbox": [ + 245, + 184, + 365, + 203 + ], + "lines": [ + { + "bbox": [ + 245, + 184, + 365, + 203 + ], + "spans": [ + { + "bbox": [ + 245, + 184, + 365, + 203 + ], + "score": 0.93, + "content": "\\operatorname* { m i n } _ { \\theta } \\operatorname* { m i n } _ { w _ { a } } \\mathbb { E } _ { \\mathrm { a } \\sim P _ { \\theta } } \\left[ \\mathcal { L } ( m _ { a } , \\pmb { w } _ { a } ) \\right]", + "type": "interline_equation", + "image_path": "06c8f14612b8c48c6d2bff80d7acd09f923b758a9839a5063029a217eb2da031.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 245, + 184, + 365, + 203 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 205, + 505, + 239 + ], + "lines": [ + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 425, + 218 + ], + "score": 1.0, + "content": "The combinatorial optimization problem of solving for the optimal architecture", + "type": "text" + }, + { + "bbox": [ + 426, + 206, + 453, + 216 + ], + "score": 0.91, + "content": "a \\in { \\mathcal { A } }", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 205, + 505, + 218 + ], + "score": 1.0, + "content": "is relaxed to", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 216, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 339, + 228 + ], + "score": 1.0, + "content": "solving for the optimal architecture-distribution parameter", + "type": "text" + }, + { + "bbox": [ + 340, + 217, + 347, + 226 + ], + "score": 0.75, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 216, + 505, + 228 + ], + "score": 1.0, + "content": "that minimizes the expected loss. Once", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 228, + 439, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 228, + 196, + 240 + ], + "score": 1.0, + "content": "we obtain the optimal", + "type": "text" + }, + { + "bbox": [ + 196, + 228, + 203, + 237 + ], + "score": 0.77, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 228, + 423, + 240 + ], + "score": 1.0, + "content": ", we acquire the optimal architecture by sampling from", + "type": "text" + }, + { + "bbox": [ + 423, + 228, + 435, + 239 + ], + "score": 0.87, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 228, + 439, + 240 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 107, + 252, + 272, + 263 + ], + "lines": [ + { + "bbox": [ + 106, + 251, + 273, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 251, + 273, + 264 + ], + "score": 1.0, + "content": "4.3 DNAS WITH GUMBEL SOFTMAX", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 105, + 272, + 504, + 295 + ], + "lines": [ + { + "bbox": [ + 106, + 272, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 505, + 285 + ], + "score": 1.0, + "content": "We use stochastic gradient descent (SGD) to solve Equation (5). The optimization process is also", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 283, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 106, + 283, + 505, + 296 + ], + "score": 1.0, + "content": "denoted as training the stochastic super net. We compute the Monte Carlo estimation of the gradient", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "interline_equation", + "bbox": [ + 188, + 297, + 422, + 332 + ], + "lines": [ + { + "bbox": [ + 188, + 297, + 422, + 332 + ], + "spans": [ + { + "bbox": [ + 188, + 297, + 422, + 332 + ], + "score": 0.94, + "content": "\\nabla _ { \\pmb { \\theta } , { \\pmb w } _ { a } } \\mathbb { E } _ { { \\mathbf { a } } \\sim P _ { \\pmb { \\theta } } } \\left[ { \\mathcal L } ( { \\pmb m } _ { a } , { \\pmb w } _ { a } ) \\right] \\approx \\frac { 1 } { B } \\sum _ { i = 1 } ^ { B } \\nabla _ { \\pmb { \\theta } , { \\pmb w } _ { a } } { \\mathcal L } ( m _ { a _ { i } } , { \\pmb w } _ { a _ { i } } ) ,", + "type": "interline_equation", + "image_path": "ffc8698a677c96b35e665fc92a537c446b9a0c8f84d083cad80bbebfa611b408.jpg" + } + ] + } + ], + "index": 16.5, + "virtual_lines": [ + { + "bbox": [ + 188, + 297, + 422, + 314.5 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 188, + 314.5, + 422, + 332.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 334, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 106, + 334, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 134, + 346 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 336, + 144, + 345 + ], + "score": 0.83, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 334, + 330, + 346 + ], + "score": 1.0, + "content": "is an architecture sampled from distribution", + "type": "text" + }, + { + "bbox": [ + 330, + 334, + 343, + 345 + ], + "score": 0.89, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 334, + 363, + 346 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 363, + 335, + 373, + 344 + ], + "score": 0.83, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 334, + 505, + 346 + ], + "score": 1.0, + "content": "is the batch size. Equation (6)", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 345, + 504, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 504, + 357 + ], + "score": 1.0, + "content": "provides an unbiased estimation of the gradient, but it has high variance, since the size of the archi-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 357, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 396, + 368 + ], + "score": 1.0, + "content": "tecture space is orders of magnitude larger than any feasible batch size", + "type": "text" + }, + { + "bbox": [ + 396, + 357, + 405, + 366 + ], + "score": 0.8, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 357, + 505, + 368 + ], + "score": 1.0, + "content": ". Such high variance for", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 367, + 343, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 343, + 380 + ], + "score": 1.0, + "content": "gradient estimation makes it difficult for SGD to converge.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 106, + 383, + 505, + 420 + ], + "lines": [ + { + "bbox": [ + 106, + 384, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 505, + 396 + ], + "score": 1.0, + "content": "To address this issue, we use Gumbel Softmax proposed by Jang et al. (2016); Maddison et al. (2016)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 395, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 295, + 408 + ], + "score": 1.0, + "content": "to control the edge selection. For a node pair", + "type": "text" + }, + { + "bbox": [ + 295, + 395, + 325, + 407 + ], + "score": 0.92, + "content": "( v _ { i } , v _ { j } )", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 395, + 505, + 408 + ], + "score": 1.0, + "content": ", instead of applying a “hard” sampling and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 102, + 401, + 490, + 426 + ], + "spans": [ + { + "bbox": [ + 102, + 401, + 463, + 426 + ], + "score": 1.0, + "content": "execute only one edge, we use Gumbel Softmax to apply a “soft” sampling. We compute", + "type": "text" + }, + { + "bbox": [ + 463, + 406, + 479, + 421 + ], + "score": 0.92, + "content": "\\mathrm { m } _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 401, + 490, + 426 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23 + }, + { + "type": "interline_equation", + "bbox": [ + 139, + 423, + 470, + 454 + ], + "lines": [ + { + "bbox": [ + 139, + 423, + 470, + 454 + ], + "spans": [ + { + "bbox": [ + 139, + 423, + 470, + 454 + ], + "score": 0.94, + "content": "\\mathbf { m } _ { k } ^ { i j } = \\mathrm { G u m b e l S o f t m a x } ( \\theta _ { k } ^ { i j } | \\theta ^ { i j } ) = \\frac { \\exp ( ( \\theta _ { k } ^ { i j } + \\mathbf { g } _ { k } ^ { i j } ) / \\tau ) } { \\sum _ { k } \\exp ( ( \\theta _ { k } ^ { i j } + \\mathbf { g } _ { k } ^ { i j } ) / \\tau ) } , \\ g _ { k } ^ { i j } \\sim \\mathrm { G u m b e l } ( 0 , 1 ) .", + "type": "interline_equation", + "image_path": "e1cf22f9b9fceb703382afb8dfb00d0d407379347930e8fd2a99850ab1864059.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 139, + 423, + 470, + 433.3333333333333 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 139, + 433.3333333333333, + 470, + 443.66666666666663 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 139, + 443.66666666666663, + 470, + 453.99999999999994 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 457, + 505, + 508 + ], + "lines": [ + { + "bbox": [ + 106, + 454, + 507, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 119, + 471 + ], + "score": 0.9, + "content": "\\mathbf { g } _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 454, + 421, + 477 + ], + "score": 1.0, + "content": "is a random variable drawn from the Gumbel distribution. Note that now", + "type": "text" + }, + { + "bbox": [ + 421, + 457, + 437, + 471 + ], + "score": 0.92, + "content": "\\mathrm { m } _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 454, + 507, + 477 + ], + "score": 1.0, + "content": "becomes a con-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 470, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 382, + 486 + ], + "score": 1.0, + "content": "tinuous random variable. It is directly differentiable with respect to", + "type": "text" + }, + { + "bbox": [ + 382, + 470, + 395, + 485 + ], + "score": 0.92, + "content": "\\theta _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 470, + 506, + 486 + ], + "score": 1.0, + "content": "and we don’t need to pass", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 103, + 481, + 508, + 502 + ], + "spans": [ + { + "bbox": [ + 103, + 481, + 258, + 502 + ], + "score": 1.0, + "content": "gradient through the random variable", + "type": "text" + }, + { + "bbox": [ + 259, + 484, + 272, + 498 + ], + "score": 0.91, + "content": "\\mathbf { g } _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 481, + 508, + 502 + ], + "score": 1.0, + "content": ". 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As", + "type": "text" + }, + { + "bbox": [ + 450, + 542, + 481, + 552 + ], + "score": 0.81, + "content": "\\tau \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 541, + 485, + 554 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 485, + 541, + 504, + 552 + ], + "score": 0.82, + "content": "m ^ { i j }", + "type": "inline_equation" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 551, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 505, + 566 + ], + "score": 1.0, + "content": "become continuous random variable following a uniform distribution. Therefore, in equation (3),", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "all edges are executed and their outputs are averaged. The gradient estimation in equation (6) are", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 573, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 474, + 587 + ], + "score": 1.0, + "content": "biased but the variance is low, which is favorable during the initial stage of the training. As", + "type": "text" + }, + { + "bbox": [ + 474, + 575, + 501, + 585 + ], + "score": 0.88, + "content": "\\tau 0", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 573, + 505, + 587 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 585, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 125, + 596 + ], + "score": 0.87, + "content": "m ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 585, + 482, + 599 + ], + "score": 1.0, + "content": "gradually becomes a discrete random variable following the categorical distribution of", + "type": "text" + }, + { + "bbox": [ + 482, + 586, + 501, + 597 + ], + "score": 0.89, + "content": "P _ { \\theta ^ { i j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 585, + 505, + 599 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "score": 1.0, + "content": "When computing equation (3), only one edge is sampled to be executed. The gradient estimation", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "score": 1.0, + "content": "then becomes unbiased but the variance is high. This is favorable towards the end of the training. In", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 618, + 453, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 453, + 631 + ], + "score": 1.0, + "content": "our experiment, we use an exponential decaying schedule to anneal the temperature as", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 38.5 + }, + { + "type": "interline_equation", + "bbox": [ + 251, + 633, + 359, + 646 + ], + "lines": [ + { + "bbox": [ + 251, + 633, + 359, + 646 + ], + "spans": [ + { + "bbox": [ + 251, + 633, + 359, + 646 + ], + "score": 0.93, + "content": "\\tau = T _ { 0 } \\exp ( - \\eta \\times e p o c h ) ,", + "type": "interline_equation", + "image_path": "c5bd09b3262e9ab114429cd2214cf54465436781142846a54a09098c1143d99b.jpg" + } + ] + } + ], + "index": 43, + "virtual_lines": [ + { + "bbox": [ + 251, + 633, + 359, + 646 + ], + "spans": [], + "index": 43 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 648, + 505, + 672 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 133, + 662 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 649, + 145, + 660 + ], + "score": 0.87, + "content": "T _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 648, + 505, + 662 + ], + "score": 1.0, + "content": "is the initial temperature when training begins. We decay the temperature exponentially", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 659, + 487, + 673 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 487, + 673 + ], + "score": 1.0, + "content": "after every epoch. Using the Gumbel Softmax trick effectively stabilizes the super net training.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44.5 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "In some sense, our work is in the middle ground of two previous works: ENAS by Pham et al. (2018)", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "score": 1.0, + "content": "and DARTS by Liu et al. (2018). ENAS samples child networks from the super net to be trained", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "independently while DARTS trains the entire super net together without decoupling child networks", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 708, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 506, + 723 + ], + "score": 1.0, + "content": "from the super net. By using Gumbel Softmax with an annealing temperature, our DNAS pipeline", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 720, + 499, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 499, + 733 + ], + "score": 1.0, + "content": "behaves more like DARTS at the beginning of the search and behaves more like ENAS at the end.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 48 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 310, + 762 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 12, + "width": 8 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 81, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 104, + 79, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 104, + 79, + 303, + 97 + ], + "score": 1.0, + "content": "The stochastic super net is now parameterized by", + "type": "text" + }, + { + "bbox": [ + 303, + 83, + 311, + 92 + ], + "score": 0.65, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 79, + 428, + 97 + ], + "score": 1.0, + "content": ", a vector whose elements are", + "type": "text" + }, + { + "bbox": [ + 428, + 81, + 441, + 95 + ], + "score": 0.91, + "content": "\\theta _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 79, + 468, + 97 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 468, + 81, + 501, + 95 + ], + "score": 0.93, + "content": "e _ { k } ^ { i j } \\in E", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 79, + 506, + 97 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 197, + 106 + ], + "score": 1.0, + "content": "From the distribution", + "type": "text" + }, + { + "bbox": [ + 197, + 94, + 209, + 105 + ], + "score": 0.86, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 93, + 341, + 106 + ], + "score": 1.0, + "content": ", we can sample a mask vector", + "type": "text" + }, + { + "bbox": [ + 341, + 95, + 357, + 105 + ], + "score": 0.87, + "content": "m _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "that corresponds to a candidate ar-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 150, + 117 + ], + "score": 1.0, + "content": "chitecture", + "type": "text" + }, + { + "bbox": [ + 150, + 105, + 185, + 115 + ], + "score": 0.89, + "content": "a \\in \\mathcal A", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 104, + 505, + 117 + ], + "score": 1.0, + "content": ". We can further compute the expected loss of the stochastic super net as", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 114, + 507, + 130 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 188, + 127 + ], + "score": 0.91, + "content": "\\mathbb { E } _ { \\mathrm { a } \\sim P _ { \\theta } } \\left[ \\mathcal { L } ( \\boldsymbol { m } _ { a } , \\boldsymbol { w } _ { a } ) \\right]", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 114, + 471, + 130 + ], + "score": 1.0, + "content": ". The expectation of the loss function is differentiable with respect to", + "type": "text" + }, + { + "bbox": [ + 471, + 117, + 485, + 127 + ], + "score": 0.88, + "content": "{ \\pmb w } _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 114, + 507, + 130 + ], + "score": 1.0, + "content": ", but", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 168, + 139 + ], + "score": 1.0, + "content": "not directly to", + "type": "text" + }, + { + "bbox": [ + 168, + 127, + 175, + 136 + ], + "score": 0.75, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 126, + 411, + 139 + ], + "score": 1.0, + "content": ", since we cannot directly back-propagate the gradient to", + "type": "text" + }, + { + "bbox": [ + 412, + 127, + 419, + 137 + ], + "score": 0.69, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 126, + 506, + 139 + ], + "score": 1.0, + "content": "through the discrete", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 175, + 151 + ], + "score": 1.0, + "content": "random variable", + "type": "text" + }, + { + "bbox": [ + 176, + 139, + 191, + 148 + ], + "score": 0.86, + "content": "\\mathbf { \\nabla } m _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 136, + 505, + 151 + ], + "score": 1.0, + "content": ". To estimate the gradient, we can use Straight-Through estimation (Bengio", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 506, + 161 + ], + "score": 1.0, + "content": "et al. (2013)) or REINFORCE (Williams (1992)). Our final choice is to use the Gumbel Softmax", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "technique (Jang et al. (2016)), which will be explained in the next section. Now that the expectation", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 169, + 474, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 474, + 183 + ], + "score": 1.0, + "content": "of the loss function becomes fully differentiable, we re-write the problem in equation (1) as", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4, + "bbox_fs": [ + 104, + 79, + 507, + 183 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 245, + 184, + 365, + 203 + ], + "lines": [ + { + "bbox": [ + 245, + 184, + 365, + 203 + ], + "spans": [ + { + "bbox": [ + 245, + 184, + 365, + 203 + ], + "score": 0.93, + "content": "\\operatorname* { m i n } _ { \\theta } \\operatorname* { m i n } _ { w _ { a } } \\mathbb { E } _ { \\mathrm { a } \\sim P _ { \\theta } } \\left[ \\mathcal { L } ( m _ { a } , \\pmb { w } _ { a } ) \\right]", + "type": "interline_equation", + "image_path": "06c8f14612b8c48c6d2bff80d7acd09f923b758a9839a5063029a217eb2da031.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 245, + 184, + 365, + 203 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 205, + 505, + 239 + ], + "lines": [ + { + "bbox": [ + 105, + 205, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 425, + 218 + ], + "score": 1.0, + "content": "The combinatorial optimization problem of solving for the optimal architecture", + "type": "text" + }, + { + "bbox": [ + 426, + 206, + 453, + 216 + ], + "score": 0.91, + "content": "a \\in { \\mathcal { A } }", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 205, + 505, + 218 + ], + "score": 1.0, + "content": "is relaxed to", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 216, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 339, + 228 + ], + "score": 1.0, + "content": "solving for the optimal architecture-distribution parameter", + "type": "text" + }, + { + "bbox": [ + 340, + 217, + 347, + 226 + ], + "score": 0.75, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 216, + 505, + 228 + ], + "score": 1.0, + "content": "that minimizes the expected loss. Once", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 228, + 439, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 228, + 196, + 240 + ], + "score": 1.0, + "content": "we obtain the optimal", + "type": "text" + }, + { + "bbox": [ + 196, + 228, + 203, + 237 + ], + "score": 0.77, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 228, + 423, + 240 + ], + "score": 1.0, + "content": ", we acquire the optimal architecture by sampling from", + "type": "text" + }, + { + "bbox": [ + 423, + 228, + 435, + 239 + ], + "score": 0.87, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 228, + 439, + 240 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 205, + 505, + 240 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 252, + 272, + 263 + ], + "lines": [ + { + "bbox": [ + 106, + 251, + 273, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 251, + 273, + 264 + ], + "score": 1.0, + "content": "4.3 DNAS WITH GUMBEL SOFTMAX", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 105, + 272, + 504, + 295 + ], + "lines": [ + { + "bbox": [ + 106, + 272, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 505, + 285 + ], + "score": 1.0, + "content": "We use stochastic gradient descent (SGD) to solve Equation (5). The optimization process is also", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 283, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 106, + 283, + 505, + 296 + ], + "score": 1.0, + "content": "denoted as training the stochastic super net. We compute the Monte Carlo estimation of the gradient", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 106, + 272, + 505, + 296 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 188, + 297, + 422, + 332 + ], + "lines": [ + { + "bbox": [ + 188, + 297, + 422, + 332 + ], + "spans": [ + { + "bbox": [ + 188, + 297, + 422, + 332 + ], + "score": 0.94, + "content": "\\nabla _ { \\pmb { \\theta } , { \\pmb w } _ { a } } \\mathbb { E } _ { { \\mathbf { a } } \\sim P _ { \\pmb { \\theta } } } \\left[ { \\mathcal L } ( { \\pmb m } _ { a } , { \\pmb w } _ { a } ) \\right] \\approx \\frac { 1 } { B } \\sum _ { i = 1 } ^ { B } \\nabla _ { \\pmb { \\theta } , { \\pmb w } _ { a } } { \\mathcal L } ( m _ { a _ { i } } , { \\pmb w } _ { a _ { i } } ) ,", + "type": "interline_equation", + "image_path": "ffc8698a677c96b35e665fc92a537c446b9a0c8f84d083cad80bbebfa611b408.jpg" + } + ] + } + ], + "index": 16.5, + "virtual_lines": [ + { + "bbox": [ + 188, + 297, + 422, + 314.5 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 188, + 314.5, + 422, + 332.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 334, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 106, + 334, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 134, + 346 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 336, + 144, + 345 + ], + "score": 0.83, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 334, + 330, + 346 + ], + "score": 1.0, + "content": "is an architecture sampled from distribution", + "type": "text" + }, + { + "bbox": [ + 330, + 334, + 343, + 345 + ], + "score": 0.89, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 334, + 363, + 346 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 363, + 335, + 373, + 344 + ], + "score": 0.83, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 334, + 505, + 346 + ], + "score": 1.0, + "content": "is the batch size. Equation (6)", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 345, + 504, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 504, + 357 + ], + "score": 1.0, + "content": "provides an unbiased estimation of the gradient, but it has high variance, since the size of the archi-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 357, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 396, + 368 + ], + "score": 1.0, + "content": "tecture space is orders of magnitude larger than any feasible batch size", + "type": "text" + }, + { + "bbox": [ + 396, + 357, + 405, + 366 + ], + "score": 0.8, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 357, + 505, + 368 + ], + "score": 1.0, + "content": ". Such high variance for", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 367, + 343, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 343, + 380 + ], + "score": 1.0, + "content": "gradient estimation makes it difficult for SGD to converge.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 334, + 505, + 380 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 383, + 505, + 420 + ], + "lines": [ + { + "bbox": [ + 106, + 384, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 505, + 396 + ], + "score": 1.0, + "content": "To address this issue, we use Gumbel Softmax proposed by Jang et al. (2016); Maddison et al. (2016)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 395, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 295, + 408 + ], + "score": 1.0, + "content": "to control the edge selection. For a node pair", + "type": "text" + }, + { + "bbox": [ + 295, + 395, + 325, + 407 + ], + "score": 0.92, + "content": "( v _ { i } , v _ { j } )", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 395, + 505, + 408 + ], + "score": 1.0, + "content": ", instead of applying a “hard” sampling and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 102, + 401, + 490, + 426 + ], + "spans": [ + { + "bbox": [ + 102, + 401, + 463, + 426 + ], + "score": 1.0, + "content": "execute only one edge, we use Gumbel Softmax to apply a “soft” sampling. We compute", + "type": "text" + }, + { + "bbox": [ + 463, + 406, + 479, + 421 + ], + "score": 0.92, + "content": "\\mathrm { m } _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 401, + 490, + 426 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23, + "bbox_fs": [ + 102, + 384, + 505, + 426 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 139, + 423, + 470, + 454 + ], + "lines": [ + { + "bbox": [ + 139, + 423, + 470, + 454 + ], + "spans": [ + { + "bbox": [ + 139, + 423, + 470, + 454 + ], + "score": 0.94, + "content": "\\mathbf { m } _ { k } ^ { i j } = \\mathrm { G u m b e l S o f t m a x } ( \\theta _ { k } ^ { i j } | \\theta ^ { i j } ) = \\frac { \\exp ( ( \\theta _ { k } ^ { i j } + \\mathbf { g } _ { k } ^ { i j } ) / \\tau ) } { \\sum _ { k } \\exp ( ( \\theta _ { k } ^ { i j } + \\mathbf { g } _ { k } ^ { i j } ) / \\tau ) } , \\ g _ { k } ^ { i j } \\sim \\mathrm { G u m b e l } ( 0 , 1 ) .", + "type": "interline_equation", + "image_path": "e1cf22f9b9fceb703382afb8dfb00d0d407379347930e8fd2a99850ab1864059.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 139, + 423, + 470, + 433.3333333333333 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 139, + 433.3333333333333, + 470, + 443.66666666666663 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 139, + 443.66666666666663, + 470, + 453.99999999999994 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 457, + 505, + 508 + ], + "lines": [ + { + "bbox": [ + 106, + 454, + 507, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 119, + 471 + ], + "score": 0.9, + "content": "\\mathbf { g } _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 454, + 421, + 477 + ], + "score": 1.0, + "content": "is a random variable drawn from the Gumbel distribution. Note that now", + "type": "text" + }, + { + "bbox": [ + 421, + 457, + 437, + 471 + ], + "score": 0.92, + "content": "\\mathrm { m } _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 454, + 507, + 477 + ], + "score": 1.0, + "content": "becomes a con-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 470, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 382, + 486 + ], + "score": 1.0, + "content": "tinuous random variable. 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As", + "type": "text" + }, + { + "bbox": [ + 450, + 542, + 481, + 552 + ], + "score": 0.81, + "content": "\\tau \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 541, + 485, + 554 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 485, + 541, + 504, + 552 + ], + "score": 0.82, + "content": "m ^ { i j }", + "type": "inline_equation" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 551, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 505, + 566 + ], + "score": 1.0, + "content": "become continuous random variable following a uniform distribution. Therefore, in equation (3),", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "all edges are executed and their outputs are averaged. The gradient estimation in equation (6) are", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 573, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 474, + 587 + ], + "score": 1.0, + "content": "biased but the variance is low, which is favorable during the initial stage of the training. As", + "type": "text" + }, + { + "bbox": [ + 474, + 575, + 501, + 585 + ], + "score": 0.88, + "content": "\\tau 0", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 573, + 505, + 587 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 585, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 125, + 596 + ], + "score": 0.87, + "content": "m ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 585, + 482, + 599 + ], + "score": 1.0, + "content": "gradually becomes a discrete random variable following the categorical distribution of", + "type": "text" + }, + { + "bbox": [ + 482, + 586, + 501, + 597 + ], + "score": 0.89, + "content": "P _ { \\theta ^ { i j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 585, + 505, + 599 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "score": 1.0, + "content": "When computing equation (3), only one edge is sampled to be executed. The gradient estimation", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 505, + 619 + ], + "score": 1.0, + "content": "then becomes unbiased but the variance is high. This is favorable towards the end of the training. In", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 618, + 453, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 453, + 631 + ], + "score": 1.0, + "content": "our experiment, we use an exponential decaying schedule to anneal the temperature as", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 541, + 506, + 631 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 251, + 633, + 359, + 646 + ], + "lines": [ + { + "bbox": [ + 251, + 633, + 359, + 646 + ], + "spans": [ + { + "bbox": [ + 251, + 633, + 359, + 646 + ], + "score": 0.93, + "content": "\\tau = T _ { 0 } \\exp ( - \\eta \\times e p o c h ) ,", + "type": "interline_equation", + "image_path": "c5bd09b3262e9ab114429cd2214cf54465436781142846a54a09098c1143d99b.jpg" + } + ] + } + ], + "index": 43, + "virtual_lines": [ + { + "bbox": [ + 251, + 633, + 359, + 646 + ], + "spans": [], + "index": 43 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 648, + 505, + 672 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 133, + 662 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 649, + 145, + 660 + ], + "score": 0.87, + "content": "T _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 648, + 505, + 662 + ], + "score": 1.0, + "content": "is the initial temperature when training begins. We decay the temperature exponentially", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 659, + 487, + 673 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 487, + 673 + ], + "score": 1.0, + "content": "after every epoch. Using the Gumbel Softmax trick effectively stabilizes the super net training.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44.5, + "bbox_fs": [ + 106, + 648, + 505, + 673 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "In some sense, our work is in the middle ground of two previous works: ENAS by Pham et al. (2018)", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "score": 1.0, + "content": "and DARTS by Liu et al. (2018). 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Training the weight", + "type": "text" + }, + { + "bbox": [ + 494, + 131, + 504, + 140 + ], + "score": 0.61, + "content": "\\pmb { w }", + "type": "inline_equation" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 140, + 505, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 140, + 505, + 153 + ], + "score": 1.0, + "content": "optimizes all candidate edges (operators). However, different edges can have different impact on the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 152, + 505, + 164 + ], + "spans": [ + { + "bbox": [ + 106, + 152, + 385, + 164 + ], + "score": 1.0, + "content": "overall performance. 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To", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 382, + 186 + ], + "score": 1.0, + "content": "ensure generalization, we split the dataset for architecture search into", + "type": "text" + }, + { + "bbox": [ + 382, + 174, + 397, + 184 + ], + "score": 0.89, + "content": "{ { \\mathcal { X } } _ { w } }", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 173, + 505, + 186 + ], + "score": 1.0, + "content": ", which is used specifically", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 185, + 412, + 197 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 137, + 197 + ], + "score": 1.0, + "content": "to train", + "type": "text" + }, + { + "bbox": [ + 138, + 186, + 147, + 195 + ], + "score": 0.72, + "content": "\\pmb { w }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 185, + 168, + 197 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 168, + 185, + 181, + 195 + ], + "score": 0.88, + "content": "\\mathcal { X } _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 185, + 273, + 197 + ], + "score": 1.0, + "content": ", which is used to train", + "type": "text" + }, + { + "bbox": [ + 273, + 185, + 280, + 194 + ], + "score": 0.45, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 185, + 412, + 197 + ], + "score": 1.0, + "content": ". The idea is illustrated in Fig. 1.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 107, + 201, + 504, + 246 + ], + "lines": [ + { + "bbox": [ + 105, + 200, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 276, + 214 + ], + "score": 1.0, + "content": "In each epoch, we anneal the temperature", + "type": "text" + }, + { + "bbox": [ + 277, + 204, + 284, + 211 + ], + "score": 0.78, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 200, + 505, + 214 + ], + "score": 1.0, + "content": "for gumbel softmax with the schedule in equation (9).", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 208, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 104, + 208, + 149, + 228 + ], + "score": 1.0, + "content": "To ensure", + "type": "text" + }, + { + "bbox": [ + 149, + 214, + 159, + 222 + ], + "score": 0.74, + "content": "\\textbf { \\em w }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 208, + 315, + 228 + ], + "score": 1.0, + "content": "is sufficiently trained before updating", + "type": "text" + }, + { + "bbox": [ + 315, + 213, + 322, + 222 + ], + "score": 0.75, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 208, + 440, + 228 + ], + "score": 1.0, + "content": ", we postpone the training of", + "type": "text" + }, + { + "bbox": [ + 441, + 213, + 448, + 222 + ], + "score": 0.71, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 208, + 464, + 228 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 464, + 212, + 478, + 223 + ], + "score": 0.26, + "content": "N _ { w }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 208, + 506, + 228 + ], + "score": 1.0, + "content": "armup", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 223, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 223, + 308, + 236 + ], + "score": 1.0, + "content": "epochs. 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Nodes in the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 718, + 495, + 730 + ], + "spans": [ + { + "bbox": [ + 105, + 718, + 495, + 730 + ], + "score": 1.0, + "content": "super net represent feature maps, edges represent convolution operators with different bit-widths.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5 + } + ], + "index": 39.25 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 501, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 502, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 502, + 96 + ], + "score": 1.0, + "content": "In order to encourage using lower-precision weights and activations, we define the loss function as", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "interline_equation", + "bbox": [ + 213, + 95, + 394, + 108 + ], + "lines": [ + { + "bbox": [ + 213, + 95, + 394, + 108 + ], + "spans": [ + { + "bbox": [ + 213, + 95, + 394, + 108 + ], + "score": 0.85, + "content": "{ \\mathcal { L } } ( a , { \\boldsymbol { w } } _ { a } ) = \\operatorname { C r o s s E n t r o p y } ( a ) \\times { \\mathcal { C } } ( C o s t ( a ) ) .", + "type": "interline_equation", + "image_path": "064607cc4076f7ae9a64a15dce821f2fdb40d25e5db6b76d57f018d4853981df.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 213, + 95, + 394, + 108 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 109, + 505, + 131 + ], + "lines": [ + { + "bbox": [ + 107, + 108, + 505, + 121 + ], + "spans": [ + { + "bbox": [ + 107, + 109, + 141, + 121 + ], + "score": 0.87, + "content": "C o s t ( a )", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 108, + 334, + 121 + ], + "score": 1.0, + "content": "denotes the cost of a candidate architecture and", + "type": "text" + }, + { + "bbox": [ + 334, + 109, + 352, + 121 + ], + "score": 0.91, + "content": "\\mathcal { C } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 108, + 505, + 121 + ], + "score": 1.0, + "content": "is a weighting function to balance the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 119, + 459, + 133 + ], + "spans": [ + { + "bbox": [ + 105, + 119, + 459, + 133 + ], + "score": 1.0, + "content": "cross entropy term and the cost term. To compress the model size, we define the cost as", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "interline_equation", + "bbox": [ + 187, + 132, + 423, + 162 + ], + "lines": [ + { + "bbox": [ + 187, + 132, + 423, + 162 + ], + "spans": [ + { + "bbox": [ + 187, + 132, + 423, + 162 + ], + "score": 0.92, + "content": "C o s t ( a ) = \\sum _ { e _ { k } ^ { i j } \\in E } m _ { k } ^ { i j } \\times \\# \\mathrm { P A R A M } ( e _ { k } ^ { i j } ) \\times \\mathrm { w e i g h t } \\mathrm { b i t } ( e _ { k } ^ { i j } ) ,", + "type": "interline_equation", + "image_path": "8a4c160d8bc77bf8e771b2ab4741866f9726bcfe1a3574784528211b2a6b9bb2.jpg" + } + ] + } + ], + "index": 4.5, + "virtual_lines": [ + { + "bbox": [ + 187, + 132, + 423, + 147.0 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 187, + 147.0, + 423, + 162.0 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 163, + 505, + 208 + ], + "lines": [ + { + "bbox": [ + 105, + 162, + 505, + 176 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 133, + 176 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 163, + 185, + 175 + ], + "score": 0.26, + "content": "\\# \\mathrm { { P A R A M } ( \\cdot ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 162, + 505, + 176 + ], + "score": 1.0, + "content": "denotes the number of parameters of a convolution operator and weight-bit(·)", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 101, + 170, + 509, + 200 + ], + "spans": [ + { + "bbox": [ + 101, + 170, + 262, + 200 + ], + "score": 1.0, + "content": "denotes the bit-width of the weight. Alternatively, to reduce the computatio", + "type": "text" + }, + { + "bbox": [ + 263, + 174, + 280, + 189 + ], + "score": 0.92, + "content": "m _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 170, + 509, + 200 + ], + "score": 1.0, + "content": "is the edge selection mask described in equation (3).ost by jointly compressing both weights and activations,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 199, + 205, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 205, + 209 + ], + "score": 1.0, + "content": "we use the cost function", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7 + }, + { + "type": "interline_equation", + "bbox": [ + 164, + 207, + 446, + 238 + ], + "lines": [ + { + "bbox": [ + 164, + 207, + 446, + 238 + ], + "spans": [ + { + "bbox": [ + 164, + 207, + 446, + 238 + ], + "score": 0.95, + "content": "C o s t ( a ) = \\sum _ { e _ { k } ^ { i j } \\in E } m _ { k } ^ { i j } \\times \\# \\mathrm { F L O P } ( e _ { k } ^ { i j } ) \\times \\mathrm { w e i g h t - b i t } ( e _ { k } ^ { i j } ) \\times \\mathrm { a c t - b i t } ( e _ { k } ^ { i j } ) ,", + "type": "interline_equation", + "image_path": "f695b8f5542fd63180788056c38a70cea93557a119c3f618837ccbf973906162.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 164, + 207, + 446, + 217.33333333333334 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 164, + 217.33333333333334, + 446, + 227.66666666666669 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 164, + 227.66666666666669, + 446, + 238.00000000000003 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 239, + 505, + 288 + ], + "lines": [ + { + "bbox": [ + 106, + 238, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 135, + 252 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 239, + 177, + 251 + ], + "score": 0.72, + "content": "\\# \\mathrm { F L O P ( \\cdot ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 238, + 505, + 252 + ], + "score": 1.0, + "content": "denotes the number of floating point operations of the convolution operator,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 249, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 148, + 263 + ], + "score": 1.0, + "content": "weight-bit", + "type": "text" + }, + { + "bbox": [ + 149, + 250, + 159, + 262 + ], + "score": 0.5, + "content": "( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 249, + 354, + 263 + ], + "score": 1.0, + "content": "denotes the bit-width of the weight and act-bit", + "type": "text" + }, + { + "bbox": [ + 354, + 250, + 365, + 262 + ], + "score": 0.39, + "content": "( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 249, + 505, + 263 + ], + "score": 1.0, + "content": "denotes the bit-width of the acti-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 261, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 291, + 277 + ], + "score": 1.0, + "content": "vation. Note that in a candidate architecture,", + "type": "text" + }, + { + "bbox": [ + 292, + 261, + 309, + 275 + ], + "score": 0.92, + "content": "m _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 261, + 389, + 277 + ], + "score": 1.0, + "content": "have binary values", + "type": "text" + }, + { + "bbox": [ + 390, + 262, + 415, + 275 + ], + "score": 0.92, + "content": "\\{ 0 , 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 261, + 506, + 277 + ], + "score": 1.0, + "content": ". In the super net, we", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 272, + 437, + 291 + ], + "spans": [ + { + "bbox": [ + 104, + 272, + 131, + 291 + ], + "score": 1.0, + "content": "allow", + "type": "text" + }, + { + "bbox": [ + 131, + 274, + 148, + 289 + ], + "score": 0.92, + "content": "m _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 272, + 437, + 291 + ], + "score": 1.0, + "content": "to be continuous so we can compute the expected cost of the super net..", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 108, + 293, + 426, + 304 + ], + "lines": [ + { + "bbox": [ + 105, + 291, + 427, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 427, + 307 + ], + "score": 1.0, + "content": "To balance the cost term with the cross entropy term in equation (10), we define", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 319, + 507, + 353 + ], + "lines": [ + { + "bbox": [ + 106, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 133, + 332 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 320, + 141, + 331 + ], + "score": 0.85, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 318, + 319, + 332 + ], + "score": 1.0, + "content": "is a coefficient to adjust the initial value of", + "type": "text" + }, + { + "bbox": [ + 319, + 320, + 367, + 331 + ], + "score": 0.92, + "content": "\\mathcal { C } ( C o s t ( a ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 318, + 434, + 332 + ], + "score": 1.0, + "content": "to be around 1.", + "type": "text" + }, + { + "bbox": [ + 434, + 321, + 443, + 331 + ], + "score": 0.79, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 318, + 506, + 332 + ], + "score": 1.0, + "content": "is a coefficient", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 331, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 455, + 343 + ], + "score": 1.0, + "content": "to adjust the relative importance of the cost term vs. the cross-entropy term. A larger", + "type": "text" + }, + { + "bbox": [ + 455, + 333, + 463, + 342 + ], + "score": 0.81, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 331, + 506, + 343 + ], + "score": 1.0, + "content": "leads to a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 340, + 417, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 417, + 355 + ], + "score": 1.0, + "content": "stronger cost term in the loss function, which favors efficiency over accuracy.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18 + }, + { + "type": "title", + "bbox": [ + 107, + 368, + 200, + 380 + ], + "lines": [ + { + "bbox": [ + 105, + 368, + 201, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 201, + 382 + ], + "score": 1.0, + "content": "6 EXPERIMENTS", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "title", + "bbox": [ + 107, + 392, + 238, + 403 + ], + "lines": [ + { + "bbox": [ + 106, + 392, + 239, + 404 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 239, + 404 + ], + "score": 1.0, + "content": "6.1 CIFAR10 EXPERIMENTS", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 412, + 505, + 534 + ], + "lines": [ + { + "bbox": [ + 105, + 412, + 504, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 504, + 425 + ], + "score": 1.0, + "content": "In the first experiment, we focus on quantizing ResNet20, ResNet56, and ResNet110 (He et al.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 422, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 505, + 438 + ], + "score": 1.0, + "content": "(2016a)) on CIFAR10 (Krizhevsky & Hinton (2009)) dataset. We start by focusing on reducing", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "model size, since smaller models require less storage and communication cost, which is important", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "for mobile and embedded devices. We only perform quantization on weights and use full-precision", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "activations. We conduct mixed precision search at the block level – all layers in one block use", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 468, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 480 + ], + "score": 1.0, + "content": "the same precision. Following the convention, we do not quantize the first and the last layer. We", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "score": 1.0, + "content": "construct a super net whose macro architecture is exactly the same as our target network. For each", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 262, + 502 + ], + "score": 1.0, + "content": "block, we can choose a precision from", + "type": "text" + }, + { + "bbox": [ + 262, + 489, + 339, + 501 + ], + "score": 0.92, + "content": "\\{ 0 , 1 , 2 , 3 , 4 , 8 , 3 \\dot { 2 } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 489, + 505, + 502 + ], + "score": 1.0, + "content": ". If the precision is 0, we simply skip this", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 499, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 104, + 499, + 505, + 514 + ], + "score": 1.0, + "content": "block so the input and output are identical. If the precision is 32, we use the full-precision floating", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 280, + 524 + ], + "score": 1.0, + "content": "point weights. For all other precisions with", + "type": "text" + }, + { + "bbox": [ + 280, + 512, + 287, + 521 + ], + "score": 0.82, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 511, + 398, + 524 + ], + "score": 1.0, + "content": "-bit, we quantize weights to", + "type": "text" + }, + { + "bbox": [ + 398, + 512, + 405, + 521 + ], + "score": 0.83, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "-bit fixed-point numbers.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 522, + 290, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 290, + 535 + ], + "score": 1.0, + "content": "See Appendix B for more experiment details.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 539, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 538, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 553 + ], + "score": 1.0, + "content": "Our experiment result is summarized in Table 1. For each quantized model, we report its accuracy", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "and model size compression rate compared with 32-bit full precision models. The model size is", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "computed by equation (11). Among all the models we searched, we report the one with the highest", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 573, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 584 + ], + "score": 1.0, + "content": "test accuracy and the one with the highest compression rate. We compare our method with Zhu", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "et al. (2016), where they use 2-bit (ternary) weights for all the layers of the network, except the first", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 595, + 504, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 504, + 606 + ], + "score": 1.0, + "content": "convolution and the last fully connect layer. From the table, we have the following observations:", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 605, + 504, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 476, + 617 + ], + "score": 1.0, + "content": "1) All of our most accurate models out-perform their full-precision counterparts by up to", + "type": "text" + }, + { + "bbox": [ + 477, + 605, + 504, + 616 + ], + "score": 0.85, + "content": "0 . 3 7 \\%", + "type": "inline_equation" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 187, + 628 + ], + "score": 1.0, + "content": "while still achieves", + "type": "text" + }, + { + "bbox": [ + 187, + 616, + 241, + 627 + ], + "score": 0.6, + "content": "1 1 . 6 \\mathrm { ~ - ~ } 1 2 . 5 X", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 615, + 505, + 628 + ], + "score": 1.0, + "content": "model size reduction. 2) Our most efficient models can achieve", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 107, + 627, + 159, + 638 + ], + "score": 0.61, + "content": "1 6 . 6 - 2 0 . 3 X", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 627, + 378, + 639 + ], + "score": 1.0, + "content": "model size compression with accuracy drop less than", + "type": "text" + }, + { + "bbox": [ + 378, + 627, + 405, + 638 + ], + "score": 0.85, + "content": "0 . 3 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 627, + 505, + 639 + ], + "score": 1.0, + "content": ". 3) Compared with Zhu", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 263, + 650 + ], + "score": 1.0, + "content": "et al. (2016), our model achieves up to", + "type": "text" + }, + { + "bbox": [ + 263, + 638, + 290, + 649 + ], + "score": 0.87, + "content": "1 . 5 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "better accuracy. This is partially due to our improved", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 649, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 506, + 662 + ], + "score": 1.0, + "content": "training recipe as our full-precision model’s accuracy is also higher. But it still demonstrates that", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 659, + 471, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 471, + 674 + ], + "score": 1.0, + "content": "our models with searched mixed precision assignment can very well preserve the accuracy.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "Table 2 compares the precision assignment for the most accurate and the most efficient models for", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 686, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 505, + 701 + ], + "score": 1.0, + "content": "ResNet20. Note that for the most efficient model, it directly skips the 3rd block in group-1. In Fig.", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "3, we plot the accuracy vs. compression rate of searched architectures of ResNet110. We observe", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "that models with random precision assignment (from epoch 0) have significantly worse compression", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 720, + 473, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 473, + 734 + ], + "score": 1.0, + "content": "while searched precision assignments generally have higher compression rate and accuracy.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 26, + 308, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 501, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 502, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 502, + 96 + ], + "score": 1.0, + "content": "In order to encourage using lower-precision weights and activations, we define the loss function as", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 105, + 82, + 502, + 96 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 213, + 95, + 394, + 108 + ], + "lines": [ + { + "bbox": [ + 213, + 95, + 394, + 108 + ], + "spans": [ + { + "bbox": [ + 213, + 95, + 394, + 108 + ], + "score": 0.85, + "content": "{ \\mathcal { L } } ( a , { \\boldsymbol { w } } _ { a } ) = \\operatorname { C r o s s E n t r o p y } ( a ) \\times { \\mathcal { C } } ( C o s t ( a ) ) .", + "type": "interline_equation", + "image_path": "064607cc4076f7ae9a64a15dce821f2fdb40d25e5db6b76d57f018d4853981df.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 213, + 95, + 394, + 108 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 109, + 505, + 131 + ], + "lines": [ + { + "bbox": [ + 107, + 108, + 505, + 121 + ], + "spans": [ + { + "bbox": [ + 107, + 109, + 141, + 121 + ], + "score": 0.87, + "content": "C o s t ( a )", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 108, + 334, + 121 + ], + "score": 1.0, + "content": "denotes the cost of a candidate architecture and", + "type": "text" + }, + { + "bbox": [ + 334, + 109, + 352, + 121 + ], + "score": 0.91, + "content": "\\mathcal { C } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 108, + 505, + 121 + ], + "score": 1.0, + "content": "is a weighting function to balance the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 119, + 459, + 133 + ], + "spans": [ + { + "bbox": [ + 105, + 119, + 459, + 133 + ], + "score": 1.0, + "content": "cross entropy term and the cost term. To compress the model size, we define the cost as", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 108, + 505, + 133 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 187, + 132, + 423, + 162 + ], + "lines": [ + { + "bbox": [ + 187, + 132, + 423, + 162 + ], + "spans": [ + { + "bbox": [ + 187, + 132, + 423, + 162 + ], + "score": 0.92, + "content": "C o s t ( a ) = \\sum _ { e _ { k } ^ { i j } \\in E } m _ { k } ^ { i j } \\times \\# \\mathrm { P A R A M } ( e _ { k } ^ { i j } ) \\times \\mathrm { w e i g h t } \\mathrm { b i t } ( e _ { k } ^ { i j } ) ,", + "type": "interline_equation", + "image_path": "8a4c160d8bc77bf8e771b2ab4741866f9726bcfe1a3574784528211b2a6b9bb2.jpg" + } + ] + } + ], + "index": 4.5, + "virtual_lines": [ + { + "bbox": [ + 187, + 132, + 423, + 147.0 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 187, + 147.0, + 423, + 162.0 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 163, + 505, + 208 + ], + "lines": [ + { + "bbox": [ + 105, + 162, + 505, + 176 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 133, + 176 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 163, + 185, + 175 + ], + "score": 0.26, + "content": "\\# \\mathrm { { P A R A M } ( \\cdot ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 162, + 505, + 176 + ], + "score": 1.0, + "content": "denotes the number of parameters of a convolution operator and weight-bit(·)", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 101, + 170, + 509, + 200 + ], + "spans": [ + { + "bbox": [ + 101, + 170, + 262, + 200 + ], + "score": 1.0, + "content": "denotes the bit-width of the weight. Alternatively, to reduce the computatio", + "type": "text" + }, + { + "bbox": [ + 263, + 174, + 280, + 189 + ], + "score": 0.92, + "content": "m _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 170, + 509, + 200 + ], + "score": 1.0, + "content": "is the edge selection mask described in equation (3).ost by jointly compressing both weights and activations,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 199, + 205, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 205, + 209 + ], + "score": 1.0, + "content": "we use the cost function", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7, + "bbox_fs": [ + 101, + 162, + 509, + 209 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 164, + 207, + 446, + 238 + ], + "lines": [ + { + "bbox": [ + 164, + 207, + 446, + 238 + ], + "spans": [ + { + "bbox": [ + 164, + 207, + 446, + 238 + ], + "score": 0.95, + "content": "C o s t ( a ) = \\sum _ { e _ { k } ^ { i j } \\in E } m _ { k } ^ { i j } \\times \\# \\mathrm { F L O P } ( e _ { k } ^ { i j } ) \\times \\mathrm { w e i g h t - b i t } ( e _ { k } ^ { i j } ) \\times \\mathrm { a c t - b i t } ( e _ { k } ^ { i j } ) ,", + "type": "interline_equation", + "image_path": "f695b8f5542fd63180788056c38a70cea93557a119c3f618837ccbf973906162.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 164, + 207, + 446, + 217.33333333333334 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 164, + 217.33333333333334, + 446, + 227.66666666666669 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 164, + 227.66666666666669, + 446, + 238.00000000000003 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 239, + 505, + 288 + ], + "lines": [ + { + "bbox": [ + 106, + 238, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 135, + 252 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 239, + 177, + 251 + ], + "score": 0.72, + "content": "\\# \\mathrm { F L O P ( \\cdot ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 238, + 505, + 252 + ], + "score": 1.0, + "content": "denotes the number of floating point operations of the convolution operator,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 249, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 148, + 263 + ], + "score": 1.0, + "content": "weight-bit", + "type": "text" + }, + { + "bbox": [ + 149, + 250, + 159, + 262 + ], + "score": 0.5, + "content": "( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 249, + 354, + 263 + ], + "score": 1.0, + "content": "denotes the bit-width of the weight and act-bit", + "type": "text" + }, + { + "bbox": [ + 354, + 250, + 365, + 262 + ], + "score": 0.39, + "content": "( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 249, + 505, + 263 + ], + "score": 1.0, + "content": "denotes the bit-width of the acti-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 261, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 291, + 277 + ], + "score": 1.0, + "content": "vation. Note that in a candidate architecture,", + "type": "text" + }, + { + "bbox": [ + 292, + 261, + 309, + 275 + ], + "score": 0.92, + "content": "m _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 261, + 389, + 277 + ], + "score": 1.0, + "content": "have binary values", + "type": "text" + }, + { + "bbox": [ + 390, + 262, + 415, + 275 + ], + "score": 0.92, + "content": "\\{ 0 , 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 261, + 506, + 277 + ], + "score": 1.0, + "content": ". In the super net, we", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 272, + 437, + 291 + ], + "spans": [ + { + "bbox": [ + 104, + 272, + 131, + 291 + ], + "score": 1.0, + "content": "allow", + "type": "text" + }, + { + "bbox": [ + 131, + 274, + 148, + 289 + ], + "score": 0.92, + "content": "m _ { k } ^ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 272, + 437, + 291 + ], + "score": 1.0, + "content": "to be continuous so we can compute the expected cost of the super net..", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5, + "bbox_fs": [ + 104, + 238, + 506, + 291 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 293, + 426, + 304 + ], + "lines": [ + { + "bbox": [ + 105, + 291, + 427, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 427, + 307 + ], + "score": 1.0, + "content": "To balance the cost term with the cross entropy term in equation (10), we define", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 133, + 332 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 320, + 141, + 331 + ], + "score": 0.85, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 318, + 319, + 332 + ], + "score": 1.0, + "content": "is a coefficient to adjust the initial value of", + "type": "text" + }, + { + "bbox": [ + 319, + 320, + 367, + 331 + ], + "score": 0.92, + "content": "\\mathcal { C } ( C o s t ( a ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 318, + 434, + 332 + ], + "score": 1.0, + "content": "to be around 1.", + "type": "text" + }, + { + "bbox": [ + 434, + 321, + 443, + 331 + ], + "score": 0.79, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 318, + 506, + 332 + ], + "score": 1.0, + "content": "is a coefficient", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 331, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 455, + 343 + ], + "score": 1.0, + "content": "to adjust the relative importance of the cost term vs. the cross-entropy term. A larger", + "type": "text" + }, + { + "bbox": [ + 455, + 333, + 463, + 342 + ], + "score": 0.81, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 331, + 506, + 343 + ], + "score": 1.0, + "content": "leads to a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 340, + 417, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 417, + 355 + ], + "score": 1.0, + "content": "stronger cost term in the loss function, which favors efficiency over accuracy.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 291, + 427, + 307 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 319, + 507, + 353 + ], + "lines": [], + "index": 18, + "bbox_fs": [ + 105, + 318, + 506, + 355 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 107, + 368, + 200, + 380 + ], + "lines": [ + { + "bbox": [ + 105, + 368, + 201, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 201, + 382 + ], + "score": 1.0, + "content": "6 EXPERIMENTS", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "title", + "bbox": [ + 107, + 392, + 238, + 403 + ], + "lines": [ + { + "bbox": [ + 106, + 392, + 239, + 404 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 239, + 404 + ], + "score": 1.0, + "content": "6.1 CIFAR10 EXPERIMENTS", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 412, + 505, + 534 + ], + "lines": [ + { + "bbox": [ + 105, + 412, + 504, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 504, + 425 + ], + "score": 1.0, + "content": "In the first experiment, we focus on quantizing ResNet20, ResNet56, and ResNet110 (He et al.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 422, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 505, + 438 + ], + "score": 1.0, + "content": "(2016a)) on CIFAR10 (Krizhevsky & Hinton (2009)) dataset. We start by focusing on reducing", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "model size, since smaller models require less storage and communication cost, which is important", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "for mobile and embedded devices. We only perform quantization on weights and use full-precision", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "activations. We conduct mixed precision search at the block level – all layers in one block use", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 468, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 480 + ], + "score": 1.0, + "content": "the same precision. Following the convention, we do not quantize the first and the last layer. We", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "score": 1.0, + "content": "construct a super net whose macro architecture is exactly the same as our target network. For each", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 262, + 502 + ], + "score": 1.0, + "content": "block, we can choose a precision from", + "type": "text" + }, + { + "bbox": [ + 262, + 489, + 339, + 501 + ], + "score": 0.92, + "content": "\\{ 0 , 1 , 2 , 3 , 4 , 8 , 3 \\dot { 2 } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 489, + 505, + 502 + ], + "score": 1.0, + "content": ". If the precision is 0, we simply skip this", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 499, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 104, + 499, + 505, + 514 + ], + "score": 1.0, + "content": "block so the input and output are identical. If the precision is 32, we use the full-precision floating", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 280, + 524 + ], + "score": 1.0, + "content": "point weights. For all other precisions with", + "type": "text" + }, + { + "bbox": [ + 280, + 512, + 287, + 521 + ], + "score": 0.82, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 511, + 398, + 524 + ], + "score": 1.0, + "content": "-bit, we quantize weights to", + "type": "text" + }, + { + "bbox": [ + 398, + 512, + 405, + 521 + ], + "score": 0.83, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "-bit fixed-point numbers.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 522, + 290, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 290, + 535 + ], + "score": 1.0, + "content": "See Appendix B for more experiment details.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 412, + 506, + 535 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 539, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 538, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 553 + ], + "score": 1.0, + "content": "Our experiment result is summarized in Table 1. For each quantized model, we report its accuracy", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "and model size compression rate compared with 32-bit full precision models. The model size is", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "computed by equation (11). Among all the models we searched, we report the one with the highest", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 573, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 584 + ], + "score": 1.0, + "content": "test accuracy and the one with the highest compression rate. We compare our method with Zhu", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "et al. (2016), where they use 2-bit (ternary) weights for all the layers of the network, except the first", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 595, + 504, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 504, + 606 + ], + "score": 1.0, + "content": "convolution and the last fully connect layer. From the table, we have the following observations:", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 605, + 504, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 476, + 617 + ], + "score": 1.0, + "content": "1) All of our most accurate models out-perform their full-precision counterparts by up to", + "type": "text" + }, + { + "bbox": [ + 477, + 605, + 504, + 616 + ], + "score": 0.85, + "content": "0 . 3 7 \\%", + "type": "inline_equation" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 187, + 628 + ], + "score": 1.0, + "content": "while still achieves", + "type": "text" + }, + { + "bbox": [ + 187, + 616, + 241, + 627 + ], + "score": 0.6, + "content": "1 1 . 6 \\mathrm { ~ - ~ } 1 2 . 5 X", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 615, + 505, + 628 + ], + "score": 1.0, + "content": "model size reduction. 2) Our most efficient models can achieve", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 107, + 627, + 159, + 638 + ], + "score": 0.61, + "content": "1 6 . 6 - 2 0 . 3 X", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 627, + 378, + 639 + ], + "score": 1.0, + "content": "model size compression with accuracy drop less than", + "type": "text" + }, + { + "bbox": [ + 378, + 627, + 405, + 638 + ], + "score": 0.85, + "content": "0 . 3 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 627, + 505, + 639 + ], + "score": 1.0, + "content": ". 3) Compared with Zhu", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 263, + 650 + ], + "score": 1.0, + "content": "et al. (2016), our model achieves up to", + "type": "text" + }, + { + "bbox": [ + 263, + 638, + 290, + 649 + ], + "score": 0.87, + "content": "1 . 5 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "better accuracy. This is partially due to our improved", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 649, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 506, + 662 + ], + "score": 1.0, + "content": "training recipe as our full-precision model’s accuracy is also higher. But it still demonstrates that", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 659, + 471, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 471, + 674 + ], + "score": 1.0, + "content": "our models with searched mixed precision assignment can very well preserve the accuracy.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 538, + 506, + 674 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "Table 2 compares the precision assignment for the most accurate and the most efficient models for", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 686, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 505, + 701 + ], + "score": 1.0, + "content": "ResNet20. Note that for the most efficient model, it directly skips the 3rd block in group-1. In Fig.", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "3, we plot the accuracy vs. compression rate of searched architectures of ResNet110. We observe", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "that models with random precision assignment (from epoch 0) have significantly worse compression", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 720, + 473, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 473, + 734 + ], + "score": 1.0, + "content": "while searched precision assignments generally have higher compression rate and accuracy.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 677, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 80, + 483, + 172 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 80, + 483, + 172 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 80, + 483, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 483, + 172 + ], + "score": 0.983, + "html": "
DNAS (ours)TTQ (Zhu et al. (2016))
FullMost AccurateMost EfficientFull2bit
ResNet20Acc92.3592.72 (+0.37)92.00 (-0.35)91.7791.13 (-0.64)
Comp1.011.616.61.016.0
ResNet56Acc94.4294.57 (+0.15)94.12 (-0.30)93.2093.56 (+0.36)
Comp1.014.618.931.016.0
ResNet110Acc94.7895.07 (+0.29)94.39 (-0.39)1-
Comp1.012.520.311
", + "type": "table", + "image_path": "44a24723b5549e576902af457dd4d1b13a986d42bafc3383ecc0e7830f7e04f9.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 80, + 483, + 110.66666666666667 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 110.66666666666667, + 483, + 141.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 141.33333333333334, + 483, + 172.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 105, + 179, + 506, + 203 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 178, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 178, + 505, + 192 + ], + "score": 1.0, + "content": "Table 1: Mixed Precision Quantization for ResNet on CIFAR10 dataset. We report results on", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 190, + 498, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 192, + 203 + ], + "score": 0.25, + "content": "\\mathrm { R e s N e t } \\{ 2 0 , 5 6 , 1 1 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 190, + 498, + 205 + ], + "score": 1.0, + "content": ". In the table, we abbreviate accuracy as “Acc” and compression as “Comp”.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "table", + "bbox": [ + 107, + 218, + 467, + 254 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 107, + 218, + 467, + 254 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 107, + 218, + 467, + 254 + ], + "spans": [ + { + "bbox": [ + 107, + 218, + 467, + 254 + ], + "score": 0.967, + "html": "
g1b1 g1b2g1b3g2b1g2b2g2b3g3b1g3b2g3b3
MostAccurate4 43334431
Most Efficient2 30242321
", + "type": "table", + "image_path": "6cb1adba73257cf4e4cc463628cb1ea3cbee39882d350146bae716205064cb63.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 107, + 218, + 467, + 230.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 107, + 230.0, + 467, + 242.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 107, + 242.0, + 467, + 254.0 + ], + "spans": [], + "index": 7 + } + ] + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 105, + 263, + 503, + 274 + ], + "lines": [ + { + "bbox": [ + 106, + 262, + 504, + 274 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 504, + 274 + ], + "score": 1.0, + "content": "Table 2: Layer-wise bit-widths for the most accurate vs. the most efficient architecture of ResNet20.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "title", + "bbox": [ + 108, + 286, + 244, + 298 + ], + "lines": [ + { + "bbox": [ + 106, + 286, + 244, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 244, + 298 + ], + "score": 1.0, + "content": "6.2 IMAGENET EXPERIMENTS", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 308, + 505, + 353 + ], + "lines": [ + { + "bbox": [ + 105, + 308, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 505, + 321 + ], + "score": 1.0, + "content": "We quantize ResNet18 and ResNet34 on the ImageNet ILSVRC2012 (Deng et al. (2009)) dataset.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 319, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 506, + 332 + ], + "score": 1.0, + "content": "Different from the original ResNet (He et al. (2016a)), we use the “ReLU-only preactivation” ResNet", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 330, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 343 + ], + "score": 1.0, + "content": "from He et al. (2016b). Similar to the CIFAR10 experiments, we conduct mixed precision search at", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 342, + 491, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 491, + 354 + ], + "score": 1.0, + "content": "the block level. We do not quanitze the first and the last layer. See Appendix B for more details.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 358, + 505, + 447 + ], + "lines": [ + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "score": 1.0, + "content": "We conduct two sets of experiments. In the first set, we aim at compressing the model size, so we", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "only quantize weights and use the cost function from equation (11). Each block contains convolution", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 380, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 255, + 394 + ], + "score": 1.0, + "content": "operators with weights quantized to", + "type": "text" + }, + { + "bbox": [ + 255, + 380, + 313, + 393 + ], + "score": 0.89, + "content": "\\{ 1 , 2 , 4 , 8 , 3 2 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 380, + 505, + 394 + ], + "score": 1.0, + "content": "-bit. In the second set, we aim at compressing", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 392, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 505, + 403 + ], + "score": 1.0, + "content": "computational cost. So we quantize both weights and activations and use the cost function from", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "equation (12). Each block in the super net contains convolution operators with weights and acti-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 191, + 426 + ], + "score": 1.0, + "content": "vations quantized to", + "type": "text" + }, + { + "bbox": [ + 191, + 413, + 367, + 425 + ], + "score": 0.81, + "content": "\\{ ( 1 , 4 ) , ( 2 , 4 ) , ( \\bar { 3 } , 3 ) , ( 4 , 4 ) , ( 8 , 8 ) , ( 3 2 , 3 2 ) \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 413, + 506, + 426 + ], + "score": 1.0, + "content": "-bit. The first number in the tuple", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 424, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 437 + ], + "score": 1.0, + "content": "denotes the weight precision and the second denotes the activation precision. The DNAS search is", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 436, + 466, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 436, + 466, + 447 + ], + "score": 1.0, + "content": "very efficient, taking less than 5 hours on 8 V100 GPUs to finish the search on ResNet18.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 106, + 452, + 505, + 595 + ], + "lines": [ + { + "bbox": [ + 106, + 451, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 505, + 465 + ], + "score": 1.0, + "content": "Our model size compression experiment is reported in Table 3. We report two searched results for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "score": 1.0, + "content": "each model. “MA” denotes the searched architecture with the highest accuracy, and “ME” denotes", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 487 + ], + "score": 1.0, + "content": "the most efficient. We compare our results with TTQ (Zhu et al. (2016)) and ADMM (Leng et al.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 486, + 504, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 504, + 497 + ], + "score": 1.0, + "content": "(2017)). TTQ uses ternary weights (stored by 2 bits) to quantize a network. For ADMM, we cite", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 166, + 509 + ], + "score": 1.0, + "content": "the result with", + "type": "text" + }, + { + "bbox": [ + 167, + 496, + 200, + 508 + ], + "score": 0.93, + "content": "\\{ - 4 , 4 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "configuration where weights can have 7 values and are stored by 3 bits. We", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "report the accuracy and model size compression rate of each model. From Table 3, we have the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 517, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 505, + 531 + ], + "score": 1.0, + "content": "following observations: 1) All of our most accurate models out-perform full-precision models by", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 528, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 129, + 542 + ], + "score": 1.0, + "content": "up to", + "type": "text" + }, + { + "bbox": [ + 130, + 529, + 152, + 540 + ], + "score": 0.87, + "content": "0 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 528, + 506, + 542 + ], + "score": 1.0, + "content": "while achieving 10.6-11.2X reduction of model size. 2) Our most efficient models can", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 539, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 169, + 554 + ], + "score": 1.0, + "content": "achieve 19.0 to", + "type": "text" + }, + { + "bbox": [ + 170, + 540, + 196, + 550 + ], + "score": 0.25, + "content": "2 1 . 1 \\mathrm { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 539, + 506, + 554 + ], + "score": 1.0, + "content": "reduction of model size, still preserving competitive accuracy. 3) Compared", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "score": 1.0, + "content": "with previous works, even our less accurate model has almost the same accuracy as the full-precision", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "score": 1.0, + "content": "model with 21.1X smaller model size. This is partially because we use label-refinery (Bagherinezhad", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "et al. (2018)) to effectively boost the accuracy of quantized models. But it still demonstrate that our", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 583, + 457, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 457, + 597 + ], + "score": 1.0, + "content": "searched models can very well preserve the accuracy, despite its high compression rate.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 28 + }, + { + "type": "table", + "bbox": [ + 106, + 617, + 502, + 687 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 617, + 502, + 687 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 617, + 502, + 687 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 502, + 687 + ], + "score": 0.982, + "html": "
DNAS (ours)TTQADMM
FullMAMEFull2bit3bit
ResNet18Acc71.0371.21 (+0.18)69.58 (-1.45)69.668.0 (-1.6)
Comp1.011.221.11.010.7
ResNet34Acc Comp74.12 1.074.61 (+0.49) 10.673.37 (-0.75) 19.0
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DNAS (ours)TTQ (Zhu et al. (2016))
FullMost AccurateMost EfficientFull2bit
ResNet20Acc92.3592.72 (+0.37)92.00 (-0.35)91.7791.13 (-0.64)
Comp1.011.616.61.016.0
ResNet56Acc94.4294.57 (+0.15)94.12 (-0.30)93.2093.56 (+0.36)
Comp1.014.618.931.016.0
ResNet110Acc94.7895.07 (+0.29)94.39 (-0.39)1-
Comp1.012.520.311
", + "type": "table", + "image_path": "44a24723b5549e576902af457dd4d1b13a986d42bafc3383ecc0e7830f7e04f9.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 80, + 483, + 110.66666666666667 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 110.66666666666667, + 483, + 141.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 141.33333333333334, + 483, + 172.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 105, + 179, + 506, + 203 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 178, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 178, + 505, + 192 + ], + "score": 1.0, + "content": "Table 1: Mixed Precision Quantization for ResNet on CIFAR10 dataset. We report results on", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 190, + 498, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 192, + 203 + ], + "score": 0.25, + "content": "\\mathrm { R e s N e t } \\{ 2 0 , 5 6 , 1 1 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 190, + 498, + 205 + ], + "score": 1.0, + "content": ". In the table, we abbreviate accuracy as “Acc” and compression as “Comp”.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "table", + "bbox": [ + 107, + 218, + 467, + 254 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 107, + 218, + 467, + 254 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 107, + 218, + 467, + 254 + ], + "spans": [ + { + "bbox": [ + 107, + 218, + 467, + 254 + ], + "score": 0.967, + "html": "
g1b1 g1b2g1b3g2b1g2b2g2b3g3b1g3b2g3b3
MostAccurate4 43334431
Most Efficient2 30242321
", + "type": "table", + "image_path": "6cb1adba73257cf4e4cc463628cb1ea3cbee39882d350146bae716205064cb63.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 107, + 218, + 467, + 230.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 107, + 230.0, + 467, + 242.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 107, + 242.0, + 467, + 254.0 + ], + "spans": [], + "index": 7 + } + ] + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 105, + 263, + 503, + 274 + ], + "lines": [ + { + "bbox": [ + 106, + 262, + 504, + 274 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 504, + 274 + ], + "score": 1.0, + "content": "Table 2: Layer-wise bit-widths for the most accurate vs. the most efficient architecture of ResNet20.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 106, + 262, + 504, + 274 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 286, + 244, + 298 + ], + "lines": [ + { + "bbox": [ + 106, + 286, + 244, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 244, + 298 + ], + "score": 1.0, + "content": "6.2 IMAGENET EXPERIMENTS", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 308, + 505, + 353 + ], + "lines": [ + { + "bbox": [ + 105, + 308, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 505, + 321 + ], + "score": 1.0, + "content": "We quantize ResNet18 and ResNet34 on the ImageNet ILSVRC2012 (Deng et al. (2009)) dataset.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 319, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 506, + 332 + ], + "score": 1.0, + "content": "Different from the original ResNet (He et al. (2016a)), we use the “ReLU-only preactivation” ResNet", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 330, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 343 + ], + "score": 1.0, + "content": "from He et al. (2016b). Similar to the CIFAR10 experiments, we conduct mixed precision search at", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 342, + 491, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 491, + 354 + ], + "score": 1.0, + "content": "the block level. We do not quanitze the first and the last layer. See Appendix B for more details.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 308, + 506, + 354 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 358, + 505, + 447 + ], + "lines": [ + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "score": 1.0, + "content": "We conduct two sets of experiments. In the first set, we aim at compressing the model size, so we", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "only quantize weights and use the cost function from equation (11). Each block contains convolution", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 380, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 255, + 394 + ], + "score": 1.0, + "content": "operators with weights quantized to", + "type": "text" + }, + { + "bbox": [ + 255, + 380, + 313, + 393 + ], + "score": 0.89, + "content": "\\{ 1 , 2 , 4 , 8 , 3 2 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 380, + 505, + 394 + ], + "score": 1.0, + "content": "-bit. In the second set, we aim at compressing", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 392, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 505, + 403 + ], + "score": 1.0, + "content": "computational cost. So we quantize both weights and activations and use the cost function from", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "equation (12). Each block in the super net contains convolution operators with weights and acti-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 191, + 426 + ], + "score": 1.0, + "content": "vations quantized to", + "type": "text" + }, + { + "bbox": [ + 191, + 413, + 367, + 425 + ], + "score": 0.81, + "content": "\\{ ( 1 , 4 ) , ( 2 , 4 ) , ( \\bar { 3 } , 3 ) , ( 4 , 4 ) , ( 8 , 8 ) , ( 3 2 , 3 2 ) \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 413, + 506, + 426 + ], + "score": 1.0, + "content": "-bit. The first number in the tuple", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 424, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 437 + ], + "score": 1.0, + "content": "denotes the weight precision and the second denotes the activation precision. The DNAS search is", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 436, + 466, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 436, + 466, + 447 + ], + "score": 1.0, + "content": "very efficient, taking less than 5 hours on 8 V100 GPUs to finish the search on ResNet18.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 359, + 506, + 447 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 452, + 505, + 595 + ], + "lines": [ + { + "bbox": [ + 106, + 451, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 505, + 465 + ], + "score": 1.0, + "content": "Our model size compression experiment is reported in Table 3. We report two searched results for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "score": 1.0, + "content": "each model. “MA” denotes the searched architecture with the highest accuracy, and “ME” denotes", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 487 + ], + "score": 1.0, + "content": "the most efficient. We compare our results with TTQ (Zhu et al. (2016)) and ADMM (Leng et al.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 486, + 504, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 504, + 497 + ], + "score": 1.0, + "content": "(2017)). TTQ uses ternary weights (stored by 2 bits) to quantize a network. For ADMM, we cite", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 166, + 509 + ], + "score": 1.0, + "content": "the result with", + "type": "text" + }, + { + "bbox": [ + 167, + 496, + 200, + 508 + ], + "score": 0.93, + "content": "\\{ - 4 , 4 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "configuration where weights can have 7 values and are stored by 3 bits. We", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "report the accuracy and model size compression rate of each model. From Table 3, we have the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 517, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 505, + 531 + ], + "score": 1.0, + "content": "following observations: 1) All of our most accurate models out-perform full-precision models by", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 528, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 129, + 542 + ], + "score": 1.0, + "content": "up to", + "type": "text" + }, + { + "bbox": [ + 130, + 529, + 152, + 540 + ], + "score": 0.87, + "content": "0 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 528, + 506, + 542 + ], + "score": 1.0, + "content": "while achieving 10.6-11.2X reduction of model size. 2) Our most efficient models can", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 539, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 169, + 554 + ], + "score": 1.0, + "content": "achieve 19.0 to", + "type": "text" + }, + { + "bbox": [ + 170, + 540, + 196, + 550 + ], + "score": 0.25, + "content": "2 1 . 1 \\mathrm { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 539, + 506, + 554 + ], + "score": 1.0, + "content": "reduction of model size, still preserving competitive accuracy. 3) Compared", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "score": 1.0, + "content": "with previous works, even our less accurate model has almost the same accuracy as the full-precision", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "score": 1.0, + "content": "model with 21.1X smaller model size. This is partially because we use label-refinery (Bagherinezhad", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "et al. (2018)) to effectively boost the accuracy of quantized models. But it still demonstrate that our", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 583, + 457, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 457, + 597 + ], + "score": 1.0, + "content": "searched models can very well preserve the accuracy, despite its high compression rate.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 451, + 506, + 597 + ] + }, + { + "type": "table", + "bbox": [ + 106, + 617, + 502, + 687 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 617, + 502, + 687 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 617, + 502, + 687 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 502, + 687 + ], + "score": 0.982, + "html": "
DNAS (ours)TTQADMM
FullMAMEFull2bit3bit
ResNet18Acc71.0371.21 (+0.18)69.58 (-1.45)69.668.0 (-1.6)
Comp1.011.221.11.010.7
ResNet34Acc Comp74.12 1.074.61 (+0.49) 10.673.37 (-0.75) 19.0
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DNAS (ours)PACTDoReFAQIPGroupNet
arch-1arch-2arch-3W4A4W4A4W4A4W1A2G5
ResNet18Acc71.0170.6468.6569.268.169.367.6
Full Acc71.0371.0371.0370.270.269.269.7
Acc △-0.02-0.39-2.38-1.0-2.1+0.1-2.1
ResNet34Comp Acc33.262.9 73.98103.5646464102.4
Full Acc74.21 74.1273.23
74.1274.12
Acc△ Comp+0.09 40.8-0.14 59.0-0.89 87.4
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We report three searched", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 433, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 505, + 445 + ], + "score": 1.0, + "content": "architectures for each model. We report the accuracy and the compression rate of the computational", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 443, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 506, + 457 + ], + "score": 1.0, + "content": "cost of each architecture. We compute the computational cost of each model using equation (12).", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 453, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 469 + ], + "score": 1.0, + "content": "We compare our results with PACT (Choi et al. (2018)), DoReFA (Zhou et al. (2016)), QIP (Jung", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 465, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 506, + 479 + ], + "score": 1.0, + "content": "et al. (2018)), and GroupNet (Zhuang et al. (2018)). The first three use 4-bit weights and activations.", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 263, + 489 + ], + "score": 1.0, + "content": "We compute their compression rate as", + "type": "text" + }, + { + "bbox": [ + 264, + 477, + 358, + 489 + ], + "score": 0.91, + "content": "( 3 2 / 4 ) \\times ( 3 2 / 4 ) = 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 477, + 505, + 489 + ], + "score": 1.0, + "content": ". GroupNet uses binary weights and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "2-bit activations, but its blocks contain 5 parallel branches. We compute its compression rate as", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 107, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 107, + 498, + 226, + 511 + ], + "score": 0.9, + "content": "( 3 2 / 1 ) \\times ( 3 2 / 2 ) / 5 \\approx 1 0 2 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "The DoReFA result is cited from Choi et al. (2018). From table 4,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 510, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 506, + 522 + ], + "score": 1.0, + "content": "we have the following observations: 1) Our most accurate architectures (arch-1) have almost the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 520, + 504, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 520, + 171, + 533 + ], + "score": 1.0, + "content": "same accuracy", + "type": "text" + }, + { + "bbox": [ + 171, + 521, + 203, + 531 + ], + "score": 0.83, + "content": "( - 0 . 0 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 520, + 216, + 533 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 216, + 521, + 250, + 531 + ], + "score": 0.88, + "content": "+ 0 . 0 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 520, + 480, + 533 + ], + "score": 1.0, + "content": ") as the full-precision models with compression rates of", + "type": "text" + }, + { + "bbox": [ + 480, + 521, + 504, + 531 + ], + "score": 0.79, + "content": "3 3 . 2 \\mathrm { x }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 531, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 544 + ], + "score": 1.0, + "content": "and 40.8X. 2) Comparing arch-2 with PACT, DoReFa, and QIP, we have a similar compression rate", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 542, + 506, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 237, + 556 + ], + "score": 1.0, + "content": "(62.9 vs 64), but the accuracy is", + "type": "text" + }, + { + "bbox": [ + 238, + 542, + 285, + 553 + ], + "score": 0.82, + "content": "0 . 7 1 \\mathrm { - } 1 . 9 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 542, + 506, + 556 + ], + "score": 1.0, + "content": "higher. 3) Comparing arch-3 with GroupNet, we have", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 552, + 421, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 326, + 568 + ], + "score": 1.0, + "content": "slightly higher compression rate (103.5 vs. 102.4), but", + "type": "text" + }, + { + "bbox": [ + 326, + 554, + 353, + 564 + ], + "score": 0.86, + "content": "1 . 0 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 552, + 421, + 568 + ], + "score": 1.0, + "content": "higher accuracy.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 17 + }, + { + "type": "title", + "bbox": [ + 108, + 591, + 195, + 603 + ], + "lines": [ + { + "bbox": [ + 104, + 588, + 197, + 607 + ], + "spans": [ + { + "bbox": [ + 104, + 588, + 197, + 607 + ], + "score": 1.0, + "content": "7 CONCLUSION", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 621, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 504, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 504, + 633 + ], + "score": 1.0, + "content": "In this work we focus on the problem of mixed precision quantization of a ConvNet to determine its", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 633, + 504, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 504, + 645 + ], + "score": 1.0, + "content": "layer-wise bit-widths. We formulate this problem as a neural architecture search (NAS) problem and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 643, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 104, + 643, + 506, + 657 + ], + "score": 1.0, + "content": "propose a novel, efficient, and effective differentiable neural architecture search (DNAS) framework", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "to solve it. Under the DNAS framework, we efficiently explore the exponential search space of the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "NAS problem through gradient based optimization (SGD). We use DNAS to search for layer-wise", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 677, + 504, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 479, + 690 + ], + "score": 1.0, + "content": "precision assignment for ResNet on CIFAR10 and ImageNet. Our quantized models with", + "type": "text" + }, + { + "bbox": [ + 480, + 677, + 504, + 687 + ], + "score": 0.49, + "content": "2 1 . 1 \\mathbf { x }", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 195, + 700 + ], + "score": 1.0, + "content": "smaller model size or", + "type": "text" + }, + { + "bbox": [ + 196, + 688, + 224, + 698 + ], + "score": 0.75, + "content": "1 0 3 . 9 \\mathrm { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "smaller computational cost can still outperform baseline quantized or", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "even full precision models. 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DNAS (ours)PACTDoReFAQIPGroupNet
arch-1arch-2arch-3W4A4W4A4W4A4W1A2G5
ResNet18Acc71.0170.6468.6569.268.169.367.6
Full Acc71.0371.0371.0370.270.269.269.7
Acc △-0.02-0.39-2.38-1.0-2.1+0.1-2.1
ResNet34Comp Acc33.262.9 73.98103.5646464102.4
Full Acc74.21 74.1273.23
74.1274.12
Acc△ Comp+0.09 40.8-0.14 59.0-0.89 87.4
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We report three searched", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 433, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 505, + 445 + ], + "score": 1.0, + "content": "architectures for each model. We report the accuracy and the compression rate of the computational", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 443, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 506, + 457 + ], + "score": 1.0, + "content": "cost of each architecture. We compute the computational cost of each model using equation (12).", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 453, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 469 + ], + "score": 1.0, + "content": "We compare our results with PACT (Choi et al. (2018)), DoReFA (Zhou et al. (2016)), QIP (Jung", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 465, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 506, + 479 + ], + "score": 1.0, + "content": "et al. (2018)), and GroupNet (Zhuang et al. (2018)). The first three use 4-bit weights and activations.", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 263, + 489 + ], + "score": 1.0, + "content": "We compute their compression rate as", + "type": "text" + }, + { + "bbox": [ + 264, + 477, + 358, + 489 + ], + "score": 0.91, + "content": "( 3 2 / 4 ) \\times ( 3 2 / 4 ) = 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 477, + 505, + 489 + ], + "score": 1.0, + "content": ". GroupNet uses binary weights and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "2-bit activations, but its blocks contain 5 parallel branches. We compute its compression rate as", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 107, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 107, + 498, + 226, + 511 + ], + "score": 0.9, + "content": "( 3 2 / 1 ) \\times ( 3 2 / 2 ) / 5 \\approx 1 0 2 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "The DoReFA result is cited from Choi et al. (2018). From table 4,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 510, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 506, + 522 + ], + "score": 1.0, + "content": "we have the following observations: 1) Our most accurate architectures (arch-1) have almost the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 520, + 504, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 520, + 171, + 533 + ], + "score": 1.0, + "content": "same accuracy", + "type": "text" + }, + { + "bbox": [ + 171, + 521, + 203, + 531 + ], + "score": 0.83, + "content": "( - 0 . 0 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 520, + 216, + 533 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 216, + 521, + 250, + 531 + ], + "score": 0.88, + "content": "+ 0 . 0 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 520, + 480, + 533 + ], + "score": 1.0, + "content": ") as the full-precision models with compression rates of", + "type": "text" + }, + { + "bbox": [ + 480, + 521, + 504, + 531 + ], + "score": 0.79, + "content": "3 3 . 2 \\mathrm { x }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 531, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 544 + ], + "score": 1.0, + "content": "and 40.8X. 2) Comparing arch-2 with PACT, DoReFa, and QIP, we have a similar compression rate", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 542, + 506, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 237, + 556 + ], + "score": 1.0, + "content": "(62.9 vs 64), but the accuracy is", + "type": "text" + }, + { + "bbox": [ + 238, + 542, + 285, + 553 + ], + "score": 0.82, + "content": "0 . 7 1 \\mathrm { - } 1 . 9 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 542, + 506, + 556 + ], + "score": 1.0, + "content": "higher. 3) Comparing arch-3 with GroupNet, we have", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 552, + 421, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 326, + 568 + ], + "score": 1.0, + "content": "slightly higher compression rate (103.5 vs. 102.4), but", + "type": "text" + }, + { + "bbox": [ + 326, + 554, + 353, + 564 + ], + "score": 0.86, + "content": "1 . 0 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 552, + 421, + 568 + ], + "score": 1.0, + "content": "higher accuracy.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 17, + "bbox_fs": [ + 104, + 422, + 506, + 568 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 591, + 195, + 603 + ], + "lines": [ + { + "bbox": [ + 104, + 588, + 197, + 607 + ], + "spans": [ + { + "bbox": [ + 104, + 588, + 197, + 607 + ], + "score": 1.0, + "content": "7 CONCLUSION", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 621, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 504, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 504, + 633 + ], + "score": 1.0, + "content": "In this work we focus on the problem of mixed precision quantization of a ConvNet to determine its", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 633, + 504, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 504, + 645 + ], + "score": 1.0, + "content": "layer-wise bit-widths. We formulate this problem as a neural architecture search (NAS) problem and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 643, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 104, + 643, + 506, + 657 + ], + "score": 1.0, + "content": "propose a novel, efficient, and effective differentiable neural architecture search (DNAS) framework", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "to solve it. Under the DNAS framework, we efficiently explore the exponential search space of the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "NAS problem through gradient based optimization (SGD). We use DNAS to search for layer-wise", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 677, + 504, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 479, + 690 + ], + "score": 1.0, + "content": "precision assignment for ResNet on CIFAR10 and ImageNet. Our quantized models with", + "type": "text" + }, + { + "bbox": [ + 480, + 677, + 504, + 687 + ], + "score": 0.49, + "content": "2 1 . 1 \\mathbf { x }", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 195, + 700 + ], + "score": 1.0, + "content": "smaller model size or", + "type": "text" + }, + { + "bbox": [ + 196, + 688, + 224, + 698 + ], + "score": 0.75, + "content": "1 0 3 . 9 \\mathrm { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "smaller computational cost can still outperform baseline quantized or", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "even full precision models. DNAS is very efficient, taking less than 5 hours to finish a search on", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 708, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 505, + 723 + ], + "score": 1.0, + "content": "ResNet18 for ImageNet. It is also a general architecture search framework that is not limited to the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "score": 1.0, + "content": "mixed precision quantization problem. Its other applications will be discussed in future publications.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29.5, + "bbox_fs": [ + 104, + 622, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 81, + 175, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 176, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 176, + 95 + ], + "score": 1.0, + "content": "REFERENCES", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 100, + 505, + 133 + ], + "lines": [ + { + "bbox": [ + 105, + 99, + 505, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 505, + 113 + ], + "score": 1.0, + "content": "Hessam Bagherinezhad, Maxwell Horton, Mohammad Rastegari, and Ali Farhadi. 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Dorefa-net: Train-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 115, + 153, + 505, + 166 + ], + "spans": [ + { + "bbox": [ + 115, + 153, + 505, + 166 + ], + "score": 1.0, + "content": "ing low bitwidth convolutional neural networks with low bitwidth gradients. arXiv preprint", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 115, + 164, + 219, + 175 + ], + "spans": [ + { + "bbox": [ + 115, + 164, + 219, + 175 + ], + "score": 1.0, + "content": "arXiv:1606.06160, 2016.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 181, + 504, + 205 + ], + "lines": [ + { + "bbox": [ + 107, + 182, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 107, + 182, + 505, + 195 + ], + "score": 1.0, + "content": "Chenzhuo Zhu, Song Han, Huizi Mao, and William J Dally. Trained ternary quantization. arXiv", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 115, + 193, + 253, + 205 + ], + "spans": [ + { + "bbox": [ + 115, + 193, + 253, + 205 + ], + "score": 1.0, + "content": "preprint arXiv:1612.01064, 2016.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 106, + 212, + 504, + 235 + ], + "lines": [ + { + "bbox": [ + 105, + 212, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 505, + 225 + ], + "score": 1.0, + "content": "Bohan Zhuang, Chunhua Shen, and Ian Reid. Training compact neural networks with binary weights", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 116, + 223, + 401, + 235 + ], + "spans": [ + { + "bbox": [ + 116, + 223, + 401, + 235 + ], + "score": 1.0, + "content": "and low precision activations. arXiv preprint arXiv:1808.02631, 2018.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 107, + 241, + 504, + 264 + ], + "lines": [ + { + "bbox": [ + 105, + 240, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 255 + ], + "score": 1.0, + "content": "Barret Zoph and Quoc V Le. Neural architecture search with reinforcement learning. arXiv preprint", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 116, + 253, + 219, + 264 + ], + "spans": [ + { + "bbox": [ + 116, + 253, + 219, + 264 + ], + "score": 1.0, + "content": "arXiv:1611.01578, 2016.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "title", + "bbox": [ + 107, + 285, + 403, + 298 + ], + "lines": [ + { + "bbox": [ + 106, + 283, + 404, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 283, + 404, + 301 + ], + "score": 1.0, + "content": "APPENDIX A WEIGHT AND ACTIVATION QUANTIZATION", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 309, + 504, + 333 + ], + "lines": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "score": 1.0, + "content": "For readers’ convenience, we describe the functions we use to quantize weights and activations in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 320, + 426, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 426, + 334 + ], + "score": 1.0, + "content": "this section. We follow DoReFa-Net (Zhou et al. (2016)) to quantize weights as", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "interline_equation", + "bbox": [ + 227, + 337, + 383, + 364 + ], + "lines": [ + { + "bbox": [ + 227, + 337, + 383, + 364 + ], + "spans": [ + { + "bbox": [ + 227, + 337, + 383, + 364 + ], + "score": 0.95, + "content": "w _ { k } = 2 Q _ { k } ( \\frac { \\operatorname { t a n h } ( w ) } { 2 \\operatorname* { m a x } ( | \\operatorname { t a n h } ( w ) | ) } + 0 . 5 ) .", + "type": "interline_equation", + "image_path": "ac46633022d9982e13689e41f6d6036de7ce278a7fdcd8a9052735cfc89e19ff.jpg" + } + ] + } + ], + "index": 16.5, + "virtual_lines": [ + { + "bbox": [ + 227, + 337, + 383, + 350.5 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 227, + 350.5, + 383, + 364.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 369, + 505, + 415 + ], + "lines": [ + { + "bbox": [ + 106, + 369, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 115, + 379 + ], + "score": 0.67, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 369, + 330, + 382 + ], + "score": 1.0, + "content": "denotes the latent full-precision weight of a network.", + "type": "text" + }, + { + "bbox": [ + 330, + 369, + 354, + 381 + ], + "score": 0.92, + "content": "Q _ { k } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 369, + 396, + 382 + ], + "score": 1.0, + "content": "denotes a", + "type": "text" + }, + { + "bbox": [ + 396, + 370, + 402, + 379 + ], + "score": 0.83, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 369, + 505, + 382 + ], + "score": 1.0, + "content": "-bit quantization function", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 103, + 379, + 507, + 396 + ], + "spans": [ + { + "bbox": [ + 103, + 379, + 240, + 396 + ], + "score": 1.0, + "content": "that quantizes a continuous value", + "type": "text" + }, + { + "bbox": [ + 240, + 381, + 281, + 393 + ], + "score": 0.92, + "content": "w \\in [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 379, + 382, + 396 + ], + "score": 1.0, + "content": "to its nearest neighbor in", + "type": "text" + }, + { + "bbox": [ + 382, + 380, + 488, + 395 + ], + "score": 0.92, + "content": "\\{ \\frac { i } { 2 ^ { k } - 1 } | i = 0 , \\cdots , 2 ^ { k } - 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 379, + 507, + 396 + ], + "score": 1.0, + "content": ". To", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "score": 1.0, + "content": "quantize activations, we follow Choi et al. (2018) to use a bounded activation function followed by", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 405, + 213, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 213, + 416 + ], + "score": 1.0, + "content": "a quantization function as", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5 + }, + { + "type": "interline_equation", + "bbox": [ + 219, + 419, + 393, + 451 + ], + "lines": [ + { + "bbox": [ + 219, + 419, + 393, + 451 + ], + "spans": [ + { + "bbox": [ + 219, + 419, + 393, + 451 + ], + "score": 0.91, + "content": "\\begin{array} { c } { y = P A C T ( x ) = 0 . 5 ( | x | - | x - \\alpha | + \\alpha ) , } \\\\ { y _ { k } = Q _ { k } ( y / \\alpha ) \\cdot \\alpha . } \\end{array}", + "type": "interline_equation", + "image_path": "714cd805430c1e8232814985dec6375606b2e8146100ebc90d02ae4cb2f7e32c.jpg" + } + ] + } + ], + "index": 22.5, + "virtual_lines": [ + { + "bbox": [ + 219, + 419, + 393, + 435.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 219, + 435.0, + 393, + 451.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 454, + 506, + 477 + ], + "lines": [ + { + "bbox": [ + 106, + 454, + 506, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 131, + 466 + ], + "score": 1.0, + "content": "Here,", + "type": "text" + }, + { + "bbox": [ + 132, + 456, + 138, + 464 + ], + "score": 0.75, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 454, + 265, + 466 + ], + "score": 1.0, + "content": "is the full precision activation,", + "type": "text" + }, + { + "bbox": [ + 266, + 456, + 276, + 465 + ], + "score": 0.86, + "content": "y _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 454, + 390, + 466 + ], + "score": 1.0, + "content": "is the quantized activation.", + "type": "text" + }, + { + "bbox": [ + 391, + 454, + 433, + 466 + ], + "score": 0.91, + "content": "P A C T ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 454, + 506, + 466 + ], + "score": 1.0, + "content": "is a function that", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 465, + 464, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 216, + 477 + ], + "score": 1.0, + "content": "bounds the output between", + "type": "text" + }, + { + "bbox": [ + 217, + 465, + 239, + 477 + ], + "score": 0.89, + "content": "[ 0 , \\alpha ]", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 465, + 243, + 477 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 243, + 467, + 251, + 475 + ], + "score": 0.69, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 465, + 464, + 477 + ], + "score": 1.0, + "content": "is a learnable upper bound of the activation function.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5 + }, + { + "type": "title", + "bbox": [ + 108, + 492, + 299, + 505 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 301, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 301, + 507 + ], + "score": 1.0, + "content": "APPENDIX B EXPERIMENT DETAILS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 516, + 505, + 672 + ], + "lines": [ + { + "bbox": [ + 105, + 515, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 531 + ], + "score": 1.0, + "content": "We discuss the experiment details for the CIFAR10 experiments. CIFAR10 contains 50,000 training", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 448, + 541 + ], + "score": 1.0, + "content": "images and 10,000 testing images to be classified into 10 categories. Image size is", + "type": "text" + }, + { + "bbox": [ + 448, + 528, + 483, + 539 + ], + "score": 0.9, + "content": "3 2 \\times 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 528, + 505, + 541 + ], + "score": 1.0, + "content": ". We", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 540, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 416, + 551 + ], + "score": 1.0, + "content": "report the accuracy on the test set. To train the super net, we randomly split", + "type": "text" + }, + { + "bbox": [ + 416, + 540, + 436, + 550 + ], + "score": 0.87, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 540, + 505, + 551 + ], + "score": 1.0, + "content": "of the CIFAR10", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 239, + 563 + ], + "score": 1.0, + "content": "training set to train the weights", + "type": "text" + }, + { + "bbox": [ + 239, + 552, + 249, + 560 + ], + "score": 0.72, + "content": "\\pmb { w }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 550, + 272, + 563 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 272, + 550, + 292, + 561 + ], + "score": 0.87, + "content": "20 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 550, + 437, + 563 + ], + "score": 1.0, + "content": "to train the architecture parameter", + "type": "text" + }, + { + "bbox": [ + 437, + 551, + 444, + 560 + ], + "score": 0.62, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 550, + 505, + 563 + ], + "score": 1.0, + "content": ". We train the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "super net for 90 epochs with a batch size of 512. To train the model weights, we use SGD with", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 570, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 447, + 585 + ], + "score": 1.0, + "content": "momentum with an initial learning rate of 0.2, momentum of 0.9 and weight decay of", + "type": "text" + }, + { + "bbox": [ + 447, + 572, + 485, + 583 + ], + "score": 0.92, + "content": "5 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 570, + 506, + 585 + ], + "score": 1.0, + "content": ". We", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "use the cosine decay schedule to reduce the learning rate. For architecture parameters, we use Adam", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 593, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 336, + 606 + ], + "score": 1.0, + "content": "optimizer (Kingma & Ba (2014)) with a learning rate of", + "type": "text" + }, + { + "bbox": [ + 336, + 594, + 376, + 605 + ], + "score": 0.92, + "content": "5 \\times 1 0 ^ { - 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 593, + 462, + 606 + ], + "score": 1.0, + "content": "and weight decay of", + "type": "text" + }, + { + "bbox": [ + 462, + 594, + 483, + 604 + ], + "score": 0.9, + "content": "1 0 ^ { - 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 593, + 506, + 606 + ], + "score": 1.0, + "content": ". We", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 605, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 299, + 617 + ], + "score": 1.0, + "content": "use the cost function from equation (11). We set", + "type": "text" + }, + { + "bbox": [ + 299, + 605, + 307, + 616 + ], + "score": 0.85, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 605, + 425, + 617 + ], + "score": 1.0, + "content": "from equation (13) to 0.1 and", + "type": "text" + }, + { + "bbox": [ + 426, + 606, + 433, + 616 + ], + "score": 0.81, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 605, + 506, + 617 + ], + "score": 1.0, + "content": "to 0.9. To control", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 614, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 357, + 630 + ], + "score": 1.0, + "content": "Gumbel Softmax functions, we use an initial temperature of", + "type": "text" + }, + { + "bbox": [ + 357, + 616, + 398, + 627 + ], + "score": 0.91, + "content": "T _ { 0 } ~ = ~ 5 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 614, + 506, + 630 + ], + "score": 1.0, + "content": ", and we set the decaying", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 132, + 639 + ], + "score": 1.0, + "content": "factor", + "type": "text" + }, + { + "bbox": [ + 132, + 628, + 139, + 639 + ], + "score": 0.81, + "content": "\\eta", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "from equation (9) to be 0.025. After every 10 epochs of training of super net, we sample 5", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 246, + 651 + ], + "score": 1.0, + "content": "architectures from the distribution", + "type": "text" + }, + { + "bbox": [ + 246, + 638, + 259, + 649 + ], + "score": 0.87, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 637, + 505, + 651 + ], + "score": 1.0, + "content": ". We train each sampled architecture for 160 epochs and use", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "score": 1.0, + "content": "cutout (DeVries & Taylor (2017)) in data augmentation. Other hyper parameters are the same as", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 660, + 196, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 196, + 673 + ], + "score": 1.0, + "content": "training the super net.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "We next discuss the experiment details for ImageNet experiments. ImageNet contains 1,000 classes,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 162, + 700 + ], + "score": 1.0, + "content": "with roughly", + "type": "text" + }, + { + "bbox": [ + 162, + 688, + 185, + 698 + ], + "score": 0.3, + "content": "1 . 3 { \\bf M }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "training images and 50K validation images. Images are scaled such that their", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 285, + 712 + ], + "score": 1.0, + "content": "shorter side is 256 pixels and are cropped to", + "type": "text" + }, + { + "bbox": [ + 286, + 699, + 330, + 709 + ], + "score": 0.9, + "content": "2 2 4 \\times 2 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "before feeding into the network. We report", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "the accuracy on the validation set. 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Instead, we randomly sample 40 categories from the ImageNet training set to train the", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43 + } + ], + "page_idx": 9, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 301, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 313, + 765 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 313, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 14 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 82, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "Tom Veniat and Ludovic Denoyer. Learning time/memory-efficient deep architectures with budgeted", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 115, + 94, + 346, + 106 + ], + "spans": [ + { + "bbox": [ + 115, + 94, + 346, + 106 + ], + "score": 1.0, + "content": "super networks. arXiv preprint arXiv:1706.00046, 2017.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 106, + 82, + 505, + 106 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 111, + 504, + 135 + ], + "lines": [ + { + "bbox": [ + 106, + 112, + 505, + 125 + ], + "spans": [ + { + "bbox": [ + 106, + 112, + 505, + 125 + ], + "score": 1.0, + "content": "Ronald J Williams. Simple statistical gradient-following algorithms for connectionist reinforcement", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 116, + 123, + 324, + 135 + ], + "spans": [ + { + "bbox": [ + 116, + 123, + 324, + 135 + ], + "score": 1.0, + "content": "learning. Machine learning, 8(3-4):229–256, 1992.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 106, + 112, + 505, + 135 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 141, + 504, + 175 + ], + "lines": [ + { + "bbox": [ + 106, + 141, + 505, + 154 + ], + "spans": [ + { + "bbox": [ + 106, + 141, + 505, + 154 + ], + "score": 1.0, + "content": "Shuchang Zhou, Yuxin Wu, Zekun Ni, Xinyu Zhou, He Wen, and Yuheng Zou. Dorefa-net: Train-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 115, + 153, + 505, + 166 + ], + "spans": [ + { + "bbox": [ + 115, + 153, + 505, + 166 + ], + "score": 1.0, + "content": "ing low bitwidth convolutional neural networks with low bitwidth gradients. arXiv preprint", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 115, + 164, + 219, + 175 + ], + "spans": [ + { + "bbox": [ + 115, + 164, + 219, + 175 + ], + "score": 1.0, + "content": "arXiv:1606.06160, 2016.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5, + "bbox_fs": [ + 106, + 141, + 505, + 175 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 181, + 504, + 205 + ], + "lines": [ + { + "bbox": [ + 107, + 182, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 107, + 182, + 505, + 195 + ], + "score": 1.0, + "content": "Chenzhuo Zhu, Song Han, Huizi Mao, and William J Dally. Trained ternary quantization. arXiv", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 115, + 193, + 253, + 205 + ], + "spans": [ + { + "bbox": [ + 115, + 193, + 253, + 205 + ], + "score": 1.0, + "content": "preprint arXiv:1612.01064, 2016.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5, + "bbox_fs": [ + 107, + 182, + 505, + 205 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 212, + 504, + 235 + ], + "lines": [ + { + "bbox": [ + 105, + 212, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 505, + 225 + ], + "score": 1.0, + "content": "Bohan Zhuang, Chunhua Shen, and Ian Reid. Training compact neural networks with binary weights", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 116, + 223, + 401, + 235 + ], + "spans": [ + { + "bbox": [ + 116, + 223, + 401, + 235 + ], + "score": 1.0, + "content": "and low precision activations. arXiv preprint arXiv:1808.02631, 2018.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 212, + 505, + 235 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 241, + 504, + 264 + ], + "lines": [ + { + "bbox": [ + 105, + 240, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 255 + ], + "score": 1.0, + "content": "Barret Zoph and Quoc V Le. Neural architecture search with reinforcement learning. arXiv preprint", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 116, + 253, + 219, + 264 + ], + "spans": [ + { + "bbox": [ + 116, + 253, + 219, + 264 + ], + "score": 1.0, + "content": "arXiv:1611.01578, 2016.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 240, + 506, + 264 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 285, + 403, + 298 + ], + "lines": [ + { + "bbox": [ + 106, + 283, + 404, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 283, + 404, + 301 + ], + "score": 1.0, + "content": "APPENDIX A WEIGHT AND ACTIVATION QUANTIZATION", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 309, + 504, + 333 + ], + "lines": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "score": 1.0, + "content": "For readers’ convenience, we describe the functions we use to quantize weights and activations in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 320, + 426, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 426, + 334 + ], + "score": 1.0, + "content": "this section. We follow DoReFa-Net (Zhou et al. (2016)) to quantize weights as", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 309, + 505, + 334 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 227, + 337, + 383, + 364 + ], + "lines": [ + { + "bbox": [ + 227, + 337, + 383, + 364 + ], + "spans": [ + { + "bbox": [ + 227, + 337, + 383, + 364 + ], + "score": 0.95, + "content": "w _ { k } = 2 Q _ { k } ( \\frac { \\operatorname { t a n h } ( w ) } { 2 \\operatorname* { m a x } ( | \\operatorname { t a n h } ( w ) | ) } + 0 . 5 ) .", + "type": "interline_equation", + "image_path": "ac46633022d9982e13689e41f6d6036de7ce278a7fdcd8a9052735cfc89e19ff.jpg" + } + ] + } + ], + "index": 16.5, + "virtual_lines": [ + { + "bbox": [ + 227, + 337, + 383, + 350.5 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 227, + 350.5, + 383, + 364.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 369, + 505, + 415 + ], + "lines": [ + { + "bbox": [ + 106, + 369, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 115, + 379 + ], + "score": 0.67, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 369, + 330, + 382 + ], + "score": 1.0, + "content": "denotes the latent full-precision weight of a network.", + "type": "text" + }, + { + "bbox": [ + 330, + 369, + 354, + 381 + ], + "score": 0.92, + "content": "Q _ { k } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 369, + 396, + 382 + ], + "score": 1.0, + "content": "denotes a", + "type": "text" + }, + { + "bbox": [ + 396, + 370, + 402, + 379 + ], + "score": 0.83, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 369, + 505, + 382 + ], + "score": 1.0, + "content": "-bit quantization function", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 103, + 379, + 507, + 396 + ], + "spans": [ + { + "bbox": [ + 103, + 379, + 240, + 396 + ], + "score": 1.0, + "content": "that quantizes a continuous value", + "type": "text" + }, + { + "bbox": [ + 240, + 381, + 281, + 393 + ], + "score": 0.92, + "content": "w \\in [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 379, + 382, + 396 + ], + "score": 1.0, + "content": "to its nearest neighbor in", + "type": "text" + }, + { + "bbox": [ + 382, + 380, + 488, + 395 + ], + "score": 0.92, + "content": "\\{ \\frac { i } { 2 ^ { k } - 1 } | i = 0 , \\cdots , 2 ^ { k } - 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 379, + 507, + 396 + ], + "score": 1.0, + "content": ". To", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "score": 1.0, + "content": "quantize activations, we follow Choi et al. (2018) to use a bounded activation function followed by", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 405, + 213, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 213, + 416 + ], + "score": 1.0, + "content": "a quantization function as", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5, + "bbox_fs": [ + 103, + 369, + 507, + 416 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 219, + 419, + 393, + 451 + ], + "lines": [ + { + "bbox": [ + 219, + 419, + 393, + 451 + ], + "spans": [ + { + "bbox": [ + 219, + 419, + 393, + 451 + ], + "score": 0.91, + "content": "\\begin{array} { c } { y = P A C T ( x ) = 0 . 5 ( | x | - | x - \\alpha | + \\alpha ) , } \\\\ { y _ { k } = Q _ { k } ( y / \\alpha ) \\cdot \\alpha . } \\end{array}", + "type": "interline_equation", + "image_path": "714cd805430c1e8232814985dec6375606b2e8146100ebc90d02ae4cb2f7e32c.jpg" + } + ] + } + ], + "index": 22.5, + "virtual_lines": [ + { + "bbox": [ + 219, + 419, + 393, + 435.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 219, + 435.0, + 393, + 451.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 454, + 506, + 477 + ], + "lines": [ + { + "bbox": [ + 106, + 454, + 506, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 131, + 466 + ], + "score": 1.0, + "content": "Here,", + "type": "text" + }, + { + "bbox": [ + 132, + 456, + 138, + 464 + ], + "score": 0.75, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 454, + 265, + 466 + ], + "score": 1.0, + "content": "is the full precision activation,", + "type": "text" + }, + { + "bbox": [ + 266, + 456, + 276, + 465 + ], + "score": 0.86, + "content": "y _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 454, + 390, + 466 + ], + "score": 1.0, + "content": "is the quantized activation.", + "type": "text" + }, + { + "bbox": [ + 391, + 454, + 433, + 466 + ], + "score": 0.91, + "content": "P A C T ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 454, + 506, + 466 + ], + "score": 1.0, + "content": "is a function that", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 465, + 464, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 216, + 477 + ], + "score": 1.0, + "content": "bounds the output between", + "type": "text" + }, + { + "bbox": [ + 217, + 465, + 239, + 477 + ], + "score": 0.89, + "content": "[ 0 , \\alpha ]", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 465, + 243, + 477 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 243, + 467, + 251, + 475 + ], + "score": 0.69, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 465, + 464, + 477 + ], + "score": 1.0, + "content": "is a learnable upper bound of the activation function.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5, + "bbox_fs": [ + 106, + 454, + 506, + 477 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 492, + 299, + 505 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 301, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 301, + 507 + ], + "score": 1.0, + "content": "APPENDIX B EXPERIMENT DETAILS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 516, + 505, + 672 + ], + "lines": [ + { + "bbox": [ + 105, + 515, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 531 + ], + "score": 1.0, + "content": "We discuss the experiment details for the CIFAR10 experiments. CIFAR10 contains 50,000 training", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 448, + 541 + ], + "score": 1.0, + "content": "images and 10,000 testing images to be classified into 10 categories. Image size is", + "type": "text" + }, + { + "bbox": [ + 448, + 528, + 483, + 539 + ], + "score": 0.9, + "content": "3 2 \\times 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 528, + 505, + 541 + ], + "score": 1.0, + "content": ". We", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 540, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 416, + 551 + ], + "score": 1.0, + "content": "report the accuracy on the test set. To train the super net, we randomly split", + "type": "text" + }, + { + "bbox": [ + 416, + 540, + 436, + 550 + ], + "score": 0.87, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 540, + 505, + 551 + ], + "score": 1.0, + "content": "of the CIFAR10", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 239, + 563 + ], + "score": 1.0, + "content": "training set to train the weights", + "type": "text" + }, + { + "bbox": [ + 239, + 552, + 249, + 560 + ], + "score": 0.72, + "content": "\\pmb { w }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 550, + 272, + 563 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 272, + 550, + 292, + 561 + ], + "score": 0.87, + "content": "20 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 550, + 437, + 563 + ], + "score": 1.0, + "content": "to train the architecture parameter", + "type": "text" + }, + { + "bbox": [ + 437, + 551, + 444, + 560 + ], + "score": 0.62, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 550, + 505, + 563 + ], + "score": 1.0, + "content": ". We train the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "super net for 90 epochs with a batch size of 512. To train the model weights, we use SGD with", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 570, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 447, + 585 + ], + "score": 1.0, + "content": "momentum with an initial learning rate of 0.2, momentum of 0.9 and weight decay of", + "type": "text" + }, + { + "bbox": [ + 447, + 572, + 485, + 583 + ], + "score": 0.92, + "content": "5 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 570, + 506, + 585 + ], + "score": 1.0, + "content": ". We", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "use the cosine decay schedule to reduce the learning rate. For architecture parameters, we use Adam", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 593, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 336, + 606 + ], + "score": 1.0, + "content": "optimizer (Kingma & Ba (2014)) with a learning rate of", + "type": "text" + }, + { + "bbox": [ + 336, + 594, + 376, + 605 + ], + "score": 0.92, + "content": "5 \\times 1 0 ^ { - 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 593, + 462, + 606 + ], + "score": 1.0, + "content": "and weight decay of", + "type": "text" + }, + { + "bbox": [ + 462, + 594, + 483, + 604 + ], + "score": 0.9, + "content": "1 0 ^ { - 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 593, + 506, + 606 + ], + "score": 1.0, + "content": ". We", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 605, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 299, + 617 + ], + "score": 1.0, + "content": "use the cost function from equation (11). We set", + "type": "text" + }, + { + "bbox": [ + 299, + 605, + 307, + 616 + ], + "score": 0.85, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 605, + 425, + 617 + ], + "score": 1.0, + "content": "from equation (13) to 0.1 and", + "type": "text" + }, + { + "bbox": [ + 426, + 606, + 433, + 616 + ], + "score": 0.81, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 605, + 506, + 617 + ], + "score": 1.0, + "content": "to 0.9. To control", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 614, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 357, + 630 + ], + "score": 1.0, + "content": "Gumbel Softmax functions, we use an initial temperature of", + "type": "text" + }, + { + "bbox": [ + 357, + 616, + 398, + 627 + ], + "score": 0.91, + "content": "T _ { 0 } ~ = ~ 5 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 614, + 506, + 630 + ], + "score": 1.0, + "content": ", and we set the decaying", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 132, + 639 + ], + "score": 1.0, + "content": "factor", + "type": "text" + }, + { + "bbox": [ + 132, + 628, + 139, + 639 + ], + "score": 0.81, + "content": "\\eta", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "from equation (9) to be 0.025. After every 10 epochs of training of super net, we sample 5", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 246, + 651 + ], + "score": 1.0, + "content": "architectures from the distribution", + "type": "text" + }, + { + "bbox": [ + 246, + 638, + 259, + 649 + ], + "score": 0.87, + "content": "P _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 637, + 505, + 651 + ], + "score": 1.0, + "content": ". We train each sampled architecture for 160 epochs and use", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "score": 1.0, + "content": "cutout (DeVries & Taylor (2017)) in data augmentation. Other hyper parameters are the same as", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 660, + 196, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 196, + 673 + ], + "score": 1.0, + "content": "training the super net.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 515, + 506, + 673 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "We next discuss the experiment details for ImageNet experiments. ImageNet contains 1,000 classes,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 162, + 700 + ], + "score": 1.0, + "content": "with roughly", + "type": "text" + }, + { + "bbox": [ + 162, + 688, + 185, + 698 + ], + "score": 0.3, + "content": "1 . 3 { \\bf M }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "training images and 50K validation images. 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We set the initial learning rate to be 0.1 and reduce", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "it with the cosine decay schedule. We set the momentum to 0.9. 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We sample 2 architectures from", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 220, + 161 + ], + "score": 1.0, + "content": "the architecture distribution", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 220, + 149, + 233, + 159 + ], + "score": 0.87, + "content": "P _ { \\theta }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 233, + 148, + 506, + 161 + ], + "score": 1.0, + "content": "every 10 epochs. The rest of the hyper parameters are the same as", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "score": 1.0, + "content": "the CIFAR10 experiments. 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arch-1arch-2arch-3W4A4W4A4W4A4W1A2G5
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@@ -0,0 +1,275 @@ +# EVADING DEFENSES TO TRANSFERABLE ADVERSAR-IAL EXAMPLES BY MITIGATING ATTENTION SHIFT + +Anonymous authors Paper under double-blind review + +# ABSTRACT + +Deep neural networks are vulnerable to adversarial examples, which can mislead classifiers by adding imperceptible perturbations. An intriguing property of adversarial examples is their good transferability, making black-box attacks feasible in real-world applications. Due to the threat of adversarial attacks, many methods have been proposed to improve the robustness, and several state-of-the-art defenses are shown to be robust against transferable adversarial examples. In this paper, we identify the attention shift phenomenon, which may hinder the transferability of adversarial examples to the defense models. It indicates that the defenses rely on different discriminative regions to make predictions compared with normally trained models. Therefore, we propose an attention-invariant attack method to generate more transferable adversarial examples. Extensive experiments on the ImageNet dataset validate the effectiveness of the proposed method. Our best attack fools eight state-of-the-art defenses at an $8 2 \%$ success rate on average based only on the transferability, demonstrating the insecurity of the defense techniques. + +# 1 INTRODUCTION + +Recent progress in machine learning and deep neural networks has led to substantial improvements in various pattern recognition tasks such as image understanding (Simonyan & Zisserman, 2015; He et al., 2016a), speech recognition (Graves et al., 2013), and machine translation (Sutskever et al., 2014). However, deep neural networks are highly vulnerable to adversarial examples (Biggio et al., 2013; Szegedy et al., 2014; Goodfellow et al., 2015). They are maliciously generated by adding small perturbations to legitimate examples, but make deep neural networks produce unreasonable predictions. The existence of adversarial examples, even in the physical world (Kurakin et al., 2016; Eykholt et al., 2018; Athalye et al., 2018b), has raised concerns in security-sensitive applications, e.g., self-driving cars, healthcare and finance. + +Attacking deep neural networks has drawn an increasing attention since the generated adversarial examples can serve as a surrogate to evaluate the robustness of different models (Carlini & Wagner, 2017) and help to improve the robustness (Goodfellow et al., 2015; Madry et al., 2018). Several methods have been proposed to generate adversarial examples with the knowledge of the gradient information of a given model, such as fast gradient sign method (Goodfellow et al., 2015), basic iterative method (Kurakin et al., 2016), and Carlini & Wagner (2017)’s method, which are known as white-box attacks. Moreover, it is shown that adversarial examples have cross-model transferability (Liu et al., 2017), i.e., the adversarial examples crafted for one model can fool a different model with a high probability. The transferability of adversarial examples enables practical black-box attacks to real-world applications and induces serious security issues. + +The threat of adversarial examples has motivated extensive research on building robust models or techniques to defend against adversarial attacks. These include training with adversarial examples (Goodfellow et al., 2015; Kurakin et al., 2017; Tramer et al., 2018; Madry et al., 2018), image de- \` noising/transformation (Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018), leveraging generative models to move adversarial examples towards data manifold (Song et al., 2018; Samangouei et al., 2018), and theoretically-certified defenses (Raghunathan et al., 2018; Wong & Kolter, 2018). Although the non-certified defenses have demonstrated robustness against common attacks, they do so by causing obfuscated gradients, which can be easily circumvented by new attacks (Athalye et al., 2018a). However, some of the defenses (Tramer et al., 2018; Liao et al., 2018; Xie et al., 2018a; \` + +![](images/1bb6d1d587f789453b9eff6e1a9f60f15d2e3ac6fb800f2508dd5bd047a7e758.jpg) +Figure 1: Demonstration of the attention shift phenomenon of the defense models compared with normally trained models. We adopt class activation mapping (Zhou et al., 2016) to visualize the attentive regions of three normally trained models—Inception v3 (Szegedy et al., 2016), Inception ResNet v2 (Szegedy et al., 2017), ResNet 152 (He et al., 2016a) and four defense models (Tramer\` et al., 2018; Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018). These defense models focus their attention on slightly different regions compared with normally trained models, which may affect the transferability of adversarial examples. + +Guo et al., 2018) claim to be resistant to transferable adversarial examples, making black-box attacks difficult to evade these defenses. + +In this paper, we identify attention shift, that the defenses make predictions based on slightly different discriminative regions compared with normally trained models, as a phenomenon which may hinder the transferability of adversarial examples to the defense models. For example, we show the attention maps of several normally trained models and defense models in Fig. 1, to represent the discriminative regions for their predictions. It is apparent that the normally trained models have similar attention maps while the defenses induce shifting attention maps. The attention shift of the defenses is caused by either training under different data distributions (Tramer et al., 2018) or transforming \` the inputs before classification (Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018). Therefore, the transferability of adversarial examples is largely reduced to the defenses since the structure information hidden in adversarial perturbations may be easily overlooked if a model focuses its attention on different regions. + +To mitigate the effect of attention shift and evade the defenses by transferable adversarial examples, we propose an attention-invariant attack method. In particular, we generate an adversarial example for an ensemble of examples composed of an legitimate one and its shifted versions. Therefore the resultant adversarial example is less sensitive to the attentive region of the white-box model being attacked and may have a bigger chance to fool another black-box model with a defense mechanism based on attention shift. We further show that this method can be simply implemented by convolving the gradient with a pre-defined kernel under a mild assumption. The proposed method can be integrated into any gradient-based attack methods such as fast gradient sign method and basic iterative method. Extensive experiments demonstrate that the proposed attention-invariant attack method helps to improve the success rates of black-box attacks against the defense models by a large margin. Our best attack reaches an average success rate of $8 2 \%$ to evade eight state-of-the-art defenses based only on the transferability, thus demonstrating the insecurity of the current defenses. + +# 2 RELATED WORK + +Adversarial Examples. Deep neural networks are shown to be vulnerable to adversarial examples first in the visual domain (Szegedy et al., 2014). Then several methods are proposed to generate adversarial examples for the purpose of high success rates and minimal size of perturbations (Goodfellow et al., 2015; Kurakin et al., 2016; Carlini & Wagner, 2017). They also exist in the physical world (Kurakin et al., 2016; Eykholt et al., 2018; Athalye et al., 2018b). Although adversarial examples are recently crafted for many domains, we focus on image classification tasks in this paper. + +Black-box Attacks. Black-box adversaries have no access to the architecture or parameters of the target model, which are under a more challenging threat model to perform attacks. The transferability of adversarial examples provides an opportunity to attack a black-box model (Liu et al., 2017). + +Several methods (Dong et al., 2018; Xie et al., 2018b) have been proposed to improve the transferability, which enable powerful black-box attacks. Besides the transfer-based black-box attacks, there is another line of works that perform attacks based on adaptive queries. For example, Papernot et al. (2017) use queries to distill the knowledge of the target model and train a surrogate model. It therefore turns the black-box attacks to the white-box attacks. Recent methods use queries to estimate the gradient or the decision boundary of the black-box model (??) to generate adversarial examples. However, these methods usually require tremendous number of queries, which may be impractical in real-world applications. In this paper, we resort to transferable adversarial examples for black-box attacks. + +Defend against Adversarial Attacks. A large variety of methods have been proposed to increase the robustness of deep learning models. Besides directly making the models produce correct predictions for adversarial examples, some methods attempt to detect them instead (?Metzen et al., 2017; ?). However most of the non-certified defenses demonstrate the robustness by causing obfuscated gradients, which are successfully circumvented by new developed attacks (Athalye et al., 2018a). Although these defenses are not robust in the white-box setting, some of them (Tramer et al., 2018; \` Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018) empirically show the resistance against transferable adversarial examples in the black-box setting. In this paper, we focus on generating more transferable adversarial examples against these defenses. + +# 3 METHODOLOGY + +In this section, we provide the detailed description of our algorithm. Let $\pmb { x } ^ { r e a l }$ denote a real example and $y$ denote the corresponding ground-truth label. Given a classifier $f ( { \pmb x } ) : \mathcal { X } \mathcal { Y }$ that outputs a label as the prediction for an input, we want to generate an adversarial example $\pmb { x } ^ { a d v }$ which is visually indistinguishable from $\pmb { x } ^ { \bar { r } e a l }$ but fools the classifier, i.e., $f ( \mathbf { x } ^ { a d v } ) \neq \dot { y }$ .1 In most cases, the $L _ { p }$ norm of the adversarial perturbation is required to be smaller than a threshold $\epsilon$ as $\mid \mid \pmb { x } ^ { a d v } -$ $\pmb { x } ^ { r e a l } | | _ { p } \leq \epsilon$ . In this paper, we use the $L _ { \infty }$ norm as the measurement. For adversarial example generation, the objective is to maximize the loss function $J ( \pmb { x } ^ { a d v } , y )$ of the classifier, where $J$ is often the cross-entropy loss. So the constrained optimization problem can be written as + +$$ +\underset { \pmb { x } ^ { a d v } } { \arg \operatorname* { m a x } } J ( \pmb { x } ^ { a d v } , y ) , \quad \mathrm { s . t . } \ \| \pmb { x } ^ { a d v } - \pmb { x } ^ { r e a l } \| _ { \infty } \leq \epsilon . +$$ + +To solve this optimization problem, the gradient of the loss function with respect to the input needs to be calculated, termed as white-box attacks. However in some cases, we cannot get access to the gradient of the classifier, where we need to perform attacks in the black-box manner. We resort to transferable adversarial examples which are generated for a different white-box classifier but have high transferability for black-box attacks. + +# 3.1 GRADIENT-BASED ADVERSARIAL ATTACK METHODS + +Several methods have been proposed to solve the optimization problem in Eq. (1). We give a brief introduction of them in this section. + +Fast Gradient Sign Method (FGSM) (Goodfellow et al., 2015) generates an adversarial example $\pmb { x } ^ { a d v }$ by linearizing the loss function in the input space and performing one-step update as + +$$ +\begin{array} { r } { \pmb { x } ^ { a d v } = \pmb { x } ^ { r e a l } + \epsilon \cdot \mathrm { s i g n } ( \nabla _ { \pmb { x } } J ( \pmb { x } ^ { r e a l } , y ) ) , } \end{array} +$$ + +where $\nabla _ { x } J$ is the gradient of the loss function with respect to $_ { \textbf { \em x } }$ . $\mathrm { s i g n } ( \cdot )$ is the sign function to make the perturbation meet the $L _ { \infty }$ norm bound. FGSM can generate more transferable adversarial examples but is usually not effective enough for attacking white-box models (Kurakin et al., 2017). + +Basic Iterative Method (BIM) (Kurakin et al., 2016) extends FGSM by iteratively applying gradient updates multiple times with a small step size $\alpha$ , which can be expressed as + +$$ +\begin{array} { r } { { \pmb x } _ { 0 } ^ { a d v } = { \pmb x } ^ { r e a l } , { \pmb x } _ { t + 1 } ^ { a d v } = { \pmb x } _ { t } ^ { a d v } + \alpha \cdot \mathrm { s i g n } ( \nabla _ { \pmb x } J ( { \pmb x } _ { t } ^ { a d v } , y ) ) . } \end{array} +$$ + +To restrict the generated adversarial examples within the $\epsilon$ -ball of $\pmb { x } ^ { r e a l }$ , we can clip $\pmb { x } _ { t } ^ { a d v }$ after each update or set $\alpha = \epsilon / T$ with $T$ being the number of iterations. It has been shown that BIM induces + +much more powerful white-box attacks than FGSM at the cost of worse transferability (Kurakin et al., 2017; Dong et al., 2018). + +Momentum Iterative Fast Gradient Sign Method (MI-FGSM) (Dong et al., 2018) proposes to improve the transferability of adversarial examples by integrating a momentum term into the iterative attack method. The update procedure is + +$$ +{ \pmb g } _ { t + 1 } = \mu \cdot { \pmb g } _ { t } + \frac { \nabla _ { \pmb x } J ( { \pmb x } _ { t } ^ { a d v } , \pmb y ) } { \| \nabla _ { \pmb x } J ( { \pmb x } _ { t } ^ { a d v } , \pmb y ) \| _ { 1 } } , \quad { \pmb x } _ { t + 1 } ^ { a d v } = { \pmb x } _ { t } ^ { a d v } + { \alpha } \cdot \mathrm { s i g n } ( { \pmb g } _ { t + 1 } ) , +$$ + +where $\mathbf { \nabla } _ { \mathbf { \boldsymbol { g } } _ { t } }$ gathers the gradient information up to the $t$ -th iteration with a decay factor $\mu$ + +Diverse Inputs Iterative Fast Gradient Sign Method (Xie et al., 2018b) applies random transformations to the inputs and feeds the transformed images into the classifier for gradient calculation. The image transformation includes random resizing and padding with a given probability. This method can be combined with the momentum-based method to further improve the transferability. + +Carlini $\pmb { \& }$ Wagner (2017)’s method is a powerful optimization-based method. It uses an auxiliary variable ${ \pmb v } ^ { a d v }$ as $\pmb { x } ^ { a d v } = \textstyle { \frac { 1 } { 2 } } ( \operatorname { t a n h } ( \pmb { v } ^ { a d v } ) + \dot { 1 } )$ , and optimizes ${ \pmb v } ^ { a d v }$ by solving + +$$ +\underset { \pmb { v } ^ { a d v } } { \arg \operatorname* { m i n } } \parallel \frac { 1 } { 2 } ( \operatorname { t a n h } ( \pmb { v } ^ { a d v } ) + 1 ) - \pmb { x } ^ { r e a l } \parallel _ { p } - c \cdot J ( \frac { 1 } { 2 } ( \operatorname { t a n h } ( \pmb { v } ^ { a d v } ) + 1 ) , y ) , +$$ + +where the loss function $J$ could be different from the cross-entropy loss. This method aims to find adversarial examples with minimal size of perturbations, to measure the robustness of different models. It also lacks the efficacy for black-box attacks like BIM. + +# 3.2 ATTENTION-INVARIANT ATTACK METHOD + +Although many attack methods (Dong et al., 2018; Xie et al., 2018b) can generate adversarial examples with very high transferability across normally trained models, they are less effective to attack defense models in the black-box manner. Some of the defenses (Tramer et al., 2018; Liao et al., \` 2018; Xie et al., 2018a; Guo et al., 2018) are shown to be quite robust against black-box attacks. So we want to answer that: Are these defenses really free from transferable adversarial examples? + +We identify the attention shift phenomenon which may inhibit the transferability of adversarial examples to the defenses. The attention shift refers to that the discriminative regions used by the defenses to identify object categories are slightly different from those used by normally trained models, as shown in Fig. 1. The adversarial examples generated for one model can be hardly transferred to another model with attention shift since that the structure information in adversarial perturbations may be easily destroyed if the model focuses its attention on different regions. + +To reduce the effect of attention shift, we propose an attention-invariant attack method. In particular, rather than optimizing the objective function at a single point as Eq. (1), the proposed method uses a set of shifted images to optimize an adversarial example as + +$$ +\arg \operatorname* { m a x } _ { \pmb { x } ^ { a d v } } \sum _ { i , j } w _ { i j } J ( T _ { i j } ( \pmb { x } ^ { a d v } ) , y ) , \mathrm { s . t . } \| \pmb { x } ^ { a d v } - \pmb { x } ^ { r e a l } \| _ { \infty } \leq \epsilon , +$$ + +where $T _ { i j } ( { \pmb x } )$ is a transformation operation that shifts image $_ { \textbf { \em x } }$ by $i$ and $j$ pixels along the twodimensions respectively, i.e., each pixel $( a , b )$ of the transformed image is $T _ { i j } ( { \pmb x } ) _ { a , b } = x _ { a - i , b - j }$ , and $w _ { i j }$ is the weight for the loss $J ( T _ { i j } ( \pmb { x } ^ { a d v } ) , y )$ . We set $i , j \in \{ - k , . . . , 0 , . . . , k \}$ with $k$ being the maximal number of pixels to shift. With this method, the generated adversarial perturbations are less sensitive to the attentive regions of the white-box model, which may be transferred to another model with a higher success rate. However, we need to calculate the gradients for $( 2 k + 1 ) ^ { 2 }$ images, which introduces much more computations. Sampling a small number of shifted images for gradient calculation is a feasible way (Athalye et al., 2018b). But we show that we can perform attacks by calculating the gradient for only one image under a mild assumption. + +Convolutional neural networks are known to have the shift-invariant property (LeCun & Bengio, 1995), that an object in the input can be recognized in spite of its position. Pooling layers contribute resilience to slight transformation of the input. Therefore, we make an assumption that the shifted image $T _ { i j } ( { \pmb x } )$ is almost the same as $_ { \textbf { \em x } }$ as inputs to the models, as well as their gradients + +$$ +\nabla _ { \pmb { x } } J ( \pmb { x } , y ) \big | _ { \pmb { x } = T _ { i j } ( \hat { \pmb { x } } ) } \approx \nabla _ { \pmb { x } } J ( \pmb { x } , y ) \big | _ { \pmb { x } = \hat { \pmb { x } } } . +$$ + +Based on this assumption, we calculate the gradient of the loss defined in Eq. (6) at a point $\hat { \pmb x }$ as + +$$ +\begin{array} { r l } { { \nabla _ { x } \big ( \sum _ { i , j } w _ { i j } J ( T _ { i j } ( x ) , y ) \big ) \big | _ { x = \hat { x } } = \sum _ { i , j } w _ { i j } \nabla _ { x } J ( T _ { i j } ( x ) , y ) \big | _ { x = \hat { x } } } } \\ & { = \displaystyle \sum _ { i , j } w _ { i j } \big ( \nabla _ { T _ { i j } ( x ) } J ( T _ { i j } ( x ) , y ) \cdot \frac { \partial T _ { i j } ( x ) } { \partial x } \big ) \Big | _ { x = \hat { x } } } \\ & { = \displaystyle \sum _ { i , j } w _ { i j } T _ { - i - j } \big ( \nabla _ { x } J ( x , y ) \big | _ { x = T _ { i j } ( \hat { x } ) } \big ) } \\ & { \approx \displaystyle \sum _ { i , j } w _ { i j } T _ { - i - j } \big ( \nabla _ { x } J ( x , y ) \big | _ { x = \hat { x } } \big ) . } \end{array} +$$ + +Given Eq. (8), we do not need to calculate the gradients for $( 2 k + 1 ) ^ { 2 }$ images. Instead, we only need to get the gradient for the unchanged image $\hat { \pmb x }$ and then average all the shifted gradients. This procedure is equivalent to convolving the gradient with a kernel composed of all the weights $w _ { i j }$ as + +$$ +\sum _ { i , j } \left. w _ { i j } T _ { - i - j } ( \nabla _ { \pmb { x } } J ( \pmb { x } , y ) \bigr | _ { \pmb { x } = \pmb { \hat { x } } } ) \Leftrightarrow W * \nabla _ { \pmb { x } } J ( \pmb { x } , y ) \right| _ { \pmb { x } = \pmb { \hat { x } } } , +$$ + +where $W$ is the kernel matrix of size $( 2 k + 1 ) \times ( 2 k + 1 )$ with $W _ { i , j } \ : = \ : w _ { - i - j }$ . In this paper, we generate the kernel $W$ from a two-dimensional Gaussian function because: 1) the images with bigger shifts have relatively lower weights to make the adversarial perturbation fool the model at the unshifted image effectively; 2) by using a Gaussian function, this procedure is known as Gaussian blur, which is widely used in image processing. + +Note that we only illustrate how to calculate the gradient of the loss function defined in Eq. (6), but do not specify the update algorithm for generating adversarial examples. This indicates that our method can be integrated into any gradient-based attack methods including FGSM, BIM, MI-FGSM, etc. Specifically, in each step we calculate the gradient then convolve the gradient with the pre-defined kernel $\nabla _ { \pmb { x } } J ( \pmb { x } _ { t } ^ { a d v } , y )$ at the current solution y get the new solution $\pmb { x } _ { t } ^ { a d v }$ $W$ $\pmb { x } _ { t + 1 } ^ { a d v }$ + +# 4 EXPERIMENTS + +In this section, we present the experimental results to demonstrate the effectiveness of the proposed method on improving the transferability of adversarial examples to the defense models. + +# 4.1 EXPERIMENTAL SETTINGS + +We use an ImageNet-compatible dataset2 comprised of 1000 images to conduct experiments. This dataset was used in the NIPS 2017 adversarial competition. We include eight defense models which are shown to be robust agsinst black-box attacks on the ImageNet dataset. These are + +• Inc- $\mathbf { \Delta } \cdot \mathbf { v } 3 _ { \mathrm { e n s 3 } }$ , Inc- $\mathbf { \nabla \cdot v } 3 _ { \mathrm { e n s 4 } }$ , IncRes- $\cdot \mathrm { v } 2 _ { \mathrm { e n s } }$ (Tramer et al., 2018); \` +• high-level representation guided denoiser (HGD, rank-1 submission in the NIPS 2017 defense competition) (Liao et al., 2018); input transformation through random resizing and padding (R&P, rank-2 submission in the NIPS 2017 defense competition) (Xie et al., 2018a); input transformation through JPEG compression or total variance minimization (TVM) (Guo et al., 2018); +• rank-3 submission3 in the NIPS 2017 defense competition (NIPS-r3). + +To attack these defenses based on the transferability, we also include four normally trained models— Inception v3 (Inc-v3) (Szegedy et al., 2016), Inception v4 (Inc-v4), Inception ResNet v2 (IncResv2) (Szegedy et al., 2017), and ResNet v2-152 (Res-v2-152) (He et al., 2016b), as the white-box models to generate adversarial examples. + +![](images/3f3555a0b30dd8a6fcab4f8fa72db4e6f2c6cd4e6c44c4bc84e38a07c7f5b0a9.jpg) +Figure 2: The adversarial examples generated for Inc-v3 using FGSM and A-FGSM. + +Table 1: The success rates $( \% )$ ) of black-box attacks against eight defenses. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM and A-FGSM. + +
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3FGSM15.614.77.02.16.519.918.89.8
A-FGSM28.228.922.318.419.825.530.724.5
Inc-v4FGSM16.216.19.02.67.921.819.911.5
A-FGSM28.228.321.418.121.627.931.824.6
IncRes-v2FGSM18.017.210.23.99.924.723.413.3
A-FGSM32.833.628.125.428.132.438.531.4
Res-v2-152FGSM20.217.79.93.68.624.022.012.5
A-FGSM34.634.527.824.427.432.738.130.1
+ +In our experiments, we integrate our method into the fast gradient sign method (FGSM) (Goodfellow et al., 2015), momentum iterative fast gradient sign method (MI-FGSM) (Dong et al., 2018) and diverse input iterative fast gradient sign method with momentum (DIM) (Xie et al., 2018b). We do not include the basic iterative method and Carlini & Wagner (2017)’s method since that they are not good at generating transferable adversarial examples (Dong et al., 2018). We denote the attacks combined with our attention-invariant method as A-FGSM, A-MI-FGSM and A-DIM respectively. + +For the settings of hyper-parameters, we set the maximum perturbation to be $\epsilon = 1 6$ among all experiments with pixel value in $[ 0 , 2 5 5 ]$ . For the iterative attack methods, we set the number of iteration as 10 and the step size as $\alpha = 1 . 6$ . For MI-FGSM and A-MI-FGSM, we adopt the default dacay factor $\mu = 1 . 0$ . For DIM and A-DIM, the transformation probability is set to 0.7. Please note that the settings for each attack method and its attention-invariant version are the same, because our method is not concerned with the specific attack precedure. + +# 4.2 SINGLE-MODEL ATTACKS + +We first perform adversarial attacks for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM, MI-FGSM, DIM and their extensions by combining with the proposed attention-invariant attack method as A-FGSM, A-MI-FGSM and A-DIM. We then use the generated adversarial examples to attack the eight defense models we consider based only on the transferability. We report the success rates of black-box attacks in Table 1, Table 2 and Table 3, where the success rates are the misclassification rates of the corresponding defense models with adversarial images as inputs. In the attention-invariant based attacks, we set the size of the kernel matrix $W$ as $1 5 \times 1 5$ across all experiments, and we will study the effect of kernel size in Section 4.4. + +From the tables, we observe that the success rates against the defenses are improved by a large margin when using the proposed method regardless of the attack algorithms or the white-box models being attacked. In general, the attention-invariant based attacks consistently outperform the baseline attacks by $5 \% \sim 3 0 \%$ . In particular, when using A-DIM, the combination of our method and DIM, to attack the IncRes-v2 model, the resultant adversarial examples have about $6 0 \%$ success rates against the defenses (as shown in Table 3). It demonstrates the vulnerability of the current defenses against black-box attacks. The results also validate the effectiveness of the proposed method. Although we only compare the results of our attack method with baseline methods against the defense models, our attacks remain the success rates of baseline attacks in the white-box setting and the black-box setting against normally trained models, which will be shown in the Appendix. + +Table 2: The success rates $( \% )$ of black-box attacks against eight defenses. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using MI-FGSM and A-MIFGSM. + +
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3MI-FGSM20.517.49.56.98.720.319.412.9
A-MI-FGSM35.835.125.825.723.928.234.926.7
Inc-v4MI-FGSM22.120.112.19.612.126.024.815.6
A-MI-FGSM36.739.228.727.828.031.638.429.5
IncRes-v2MI-FGSM31.327.219.719.618.631.634.422.7
A-MI-FGSM50.751.749.345.145.245.955.446.2
Res-v2-152MI-FGSM25.123.713.315.114.631.224.518.0
A-MI-FGSM39.937.732.831.831.138.341.234.4
+ +Table 3: The success rates $( \% )$ of black-box attacks against eight defenses. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using DIM and A-DIM. + +
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3DIMA-DIM24.246.924.347.113.037.49.738.313.336.830.737.024.444.218.041.4
Inc-v4DIMA-DIM28.348.627.547.515.638.714.640.317.239.338.643.529.145.614.141.9
IncRes-v2DIMA-DIM41.261.340.060.127.959.532.458.730.261.447.255.741.766.237.661.5
Res-v2-152DIMA-DIM40.556.136.055.524.149.532.651.826.450.442.450.836.855.734.452.9
+ +We show several adversarial images generated for the Inc-v3 model by FGSM and A-FGSM in Fig. 2. It can be seen that by using A-FGSM, in which the gradients are convolved by a kernel $W$ before applying to the raw images, the adversarial perturbations are much smoother than those generated by FGSM. The smooth effect also exists in other attention-invariant based attacks. + +# 4.3 ENSEMBLE-BASED ATTACKS + +In this section, we further present the results when adversarial examples are generated for an ensemble of models. Liu et al. (2017) have shown that attacking multiple models at the same time can improve the transferability of the generated adversarial examples. It is due to that if an example remains adversarial for multiple models, it is more likely to transfer to another black-box model. + +We adopt the ensemble method proposed by Dong et al. (2018), which fuses the logit activations of different models. We attack the ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 with equal ensemble weights using FGSM, A-FGSM, MI-FGSM, A-FGSM, DIM and A-DIM respectively. We also set the kernel size in the attention-invariant based attacks as $1 5 \times 1 5$ . + +In Table 4, we show the results of black-box attacks against the eight defenses. The proposed method also improves the success rates across all experiments over the baseline attacks. It should by noted that the adversarial examples generated by A-DIM can fool the state-of-the-art defenses at an $8 2 \%$ success rate on average based on the transferability. And the adversarial examples are generated for normally trained models unaware of the defense strategies. The results in the paper demonstrate that the current defenses are far from real security, and cannot be deployed in real-world applications. + +# 4.4 THE EFFECT OF KERNEL SIZE + +The size of the kernel $W$ plays a key role for improving the success rates of black-box attacks. If the kernel size equals to $1 \times 1$ , the attention-invariant based attacks degenerate to their vanilla versions. Therefore, we conduct an ablation study to examine the effect of different kernel sizes. + +We attack the Inc-v3 model by A-FGSM, A-MI-FGSM and A-DIM with the kernel length ranging from 1 to 21 with a granularity 2. In Fig. 3, we show the success rates against five defense models— + +Table 4: The success rates $( \% )$ of black-box attacks against eight defenses. The adversarial examples are crafted for the ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 using FGSM, A-FGSM, MI-FGSM, A-MI-FGSM, DIM and A-DIM. + +
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
FGSM27.523.713.44.913.838.130.019.8
A-FGSM39.138.831.629.931.243.339.833.9
MI-FGSM50.548.332.838.632.867.750.143.9
A-MI-FGSM76.474.469.673.368.377.272.171.4
DIM66.063.345.957.751.782.564.163.7
A-DIM84.882.778.082.681.483.479.883.1
+ +![](images/af1d173e4080a2f7db797f652353ba983ef24ea894dc45832df2f11c43232bb0.jpg) +Figure 3: The success rates $( \% )$ of the adversarial examples generated for Inc-v3 agasinst IncRes$\mathrm { v } 2 _ { \mathrm { e n s } }$ , HGD, R&P, TVM and NIPS-r3, with the kernel length ranging from 1 to 21. + +![](images/29848183b70cd7277cb4093cc535b6650871714cb1cbcf17919c8f28e35f314f.jpg) +Figure 4: The adversarial examples generated for Inc-v3 by A-FGSM with different kernel sizes. + +IncRes- $\mathbf { \nabla } \cdot \mathbf { v } 2 _ { \mathrm { e n s } }$ , HGD, R&P, TVM and NIPS-r3. The success rate continues increasing at first, and turns to remain stable after the kernel size exceeds $1 5 \times 1 5$ . + +We also show the adversarial images generated for the Inc-v3 model by A-FGSM with different kernel sizes in Fig. 4. Due to the smooth effect given by the kernel, we can see that the adversarial perturbations are smoother when using a bigger kernel. + +# 5 CONCLUSION + +In this paper, we propose an attention-invariant attack method to mitigate the attention shift phenomenon and generate more transferable adversarial examples against the defense models. Our method optimizes an adversarial image by using a set of shifted images. Based on an assumption, our method is simply implemented by convolving the gradient with a pre-defined kernel, and can be integrated into any gradient-based attack methods. We conduct experiments to validate the effectiveness of the proposed method. Our best attack A-DIM, the combination of the proposed attentioninvariant method and diverse input iterative method (Xie et al., 2018b), can fool eight state-of-the-art defenses at an $8 2 \%$ success rate on average, where the adversarial examples are generated against four normally trained models. The results identify the vulnerability of the current defenses, which raises security issues for the development of more robust deep learning models. + +# REFERENCES + +Anish Athalye, Nicholas Carlini, and David Wagner. Obfuscated gradients give a false sense of security: Circumventing defenses to adversarial examples. In ICML, 2018a. + +Anish Athalye, Logan Engstrom, Andrew Ilyas, and Kevin Kwok. Synthesizing robust adversarial examples. In ICML, 2018b. + +Battista Biggio, Igino Corona, Davide Maiorca, Blaine Nelson, Pavel Laskov, Giorgio Giacinto, and Fabio Roli. Evasion attacks against machine learning at test time. In Th European Conference on Machine Learning and Knowledge Discovery in Databases, pp. 387–402, 2013. + +Nicholas Carlini and David Wagner. Towards evaluating the robustness of neural networks. In IEEE Symposium on Security and Privacy, 2017. + +Yinpeng Dong, Fangzhou Liao, Tianyu Pang, Hang Su, Jun Zhu, Xiaolin Hu, and Jianguo Li. Boosting adversarial attacks with momentum. In The IEEE Conference on Computer Vision and Pattern Recognition (CVPR), 2018. + +Kevin Eykholt, Ivan Evtimov, Earlence Fernandes, Bo Li, Amir Rahmati, Chaowei Xiao, Atul Prakash, Tadayoshi Kohno, and Dawn Song. Robust physical-world attacks on deep learning visual classification. In The IEEE Conference on Computer Vision and Pattern Recognition (CVPR), 2018. + +Ian J Goodfellow, Jonathon Shlens, and Christian Szegedy. Explaining and harnessing adversarial examples. In ICLR, 2015. + +Alex Graves, Abdel Rahman Mohamed, and Geoffrey Hinton. Speech recognition with deep recurrent neural networks. In IEEE International Conference on Acoustics, Speech and Signal Processing, pp. 6645–6649, 2013. + +Chuan Guo, Mayank Rana, Moustapha Cisse, and Laurens Van Der Maaten. Countering adversarial images using input transformations. In ICLR, 2018. + +Kaiming He, Xiangyu Zhang, Shaoqing Ren, and Jian Sun. Deep residual learning for image recognition. In CVPR, 2016a. + +Kaiming He, Xiangyu Zhang, Shaoqing Ren, and Jian Sun. Identity mappings in deep residual networks. In ECCV, 2016b. + +Alexey Kurakin, Ian Goodfellow, and Samy Bengio. Adversarial examples in the physical world. arXiv preprint arXiv:1607.02533, 2016. + +Alexey Kurakin, Ian Goodfellow, and Samy Bengio. Adversarial machine learning at scale. In ICLR, 2017. + +Yann LeCun and Yoshua Bengio. Convolutional networks for images, speech, and time series. Handbook of Brain Theory and Neural Networks, 1995. + +Fangzhou Liao, Ming Liang, Yinpeng Dong, Tianyu Pang, Xiaolin Hu, and Jun Zhu. Defense against adversarial attacks using high-level representation guided denoiser. In The IEEE Conference on Computer Vision and Pattern Recognition (CVPR), 2018. + +Yanpei Liu, Xinyun Chen, Chang Liu, and Dawn Song. Delving into transferable adversarial examples and black-box attacks. In ICLR, 2017. + +Aleksander Madry, Aleksandar Makelov, Ludwig Schmidt, Dimitris Tsipras, and Adrian Vladu. Towards deep learning models resistant to adversarial attacks. In ICLR, 2018. + +Jan Hendrik Metzen, Tim Genewein, Volker Fischer, and Bastian Bischoff. On detecting adversarial perturbations. In ICLR, 2017. + +Nicolas Papernot, Patrick McDaniel, Ian Goodfellow, Somesh Jha, Z Berkay Celik, and Ananthram Swami. Practical black-box attacks against machine learning. In Proceedings of the 2017 ACM on Asia Conference on Computer and Communications Security, 2017. + +Aditi Raghunathan, Jacob Steinhardt, and Percy Liang. Certified defenses against adversarial examples. In ICLR, 2018. + +Pouya Samangouei, Maya Kabkab, and Rama Chellappa. Defense-gan: Protecting classifiers against adversarial attacks using generative models. In ICLR, 2018. + +Karen Simonyan and Andrew Zisserman. Very deep convolutional networks for large-scale image recognition. In ICLR, 2015. + +Yang Song, Taesup Kim, Sebastian Nowozin, Stefano Ermon, and Nate Kushman. Pixeldefend: Leveraging generative models to understand and defend against adversarial examples. In ICLR, 2018. + +Ilya Sutskever, Oriol Vinyals, and Quoc V Le. Sequence to sequence learning with neural networks. In NIPS, pp. 3104–3112, 2014. + +Christian Szegedy, Wojciech Zaremba, Ilya Sutskever, Joan Bruna, Dumitru Erhan, Ian Goodfellow, and Rob Fergus. Intriguing properties of neural networks. In ICLR, 2014. + +Christian Szegedy, Vincent Vanhoucke, Sergey Ioffe, Jon Shlens, and Zbigniew Wojna. Rethinking the inception architecture for computer vision. In CVPR, 2016. + +Christian Szegedy, Sergey Ioffe, Vincent Vanhoucke, and Alexander A Alemi. Inception-v4, inception-resnet and the impact of residual connections on learning. In AAAI, 2017. + +Florian Tramer, Alexey Kurakin, Nicolas Papernot, Dan Boneh, and Patrick McDaniel. Ensemble \` adversarial training: Attacks and defenses. In ICLR, 2018. + +Eric Wong and J. Zico Kolter. Provable defenses against adversarial examples via the convex outer adversarial polytope. In ICML, 2018. + +Cihang Xie, Jianyu Wang, Zhishuai Zhang, Zhou Ren, and Alan Yuille. Mitigating adversarial effects through randomization. In ICLR, 2018a. + +Cihang Xie, Zhishuai Zhang, Jianyu Wang, Yuyin Zhou, Zhou Ren, and Alan Yuille. Improving transferability of adversarial examples with input diversity. 2018b. + +Bolei Zhou, Aditya Khosla, Agata Lapedriza, Aude Oliva, and Antonio Torralba. Learning deep features for discriminative localization. In CVPR, 2016. + +# APPENDIX + +We further show the results of the proposed attention-invariant attack method for white-box attacks and black-box attacks against normally trained models. We adopt the same settings for attacks. We also generate adversarial examples for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM, A-FGSM, MI-FGSM, A-MI-FGSM, DIM and A-DIM. For the attention-invariant based attacks, we set the kernel size as $7 \times 7$ since that the normally trained models have similar attentions. We then use these adversarial examples to attack six normally trained models—Inc-v3, Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The results are shown in Table 5, Table 6 and Table 7. The attention-invariant based attacks get better results in most cases than the baseline attacks. + +Table 5: The success rates $( \% )$ of adversarial attacks against six normally trained models—Inc-v3, Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM and A-FGSM. \* indicates the white-box attacks. + +
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3FGSMA-FGSM79.6*75.4*35.937.330.632.130.234.149.762.036.344.9
Inc-v4FGSMA-FGSM43.145.372.6*68.1*32.533.734.335.450.763.337.746.2
IncRes-v2FGSMA-FGSM44.349.736.141.564.3*63.7*31.940.149.464.238.646.7
Res-v2-152FGSMA-FGSM40.146.434.039.330.333.481.3*78.9*50.564.740.850.4
+ +Table 6: The success rates $( \% )$ of adversarial attacks against six normally trained models—Inc-v3, Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using MI-FGSM and A-MI-FGSM. \* indicates the white-box attacks. + +
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3MI-FGSMA-MI-FGSM97.8*97.9*47.152.446.447.938.741.150.363.438.148.1
Inc-v4MI-FGSMA-MI-FGSM67.168.698.8*98.8*54.355.347.047.758.569.043.251.3
IncRes-v2MI-FGSMA-MI-FGSM74.876.164.869.5100.0*100.0*54.559.659.374.450.861.5
Res-v2-152MI-FGSMA-MI-FGSM54.255.648.150.944.345.197.5*97.4*52.665.648.759.6
+ +Table 7: The success rates $( \% )$ of adversarial attacks against six normally trained models—Inc-v3, Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using DIM and A-DIM. \* indicates the white-box attacks. + +
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3DIMA-DIM98.3*98.5*73.875.267.869.258.459.062.574.349.359.1
Inc-v4DIMA-DIM81.880.798.2*98.7*74.273.265.162.765.577.451.459.8
IncRes-v2DIMA-DIM86.186.483.585.599.1*98.8*73.576.367.979.362.772.2
Res-v2-152DIMA-DIM77.077.077.873.973.573.297.4*97.2*67.478.467.877.8
\ No newline at end of file diff --git a/parse/train/BJzVUj0qtQ/BJzVUj0qtQ_content_list.json b/parse/train/BJzVUj0qtQ/BJzVUj0qtQ_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..d956c62078de0c5f678322d9a84e46eda6a8aaf9 --- /dev/null +++ b/parse/train/BJzVUj0qtQ/BJzVUj0qtQ_content_list.json @@ -0,0 +1,1433 @@ +[ + { + "type": "text", + "text": "EVADING DEFENSES TO TRANSFERABLE ADVERSAR-IAL EXAMPLES BY MITIGATING ATTENTION SHIFT", + "text_level": 1, + "bbox": [ + 176, + 98, + 820, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 171, + 398, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep neural networks are vulnerable to adversarial examples, which can mislead classifiers by adding imperceptible perturbations. An intriguing property of adversarial examples is their good transferability, making black-box attacks feasible in real-world applications. Due to the threat of adversarial attacks, many methods have been proposed to improve the robustness, and several state-of-the-art defenses are shown to be robust against transferable adversarial examples. In this paper, we identify the attention shift phenomenon, which may hinder the transferability of adversarial examples to the defense models. It indicates that the defenses rely on different discriminative regions to make predictions compared with normally trained models. Therefore, we propose an attention-invariant attack method to generate more transferable adversarial examples. Extensive experiments on the ImageNet dataset validate the effectiveness of the proposed method. Our best attack fools eight state-of-the-art defenses at an $8 2 \\%$ success rate on average based only on the transferability, demonstrating the insecurity of the defense techniques. ", + "bbox": [ + 233, + 267, + 764, + 460 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 178, + 489, + 336, + 505 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Recent progress in machine learning and deep neural networks has led to substantial improvements in various pattern recognition tasks such as image understanding (Simonyan & Zisserman, 2015; He et al., 2016a), speech recognition (Graves et al., 2013), and machine translation (Sutskever et al., 2014). However, deep neural networks are highly vulnerable to adversarial examples (Biggio et al., 2013; Szegedy et al., 2014; Goodfellow et al., 2015). They are maliciously generated by adding small perturbations to legitimate examples, but make deep neural networks produce unreasonable predictions. The existence of adversarial examples, even in the physical world (Kurakin et al., 2016; Eykholt et al., 2018; Athalye et al., 2018b), has raised concerns in security-sensitive applications, e.g., self-driving cars, healthcare and finance. ", + "bbox": [ + 174, + 520, + 825, + 645 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Attacking deep neural networks has drawn an increasing attention since the generated adversarial examples can serve as a surrogate to evaluate the robustness of different models (Carlini & Wagner, 2017) and help to improve the robustness (Goodfellow et al., 2015; Madry et al., 2018). Several methods have been proposed to generate adversarial examples with the knowledge of the gradient information of a given model, such as fast gradient sign method (Goodfellow et al., 2015), basic iterative method (Kurakin et al., 2016), and Carlini & Wagner (2017)’s method, which are known as white-box attacks. Moreover, it is shown that adversarial examples have cross-model transferability (Liu et al., 2017), i.e., the adversarial examples crafted for one model can fool a different model with a high probability. The transferability of adversarial examples enables practical black-box attacks to real-world applications and induces serious security issues. ", + "bbox": [ + 174, + 652, + 825, + 791 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The threat of adversarial examples has motivated extensive research on building robust models or techniques to defend against adversarial attacks. These include training with adversarial examples (Goodfellow et al., 2015; Kurakin et al., 2017; Tramer et al., 2018; Madry et al., 2018), image de- \\` noising/transformation (Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018), leveraging generative models to move adversarial examples towards data manifold (Song et al., 2018; Samangouei et al., 2018), and theoretically-certified defenses (Raghunathan et al., 2018; Wong & Kolter, 2018). Although the non-certified defenses have demonstrated robustness against common attacks, they do so by causing obfuscated gradients, which can be easily circumvented by new attacks (Athalye et al., 2018a). However, some of the defenses (Tramer et al., 2018; Liao et al., 2018; Xie et al., 2018a; \\` ", + "bbox": [ + 174, + 799, + 825, + 922 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/1bb6d1d587f789453b9eff6e1a9f60f15d2e3ac6fb800f2508dd5bd047a7e758.jpg", + "image_caption": [ + "Figure 1: Demonstration of the attention shift phenomenon of the defense models compared with normally trained models. We adopt class activation mapping (Zhou et al., 2016) to visualize the attentive regions of three normally trained models—Inception v3 (Szegedy et al., 2016), Inception ResNet v2 (Szegedy et al., 2017), ResNet 152 (He et al., 2016a) and four defense models (Tramer\\` et al., 2018; Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018). These defense models focus their attention on slightly different regions compared with normally trained models, which may affect the transferability of adversarial examples. " + ], + "image_footnote": [], + "bbox": [ + 173, + 99, + 823, + 246 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Guo et al., 2018) claim to be resistant to transferable adversarial examples, making black-box attacks difficult to evade these defenses. ", + "bbox": [ + 176, + 377, + 821, + 405 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this paper, we identify attention shift, that the defenses make predictions based on slightly different discriminative regions compared with normally trained models, as a phenomenon which may hinder the transferability of adversarial examples to the defense models. For example, we show the attention maps of several normally trained models and defense models in Fig. 1, to represent the discriminative regions for their predictions. It is apparent that the normally trained models have similar attention maps while the defenses induce shifting attention maps. The attention shift of the defenses is caused by either training under different data distributions (Tramer et al., 2018) or transforming \\` the inputs before classification (Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018). Therefore, the transferability of adversarial examples is largely reduced to the defenses since the structure information hidden in adversarial perturbations may be easily overlooked if a model focuses its attention on different regions. ", + "bbox": [ + 174, + 412, + 825, + 565 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To mitigate the effect of attention shift and evade the defenses by transferable adversarial examples, we propose an attention-invariant attack method. In particular, we generate an adversarial example for an ensemble of examples composed of an legitimate one and its shifted versions. Therefore the resultant adversarial example is less sensitive to the attentive region of the white-box model being attacked and may have a bigger chance to fool another black-box model with a defense mechanism based on attention shift. We further show that this method can be simply implemented by convolving the gradient with a pre-defined kernel under a mild assumption. The proposed method can be integrated into any gradient-based attack methods such as fast gradient sign method and basic iterative method. Extensive experiments demonstrate that the proposed attention-invariant attack method helps to improve the success rates of black-box attacks against the defense models by a large margin. Our best attack reaches an average success rate of $8 2 \\%$ to evade eight state-of-the-art defenses based only on the transferability, thus demonstrating the insecurity of the current defenses. ", + "bbox": [ + 173, + 573, + 825, + 739 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 758, + 344, + 776 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Adversarial Examples. Deep neural networks are shown to be vulnerable to adversarial examples first in the visual domain (Szegedy et al., 2014). Then several methods are proposed to generate adversarial examples for the purpose of high success rates and minimal size of perturbations (Goodfellow et al., 2015; Kurakin et al., 2016; Carlini & Wagner, 2017). They also exist in the physical world (Kurakin et al., 2016; Eykholt et al., 2018; Athalye et al., 2018b). Although adversarial examples are recently crafted for many domains, we focus on image classification tasks in this paper. ", + "bbox": [ + 174, + 791, + 825, + 875 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Black-box Attacks. Black-box adversaries have no access to the architecture or parameters of the target model, which are under a more challenging threat model to perform attacks. The transferability of adversarial examples provides an opportunity to attack a black-box model (Liu et al., 2017). ", + "bbox": [ + 176, + 882, + 823, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Several methods (Dong et al., 2018; Xie et al., 2018b) have been proposed to improve the transferability, which enable powerful black-box attacks. Besides the transfer-based black-box attacks, there is another line of works that perform attacks based on adaptive queries. For example, Papernot et al. (2017) use queries to distill the knowledge of the target model and train a surrogate model. It therefore turns the black-box attacks to the white-box attacks. Recent methods use queries to estimate the gradient or the decision boundary of the black-box model (??) to generate adversarial examples. However, these methods usually require tremendous number of queries, which may be impractical in real-world applications. In this paper, we resort to transferable adversarial examples for black-box attacks. ", + "bbox": [ + 174, + 103, + 825, + 229 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Defend against Adversarial Attacks. A large variety of methods have been proposed to increase the robustness of deep learning models. Besides directly making the models produce correct predictions for adversarial examples, some methods attempt to detect them instead (?Metzen et al., 2017; ?). However most of the non-certified defenses demonstrate the robustness by causing obfuscated gradients, which are successfully circumvented by new developed attacks (Athalye et al., 2018a). Although these defenses are not robust in the white-box setting, some of them (Tramer et al., 2018; \\` Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018) empirically show the resistance against transferable adversarial examples in the black-box setting. In this paper, we focus on generating more transferable adversarial examples against these defenses. ", + "bbox": [ + 173, + 234, + 825, + 361 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 METHODOLOGY ", + "text_level": 1, + "bbox": [ + 176, + 381, + 341, + 396 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section, we provide the detailed description of our algorithm. Let $\\pmb { x } ^ { r e a l }$ denote a real example and $y$ denote the corresponding ground-truth label. Given a classifier $f ( { \\pmb x } ) : \\mathcal { X } \\mathcal { Y }$ that outputs a label as the prediction for an input, we want to generate an adversarial example $\\pmb { x } ^ { a d v }$ which is visually indistinguishable from $\\pmb { x } ^ { \\bar { r } e a l }$ but fools the classifier, i.e., $f ( \\mathbf { x } ^ { a d v } ) \\neq \\dot { y }$ .1 In most cases, the $L _ { p }$ norm of the adversarial perturbation is required to be smaller than a threshold $\\epsilon$ as $\\mid \\mid \\pmb { x } ^ { a d v } -$ $\\pmb { x } ^ { r e a l } | | _ { p } \\leq \\epsilon$ . In this paper, we use the $L _ { \\infty }$ norm as the measurement. For adversarial example generation, the objective is to maximize the loss function $J ( \\pmb { x } ^ { a d v } , y )$ of the classifier, where $J$ is often the cross-entropy loss. So the constrained optimization problem can be written as ", + "bbox": [ + 173, + 410, + 825, + 527 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/d16ce90131ca6733b50f45f78ce205e2b403122e13f9c8f65923d4b389cf7fa9.jpg", + "text": "$$\n\\underset { \\pmb { x } ^ { a d v } } { \\arg \\operatorname* { m a x } } J ( \\pmb { x } ^ { a d v } , y ) , \\quad \\mathrm { s . t . } \\ \\| \\pmb { x } ^ { a d v } - \\pmb { x } ^ { r e a l } \\| _ { \\infty } \\leq \\epsilon .\n$$", + "text_format": "latex", + "bbox": [ + 328, + 530, + 671, + 558 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To solve this optimization problem, the gradient of the loss function with respect to the input needs to be calculated, termed as white-box attacks. However in some cases, we cannot get access to the gradient of the classifier, where we need to perform attacks in the black-box manner. We resort to transferable adversarial examples which are generated for a different white-box classifier but have high transferability for black-box attacks. ", + "bbox": [ + 174, + 561, + 825, + 632 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 GRADIENT-BASED ADVERSARIAL ATTACK METHODS ", + "text_level": 1, + "bbox": [ + 174, + 648, + 584, + 662 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Several methods have been proposed to solve the optimization problem in Eq. (1). We give a brief introduction of them in this section. ", + "bbox": [ + 174, + 674, + 823, + 703 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Fast Gradient Sign Method (FGSM) (Goodfellow et al., 2015) generates an adversarial example $\\pmb { x } ^ { a d v }$ by linearizing the loss function in the input space and performing one-step update as ", + "bbox": [ + 173, + 709, + 823, + 738 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/9cc61b31bfee08d0bef56fe1a6ffb3554187921f14e035a368119591300bb985.jpg", + "text": "$$\n\\begin{array} { r } { \\pmb { x } ^ { a d v } = \\pmb { x } ^ { r e a l } + \\epsilon \\cdot \\mathrm { s i g n } ( \\nabla _ { \\pmb { x } } J ( \\pmb { x } ^ { r e a l } , y ) ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 362, + 742, + 635, + 761 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $\\nabla _ { x } J$ is the gradient of the loss function with respect to $_ { \\textbf { \\em x } }$ . $\\mathrm { s i g n } ( \\cdot )$ is the sign function to make the perturbation meet the $L _ { \\infty }$ norm bound. FGSM can generate more transferable adversarial examples but is usually not effective enough for attacking white-box models (Kurakin et al., 2017). ", + "bbox": [ + 174, + 765, + 826, + 808 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Basic Iterative Method (BIM) (Kurakin et al., 2016) extends FGSM by iteratively applying gradient updates multiple times with a small step size $\\alpha$ , which can be expressed as ", + "bbox": [ + 173, + 814, + 821, + 843 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/0b336a133ed1198e9f06a0a8260109c3987d3d2c92c8682e5f04e6938619959a.jpg", + "text": "$$\n\\begin{array} { r } { { \\pmb x } _ { 0 } ^ { a d v } = { \\pmb x } ^ { r e a l } , { \\pmb x } _ { t + 1 } ^ { a d v } = { \\pmb x } _ { t } ^ { a d v } + \\alpha \\cdot \\mathrm { s i g n } ( \\nabla _ { \\pmb x } J ( { \\pmb x } _ { t } ^ { a d v } , y ) ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 307, + 847, + 691, + 866 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To restrict the generated adversarial examples within the $\\epsilon$ -ball of $\\pmb { x } ^ { r e a l }$ , we can clip $\\pmb { x } _ { t } ^ { a d v }$ after each update or set $\\alpha = \\epsilon / T$ with $T$ being the number of iterations. It has been shown that BIM induces ", + "bbox": [ + 178, + 871, + 825, + 901 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "much more powerful white-box attacks than FGSM at the cost of worse transferability (Kurakin et al., 2017; Dong et al., 2018). ", + "bbox": [ + 171, + 103, + 823, + 132 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Momentum Iterative Fast Gradient Sign Method (MI-FGSM) (Dong et al., 2018) proposes to improve the transferability of adversarial examples by integrating a momentum term into the iterative attack method. The update procedure is ", + "bbox": [ + 174, + 138, + 825, + 181 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/01219533838f23f217dad06081e63f770b1a6b37f0c264da7dd913ae8aeca4bb.jpg", + "text": "$$\n{ \\pmb g } _ { t + 1 } = \\mu \\cdot { \\pmb g } _ { t } + \\frac { \\nabla _ { \\pmb x } J ( { \\pmb x } _ { t } ^ { a d v } , \\pmb y ) } { \\| \\nabla _ { \\pmb x } J ( { \\pmb x } _ { t } ^ { a d v } , \\pmb y ) \\| _ { 1 } } , \\quad { \\pmb x } _ { t + 1 } ^ { a d v } = { \\pmb x } _ { t } ^ { a d v } + { \\alpha } \\cdot \\mathrm { s i g n } ( { \\pmb g } _ { t + 1 } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 266, + 184, + 728, + 219 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\mathbf { \\nabla } _ { \\mathbf { \\boldsymbol { g } } _ { t } }$ gathers the gradient information up to the $t$ -th iteration with a decay factor $\\mu$ ", + "bbox": [ + 174, + 222, + 740, + 237 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Diverse Inputs Iterative Fast Gradient Sign Method (Xie et al., 2018b) applies random transformations to the inputs and feeds the transformed images into the classifier for gradient calculation. The image transformation includes random resizing and padding with a given probability. This method can be combined with the momentum-based method to further improve the transferability. ", + "bbox": [ + 173, + 242, + 825, + 300 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Carlini $\\pmb { \\& }$ Wagner (2017)’s method is a powerful optimization-based method. It uses an auxiliary variable ${ \\pmb v } ^ { a d v }$ as $\\pmb { x } ^ { a d v } = \\textstyle { \\frac { 1 } { 2 } } ( \\operatorname { t a n h } ( \\pmb { v } ^ { a d v } ) + \\dot { 1 } )$ , and optimizes ${ \\pmb v } ^ { a d v }$ by solving ", + "bbox": [ + 173, + 306, + 825, + 335 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/f2f341d3f1aee964fb0225b5b819b874559056238b74fcfbd89d9ac74b410ede.jpg", + "text": "$$\n\\underset { \\pmb { v } ^ { a d v } } { \\arg \\operatorname* { m i n } } \\parallel \\frac { 1 } { 2 } ( \\operatorname { t a n h } ( \\pmb { v } ^ { a d v } ) + 1 ) - \\pmb { x } ^ { r e a l } \\parallel _ { p } - c \\cdot J ( \\frac { 1 } { 2 } ( \\operatorname { t a n h } ( \\pmb { v } ^ { a d v } ) + 1 ) , y ) ,\n$$", + "text_format": "latex", + "bbox": [ + 259, + 340, + 740, + 372 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where the loss function $J$ could be different from the cross-entropy loss. This method aims to find adversarial examples with minimal size of perturbations, to measure the robustness of different models. It also lacks the efficacy for black-box attacks like BIM. ", + "bbox": [ + 174, + 376, + 825, + 417 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 ATTENTION-INVARIANT ATTACK METHOD ", + "text_level": 1, + "bbox": [ + 174, + 434, + 511, + 449 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Although many attack methods (Dong et al., 2018; Xie et al., 2018b) can generate adversarial examples with very high transferability across normally trained models, they are less effective to attack defense models in the black-box manner. Some of the defenses (Tramer et al., 2018; Liao et al., \\` 2018; Xie et al., 2018a; Guo et al., 2018) are shown to be quite robust against black-box attacks. So we want to answer that: Are these defenses really free from transferable adversarial examples? ", + "bbox": [ + 173, + 459, + 825, + 531 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We identify the attention shift phenomenon which may inhibit the transferability of adversarial examples to the defenses. The attention shift refers to that the discriminative regions used by the defenses to identify object categories are slightly different from those used by normally trained models, as shown in Fig. 1. The adversarial examples generated for one model can be hardly transferred to another model with attention shift since that the structure information in adversarial perturbations may be easily destroyed if the model focuses its attention on different regions. ", + "bbox": [ + 173, + 536, + 825, + 621 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To reduce the effect of attention shift, we propose an attention-invariant attack method. In particular, rather than optimizing the objective function at a single point as Eq. (1), the proposed method uses a set of shifted images to optimize an adversarial example as ", + "bbox": [ + 174, + 627, + 821, + 670 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/fbc81faac88b4ee9e6d3995cecb45b4753763d733bb26d221adaf9cf9bee8264.jpg", + "text": "$$\n\\arg \\operatorname* { m a x } _ { \\pmb { x } ^ { a d v } } \\sum _ { i , j } w _ { i j } J ( T _ { i j } ( \\pmb { x } ^ { a d v } ) , y ) , \\mathrm { s . t . } \\| \\pmb { x } ^ { a d v } - \\pmb { x } ^ { r e a l } \\| _ { \\infty } \\leq \\epsilon ,\n$$", + "text_format": "latex", + "bbox": [ + 287, + 672, + 712, + 708 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $T _ { i j } ( { \\pmb x } )$ is a transformation operation that shifts image $_ { \\textbf { \\em x } }$ by $i$ and $j$ pixels along the twodimensions respectively, i.e., each pixel $( a , b )$ of the transformed image is $T _ { i j } ( { \\pmb x } ) _ { a , b } = x _ { a - i , b - j }$ , and $w _ { i j }$ is the weight for the loss $J ( T _ { i j } ( \\pmb { x } ^ { a d v } ) , y )$ . We set $i , j \\in \\{ - k , . . . , 0 , . . . , k \\}$ with $k$ being the maximal number of pixels to shift. With this method, the generated adversarial perturbations are less sensitive to the attentive regions of the white-box model, which may be transferred to another model with a higher success rate. However, we need to calculate the gradients for $( 2 k + 1 ) ^ { 2 }$ images, which introduces much more computations. Sampling a small number of shifted images for gradient calculation is a feasible way (Athalye et al., 2018b). But we show that we can perform attacks by calculating the gradient for only one image under a mild assumption. ", + "bbox": [ + 173, + 710, + 825, + 839 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Convolutional neural networks are known to have the shift-invariant property (LeCun & Bengio, 1995), that an object in the input can be recognized in spite of its position. Pooling layers contribute resilience to slight transformation of the input. Therefore, we make an assumption that the shifted image $T _ { i j } ( { \\pmb x } )$ is almost the same as $_ { \\textbf { \\em x } }$ as inputs to the models, as well as their gradients ", + "bbox": [ + 173, + 845, + 825, + 902 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/3491ef1cd1dc194086bcf8338df41cc49880caa02b9da88aca3b65117141403c.jpg", + "text": "$$\n\\nabla _ { \\pmb { x } } J ( \\pmb { x } , y ) \\big | _ { \\pmb { x } = T _ { i j } ( \\hat { \\pmb { x } } ) } \\approx \\nabla _ { \\pmb { x } } J ( \\pmb { x } , y ) \\big | _ { \\pmb { x } = \\hat { \\pmb { x } } } .\n$$", + "text_format": "latex", + "bbox": [ + 364, + 905, + 633, + 929 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Based on this assumption, we calculate the gradient of the loss defined in Eq. (6) at a point $\\hat { \\pmb x }$ as ", + "bbox": [ + 169, + 103, + 799, + 118 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/0232b01b05d47da26943ca23642718eb13d6febcaf3e5db9f2178a357b955c86.jpg", + "text": "$$\n\\begin{array} { r l } { { \\nabla _ { x } \\big ( \\sum _ { i , j } w _ { i j } J ( T _ { i j } ( x ) , y ) \\big ) \\big | _ { x = \\hat { x } } = \\sum _ { i , j } w _ { i j } \\nabla _ { x } J ( T _ { i j } ( x ) , y ) \\big | _ { x = \\hat { x } } } } \\\\ & { = \\displaystyle \\sum _ { i , j } w _ { i j } \\big ( \\nabla _ { T _ { i j } ( x ) } J ( T _ { i j } ( x ) , y ) \\cdot \\frac { \\partial T _ { i j } ( x ) } { \\partial x } \\big ) \\Big | _ { x = \\hat { x } } } \\\\ & { = \\displaystyle \\sum _ { i , j } w _ { i j } T _ { - i - j } \\big ( \\nabla _ { x } J ( x , y ) \\big | _ { x = T _ { i j } ( \\hat { x } ) } \\big ) } \\\\ & { \\approx \\displaystyle \\sum _ { i , j } w _ { i j } T _ { - i - j } \\big ( \\nabla _ { x } J ( x , y ) \\big | _ { x = \\hat { x } } \\big ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 230, + 121, + 764, + 270 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Given Eq. (8), we do not need to calculate the gradients for $( 2 k + 1 ) ^ { 2 }$ images. Instead, we only need to get the gradient for the unchanged image $\\hat { \\pmb x }$ and then average all the shifted gradients. This procedure is equivalent to convolving the gradient with a kernel composed of all the weights $w _ { i j }$ as ", + "bbox": [ + 174, + 280, + 823, + 323 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/aeb46c4cce709f98e37d70654233fdcaa7aae5e1516415570659e3857d270b27.jpg", + "text": "$$\n\\sum _ { i , j } \\left. w _ { i j } T _ { - i - j } ( \\nabla _ { \\pmb { x } } J ( \\pmb { x } , y ) \\bigr | _ { \\pmb { x } = \\pmb { \\hat { x } } } ) \\Leftrightarrow W * \\nabla _ { \\pmb { x } } J ( \\pmb { x } , y ) \\right| _ { \\pmb { x } = \\pmb { \\hat { x } } } ,\n$$", + "text_format": "latex", + "bbox": [ + 305, + 327, + 692, + 361 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $W$ is the kernel matrix of size $( 2 k + 1 ) \\times ( 2 k + 1 )$ with $W _ { i , j } \\ : = \\ : w _ { - i - j }$ . In this paper, we generate the kernel $W$ from a two-dimensional Gaussian function because: 1) the images with bigger shifts have relatively lower weights to make the adversarial perturbation fool the model at the unshifted image effectively; 2) by using a Gaussian function, this procedure is known as Gaussian blur, which is widely used in image processing. ", + "bbox": [ + 174, + 363, + 825, + 434 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Note that we only illustrate how to calculate the gradient of the loss function defined in Eq. (6), but do not specify the update algorithm for generating adversarial examples. This indicates that our method can be integrated into any gradient-based attack methods including FGSM, BIM, MI-FGSM, etc. Specifically, in each step we calculate the gradient then convolve the gradient with the pre-defined kernel $\\nabla _ { \\pmb { x } } J ( \\pmb { x } _ { t } ^ { a d v } , y )$ at the current solution y get the new solution $\\pmb { x } _ { t } ^ { a d v }$ $W$ $\\pmb { x } _ { t + 1 } ^ { a d v }$ ", + "bbox": [ + 173, + 440, + 825, + 525 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 544, + 326, + 560 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In this section, we present the experimental results to demonstrate the effectiveness of the proposed method on improving the transferability of adversarial examples to the defense models. ", + "bbox": [ + 173, + 575, + 823, + 603 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.1 EXPERIMENTAL SETTINGS ", + "text_level": 1, + "bbox": [ + 176, + 619, + 398, + 633 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We use an ImageNet-compatible dataset2 comprised of 1000 images to conduct experiments. This dataset was used in the NIPS 2017 adversarial competition. We include eight defense models which are shown to be robust agsinst black-box attacks on the ImageNet dataset. These are ", + "bbox": [ + 176, + 645, + 825, + 688 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "• Inc- $\\mathbf { \\Delta } \\cdot \\mathbf { v } 3 _ { \\mathrm { e n s 3 } }$ , Inc- $\\mathbf { \\nabla \\cdot v } 3 _ { \\mathrm { e n s 4 } }$ , IncRes- $\\cdot \\mathrm { v } 2 _ { \\mathrm { e n s } }$ (Tramer et al., 2018); \\` \n• high-level representation guided denoiser (HGD, rank-1 submission in the NIPS 2017 defense competition) (Liao et al., 2018); input transformation through random resizing and padding (R&P, rank-2 submission in the NIPS 2017 defense competition) (Xie et al., 2018a); input transformation through JPEG compression or total variance minimization (TVM) (Guo et al., 2018); \n• rank-3 submission3 in the NIPS 2017 defense competition (NIPS-r3). ", + "bbox": [ + 215, + 694, + 825, + 809 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To attack these defenses based on the transferability, we also include four normally trained models— Inception v3 (Inc-v3) (Szegedy et al., 2016), Inception v4 (Inc-v4), Inception ResNet v2 (IncResv2) (Szegedy et al., 2017), and ResNet v2-152 (Res-v2-152) (He et al., 2016b), as the white-box models to generate adversarial examples. ", + "bbox": [ + 173, + 819, + 823, + 876 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/3f3555a0b30dd8a6fcab4f8fa72db4e6f2c6cd4e6c44c4bc84e38a07c7f5b0a9.jpg", + "image_caption": [ + "Figure 2: The adversarial examples generated for Inc-v3 using FGSM and A-FGSM. " + ], + "image_footnote": [], + "bbox": [ + 205, + 99, + 792, + 263 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Table 1: The success rates $( \\% )$ ) of black-box attacks against eight defenses. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM and A-FGSM. ", + "bbox": [ + 171, + 304, + 823, + 333 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/f2ba4b2301a757b8bc18f149e67832b4685cd170e3f462da0f9708d11fd177b1.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3FGSM15.614.77.02.16.519.918.89.8
A-FGSM28.228.922.318.419.825.530.724.5
Inc-v4FGSM16.216.19.02.67.921.819.911.5
A-FGSM28.228.321.418.121.627.931.824.6
IncRes-v2FGSM18.017.210.23.99.924.723.413.3
A-FGSM32.833.628.125.428.132.438.531.4
Res-v2-152FGSM20.217.79.93.68.624.022.012.5
A-FGSM34.634.527.824.427.432.738.130.1
", + "bbox": [ + 179, + 349, + 818, + 450 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In our experiments, we integrate our method into the fast gradient sign method (FGSM) (Goodfellow et al., 2015), momentum iterative fast gradient sign method (MI-FGSM) (Dong et al., 2018) and diverse input iterative fast gradient sign method with momentum (DIM) (Xie et al., 2018b). We do not include the basic iterative method and Carlini & Wagner (2017)’s method since that they are not good at generating transferable adversarial examples (Dong et al., 2018). We denote the attacks combined with our attention-invariant method as A-FGSM, A-MI-FGSM and A-DIM respectively. ", + "bbox": [ + 173, + 476, + 825, + 559 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "For the settings of hyper-parameters, we set the maximum perturbation to be $\\epsilon = 1 6$ among all experiments with pixel value in $[ 0 , 2 5 5 ]$ . For the iterative attack methods, we set the number of iteration as 10 and the step size as $\\alpha = 1 . 6$ . For MI-FGSM and A-MI-FGSM, we adopt the default dacay factor $\\mu = 1 . 0$ . For DIM and A-DIM, the transformation probability is set to 0.7. Please note that the settings for each attack method and its attention-invariant version are the same, because our method is not concerned with the specific attack precedure. ", + "bbox": [ + 174, + 565, + 825, + 648 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2 SINGLE-MODEL ATTACKS ", + "text_level": 1, + "bbox": [ + 176, + 667, + 397, + 681 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We first perform adversarial attacks for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM, MI-FGSM, DIM and their extensions by combining with the proposed attention-invariant attack method as A-FGSM, A-MI-FGSM and A-DIM. We then use the generated adversarial examples to attack the eight defense models we consider based only on the transferability. We report the success rates of black-box attacks in Table 1, Table 2 and Table 3, where the success rates are the misclassification rates of the corresponding defense models with adversarial images as inputs. In the attention-invariant based attacks, we set the size of the kernel matrix $W$ as $1 5 \\times 1 5$ across all experiments, and we will study the effect of kernel size in Section 4.4. ", + "bbox": [ + 173, + 694, + 825, + 805 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "From the tables, we observe that the success rates against the defenses are improved by a large margin when using the proposed method regardless of the attack algorithms or the white-box models being attacked. In general, the attention-invariant based attacks consistently outperform the baseline attacks by $5 \\% \\sim 3 0 \\%$ . In particular, when using A-DIM, the combination of our method and DIM, to attack the IncRes-v2 model, the resultant adversarial examples have about $6 0 \\%$ success rates against the defenses (as shown in Table 3). It demonstrates the vulnerability of the current defenses against black-box attacks. The results also validate the effectiveness of the proposed method. Although we only compare the results of our attack method with baseline methods against the defense models, our attacks remain the success rates of baseline attacks in the white-box setting and the black-box setting against normally trained models, which will be shown in the Appendix. ", + "bbox": [ + 174, + 813, + 825, + 924 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/570dc42f0612cc21d50ad6165a6107e1ab0450c0b226d691c03a8e3860e07d96.jpg", + "table_caption": [ + "Table 2: The success rates $( \\% )$ of black-box attacks against eight defenses. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using MI-FGSM and A-MIFGSM. " + ], + "table_footnote": [], + "table_body": "
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3MI-FGSM20.517.49.56.98.720.319.412.9
A-MI-FGSM35.835.125.825.723.928.234.926.7
Inc-v4MI-FGSM22.120.112.19.612.126.024.815.6
A-MI-FGSM36.739.228.727.828.031.638.429.5
IncRes-v2MI-FGSM31.327.219.719.618.631.634.422.7
A-MI-FGSM50.751.749.345.145.245.955.446.2
Res-v2-152MI-FGSM25.123.713.315.114.631.224.518.0
A-MI-FGSM39.937.732.831.831.138.341.234.4
", + "bbox": [ + 173, + 162, + 826, + 262 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/1f3d4acf53770ed92f68de11f1823765f1d12a2ccd56bfe170b352457875ca7c.jpg", + "table_caption": [ + "Table 3: The success rates $( \\% )$ of black-box attacks against eight defenses. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using DIM and A-DIM. " + ], + "table_footnote": [], + "table_body": "
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3DIMA-DIM24.246.924.347.113.037.49.738.313.336.830.737.024.444.218.041.4
Inc-v4DIMA-DIM28.348.627.547.515.638.714.640.317.239.338.643.529.145.614.141.9
IncRes-v2DIMA-DIM41.261.340.060.127.959.532.458.730.261.447.255.741.766.237.661.5
Res-v2-152DIMA-DIM40.556.136.055.524.149.532.651.826.450.442.450.836.855.734.452.9
", + "bbox": [ + 173, + 329, + 825, + 429 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 455, + 823, + 483 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We show several adversarial images generated for the Inc-v3 model by FGSM and A-FGSM in Fig. 2. It can be seen that by using A-FGSM, in which the gradients are convolved by a kernel $W$ before applying to the raw images, the adversarial perturbations are much smoother than those generated by FGSM. The smooth effect also exists in other attention-invariant based attacks. ", + "bbox": [ + 174, + 489, + 825, + 546 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.3 ENSEMBLE-BASED ATTACKS ", + "text_level": 1, + "bbox": [ + 176, + 565, + 413, + 579 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In this section, we further present the results when adversarial examples are generated for an ensemble of models. Liu et al. (2017) have shown that attacking multiple models at the same time can improve the transferability of the generated adversarial examples. It is due to that if an example remains adversarial for multiple models, it is more likely to transfer to another black-box model. ", + "bbox": [ + 174, + 592, + 825, + 647 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We adopt the ensemble method proposed by Dong et al. (2018), which fuses the logit activations of different models. We attack the ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 with equal ensemble weights using FGSM, A-FGSM, MI-FGSM, A-FGSM, DIM and A-DIM respectively. We also set the kernel size in the attention-invariant based attacks as $1 5 \\times 1 5$ . ", + "bbox": [ + 174, + 654, + 823, + 710 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In Table 4, we show the results of black-box attacks against the eight defenses. The proposed method also improves the success rates across all experiments over the baseline attacks. It should by noted that the adversarial examples generated by A-DIM can fool the state-of-the-art defenses at an $8 2 \\%$ success rate on average based on the transferability. And the adversarial examples are generated for normally trained models unaware of the defense strategies. The results in the paper demonstrate that the current defenses are far from real security, and cannot be deployed in real-world applications. ", + "bbox": [ + 174, + 717, + 825, + 801 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.4 THE EFFECT OF KERNEL SIZE ", + "text_level": 1, + "bbox": [ + 176, + 819, + 423, + 834 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The size of the kernel $W$ plays a key role for improving the success rates of black-box attacks. If the kernel size equals to $1 \\times 1$ , the attention-invariant based attacks degenerate to their vanilla versions. Therefore, we conduct an ablation study to examine the effect of different kernel sizes. ", + "bbox": [ + 176, + 847, + 823, + 888 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We attack the Inc-v3 model by A-FGSM, A-MI-FGSM and A-DIM with the kernel length ranging from 1 to 21 with a granularity 2. In Fig. 3, we show the success rates against five defense models— ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/e80be1682387f4c8fab92d3f2948ca6e5d5022e0788d7778bce98963ef11fa03.jpg", + "table_caption": [ + "Table 4: The success rates $( \\% )$ of black-box attacks against eight defenses. The adversarial examples are crafted for the ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 using FGSM, A-FGSM, MI-FGSM, A-MI-FGSM, DIM and A-DIM. " + ], + "table_footnote": [], + "table_body": "
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
FGSM27.523.713.44.913.838.130.019.8
A-FGSM39.138.831.629.931.243.339.833.9
MI-FGSM50.548.332.838.632.867.750.143.9
A-MI-FGSM76.474.469.673.368.377.272.171.4
DIM66.063.345.957.751.782.564.163.7
A-DIM84.882.778.082.681.483.479.883.1
", + "bbox": [ + 196, + 161, + 802, + 239 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/af1d173e4080a2f7db797f652353ba983ef24ea894dc45832df2f11c43232bb0.jpg", + "image_caption": [ + "Figure 3: The success rates $( \\% )$ of the adversarial examples generated for Inc-v3 agasinst IncRes$\\mathrm { v } 2 _ { \\mathrm { e n s } }$ , HGD, R&P, TVM and NIPS-r3, with the kernel length ranging from 1 to 21. " + ], + "image_footnote": [], + "bbox": [ + 181, + 260, + 815, + 410 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/29848183b70cd7277cb4093cc535b6650871714cb1cbcf17919c8f28e35f314f.jpg", + "image_caption": [ + "Figure 4: The adversarial examples generated for Inc-v3 by A-FGSM with different kernel sizes. " + ], + "image_footnote": [], + "bbox": [ + 174, + 464, + 820, + 604 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "IncRes- $\\mathbf { \\nabla } \\cdot \\mathbf { v } 2 _ { \\mathrm { e n s } }$ , HGD, R&P, TVM and NIPS-r3. The success rate continues increasing at first, and turns to remain stable after the kernel size exceeds $1 5 \\times 1 5$ . ", + "bbox": [ + 173, + 655, + 823, + 684 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We also show the adversarial images generated for the Inc-v3 model by A-FGSM with different kernel sizes in Fig. 4. Due to the smooth effect given by the kernel, we can see that the adversarial perturbations are smoother when using a bigger kernel. ", + "bbox": [ + 174, + 690, + 823, + 733 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 752, + 318, + 768 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In this paper, we propose an attention-invariant attack method to mitigate the attention shift phenomenon and generate more transferable adversarial examples against the defense models. Our method optimizes an adversarial image by using a set of shifted images. Based on an assumption, our method is simply implemented by convolving the gradient with a pre-defined kernel, and can be integrated into any gradient-based attack methods. We conduct experiments to validate the effectiveness of the proposed method. Our best attack A-DIM, the combination of the proposed attentioninvariant method and diverse input iterative method (Xie et al., 2018b), can fool eight state-of-the-art defenses at an $8 2 \\%$ success rate on average, where the adversarial examples are generated against four normally trained models. The results identify the vulnerability of the current defenses, which raises security issues for the development of more robust deep learning models. ", + "bbox": [ + 174, + 785, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 176, + 103, + 287, + 117 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Anish Athalye, Nicholas Carlini, and David Wagner. 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", + "bbox": [ + 174, + 570, + 820, + 599 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "APPENDIX ", + "text_level": 1, + "bbox": [ + 176, + 103, + 263, + 117 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "We further show the results of the proposed attention-invariant attack method for white-box attacks and black-box attacks against normally trained models. We adopt the same settings for attacks. We also generate adversarial examples for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM, A-FGSM, MI-FGSM, A-MI-FGSM, DIM and A-DIM. For the attention-invariant based attacks, we set the kernel size as $7 \\times 7$ since that the normally trained models have similar attentions. We then use these adversarial examples to attack six normally trained models—Inc-v3, Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The results are shown in Table 5, Table 6 and Table 7. The attention-invariant based attacks get better results in most cases than the baseline attacks. ", + "bbox": [ + 174, + 132, + 825, + 258 + ], + "page_idx": 10 + }, + { + "type": "table", + "img_path": "images/620016c2c93fd9656bf6d2f62a6b71ae8633d8cbc65e347ecdbeb3e6ed8dd3b3.jpg", + "table_caption": [ + "Table 5: The success rates $( \\% )$ of adversarial attacks against six normally trained models—Inc-v3, Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM and A-FGSM. \\* indicates the white-box attacks. " + ], + "table_footnote": [], + "table_body": "
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3FGSMA-FGSM79.6*75.4*35.937.330.632.130.234.149.762.036.344.9
Inc-v4FGSMA-FGSM43.145.372.6*68.1*32.533.734.335.450.763.337.746.2
IncRes-v2FGSMA-FGSM44.349.736.141.564.3*63.7*31.940.149.464.238.646.7
Res-v2-152FGSMA-FGSM40.146.434.039.330.333.481.3*78.9*50.564.740.850.4
", + "bbox": [ + 192, + 342, + 805, + 465 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Table 6: The success rates $( \\% )$ of adversarial attacks against six normally trained models—Inc-v3, Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using MI-FGSM and A-MI-FGSM. \\* indicates the white-box attacks. ", + "bbox": [ + 173, + 489, + 825, + 546 + ], + "page_idx": 10 + }, + { + "type": "table", + "img_path": "images/ad04b78c013afbff3b9d7dbe348ee0e1e8b51782e590f6fc9f565f9bc86792cb.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3MI-FGSMA-MI-FGSM97.8*97.9*47.152.446.447.938.741.150.363.438.148.1
Inc-v4MI-FGSMA-MI-FGSM67.168.698.8*98.8*54.355.347.047.758.569.043.251.3
IncRes-v2MI-FGSMA-MI-FGSM74.876.164.869.5100.0*100.0*54.559.659.374.450.861.5
Res-v2-152MI-FGSMA-MI-FGSM54.255.648.150.944.345.197.5*97.4*52.665.648.759.6
", + "bbox": [ + 181, + 564, + 816, + 686 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Table 7: The success rates $( \\% )$ of adversarial attacks against six normally trained models—Inc-v3, Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using DIM and A-DIM. \\* indicates the white-box attacks. ", + "bbox": [ + 174, + 712, + 825, + 767 + ], + "page_idx": 10 + }, + { + "type": "table", + "img_path": "images/f873d6d7d026a38e253646b796ad4d29e89ece3d1c1256a21657ab0eb6dcb048.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3DIMA-DIM98.3*98.5*73.875.267.869.258.459.062.574.349.359.1
Inc-v4DIMA-DIM81.880.798.2*98.7*74.273.265.162.765.577.451.459.8
IncRes-v2DIMA-DIM86.186.483.585.599.1*98.8*73.576.367.979.362.772.2
Res-v2-152DIMA-DIM77.077.077.873.973.573.297.4*97.2*67.478.467.877.8
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It indicates that the defenses", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "score": 1.0, + "content": "rely on different discriminative regions to make predictions compared with nor-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 310, + 470, + 323 + ], + "spans": [ + { + "bbox": [ + 141, + 310, + 470, + 323 + ], + "score": 1.0, + "content": "mally trained models. Therefore, we propose an attention-invariant attack method", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 322, + 469, + 333 + ], + "spans": [ + { + "bbox": [ + 141, + 322, + 469, + 333 + ], + "score": 1.0, + "content": "to generate more transferable adversarial examples. 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Our best at-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 343, + 469, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 327, + 356 + ], + "score": 1.0, + "content": "tack fools eight state-of-the-art defenses at an", + "type": "text" + }, + { + "bbox": [ + 327, + 343, + 347, + 354 + ], + "score": 0.89, + "content": "8 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 343, + 469, + 356 + ], + "score": 1.0, + "content": "success rate on average based", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 354, + 470, + 368 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 470, + 368 + ], + "score": 1.0, + "content": "only on the transferability, demonstrating the insecurity of the defense techniques.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 11.5 + }, + { + "type": "title", + "bbox": [ + 109, + 388, + 206, + 400 + ], + "lines": [ + { + "bbox": [ + 105, + 386, + 208, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 208, + 402 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 511 + ], + "lines": [ + { + "bbox": [ + 106, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "Recent progress in machine learning and deep neural networks has led to substantial improvements", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 424, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 436 + ], + "score": 1.0, + "content": "in various pattern recognition tasks such as image understanding (Simonyan & Zisserman, 2015; He", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 434, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 506, + 448 + ], + "score": 1.0, + "content": "et al., 2016a), speech recognition (Graves et al., 2013), and machine translation (Sutskever et al.,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "2014). 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The existence of adversarial examples, even in the physical world (Kurakin et al., 2016;", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 488, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 104, + 488, + 506, + 504 + ], + "score": 1.0, + "content": "Eykholt et al., 2018; Athalye et al., 2018b), has raised concerns in security-sensitive applications,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 500, + 289, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 289, + 514 + ], + "score": 1.0, + "content": "e.g., self-driving cars, healthcare and finance.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 517, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 516, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 530 + ], + "score": 1.0, + "content": "Attacking deep neural networks has drawn an increasing attention since the generated adversarial", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 527, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 104, + 527, + 506, + 542 + ], + "score": 1.0, + "content": "examples can serve as a surrogate to evaluate the robustness of different models (Carlini & Wagner,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "score": 1.0, + "content": "2017) and help to improve the robustness (Goodfellow et al., 2015; Madry et al., 2018). Several", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "methods have been proposed to generate adversarial examples with the knowledge of the gradient", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "score": 1.0, + "content": "information of a given model, such as fast gradient sign method (Goodfellow et al., 2015), basic", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "iterative method (Kurakin et al., 2016), and Carlini & Wagner (2017)’s method, which are known as", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "score": 1.0, + "content": "white-box attacks. 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Al-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "though the non-certified defenses have demonstrated robustness against common attacks, they do so", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "by causing obfuscated gradients, which can be easily circumvented by new attacks (Athalye et al.,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "2018a). 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Our best at-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 343, + 469, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 327, + 356 + ], + "score": 1.0, + "content": "tack fools eight state-of-the-art defenses at an", + "type": "text" + }, + { + "bbox": [ + 327, + 343, + 347, + 354 + ], + "score": 0.89, + "content": "8 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 343, + 469, + 356 + ], + "score": 1.0, + "content": "success rate on average based", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 354, + 470, + 368 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 470, + 368 + ], + "score": 1.0, + "content": "only on the transferability, demonstrating the insecurity of the defense techniques.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 11.5, + "bbox_fs": [ + 141, + 212, + 470, + 368 + ] + }, + { + "type": "title", + "bbox": [ + 109, + 388, + 206, + 400 + ], + "lines": [ + { + "bbox": [ + 105, + 386, + 208, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 208, + 402 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 511 + ], + "lines": [ + { + "bbox": [ + 106, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "Recent progress in machine learning and deep neural networks has led to substantial improvements", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 424, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 436 + ], + "score": 1.0, + "content": "in various pattern recognition tasks such as image understanding (Simonyan & Zisserman, 2015; He", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 434, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 506, + 448 + ], + "score": 1.0, + "content": "et al., 2016a), speech recognition (Graves et al., 2013), and machine translation (Sutskever et al.,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "2014). However, deep neural networks are highly vulnerable to adversarial examples (Biggio et al.,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "score": 1.0, + "content": "2013; Szegedy et al., 2014; Goodfellow et al., 2015). They are maliciously generated by adding", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "score": 1.0, + "content": "small perturbations to legitimate examples, but make deep neural networks produce unreasonable", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 478, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 505, + 491 + ], + "score": 1.0, + "content": "predictions. The existence of adversarial examples, even in the physical world (Kurakin et al., 2016;", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 488, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 104, + 488, + 506, + 504 + ], + "score": 1.0, + "content": "Eykholt et al., 2018; Athalye et al., 2018b), has raised concerns in security-sensitive applications,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 500, + 289, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 289, + 514 + ], + "score": 1.0, + "content": "e.g., self-driving cars, healthcare and finance.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24, + "bbox_fs": [ + 104, + 413, + 506, + 514 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 517, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 516, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 530 + ], + "score": 1.0, + "content": "Attacking deep neural networks has drawn an increasing attention since the generated adversarial", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 527, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 104, + 527, + 506, + 542 + ], + "score": 1.0, + "content": "examples can serve as a surrogate to evaluate the robustness of different models (Carlini & Wagner,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "score": 1.0, + "content": "2017) and help to improve the robustness (Goodfellow et al., 2015; Madry et al., 2018). Several", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "methods have been proposed to generate adversarial examples with the knowledge of the gradient", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "score": 1.0, + "content": "information of a given model, such as fast gradient sign method (Goodfellow et al., 2015), basic", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "iterative method (Kurakin et al., 2016), and Carlini & Wagner (2017)’s method, which are known as", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "score": 1.0, + "content": "white-box attacks. Moreover, it is shown that adversarial examples have cross-model transferability", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 595, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 505, + 606 + ], + "score": 1.0, + "content": "(Liu et al., 2017), i.e., the adversarial examples crafted for one model can fool a different model with", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "a high probability. The transferability of adversarial examples enables practical black-box attacks to", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 617, + 344, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 344, + 628 + ], + "score": 1.0, + "content": "real-world applications and induces serious security issues.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 33.5, + "bbox_fs": [ + 104, + 516, + 506, + 628 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 633, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "score": 1.0, + "content": "The threat of adversarial examples has motivated extensive research on building robust models or", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "techniques to defend against adversarial attacks. These include training with adversarial examples", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "(Goodfellow et al., 2015; Kurakin et al., 2017; Tramer et al., 2018; Madry et al., 2018), image de- `", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 664, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 679 + ], + "score": 1.0, + "content": "noising/transformation (Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018), leveraging generative", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "models to move adversarial examples towards data manifold (Song et al., 2018; Samangouei et al.,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "2018), and theoretically-certified defenses (Raghunathan et al., 2018; Wong & Kolter, 2018). Al-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "though the non-certified defenses have demonstrated robustness against common attacks, they do so", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "by causing obfuscated gradients, which can be easily circumvented by new attacks (Athalye et al.,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "2018a). However, some of the defenses (Tramer et al., 2018; Liao et al., 2018; Xie et al., 2018a; `", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 633, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 79, + 504, + 195 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 79, + 504, + 195 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 79, + 504, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 79, + 504, + 195 + ], + "score": 0.964, + "type": "image", + "image_path": "1bb6d1d587f789453b9eff6e1a9f60f15d2e3ac6fb800f2508dd5bd047a7e758.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 79, + 504, + 117.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 117.66666666666666, + 504, + 156.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 156.33333333333331, + 504, + 194.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 206, + 505, + 284 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 206, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 206, + 505, + 219 + ], + "score": 1.0, + "content": "Figure 1: Demonstration of the attention shift phenomenon of the defense models compared with", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 218, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 505, + 229 + ], + "score": 1.0, + "content": "normally trained models. We adopt class activation mapping (Zhou et al., 2016) to visualize the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "attentive regions of three normally trained models—Inception v3 (Szegedy et al., 2016), Inception", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 240, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 106, + 240, + 505, + 251 + ], + "score": 1.0, + "content": "ResNet v2 (Szegedy et al., 2017), ResNet 152 (He et al., 2016a) and four defense models (Tramer`", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 250, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 505, + 262 + ], + "score": 1.0, + "content": "et al., 2018; Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018). These defense models focus their", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 262, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 505, + 274 + ], + "score": 1.0, + "content": "attention on slightly different regions compared with normally trained models, which may affect the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 272, + 264, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 264, + 285 + ], + "score": 1.0, + "content": "transferability of adversarial examples.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 108, + 299, + 503, + 321 + ], + "lines": [ + { + "bbox": [ + 106, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 106, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "Guo et al., 2018) claim to be resistant to transferable adversarial examples, making black-box attacks", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 310, + 238, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 310, + 238, + 323 + ], + "score": 1.0, + "content": "difficult to evade these defenses.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 448 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "In this paper, we identify attention shift, that the defenses make predictions based on slightly dif-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 337, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 505, + 352 + ], + "score": 1.0, + "content": "ferent discriminative regions compared with normally trained models, as a phenomenon which may", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "hinder the transferability of adversarial examples to the defense models. For example, we show the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 361, + 504, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 504, + 372 + ], + "score": 1.0, + "content": "attention maps of several normally trained models and defense models in Fig. 1, to represent the dis-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "criminative regions for their predictions. It is apparent that the normally trained models have similar", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 383, + 506, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 395 + ], + "score": 1.0, + "content": "attention maps while the defenses induce shifting attention maps. The attention shift of the defenses", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 392, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 104, + 392, + 505, + 406 + ], + "score": 1.0, + "content": "is caused by either training under different data distributions (Tramer et al., 2018) or transforming `", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 404, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 505, + 417 + ], + "score": 1.0, + "content": "the inputs before classification (Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018). Therefore, the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 416, + 504, + 427 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 504, + 427 + ], + "score": 1.0, + "content": "transferability of adversarial examples is largely reduced to the defenses since the structure infor-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "mation hidden in adversarial perturbations may be easily overlooked if a model focuses its attention", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 436, + 190, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 436, + 190, + 450 + ], + "score": 1.0, + "content": "on different regions.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 454, + 505, + 586 + ], + "lines": [ + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "score": 1.0, + "content": "To mitigate the effect of attention shift and evade the defenses by transferable adversarial examples,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 466, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 477 + ], + "score": 1.0, + "content": "we propose an attention-invariant attack method. In particular, we generate an adversarial example", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 476, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 505, + 488 + ], + "score": 1.0, + "content": "for an ensemble of examples composed of an legitimate one and its shifted versions. Therefore the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 486, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 104, + 486, + 506, + 501 + ], + "score": 1.0, + "content": "resultant adversarial example is less sensitive to the attentive region of the white-box model being", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "attacked and may have a bigger chance to fool another black-box model with a defense mechanism", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "based on attention shift. We further show that this method can be simply implemented by convolv-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 520, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 533 + ], + "score": 1.0, + "content": "ing the gradient with a pre-defined kernel under a mild assumption. The proposed method can be", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "integrated into any gradient-based attack methods such as fast gradient sign method and basic itera-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "tive method. Extensive experiments demonstrate that the proposed attention-invariant attack method", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 553, + 504, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 504, + 565 + ], + "score": 1.0, + "content": "helps to improve the success rates of black-box attacks against the defense models by a large margin.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 563, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 304, + 577 + ], + "score": 1.0, + "content": "Our best attack reaches an average success rate of", + "type": "text" + }, + { + "bbox": [ + 305, + 564, + 324, + 574 + ], + "score": 0.9, + "content": "8 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 563, + 505, + 577 + ], + "score": 1.0, + "content": "to evade eight state-of-the-art defenses based", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 574, + 445, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 445, + 587 + ], + "score": 1.0, + "content": "only on the transferability, thus demonstrating the insecurity of the current defenses.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 108, + 601, + 211, + 615 + ], + "lines": [ + { + "bbox": [ + 105, + 601, + 213, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 213, + 617 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 627, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "Adversarial Examples. Deep neural networks are shown to be vulnerable to adversarial examples", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "first in the visual domain (Szegedy et al., 2014). Then several methods are proposed to generate", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "adversarial examples for the purpose of high success rates and minimal size of perturbations (Good-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "fellow et al., 2015; Kurakin et al., 2016; Carlini & Wagner, 2017). They also exist in the physical", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 671, + 504, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 504, + 682 + ], + "score": 1.0, + "content": "world (Kurakin et al., 2016; Eykholt et al., 2018; Athalye et al., 2018b). Although adversarial ex-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 682, + 502, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 502, + 694 + ], + "score": 1.0, + "content": "amples are recently crafted for many domains, we focus on image classification tasks in this paper.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "score": 1.0, + "content": "Black-box Attacks. Black-box adversaries have no access to the architecture or parameters of the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 104, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "target model, which are under a more challenging threat model to perform attacks. The transferabil-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "ity of adversarial examples provides an opportunity to attack a black-box model (Liu et al., 2017).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 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": "image", + "bbox": [ + 106, + 79, + 504, + 195 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 79, + 504, + 195 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 79, + 504, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 79, + 504, + 195 + ], + "score": 0.964, + "type": "image", + "image_path": "1bb6d1d587f789453b9eff6e1a9f60f15d2e3ac6fb800f2508dd5bd047a7e758.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 79, + 504, + 117.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 117.66666666666666, + 504, + 156.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 156.33333333333331, + 504, + 194.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 206, + 505, + 284 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 206, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 206, + 505, + 219 + ], + "score": 1.0, + "content": "Figure 1: Demonstration of the attention shift phenomenon of the defense models compared with", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 218, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 505, + 229 + ], + "score": 1.0, + "content": "normally trained models. We adopt class activation mapping (Zhou et al., 2016) to visualize the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "attentive regions of three normally trained models—Inception v3 (Szegedy et al., 2016), Inception", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 240, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 106, + 240, + 505, + 251 + ], + "score": 1.0, + "content": "ResNet v2 (Szegedy et al., 2017), ResNet 152 (He et al., 2016a) and four defense models (Tramer`", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 250, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 505, + 262 + ], + "score": 1.0, + "content": "et al., 2018; Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018). These defense models focus their", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 262, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 505, + 274 + ], + "score": 1.0, + "content": "attention on slightly different regions compared with normally trained models, which may affect the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 272, + 264, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 264, + 285 + ], + "score": 1.0, + "content": "transferability of adversarial examples.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 108, + 299, + 503, + 321 + ], + "lines": [ + { + "bbox": [ + 106, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 106, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "Guo et al., 2018) claim to be resistant to transferable adversarial examples, making black-box attacks", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 310, + 238, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 310, + 238, + 323 + ], + "score": 1.0, + "content": "difficult to evade these defenses.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 106, + 299, + 505, + 323 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 448 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "In this paper, we identify attention shift, that the defenses make predictions based on slightly dif-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 337, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 505, + 352 + ], + "score": 1.0, + "content": "ferent discriminative regions compared with normally trained models, as a phenomenon which may", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "hinder the transferability of adversarial examples to the defense models. For example, we show the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 361, + 504, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 504, + 372 + ], + "score": 1.0, + "content": "attention maps of several normally trained models and defense models in Fig. 1, to represent the dis-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "criminative regions for their predictions. It is apparent that the normally trained models have similar", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 383, + 506, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 395 + ], + "score": 1.0, + "content": "attention maps while the defenses induce shifting attention maps. The attention shift of the defenses", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 392, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 104, + 392, + 505, + 406 + ], + "score": 1.0, + "content": "is caused by either training under different data distributions (Tramer et al., 2018) or transforming `", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 404, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 505, + 417 + ], + "score": 1.0, + "content": "the inputs before classification (Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018). Therefore, the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 416, + 504, + 427 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 504, + 427 + ], + "score": 1.0, + "content": "transferability of adversarial examples is largely reduced to the defenses since the structure infor-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "mation hidden in adversarial perturbations may be easily overlooked if a model focuses its attention", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 436, + 190, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 436, + 190, + 450 + ], + "score": 1.0, + "content": "on different regions.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 17, + "bbox_fs": [ + 104, + 327, + 506, + 450 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 454, + 505, + 586 + ], + "lines": [ + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "score": 1.0, + "content": "To mitigate the effect of attention shift and evade the defenses by transferable adversarial examples,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 466, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 477 + ], + "score": 1.0, + "content": "we propose an attention-invariant attack method. In particular, we generate an adversarial example", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 476, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 505, + 488 + ], + "score": 1.0, + "content": "for an ensemble of examples composed of an legitimate one and its shifted versions. Therefore the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 486, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 104, + 486, + 506, + 501 + ], + "score": 1.0, + "content": "resultant adversarial example is less sensitive to the attentive region of the white-box model being", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "attacked and may have a bigger chance to fool another black-box model with a defense mechanism", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "based on attention shift. We further show that this method can be simply implemented by convolv-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 520, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 533 + ], + "score": 1.0, + "content": "ing the gradient with a pre-defined kernel under a mild assumption. The proposed method can be", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "integrated into any gradient-based attack methods such as fast gradient sign method and basic itera-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "tive method. Extensive experiments demonstrate that the proposed attention-invariant attack method", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 553, + 504, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 504, + 565 + ], + "score": 1.0, + "content": "helps to improve the success rates of black-box attacks against the defense models by a large margin.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 563, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 304, + 577 + ], + "score": 1.0, + "content": "Our best attack reaches an average success rate of", + "type": "text" + }, + { + "bbox": [ + 305, + 564, + 324, + 574 + ], + "score": 0.9, + "content": "8 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 563, + 505, + 577 + ], + "score": 1.0, + "content": "to evade eight state-of-the-art defenses based", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 574, + 445, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 445, + 587 + ], + "score": 1.0, + "content": "only on the transferability, thus demonstrating the insecurity of the current defenses.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 28.5, + "bbox_fs": [ + 104, + 454, + 506, + 587 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 601, + 211, + 615 + ], + "lines": [ + { + "bbox": [ + 105, + 601, + 213, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 213, + 617 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 627, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "Adversarial Examples. Deep neural networks are shown to be vulnerable to adversarial examples", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "first in the visual domain (Szegedy et al., 2014). Then several methods are proposed to generate", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "adversarial examples for the purpose of high success rates and minimal size of perturbations (Good-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "fellow et al., 2015; Kurakin et al., 2016; Carlini & Wagner, 2017). They also exist in the physical", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 671, + 504, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 504, + 682 + ], + "score": 1.0, + "content": "world (Kurakin et al., 2016; Eykholt et al., 2018; Athalye et al., 2018b). Although adversarial ex-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 682, + 502, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 502, + 694 + ], + "score": 1.0, + "content": "amples are recently crafted for many domains, we focus on image classification tasks in this paper.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 626, + 505, + 694 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "score": 1.0, + "content": "Black-box Attacks. Black-box adversaries have no access to the architecture or parameters of the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 104, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "target model, which are under a more challenging threat model to perform attacks. The transferabil-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "ity of adversarial examples provides an opportunity to attack a black-box model (Liu et al., 2017).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43, + "bbox_fs": [ + 104, + 698, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "Several methods (Dong et al., 2018; Xie et al., 2018b) have been proposed to improve the trans-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "ferability, which enable powerful black-box attacks. Besides the transfer-based black-box attacks,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "there is another line of works that perform attacks based on adaptive queries. For example, Papernot", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "et al. (2017) use queries to distill the knowledge of the target model and train a surrogate model.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "score": 1.0, + "content": "It therefore turns the black-box attacks to the white-box attacks. Recent methods use queries to", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "score": 1.0, + "content": "estimate the gradient or the decision boundary of the black-box model (??) to generate adversarial", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 505, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 161 + ], + "score": 1.0, + "content": "examples. However, these methods usually require tremendous number of queries, which may be", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "impractical in real-world applications. In this paper, we resort to transferable adversarial examples", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 169, + 195, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 195, + 182 + ], + "score": 1.0, + "content": "for black-box attacks.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 106, + 186, + 505, + 286 + ], + "lines": [ + { + "bbox": [ + 105, + 186, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 506, + 200 + ], + "score": 1.0, + "content": "Defend against Adversarial Attacks. A large variety of methods have been proposed to increase", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 199, + 504, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 504, + 210 + ], + "score": 1.0, + "content": "the robustness of deep learning models. Besides directly making the models produce correct predic-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "tions for adversarial examples, some methods attempt to detect them instead (?Metzen et al., 2017;", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 219, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 505, + 232 + ], + "score": 1.0, + "content": "?). However most of the non-certified defenses demonstrate the robustness by causing obfuscated", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 230, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 505, + 244 + ], + "score": 1.0, + "content": "gradients, which are successfully circumvented by new developed attacks (Athalye et al., 2018a).", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 241, + 505, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 255 + ], + "score": 1.0, + "content": "Although these defenses are not robust in the white-box setting, some of them (Tramer et al., 2018; `", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 252, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 505, + 266 + ], + "score": 1.0, + "content": "Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018) empirically show the resistance against trans-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "score": 1.0, + "content": "ferable adversarial examples in the black-box setting. In this paper, we focus on generating more", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 274, + 335, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 335, + 288 + ], + "score": 1.0, + "content": "transferable adversarial examples against these defenses.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13 + }, + { + "type": "title", + "bbox": [ + 108, + 302, + 209, + 314 + ], + "lines": [ + { + "bbox": [ + 104, + 299, + 211, + 317 + ], + "spans": [ + { + "bbox": [ + 104, + 299, + 211, + 317 + ], + "score": 1.0, + "content": "3 METHODOLOGY", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 325, + 505, + 418 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 393, + 339 + ], + "score": 1.0, + "content": "In this section, we provide the detailed description of our algorithm. Let", + "type": "text" + }, + { + "bbox": [ + 393, + 326, + 415, + 336 + ], + "score": 0.9, + "content": "\\pmb { x } ^ { r e a l }", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 325, + 505, + 339 + ], + "score": 1.0, + "content": "denote a real example", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 338, + 505, + 350 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 123, + 350 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 339, + 131, + 349 + ], + "score": 0.77, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 338, + 389, + 350 + ], + "score": 1.0, + "content": "denote the corresponding ground-truth label. Given a classifier", + "type": "text" + }, + { + "bbox": [ + 389, + 338, + 454, + 349 + ], + "score": 0.91, + "content": "f ( { \\pmb x } ) : \\mathcal { X } \\mathcal { Y }", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 338, + 505, + 350 + ], + "score": 1.0, + "content": "that outputs", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 348, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 104, + 348, + 445, + 361 + ], + "score": 1.0, + "content": "a label as the prediction for an input, we want to generate an adversarial example", + "type": "text" + }, + { + "bbox": [ + 445, + 348, + 466, + 358 + ], + "score": 0.89, + "content": "\\pmb { x } ^ { a d v }", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 348, + 506, + 361 + ], + "score": 1.0, + "content": "which is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 357, + 507, + 373 + ], + "spans": [ + { + "bbox": [ + 104, + 357, + 236, + 373 + ], + "score": 1.0, + "content": "visually indistinguishable from", + "type": "text" + }, + { + "bbox": [ + 236, + 359, + 259, + 370 + ], + "score": 0.9, + "content": "\\pmb { x } ^ { \\bar { r } e a l }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 357, + 376, + 373 + ], + "score": 1.0, + "content": "but fools the classifier, i.e.,", + "type": "text" + }, + { + "bbox": [ + 376, + 359, + 433, + 371 + ], + "score": 0.93, + "content": "f ( \\mathbf { x } ^ { a d v } ) \\neq \\dot { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 357, + 507, + 373 + ], + "score": 1.0, + "content": ".1 In most cases,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 121, + 382 + ], + "score": 1.0, + "content": "the", + "type": "text" + }, + { + "bbox": [ + 121, + 371, + 134, + 383 + ], + "score": 0.88, + "content": "L _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 370, + 449, + 382 + ], + "score": 1.0, + "content": "norm of the adversarial perturbation is required to be smaller than a threshold", + "type": "text" + }, + { + "bbox": [ + 449, + 372, + 455, + 380 + ], + "score": 0.7, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 370, + 467, + 382 + ], + "score": 1.0, + "content": "as", + "type": "text" + }, + { + "bbox": [ + 467, + 370, + 505, + 383 + ], + "score": 0.91, + "content": "\\mid \\mid \\pmb { x } ^ { a d v } -", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 107, + 380, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 107, + 383, + 160, + 395 + ], + "score": 0.92, + "content": "\\pmb { x } ^ { r e a l } | | _ { p } \\leq \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 380, + 272, + 398 + ], + "score": 1.0, + "content": ". In this paper, we use the", + "type": "text" + }, + { + "bbox": [ + 273, + 383, + 289, + 394 + ], + "score": 0.89, + "content": "L _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 380, + 506, + 398 + ], + "score": 1.0, + "content": "norm as the measurement. For adversarial example", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 393, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 104, + 393, + 343, + 408 + ], + "score": 1.0, + "content": "generation, the objective is to maximize the loss function", + "type": "text" + }, + { + "bbox": [ + 344, + 394, + 388, + 407 + ], + "score": 0.93, + "content": "J ( \\pmb { x } ^ { a d v } , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 393, + 486, + 408 + ], + "score": 1.0, + "content": "of the classifier, where", + "type": "text" + }, + { + "bbox": [ + 486, + 396, + 494, + 405 + ], + "score": 0.82, + "content": "J", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 393, + 506, + 408 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 406, + 457, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 457, + 419 + ], + "score": 1.0, + "content": "often the cross-entropy loss. So the constrained optimization problem can be written as", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22.5 + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 420, + 411, + 442 + ], + "lines": [ + { + "bbox": [ + 201, + 420, + 411, + 442 + ], + "spans": [ + { + "bbox": [ + 201, + 420, + 411, + 442 + ], + "score": 0.9, + "content": "\\underset { \\pmb { x } ^ { a d v } } { \\arg \\operatorname* { m a x } } J ( \\pmb { x } ^ { a d v } , y ) , \\quad \\mathrm { s . t . } \\ \\| \\pmb { x } ^ { a d v } - \\pmb { x } ^ { r e a l } \\| _ { \\infty } \\leq \\epsilon .", + "type": "interline_equation", + "image_path": "d16ce90131ca6733b50f45f78ce205e2b403122e13f9c8f65923d4b389cf7fa9.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 201, + 420, + 411, + 442 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 445, + 505, + 501 + ], + "lines": [ + { + "bbox": [ + 106, + 446, + 504, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 504, + 458 + ], + "score": 1.0, + "content": "To solve this optimization problem, the gradient of the loss function with respect to the input needs", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "score": 1.0, + "content": "to be calculated, termed as white-box attacks. However in some cases, we cannot get access to the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 467, + 506, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 506, + 481 + ], + "score": 1.0, + "content": "gradient of the classifier, where we need to perform attacks in the black-box manner. We resort to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "score": 1.0, + "content": "transferable adversarial examples which are generated for a different white-box classifier but have", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 489, + 274, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 274, + 502 + ], + "score": 1.0, + "content": "high transferability for black-box attacks.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30 + }, + { + "type": "title", + "bbox": [ + 107, + 514, + 358, + 525 + ], + "lines": [ + { + "bbox": [ + 105, + 513, + 359, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 359, + 527 + ], + "score": 1.0, + "content": "3.1 GRADIENT-BASED ADVERSARIAL ATTACK METHODS", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 534, + 504, + 557 + ], + "lines": [ + { + "bbox": [ + 106, + 534, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 505, + 547 + ], + "score": 1.0, + "content": "Several methods have been proposed to solve the optimization problem in Eq. (1). We give a brief", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 546, + 251, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 251, + 558 + ], + "score": 1.0, + "content": "introduction of them in this section.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 106, + 562, + 504, + 585 + ], + "lines": [ + { + "bbox": [ + 106, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "Fast Gradient Sign Method (FGSM) (Goodfellow et al., 2015) generates an adversarial example", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 572, + 469, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 127, + 584 + ], + "score": 0.88, + "content": "\\pmb { x } ^ { a d v }", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 572, + 469, + 587 + ], + "score": 1.0, + "content": "by linearizing the loss function in the input space and performing one-step update as", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + }, + { + "type": "interline_equation", + "bbox": [ + 222, + 588, + 389, + 603 + ], + "lines": [ + { + "bbox": [ + 222, + 588, + 389, + 603 + ], + "spans": [ + { + "bbox": [ + 222, + 588, + 389, + 603 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\pmb { x } ^ { a d v } = \\pmb { x } ^ { r e a l } + \\epsilon \\cdot \\mathrm { s i g n } ( \\nabla _ { \\pmb { x } } J ( \\pmb { x } ^ { r e a l } , y ) ) , } \\end{array}", + "type": "interline_equation", + "image_path": "9cc61b31bfee08d0bef56fe1a6ffb3554187921f14e035a368119591300bb985.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 222, + 588, + 389, + 603 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 606, + 506, + 640 + ], + "lines": [ + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 134, + 619 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 607, + 156, + 618 + ], + "score": 0.9, + "content": "\\nabla _ { x } J", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 606, + 366, + 619 + ], + "score": 1.0, + "content": "is the gradient of the loss function with respect to", + "type": "text" + }, + { + "bbox": [ + 366, + 609, + 374, + 617 + ], + "score": 0.68, + "content": "_ { \\textbf { \\em x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 606, + 380, + 619 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 381, + 606, + 410, + 619 + ], + "score": 0.76, + "content": "\\mathrm { s i g n } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "is the sign function to", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 232, + 630 + ], + "score": 1.0, + "content": "make the perturbation meet the", + "type": "text" + }, + { + "bbox": [ + 232, + 618, + 249, + 628 + ], + "score": 0.9, + "content": "L _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "norm bound. FGSM can generate more transferable adversarial", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 629, + 504, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 504, + 641 + ], + "score": 1.0, + "content": "examples but is usually not effective enough for attacking white-box models (Kurakin et al., 2017).", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 503, + 668 + ], + "lines": [ + { + "bbox": [ + 106, + 645, + 504, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 504, + 658 + ], + "score": 1.0, + "content": "Basic Iterative Method (BIM) (Kurakin et al., 2016) extends FGSM by iteratively applying gradi-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 656, + 421, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 302, + 669 + ], + "score": 1.0, + "content": "ent updates multiple times with a small step size", + "type": "text" + }, + { + "bbox": [ + 302, + 659, + 309, + 666 + ], + "score": 0.79, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 656, + 421, + 669 + ], + "score": 1.0, + "content": ", which can be expressed as", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5 + }, + { + "type": "interline_equation", + "bbox": [ + 188, + 671, + 423, + 686 + ], + "lines": [ + { + "bbox": [ + 188, + 671, + 423, + 686 + ], + "spans": [ + { + "bbox": [ + 188, + 671, + 423, + 686 + ], + "score": 0.89, + "content": "\\begin{array} { r } { { \\pmb x } _ { 0 } ^ { a d v } = { \\pmb x } ^ { r e a l } , { \\pmb x } _ { t + 1 } ^ { a d v } = { \\pmb x } _ { t } ^ { a d v } + \\alpha \\cdot \\mathrm { s i g n } ( \\nabla _ { \\pmb x } J ( { \\pmb x } _ { t } ^ { a d v } , y ) ) . } \\end{array}", + "type": "interline_equation", + "image_path": "0b336a133ed1198e9f06a0a8260109c3987d3d2c92c8682e5f04e6938619959a.jpg" + } + ] + } + ], + "index": 44, + "virtual_lines": [ + { + "bbox": [ + 188, + 671, + 423, + 686 + ], + "spans": [], + "index": 44 + } + ] + }, + { + "type": "text", + "bbox": [ + 109, + 690, + 505, + 714 + ], + "lines": [ + { + "bbox": [ + 106, + 687, + 507, + 706 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 332, + 706 + ], + "score": 1.0, + "content": "To restrict the generated adversarial examples within the", + "type": "text" + }, + { + "bbox": [ + 333, + 694, + 338, + 701 + ], + "score": 0.76, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 687, + 368, + 706 + ], + "score": 1.0, + "content": "-ball of", + "type": "text" + }, + { + "bbox": [ + 368, + 691, + 390, + 702 + ], + "score": 0.89, + "content": "\\pmb { x } ^ { r e a l }", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 687, + 441, + 706 + ], + "score": 1.0, + "content": ", we can clip", + "type": "text" + }, + { + "bbox": [ + 442, + 690, + 462, + 703 + ], + "score": 0.92, + "content": "\\pmb { x } _ { t } ^ { a d v }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 687, + 507, + 706 + ], + "score": 1.0, + "content": "after each", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 107, + 701, + 506, + 715 + ], + "spans": [ + { + "bbox": [ + 107, + 701, + 161, + 715 + ], + "score": 1.0, + "content": "update or set", + "type": "text" + }, + { + "bbox": [ + 162, + 702, + 196, + 714 + ], + "score": 0.92, + "content": "\\alpha = \\epsilon / T", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 701, + 218, + 715 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 218, + 703, + 227, + 712 + ], + "score": 0.85, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 701, + 506, + 715 + ], + "score": 1.0, + "content": "being the number of iterations. It has been shown that BIM induces", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 45.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 114, + 721, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 119, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 119, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "1This corresponds to untargeted attack. The method in this paper can be simply extended to targeted attack.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "Several methods (Dong et al., 2018; Xie et al., 2018b) have been proposed to improve the trans-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "ferability, which enable powerful black-box attacks. Besides the transfer-based black-box attacks,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "there is another line of works that perform attacks based on adaptive queries. For example, Papernot", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "et al. (2017) use queries to distill the knowledge of the target model and train a surrogate model.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "score": 1.0, + "content": "It therefore turns the black-box attacks to the white-box attacks. Recent methods use queries to", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "score": 1.0, + "content": "estimate the gradient or the decision boundary of the black-box model (??) to generate adversarial", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 505, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 161 + ], + "score": 1.0, + "content": "examples. However, these methods usually require tremendous number of queries, which may be", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "impractical in real-world applications. In this paper, we resort to transferable adversarial examples", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 169, + 195, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 195, + 182 + ], + "score": 1.0, + "content": "for black-box attacks.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 82, + 505, + 182 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 186, + 505, + 286 + ], + "lines": [ + { + "bbox": [ + 105, + 186, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 506, + 200 + ], + "score": 1.0, + "content": "Defend against Adversarial Attacks. A large variety of methods have been proposed to increase", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 199, + 504, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 504, + 210 + ], + "score": 1.0, + "content": "the robustness of deep learning models. Besides directly making the models produce correct predic-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "tions for adversarial examples, some methods attempt to detect them instead (?Metzen et al., 2017;", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 219, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 505, + 232 + ], + "score": 1.0, + "content": "?). However most of the non-certified defenses demonstrate the robustness by causing obfuscated", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 230, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 505, + 244 + ], + "score": 1.0, + "content": "gradients, which are successfully circumvented by new developed attacks (Athalye et al., 2018a).", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 241, + 505, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 255 + ], + "score": 1.0, + "content": "Although these defenses are not robust in the white-box setting, some of them (Tramer et al., 2018; `", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 252, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 505, + 266 + ], + "score": 1.0, + "content": "Liao et al., 2018; Xie et al., 2018a; Guo et al., 2018) empirically show the resistance against trans-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "score": 1.0, + "content": "ferable adversarial examples in the black-box setting. In this paper, we focus on generating more", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 274, + 335, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 335, + 288 + ], + "score": 1.0, + "content": "transferable adversarial examples against these defenses.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 186, + 506, + 288 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 302, + 209, + 314 + ], + "lines": [ + { + "bbox": [ + 104, + 299, + 211, + 317 + ], + "spans": [ + { + "bbox": [ + 104, + 299, + 211, + 317 + ], + "score": 1.0, + "content": "3 METHODOLOGY", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 325, + 505, + 418 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 393, + 339 + ], + "score": 1.0, + "content": "In this section, we provide the detailed description of our algorithm. Let", + "type": "text" + }, + { + "bbox": [ + 393, + 326, + 415, + 336 + ], + "score": 0.9, + "content": "\\pmb { x } ^ { r e a l }", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 325, + 505, + 339 + ], + "score": 1.0, + "content": "denote a real example", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 338, + 505, + 350 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 123, + 350 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 339, + 131, + 349 + ], + "score": 0.77, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 338, + 389, + 350 + ], + "score": 1.0, + "content": "denote the corresponding ground-truth label. Given a classifier", + "type": "text" + }, + { + "bbox": [ + 389, + 338, + 454, + 349 + ], + "score": 0.91, + "content": "f ( { \\pmb x } ) : \\mathcal { X } \\mathcal { Y }", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 338, + 505, + 350 + ], + "score": 1.0, + "content": "that outputs", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 348, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 104, + 348, + 445, + 361 + ], + "score": 1.0, + "content": "a label as the prediction for an input, we want to generate an adversarial example", + "type": "text" + }, + { + "bbox": [ + 445, + 348, + 466, + 358 + ], + "score": 0.89, + "content": "\\pmb { x } ^ { a d v }", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 348, + 506, + 361 + ], + "score": 1.0, + "content": "which is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 357, + 507, + 373 + ], + "spans": [ + { + "bbox": [ + 104, + 357, + 236, + 373 + ], + "score": 1.0, + "content": "visually indistinguishable from", + "type": "text" + }, + { + "bbox": [ + 236, + 359, + 259, + 370 + ], + "score": 0.9, + "content": "\\pmb { x } ^ { \\bar { r } e a l }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 357, + 376, + 373 + ], + "score": 1.0, + "content": "but fools the classifier, i.e.,", + "type": "text" + }, + { + "bbox": [ + 376, + 359, + 433, + 371 + ], + "score": 0.93, + "content": "f ( \\mathbf { x } ^ { a d v } ) \\neq \\dot { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 357, + 507, + 373 + ], + "score": 1.0, + "content": ".1 In most cases,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 121, + 382 + ], + "score": 1.0, + "content": "the", + "type": "text" + }, + { + "bbox": [ + 121, + 371, + 134, + 383 + ], + "score": 0.88, + "content": "L _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 370, + 449, + 382 + ], + "score": 1.0, + "content": "norm of the adversarial perturbation is required to be smaller than a threshold", + "type": "text" + }, + { + "bbox": [ + 449, + 372, + 455, + 380 + ], + "score": 0.7, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 370, + 467, + 382 + ], + "score": 1.0, + "content": "as", + "type": "text" + }, + { + "bbox": [ + 467, + 370, + 505, + 383 + ], + "score": 0.91, + "content": "\\mid \\mid \\pmb { x } ^ { a d v } -", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 107, + 380, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 107, + 383, + 160, + 395 + ], + "score": 0.92, + "content": "\\pmb { x } ^ { r e a l } | | _ { p } \\leq \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 380, + 272, + 398 + ], + "score": 1.0, + "content": ". In this paper, we use the", + "type": "text" + }, + { + "bbox": [ + 273, + 383, + 289, + 394 + ], + "score": 0.89, + "content": "L _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 380, + 506, + 398 + ], + "score": 1.0, + "content": "norm as the measurement. For adversarial example", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 393, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 104, + 393, + 343, + 408 + ], + "score": 1.0, + "content": "generation, the objective is to maximize the loss function", + "type": "text" + }, + { + "bbox": [ + 344, + 394, + 388, + 407 + ], + "score": 0.93, + "content": "J ( \\pmb { x } ^ { a d v } , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 393, + 486, + 408 + ], + "score": 1.0, + "content": "of the classifier, where", + "type": "text" + }, + { + "bbox": [ + 486, + 396, + 494, + 405 + ], + "score": 0.82, + "content": "J", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 393, + 506, + 408 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 406, + 457, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 457, + 419 + ], + "score": 1.0, + "content": "often the cross-entropy loss. So the constrained optimization problem can be written as", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22.5, + "bbox_fs": [ + 104, + 325, + 507, + 419 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 420, + 411, + 442 + ], + "lines": [ + { + "bbox": [ + 201, + 420, + 411, + 442 + ], + "spans": [ + { + "bbox": [ + 201, + 420, + 411, + 442 + ], + "score": 0.9, + "content": "\\underset { \\pmb { x } ^ { a d v } } { \\arg \\operatorname* { m a x } } J ( \\pmb { x } ^ { a d v } , y ) , \\quad \\mathrm { s . t . } \\ \\| \\pmb { x } ^ { a d v } - \\pmb { x } ^ { r e a l } \\| _ { \\infty } \\leq \\epsilon .", + "type": "interline_equation", + "image_path": "d16ce90131ca6733b50f45f78ce205e2b403122e13f9c8f65923d4b389cf7fa9.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 201, + 420, + 411, + 442 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 445, + 505, + 501 + ], + "lines": [ + { + "bbox": [ + 106, + 446, + 504, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 504, + 458 + ], + "score": 1.0, + "content": "To solve this optimization problem, the gradient of the loss function with respect to the input needs", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "score": 1.0, + "content": "to be calculated, termed as white-box attacks. However in some cases, we cannot get access to the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 467, + 506, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 506, + 481 + ], + "score": 1.0, + "content": "gradient of the classifier, where we need to perform attacks in the black-box manner. We resort to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "score": 1.0, + "content": "transferable adversarial examples which are generated for a different white-box classifier but have", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 489, + 274, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 274, + 502 + ], + "score": 1.0, + "content": "high transferability for black-box attacks.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 446, + 506, + 502 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 514, + 358, + 525 + ], + "lines": [ + { + "bbox": [ + 105, + 513, + 359, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 359, + 527 + ], + "score": 1.0, + "content": "3.1 GRADIENT-BASED ADVERSARIAL ATTACK METHODS", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 534, + 504, + 557 + ], + "lines": [ + { + "bbox": [ + 106, + 534, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 505, + 547 + ], + "score": 1.0, + "content": "Several methods have been proposed to solve the optimization problem in Eq. (1). We give a brief", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 546, + 251, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 251, + 558 + ], + "score": 1.0, + "content": "introduction of them in this section.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34.5, + "bbox_fs": [ + 106, + 534, + 505, + 558 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 562, + 504, + 585 + ], + "lines": [ + { + "bbox": [ + 106, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "Fast Gradient Sign Method (FGSM) (Goodfellow et al., 2015) generates an adversarial example", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 572, + 469, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 127, + 584 + ], + "score": 0.88, + "content": "\\pmb { x } ^ { a d v }", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 572, + 469, + 587 + ], + "score": 1.0, + "content": "by linearizing the loss function in the input space and performing one-step update as", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5, + "bbox_fs": [ + 106, + 562, + 505, + 587 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 222, + 588, + 389, + 603 + ], + "lines": [ + { + "bbox": [ + 222, + 588, + 389, + 603 + ], + "spans": [ + { + "bbox": [ + 222, + 588, + 389, + 603 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\pmb { x } ^ { a d v } = \\pmb { x } ^ { r e a l } + \\epsilon \\cdot \\mathrm { s i g n } ( \\nabla _ { \\pmb { x } } J ( \\pmb { x } ^ { r e a l } , y ) ) , } \\end{array}", + "type": "interline_equation", + "image_path": "9cc61b31bfee08d0bef56fe1a6ffb3554187921f14e035a368119591300bb985.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 222, + 588, + 389, + 603 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 606, + 506, + 640 + ], + "lines": [ + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 134, + 619 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 607, + 156, + 618 + ], + "score": 0.9, + "content": "\\nabla _ { x } J", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 606, + 366, + 619 + ], + "score": 1.0, + "content": "is the gradient of the loss function with respect to", + "type": "text" + }, + { + "bbox": [ + 366, + 609, + 374, + 617 + ], + "score": 0.68, + "content": "_ { \\textbf { \\em x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 606, + 380, + 619 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 381, + 606, + 410, + 619 + ], + "score": 0.76, + "content": "\\mathrm { s i g n } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "is the sign function to", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 232, + 630 + ], + "score": 1.0, + "content": "make the perturbation meet the", + "type": "text" + }, + { + "bbox": [ + 232, + 618, + 249, + 628 + ], + "score": 0.9, + "content": "L _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "norm bound. FGSM can generate more transferable adversarial", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 629, + 504, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 504, + 641 + ], + "score": 1.0, + "content": "examples but is usually not effective enough for attacking white-box models (Kurakin et al., 2017).", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40, + "bbox_fs": [ + 106, + 606, + 505, + 641 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 503, + 668 + ], + "lines": [ + { + "bbox": [ + 106, + 645, + 504, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 504, + 658 + ], + "score": 1.0, + "content": "Basic Iterative Method (BIM) (Kurakin et al., 2016) extends FGSM by iteratively applying gradi-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 656, + 421, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 302, + 669 + ], + "score": 1.0, + "content": "ent updates multiple times with a small step size", + "type": "text" + }, + { + "bbox": [ + 302, + 659, + 309, + 666 + ], + "score": 0.79, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 656, + 421, + 669 + ], + "score": 1.0, + "content": ", which can be expressed as", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 645, + 504, + 669 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 188, + 671, + 423, + 686 + ], + "lines": [ + { + "bbox": [ + 188, + 671, + 423, + 686 + ], + "spans": [ + { + "bbox": [ + 188, + 671, + 423, + 686 + ], + "score": 0.89, + "content": "\\begin{array} { r } { { \\pmb x } _ { 0 } ^ { a d v } = { \\pmb x } ^ { r e a l } , { \\pmb x } _ { t + 1 } ^ { a d v } = { \\pmb x } _ { t } ^ { a d v } + \\alpha \\cdot \\mathrm { s i g n } ( \\nabla _ { \\pmb x } J ( { \\pmb x } _ { t } ^ { a d v } , y ) ) . } \\end{array}", + "type": "interline_equation", + "image_path": "0b336a133ed1198e9f06a0a8260109c3987d3d2c92c8682e5f04e6938619959a.jpg" + } + ] + } + ], + "index": 44, + "virtual_lines": [ + { + "bbox": [ + 188, + 671, + 423, + 686 + ], + "spans": [], + "index": 44 + } + ] + }, + { + "type": "text", + "bbox": [ + 109, + 690, + 505, + 714 + ], + "lines": [ + { + "bbox": [ + 106, + 687, + 507, + 706 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 332, + 706 + ], + "score": 1.0, + "content": "To restrict the generated adversarial examples within the", + "type": "text" + }, + { + "bbox": [ + 333, + 694, + 338, + 701 + ], + "score": 0.76, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 687, + 368, + 706 + ], + "score": 1.0, + "content": "-ball of", + "type": "text" + }, + { + "bbox": [ + 368, + 691, + 390, + 702 + ], + "score": 0.89, + "content": "\\pmb { x } ^ { r e a l }", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 687, + 441, + 706 + ], + "score": 1.0, + "content": ", we can clip", + "type": "text" + }, + { + "bbox": [ + 442, + 690, + 462, + 703 + ], + "score": 0.92, + "content": "\\pmb { x } _ { t } ^ { a d v }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 687, + 507, + 706 + ], + "score": 1.0, + "content": "after each", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 107, + 701, + 506, + 715 + ], + "spans": [ + { + "bbox": [ + 107, + 701, + 161, + 715 + ], + "score": 1.0, + "content": "update or set", + "type": "text" + }, + { + "bbox": [ + 162, + 702, + 196, + 714 + ], + "score": 0.92, + "content": "\\alpha = \\epsilon / T", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 701, + 218, + 715 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 218, + 703, + 227, + 712 + ], + "score": 0.85, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 701, + 506, + 715 + ], + "score": 1.0, + "content": "being the number of iterations. 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This", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 226, + 500, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 500, + 239 + ], + "score": 1.0, + "content": "method can be combined with the momentum-based method to further improve the transferability.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 106, + 243, + 505, + 266 + ], + "lines": [ + { + "bbox": [ + 106, + 242, + 505, + 256 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 140, + 256 + ], + "score": 1.0, + "content": "Carlini", + "type": "text" + }, + { + "bbox": [ + 140, + 244, + 149, + 253 + ], + "score": 0.25, + "content": "\\pmb { \\& }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 242, + 505, + 256 + ], + "score": 1.0, + "content": "Wagner (2017)’s method is a powerful optimization-based method. 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This method aims to", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 310, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 310, + 505, + 321 + ], + "score": 1.0, + "content": "find adversarial examples with minimal size of perturbations, to measure the robustness of different", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 320, + 367, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 367, + 332 + ], + "score": 1.0, + "content": "models. It also lacks the efficacy for black-box attacks like BIM.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17 + }, + { + "type": "title", + "bbox": [ + 107, + 344, + 313, + 356 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 313, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 313, + 357 + ], + "score": 1.0, + "content": "3.2 ATTENTION-INVARIANT ATTACK METHOD", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 364, + 505, + 421 + ], + "lines": [ + { + "bbox": [ + 106, + 365, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 505, + 378 + ], + "score": 1.0, + "content": "Although many attack methods (Dong et al., 2018; Xie et al., 2018b) can generate adversarial exam-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 376, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 506, + 389 + ], + "score": 1.0, + "content": "ples with very high transferability across normally trained models, they are less effective to attack", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "score": 1.0, + "content": "defense models in the black-box manner. Some of the defenses (Tramer et al., 2018; Liao et al., `", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 398, + 504, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 504, + 410 + ], + "score": 1.0, + "content": "2018; Xie et al., 2018a; Guo et al., 2018) are shown to be quite robust against black-box attacks. So", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 409, + 487, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 487, + 421 + ], + "score": 1.0, + "content": "we want to answer that: Are these defenses really free from transferable adversarial examples?", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 425, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 106, + 426, + 504, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 504, + 438 + ], + "score": 1.0, + "content": "We identify the attention shift phenomenon which may inhibit the transferability of adversarial ex-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 437, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 449 + ], + "score": 1.0, + "content": "amples to the defenses. The attention shift refers to that the discriminative regions used by the de-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 447, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 505, + 461 + ], + "score": 1.0, + "content": "fenses to identify object categories are slightly different from those used by normally trained models,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "score": 1.0, + "content": "as shown in Fig. 1. The adversarial examples generated for one model can be hardly transferred to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "score": 1.0, + "content": "another model with attention shift since that the structure information in adversarial perturbations", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 481, + 421, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 421, + 493 + ], + "score": 1.0, + "content": "may be easily destroyed if the model focuses its attention on different regions.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 107, + 497, + 503, + 531 + ], + "lines": [ + { + "bbox": [ + 105, + 497, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 505, + 510 + ], + "score": 1.0, + "content": "To reduce the effect of attention shift, we propose an attention-invariant attack method. In partic-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "ular, rather than optimizing the objective function at a single point as Eq. 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We set", + "type": "text" + }, + { + "bbox": [ + 342, + 587, + 435, + 600 + ], + "score": 0.92, + "content": "i , j \\in \\{ - k , . . . , 0 , . . . , k \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 586, + 457, + 601 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 457, + 588, + 464, + 598 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 586, + 506, + 601 + ], + "score": 1.0, + "content": "being the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 598, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 505, + 611 + ], + "score": 1.0, + "content": "maximal number of pixels to shift. 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This method aims to", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 310, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 310, + 505, + 321 + ], + "score": 1.0, + "content": "find adversarial examples with minimal size of perturbations, to measure the robustness of different", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 320, + 367, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 367, + 332 + ], + "score": 1.0, + "content": "models. It also lacks the efficacy for black-box attacks like BIM.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 297, + 505, + 332 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 344, + 313, + 356 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 313, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 313, + 357 + ], + "score": 1.0, + "content": "3.2 ATTENTION-INVARIANT ATTACK METHOD", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 364, + 505, + 421 + ], + "lines": [ + { + "bbox": [ + 106, + 365, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 505, + 378 + ], + "score": 1.0, + "content": "Although many attack methods (Dong et al., 2018; Xie et al., 2018b) can generate adversarial exam-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 376, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 506, + 389 + ], + "score": 1.0, + "content": "ples with very high transferability across normally trained models, they are less effective to attack", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "score": 1.0, + "content": "defense models in the black-box manner. Some of the defenses (Tramer et al., 2018; Liao et al., `", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 398, + 504, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 504, + 410 + ], + "score": 1.0, + "content": "2018; Xie et al., 2018a; Guo et al., 2018) are shown to be quite robust against black-box attacks. So", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 409, + 487, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 487, + 421 + ], + "score": 1.0, + "content": "we want to answer that: Are these defenses really free from transferable adversarial examples?", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 365, + 506, + 421 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 425, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 106, + 426, + 504, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 504, + 438 + ], + "score": 1.0, + "content": "We identify the attention shift phenomenon which may inhibit the transferability of adversarial ex-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 437, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 449 + ], + "score": 1.0, + "content": "amples to the defenses. The attention shift refers to that the discriminative regions used by the de-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 447, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 505, + 461 + ], + "score": 1.0, + "content": "fenses to identify object categories are slightly different from those used by normally trained models,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "score": 1.0, + "content": "as shown in Fig. 1. The adversarial examples generated for one model can be hardly transferred to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "score": 1.0, + "content": "another model with attention shift since that the structure information in adversarial perturbations", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 481, + 421, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 421, + 493 + ], + "score": 1.0, + "content": "may be easily destroyed if the model focuses its attention on different regions.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 426, + 505, + 493 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 497, + 503, + 531 + ], + "lines": [ + { + "bbox": [ + 105, + 497, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 505, + 510 + ], + "score": 1.0, + "content": "To reduce the effect of attention shift, we propose an attention-invariant attack method. In partic-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "ular, rather than optimizing the objective function at a single point as Eq. (1), the proposed method", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 519, + 371, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 371, + 533 + ], + "score": 1.0, + "content": "uses a set of shifted images to optimize an adversarial example as", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 497, + 505, + 533 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 176, + 533, + 436, + 561 + ], + "lines": [ + { + "bbox": [ + 176, + 533, + 436, + 561 + ], + "spans": [ + { + "bbox": [ + 176, + 533, + 436, + 561 + ], + "score": 0.92, + "content": "\\arg \\operatorname* { m a x } _ { \\pmb { x } ^ { a d v } } \\sum _ { i , j } w _ { i j } J ( T _ { i j } ( \\pmb { x } ^ { a d v } ) , y ) , \\mathrm { s . t . } \\| \\pmb { x } ^ { a d v } - \\pmb { x } ^ { r e a l } \\| _ { \\infty } \\leq \\epsilon ,", + "type": "interline_equation", + "image_path": "fbc81faac88b4ee9e6d3995cecb45b4753763d733bb26d221adaf9cf9bee8264.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 176, + 533, + 436, + 542.3333333333334 + ], + "spans": [], + "index": 34 + }, + { + "bbox": [ + 176, + 542.3333333333334, + 436, + 551.6666666666667 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 176, + 551.6666666666667, + 436, + 561.0000000000001 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 563, + 505, + 665 + ], + "lines": [ + { + "bbox": [ + 106, + 564, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 134, + 577 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 564, + 163, + 577 + ], + "score": 0.93, + "content": "T _ { i j } ( { \\pmb x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 564, + 358, + 577 + ], + "score": 1.0, + "content": "is a transformation operation that shifts image", + "type": "text" + }, + { + "bbox": [ + 358, + 566, + 366, + 574 + ], + "score": 0.74, + "content": "_ { \\textbf { \\em x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 564, + 382, + 577 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 382, + 565, + 387, + 574 + ], + "score": 0.76, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 564, + 407, + 577 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 407, + 565, + 414, + 576 + ], + "score": 0.81, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 564, + 505, + 577 + ], + "score": 1.0, + "content": "pixels along the two-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 572, + 507, + 591 + ], + "spans": [ + { + "bbox": [ + 104, + 572, + 271, + 591 + ], + "score": 1.0, + "content": "dimensions respectively, i.e., each pixel", + "type": "text" + }, + { + "bbox": [ + 271, + 575, + 293, + 587 + ], + "score": 0.92, + "content": "( a , b )", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 572, + 411, + 591 + ], + "score": 1.0, + "content": "of the transformed image is", + "type": "text" + }, + { + "bbox": [ + 411, + 576, + 501, + 588 + ], + "score": 0.91, + "content": "T _ { i j } ( { \\pmb x } ) _ { a , b } = x _ { a - i , b - j }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 572, + 507, + 591 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 586, + 506, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 123, + 601 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 588, + 139, + 600 + ], + "score": 0.89, + "content": "w _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 586, + 241, + 601 + ], + "score": 1.0, + "content": "is the weight for the loss", + "type": "text" + }, + { + "bbox": [ + 241, + 587, + 306, + 600 + ], + "score": 0.9, + "content": "J ( T _ { i j } ( \\pmb { x } ^ { a d v } ) , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 586, + 341, + 601 + ], + "score": 1.0, + "content": ". We set", + "type": "text" + }, + { + "bbox": [ + 342, + 587, + 435, + 600 + ], + "score": 0.92, + "content": "i , j \\in \\{ - k , . . . , 0 , . . . , k \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 586, + 457, + 601 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 457, + 588, + 464, + 598 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 586, + 506, + 601 + ], + "score": 1.0, + "content": "being the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 598, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 505, + 611 + ], + "score": 1.0, + "content": "maximal number of pixels to shift. With this method, the generated adversarial perturbations are", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 609, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 505, + 622 + ], + "score": 1.0, + "content": "less sensitive to the attentive regions of the white-box model, which may be transferred to another", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 432, + 633 + ], + "score": 1.0, + "content": "model with a higher success rate. However, we need to calculate the gradients for", + "type": "text" + }, + { + "bbox": [ + 432, + 620, + 470, + 632 + ], + "score": 0.93, + "content": "( 2 k + 1 ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 619, + 506, + 633 + ], + "score": 1.0, + "content": "images,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 631, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 506, + 644 + ], + "score": 1.0, + "content": "which introduces much more computations. Sampling a small number of shifted images for gradient", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 642, + 504, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 504, + 655 + ], + "score": 1.0, + "content": "calculation is a feasible way (Athalye et al., 2018b). But we show that we can perform attacks by", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 653, + 383, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 653, + 383, + 666 + ], + "score": 1.0, + "content": "calculating the gradient for only one image under a mild assumption.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41, + "bbox_fs": [ + 104, + 564, + 507, + 666 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 670, + 505, + 715 + ], + "lines": [ + { + "bbox": [ + 105, + 669, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 505, + 683 + ], + "score": 1.0, + "content": "Convolutional neural networks are known to have the shift-invariant property (LeCun & Bengio,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 681, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 681, + 505, + 694 + ], + "score": 1.0, + "content": "1995), that an object in the input can be recognized in spite of its position. Pooling layers contribute", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 692, + 505, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 692, + 505, + 705 + ], + "score": 1.0, + "content": "resilience to slight transformation of the input. 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In this paper,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 200, + 312 + ], + "score": 1.0, + "content": "we generate the kernel", + "type": "text" + }, + { + "bbox": [ + 200, + 300, + 214, + 310 + ], + "score": 0.58, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "from a two-dimensional Gaussian function because: 1) the images with", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 310, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 505, + 323 + ], + "score": 1.0, + "content": "bigger shifts have relatively lower weights to make the adversarial perturbation fool the model at the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 321, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 505, + 335 + ], + "score": 1.0, + "content": "unshifted image effectively; 2) by using a Gaussian function, this procedure is known as Gaussian", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 331, + 298, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 298, + 347 + ], + "score": 1.0, + "content": "blur, which is widely used in image processing.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 349, + 505, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 348, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 362 + ], + "score": 1.0, + "content": "Note that we only illustrate how to calculate the gradient of the loss function defined in Eq. (6),", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "score": 1.0, + "content": "but do not specify the update algorithm for generating adversarial examples. This indicates that our", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "method can be integrated into any gradient-based attack methods including FGSM, BIM, MI-FGSM,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 101, + 380, + 501, + 417 + ], + "spans": [ + { + "bbox": [ + 101, + 380, + 329, + 417 + ], + "score": 1.0, + "content": "etc. Specifically, in each step we calculate the gradient then convolve the gradient with the pre-defined kernel", + "type": "text" + }, + { + "bbox": [ + 329, + 382, + 388, + 394 + ], + "score": 0.93, + "content": "\\nabla _ { \\pmb { x } } J ( \\pmb { x } _ { t } ^ { a d v } , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 380, + 480, + 417 + ], + "score": 1.0, + "content": "at the current solution y get the new solution", + "type": "text" + }, + { + "bbox": [ + 480, + 382, + 501, + 394 + ], + "score": 0.89, + "content": "\\pmb { x } _ { t } ^ { a d v }", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 331, + 394, + 504, + 406 + ], + "spans": [ + { + "bbox": [ + 331, + 394, + 345, + 404 + ], + "score": 0.66, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 394, + 504, + 406 + ], + "score": 0.89, + "content": "\\pmb { x } _ { t + 1 } ^ { a d v }", + "type": "inline_equation" + } + ], + "index": 18 + } + ], + "index": 16 + }, + { + "type": "title", + "bbox": [ + 108, + 431, + 200, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 201, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 201, + 446 + ], + "score": 1.0, + "content": "4 EXPERIMENTS", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 456, + 504, + 478 + ], + "lines": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "In this section, we present the experimental results to demonstrate the effectiveness of the proposed", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 467, + 456, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 456, + 479 + ], + "score": 1.0, + "content": "method on improving the transferability of adversarial examples to the defense models.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 108, + 491, + 244, + 502 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 245, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 245, + 504 + ], + "score": 1.0, + "content": "4.1 EXPERIMENTAL SETTINGS", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 108, + 511, + 505, + 545 + ], + "lines": [ + { + "bbox": [ + 106, + 511, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 505, + 525 + ], + "score": 1.0, + "content": "We use an ImageNet-compatible dataset2 comprised of 1000 images to conduct experiments. This", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "score": 1.0, + "content": "dataset was used in the NIPS 2017 adversarial competition. We include eight defense models which", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 534, + 445, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 445, + 547 + ], + "score": 1.0, + "content": "are shown to be robust agsinst black-box attacks on the ImageNet dataset. These are", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 132, + 550, + 505, + 641 + ], + "lines": [ + { + "bbox": [ + 132, + 550, + 372, + 563 + ], + "spans": [ + { + "bbox": [ + 132, + 550, + 158, + 563 + ], + "score": 1.0, + "content": "• Inc-", + "type": "text" + }, + { + "bbox": [ + 159, + 551, + 182, + 562 + ], + "score": 0.51, + "content": "\\mathbf { \\Delta } \\cdot \\mathbf { v } 3 _ { \\mathrm { e n s 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 550, + 203, + 563 + ], + "score": 1.0, + "content": ", Inc-", + "type": "text" + }, + { + "bbox": [ + 203, + 551, + 227, + 562 + ], + "score": 0.63, + "content": "\\mathbf { \\nabla \\cdot v } 3 _ { \\mathrm { e n s 4 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 550, + 262, + 563 + ], + "score": 1.0, + "content": ", IncRes-", + "type": "text" + }, + { + "bbox": [ + 262, + 551, + 283, + 562 + ], + "score": 0.58, + "content": "\\cdot \\mathrm { v } 2 _ { \\mathrm { e n s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 550, + 372, + 563 + ], + "score": 1.0, + "content": "(Tramer et al., 2018); 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In this paper,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 200, + 312 + ], + "score": 1.0, + "content": "we generate the kernel", + "type": "text" + }, + { + "bbox": [ + 200, + 300, + 214, + 310 + ], + "score": 0.58, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "from a two-dimensional Gaussian function because: 1) the images with", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 310, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 505, + 323 + ], + "score": 1.0, + "content": "bigger shifts have relatively lower weights to make the adversarial perturbation fool the model at the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 321, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 505, + 335 + ], + "score": 1.0, + "content": "unshifted image effectively; 2) by using a Gaussian function, this procedure is known as Gaussian", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 331, + 298, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 298, + 347 + ], + "score": 1.0, + "content": "blur, which is widely used in image processing.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 287, + 506, + 347 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 349, + 505, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 348, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 362 + ], + "score": 1.0, + "content": "Note that we only illustrate how to calculate the gradient of the loss function defined in Eq. (6),", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "score": 1.0, + "content": "but do not specify the update algorithm for generating adversarial examples. This indicates that our", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "method can be integrated into any gradient-based attack methods including FGSM, BIM, MI-FGSM,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 101, + 380, + 501, + 417 + ], + "spans": [ + { + "bbox": [ + 101, + 380, + 329, + 417 + ], + "score": 1.0, + "content": "etc. Specifically, in each step we calculate the gradient then convolve the gradient with the pre-defined kernel", + "type": "text" + }, + { + "bbox": [ + 329, + 382, + 388, + 394 + ], + "score": 0.93, + "content": "\\nabla _ { \\pmb { x } } J ( \\pmb { x } _ { t } ^ { a d v } , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 380, + 480, + 417 + ], + "score": 1.0, + "content": "at the current solution y get the new solution", + "type": "text" + }, + { + "bbox": [ + 480, + 382, + 501, + 394 + ], + "score": 0.89, + "content": "\\pmb { x } _ { t } ^ { a d v }", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 331, + 394, + 504, + 406 + ], + "spans": [ + { + "bbox": [ + 331, + 394, + 345, + 404 + ], + "score": 0.66, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 394, + 504, + 406 + ], + "score": 0.89, + "content": "\\pmb { x } _ { t + 1 } ^ { a d v }", + "type": "inline_equation" + } + ], + "index": 18 + } + ], + "index": 16, + "bbox_fs": [ + 101, + 348, + 506, + 417 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 431, + 200, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 201, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 201, + 446 + ], + "score": 1.0, + "content": "4 EXPERIMENTS", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 456, + 504, + 478 + ], + "lines": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "In this section, we present the experimental results to demonstrate the effectiveness of the proposed", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 467, + 456, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 456, + 479 + ], + "score": 1.0, + "content": "method on improving the transferability of adversarial examples to the defense models.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 456, + 505, + 479 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 491, + 244, + 502 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 245, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 245, + 504 + ], + "score": 1.0, + "content": "4.1 EXPERIMENTAL SETTINGS", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 108, + 511, + 505, + 545 + ], + "lines": [ + { + "bbox": [ + 106, + 511, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 505, + 525 + ], + "score": 1.0, + "content": "We use an ImageNet-compatible dataset2 comprised of 1000 images to conduct experiments. This", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "score": 1.0, + "content": "dataset was used in the NIPS 2017 adversarial competition. We include eight defense models which", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 534, + 445, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 445, + 547 + ], + "score": 1.0, + "content": "are shown to be robust agsinst black-box attacks on the ImageNet dataset. 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AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
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A-FGSM28.228.922.318.419.825.530.724.5
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A-FGSM28.228.321.418.121.627.931.824.6
IncRes-v2FGSM18.017.210.23.99.924.723.413.3
A-FGSM32.833.628.125.428.132.438.531.4
Res-v2-152FGSM20.217.79.93.68.624.022.012.5
A-FGSM34.634.527.824.427.432.738.130.1
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AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3FGSM15.614.77.02.16.519.918.89.8
A-FGSM28.228.922.318.419.825.530.724.5
Inc-v4FGSM16.216.19.02.67.921.819.911.5
A-FGSM28.228.321.418.121.627.931.824.6
IncRes-v2FGSM18.017.210.23.99.924.723.413.3
A-FGSM32.833.628.125.428.132.438.531.4
Res-v2-152FGSM20.217.79.93.68.624.022.012.5
A-FGSM34.634.527.824.427.432.738.130.1
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Please note", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "that the settings for each attack method and its attention-invariant version are the same, because our", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 503, + 344, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 344, + 515 + ], + "score": 1.0, + "content": "method is not concerned with the specific attack precedure.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 448, + 506, + 515 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 529, + 243, + 540 + ], + "lines": [ + { + "bbox": [ + 106, + 528, + 244, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 244, + 542 + ], + "score": 1.0, + "content": "4.2 SINGLE-MODEL ATTACKS", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 550, + 505, + 638 + ], + "lines": [ + { + "bbox": [ + 105, + 548, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 505, + 564 + ], + "score": 1.0, + "content": "We first perform adversarial attacks for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "score": 1.0, + "content": "FGSM, MI-FGSM, DIM and their extensions by combining with the proposed attention-invariant", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 572, + 504, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 504, + 584 + ], + "score": 1.0, + "content": "attack method as A-FGSM, A-MI-FGSM and A-DIM. We then use the generated adversarial exam-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 583, + 504, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 504, + 595 + ], + "score": 1.0, + "content": "ples to attack the eight defense models we consider based only on the transferability. We report the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "success rates of black-box attacks in Table 1, Table 2 and Table 3, where the success rates are the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "misclassification rates of the corresponding defense models with adversarial images as inputs. In", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 616, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 402, + 627 + ], + "score": 1.0, + "content": "the attention-invariant based attacks, we set the size of the kernel matrix", + "type": "text" + }, + { + "bbox": [ + 402, + 616, + 416, + 626 + ], + "score": 0.29, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 616, + 429, + 627 + ], + "score": 1.0, + "content": "as", + "type": "text" + }, + { + "bbox": [ + 429, + 616, + 463, + 627 + ], + "score": 0.91, + "content": "1 5 \\times 1 5", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 616, + 505, + 627 + ], + "score": 1.0, + "content": "across all", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 627, + 389, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 389, + 639 + ], + "score": 1.0, + "content": "experiments, and we will study the effect of kernel size in Section 4.4.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 548, + 506, + 639 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 644, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "From the tables, we observe that the success rates against the defenses are improved by a large mar-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "gin when using the proposed method regardless of the attack algorithms or the white-box models", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "being attacked. In general, the attention-invariant based attacks consistently outperform the baseline", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 149, + 689 + ], + "score": 1.0, + "content": "attacks by", + "type": "text" + }, + { + "bbox": [ + 149, + 676, + 196, + 688 + ], + "score": 0.91, + "content": "5 \\% \\sim 3 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 677, + 505, + 689 + ], + "score": 1.0, + "content": ". In particular, when using A-DIM, the combination of our method and DIM,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 428, + 700 + ], + "score": 1.0, + "content": "to attack the IncRes-v2 model, the resultant adversarial examples have about", + "type": "text" + }, + { + "bbox": [ + 428, + 687, + 448, + 699 + ], + "score": 0.88, + "content": "6 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "success rates", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "score": 1.0, + "content": "against the defenses (as shown in Table 3). It demonstrates the vulnerability of the current defenses", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "against black-box attacks. The results also validate the effectiveness of the proposed method. Al-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "though we only compare the results of our attack method with baseline methods against the defense", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 360, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 373 + ], + "score": 1.0, + "content": "models, our attacks remain the success rates of baseline attacks in the white-box setting and the", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 371, + 465, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 465, + 384 + ], + "score": 1.0, + "content": "black-box setting against normally trained models, which will be shown in the Appendix.", + "type": "text", + "cross_page": true + } + ], + "index": 12 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 643, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 129, + 506, + 208 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 80, + 505, + 113 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 79, + 505, + 93 + ], + "spans": [ + { + "bbox": [ + 105, + 79, + 212, + 93 + ], + "score": 1.0, + "content": "Table 2: The success rates", + "type": "text" + }, + { + "bbox": [ + 212, + 81, + 227, + 91 + ], + "score": 0.69, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 79, + 505, + 93 + ], + "score": 1.0, + "content": "of black-box attacks against eight defenses. The adversarial examples", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 91, + 505, + 103 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 505, + 103 + ], + "score": 1.0, + "content": "are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using MI-FGSM and A-MI-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 101, + 140, + 114 + ], + "spans": [ + { + "bbox": [ + 105, + 101, + 140, + 114 + ], + "score": 1.0, + "content": "FGSM.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 106, + 129, + 506, + 208 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 129, + 506, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 129, + 506, + 208 + ], + "score": 0.982, + "html": "
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3MI-FGSM20.517.49.56.98.720.319.412.9
A-MI-FGSM35.835.125.825.723.928.234.926.7
Inc-v4MI-FGSM22.120.112.19.612.126.024.815.6
A-MI-FGSM36.739.228.727.828.031.638.429.5
IncRes-v2MI-FGSM31.327.219.719.618.631.634.422.7
A-MI-FGSM50.751.749.345.145.245.955.446.2
Res-v2-152MI-FGSM25.123.713.315.114.631.224.518.0
A-MI-FGSM39.937.732.831.831.138.341.234.4
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AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3DIMA-DIM24.246.924.347.113.037.49.738.313.336.830.737.024.444.218.041.4
Inc-v4DIMA-DIM28.348.627.547.515.638.714.640.317.239.338.643.529.145.614.141.9
IncRes-v2DIMA-DIM41.261.340.060.127.959.532.458.730.261.447.255.741.766.237.661.5
Res-v2-152DIMA-DIM40.556.136.055.524.149.532.651.826.450.442.450.836.855.734.452.9
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It can be seen that by using A-FGSM, in which the gradients are convolved by a kernel", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 107, + 410, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 107, + 411, + 120, + 421 + ], + "score": 0.53, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 121, + 410, + 506, + 424 + ], + "score": 1.0, + "content": "before applying to the raw images, the adversarial perturbations are much smoother than those", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 421, + 477, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 477, + 433 + ], + "score": 1.0, + "content": "generated by FGSM. The smooth effect also exists in other attention-invariant based attacks.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 108, + 448, + 253, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 447, + 254, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 254, + 460 + ], + "score": 1.0, + "content": "4.3 ENSEMBLE-BASED ATTACKS", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 469, + 505, + 513 + ], + "lines": [ + { + "bbox": [ + 105, + 469, + 505, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 481 + ], + "score": 1.0, + "content": "In this section, we further present the results when adversarial examples are generated for an en-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 481, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 505, + 491 + ], + "score": 1.0, + "content": "semble of models. Liu et al. (2017) have shown that attacking multiple models at the same time", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 491, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 505, + 503 + ], + "score": 1.0, + "content": "can improve the transferability of the generated adversarial examples. It is due to that if an example", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 502, + 493, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 493, + 513 + ], + "score": 1.0, + "content": "remains adversarial for multiple models, it is more likely to transfer to another black-box model.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 518, + 504, + 563 + ], + "lines": [ + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "score": 1.0, + "content": "We adopt the ensemble method proposed by Dong et al. (2018), which fuses the logit activations of", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 531, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 541 + ], + "score": 1.0, + "content": "different models. We attack the ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 with equal", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "ensemble weights using FGSM, A-FGSM, MI-FGSM, A-FGSM, DIM and A-DIM respectively. We", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 552, + 402, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 365, + 563 + ], + "score": 1.0, + "content": "also set the kernel size in the attention-invariant based attacks as", + "type": "text" + }, + { + "bbox": [ + 365, + 552, + 398, + 562 + ], + "score": 0.9, + "content": "1 5 \\times 1 5", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 552, + 402, + 563 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 568, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 106, + 569, + 505, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 505, + 580 + ], + "score": 1.0, + "content": "In Table 4, we show the results of black-box attacks against the eight defenses. The proposed method", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 580, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 591 + ], + "score": 1.0, + "content": "also improves the success rates across all experiments over the baseline attacks. It should by noted", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 590, + 504, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 484, + 603 + ], + "score": 1.0, + "content": "that the adversarial examples generated by A-DIM can fool the state-of-the-art defenses at an", + "type": "text" + }, + { + "bbox": [ + 484, + 590, + 504, + 601 + ], + "score": 0.88, + "content": "8 2 \\%", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 602, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 613 + ], + "score": 1.0, + "content": "success rate on average based on the transferability. And the adversarial examples are generated for", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "score": 1.0, + "content": "normally trained models unaware of the defense strategies. The results in the paper demonstrate that", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 622, + 495, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 495, + 636 + ], + "score": 1.0, + "content": "the current defenses are far from real security, and cannot be deployed in real-world applications.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 108, + 649, + 259, + 661 + ], + "lines": [ + { + "bbox": [ + 105, + 649, + 261, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 261, + 662 + ], + "score": 1.0, + "content": "4.4 THE EFFECT OF KERNEL SIZE", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 108, + 671, + 504, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 669, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 194, + 683 + ], + "score": 1.0, + "content": "The size of the kernel", + "type": "text" + }, + { + "bbox": [ + 194, + 671, + 207, + 681 + ], + "score": 0.4, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 669, + 506, + 683 + ], + "score": 1.0, + "content": "plays a key role for improving the success rates of black-box attacks. If the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 190, + 694 + ], + "score": 1.0, + "content": "kernel size equals to", + "type": "text" + }, + { + "bbox": [ + 190, + 682, + 212, + 692 + ], + "score": 0.9, + "content": "1 \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 681, + 506, + 694 + ], + "score": 1.0, + "content": ", the attention-invariant based attacks degenerate to their vanilla versions.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 692, + 455, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 692, + 455, + 705 + ], + "score": 1.0, + "content": "Therefore, we conduct an ablation study to examine the effect of different kernel sizes.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 707, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 707, + 505, + 723 + ], + "score": 1.0, + "content": "We attack the Inc-v3 model by A-FGSM, A-MI-FGSM and A-DIM with the kernel length ranging", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 721, + 497, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 497, + 732 + ], + "score": 1.0, + "content": "from 1 to 21 with a granularity 2. In Fig. 3, we show the success rates against five defense models—", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 303, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 12, + "width": 7 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 129, + 506, + 208 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 80, + 505, + 113 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 79, + 505, + 93 + ], + "spans": [ + { + "bbox": [ + 105, + 79, + 212, + 93 + ], + "score": 1.0, + "content": "Table 2: The success rates", + "type": "text" + }, + { + "bbox": [ + 212, + 81, + 227, + 91 + ], + "score": 0.69, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 79, + 505, + 93 + ], + "score": 1.0, + "content": "of black-box attacks against eight defenses. The adversarial examples", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 91, + 505, + 103 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 505, + 103 + ], + "score": 1.0, + "content": "are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using MI-FGSM and A-MI-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 101, + 140, + 114 + ], + "spans": [ + { + "bbox": [ + 105, + 101, + 140, + 114 + ], + "score": 1.0, + "content": "FGSM.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 106, + 129, + 506, + 208 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 129, + 506, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 129, + 506, + 208 + ], + "score": 0.982, + "html": "
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3MI-FGSM20.517.49.56.98.720.319.412.9
A-MI-FGSM35.835.125.825.723.928.234.926.7
Inc-v4MI-FGSM22.120.112.19.612.126.024.815.6
A-MI-FGSM36.739.228.727.828.031.638.429.5
IncRes-v2MI-FGSM31.327.219.719.618.631.634.422.7
A-MI-FGSM50.751.749.345.145.245.955.446.2
Res-v2-152MI-FGSM25.123.713.315.114.631.224.518.0
A-MI-FGSM39.937.732.831.831.138.341.234.4
", + "type": "table", + "image_path": "570dc42f0612cc21d50ad6165a6107e1ab0450c0b226d691c03a8e3860e07d96.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 106, + 129, + 506, + 155.33333333333334 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 106, + 155.33333333333334, + 506, + 181.66666666666669 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 106, + 181.66666666666669, + 506, + 208.00000000000003 + ], + "spans": [], + "index": 5 + } + ] + } + ], + "index": 2.5 + }, + { + "type": "table", + "bbox": [ + 106, + 261, + 505, + 340 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 223, + 502, + 246 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 222, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 222, + 212, + 236 + ], + "score": 1.0, + "content": "Table 3: The success rates", + "type": "text" + }, + { + "bbox": [ + 213, + 224, + 227, + 234 + ], + "score": 0.67, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 222, + 505, + 236 + ], + "score": 1.0, + "content": "of black-box attacks against eight defenses. The adversarial examples", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 234, + 484, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 484, + 248 + ], + "score": 1.0, + "content": "are crafted for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using DIM and A-DIM.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 261, + 505, + 340 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 261, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 505, + 340 + ], + "score": 0.982, + "html": "
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
Inc-v3DIMA-DIM24.246.924.347.113.037.49.738.313.336.830.737.024.444.218.041.4
Inc-v4DIMA-DIM28.348.627.547.515.638.714.640.317.239.338.643.529.145.614.141.9
IncRes-v2DIMA-DIM41.261.340.060.127.959.532.458.730.261.447.255.741.766.237.661.5
Res-v2-152DIMA-DIM40.556.136.055.524.149.532.651.826.450.442.450.836.855.734.452.9
", + "type": "table", + "image_path": "1f3d4acf53770ed92f68de11f1823765f1d12a2ccd56bfe170b352457875ca7c.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 106, + 261, + 505, + 287.3333333333333 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 106, + 287.3333333333333, + 505, + 313.66666666666663 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 106, + 313.66666666666663, + 505, + 339.99999999999994 + ], + "spans": [], + "index": 10 + } + ] + } + ], + "index": 7.75 + }, + { + "type": "text", + "bbox": [ + 106, + 361, + 504, + 383 + ], + "lines": [], + "index": 11.5, + "bbox_fs": [ + 106, + 360, + 505, + 384 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 388, + 505, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 388, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 505, + 401 + ], + "score": 1.0, + "content": "We show several adversarial images generated for the Inc-v3 model by FGSM and A-FGSM in", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "score": 1.0, + "content": "Fig. 2. It can be seen that by using A-FGSM, in which the gradients are convolved by a kernel", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 107, + 410, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 107, + 411, + 120, + 421 + ], + "score": 0.53, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 121, + 410, + 506, + 424 + ], + "score": 1.0, + "content": "before applying to the raw images, the adversarial perturbations are much smoother than those", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 421, + 477, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 477, + 433 + ], + "score": 1.0, + "content": "generated by FGSM. The smooth effect also exists in other attention-invariant based attacks.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 388, + 506, + 433 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 448, + 253, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 447, + 254, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 254, + 460 + ], + "score": 1.0, + "content": "4.3 ENSEMBLE-BASED ATTACKS", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 469, + 505, + 513 + ], + "lines": [ + { + "bbox": [ + 105, + 469, + 505, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 481 + ], + "score": 1.0, + "content": "In this section, we further present the results when adversarial examples are generated for an en-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 481, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 505, + 491 + ], + "score": 1.0, + "content": "semble of models. Liu et al. (2017) have shown that attacking multiple models at the same time", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 491, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 505, + 503 + ], + "score": 1.0, + "content": "can improve the transferability of the generated adversarial examples. It is due to that if an example", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 502, + 493, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 493, + 513 + ], + "score": 1.0, + "content": "remains adversarial for multiple models, it is more likely to transfer to another black-box model.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 469, + 505, + 513 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 518, + 504, + 563 + ], + "lines": [ + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "score": 1.0, + "content": "We adopt the ensemble method proposed by Dong et al. (2018), which fuses the logit activations of", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 531, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 541 + ], + "score": 1.0, + "content": "different models. We attack the ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 with equal", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "ensemble weights using FGSM, A-FGSM, MI-FGSM, A-FGSM, DIM and A-DIM respectively. We", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 552, + 402, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 365, + 563 + ], + "score": 1.0, + "content": "also set the kernel size in the attention-invariant based attacks as", + "type": "text" + }, + { + "bbox": [ + 365, + 552, + 398, + 562 + ], + "score": 0.9, + "content": "1 5 \\times 1 5", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 552, + 402, + 563 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5, + "bbox_fs": [ + 106, + 519, + 506, + 563 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 568, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 106, + 569, + 505, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 505, + 580 + ], + "score": 1.0, + "content": "In Table 4, we show the results of black-box attacks against the eight defenses. The proposed method", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 580, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 591 + ], + "score": 1.0, + "content": "also improves the success rates across all experiments over the baseline attacks. It should by noted", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 590, + 504, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 484, + 603 + ], + "score": 1.0, + "content": "that the adversarial examples generated by A-DIM can fool the state-of-the-art defenses at an", + "type": "text" + }, + { + "bbox": [ + 484, + 590, + 504, + 601 + ], + "score": 0.88, + "content": "8 2 \\%", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 602, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 613 + ], + "score": 1.0, + "content": "success rate on average based on the transferability. And the adversarial examples are generated for", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "score": 1.0, + "content": "normally trained models unaware of the defense strategies. The results in the paper demonstrate that", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 622, + 495, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 495, + 636 + ], + "score": 1.0, + "content": "the current defenses are far from real security, and cannot be deployed in real-world applications.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 569, + 505, + 636 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 649, + 259, + 661 + ], + "lines": [ + { + "bbox": [ + 105, + 649, + 261, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 261, + 662 + ], + "score": 1.0, + "content": "4.4 THE EFFECT OF KERNEL SIZE", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 108, + 671, + 504, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 669, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 194, + 683 + ], + "score": 1.0, + "content": "The size of the kernel", + "type": "text" + }, + { + "bbox": [ + 194, + 671, + 207, + 681 + ], + "score": 0.4, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 669, + 506, + 683 + ], + "score": 1.0, + "content": "plays a key role for improving the success rates of black-box attacks. If the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 190, + 694 + ], + "score": 1.0, + "content": "kernel size equals to", + "type": "text" + }, + { + "bbox": [ + 190, + 682, + 212, + 692 + ], + "score": 0.9, + "content": "1 \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 681, + 506, + 694 + ], + "score": 1.0, + "content": ", the attention-invariant based attacks degenerate to their vanilla versions.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 692, + 455, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 692, + 455, + 705 + ], + "score": 1.0, + "content": "Therefore, we conduct an ablation study to examine the effect of different kernel sizes.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 669, + 506, + 705 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 707, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 707, + 505, + 723 + ], + "score": 1.0, + "content": "We attack the Inc-v3 model by A-FGSM, A-MI-FGSM and A-DIM with the kernel length ranging", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 721, + 497, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 497, + 732 + ], + "score": 1.0, + "content": "from 1 to 21 with a granularity 2. In Fig. 3, we show the success rates against five defense models—", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 707, + 505, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 120, + 128, + 491, + 190 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 80, + 505, + 113 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 80, + 505, + 92 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 211, + 92 + ], + "score": 1.0, + "content": "Table 4: The success rates", + "type": "text" + }, + { + "bbox": [ + 212, + 81, + 227, + 91 + ], + "score": 0.73, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 80, + 505, + 92 + ], + "score": 1.0, + "content": "of black-box attacks against eight defenses. The adversarial examples", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 91, + 505, + 103 + ], + "spans": [ + { + "bbox": [ + 106, + 91, + 505, + 103 + ], + "score": 1.0, + "content": "are crafted for the ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 using FGSM, A-FGSM,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 102, + 286, + 113 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 286, + 113 + ], + "score": 1.0, + "content": "MI-FGSM, A-MI-FGSM, DIM and A-DIM.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 120, + 128, + 491, + 190 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 120, + 128, + 491, + 190 + ], + "spans": [ + { + "bbox": [ + 120, + 128, + 491, + 190 + ], + "score": 0.963, + "html": "
AttackInc-v3ens3Inc-v3ens4IncRes-v2ensHGDR&PJPEGTVMNIPS-r3
FGSM27.523.713.44.913.838.130.019.8
A-FGSM39.138.831.629.931.243.339.833.9
MI-FGSM50.548.332.838.632.867.750.143.9
A-MI-FGSM76.474.469.673.368.377.272.171.4
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A-DIM84.882.778.082.681.483.479.883.1
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In CVPR, 2016.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 450, + 505, + 474 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 161, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 163, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 163, + 96 + ], + "score": 1.0, + "content": "APPENDIX", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 105, + 505, + 205 + ], + "lines": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "We further show the results of the proposed attention-invariant attack method for white-box attacks", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "and black-box attacks against normally trained models. We adopt the same settings for attacks.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 127, + 504, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 504, + 140 + ], + "score": 1.0, + "content": "We also generate adversarial examples for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 138, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 506, + 151 + ], + "score": 1.0, + "content": "using FGSM, A-FGSM, MI-FGSM, A-MI-FGSM, DIM and A-DIM. For the attention-invariant", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 150, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 106, + 150, + 268, + 162 + ], + "score": 1.0, + "content": "based attacks, we set the kernel size as", + "type": "text" + }, + { + "bbox": [ + 268, + 150, + 293, + 160 + ], + "score": 0.89, + "content": "7 \\times 7", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 150, + 505, + 162 + ], + "score": 1.0, + "content": "since that the normally trained models have similar", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 161, + 504, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 504, + 173 + ], + "score": 1.0, + "content": "attentions. We then use these adversarial examples to attack six normally trained models—Inc-v3,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 172, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 506, + 183 + ], + "score": 1.0, + "content": "Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The results are shown in Table 5, Table 6", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "score": 1.0, + "content": "and Table 7. The attention-invariant based attacks get better results in most cases than the baseline", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 194, + 140, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 140, + 206 + ], + "score": 1.0, + "content": "attacks.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5 + }, + { + "type": "table", + "bbox": [ + 118, + 271, + 493, + 369 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 213, + 505, + 257 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 213, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 215, + 225 + ], + "score": 1.0, + "content": "Table 5: The success rates", + "type": "text" + }, + { + "bbox": [ + 216, + 214, + 231, + 224 + ], + "score": 0.68, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 213, + 505, + 225 + ], + "score": 1.0, + "content": "of adversarial attacks against six normally trained models—Inc-v3,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 223, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 223, + 505, + 236 + ], + "score": 1.0, + "content": "Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted for", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 234, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 505, + 248 + ], + "score": 1.0, + "content": "Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM and A-FGSM. * indicates the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 245, + 182, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 182, + 257 + ], + "score": 1.0, + "content": "white-box attacks.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "table_body", + "bbox": [ + 118, + 271, + 493, + 369 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 118, + 271, + 493, + 369 + ], + "spans": [ + { + "bbox": [ + 118, + 271, + 493, + 369 + ], + "score": 0.984, + "html": "
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3FGSMA-FGSM79.6*75.4*35.937.330.632.130.234.149.762.036.344.9
Inc-v4FGSMA-FGSM43.145.372.6*68.1*32.533.734.335.450.763.337.746.2
IncRes-v2FGSMA-FGSM44.349.736.141.564.3*63.7*31.940.149.464.238.646.7
Res-v2-152FGSMA-FGSM40.146.434.039.330.333.481.3*78.9*50.564.740.850.4
", + "type": "table", + "image_path": "620016c2c93fd9656bf6d2f62a6b71ae8633d8cbc65e347ecdbeb3e6ed8dd3b3.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 118, + 271, + 493, + 303.6666666666667 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 118, + 303.6666666666667, + 493, + 336.33333333333337 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 118, + 336.33333333333337, + 493, + 369.00000000000006 + ], + "spans": [], + "index": 16 + } + ] + } + ], + "index": 13.25 + }, + { + "type": "text", + "bbox": [ + 106, + 388, + 505, + 433 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 216, + 401 + ], + "score": 1.0, + "content": "Table 6: The success rates", + "type": "text" + }, + { + "bbox": [ + 216, + 389, + 230, + 399 + ], + "score": 0.64, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 389, + 505, + 401 + ], + "score": 1.0, + "content": "of adversarial attacks against six normally trained models—Inc-v3,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 399, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 399, + 505, + 411 + ], + "score": 1.0, + "content": "Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "score": 1.0, + "content": "for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using MI-FGSM and A-MI-FGSM. *", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 421, + 234, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 234, + 433 + ], + "score": 1.0, + "content": "indicates the white-box attacks.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5 + }, + { + "type": "table", + "bbox": [ + 111, + 447, + 500, + 544 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 111, + 447, + 500, + 544 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 111, + 447, + 500, + 544 + ], + "spans": [ + { + "bbox": [ + 111, + 447, + 500, + 544 + ], + "score": 0.983, + "html": "
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3MI-FGSMA-MI-FGSM97.8*97.9*47.152.446.447.938.741.150.363.438.148.1
Inc-v4MI-FGSMA-MI-FGSM67.168.698.8*98.8*54.355.347.047.758.569.043.251.3
IncRes-v2MI-FGSMA-MI-FGSM74.876.164.869.5100.0*100.0*54.559.659.374.450.861.5
Res-v2-152MI-FGSMA-MI-FGSM54.255.648.150.944.345.197.5*97.4*52.665.648.759.6
", + "type": "table", + "image_path": "ad04b78c013afbff3b9d7dbe348ee0e1e8b51782e590f6fc9f565f9bc86792cb.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 111, + 447, + 500, + 479.3333333333333 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 111, + 479.3333333333333, + 500, + 511.66666666666663 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 111, + 511.66666666666663, + 500, + 544.0 + ], + "spans": [], + "index": 23 + } + ] + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 564, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 105, + 564, + 504, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 216, + 576 + ], + "score": 1.0, + "content": "Table 7: The success rates", + "type": "text" + }, + { + "bbox": [ + 216, + 565, + 231, + 575 + ], + "score": 0.66, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 564, + 504, + 576 + ], + "score": 1.0, + "content": "of adversarial attacks against six normally trained models—Inc-v3,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 586, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 505, + 598 + ], + "score": 1.0, + "content": "for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using DIM and A-DIM. * indicates the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 598, + 182, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 598, + 182, + 608 + ], + "score": 1.0, + "content": "white-box attacks.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5 + }, + { + "type": "table", + "bbox": [ + 122, + 622, + 489, + 720 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 122, + 622, + 489, + 720 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 122, + 622, + 489, + 720 + ], + "spans": [ + { + "bbox": [ + 122, + 622, + 489, + 720 + ], + "score": 0.983, + "html": "
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3DIMA-DIM98.3*98.5*73.875.267.869.258.459.062.574.349.359.1
Inc-v4DIMA-DIM81.880.798.2*98.7*74.273.265.162.765.577.451.459.8
IncRes-v2DIMA-DIM86.186.483.585.599.1*98.8*73.576.367.979.362.772.2
Res-v2-152DIMA-DIM77.077.077.873.973.573.297.4*97.2*67.478.467.877.8
", + "type": "table", + "image_path": "f873d6d7d026a38e253646b796ad4d29e89ece3d1c1256a21657ab0eb6dcb048.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 122, + 622, + 489, + 654.6666666666666 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 122, + 654.6666666666666, + 489, + 687.3333333333333 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 122, + 687.3333333333333, + 489, + 719.9999999999999 + ], + "spans": [], + "index": 30 + } + ] + } + ], + "index": 29 + } + ], + "page_idx": 10, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 310, + 761 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 765 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 765 + ], + "score": 1.0, + "content": "11", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 161, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 163, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 163, + 96 + ], + "score": 1.0, + "content": "APPENDIX", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 105, + 505, + 205 + ], + "lines": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "We further show the results of the proposed attention-invariant attack method for white-box attacks", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "and black-box attacks against normally trained models. We adopt the same settings for attacks.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 127, + 504, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 504, + 140 + ], + "score": 1.0, + "content": "We also generate adversarial examples for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 138, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 506, + 151 + ], + "score": 1.0, + "content": "using FGSM, A-FGSM, MI-FGSM, A-MI-FGSM, DIM and A-DIM. For the attention-invariant", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 150, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 106, + 150, + 268, + 162 + ], + "score": 1.0, + "content": "based attacks, we set the kernel size as", + "type": "text" + }, + { + "bbox": [ + 268, + 150, + 293, + 160 + ], + "score": 0.89, + "content": "7 \\times 7", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 150, + 505, + 162 + ], + "score": 1.0, + "content": "since that the normally trained models have similar", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 161, + 504, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 504, + 173 + ], + "score": 1.0, + "content": "attentions. We then use these adversarial examples to attack six normally trained models—Inc-v3,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 172, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 506, + 183 + ], + "score": 1.0, + "content": "Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The results are shown in Table 5, Table 6", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "score": 1.0, + "content": "and Table 7. The attention-invariant based attacks get better results in most cases than the baseline", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 194, + 140, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 140, + 206 + ], + "score": 1.0, + "content": "attacks.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5, + "bbox_fs": [ + 105, + 106, + 506, + 206 + ] + }, + { + "type": "table", + "bbox": [ + 118, + 271, + 493, + 369 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 213, + 505, + 257 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 213, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 215, + 225 + ], + "score": 1.0, + "content": "Table 5: The success rates", + "type": "text" + }, + { + "bbox": [ + 216, + 214, + 231, + 224 + ], + "score": 0.68, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 213, + 505, + 225 + ], + "score": 1.0, + "content": "of adversarial attacks against six normally trained models—Inc-v3,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 223, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 223, + 505, + 236 + ], + "score": 1.0, + "content": "Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted for", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 234, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 505, + 248 + ], + "score": 1.0, + "content": "Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using FGSM and A-FGSM. * indicates the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 245, + 182, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 182, + 257 + ], + "score": 1.0, + "content": "white-box attacks.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "table_body", + "bbox": [ + 118, + 271, + 493, + 369 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 118, + 271, + 493, + 369 + ], + "spans": [ + { + "bbox": [ + 118, + 271, + 493, + 369 + ], + "score": 0.984, + "html": "
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3FGSMA-FGSM79.6*75.4*35.937.330.632.130.234.149.762.036.344.9
Inc-v4FGSMA-FGSM43.145.372.6*68.1*32.533.734.335.450.763.337.746.2
IncRes-v2FGSMA-FGSM44.349.736.141.564.3*63.7*31.940.149.464.238.646.7
Res-v2-152FGSMA-FGSM40.146.434.039.330.333.481.3*78.9*50.564.740.850.4
", + "type": "table", + "image_path": "620016c2c93fd9656bf6d2f62a6b71ae8633d8cbc65e347ecdbeb3e6ed8dd3b3.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 118, + 271, + 493, + 303.6666666666667 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 118, + 303.6666666666667, + 493, + 336.33333333333337 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 118, + 336.33333333333337, + 493, + 369.00000000000006 + ], + "spans": [], + "index": 16 + } + ] + } + ], + "index": 13.25 + }, + { + "type": "text", + "bbox": [ + 106, + 388, + 505, + 433 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 216, + 401 + ], + "score": 1.0, + "content": "Table 6: The success rates", + "type": "text" + }, + { + "bbox": [ + 216, + 389, + 230, + 399 + ], + "score": 0.64, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 389, + 505, + 401 + ], + "score": 1.0, + "content": "of adversarial attacks against six normally trained models—Inc-v3,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 399, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 399, + 505, + 411 + ], + "score": 1.0, + "content": "Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "score": 1.0, + "content": "for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using MI-FGSM and A-MI-FGSM. *", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 421, + 234, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 234, + 433 + ], + "score": 1.0, + "content": "indicates the white-box attacks.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 389, + 506, + 433 + ] + }, + { + "type": "table", + "bbox": [ + 111, + 447, + 500, + 544 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 111, + 447, + 500, + 544 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 111, + 447, + 500, + 544 + ], + "spans": [ + { + "bbox": [ + 111, + 447, + 500, + 544 + ], + "score": 0.983, + "html": "
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3MI-FGSMA-MI-FGSM97.8*97.9*47.152.446.447.938.741.150.363.438.148.1
Inc-v4MI-FGSMA-MI-FGSM67.168.698.8*98.8*54.355.347.047.758.569.043.251.3
IncRes-v2MI-FGSMA-MI-FGSM74.876.164.869.5100.0*100.0*54.559.659.374.450.861.5
Res-v2-152MI-FGSMA-MI-FGSM54.255.648.150.944.345.197.5*97.4*52.665.648.759.6
", + "type": "table", + "image_path": "ad04b78c013afbff3b9d7dbe348ee0e1e8b51782e590f6fc9f565f9bc86792cb.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 111, + 447, + 500, + 479.3333333333333 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 111, + 479.3333333333333, + 500, + 511.66666666666663 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 111, + 511.66666666666663, + 500, + 544.0 + ], + "spans": [], + "index": 23 + } + ] + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 564, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 105, + 564, + 504, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 216, + 576 + ], + "score": 1.0, + "content": "Table 7: The success rates", + "type": "text" + }, + { + "bbox": [ + 216, + 565, + 231, + 575 + ], + "score": 0.66, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 564, + 504, + 576 + ], + "score": 1.0, + "content": "of adversarial attacks against six normally trained models—Inc-v3,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "Inc-v4, IncRes-v2, Res-v2-152, VGG-16 and Res-v1-152. The adversarial examples are crafted", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 586, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 505, + 598 + ], + "score": 1.0, + "content": "for Inc-v3, Inc-v4, IncRes-v2 and Res-v2-152 respectively using DIM and A-DIM. * indicates the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 598, + 182, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 598, + 182, + 608 + ], + "score": 1.0, + "content": "white-box attacks.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 564, + 505, + 608 + ] + }, + { + "type": "table", + "bbox": [ + 122, + 622, + 489, + 720 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 122, + 622, + 489, + 720 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 122, + 622, + 489, + 720 + ], + "spans": [ + { + "bbox": [ + 122, + 622, + 489, + 720 + ], + "score": 0.983, + "html": "
AttackInc-v3Inc-v4IncRes-v2Res-v2-152VGG-16Res-v1-152
Inc-v3DIMA-DIM98.3*98.5*73.875.267.869.258.459.062.574.349.359.1
Inc-v4DIMA-DIM81.880.798.2*98.7*74.273.265.162.765.577.451.459.8
IncRes-v2DIMA-DIM86.186.483.585.599.1*98.8*73.576.367.979.362.772.2
Res-v2-152DIMA-DIM77.077.077.873.973.573.297.4*97.2*67.478.467.877.8
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a/parse/train/QkVi6KogNbu/QkVi6KogNbu.md b/parse/train/QkVi6KogNbu/QkVi6KogNbu.md new file mode 100644 index 0000000000000000000000000000000000000000..a2402f07beae57ddc1b96690ad51512f061de3fd --- /dev/null +++ b/parse/train/QkVi6KogNbu/QkVi6KogNbu.md @@ -0,0 +1,536 @@ +# Stochastic Approximation of Gaussian Free Energy for Risk-Sensitive Reinforcement Learning + +Anonymous Author(s) +Affiliation +Address +email + +# Abstract + +1 We introduce a stochastic approximation rule for estimating the free energy from +2 i.i.d. samples generated by a Gaussian distribution with unknown mean and vari +3 ance. The rule is a simple modification of the Rescorla-Wagner rule, where the +4 (sigmoidal) stimulus is taken to be either the event of over- or underestimating a +5 target value. Since the Gaussian free energy is known to be a certainty-equivalent +6 sensitive to the mean and the variance, the learning rule has applications in risk +7 sensitive decision-making. In particular, we show how to use the rule in combina +8 tion with the temporal-difference error in order to obtain risk-sensitive, model-free +9 reinforcement learning algorithms. + +# 10 1 Introduction + +11 Main contribution. Let $\begin{array} { r } { N ( x ; \mu , \rho ) = \sqrt { \frac { \rho } { 2 \pi } } \exp \{ - \frac { \rho } { 2 } ( x - \mu ) ^ { 2 } \} } \end{array}$ be the Gaussian pdf with mean $\mu$ +12 and precision $\rho$ . Given a sequence $x _ { 1 } , x _ { 2 } , \dotsc$ of i.i.d. samples drawn from $N ( x ; \mu , \rho )$ with unknown +13 $\mu$ and $\rho$ , consider the problem of estimating the free energy $\mathbf { F } _ { \beta }$ for a given inverse temperature $\beta \in \mathbb { R }$ , +14 that is + +$$ +\mathbf { F } _ { \beta } = { \frac { 1 } { \beta } } \log \int _ { \mathbb { R } } N ( x ; \mu , \rho ) \exp \{ \beta x \} d x = \mu + { \frac { \beta } { 2 \rho } } . +$$ + +15 This paper shows that (1) can be estimated using a surprisingly simple stochastic approximation rule. +16 If $v \in \mathbb { R }$ is the current estimate and a new sample $x$ arrives, update $v$ according to + +$$ +v v + 2 \alpha \cdot \sigma _ { \beta } ( x - v ) \cdot ( x - v ) , +$$ + +17 where $\alpha > 0$ is a learning rate and $\sigma _ { \beta } ( z )$ is the scaled logistic sigmoid + +$$ +\sigma _ { \beta } ( z ) = \frac { 1 } { 1 + \exp \{ - \beta z \} } . +$$ + +18 The unique and stable fixed point of the learning rule (2) is equal to the desired free energy value +19 $\begin{array} { r } { v ^ { * } = \mu + \frac { \beta } { 2 \rho } } \end{array}$ . +20 Motivation. Risk-sensitivity, the susceptibility to the higher-order moments of the return, is neces +21 sary for the real-world deployment of AI agents. Wrong assumptions, lack of data, misspecification, +22 limited computation, and adversarial attacks are just a handful of the countless sources of unforeseen +23 perturbations that could be present at deployment time. Such perturbations can easily destabilize +24 risk-neutral policies, because they only focus on maximizing expected return while entirely neglecting +25 the variance. This poses serious safety concerns (Russell et al., 2015; Amodei et al., 2016; Leike +26 et al., 2017). + +Submitted to 35th Conference on Neural Information Processing Systems (NeurIPS 2021). Do not distribute. + +27 Risk-sensitive control has a long history in control theory (Coraluppi, 1997) and is an active area +28 of research within reinforcement learning (RL). There are multiple different approaches to risk +29 sensitivity in RL: for instance in Minimax RL, inspired by classical robust control theory, one derives +30 a conservative worst-case policy over MDP parameter intervals (Nilim and El Ghaoui, 2005; Tamar +31 et al., 2014); and the more recent CVaR approach relies on using the conditional-value-at-risk as a +32 robust performance measure (Galichet et al., 2013; Cassel et al., 2018). We refer the reader to García +33 and Fernández (2015) for a comprehensive overview. Here we focus on one of the earliest and most +34 popular approaches (see references), consisting of the use of exponentially-transformed values, or +35 equivalently, the free energy as the risk-sensitive certainty-equivalent (Bellman, 1957; Howard and +36 Matheson, 1972). +37 The certainty-equivalent of a stochastic value $X \in \mathbb { R }$ is defined as the representative deterministic +38 value $v \in \mathbb { R }$ that a decision-maker uses as a summary of $X$ for valuation purposes. To illustrate, +39 consider a first-order Markov chain over discrete states $s$ with transition kernel $P ( s ^ { \prime } | s )$ , state-emitted +40 rewards $R ( s ) \in \mathbb { R } .$ , and discount factor $\gamma \in [ 0 , 1 )$ . Typically RL methods use the expectation as the +41 certainty-equivalent of stochastic transitions (Bertsekas and Tsitsiklis, 1995; Sutton and Barto, 2018). +42 Therefore they compute the value $V ( s )$ of the current state $s \in S$ by (recursively) aggregating the +43 future values through their expectation, e.g. + +$$ +V ( s ) = \int P ( s ^ { \prime } | s ) \{ R ( s ^ { \prime } ) + \gamma V ( s ^ { \prime } ) \} d s ^ { \prime } . +$$ + +44 Instead, Howard and Matheson (1972) proposed using the free energy as the certainty-equivalent, +45 that is, + +$$ +V ( s ) = F _ { \beta } ( s ) = \frac { 1 } { \beta } \log \int P ( s ^ { \prime } | s ) \exp \bigl \{ \beta [ R ( s ^ { \prime } ) + \gamma V ( s ^ { \prime } ) ] \bigr \} d s ^ { \prime } , +$$ + +46 where $\beta \in \mathbb { R }$ is the inverse temperature parameter which determines whether the aggregation is +47 risk-averse $( \beta < 0 )$ ), risk-seeking $( \beta > 0 )$ ), or even risk-neutral as a special case $\beta = 0$ ). Indeed, if +48 the future values are bounded, then $F _ { \beta } ( s )$ is sigmoidal in shape as a function of $\beta$ , with three special +49 values given by + +$$ +\operatorname* { l i m } _ { \beta } F _ { \beta } ( s ) = \left\{ \begin{array} { l l } { \operatorname* { m i n } _ { s ^ { \prime } } \{ R ( s ^ { \prime } ) + \gamma V ( s ^ { \prime } ) \} } & { \mathrm { i f ~ } \beta \to - \infty ; } \\ { \mathbf E [ R ( S ^ { \prime } ) + \gamma V ( S ^ { \prime } ) | S = s ] } & { \mathrm { i f ~ } \beta \to ~ 0 ; } \\ { \operatorname* { m a x } _ { s ^ { \prime } } \{ R ( s ^ { \prime } ) + \gamma V ( s ^ { \prime } ) \} } & { \mathrm { i f ~ } \beta \to + \infty . } \end{array} \right. +$$ + +50 These limit values highlight the sensitivity to the higher-order moments of the return. Because of this +51 property, the free energy has been used as the certainty-equivalent for assessing the value of both +52 actions and observations under limited control and model uncertainty respectively, each effect having +53 their own inverse temperature. The work by Grau-Moya et al. (2016) is a demonstration of how to +54 incorporate multiple types of effects in MDPs. +55 The present work addresses a longstanding problem pointed out by Mihatsch and Neuneier (2002). +56 An advantage of using expectations is that certainty-equivalents such as (4) are easily estimated +57 using stochastic approximation schemes. For instance, consider the classical Robbins-Monro update +58 (Robbins and Monro, 1951) + +$$ +v v + \alpha \cdot ( x - v ) +$$ + +59 where $x \sim P ( x )$ is a stochastic target value, $\alpha$ is a learning rate, and $v$ is the estimate of $\mathbf { E } [ X ]$ . +60 Substituting $x = \ ' { R } ( s ^ { \prime } ) + \gamma V ( s ^ { \prime } )$ and $v = V ( s )$ leads to the popular TD(0) update (Sutton and Barto, +61 1990): + +$$ +V ( s ) V ( s ) + \alpha ( R ( s ^ { \prime } ) + \gamma V ( s ^ { \prime } ) - V ( s ) ) . +$$ + +62 However, there is no model-free counterpart for estimating free energies (5) under general unknown +63 distributions. The difficulty lies in that model-free updates rely on single (Monte-Carlo) unbiased +64 samples, but these are not available in the case of the free energy due to the log-term on the r.h.s. +65 of (5). This shortcoming led Mihatsch and Neuneier (2002) to propose the alternative risk-sensitive +66 learning rule + +$$ +v v + \alpha \cdot u \cdot ( x - v ) , \qquad { \mathrm { w h e r e ~ } } u = { \{ \begin{array} { l l } { ( 1 - \kappa ) } & { { \mathrm { i f ~ } } ( x - v ) \geq 0 } \\ { ( 1 + \kappa ) } & { { \mathrm { i f ~ } } ( x - v ) < 0 } \end{array} } +$$ + +67 and where $\kappa \in [ - 1 ; 1 ]$ is a risk-sensitivity parameter. While the heuristic (9) does produce risk +68 sensitive policies, these have no formal correspondence to free energies. +69 As anticipated, our work contributes a simple model-free rule for estimating the free energy in the +70 special case of Gaussian distributions. Starting from the Rescorla-Wagner rule + +![](images/1152d95a2950f97d42bd0610654c076a3997e86cf9b2bd86469fd3b98364f1df.jpg) +Figure 1: Update rule and its error function. a) shows the update $f ( x )$ to the estimate $v$ caused by the arrival of a sample $x$ , weighted by its probability density. The expected update is determined by comparing the integrals of the positive and negative lobes. b) Illustration of weighted update functions $f ( x )$ for different values of the current estimate $v$ . The positive lobes are either larger, equal, or smaller than the negative lobes for a $v$ that is either smaller, equal, or larger than the free energy respectively. c) Error function implied by the update rule. For a risk-neutral $\beta = 0$ ) estimator the error function is equal to the quadratic error $\begin{array} { r } { e ( \delta , \dot { 0 } ) = \frac { 1 } { 2 } \delta ^ { 2 } } \end{array}$ . For a risk-averse estimator $\beta < 0 )$ ), the error function is lopsided, penalizing under-estimates stronger than over-estimates. Furthermore, $e ( \delta , \beta )$ is an even function in $\beta$ . + +$$ +v v + \alpha \cdot u \cdot ( x - v ) , +$$ + +71 where $u \in \{ 0 , 1 \}$ is an indicator function marking the presence of a stimulus (Rescorla, 1972), we +72 substitute $u$ by twice the soft-indicator function $\sigma _ { \beta } ( x - v )$ of (3), which activates whenever $v$ either +73 over- or underestimates the target value $x$ , depending on the sign of the risk-sensitivity parameter $\beta$ . +74 Using the substitutions appropriate for RL, we obtain the risk-sensitive $\mathrm { T D } ( 0 )$ -rule + +$$ +V ( s ) V ( s ) + 2 \alpha \cdot \sigma _ { \beta } ( \delta ) \cdot \delta , +$$ + +75 where $\delta = R ( s ^ { \prime } ) + \gamma V ( s ^ { \prime } ) - V ( s )$ is the standard temporal-difference error. The learning rule is +76 trivial to implement, works as stated for tabular RL, and is easily adapted to the objective functions +77 of deep RL methods (Mnih et al., 2015). Finally, the learning rule is also consistent with findings in +78 computational neuroscience (Niv et al., 2012), e.g. predicting asymmetric updates that are stronger +79 for negative prediction errors in the risk-averse case (Gershman, 2015). + +# 80 2 Analysis of the Learning Rule + +Our central result is the following lemma, which implies that the unique and stable fixed point of the expected learning dynamics of (2) is given by the desired free energy. + +83 Lemma 1. If $x _ { 1 } , x _ { 2 } , \dotsc$ are i.i.d. samples from $P ( X ) = N ( x ; \mu , \rho )$ , then the expected update $J ( v )$ +84 of the learning rule (2) is twice differentiable and such that + +$$ +J ( v ) = 2 \mathbf { E } \big [ \sigma _ { \beta } ( X - v ) \cdot ( X - v ) \big ] \left\{ { \begin{array} { l l } { < 0 , } & { i f v > \mathbf { F } _ { \beta } ; } \\ { = 0 , } & { i f v = \mathbf { F } _ { \beta } ; } \\ { > 0 , } & { i f v < \mathbf { F } _ { \beta } . } \end{array} } \right. +$$ + +85 Proof. The expected update of $v$ is + +$$ +J ( v ) : = 2 \int N ( x ; \mu , \rho ) \sigma ( x - v ) ( x - v ) d x , +$$ + +86 where we have dropped the subscript $\beta$ from $\sigma _ { \beta }$ for simplicity. Using the Leibnitz integral rule it +87 is easily seen that this function is twice differentiable w.r.t. $v$ , because the integrand is a product of +88 twice differentiable functions. +89 The resulting update direction will be positive if the integral over the positive contributions outweight +90 the negative contributions and vice versa. The integrand of (12) has a symmetry property: splitting +91 the domain of integration $\mathbb { R }$ into $\left( - \infty ; v \right]$ and $( v ; + \infty )$ , using the change of variable $\delta = x - v$ , and +92 recombining the two integrals into one gives + +$$ +J ( v ) : = 2 \int _ { 0 } ^ { \infty } \Bigl \{ N ( v + \delta ; \mu , \rho ) \sigma ( \delta ) - N ( v - \delta ; \mu , \rho ) \sigma ( - \delta ) \Bigr \} \delta d \delta . +$$ + +93 We will show that the integrand of (13) is either negative, zero, or positive, depending on the value +94 of $v$ . Define the weighted update $f ( x )$ as + +$$ +f ( x ) = f ( v + \delta ) : = N ( v + \delta ; \mu , \rho ) \sigma ( \delta ) \delta . +$$ + +95 This function is illustrated in Figure 1a. We are interested in the ratio + +$$ +\frac { f ( v + \delta ) } { f ( v - \delta ) } = \frac { N ( v + \delta ; \mu , \rho ) } { N ( v - \delta ; \mu , \rho ) } \frac { \sigma ( \delta ) } { \sigma ( - \delta ) } , +$$ + +96 which compares the positive against the negative contributions to the integrand in (13). The first +97 fraction of the r.h.s. of (14) is equal to + +$$ +\frac { N ( v + \delta ; \mu , \delta ) } { N ( v - \delta ; \mu , \rho ) } = \exp \Bigl \{ - \frac { \rho } { 2 } ( v + \delta - \mu ) ^ { 2 } + \frac { \rho } { 2 } ( v - \delta - \mu ) ^ { 2 } \Bigr \} = \exp \{ - 2 \rho \delta ( v - \mu ) \} . +$$ + +98 Using the symmetry property $\sigma ( \delta ) = 1 - \sigma ( - \delta )$ of the logistic sigmoid function, the second fraction +99 can be shown to be equal to + +$$ +{ \frac { \sigma ( \delta ) } { \sigma ( - \delta ) } } = { \frac { \sigma ( \delta ) } { 1 - \sigma ( \delta ) } } = \exp \{ \beta \delta \} . +$$ + +100 Substituting the above back into (14) results in + +$$ +\frac { f ( v + \delta ) } { f ( v - \delta ) } = \exp \{ - 2 \rho \delta ( v - \mu ) + \beta \delta \} \left\{ \begin{array} { l l } { > 1 } & { \mathrm { f o r } v < \mu + \frac { \beta } { 2 \rho } , } \\ { = 1 } & { \mathrm { f o r } v = \mu + \frac { \beta } { 2 \rho } , } \\ { < 1 } & { \mathrm { f o r } v > \mu + \frac { \beta } { 2 \rho } , } \end{array} \right. +$$ + +also illustrated in Figure 1b. Therefore, the integrand in (13) is either positive101 $\begin{array} { r } { ( v < \mu + \frac { 2 } { 2 \rho } ) } \end{array}$ , zero 102 $\begin{array} { r } { ( v = \mu + \frac { \beta } { 2 \rho } ) } \end{array}$ , or negative $\begin{array} { r } { ( v > \mu + \frac { \beta } { 2 \rho } ) } \end{array}$ , allowing to conclude the claim of the lemma. □ + +# 3 Additional Properties + +We discuss additional properties in order to strengthen the intuition and to clarify the significance of the learning rule; some practical implementation advice is given at the end. + +106 Associated free energy functional. The Gaussian free energy $\mathbf { F } _ { \beta }$ in (1) is formally related to the +107 valuation of risk-sensitive portfolios used in finance (Markowitz, 1952). It is well-known that the free +108 energy is the extremum of the free energy functional, defined as the Kullback-Leibler-regularized +109 expectation of $X$ : + +$$ +F _ { \beta } \big [ p ( x ) \big ] : = \mathbf { E } _ { p } [ X ] - \frac { 1 } { \beta } \mathbf { K L } \big ( p ( x ) \big | \big | N ( x ; \mu , \rho ) \big ) . +$$ + +110 This functional is convex in $p$ for $\beta < 0$ and concave for $\beta > 0$ . Taking either the minimum (for +111 $\beta < 0$ ) or maximum (for $\beta > 0$ ) w.r.t. $p ( x )$ yields + +$$ +\mathbf { F } _ { \beta } = \operatorname { e x t r } F _ { \beta } \left[ p ( x ) \right] = \left[ \mu + { \frac { \beta } { \rho } } \right] - { \frac { 1 } { \beta } } \left[ { \frac { \beta ^ { 2 } } { 2 \rho } } \right] = \mu + { \frac { \beta } { 2 \rho } } = \mathbf { E } [ X ] + { \frac { \beta } { 2 } } \mathbf { V a r } [ X ] , +$$ + +112 that is, the Gaussian free energy is a linear function of $\beta$ , where the intercept and the slope are equal to the expectation and half of the variance of 113 $X$ respectively. The extremizer $p ^ { * } ( x )$ is the Gaussian + +$$ +\begin{array} { r } { p ^ { * } ( x ) = \arg \underset { p ( x ) } { \mathrm { e x t r } } F _ { \beta } \big [ p ( x ) \big ] = N ( x ; \mu + \frac { \beta } { \rho } , \rho ) . } \end{array} +$$ + +114 The above gives a precise meaning to the free energy as a certainty-equivalent. The choice of a +115 non-zero inverse temperature $\beta$ reflects a distrust in the reference probability density $N ( x ; \mu , \rho )$ as a +116 reliable model for $X$ . Specifically, the magnitude of $\beta$ quantifies the degree of distrust and the sign of +117 $\beta$ indicates whether it is an under- or overestimation. This distrust results in using the extremizer (17) +118 as a robust substitute for the original reference model for $X$ . +119 Game-theoretic interpretation. In addition to the above, previous work (Ortega and Lee, 2014; +120 Eysenbach and Levine, 2019; Husain et al., 2021) has shown that the free energy functional has an +121 interpretation as a two-player game which characterizes its robustness properties. Following Ortega +122 and Lee (2014), computing the Legendre-Fenchel dual of the KL regularizer yields an equivalent +123 adversarial re-statement of the free energy functional (15), which for $\beta > 0$ is given by + +$$ +\operatorname* { m a x } _ { p ( x ) } \operatorname* { m i n } _ { c ( x ) } \Bigl \{ \int p ( x ) [ x - c ( x ) ] d x + \int N ( x ; \mu , \rho ) \exp \{ \beta c ( x ) \} d x , \Bigr \} , +$$ + +124 where the perturbations $c ( x ) \in \mathbb { R }$ are chosen by an adversary (Note: for the case $\beta < 0$ one obtains a +125 Minimax problem over $p ( x )$ and $c ( x )$ rather than a Maximin). From this dual interpretation, one sees +126 that the distribution $p ( x )$ is chosen as if it were maximizing the expected value of $x ^ { \prime } = x - c ( x )$ , +127 the adversarially perturbed version of $x$ . In turn, the adversary attempts to minimize $x ^ { \prime }$ , but at the +128 cost of an exponential penalty for $c ( x )$ . More precisely, given the distribution $p ( x )$ , the adversarial +129 best-response (ignoring constants) is + +$$ +c ^ { * } ( x ) \overset { ( \cong ) } { = } \frac { 1 } { \beta } \log \frac { p ( x ) } { N ( x ; \mu , \rho ) } \overset { ( \ u ) } { = } \frac { 1 } { 2 \beta } \bigg \{ \rho ( x - \mu ) ^ { 2 } - \bar { \rho } ( x - \bar { \mu } ) ^ { 2 } + \log \frac { \bar { \rho } } { \rho } \bigg \} \overset { ( \circ ) } { = } x - \mathbf { F } _ { \beta } , +$$ + +130 where the equality (a) is true for any choice of $p ( x )$ ; (b) holds if $p ( x ) = N ( x ; \bar { \mu } , \bar { \rho } )$ for some mean $\bar { \mu }$ +131 and precision $\bar { \rho }$ ; and where (c) holds if $p ( x )$ is the extremizer (17). Here we see that the adversarial +132 perturbations can be arbitrarily bad if $p ( x )$ is not chosen cautiously: for instance, for the (Gaussian) +133 Dirac delta + +$$ +p ( x ) = N ( x ; \mu , { \bar { \rho } } ) { \xrightarrow { \bar { \rho } \to \infty } } \delta ( x = \mu ) \quad { \mathrm { w e ~ g e t } } \quad c ^ { * } ( x ) = { \mathcal { O } } \left( \log { \frac { \bar { \rho } } { \rho } } \right) { \xrightarrow { \bar { \rho } \to \infty } } + \infty . +$$ + +134 Error function. Let $\delta = x - v$ be the instantaneous difference between the sample and the estimate. +135 If the update rule (2) corresponds to a stochastic gradient descent step, then what is the error function? +136 That is, if + +$$ +v v - \alpha \cdot \nabla _ { \delta } e ( \delta , \beta ) = v + 2 \alpha \cdot \sigma _ { \beta } ( \delta ) \cdot \delta , +$$ + +137 then what is $e ( \delta , \beta ) ?$ Integrating the gradient $\nabla _ { \delta } e ( \delta , \beta )$ with respect to $\delta$ gives + +$$ +e ( \delta , \beta ) = 2 \int \sigma ( \delta ) \delta d \delta = \frac { 2 \delta } { \beta } \log ( 1 + \exp \{ \beta \delta \} ) + \frac { 2 } { \beta ^ { 2 } } \mathrm { l i } _ { 2 } ( - \exp \{ \beta \delta \} ) + \frac { \pi ^ { 2 } } { 6 \beta ^ { 2 } } , +$$ + +138 where $\log ( 1 + \exp ( z ) )$ is the softplus function (Dugas et al., 2001) and $\operatorname { l i } _ { 2 } ( z )$ is Spence’s function +139 (or dilogarithm) defined as + +$$ +\operatorname { l i } _ { 2 } ( z ) = - \int _ { 0 } ^ { z } { \frac { \log ( 1 - z ) } { z } } d z , +$$ + +and where the constant of integration 140 $\frac { \pi ^ { 2 } } { 6 \beta ^ { 2 } }$ was chosen so that $\begin{array} { r } { \operatorname* { l i m } _ { \delta \to 0 } e ( \delta , \beta ) = 0 } \end{array}$ for all $\beta \in \mathbb { R }$ . This 141 error function is illustrated in Figure 1c for a handful of values of $\beta$ . In the limit $\beta 0$ , the error 142 function becomes: + +$$ +\operatorname* { l i m } _ { \beta \to 0 } e ( \delta , \beta ) = \frac { 1 } { 2 } \delta ^ { 2 } , +$$ + +thus establishing a connection between the quadratic error and the proposed learning rule. + +144 Practical considerations. The free energy learning rule (2) can be implemented as stated, for 145 instance either using constant learning rate $\alpha > 0$ or using an adaptive learning rate $\alpha _ { t } > 0$ fulfilling the Robbins-Monro conditions 146 $\textstyle \sum _ { t } \alpha _ { t } > 0$ and $\textstyle \sum _ { t } \alpha _ { t } ^ { 2 } < \infty$ . + +147 A problem arises when most of the data falls within the near-zero saturated region of the sigmoid, +148 which can occur due to an unfortunate initialization of the estimate $v$ . Since then $\sigma _ { \beta } ( x - v ) \approx 0$ for +149 most $x$ , learning can be very slow. This problem can be mitigated using an affine transformation of +150 the sigmoid that gaurantees a minimal rate $\eta > 0$ , such as + +$$ +\tilde { \sigma } _ { \beta } ( z ) = \eta + ( 1 - 2 \eta ) \sigma _ { \beta } ( z ) , +$$ + +1 which re-scales the sigmoid within the interval $[ \eta , 1 - \eta ]$ . We have found this adjustment to work +52 well for $| \beta | \approx 0$ , especially when it is only used during the first few iterations. +153 If one wishes to use the learning rule in combination with gradient-based optimization (as is typical +154 in a deep learning architecture), we do not recommend using the error function (21) directly. Rather, + +![](images/bd03460c00d63676423398a7e3d504713a73ba933c89cffafb50c9740424dee3.jpg) +Figure 2: Estimation of the free energy from Gaussian (left panel) and uniform samples (right panel). Each plot shows 10 estimation processes (9 in pink, 1 in red) per choice of the inverse temperature, where $\beta \in \{ - 4 , - 2 , 0 , 2 , 4 \}$ . The true free energies are shown in black. The estimation of the free energy is accurate for Gaussian data but biased for uniform data. + +155 we suggest absorbing the factor $2 \tilde { \sigma } _ { \beta } ( \delta )$ directly into the learning rate (where as before, $\delta = x - v )$ + +56 A simple way to achieve this consists in scaling the estimation error $E ( \delta )$ by said factor using a +57 stop-gradient, that is, + +$$ +\tilde { E } ( \delta ) : = \mathrm { S t o p G r a d } ( 2 \tilde { \sigma } _ { \beta } ( \delta ) ) \cdot E ( \delta ) , +$$ + +158 since then the error gradient with respect to the model parameters $\theta$ will be + +$$ +\nabla _ { \boldsymbol { \theta } } \tilde { E } ( \boldsymbol { \delta } ) = - 2 \tilde { \sigma } _ { \beta } ( \boldsymbol { \delta } ) \cdot \frac { \partial E } { \partial \boldsymbol { \delta } } \frac { \partial v } { \partial \boldsymbol { \theta } } . +$$ + +159 Finally, a large $| \beta |$ chooses a target free energy within a tail of the distribution, leading to slower +160 convergence. If one wishes to approximate a free energy that sits at $n$ standard deviations from the +161 mean, then $\beta$ should be chosen as + +$$ +\beta ( n ) = 2 n \sqrt { \rho } . +$$ + +2 However, since $\beta ( n )$ is not scale invariant and the scale $\rho$ is unknown, a good choice of $\beta$ must be +3 determined empirically. + +# 164 4 Experiments + +165 Estimation. Our first experiment is a simple sanity check. We estimated the free energy in an +166 online manner using the learning rule (2) from data generated by two i.i.d. sources: a standard +167 Gaussian, and uniform distribution over the interval $[ - 2 , 2 ]$ . Five different inverse temperatures +168 were used $( \beta \in \{ - 4 , - 2 , 0 , 2 , 4 \} )$ . For each condition, we ran ten estimation processes from 4000 +169 random samples using the same starting point $\mathit { v } = 1 . 5$ ). The learning rate was constant and equal to +170 $\alpha = 0 . 0 2$ . +171 The results are shown in figure 2. In the Gaussian case, the estimation processes successfully stabilize +172 around the true free energies, with processes having larger $| \beta |$ converging slower, but fluctuating +173 less. In the uniform case, the estimation processes do not settle around the correct free energy values +174 for $\beta \neq 0$ ; however, the found solutions increase monotonically with $\beta$ . These results validate the +175 estimation method only for Gaussian data, as expected. +176 Reinforcement learning. Next we applied the risk-sensitive learning rule to RL in a simple grid +177 world. The goal was to qualitatively investigate the types of policies that result from different +178 risk-sensitivities. Shown in Figure 3a, the objective of the agent is to navigate to a terminal state +179 containing a reward pill within no more than 25 time steps while avoiding the water. The reward pill +180 delivers one reward point upon collection, whereas standing in the water penalizes the agent with +181 minus one reward point per time step. In addition, there is a very strong wind: with $50 \%$ chance in +182 each step, the wind pushes the agent one block in a randomly chosen cardinal direction. +183 We trained R2D2 (Kapturowski et al., 2018) agents with the risk-sensitive cost function (23) using +184 five uniformly spaced inverse temperatures $\beta$ ranging from $- 0 . 8$ to 0.8. The architecture of our +185 agents consisted of a first convolutional layer with 3-by-3-kernels and 128 channels, a dense layer +186 with 128 units, and a logit layer for the four possible actions (i.e. walking directions). The discount +187 factor was set to $\gamma = 0 . 9 5$ . Each agent was trained for 500K iterations with a batch size of 64, using +188 the Adam optimizer with learning rate $1 0 ^ { - 4 }$ (Kingma and Ba, 2014). The target network was updated +189 every 400 steps. The inputs to the network were observation tensors of binary features representing +190 the 2D board. Note these agents didn’t use any recurrent cells and therefore no backpropagation +191 through time was used. To train all the agents in this experiment we used 154 CPU core hours at 2.4 +192 GHz and 22.5 GPU hours. +193 To analyze the resulting policies, we computed the episodic returns and the percentage of time the +194 agents spent in the water (i.e. the “violations”) from 1000 roll-outs. The results, shown in Figure 3b, +195 reveal that the risk-neutral policy $\beta = 0$ ) has the highest average return. However, the percentage of +196 violations increases monotonically with $\beta$ . Figure 3c shows the state-visitation probabilities estimated +197 from the same roll-outs. There are essentially three types of policies: risk-averse, taking the longest +198 path away from the water; risk-neutral, taking middle path; and risk-seeking, taking the shortest +199 route right next to the water. These are even more crisply revealed when the wind is de-activated. +200 Interestingly, the risk-averse policy $\beta = - 0 . 8 )$ does not always reach the goal, which explains why +201 its return is slightly lower in spite of committing fewer violations. +202 Bandits. In the last experiment we wanted to observe the premiums that risk-sensitive agents are +203 willing to pay when confronted with a choice between a certain and a risky option. To do so, we +204 used a two-arm bandit setup, where one arm (“certain”) delivered a fixed reward and the other arm +205 (“risky”) a stochastic one—more precisely, drawn from a Gaussian distribution with mean $\mu$ and +206 precision $\rho = 2$ . Both the fixed payoff and the mean $\mu$ of the risky arm were drawn from a standard +207 Gaussian distribution at the beginning of an episode, which lasted twenty rounds. To build agents +208 that can trade off exploration versus exploitation, we used memory-based meta-learning (Wang et al., +209 2016; Santoro et al., 2016), which is known to produce near-optimal bandit players (Ortega et al., +210 2019; Mikulik et al., 2020). +211 We meta-trained five R2D2 agents using risk-sensitives $\beta \in \{ - 1 . 0 , - 0 . 5 , 0 , 0 . 5 , 1 . 0 \}$ on the two +212 armed bandit task distribution (also randomizing the certain/risky arm positions) with discount factor +213 $\gamma = 0 . 9 5$ . The network architecture and training parameters were as in the previous RL experiment, +214 with the difference that the initial convolutional layer was replaced with a dense layer and an LSTM +215 layer having 128 memory cells (Hochreiter and Schmidhuber, 1997). We used backpropagation +216 through time for computing the episode gradients. The input to the network consisted of the action +217 taken and reward obtained in the previous step. This setup allows agents to adapt their choices to past +218 interactions throughout an episode. To train all the agents in this experiment we used 88 CPU core +219 hours at $2 . 4 \ : \mathrm { G H z }$ and 10 GPU hours. + +![](images/f7e66af7de1a6fcb8d2c3b1c86030599165a688873f538aa8f7f7590fdd2452c.jpg) +Figure 3: Comparison of risk-sensitive RL agents. a) The task consists in picking up a reward located at the terminal state while avoiding stepping into water. A strong wind pushes the agent into a random direction $50 \%$ of the time. b) Bar plots showing the average return (blue) and the percentage of violations (red) for each policy, ordered from lowest to highest $\beta$ . c) State visitation frequencies for each policy, plus the optimal (deterministic) policy when there is no wind (black paths). + +![](images/7ae5696db630fa8992a0b5df2c7dbe8c3630e973ebff738cc261f7b747fef6fe.jpg) +Figure 4: Two-armed bandit policy profiles with different risk-sensitivities $\beta$ . The certain arm 1 pays a deterministic reward, while the risky arm 2 pays a stochastic reward drawn from $N ( r ; \mu , \rho )$ with precision $\rho = 2$ . The agents were meta-trained on bandits where the payoffs (i.e. arm 1’s payoff and arm 2’s mean) were drawn from a standard Gaussian distribution. The plots show the marginal probability of choosing the certain arm (blue) over the risky arm (red) after twenty interactions for every payoff combination. Each point in the uniform grid was estimated from 30 seeds. Note the deviations from the true risk-neutral indifference curve (black diagonal). + +Figure 4 shows the agents’ choice profile in the last $( \mathrm { 2 0 ^ { t h } } )$ time step. A true risk-neutral agent does not distinguish between a certain and risky option that have the same expected payoff (black diagonal). The main finding is that the indifference region (i.e. close to a $50 \%$ choice in white color) evolves significantly with increasing $\beta$ , implying that the agents with different risk attitudes are indeed willing to pay different risk premia (measured as the vertical distance of the indifference region from the diagonal). We observe two effects. The most salient effect is that the indifference region mostly 6 moves from being beneath (risk-averse) to above (risk-seeking) the true risk-neutral indifference curve as $\beta$ increases. The second effect is that risk-averse policies $\beta = - 1$ and $- 0 . 5 )$ contain a 8 large region of a stochastic choice profile that appears to depend only on the risky arm’s parameter. 9 We do not have a clear explanation for this effect. Our hypothesis is that risk-averse policies assume adversarial environments, which require playing mixed strategies with precise probabilities. Finally, the risk-neutral agent $\beta = 0$ ) appears to be slightly risk-averse. We believe that this effect arises due 2 to the noisy exploration policy employed during training. + +# 233 5 Discussion + +Summary of contributions. In this work we have introduced a learning rule for the online estimation of the Gaussian free energy with unknown mean and precision/variance. The learning rule (2) is obtained by reinterpreting the stimulus-presence indicator component of the Rescorla-Wagner rule (Rescorla, 1972) as a (soft) indicator function for the event of either over- or underestimating the target value. In Lemma 1 we have shown that the free energy is the unique and stable fixed point of the expected learning dynamics. This is the main contribution. + +240 Furthermore, we have shown how to use the learning rule for risk-sensitive RL. Since the free +241 energy implements certainty-equivalents that range from risk-averse to risk-seeking, we were able +242 to formulate a risk-sensitive, model-free update in the spirit of TD(0) (Sutton and Barto, 1990), +243 thereby addressing a longstanding problem (Mihatsch and Neuneier, 2002) for the special case of +244 the Gaussian distribution. Due to its simplicity, the rule is easy to incorporate into existing deep RL +245 algorithms, for instance by modifying the error using a stop-gradient as shown in (23). In Section 3 +246 we also elaborated on the role of the free energy within decision-making, pointing out its robustness +247 properties and adversarial interpretation. +248 We also demonstrated the learning rule in experiments. Firstly, we empirically confirmed that +249 the online estimates stabilize around the correct Gaussian free energies (Section 4–Estimation). +250 Secondly, we showed how incorporating risk-attitudes into deep RL can lead to agents implementing +251 qualitatively different policies which intuitively make sense (Section 4–RL). Lastly, we inspected the +252 premia risk-sensitive agents are willing to pay for choosing a risky over a certain option, finding that +253 agents have choice patterns that are more complex than we had anticipated (Section 4–Bandits). + +Limitations. As shown empirically in Section 4–Estimation, an important limitation of the learning rule is that its fixed point is only equal to the free energy when the samples are Gaussian (or approximately Gaussian, as justified by the CLT). Nevertheless, agents using the risk-sensitive TD(0) update (11) still display risk attitudes monotonic in $\beta$ , with $\beta = 0$ reducing to the familiar risk-neutral case. + +59 While Lemma 1 establishes the stable equilibrium of the expected update, it only guarantees convergence in continuous-time updates. To show convergence using discrete-time point samples, a stronger result is required. In particular, we conjecture that + +$$ +\left| J ( v ) \right| = 2 \Biggr | \int N ( x ; \mu , \rho ) \sigma _ { \beta } ( x - v ) ( x - v ) d x \Biggr | \leq 2 \bigl | { \bf F } _ { \beta } - v \bigr | +$$ + +If (26) is true, meaning that $J ( v )$ is 2-Lipschitz, then this could be combined with a result in stochastic approximation theory akin to Theorem 1 in Jaakkola et al. (1994) to prove convergence. + +A shortcoming of our experiments using R2D2 agents is that they deterministically pick actions that maximize the Q-value. However, risk-averse agents see their environments as being adversarial, and these in turn require stochastic policies in order to achieve optimal performance. + +Conclusions. Because it is impossible to anticipate the many ways in which a dynamically-changing environment will violate prior assumptions, requiring the robustness of ML algorithms is of vital importance for their deployment in real-world applications. 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[Yes] +(b) Did you describe the limitations of your work? [Yes] see Section 5 +(c) Did you discuss any potential negative societal impacts of your work? [Yes] see Section 5 +(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] in Section 2. +(b) Did you include complete proofs of all theoretical results? [Yes] in Section 2. + +3. If you ran experiments... + +(a) Did you include the code, data, and instructions needed to reproduce the main experimental results (either in the supplemental material or as a URL)? [No] The code is proprietary. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] see Section 4. +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] see Section 4. +(d) Did you include the total amount of compute and the type of resources used (e.g., type of GPUs, internal cluster, or cloud provider)? [Yes] see Section 4. + +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? [N/A] +(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/train/QkVi6KogNbu/QkVi6KogNbu_content_list.json b/parse/train/QkVi6KogNbu/QkVi6KogNbu_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..b4e7f143d67d698acad6058b9b8c4ca729c75505 --- /dev/null +++ b/parse/train/QkVi6KogNbu/QkVi6KogNbu_content_list.json @@ -0,0 +1,1645 @@ +[ + { + "type": "text", + "text": "Stochastic Approximation of Gaussian Free Energy for Risk-Sensitive Reinforcement Learning ", + "text_level": 1, + "bbox": [ + 189, + 122, + 810, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous Author(s) \nAffiliation \nAddress \nemail ", + "bbox": [ + 423, + 226, + 580, + 281 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 318, + 535, + 334 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 We introduce a stochastic approximation rule for estimating the free energy from \n2 i.i.d. samples generated by a Gaussian distribution with unknown mean and vari \n3 ance. The rule is a simple modification of the Rescorla-Wagner rule, where the \n4 (sigmoidal) stimulus is taken to be either the event of over- or underestimating a \n5 target value. Since the Gaussian free energy is known to be a certainty-equivalent \n6 sensitive to the mean and the variance, the learning rule has applications in risk \n7 sensitive decision-making. In particular, we show how to use the rule in combina \n8 tion with the temporal-difference error in order to obtain risk-sensitive, model-free \n9 reinforcement learning algorithms. ", + "bbox": [ + 150, + 349, + 767, + 476 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "10 1 Introduction ", + "text_level": 1, + "bbox": [ + 148, + 503, + 312, + 520 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "11 Main contribution. Let $\\begin{array} { r } { N ( x ; \\mu , \\rho ) = \\sqrt { \\frac { \\rho } { 2 \\pi } } \\exp \\{ - \\frac { \\rho } { 2 } ( x - \\mu ) ^ { 2 } \\} } \\end{array}$ be the Gaussian pdf with mean $\\mu$ \n12 and precision $\\rho$ . Given a sequence $x _ { 1 } , x _ { 2 } , \\dotsc$ of i.i.d. samples drawn from $N ( x ; \\mu , \\rho )$ with unknown \n13 $\\mu$ and $\\rho$ , consider the problem of estimating the free energy $\\mathbf { F } _ { \\beta }$ for a given inverse temperature $\\beta \\in \\mathbb { R }$ , \n14 that is ", + "bbox": [ + 147, + 534, + 825, + 592 + ], + "page_idx": 0 + }, + { + "type": "equation", + "img_path": "images/56b0a04e4d90132dc6c33c0d97a561e4c008001943f04df9ef81528f588dbde5.jpg", + "text": "$$\n\\mathbf { F } _ { \\beta } = { \\frac { 1 } { \\beta } } \\log \\int _ { \\mathbb { R } } N ( x ; \\mu , \\rho ) \\exp \\{ \\beta x \\} d x = \\mu + { \\frac { \\beta } { 2 \\rho } } .\n$$", + "text_format": "latex", + "bbox": [ + 330, + 590, + 668, + 625 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "15 This paper shows that (1) can be estimated using a surprisingly simple stochastic approximation rule. \n16 If $v \\in \\mathbb { R }$ is the current estimate and a new sample $x$ arrives, update $v$ according to ", + "bbox": [ + 143, + 628, + 826, + 657 + ], + "page_idx": 0 + }, + { + "type": "equation", + "img_path": "images/7430fdb8ca3a8fa66cc25fa09af0250d10653e6af9d22d3e67bfb1b1ff74833d.jpg", + "text": "$$\nv v + 2 \\alpha \\cdot \\sigma _ { \\beta } ( x - v ) \\cdot ( x - v ) ,\n$$", + "text_format": "latex", + "bbox": [ + 383, + 665, + 614, + 683 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "17 where $\\alpha > 0$ is a learning rate and $\\sigma _ { \\beta } ( z )$ is the scaled logistic sigmoid ", + "bbox": [ + 147, + 689, + 635, + 705 + ], + "page_idx": 0 + }, + { + "type": "equation", + "img_path": "images/28ddab8ce7208563fe29e41882daa8db5aebaa98a5303bc57351cccf4bc44f92.jpg", + "text": "$$\n\\sigma _ { \\beta } ( z ) = \\frac { 1 } { 1 + \\exp \\{ - \\beta z \\} } .\n$$", + "text_format": "latex", + "bbox": [ + 413, + 713, + 584, + 746 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "18 The unique and stable fixed point of the learning rule (2) is equal to the desired free energy value \n19 $\\begin{array} { r } { v ^ { * } = \\mu + \\frac { \\beta } { 2 \\rho } } \\end{array}$ . \n20 Motivation. Risk-sensitivity, the susceptibility to the higher-order moments of the return, is neces \n21 sary for the real-world deployment of AI agents. Wrong assumptions, lack of data, misspecification, \n22 limited computation, and adversarial attacks are just a handful of the countless sources of unforeseen \n23 perturbations that could be present at deployment time. Such perturbations can easily destabilize \n24 risk-neutral policies, because they only focus on maximizing expected return while entirely neglecting \n25 the variance. This poses serious safety concerns (Russell et al., 2015; Amodei et al., 2016; Leike \n26 et al., 2017). ", + "bbox": [ + 143, + 752, + 828, + 787 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 147, + 801, + 825, + 900 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Submitted to 35th Conference on Neural Information Processing Systems (NeurIPS 2021). Do not distribute. ", + "bbox": [ + 168, + 922, + 815, + 936 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "27 Risk-sensitive control has a long history in control theory (Coraluppi, 1997) and is an active area \n28 of research within reinforcement learning (RL). There are multiple different approaches to risk \n29 sensitivity in RL: for instance in Minimax RL, inspired by classical robust control theory, one derives \n30 a conservative worst-case policy over MDP parameter intervals (Nilim and El Ghaoui, 2005; Tamar \n31 et al., 2014); and the more recent CVaR approach relies on using the conditional-value-at-risk as a \n32 robust performance measure (Galichet et al., 2013; Cassel et al., 2018). We refer the reader to García \n33 and Fernández (2015) for a comprehensive overview. Here we focus on one of the earliest and most \n34 popular approaches (see references), consisting of the use of exponentially-transformed values, or \n35 equivalently, the free energy as the risk-sensitive certainty-equivalent (Bellman, 1957; Howard and \n36 Matheson, 1972). \n37 The certainty-equivalent of a stochastic value $X \\in \\mathbb { R }$ is defined as the representative deterministic \n38 value $v \\in \\mathbb { R }$ that a decision-maker uses as a summary of $X$ for valuation purposes. To illustrate, \n39 consider a first-order Markov chain over discrete states $s$ with transition kernel $P ( s ^ { \\prime } | s )$ , state-emitted \n40 rewards $R ( s ) \\in \\mathbb { R } .$ , and discount factor $\\gamma \\in [ 0 , 1 )$ . Typically RL methods use the expectation as the \n41 certainty-equivalent of stochastic transitions (Bertsekas and Tsitsiklis, 1995; Sutton and Barto, 2018). \n42 Therefore they compute the value $V ( s )$ of the current state $s \\in S$ by (recursively) aggregating the \n43 future values through their expectation, e.g. ", + "bbox": [ + 145, + 90, + 826, + 229 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 145, + 234, + 826, + 334 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/a1e416abb3e0c03d6ca5ac8fa45efcdaa377a4e7db5c64553834b387bd18020e.jpg", + "text": "$$\nV ( s ) = \\int P ( s ^ { \\prime } | s ) \\{ R ( s ^ { \\prime } ) + \\gamma V ( s ^ { \\prime } ) \\} d s ^ { \\prime } .\n$$", + "text_format": "latex", + "bbox": [ + 359, + 338, + 637, + 371 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "44 Instead, Howard and Matheson (1972) proposed using the free energy as the certainty-equivalent, \n45 that is, ", + "bbox": [ + 142, + 375, + 831, + 402 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/f6fa67422b58f5987db0b89e65f33d6646cea5820c256ac52064f7e4da1ec942.jpg", + "text": "$$\nV ( s ) = F _ { \\beta } ( s ) = \\frac { 1 } { \\beta } \\log \\int P ( s ^ { \\prime } | s ) \\exp \\bigl \\{ \\beta [ R ( s ^ { \\prime } ) + \\gamma V ( s ^ { \\prime } ) ] \\bigr \\} d s ^ { \\prime } ,\n$$", + "text_format": "latex", + "bbox": [ + 284, + 401, + 712, + 434 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "46 where $\\beta \\in \\mathbb { R }$ is the inverse temperature parameter which determines whether the aggregation is \n47 risk-averse $( \\beta < 0 )$ ), risk-seeking $( \\beta > 0 )$ ), or even risk-neutral as a special case $\\beta = 0$ ). Indeed, if \n48 the future values are bounded, then $F _ { \\beta } ( s )$ is sigmoidal in shape as a function of $\\beta$ , with three special \n49 values given by ", + "bbox": [ + 147, + 435, + 826, + 492 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/ecf296a9a713046c7ae0a30243177a9f75294e46f8e813bf06c437d3501f68fd.jpg", + "text": "$$\n\\operatorname* { l i m } _ { \\beta } F _ { \\beta } ( s ) = \\left\\{ \\begin{array} { l l } { \\operatorname* { m i n } _ { s ^ { \\prime } } \\{ R ( s ^ { \\prime } ) + \\gamma V ( s ^ { \\prime } ) \\} } & { \\mathrm { i f ~ } \\beta \\to - \\infty ; } \\\\ { \\mathbf E [ R ( S ^ { \\prime } ) + \\gamma V ( S ^ { \\prime } ) | S = s ] } & { \\mathrm { i f ~ } \\beta \\to ~ 0 ; } \\\\ { \\operatorname* { m a x } _ { s ^ { \\prime } } \\{ R ( s ^ { \\prime } ) + \\gamma V ( s ^ { \\prime } ) \\} } & { \\mathrm { i f ~ } \\beta \\to + \\infty . } \\end{array} \\right.\n$$", + "text_format": "latex", + "bbox": [ + 305, + 497, + 689, + 551 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "50 These limit values highlight the sensitivity to the higher-order moments of the return. Because of this \n51 property, the free energy has been used as the certainty-equivalent for assessing the value of both \n52 actions and observations under limited control and model uncertainty respectively, each effect having \n53 their own inverse temperature. The work by Grau-Moya et al. (2016) is a demonstration of how to \n54 incorporate multiple types of effects in MDPs. \n55 The present work addresses a longstanding problem pointed out by Mihatsch and Neuneier (2002). \n56 An advantage of using expectations is that certainty-equivalents such as (4) are easily estimated \n57 using stochastic approximation schemes. For instance, consider the classical Robbins-Monro update \n58 (Robbins and Monro, 1951) ", + "bbox": [ + 147, + 555, + 825, + 626 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 147, + 631, + 825, + 686 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/301d917cb6cccff33f2330bf15069d3a5a29b8ef9144d63eb5db96775bdbd1be.jpg", + "text": "$$\nv v + \\alpha \\cdot ( x - v )\n$$", + "text_format": "latex", + "bbox": [ + 429, + 685, + 568, + 703 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "59 where $x \\sim P ( x )$ is a stochastic target value, $\\alpha$ is a learning rate, and $v$ is the estimate of $\\mathbf { E } [ X ]$ . \n60 Substituting $x = \\ ' { R } ( s ^ { \\prime } ) + \\gamma V ( s ^ { \\prime } )$ and $v = V ( s )$ leads to the popular TD(0) update (Sutton and Barto, \n61 1990): ", + "bbox": [ + 145, + 704, + 828, + 746 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/06b0a1b22fca426c54b432dbd8fc4cddc60b27567240261a49ced1b4868e2456.jpg", + "text": "$$\nV ( s ) V ( s ) + \\alpha ( R ( s ^ { \\prime } ) + \\gamma V ( s ^ { \\prime } ) - V ( s ) ) .\n$$", + "text_format": "latex", + "bbox": [ + 348, + 744, + 650, + 762 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "62 However, there is no model-free counterpart for estimating free energies (5) under general unknown \n63 distributions. The difficulty lies in that model-free updates rely on single (Monte-Carlo) unbiased \n64 samples, but these are not available in the case of the free energy due to the log-term on the r.h.s. \n65 of (5). This shortcoming led Mihatsch and Neuneier (2002) to propose the alternative risk-sensitive \n66 learning rule ", + "bbox": [ + 147, + 765, + 826, + 834 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/cc5d096b5f70a14ffb0ca804843038cf3ed70b1109f355258052ed4c38a41939.jpg", + "text": "$$\nv v + \\alpha \\cdot u \\cdot ( x - v ) , \\qquad { \\mathrm { w h e r e ~ } } u = { \\{ \\begin{array} { l l } { ( 1 - \\kappa ) } & { { \\mathrm { i f ~ } } ( x - v ) \\geq 0 } \\\\ { ( 1 + \\kappa ) } & { { \\mathrm { i f ~ } } ( x - v ) < 0 } \\end{array} }\n$$", + "text_format": "latex", + "bbox": [ + 274, + 840, + 725, + 876 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "67 and where $\\kappa \\in [ - 1 ; 1 ]$ is a risk-sensitivity parameter. While the heuristic (9) does produce risk \n68 sensitive policies, these have no formal correspondence to free energies. \n69 As anticipated, our work contributes a simple model-free rule for estimating the free energy in the \n70 special case of Gaussian distributions. Starting from the Rescorla-Wagner rule ", + "bbox": [ + 142, + 882, + 825, + 912 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/1152d95a2950f97d42bd0610654c076a3997e86cf9b2bd86469fd3b98364f1df.jpg", + "image_caption": [ + "Figure 1: Update rule and its error function. a) shows the update $f ( x )$ to the estimate $v$ caused by the arrival of a sample $x$ , weighted by its probability density. The expected update is determined by comparing the integrals of the positive and negative lobes. b) Illustration of weighted update functions $f ( x )$ for different values of the current estimate $v$ . The positive lobes are either larger, equal, or smaller than the negative lobes for a $v$ that is either smaller, equal, or larger than the free energy respectively. c) Error function implied by the update rule. For a risk-neutral $\\beta = 0$ ) estimator the error function is equal to the quadratic error $\\begin{array} { r } { e ( \\delta , \\dot { 0 } ) = \\frac { 1 } { 2 } \\delta ^ { 2 } } \\end{array}$ . For a risk-averse estimator $\\beta < 0 )$ ), the error function is lopsided, penalizing under-estimates stronger than over-estimates. Furthermore, $e ( \\delta , \\beta )$ is an even function in $\\beta$ . " + ], + "image_footnote": [], + "bbox": [ + 171, + 95, + 828, + 256 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 145, + 420, + 825, + 449 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/fd03fc7c3f257bb9b78e249c90b4f102e58eeb00de690c90aac01f3920eb83f9.jpg", + "text": "$$\nv v + \\alpha \\cdot u \\cdot ( x - v ) ,\n$$", + "text_format": "latex", + "bbox": [ + 416, + 454, + 580, + 470 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "71 where $u \\in \\{ 0 , 1 \\}$ is an indicator function marking the presence of a stimulus (Rescorla, 1972), we \n72 substitute $u$ by twice the soft-indicator function $\\sigma _ { \\beta } ( x - v )$ of (3), which activates whenever $v$ either \n73 over- or underestimates the target value $x$ , depending on the sign of the risk-sensitivity parameter $\\beta$ . \n74 Using the substitutions appropriate for RL, we obtain the risk-sensitive $\\mathrm { T D } ( 0 )$ -rule ", + "bbox": [ + 147, + 474, + 825, + 531 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/0fa6ad236fe1b1048c7c5538ffda7f9cf67889dedc7bdb731cab5ff834208c22.jpg", + "text": "$$\nV ( s ) V ( s ) + 2 \\alpha \\cdot \\sigma _ { \\beta } ( \\delta ) \\cdot \\delta ,\n$$", + "text_format": "latex", + "bbox": [ + 393, + 535, + 602, + 553 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "75 where $\\delta = R ( s ^ { \\prime } ) + \\gamma V ( s ^ { \\prime } ) - V ( s )$ is the standard temporal-difference error. The learning rule is \n76 trivial to implement, works as stated for tabular RL, and is easily adapted to the objective functions \n77 of deep RL methods (Mnih et al., 2015). Finally, the learning rule is also consistent with findings in \n78 computational neuroscience (Niv et al., 2012), e.g. predicting asymmetric updates that are stronger \n79 for negative prediction errors in the risk-averse case (Gershman, 2015). ", + "bbox": [ + 147, + 556, + 825, + 627 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "80 2 Analysis of the Learning Rule ", + "text_level": 1, + "bbox": [ + 153, + 645, + 455, + 662 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our central result is the following lemma, which implies that the unique and stable fixed point of the expected learning dynamics of (2) is given by the desired free energy. ", + "bbox": [ + 160, + 676, + 823, + 705 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "83 Lemma 1. If $x _ { 1 } , x _ { 2 } , \\dotsc$ are i.i.d. samples from $P ( X ) = N ( x ; \\mu , \\rho )$ , then the expected update $J ( v )$ \n84 of the learning rule (2) is twice differentiable and such that ", + "bbox": [ + 150, + 708, + 826, + 737 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/086a71817bf3685fd8243bead94dd3cce6ac729ee50fd499e312bea7a0ef8b7c.jpg", + "text": "$$\nJ ( v ) = 2 \\mathbf { E } \\big [ \\sigma _ { \\beta } ( X - v ) \\cdot ( X - v ) \\big ] \\left\\{ { \\begin{array} { l l } { < 0 , } & { i f v > \\mathbf { F } _ { \\beta } ; } \\\\ { = 0 , } & { i f v = \\mathbf { F } _ { \\beta } ; } \\\\ { > 0 , } & { i f v < \\mathbf { F } _ { \\beta } . } \\end{array} } \\right.\n$$", + "text_format": "latex", + "bbox": [ + 315, + 742, + 681, + 795 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "85 Proof. The expected update of $v$ is ", + "bbox": [ + 145, + 814, + 405, + 829 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/b713f576bc4afcc1cf96f2f15a424c3a09c0e0cf47d9de6694089a5d849b114e.jpg", + "text": "$$\nJ ( v ) : = 2 \\int N ( x ; \\mu , \\rho ) \\sigma ( x - v ) ( x - v ) d x ,\n$$", + "text_format": "latex", + "bbox": [ + 349, + 833, + 647, + 864 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "86 where we have dropped the subscript $\\beta$ from $\\sigma _ { \\beta }$ for simplicity. Using the Leibnitz integral rule it \n87 is easily seen that this function is twice differentiable w.r.t. $v$ , because the integrand is a product of \n88 twice differentiable functions. \n89 The resulting update direction will be positive if the integral over the positive contributions outweight \n90 the negative contributions and vice versa. The integrand of (12) has a symmetry property: splitting \n91 the domain of integration $\\mathbb { R }$ into $\\left( - \\infty ; v \\right]$ and $( v ; + \\infty )$ , using the change of variable $\\delta = x - v$ , and \n92 recombining the two integrals into one gives ", + "bbox": [ + 147, + 868, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 145, + 90, + 826, + 147 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/b5aef8d6eb1225cc7483cbbd61d6b7bbf07a801de3574a109e1a5b7ea1d498f6.jpg", + "text": "$$\nJ ( v ) : = 2 \\int _ { 0 } ^ { \\infty } \\Bigl \\{ N ( v + \\delta ; \\mu , \\rho ) \\sigma ( \\delta ) - N ( v - \\delta ; \\mu , \\rho ) \\sigma ( - \\delta ) \\Bigr \\} \\delta d \\delta .\n$$", + "text_format": "latex", + "bbox": [ + 277, + 150, + 720, + 184 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "93 We will show that the integrand of (13) is either negative, zero, or positive, depending on the value \n94 of $v$ . Define the weighted update $f ( x )$ as ", + "bbox": [ + 142, + 185, + 826, + 215 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/3ed6cf313b682b0e88f8cfe59d86723e092066ddd475425fba91826057edc027.jpg", + "text": "$$\nf ( x ) = f ( v + \\delta ) : = N ( v + \\delta ; \\mu , \\rho ) \\sigma ( \\delta ) \\delta .\n$$", + "text_format": "latex", + "bbox": [ + 357, + 218, + 638, + 234 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "95 This function is illustrated in Figure 1a. We are interested in the ratio ", + "bbox": [ + 147, + 237, + 627, + 252 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/0251c2a07a7ad71736197a172db6653412920a14d1f00de56c464b9b8ecb03b8.jpg", + "text": "$$\n\\frac { f ( v + \\delta ) } { f ( v - \\delta ) } = \\frac { N ( v + \\delta ; \\mu , \\rho ) } { N ( v - \\delta ; \\mu , \\rho ) } \\frac { \\sigma ( \\delta ) } { \\sigma ( - \\delta ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 379, + 255, + 617, + 290 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "96 which compares the positive against the negative contributions to the integrand in (13). The first \n97 fraction of the r.h.s. of (14) is equal to ", + "bbox": [ + 147, + 291, + 826, + 320 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/bea2fce608e49b428e3c022111ffcb1062bc83c24ed54cf419390dc95bce3cca.jpg", + "text": "$$\n\\frac { N ( v + \\delta ; \\mu , \\delta ) } { N ( v - \\delta ; \\mu , \\rho ) } = \\exp \\Bigl \\{ - \\frac { \\rho } { 2 } ( v + \\delta - \\mu ) ^ { 2 } + \\frac { \\rho } { 2 } ( v - \\delta - \\mu ) ^ { 2 } \\Bigr \\} = \\exp \\{ - 2 \\rho \\delta ( v - \\mu ) \\} .\n$$", + "text_format": "latex", + "bbox": [ + 220, + 321, + 777, + 356 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "98 Using the symmetry property $\\sigma ( \\delta ) = 1 - \\sigma ( - \\delta )$ of the logistic sigmoid function, the second fraction \n99 can be shown to be equal to ", + "bbox": [ + 145, + 359, + 823, + 387 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/24fb140af7f5ca8d00afb653bff55f2849d59d995cef5489ffa9e6ef6602b0a1.jpg", + "text": "$$\n{ \\frac { \\sigma ( \\delta ) } { \\sigma ( - \\delta ) } } = { \\frac { \\sigma ( \\delta ) } { 1 - \\sigma ( \\delta ) } } = \\exp \\{ \\beta \\delta \\} .\n$$", + "text_format": "latex", + "bbox": [ + 388, + 385, + 609, + 420 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "100 Substituting the above back into (14) results in ", + "bbox": [ + 143, + 420, + 482, + 435 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/d200739cc8d7149b07c1a388568fd882113e370afdd95850a310bc288a66a9b9.jpg", + "text": "$$\n\\frac { f ( v + \\delta ) } { f ( v - \\delta ) } = \\exp \\{ - 2 \\rho \\delta ( v - \\mu ) + \\beta \\delta \\} \\left\\{ \\begin{array} { l l } { > 1 } & { \\mathrm { f o r } v < \\mu + \\frac { \\beta } { 2 \\rho } , } \\\\ { = 1 } & { \\mathrm { f o r } v = \\mu + \\frac { \\beta } { 2 \\rho } , } \\\\ { < 1 } & { \\mathrm { f o r } v > \\mu + \\frac { \\beta } { 2 \\rho } , } \\end{array} \\right.\n$$", + "text_format": "latex", + "bbox": [ + 287, + 436, + 707, + 496 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "also illustrated in Figure 1b. Therefore, the integrand in (13) is either positive101 $\\begin{array} { r } { ( v < \\mu + \\frac { 2 } { 2 \\rho } ) } \\end{array}$ , zero 102 $\\begin{array} { r } { ( v = \\mu + \\frac { \\beta } { 2 \\rho } ) } \\end{array}$ , or negative $\\begin{array} { r } { ( v > \\mu + \\frac { \\beta } { 2 \\rho } ) } \\end{array}$ , allowing to conclude the claim of the lemma. □ ", + "bbox": [ + 142, + 498, + 825, + 536 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 Additional Properties ", + "text_level": 1, + "bbox": [ + 161, + 551, + 385, + 569 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We discuss additional properties in order to strengthen the intuition and to clarify the significance of the learning rule; some practical implementation advice is given at the end. ", + "bbox": [ + 165, + 582, + 823, + 611 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "106 Associated free energy functional. The Gaussian free energy $\\mathbf { F } _ { \\beta }$ in (1) is formally related to the \n107 valuation of risk-sensitive portfolios used in finance (Markowitz, 1952). It is well-known that the free \n108 energy is the extremum of the free energy functional, defined as the Kullback-Leibler-regularized \n109 expectation of $X$ : ", + "bbox": [ + 140, + 623, + 826, + 679 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/6e8ca2f406d41c556606d808901915f88c268ebce1a59533ec3da86f54529740.jpg", + "text": "$$\nF _ { \\beta } \\big [ p ( x ) \\big ] : = \\mathbf { E } _ { p } [ X ] - \\frac { 1 } { \\beta } \\mathbf { K L } \\big ( p ( x ) \\big | \\big | N ( x ; \\mu , \\rho ) \\big ) .\n$$", + "text_format": "latex", + "bbox": [ + 338, + 678, + 658, + 710 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "110 This functional is convex in $p$ for $\\beta < 0$ and concave for $\\beta > 0$ . Taking either the minimum (for \n111 $\\beta < 0$ ) or maximum (for $\\beta > 0$ ) w.r.t. $p ( x )$ yields ", + "bbox": [ + 140, + 710, + 826, + 739 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/2d7f49d83ef9d9c3449d7d5c5bdcd05a1cd059f2e584fa8f3153560a55ccf24c.jpg", + "text": "$$\n\\mathbf { F } _ { \\beta } = \\operatorname { e x t r } F _ { \\beta } \\left[ p ( x ) \\right] = \\left[ \\mu + { \\frac { \\beta } { \\rho } } \\right] - { \\frac { 1 } { \\beta } } \\left[ { \\frac { \\beta ^ { 2 } } { 2 \\rho } } \\right] = \\mu + { \\frac { \\beta } { 2 \\rho } } = \\mathbf { E } [ X ] + { \\frac { \\beta } { 2 } } \\mathbf { V a r } [ X ] ,\n$$", + "text_format": "latex", + "bbox": [ + 241, + 742, + 754, + 776 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "112 that is, the Gaussian free energy is a linear function of $\\beta$ , where the intercept and the slope are equal to the expectation and half of the variance of 113 $X$ respectively. The extremizer $p ^ { * } ( x )$ is the Gaussian ", + "bbox": [ + 145, + 779, + 823, + 808 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/a683f9aaa8552ebdd38daf828598f88fb782eb08f26deefde9056a5627c1872d.jpg", + "text": "$$\n\\begin{array} { r } { p ^ { * } ( x ) = \\arg \\underset { p ( x ) } { \\mathrm { e x t r } } F _ { \\beta } \\big [ p ( x ) \\big ] = N ( x ; \\mu + \\frac { \\beta } { \\rho } , \\rho ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 343, + 811, + 655, + 838 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "114 The above gives a precise meaning to the free energy as a certainty-equivalent. The choice of a \n115 non-zero inverse temperature $\\beta$ reflects a distrust in the reference probability density $N ( x ; \\mu , \\rho )$ as a \n116 reliable model for $X$ . Specifically, the magnitude of $\\beta$ quantifies the degree of distrust and the sign of \n117 $\\beta$ indicates whether it is an under- or overestimation. This distrust results in using the extremizer (17) \n118 as a robust substitute for the original reference model for $X$ . \n119 Game-theoretic interpretation. In addition to the above, previous work (Ortega and Lee, 2014; \n120 Eysenbach and Levine, 2019; Husain et al., 2021) has shown that the free energy functional has an \n121 interpretation as a two-player game which characterizes its robustness properties. Following Ortega \n122 and Lee (2014), computing the Legendre-Fenchel dual of the KL regularizer yields an equivalent \n123 adversarial re-statement of the free energy functional (15), which for $\\beta > 0$ is given by ", + "bbox": [ + 140, + 842, + 825, + 912 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 90, + 826, + 161 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/a53bb2ba46105f69bf28015bbf491a4cf592a23f4ef18da3635df34d4c6b4665.jpg", + "text": "$$\n\\operatorname* { m a x } _ { p ( x ) } \\operatorname* { m i n } _ { c ( x ) } \\Bigl \\{ \\int p ( x ) [ x - c ( x ) ] d x + \\int N ( x ; \\mu , \\rho ) \\exp \\{ \\beta c ( x ) \\} d x , \\Bigr \\} ,\n$$", + "text_format": "latex", + "bbox": [ + 274, + 165, + 720, + 198 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "124 where the perturbations $c ( x ) \\in \\mathbb { R }$ are chosen by an adversary (Note: for the case $\\beta < 0$ one obtains a \n125 Minimax problem over $p ( x )$ and $c ( x )$ rather than a Maximin). From this dual interpretation, one sees \n126 that the distribution $p ( x )$ is chosen as if it were maximizing the expected value of $x ^ { \\prime } = x - c ( x )$ , \n127 the adversarially perturbed version of $x$ . In turn, the adversary attempts to minimize $x ^ { \\prime }$ , but at the \n128 cost of an exponential penalty for $c ( x )$ . More precisely, given the distribution $p ( x )$ , the adversarial \n129 best-response (ignoring constants) is ", + "bbox": [ + 140, + 204, + 826, + 287 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/03921b9dd6349d37713859ff54d092826276d5c9575d54510229cf85a06c6be2.jpg", + "text": "$$\nc ^ { * } ( x ) \\overset { ( \\cong ) } { = } \\frac { 1 } { \\beta } \\log \\frac { p ( x ) } { N ( x ; \\mu , \\rho ) } \\overset { ( \\ u ) } { = } \\frac { 1 } { 2 \\beta } \\bigg \\{ \\rho ( x - \\mu ) ^ { 2 } - \\bar { \\rho } ( x - \\bar { \\mu } ) ^ { 2 } + \\log \\frac { \\bar { \\rho } } { \\rho } \\bigg \\} \\overset { ( \\circ ) } { = } x - \\mathbf { F } _ { \\beta } ,\n$$", + "text_format": "latex", + "bbox": [ + 235, + 292, + 763, + 327 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "130 where the equality (a) is true for any choice of $p ( x )$ ; (b) holds if $p ( x ) = N ( x ; \\bar { \\mu } , \\bar { \\rho } )$ for some mean $\\bar { \\mu }$ \n131 and precision $\\bar { \\rho }$ ; and where (c) holds if $p ( x )$ is the extremizer (17). Here we see that the adversarial \n132 perturbations can be arbitrarily bad if $p ( x )$ is not chosen cautiously: for instance, for the (Gaussian) \n133 Dirac delta ", + "bbox": [ + 140, + 330, + 825, + 387 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/75747962245266449929ece28395aa43b220b1b55d3b9bca25051a207d9f7a40.jpg", + "text": "$$\np ( x ) = N ( x ; \\mu , { \\bar { \\rho } } ) { \\xrightarrow { \\bar { \\rho } \\to \\infty } } \\delta ( x = \\mu ) \\quad { \\mathrm { w e ~ g e t } } \\quad c ^ { * } ( x ) = { \\mathcal { O } } \\left( \\log { \\frac { \\bar { \\rho } } { \\rho } } \\right) { \\xrightarrow { \\bar { \\rho } \\to \\infty } } + \\infty .\n$$", + "text_format": "latex", + "bbox": [ + 235, + 388, + 763, + 421 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "134 Error function. Let $\\delta = x - v$ be the instantaneous difference between the sample and the estimate. \n135 If the update rule (2) corresponds to a stochastic gradient descent step, then what is the error function? \n136 That is, if ", + "bbox": [ + 140, + 431, + 826, + 473 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/5aa6e1de469112812175ebf07fc7956efe25597faddb8c57cc20b2699e167f07.jpg", + "text": "$$\nv v - \\alpha \\cdot \\nabla _ { \\delta } e ( \\delta , \\beta ) = v + 2 \\alpha \\cdot \\sigma _ { \\beta } ( \\delta ) \\cdot \\delta ,\n$$", + "text_format": "latex", + "bbox": [ + 351, + 473, + 645, + 489 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "137 then what is $e ( \\delta , \\beta ) ?$ Integrating the gradient $\\nabla _ { \\delta } e ( \\delta , \\beta )$ with respect to $\\delta$ gives ", + "bbox": [ + 142, + 491, + 691, + 507 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/34aec5f48f486f80c7e304e4b9e196a16bea4db2280a4c343218ad7df667c662.jpg", + "text": "$$\ne ( \\delta , \\beta ) = 2 \\int \\sigma ( \\delta ) \\delta d \\delta = \\frac { 2 \\delta } { \\beta } \\log ( 1 + \\exp \\{ \\beta \\delta \\} ) + \\frac { 2 } { \\beta ^ { 2 } } \\mathrm { l i } _ { 2 } ( - \\exp \\{ \\beta \\delta \\} ) + \\frac { \\pi ^ { 2 } } { 6 \\beta ^ { 2 } } ,\n$$", + "text_format": "latex", + "bbox": [ + 236, + 512, + 758, + 546 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "138 where $\\log ( 1 + \\exp ( z ) )$ is the softplus function (Dugas et al., 2001) and $\\operatorname { l i } _ { 2 } ( z )$ is Spence’s function \n139 (or dilogarithm) defined as ", + "bbox": [ + 137, + 550, + 831, + 578 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/4537bfb87e99fb8f00e11f6179b05ab12fb0703f3338bb3a20ae68cbf47a270f.jpg", + "text": "$$\n\\operatorname { l i } _ { 2 } ( z ) = - \\int _ { 0 } ^ { z } { \\frac { \\log ( 1 - z ) } { z } } d z ,\n$$", + "text_format": "latex", + "bbox": [ + 397, + 577, + 599, + 611 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "and where the constant of integration 140 $\\frac { \\pi ^ { 2 } } { 6 \\beta ^ { 2 } }$ was chosen so that $\\begin{array} { r } { \\operatorname* { l i m } _ { \\delta \\to 0 } e ( \\delta , \\beta ) = 0 } \\end{array}$ for all $\\beta \\in \\mathbb { R }$ . This 141 error function is illustrated in Figure 1c for a handful of values of $\\beta$ . In the limit $\\beta 0$ , the error 142 function becomes: ", + "bbox": [ + 140, + 613, + 825, + 660 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/b4062cdf6c6148363451f34a71acccf830e98a858401d027065f0452d2cac67b.jpg", + "text": "$$\n\\operatorname* { l i m } _ { \\beta \\to 0 } e ( \\delta , \\beta ) = \\frac { 1 } { 2 } \\delta ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 431, + 655, + 563, + 688 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "thus establishing a connection between the quadratic error and the proposed learning rule. ", + "bbox": [ + 161, + 688, + 758, + 704 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "144 Practical considerations. The free energy learning rule (2) can be implemented as stated, for 145 instance either using constant learning rate $\\alpha > 0$ or using an adaptive learning rate $\\alpha _ { t } > 0$ fulfilling the Robbins-Monro conditions 146 $\\textstyle \\sum _ { t } \\alpha _ { t } > 0$ and $\\textstyle \\sum _ { t } \\alpha _ { t } ^ { 2 } < \\infty$ . ", + "bbox": [ + 142, + 717, + 826, + 761 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "147 A problem arises when most of the data falls within the near-zero saturated region of the sigmoid, \n148 which can occur due to an unfortunate initialization of the estimate $v$ . Since then $\\sigma _ { \\beta } ( x - v ) \\approx 0$ for \n149 most $x$ , learning can be very slow. This problem can be mitigated using an affine transformation of \n150 the sigmoid that gaurantees a minimal rate $\\eta > 0$ , such as ", + "bbox": [ + 140, + 765, + 825, + 821 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/0fe538b8ad359f0f62044870266f7a763ad9d29d26728ba5aef7248381cba2aa.jpg", + "text": "$$\n\\tilde { \\sigma } _ { \\beta } ( z ) = \\eta + ( 1 - 2 \\eta ) \\sigma _ { \\beta } ( z ) ,\n$$", + "text_format": "latex", + "bbox": [ + 401, + 827, + 596, + 844 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "1 which re-scales the sigmoid within the interval $[ \\eta , 1 - \\eta ]$ . We have found this adjustment to work \n52 well for $| \\beta | \\approx 0$ , especially when it is only used during the first few iterations. \n153 If one wishes to use the learning rule in combination with gradient-based optimization (as is typical \n154 in a deep learning architecture), we do not recommend using the error function (21) directly. Rather, ", + "bbox": [ + 156, + 848, + 825, + 877 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 138, + 882, + 828, + 912 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/bd03460c00d63676423398a7e3d504713a73ba933c89cffafb50c9740424dee3.jpg", + "image_caption": [ + "Figure 2: Estimation of the free energy from Gaussian (left panel) and uniform samples (right panel). Each plot shows 10 estimation processes (9 in pink, 1 in red) per choice of the inverse temperature, where $\\beta \\in \\{ - 4 , - 2 , 0 , 2 , 4 \\}$ . The true free energies are shown in black. The estimation of the free energy is accurate for Gaussian data but biased for uniform data. " + ], + "image_footnote": [], + "bbox": [ + 169, + 98, + 826, + 256 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "155 we suggest absorbing the factor $2 \\tilde { \\sigma } _ { \\beta } ( \\delta )$ directly into the learning rate (where as before, $\\delta = x - v )$ ", + "bbox": [ + 151, + 352, + 821, + 367 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "56 A simple way to achieve this consists in scaling the estimation error $E ( \\delta )$ by said factor using a \n57 stop-gradient, that is, ", + "bbox": [ + 153, + 367, + 825, + 393 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/28e52601e44ca37be4ee057f54febdfdd3b5f5c15b718de3a0dbe5d9a315ad09.jpg", + "text": "$$\n\\tilde { E } ( \\delta ) : = \\mathrm { S t o p G r a d } ( 2 \\tilde { \\sigma } _ { \\beta } ( \\delta ) ) \\cdot E ( \\delta ) ,\n$$", + "text_format": "latex", + "bbox": [ + 380, + 392, + 616, + 412 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "158 since then the error gradient with respect to the model parameters $\\theta$ will be ", + "bbox": [ + 140, + 412, + 665, + 428 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/2444b2d01624a227cfbe0331228816eac647aa8d1b44563bf566c6be993a95ff.jpg", + "text": "$$\n\\nabla _ { \\boldsymbol { \\theta } } \\tilde { E } ( \\boldsymbol { \\delta } ) = - 2 \\tilde { \\sigma } _ { \\beta } ( \\boldsymbol { \\delta } ) \\cdot \\frac { \\partial E } { \\partial \\boldsymbol { \\delta } } \\frac { \\partial v } { \\partial \\boldsymbol { \\theta } } .\n$$", + "text_format": "latex", + "bbox": [ + 397, + 429, + 601, + 462 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "159 Finally, a large $| \\beta |$ chooses a target free energy within a tail of the distribution, leading to slower \n160 convergence. If one wishes to approximate a free energy that sits at $n$ standard deviations from the \n161 mean, then $\\beta$ should be chosen as ", + "bbox": [ + 142, + 470, + 825, + 512 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/03efa6c3f111e8247d7b67f22c489518c91985f0149818caf10f682310218164.jpg", + "text": "$$\n\\beta ( n ) = 2 n \\sqrt { \\rho } .\n$$", + "text_format": "latex", + "bbox": [ + 447, + 511, + 550, + 529 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "2 However, since $\\beta ( n )$ is not scale invariant and the scale $\\rho$ is unknown, a good choice of $\\beta$ must be \n3 determined empirically. ", + "bbox": [ + 158, + 530, + 825, + 558 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "164 4 Experiments ", + "text_level": 1, + "bbox": [ + 151, + 575, + 312, + 593 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "165 Estimation. Our first experiment is a simple sanity check. We estimated the free energy in an \n166 online manner using the learning rule (2) from data generated by two i.i.d. sources: a standard \n167 Gaussian, and uniform distribution over the interval $[ - 2 , 2 ]$ . Five different inverse temperatures \n168 were used $( \\beta \\in \\{ - 4 , - 2 , 0 , 2 , 4 \\} )$ . For each condition, we ran ten estimation processes from 4000 \n169 random samples using the same starting point $\\mathit { v } = 1 . 5$ ). The learning rate was constant and equal to \n170 $\\alpha = 0 . 0 2$ . \n171 The results are shown in figure 2. In the Gaussian case, the estimation processes successfully stabilize \n172 around the true free energies, with processes having larger $| \\beta |$ converging slower, but fluctuating \n173 less. In the uniform case, the estimation processes do not settle around the correct free energy values \n174 for $\\beta \\neq 0$ ; however, the found solutions increase monotonically with $\\beta$ . These results validate the \n175 estimation method only for Gaussian data, as expected. \n176 Reinforcement learning. Next we applied the risk-sensitive learning rule to RL in a simple grid \n177 world. The goal was to qualitatively investigate the types of policies that result from different \n178 risk-sensitivities. Shown in Figure 3a, the objective of the agent is to navigate to a terminal state \n179 containing a reward pill within no more than 25 time steps while avoiding the water. The reward pill \n180 delivers one reward point upon collection, whereas standing in the water penalizes the agent with \n181 minus one reward point per time step. In addition, there is a very strong wind: with $50 \\%$ chance in \n182 each step, the wind pushes the agent one block in a randomly chosen cardinal direction. \n183 We trained R2D2 (Kapturowski et al., 2018) agents with the risk-sensitive cost function (23) using \n184 five uniformly spaced inverse temperatures $\\beta$ ranging from $- 0 . 8$ to 0.8. The architecture of our \n185 agents consisted of a first convolutional layer with 3-by-3-kernels and 128 channels, a dense layer \n186 with 128 units, and a logit layer for the four possible actions (i.e. walking directions). The discount \n187 factor was set to $\\gamma = 0 . 9 5$ . Each agent was trained for 500K iterations with a batch size of 64, using \n188 the Adam optimizer with learning rate $1 0 ^ { - 4 }$ (Kingma and Ba, 2014). The target network was updated \n189 every 400 steps. The inputs to the network were observation tensors of binary features representing \n190 the 2D board. Note these agents didn’t use any recurrent cells and therefore no backpropagation \n191 through time was used. To train all the agents in this experiment we used 154 CPU core hours at 2.4 \n192 GHz and 22.5 GPU hours. \n193 To analyze the resulting policies, we computed the episodic returns and the percentage of time the \n194 agents spent in the water (i.e. the “violations”) from 1000 roll-outs. The results, shown in Figure 3b, \n195 reveal that the risk-neutral policy $\\beta = 0$ ) has the highest average return. However, the percentage of \n196 violations increases monotonically with $\\beta$ . Figure 3c shows the state-visitation probabilities estimated \n197 from the same roll-outs. There are essentially three types of policies: risk-averse, taking the longest \n198 path away from the water; risk-neutral, taking middle path; and risk-seeking, taking the shortest \n199 route right next to the water. These are even more crisply revealed when the wind is de-activated. \n200 Interestingly, the risk-averse policy $\\beta = - 0 . 8 )$ does not always reach the goal, which explains why \n201 its return is slightly lower in spite of committing fewer violations. \n202 Bandits. In the last experiment we wanted to observe the premiums that risk-sensitive agents are \n203 willing to pay when confronted with a choice between a certain and a risky option. To do so, we \n204 used a two-arm bandit setup, where one arm (“certain”) delivered a fixed reward and the other arm \n205 (“risky”) a stochastic one—more precisely, drawn from a Gaussian distribution with mean $\\mu$ and \n206 precision $\\rho = 2$ . Both the fixed payoff and the mean $\\mu$ of the risky arm were drawn from a standard \n207 Gaussian distribution at the beginning of an episode, which lasted twenty rounds. To build agents \n208 that can trade off exploration versus exploitation, we used memory-based meta-learning (Wang et al., \n209 2016; Santoro et al., 2016), which is known to produce near-optimal bandit players (Ortega et al., \n210 2019; Mikulik et al., 2020). \n211 We meta-trained five R2D2 agents using risk-sensitives $\\beta \\in \\{ - 1 . 0 , - 0 . 5 , 0 , 0 . 5 , 1 . 0 \\}$ on the two \n212 armed bandit task distribution (also randomizing the certain/risky arm positions) with discount factor \n213 $\\gamma = 0 . 9 5$ . The network architecture and training parameters were as in the previous RL experiment, \n214 with the difference that the initial convolutional layer was replaced with a dense layer and an LSTM \n215 layer having 128 memory cells (Hochreiter and Schmidhuber, 1997). We used backpropagation \n216 through time for computing the episode gradients. The input to the network consisted of the action \n217 taken and reward obtained in the previous step. This setup allows agents to adapt their choices to past \n218 interactions throughout an episode. To train all the agents in this experiment we used 88 CPU core \n219 hours at $2 . 4 \\ : \\mathrm { G H z }$ and 10 GPU hours. ", + "bbox": [ + 140, + 606, + 825, + 689 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 695, + 825, + 765 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 779, + 825, + 877 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 882, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/f7e66af7de1a6fcb8d2c3b1c86030599165a688873f538aa8f7f7590fdd2452c.jpg", + "image_caption": [ + "Figure 3: Comparison of risk-sensitive RL agents. a) The task consists in picking up a reward located at the terminal state while avoiding stepping into water. A strong wind pushes the agent into a random direction $50 \\%$ of the time. b) Bar plots showing the average return (blue) and the percentage of violations (red) for each policy, ordered from lowest to highest $\\beta$ . c) State visitation frequencies for each policy, plus the optimal (deterministic) policy when there is no wind (black paths). " + ], + "image_footnote": [], + "bbox": [ + 178, + 88, + 826, + 323 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 434, + 825, + 546 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 553, + 825, + 678 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 696, + 825, + 821 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 828, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/7ae5696db630fa8992a0b5df2c7dbe8c3630e973ebff738cc261f7b747fef6fe.jpg", + "image_caption": [ + "Figure 4: Two-armed bandit policy profiles with different risk-sensitivities $\\beta$ . The certain arm 1 pays a deterministic reward, while the risky arm 2 pays a stochastic reward drawn from $N ( r ; \\mu , \\rho )$ with precision $\\rho = 2$ . The agents were meta-trained on bandits where the payoffs (i.e. arm 1’s payoff and arm 2’s mean) were drawn from a standard Gaussian distribution. The plots show the marginal probability of choosing the certain arm (blue) over the risky arm (red) after twenty interactions for every payoff combination. Each point in the uniform grid was estimated from 30 seeds. Note the deviations from the true risk-neutral indifference curve (black diagonal). " + ], + "image_footnote": [], + "bbox": [ + 173, + 88, + 826, + 191 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 332, + 825, + 372 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Figure 4 shows the agents’ choice profile in the last $( \\mathrm { 2 0 ^ { t h } } )$ time step. A true risk-neutral agent does not distinguish between a certain and risky option that have the same expected payoff (black diagonal). The main finding is that the indifference region (i.e. close to a $50 \\%$ choice in white color) evolves significantly with increasing $\\beta$ , implying that the agents with different risk attitudes are indeed willing to pay different risk premia (measured as the vertical distance of the indifference region from the diagonal). We observe two effects. The most salient effect is that the indifference region mostly 6 moves from being beneath (risk-averse) to above (risk-seeking) the true risk-neutral indifference curve as $\\beta$ increases. The second effect is that risk-averse policies $\\beta = - 1$ and $- 0 . 5 )$ contain a 8 large region of a stochastic choice profile that appears to depend only on the risky arm’s parameter. 9 We do not have a clear explanation for this effect. Our hypothesis is that risk-averse policies assume adversarial environments, which require playing mixed strategies with precise probabilities. Finally, the risk-neutral agent $\\beta = 0$ ) appears to be slightly risk-averse. We believe that this effect arises due 2 to the noisy exploration policy employed during training. ", + "bbox": [ + 156, + 378, + 825, + 559 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "233 5 Discussion ", + "text_level": 1, + "bbox": [ + 150, + 585, + 292, + 602 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Summary of contributions. In this work we have introduced a learning rule for the online estimation of the Gaussian free energy with unknown mean and precision/variance. The learning rule (2) is obtained by reinterpreting the stimulus-presence indicator component of the Rescorla-Wagner rule (Rescorla, 1972) as a (soft) indicator function for the event of either over- or underestimating the target value. In Lemma 1 we have shown that the free energy is the unique and stable fixed point of the expected learning dynamics. This is the main contribution. ", + "bbox": [ + 169, + 621, + 825, + 704 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "240 Furthermore, we have shown how to use the learning rule for risk-sensitive RL. Since the free \n241 energy implements certainty-equivalents that range from risk-averse to risk-seeking, we were able \n242 to formulate a risk-sensitive, model-free update in the spirit of TD(0) (Sutton and Barto, 1990), \n243 thereby addressing a longstanding problem (Mihatsch and Neuneier, 2002) for the special case of \n244 the Gaussian distribution. Due to its simplicity, the rule is easy to incorporate into existing deep RL \n245 algorithms, for instance by modifying the error using a stop-gradient as shown in (23). In Section 3 \n246 we also elaborated on the role of the free energy within decision-making, pointing out its robustness \n247 properties and adversarial interpretation. \n248 We also demonstrated the learning rule in experiments. Firstly, we empirically confirmed that \n249 the online estimates stabilize around the correct Gaussian free energies (Section 4–Estimation). \n250 Secondly, we showed how incorporating risk-attitudes into deep RL can lead to agents implementing \n251 qualitatively different policies which intuitively make sense (Section 4–RL). Lastly, we inspected the \n252 premia risk-sensitive agents are willing to pay for choosing a risky over a certain option, finding that \n253 agents have choice patterns that are more complex than we had anticipated (Section 4–Bandits). ", + "bbox": [ + 140, + 710, + 825, + 821 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 828, + 825, + 911 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Limitations. As shown empirically in Section 4–Estimation, an important limitation of the learning rule is that its fixed point is only equal to the free energy when the samples are Gaussian (or approximately Gaussian, as justified by the CLT). Nevertheless, agents using the risk-sensitive TD(0) update (11) still display risk attitudes monotonic in $\\beta$ , with $\\beta = 0$ reducing to the familiar risk-neutral case. ", + "bbox": [ + 156, + 90, + 825, + 161 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "59 While Lemma 1 establishes the stable equilibrium of the expected update, it only guarantees convergence in continuous-time updates. To show convergence using discrete-time point samples, a stronger result is required. In particular, we conjecture that ", + "bbox": [ + 156, + 166, + 825, + 209 + ], + "page_idx": 8 + }, + { + "type": "equation", + "img_path": "images/fa28ea1087936028f4cf09b5228d2de7ce9472eb370de07898d5cfc486ca7b03.jpg", + "text": "$$\n\\left| J ( v ) \\right| = 2 \\Biggr | \\int N ( x ; \\mu , \\rho ) \\sigma _ { \\beta } ( x - v ) ( x - v ) d x \\Biggr | \\leq 2 \\bigl | { \\bf F } _ { \\beta } - v \\bigr |\n$$", + "text_format": "latex", + "bbox": [ + 295, + 213, + 700, + 247 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "If (26) is true, meaning that $J ( v )$ is 2-Lipschitz, then this could be combined with a result in stochastic approximation theory akin to Theorem 1 in Jaakkola et al. (1994) to prove convergence. ", + "bbox": [ + 151, + 251, + 823, + 281 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "A shortcoming of our experiments using R2D2 agents is that they deterministically pick actions that maximize the Q-value. However, risk-averse agents see their environments as being adversarial, and these in turn require stochastic policies in order to achieve optimal performance. ", + "bbox": [ + 163, + 286, + 825, + 329 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Conclusions. Because it is impossible to anticipate the many ways in which a dynamically-changing environment will violate prior assumptions, requiring the robustness of ML algorithms is of vital importance for their deployment in real-world applications. Unforeseen events can render their decisions unreliable—and in some cases even unsafe. ", + "bbox": [ + 173, + 342, + 825, + 398 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Our work makes a small but nonetheless significant contribution to risk-sensitivity in ML. In essence, it suggests a minor modification to existing algorithms, biasing valuation estimates in a risk-sensitive manner. In particular, we expect the risk-sensitive TD(0)-learning rule to become an integral part of future deep RL algorithms. ", + "bbox": [ + 173, + 404, + 825, + 460 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "References ", + "text_level": 1, + "bbox": [ + 173, + 479, + 266, + 496 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Amodei, D., Olah, C., Steinhardt, J., Christiano, P., Schulman, J., and Mané, D. (2016). Concrete problems in AI safety. arXiv preprint arXiv:1606.06565. ", + "bbox": [ + 168, + 503, + 825, + 531 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Bellman, R. (1957). Dynamic Programming. Princeton University Press. ", + "bbox": [ + 176, + 540, + 653, + 555 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Bertsekas, D. P. and Tsitsiklis, J. N. (1995). Neuro-dynamic programming: an overview. In Proceedings of 1995 34th IEEE conference on decision and control, volume 1, pages 560–564. IEEE. 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", + "bbox": [ + 214, + 116, + 339, + 131 + ], + "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] see Section 5 \n(c) Did you discuss any potential negative societal impacts of your work? [Yes] see Section 5 \n(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 238, + 135, + 825, + 241 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... ", + "bbox": [ + 214, + 243, + 493, + 258 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "(a) Did you state the full set of assumptions of all theoretical results? [Yes] in Section 2. \n(b) Did you include complete proofs of all theoretical results? [Yes] in Section 2. ", + "bbox": [ + 236, + 262, + 818, + 295 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "3. If you ran experiments... ", + "bbox": [ + 212, + 299, + 393, + 313 + ], + "page_idx": 11 + }, + { + "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)? [No] The code is proprietary. \n(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] see Section 4. \n(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] see Section 4. \n(d) Did you include the total amount of compute and the type of resources used (e.g., type of GPUs, internal cluster, or cloud provider)? [Yes] see Section 4. ", + "bbox": [ + 238, + 316, + 825, + 449 + ], + "page_idx": 11 + }, + { + "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": 11 + }, + { + "type": "text", + "text": "(a) If your work uses existing assets, did you cite the creators? [N/A] \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, + 472, + 825, + 593 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "5. If you used crowdsourcing or conducted research with human subjects... ", + "bbox": [ + 214, + 598, + 705, + 612 + ], + "page_idx": 11 + }, + { + "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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Do not distribute.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 729, + 500, + 744 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 89, + 72, + 506, + 182 + ], + "lines": [ + { + "bbox": [ + 89, + 73, + 506, + 86 + ], + "spans": [ + { + "bbox": [ + 89, + 74, + 100, + 84 + ], + "score": 1.0, + "content": "27", + "type": "text" + }, + { + "bbox": [ + 105, + 73, + 506, + 86 + ], + "score": 1.0, + "content": "Risk-sensitive control has a long history in control theory (Coraluppi, 1997) and is an active area", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 89, + 84, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 89, + 86, + 100, + 95 + ], + "score": 1.0, + "content": "28", + "type": "text" + }, + { + "bbox": [ + 106, + 84, + 506, + 96 + ], + "score": 1.0, + "content": "of research within reinforcement learning (RL). 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There are multiple different approaches to risk-", + "type": "text" + } + ], + "index": 1, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 94, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 89, + 96, + 100, + 106 + ], + "score": 1.0, + "content": "29", + "type": "text" + }, + { + "bbox": [ + 105, + 94, + 506, + 107 + ], + "score": 1.0, + "content": "sensitivity in RL: for instance in Minimax RL, inspired by classical robust control theory, one derives", + "type": "text" + } + ], + "index": 2, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 89, + 108, + 100, + 117 + ], + "score": 1.0, + "content": "30", + "type": "text" + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "a conservative worst-case policy over MDP parameter intervals (Nilim and El Ghaoui, 2005; Tamar", + "type": "text" + } + ], + "index": 3, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 117, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 89, + 118, + 99, + 128 + ], + "score": 1.0, + "content": "31", + "type": "text" + }, + { + "bbox": [ + 105, + 117, + 506, + 128 + ], + "score": 1.0, + "content": "et al., 2014); and the more recent CVaR approach relies on using the conditional-value-at-risk as a", + "type": "text" + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 128, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 89, + 129, + 100, + 139 + ], + "score": 1.0, + "content": "32", + "type": "text" + }, + { + "bbox": [ + 106, + 128, + 505, + 139 + ], + "score": 1.0, + "content": "robust performance measure (Galichet et al., 2013; Cassel et al., 2018). We refer the reader to García", + "type": "text" + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 137, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 89, + 140, + 100, + 150 + ], + "score": 1.0, + "content": "33", + "type": "text" + }, + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "score": 1.0, + "content": "and Fernández (2015) for a comprehensive overview. Here we focus on one of the earliest and most", + "type": "text" + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 149, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 89, + 151, + 100, + 160 + ], + "score": 1.0, + "content": "34", + "type": "text" + }, + { + "bbox": [ + 105, + 149, + 506, + 162 + ], + "score": 1.0, + "content": "popular approaches (see references), consisting of the use of exponentially-transformed values, or", + "type": "text" + } + ], + "index": 7, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 160, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 89, + 162, + 100, + 172 + ], + "score": 1.0, + "content": "35", + "type": "text" + }, + { + "bbox": [ + 104, + 160, + 506, + 172 + ], + "score": 1.0, + "content": "equivalently, the free energy as the risk-sensitive certainty-equivalent (Bellman, 1957; Howard and", + "type": "text" + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 171, + 179, + 182 + ], + "spans": [ + { + "bbox": [ + 89, + 173, + 100, + 182 + ], + "score": 1.0, + "content": "36", + "type": "text" + }, + { + "bbox": [ + 105, + 171, + 179, + 182 + ], + "score": 1.0, + "content": "Matheson, 1972).", + "type": "text" + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 89, + 189, + 100, + 198 + ], + "score": 1.0, + "content": "37", + "type": "text" + }, + { + "bbox": [ + 105, + 187, + 292, + 200 + ], + "score": 1.0, + "content": "The certainty-equivalent of a stochastic value", + "type": "text" + }, + { + "bbox": [ + 292, + 187, + 322, + 198 + ], + "score": 0.91, + "content": "X \\in \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "is defined as the representative deterministic", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 88, + 200, + 100, + 209 + ], + "score": 1.0, + "content": "38", + "type": "text" + }, + { + "bbox": [ + 105, + 198, + 131, + 211 + ], + "score": 1.0, + "content": "value", + "type": "text" + }, + { + "bbox": [ + 131, + 198, + 158, + 208 + ], + "score": 0.9, + "content": "v \\in \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 198, + 342, + 211 + ], + "score": 1.0, + "content": "that a decision-maker uses as a summary of", + "type": "text" + }, + { + "bbox": [ + 342, + 199, + 352, + 208 + ], + "score": 0.83, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "for valuation purposes. 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Finally, the learning rule is also consistent with findings in", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 474, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 88, + 476, + 100, + 487 + ], + "score": 1.0, + "content": "78", + "type": "text" + }, + { + "bbox": [ + 105, + 474, + 506, + 488 + ], + "score": 1.0, + "content": "computational neuroscience (Niv et al., 2012), e.g. predicting asymmetric updates that are stronger", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 485, + 392, + 497 + ], + "spans": [ + { + "bbox": [ + 89, + 487, + 100, + 497 + ], + "score": 1.0, + "content": "79", + "type": "text" + }, + { + "bbox": [ + 105, + 485, + 392, + 497 + ], + "score": 1.0, + "content": "for negative prediction errors in the risk-averse case (Gershman, 2015).", + "type": "text" + } + ], + "index": 24, + "is_list_start_line": true + } + ], + "index": 22, + "bbox_fs": [ + 88, + 441, + 506, + 497 + ] + }, + { + "type": "title", + "bbox": [ + 94, + 511, + 279, + 525 + ], + "lines": [ + { + "bbox": [ + 90, + 510, + 279, + 528 + ], + "spans": [ + { + "bbox": [ + 90, + 510, + 279, + 528 + ], + "score": 1.0, + "content": "80 2 Analysis of the Learning Rule", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 98, + 536, + 504, + 559 + ], + "lines": [ + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "score": 1.0, + "content": "Our central result is the following lemma, which implies that the unique and stable fixed point of the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 546, + 387, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 387, + 561 + ], + "score": 1.0, + "content": "expected learning dynamics of (2) is given by the desired free energy.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 536, + 505, + 561 + ] + }, + { + "type": "index", + "bbox": [ + 92, + 561, + 506, + 584 + ], + "lines": [ + { + "bbox": [ + 90, + 560, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 90, + 564, + 101, + 573 + ], + "score": 1.0, + "content": "83", + "type": "text" + }, + { + "bbox": [ + 102, + 560, + 162, + 575 + ], + "score": 1.0, + "content": "Lemma 1. If", + "type": "text" + }, + { + "bbox": [ + 163, + 562, + 204, + 573 + ], + "score": 0.84, + "content": "x _ { 1 } , x _ { 2 } , \\dotsc", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 560, + 298, + 575 + ], + "score": 1.0, + "content": "are i.i.d. samples from", + "type": "text" + }, + { + "bbox": [ + 298, + 561, + 379, + 574 + ], + "score": 0.91, + "content": "P ( X ) = N ( x ; \\mu , \\rho )", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 560, + 484, + 575 + ], + "score": 1.0, + "content": ", then the expected update", + "type": "text" + }, + { + "bbox": [ + 484, + 561, + 505, + 574 + ], + "score": 0.91, + "content": "J ( v )", + "type": "inline_equation" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 572, + 345, + 585 + ], + "spans": [ + { + "bbox": [ + 87, + 572, + 345, + 585 + ], + "score": 1.0, + "content": "84 of the learning rule (2) is twice differentiable and such that", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + } + ], + "index": 28.5, + "bbox_fs": [ + 87, + 560, + 505, + 585 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 588, + 417, + 630 + ], + "lines": [ + { + "bbox": [ + 193, + 588, + 417, + 630 + ], + "spans": [ + { + "bbox": [ + 193, + 588, + 417, + 630 + ], + "score": 0.93, + "content": "J ( v ) = 2 \\mathbf { E } \\big [ \\sigma _ { \\beta } ( X - v ) \\cdot ( X - v ) \\big ] \\left\\{ { \\begin{array} { l l } { < 0 , } & { i f v > \\mathbf { F } _ { \\beta } ; } \\\\ { = 0 , } & { i f v = \\mathbf { F } _ { \\beta } ; } \\\\ { > 0 , } & { i f v < \\mathbf { F } _ { \\beta } . } \\end{array} } \\right.", + "type": "interline_equation", + "image_path": "086a71817bf3685fd8243bead94dd3cce6ac729ee50fd499e312bea7a0ef8b7c.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 193, + 588, + 417, + 602.0 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 193, + 602.0, + 417, + 616.0 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 193, + 616.0, + 417, + 630.0 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 89, + 645, + 248, + 657 + ], + "lines": [ + { + "bbox": [ + 87, + 644, + 249, + 658 + ], + "spans": [ + { + "bbox": [ + 87, + 644, + 232, + 658 + ], + "score": 1.0, + "content": "85 Proof. The expected update of", + "type": "text" + }, + { + "bbox": [ + 232, + 649, + 238, + 655 + ], + "score": 0.76, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 644, + 249, + 658 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33, + "bbox_fs": [ + 87, + 644, + 249, + 658 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 214, + 660, + 396, + 685 + ], + "lines": [ + { + "bbox": [ + 214, + 660, + 396, + 685 + ], + "spans": [ + { + "bbox": [ + 214, + 660, + 396, + 685 + ], + "score": 0.95, + "content": "J ( v ) : = 2 \\int N ( x ; \\mu , \\rho ) \\sigma ( x - v ) ( x - v ) d x ,", + "type": "interline_equation", + "image_path": "b713f576bc4afcc1cf96f2f15a424c3a09c0e0cf47d9de6694089a5d849b114e.jpg" + } + ] + } + ], + "index": 34, + "virtual_lines": [ + { + "bbox": [ + 214, + 660, + 396, + 685 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "index", + "bbox": [ + 90, + 688, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 88, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 88, + 689, + 261, + 701 + ], + "score": 1.0, + "content": "86 where we have dropped the subscript", + "type": "text" + }, + { + "bbox": [ + 261, + 691, + 267, + 700 + ], + "score": 0.89, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 689, + 292, + 701 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 292, + 694, + 303, + 702 + ], + "score": 0.84, + "content": "\\sigma _ { \\beta }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "for simplicity. Using the Leibnitz integral rule it", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 89, + 703, + 100, + 711 + ], + "score": 1.0, + "content": "87", + "type": "text" + }, + { + "bbox": [ + 104, + 700, + 345, + 712 + ], + "score": 1.0, + "content": "is easily seen that this function is twice differentiable w.r.t.", + "type": "text" + }, + { + "bbox": [ + 345, + 704, + 351, + 710 + ], + "score": 0.76, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 700, + 506, + 712 + ], + "score": 1.0, + "content": ", because the integrand is a product of", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 711, + 229, + 723 + ], + "spans": [ + { + "bbox": [ + 89, + 711, + 229, + 723 + ], + "score": 1.0, + "content": "88 twice differentiable functions.", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 73, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 89, + 75, + 100, + 84 + ], + "score": 1.0, + "content": "89", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 73, + 505, + 86 + ], + "score": 1.0, + "content": "The resulting update direction will be positive if the integral over the positive contributions outweight", + "type": "text", + "cross_page": true + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 82, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 89, + 86, + 100, + 96 + ], + "score": 1.0, + "content": "90", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 82, + 505, + 97 + ], + "score": 1.0, + "content": "the negative contributions and vice versa. 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Define the weighted update", + "type": "text" + }, + { + "bbox": [ + 240, + 159, + 260, + 171 + ], + "score": 0.94, + "content": "f ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 158, + 274, + 172 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "interline_equation", + "bbox": [ + 219, + 173, + 391, + 186 + ], + "lines": [ + { + "bbox": [ + 219, + 173, + 391, + 186 + ], + "spans": [ + { + "bbox": [ + 219, + 173, + 391, + 186 + ], + "score": 0.9, + "content": "f ( x ) = f ( v + \\delta ) : = N ( v + \\delta ; \\mu , \\rho ) \\sigma ( \\delta ) \\delta .", + "type": "interline_equation", + "image_path": "3ed6cf313b682b0e88f8cfe59d86723e092066ddd475425fba91826057edc027.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 219, + 173, + 391, + 186 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 90, + 188, + 384, + 200 + ], + "lines": [ + { + "bbox": [ + 87, + 187, + 385, + 201 + ], + "spans": [ + { + "bbox": [ + 87, + 187, + 385, + 201 + ], + "score": 1.0, + "content": "95 This function is illustrated in Figure 1a. We are interested in the ratio", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "interline_equation", + "bbox": [ + 232, + 202, + 378, + 230 + ], + "lines": [ + { + "bbox": [ + 232, + 202, + 378, + 230 + ], + "spans": [ + { + "bbox": [ + 232, + 202, + 378, + 230 + ], + "score": 0.95, + "content": "\\frac { f ( v + \\delta ) } { f ( v - \\delta ) } = \\frac { N ( v + \\delta ; \\mu , \\rho ) } { N ( v - \\delta ; \\mu , \\rho ) } \\frac { \\sigma ( \\delta ) } { \\sigma ( - \\delta ) } ,", + "type": "interline_equation", + "image_path": "0251c2a07a7ad71736197a172db6653412920a14d1f00de56c464b9b8ecb03b8.jpg" + } + ] + } + ], + "index": 11.5, + "virtual_lines": [ + { + "bbox": [ + 232, + 202, + 378, + 216.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 232, + 216.0, + 378, + 230.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 90, + 231, + 506, + 254 + ], + "lines": [ + { + "bbox": [ + 86, + 230, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 86, + 230, + 506, + 244 + ], + "score": 1.0, + "content": "96 which compares the positive against the negative contributions to the integrand in (13). The first", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 87, + 241, + 261, + 254 + ], + "spans": [ + { + "bbox": [ + 87, + 241, + 261, + 254 + ], + "score": 1.0, + "content": "97 fraction of the r.h.s. of (14) is equal to", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "interline_equation", + "bbox": [ + 135, + 255, + 476, + 282 + ], + "lines": [ + { + "bbox": [ + 135, + 255, + 476, + 282 + ], + "spans": [ + { + "bbox": [ + 135, + 255, + 476, + 282 + ], + "score": 0.91, + "content": "\\frac { N ( v + \\delta ; \\mu , \\delta ) } { N ( v - \\delta ; \\mu , \\rho ) } = \\exp \\Bigl \\{ - \\frac { \\rho } { 2 } ( v + \\delta - \\mu ) ^ { 2 } + \\frac { \\rho } { 2 } ( v - \\delta - \\mu ) ^ { 2 } \\Bigr \\} = \\exp \\{ - 2 \\rho \\delta ( v - \\mu ) \\} .", + "type": "interline_equation", + "image_path": "bea2fce608e49b428e3c022111ffcb1062bc83c24ed54cf419390dc95bce3cca.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 135, + 255, + 476, + 264.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 135, + 264.0, + 476, + 273.0 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 135, + 273.0, + 476, + 282.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 89, + 285, + 504, + 307 + ], + "lines": [ + { + "bbox": [ + 89, + 284, + 505, + 298 + ], + "spans": [ + { + "bbox": [ + 89, + 287, + 101, + 297 + ], + "score": 1.0, + "content": "98", + "type": "text" + }, + { + "bbox": [ + 103, + 284, + 223, + 298 + ], + "score": 1.0, + "content": "Using the symmetry property", + "type": "text" + }, + { + "bbox": [ + 224, + 285, + 299, + 297 + ], + "score": 0.93, + "content": "\\sigma ( \\delta ) = 1 - \\sigma ( - \\delta )", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 284, + 505, + 298 + ], + "score": 1.0, + "content": "of the logistic sigmoid function, the second fraction", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 87, + 296, + 221, + 309 + ], + "spans": [ + { + "bbox": [ + 87, + 296, + 221, + 309 + ], + "score": 1.0, + "content": "99 can be shown to be equal to", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5 + }, + { + "type": "interline_equation", + "bbox": [ + 238, + 305, + 373, + 333 + ], + "lines": [ + { + "bbox": [ + 238, + 305, + 373, + 333 + ], + "spans": [ + { + "bbox": [ + 238, + 305, + 373, + 333 + ], + "score": 0.94, + "content": "{ \\frac { \\sigma ( \\delta ) } { \\sigma ( - \\delta ) } } = { \\frac { \\sigma ( \\delta ) } { 1 - \\sigma ( \\delta ) } } = \\exp \\{ \\beta \\delta \\} .", + "type": "interline_equation", + "image_path": "24fb140af7f5ca8d00afb653bff55f2849d59d995cef5489ffa9e6ef6602b0a1.jpg" + } + ] + } + ], + "index": 20.5, + "virtual_lines": [ + { + "bbox": [ + 238, + 305, + 373, + 319.0 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 238, + 319.0, + 373, + 333.0 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 88, + 333, + 295, + 345 + ], + "lines": [ + { + "bbox": [ + 85, + 332, + 295, + 345 + ], + "spans": [ + { + "bbox": [ + 85, + 332, + 295, + 345 + ], + "score": 1.0, + "content": "100 Substituting the above back into (14) results in", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "interline_equation", + "bbox": [ + 176, + 346, + 433, + 393 + ], + "lines": [ + { + "bbox": [ + 176, + 346, + 433, + 393 + ], + "spans": [ + { + "bbox": [ + 176, + 346, + 433, + 393 + ], + "score": 0.94, + "content": "\\frac { f ( v + \\delta ) } { f ( v - \\delta ) } = \\exp \\{ - 2 \\rho \\delta ( v - \\mu ) + \\beta \\delta \\} \\left\\{ \\begin{array} { l l } { > 1 } & { \\mathrm { f o r } v < \\mu + \\frac { \\beta } { 2 \\rho } , } \\\\ { = 1 } & { \\mathrm { f o r } v = \\mu + \\frac { \\beta } { 2 \\rho } , } \\\\ { < 1 } & { \\mathrm { f o r } v > \\mu + \\frac { \\beta } { 2 \\rho } , } \\end{array} \\right.", + "type": "interline_equation", + "image_path": "d200739cc8d7149b07c1a388568fd882113e370afdd95850a310bc288a66a9b9.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 176, + 346, + 433, + 361.6666666666667 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 176, + 361.6666666666667, + 433, + 377.33333333333337 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 176, + 377.33333333333337, + 433, + 393.00000000000006 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 87, + 395, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 84, + 394, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 84, + 394, + 426, + 411 + ], + "score": 1.0, + "content": "also illustrated in Figure 1b. Therefore, the integrand in (13) is either positive101", + "type": "text" + }, + { + "bbox": [ + 426, + 395, + 480, + 410 + ], + "score": 0.92, + "content": "\\begin{array} { r } { ( v < \\mu + \\frac { 2 } { 2 \\rho } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 394, + 506, + 411 + ], + "score": 1.0, + "content": ", zero", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 84, + 408, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 84, + 408, + 108, + 427 + ], + "score": 1.0, + "content": "102", + "type": "text" + }, + { + "bbox": [ + 108, + 409, + 161, + 425 + ], + "score": 0.91, + "content": "\\begin{array} { r } { ( v = \\mu + \\frac { \\beta } { 2 \\rho } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 408, + 212, + 427 + ], + "score": 1.0, + "content": ", or negative", + "type": "text" + }, + { + "bbox": [ + 213, + 409, + 266, + 425 + ], + "score": 0.92, + "content": "\\begin{array} { r } { ( v > \\mu + \\frac { \\beta } { 2 \\rho } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 408, + 455, + 427 + ], + "score": 1.0, + "content": ", allowing to conclude the claim of the lemma.", + "type": "text" + }, + { + "bbox": [ + 494, + 412, + 505, + 422 + ], + "score": 1.0, + "content": "□", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + }, + { + "type": "title", + "bbox": [ + 99, + 437, + 236, + 451 + ], + "lines": [ + { + "bbox": [ + 104, + 435, + 238, + 453 + ], + "spans": [ + { + "bbox": [ + 104, + 435, + 238, + 453 + ], + "score": 1.0, + "content": "3 Additional Properties", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 101, + 461, + 504, + 484 + ], + "lines": [ + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "We discuss additional properties in order to strengthen the intuition and to clarify the significance of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 472, + 408, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 408, + 484 + ], + "score": 1.0, + "content": "the learning rule; some practical implementation advice is given at the end.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 86, + 494, + 506, + 538 + ], + "lines": [ + { + "bbox": [ + 86, + 494, + 506, + 507 + ], + "spans": [ + { + "bbox": [ + 86, + 497, + 100, + 507 + ], + "score": 1.0, + "content": "106", + "type": "text" + }, + { + "bbox": [ + 105, + 494, + 365, + 507 + ], + "score": 1.0, + "content": "Associated free energy functional. The Gaussian free energy", + "type": "text" + }, + { + "bbox": [ + 365, + 496, + 379, + 507 + ], + "score": 0.88, + "content": "\\mathbf { F } _ { \\beta }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 494, + 506, + 507 + ], + "score": 1.0, + "content": "in (1) is formally related to the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 86, + 505, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 86, + 507, + 99, + 517 + ], + "score": 1.0, + "content": "107", + "type": "text" + }, + { + "bbox": [ + 105, + 505, + 505, + 518 + ], + "score": 1.0, + "content": "valuation of risk-sensitive portfolios used in finance (Markowitz, 1952). It is well-known that the free", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 86, + 516, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 86, + 519, + 100, + 528 + ], + "score": 1.0, + "content": "108", + "type": "text" + }, + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "score": 1.0, + "content": "energy is the extremum of the free energy functional, defined as the Kullback-Leibler-regularized", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 86, + 528, + 180, + 540 + ], + "spans": [ + { + "bbox": [ + 86, + 529, + 100, + 539 + ], + "score": 1.0, + "content": "109", + "type": "text" + }, + { + "bbox": [ + 105, + 528, + 166, + 540 + ], + "score": 1.0, + "content": "expectation of", + "type": "text" + }, + { + "bbox": [ + 166, + 529, + 176, + 538 + ], + "score": 0.83, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 528, + 180, + 540 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5 + }, + { + "type": "interline_equation", + "bbox": [ + 207, + 537, + 403, + 563 + ], + "lines": [ + { + "bbox": [ + 207, + 537, + 403, + 563 + ], + "spans": [ + { + "bbox": [ + 207, + 537, + 403, + 563 + ], + "score": 0.92, + "content": "F _ { \\beta } \\big [ p ( x ) \\big ] : = \\mathbf { E } _ { p } [ X ] - \\frac { 1 } { \\beta } \\mathbf { K L } \\big ( p ( x ) \\big | \\big | N ( x ; \\mu , \\rho ) \\big ) .", + "type": "interline_equation", + "image_path": "6e8ca2f406d41c556606d808901915f88c268ebce1a59533ec3da86f54529740.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 207, + 537, + 403, + 563 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 86, + 563, + 506, + 586 + ], + "lines": [ + { + "bbox": [ + 86, + 560, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 86, + 560, + 222, + 576 + ], + "score": 1.0, + "content": "110 This functional is convex in", + "type": "text" + }, + { + "bbox": [ + 223, + 565, + 229, + 574 + ], + "score": 0.8, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 560, + 245, + 576 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 245, + 563, + 272, + 574 + ], + "score": 0.9, + "content": "\\beta < 0", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 560, + 341, + 576 + ], + "score": 1.0, + "content": "and concave for", + "type": "text" + }, + { + "bbox": [ + 342, + 563, + 368, + 574 + ], + "score": 0.9, + "content": "\\beta > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 560, + 506, + 576 + ], + "score": 1.0, + "content": ". 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The extremizer", + "type": "text" + }, + { + "bbox": [ + 414, + 629, + 438, + 641 + ], + "score": 0.93, + "content": "p ^ { * } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 628, + 503, + 642 + ], + "score": 1.0, + "content": "is the Gaussian", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41.5 + }, + { + "type": "interline_equation", + "bbox": [ + 210, + 643, + 401, + 664 + ], + "lines": [ + { + "bbox": [ + 210, + 643, + 401, + 664 + ], + "spans": [ + { + "bbox": [ + 210, + 643, + 401, + 664 + ], + "score": 0.93, + "content": "\\begin{array} { r } { p ^ { * } ( x ) = \\arg \\underset { p ( x ) } { \\mathrm { e x t r } } F _ { \\beta } \\big [ p ( x ) \\big ] = N ( x ; \\mu + \\frac { \\beta } { \\rho } , \\rho ) . } \\end{array}", + "type": "interline_equation", + "image_path": "a683f9aaa8552ebdd38daf828598f88fb782eb08f26deefde9056a5627c1872d.jpg" + } + ] + } + ], + "index": 43, + "virtual_lines": [ + { + "bbox": [ + 210, + 643, + 401, + 664 + ], + "spans": [], + "index": 43 + } + ] + }, + { + "type": "text", + "bbox": [ + 86, + 667, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 86, + 666, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 86, + 669, + 100, + 678 + ], + "score": 1.0, + "content": "114", + "type": "text" + }, + { + "bbox": [ + 105, + 666, + 506, + 680 + ], + "score": 1.0, + "content": "The above gives a precise meaning to the free energy as a certainty-equivalent. 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Define the weighted update", + "type": "text" + }, + { + "bbox": [ + 240, + 159, + 260, + 171 + ], + "score": 0.94, + "content": "f ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 158, + 274, + 172 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 8, + "is_list_start_line": true + } + ], + "index": 7.5, + "bbox_fs": [ + 87, + 146, + 505, + 172 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 219, + 173, + 391, + 186 + ], + "lines": [ + { + "bbox": [ + 219, + 173, + 391, + 186 + ], + "spans": [ + { + "bbox": [ + 219, + 173, + 391, + 186 + ], + "score": 0.9, + "content": "f ( x ) = f ( v + \\delta ) : = N ( v + \\delta ; \\mu , \\rho ) \\sigma ( \\delta ) \\delta .", + "type": "interline_equation", + "image_path": "3ed6cf313b682b0e88f8cfe59d86723e092066ddd475425fba91826057edc027.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 219, + 173, + 391, + 186 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 90, + 188, + 384, + 200 + ], + "lines": [ + { + "bbox": [ + 87, + 187, + 385, + 201 + ], + "spans": [ + { + "bbox": [ + 87, + 187, + 385, + 201 + ], + "score": 1.0, + "content": "95 This function is illustrated in Figure 1a. We are interested in the ratio", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10, + "bbox_fs": [ + 87, + 187, + 385, + 201 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 232, + 202, + 378, + 230 + ], + "lines": [ + { + "bbox": [ + 232, + 202, + 378, + 230 + ], + "spans": [ + { + "bbox": [ + 232, + 202, + 378, + 230 + ], + "score": 0.95, + "content": "\\frac { f ( v + \\delta ) } { f ( v - \\delta ) } = \\frac { N ( v + \\delta ; \\mu , \\rho ) } { N ( v - \\delta ; \\mu , \\rho ) } \\frac { \\sigma ( \\delta ) } { \\sigma ( - \\delta ) } ,", + "type": "interline_equation", + "image_path": "0251c2a07a7ad71736197a172db6653412920a14d1f00de56c464b9b8ecb03b8.jpg" + } + ] + } + ], + "index": 11.5, + "virtual_lines": [ + { + "bbox": [ + 232, + 202, + 378, + 216.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 232, + 216.0, + 378, + 230.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "index", + "bbox": [ + 90, + 231, + 506, + 254 + ], + "lines": [ + { + "bbox": [ + 86, + 230, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 86, + 230, + 506, + 244 + ], + "score": 1.0, + "content": "96 which compares the positive against the negative contributions to the integrand in (13). 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In the limit", + "type": "text" + }, + { + "bbox": [ + 436, + 501, + 464, + 512 + ], + "score": 0.92, + "content": "\\beta 0", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 501, + 505, + 513 + ], + "score": 1.0, + "content": ", the error", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 85, + 512, + 182, + 523 + ], + "spans": [ + { + "bbox": [ + 85, + 512, + 182, + 523 + ], + "score": 1.0, + "content": "142 function becomes:", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33 + }, + { + "type": "interline_equation", + "bbox": [ + 264, + 519, + 345, + 545 + ], + "lines": [ + { + "bbox": [ + 264, + 519, + 345, + 545 + ], + "spans": [ + { + "bbox": [ + 264, + 519, + 345, + 545 + ], + "score": 0.93, + "content": "\\operatorname* { l i m } _ { \\beta \\to 0 } e ( \\delta , \\beta ) = \\frac { 1 } { 2 } \\delta ^ { 2 } ,", + "type": "interline_equation", + "image_path": "b4062cdf6c6148363451f34a71acccf830e98a858401d027065f0452d2cac67b.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 264, + 519, + 345, + 545 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 99, + 545, + 464, + 558 + ], + "lines": [ + { + "bbox": [ + 106, + 545, + 466, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 466, + 559 + ], + "score": 1.0, + "content": "thus establishing a connection between the quadratic error and the proposed learning rule.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 87, + 568, + 506, + 603 + ], + "lines": [ + { + "bbox": [ + 87, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 87, + 570, + 100, + 579 + ], + "score": 1.0, + "content": "144", + "type": "text" + }, + { + "bbox": [ + 104, + 568, + 506, + 581 + ], + "score": 1.0, + "content": "Practical considerations. The free energy learning rule (2) can be implemented as stated, for", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 86, + 578, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 86, + 581, + 100, + 591 + ], + "score": 1.0, + "content": "145", + "type": "text" + }, + { + "bbox": [ + 104, + 578, + 277, + 593 + ], + "score": 1.0, + "content": "instance either using constant learning rate", + "type": "text" + }, + { + "bbox": [ + 277, + 580, + 303, + 590 + ], + "score": 0.9, + "content": "\\alpha > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 578, + 437, + 593 + ], + "score": 1.0, + "content": "or using an adaptive learning rate", + "type": "text" + }, + { + "bbox": [ + 438, + 580, + 467, + 591 + ], + "score": 0.93, + "content": "\\alpha _ { t } > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 578, + 505, + 593 + ], + "score": 1.0, + "content": "fulfilling", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 86, + 590, + 349, + 603 + ], + "spans": [ + { + "bbox": [ + 86, + 590, + 231, + 603 + ], + "score": 1.0, + "content": "the Robbins-Monro conditions 146", + "type": "text" + }, + { + "bbox": [ + 231, + 590, + 277, + 603 + ], + "score": 0.92, + "content": "\\textstyle \\sum _ { t } \\alpha _ { t } > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 590, + 294, + 603 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 295, + 590, + 345, + 603 + ], + "score": 0.92, + "content": "\\textstyle \\sum _ { t } \\alpha _ { t } ^ { 2 } < \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 590, + 349, + 603 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 86, + 606, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 86, + 606, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 86, + 608, + 99, + 618 + ], + "score": 1.0, + "content": "147", + "type": "text" + }, + { + "bbox": [ + 104, + 606, + 506, + 620 + ], + "score": 1.0, + "content": "A problem arises when most of the data falls within the near-zero saturated region of the sigmoid,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 86, + 617, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 86, + 619, + 100, + 629 + ], + "score": 1.0, + "content": "148", + "type": "text" + }, + { + "bbox": [ + 105, + 617, + 373, + 630 + ], + "score": 1.0, + "content": "which can occur due to an unfortunate initialization of the estimate", + "type": "text" + }, + { + "bbox": [ + 374, + 620, + 380, + 628 + ], + "score": 0.73, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 617, + 429, + 630 + ], + "score": 1.0, + "content": ". Since then", + "type": "text" + }, + { + "bbox": [ + 429, + 618, + 490, + 630 + ], + "score": 0.91, + "content": "\\sigma _ { \\beta } ( x - v ) \\approx 0", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 617, + 505, + 630 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 86, + 629, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 86, + 631, + 100, + 640 + ], + "score": 1.0, + "content": "149", + "type": "text" + }, + { + "bbox": [ + 106, + 629, + 128, + 640 + ], + "score": 1.0, + "content": "most", + "type": "text" + }, + { + "bbox": [ + 129, + 631, + 135, + 639 + ], + "score": 0.69, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 629, + 505, + 640 + ], + "score": 1.0, + "content": ", learning can be very slow. This problem can be mitigated using an affine transformation of", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 86, + 639, + 339, + 652 + ], + "spans": [ + { + "bbox": [ + 86, + 641, + 100, + 651 + ], + "score": 1.0, + "content": "150", + "type": "text" + }, + { + "bbox": [ + 106, + 639, + 278, + 652 + ], + "score": 1.0, + "content": "the sigmoid that gaurantees a minimal rate", + "type": "text" + }, + { + "bbox": [ + 279, + 640, + 303, + 651 + ], + "score": 0.9, + "content": "\\eta > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 639, + 339, + 652 + ], + "score": 1.0, + "content": ", such as", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41.5 + }, + { + "type": "interline_equation", + "bbox": [ + 246, + 655, + 365, + 669 + ], + "lines": [ + { + "bbox": [ + 246, + 655, + 365, + 669 + ], + "spans": [ + { + "bbox": [ + 246, + 655, + 365, + 669 + ], + "score": 0.92, + "content": "\\tilde { \\sigma } _ { \\beta } ( z ) = \\eta + ( 1 - 2 \\eta ) \\sigma _ { \\beta } ( z ) ,", + "type": "interline_equation", + "image_path": "0fe538b8ad359f0f62044870266f7a763ad9d29d26728ba5aef7248381cba2aa.jpg" + } + ] + } + ], + "index": 44, + "virtual_lines": [ + { + "bbox": [ + 246, + 655, + 365, + 669 + ], + "spans": [], + "index": 44 + } + ] + }, + { + "type": "text", + "bbox": [ + 96, + 672, + 505, + 695 + ], + "lines": [ + { + "bbox": [ + 95, + 672, + 505, + 685 + ], + "spans": [ + { + "bbox": [ + 95, + 672, + 299, + 685 + ], + "score": 1.0, + "content": "1 which re-scales the sigmoid within the interval", + "type": "text" + }, + { + "bbox": [ + 300, + 672, + 338, + 685 + ], + "score": 0.9, + "content": "[ \\eta , 1 - \\eta ]", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 672, + 505, + 685 + ], + "score": 1.0, + "content": ". We have found this adjustment to work", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 93, + 683, + 420, + 696 + ], + "spans": [ + { + "bbox": [ + 93, + 683, + 140, + 696 + ], + "score": 1.0, + "content": "52 well for", + "type": "text" + }, + { + "bbox": [ + 140, + 683, + 171, + 695 + ], + "score": 0.92, + "content": "| \\beta | \\approx 0", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 683, + 420, + 696 + ], + "score": 1.0, + "content": ", especially when it is only used during the first few iterations.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 45.5 + }, + { + "type": "text", + "bbox": [ + 85, + 699, + 507, + 723 + ], + "lines": [ + { + "bbox": [ + 87, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 87, + 702, + 101, + 711 + ], + "score": 1.0, + "content": "153", + "type": "text" + }, + { + "bbox": [ + 104, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "If one wishes to use the learning rule in combination with gradient-based optimization (as is typical", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 84, + 710, + 507, + 724 + ], + "spans": [ + { + "bbox": [ + 84, + 710, + 507, + 724 + ], + "score": 1.0, + "content": "154 in a deep learning architecture), we do not recommend using the error function (21) directly. 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From this dual interpretation, one sees", + "type": "text" + } + ], + "index": 7, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 183, + 506, + 197 + ], + "spans": [ + { + "bbox": [ + 85, + 186, + 100, + 196 + ], + "score": 1.0, + "content": "126", + "type": "text" + }, + { + "bbox": [ + 105, + 183, + 189, + 197 + ], + "score": 1.0, + "content": "that the distribution", + "type": "text" + }, + { + "bbox": [ + 189, + 185, + 208, + 196 + ], + "score": 0.9, + "content": "p ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 183, + 443, + 197 + ], + "score": 1.0, + "content": "is chosen as if it were maximizing the expected value of", + "type": "text" + }, + { + "bbox": [ + 443, + 184, + 502, + 196 + ], + "score": 0.91, + "content": "x ^ { \\prime } = x - c ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 183, + 506, + 197 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 195, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 85, + 197, + 100, + 207 + ], + "score": 1.0, + "content": "127", + "type": "text" + }, + { + "bbox": [ + 106, + 195, + 261, + 207 + ], + "score": 1.0, + "content": "the adversarially perturbed version of", + "type": "text" + }, + { + "bbox": [ + 262, + 198, + 268, + 205 + ], + "score": 0.73, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 195, + 451, + 207 + ], + "score": 1.0, + "content": ". 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This problem can be mitigated using an affine transformation of", + "type": "text" + } + ], + "index": 42, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 639, + 339, + 652 + ], + "spans": [ + { + "bbox": [ + 86, + 641, + 100, + 651 + ], + "score": 1.0, + "content": "150", + "type": "text" + }, + { + "bbox": [ + 106, + 639, + 278, + 652 + ], + "score": 1.0, + "content": "the sigmoid that gaurantees a minimal rate", + "type": "text" + }, + { + "bbox": [ + 279, + 640, + 303, + 651 + ], + "score": 0.9, + "content": "\\eta > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 639, + 339, + 652 + ], + "score": 1.0, + "content": ", such as", + "type": "text" + } + ], + "index": 43, + "is_list_start_line": true + } + ], + "index": 41.5, + "bbox_fs": [ + 86, + 606, + 506, + 652 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 246, + 655, + 365, + 669 + ], + "lines": [ + { + "bbox": [ + 246, + 655, + 365, + 669 + ], + "spans": [ + { + "bbox": [ + 246, + 655, + 365, + 669 + ], + "score": 0.92, + "content": "\\tilde { \\sigma } _ { \\beta } ( z ) = \\eta + ( 1 - 2 \\eta ) \\sigma _ { \\beta } ( z ) ,", + "type": "interline_equation", + "image_path": "0fe538b8ad359f0f62044870266f7a763ad9d29d26728ba5aef7248381cba2aa.jpg" + } + ] + } + ], + "index": 44, + "virtual_lines": [ + { + "bbox": [ + 246, + 655, + 365, + 669 + ], + "spans": [], + "index": 44 + } + ] + }, + { + "type": "index", + "bbox": [ + 96, + 672, + 505, + 695 + ], + "lines": [ + { + "bbox": [ + 95, + 672, + 505, + 685 + ], + "spans": [ + { + "bbox": [ + 95, + 672, + 299, + 685 + ], + "score": 1.0, + "content": "1 which re-scales the sigmoid within the interval", + "type": "text" + }, + { + "bbox": [ + 300, + 672, + 338, + 685 + ], + "score": 0.9, + "content": "[ \\eta , 1 - \\eta ]", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 672, + 505, + 685 + ], + "score": 1.0, + "content": ". 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The true free energies are shown in black. The estimation of the free", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 249, + 366, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 366, + 261 + ], + "score": 1.0, + "content": "energy is accurate for Gaussian data but biased for uniform data.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 93, + 279, + 503, + 291 + ], + "lines": [ + { + "bbox": [ + 88, + 278, + 502, + 294 + ], + "spans": [ + { + "bbox": [ + 88, + 278, + 235, + 294 + ], + "score": 1.0, + "content": "155 we suggest absorbing the factor", + "type": "text" + }, + { + "bbox": [ + 236, + 280, + 265, + 292 + ], + "score": 0.93, + "content": "2 \\tilde { \\sigma } _ { \\beta } ( \\delta )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 278, + 457, + 294 + ], + "score": 1.0, + "content": "directly into the learning rate (where as before,", + "type": "text" + }, + { + "bbox": [ + 457, + 280, + 502, + 291 + ], + "score": 0.89, + "content": "\\delta = x - v )", + "type": "inline_equation" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 94, + 291, + 505, + 312 + ], + "lines": [ + { + "bbox": [ + 90, + 289, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 90, + 289, + 390, + 304 + ], + "score": 1.0, + "content": "56 A simple way to achieve this consists in scaling the estimation error", + "type": "text" + }, + { + "bbox": [ + 390, + 291, + 412, + 303 + ], + "score": 0.92, + "content": "E ( \\delta )", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 289, + 506, + 304 + ], + "score": 1.0, + "content": "by said factor using a", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 91, + 302, + 194, + 314 + ], + "spans": [ + { + "bbox": [ + 91, + 302, + 194, + 314 + ], + "score": 1.0, + "content": "57 stop-gradient, that is,", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "interline_equation", + "bbox": [ + 233, + 311, + 377, + 327 + ], + "lines": [ + { + "bbox": [ + 233, + 311, + 377, + 327 + ], + "spans": [ + { + "bbox": [ + 233, + 311, + 377, + 327 + ], + "score": 0.92, + "content": "\\tilde { E } ( \\delta ) : = \\mathrm { S t o p G r a d } ( 2 \\tilde { \\sigma } _ { \\beta } ( \\delta ) ) \\cdot E ( \\delta ) ,", + "type": "interline_equation", + "image_path": "28e52601e44ca37be4ee057f54febdfdd3b5f5c15b718de3a0dbe5d9a315ad09.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 233, + 311, + 377, + 327 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 86, + 327, + 407, + 339 + ], + "lines": [ + { + "bbox": [ + 86, + 326, + 408, + 340 + ], + "spans": [ + { + "bbox": [ + 86, + 326, + 370, + 340 + ], + "score": 1.0, + "content": "158 since then the error gradient with respect to the model parameters", + "type": "text" + }, + { + "bbox": [ + 370, + 327, + 376, + 337 + ], + "score": 0.83, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 326, + 408, + 340 + ], + "score": 1.0, + "content": "will be", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 243, + 340, + 368, + 366 + ], + "lines": [ + { + "bbox": [ + 243, + 340, + 368, + 366 + ], + "spans": [ + { + "bbox": [ + 243, + 340, + 368, + 366 + ], + "score": 0.94, + "content": "\\nabla _ { \\boldsymbol { \\theta } } \\tilde { E } ( \\boldsymbol { \\delta } ) = - 2 \\tilde { \\sigma } _ { \\beta } ( \\boldsymbol { \\delta } ) \\cdot \\frac { \\partial E } { \\partial \\boldsymbol { \\delta } } \\frac { \\partial v } { \\partial \\boldsymbol { \\theta } } .", + "type": "interline_equation", + "image_path": "2444b2d01624a227cfbe0331228816eac647aa8d1b44563bf566c6be993a95ff.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 243, + 340, + 368, + 366 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 87, + 373, + 505, + 406 + ], + "lines": [ + { + "bbox": [ + 87, + 373, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 87, + 376, + 100, + 384 + ], + "score": 1.0, + "content": "159", + "type": "text" + }, + { + "bbox": [ + 103, + 373, + 171, + 386 + ], + "score": 1.0, + "content": "Finally, a large", + "type": "text" + }, + { + "bbox": [ + 171, + 374, + 183, + 385 + ], + "score": 0.89, + "content": "| \\beta |", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 373, + 506, + 386 + ], + "score": 1.0, + "content": "chooses a target free energy within a tail of the distribution, leading to slower", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 87, + 384, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 87, + 387, + 99, + 395 + ], + "score": 1.0, + "content": "160", + "type": "text" + }, + { + "bbox": [ + 104, + 384, + 379, + 396 + ], + "score": 1.0, + "content": "convergence. 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Our first experiment is a simple sanity check. 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Five different inverse temperatures", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 85, + 513, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 85, + 515, + 100, + 525 + ], + "score": 1.0, + "content": "168", + "type": "text" + }, + { + "bbox": [ + 105, + 513, + 151, + 526 + ], + "score": 1.0, + "content": "were used", + "type": "text" + }, + { + "bbox": [ + 152, + 513, + 243, + 525 + ], + "score": 0.89, + "content": "( \\beta \\in \\{ - 4 , - 2 , 0 , 2 , 4 \\} )", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 513, + 505, + 526 + ], + "score": 1.0, + "content": ". For each condition, we ran ten estimation processes from 4000", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 85, + 524, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 85, + 526, + 100, + 536 + ], + "score": 1.0, + "content": "169", + "type": "text" + }, + { + "bbox": [ + 105, + 524, + 291, + 537 + ], + "score": 1.0, + "content": "random samples using the same starting point", + "type": "text" + }, + { + "bbox": [ + 291, + 525, + 325, + 535 + ], + "score": 0.84, + "content": "\\mathit { v } = 1 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 524, + 505, + 537 + ], + "score": 1.0, + "content": "). The learning rate was constant and equal to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 86, + 535, + 149, + 547 + ], + "spans": [ + { + "bbox": [ + 86, + 537, + 100, + 547 + ], + "score": 1.0, + "content": "170", + "type": "text" + }, + { + "bbox": [ + 106, + 536, + 145, + 546 + ], + "score": 0.84, + "content": "\\alpha = 0 . 0 2", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 535, + 149, + 547 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 86, + 551, + 505, + 606 + ], + "lines": [ + { + "bbox": [ + 86, + 552, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 86, + 554, + 99, + 563 + ], + "score": 1.0, + "content": "171", + "type": "text" + }, + { + "bbox": [ + 106, + 552, + 505, + 564 + ], + "score": 1.0, + "content": "The results are shown in figure 2. In the Gaussian case, the estimation processes successfully stabilize", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 86, + 562, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 86, + 565, + 100, + 574 + ], + "score": 1.0, + "content": "172", + "type": "text" + }, + { + "bbox": [ + 105, + 562, + 349, + 576 + ], + "score": 1.0, + "content": "around the true free energies, with processes having larger", + "type": "text" + }, + { + "bbox": [ + 349, + 563, + 362, + 575 + ], + "score": 0.89, + "content": "| \\beta |", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 562, + 505, + 576 + ], + "score": 1.0, + "content": "converging slower, but fluctuating", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 86, + 573, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 86, + 576, + 100, + 585 + ], + "score": 1.0, + "content": "173", + "type": "text" + }, + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "score": 1.0, + "content": "less. In the uniform case, the estimation processes do not settle around the correct free energy values", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 86, + 585, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 86, + 586, + 100, + 595 + ], + "score": 1.0, + "content": "174", + "type": "text" + }, + { + "bbox": [ + 106, + 585, + 120, + 596 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 121, + 585, + 146, + 596 + ], + "score": 0.9, + "content": "\\beta \\neq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 585, + 388, + 596 + ], + "score": 1.0, + "content": "; however, the found solutions increase monotonically with", + "type": "text" + }, + { + "bbox": [ + 388, + 585, + 395, + 596 + ], + "score": 0.83, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 585, + 505, + 596 + ], + "score": 1.0, + "content": ". These results validate the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 85, + 595, + 328, + 607 + ], + "spans": [ + { + "bbox": [ + 85, + 597, + 100, + 607 + ], + "score": 1.0, + "content": "175", + "type": "text" + }, + { + "bbox": [ + 105, + 595, + 328, + 607 + ], + "score": 1.0, + "content": "estimation method only for Gaussian data, as expected.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 87, + 617, + 505, + 695 + ], + "lines": [ + { + "bbox": [ + 86, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 86, + 620, + 100, + 630 + ], + "score": 1.0, + "content": "176", + "type": "text" + }, + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "Reinforcement learning. Next we applied the risk-sensitive learning rule to RL in a simple grid-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 86, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 86, + 631, + 99, + 641 + ], + "score": 1.0, + "content": "177", + "type": "text" + }, + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "world. The goal was to qualitatively investigate the types of policies that result from different", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 86, + 639, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 86, + 641, + 99, + 652 + ], + "score": 1.0, + "content": "178", + "type": "text" + }, + { + "bbox": [ + 105, + 639, + 505, + 653 + ], + "score": 1.0, + "content": "risk-sensitivities. Shown in Figure 3a, the objective of the agent is to navigate to a terminal state", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 86, + 651, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 86, + 653, + 100, + 662 + ], + "score": 1.0, + "content": "179", + "type": "text" + }, + { + "bbox": [ + 106, + 651, + 505, + 663 + ], + "score": 1.0, + "content": "containing a reward pill within no more than 25 time steps while avoiding the water. The reward pill", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 86, + 662, + 505, + 674 + ], + "spans": [ + { + "bbox": [ + 86, + 664, + 100, + 673 + ], + "score": 1.0, + "content": "180", + "type": "text" + }, + { + "bbox": [ + 105, + 662, + 505, + 674 + ], + "score": 1.0, + "content": "delivers one reward point upon collection, whereas standing in the water penalizes the agent with", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 86, + 672, + 506, + 685 + ], + "spans": [ + { + "bbox": [ + 86, + 675, + 99, + 684 + ], + "score": 1.0, + "content": "181", + "type": "text" + }, + { + "bbox": [ + 104, + 672, + 443, + 685 + ], + "score": 1.0, + "content": "minus one reward point per time step. In addition, there is a very strong wind: with", + "type": "text" + }, + { + "bbox": [ + 443, + 673, + 463, + 683 + ], + "score": 0.89, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 672, + 506, + 685 + ], + "score": 1.0, + "content": "chance in", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 86, + 683, + 458, + 696 + ], + "spans": [ + { + "bbox": [ + 86, + 685, + 100, + 695 + ], + "score": 1.0, + "content": "182", + "type": "text" + }, + { + "bbox": [ + 105, + 683, + 458, + 696 + ], + "score": 1.0, + "content": "each step, the wind pushes the agent one block in a randomly chosen cardinal direction.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 87, + 699, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 87, + 698, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 87, + 702, + 100, + 711 + ], + "score": 1.0, + "content": "183", + "type": "text" + }, + { + "bbox": [ + 104, + 698, + 506, + 714 + ], + "score": 1.0, + "content": "We trained R2D2 (Kapturowski et al., 2018) agents with the risk-sensitive cost function (23) using", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 84, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 84, + 711, + 286, + 723 + ], + "score": 1.0, + "content": "184 five uniformly spaced inverse temperatures", + "type": "text" + }, + { + "bbox": [ + 287, + 712, + 294, + 722 + ], + "score": 0.85, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 711, + 353, + 723 + ], + "score": 1.0, + "content": "ranging from", + "type": "text" + }, + { + "bbox": [ + 353, + 711, + 375, + 721 + ], + "score": 0.77, + "content": "- 0 . 8", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "to 0.8. 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The true free energies are shown in black. The estimation of the free", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 249, + 366, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 366, + 261 + ], + "score": 1.0, + "content": "energy is accurate for Gaussian data but biased for uniform data.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 93, + 279, + 503, + 291 + ], + "lines": [ + { + "bbox": [ + 88, + 278, + 502, + 294 + ], + "spans": [ + { + "bbox": [ + 88, + 278, + 235, + 294 + ], + "score": 1.0, + "content": "155 we suggest absorbing the factor", + "type": "text" + }, + { + "bbox": [ + 236, + 280, + 265, + 292 + ], + "score": 0.93, + "content": "2 \\tilde { \\sigma } _ { \\beta } ( \\delta )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 278, + 457, + 294 + ], + "score": 1.0, + "content": "directly into the learning rate (where as before,", + "type": "text" + }, + { + "bbox": [ + 457, + 280, + 502, + 291 + ], + "score": 0.89, + "content": "\\delta = x - 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Our first experiment is a simple sanity check. We estimated the free energy in an", + "type": "text" + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 491, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 85, + 493, + 100, + 504 + ], + "score": 1.0, + "content": "166", + "type": "text" + }, + { + "bbox": [ + 105, + 491, + 506, + 504 + ], + "score": 1.0, + "content": "online manner using the learning rule (2) from data generated by two i.i.d. sources: a standard", + "type": "text" + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 85, + 504, + 100, + 514 + ], + "score": 1.0, + "content": "167", + "type": "text" + }, + { + "bbox": [ + 106, + 502, + 324, + 515 + ], + "score": 1.0, + "content": "Gaussian, and uniform distribution over the interval", + "type": "text" + }, + { + "bbox": [ + 324, + 503, + 353, + 515 + ], + "score": 0.86, + "content": "[ - 2 , 2 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 502, + 506, + 515 + ], + "score": 1.0, + "content": ". Five different inverse temperatures", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 513, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 85, + 515, + 100, + 525 + ], + "score": 1.0, + "content": "168", + "type": "text" + }, + { + "bbox": [ + 105, + 513, + 151, + 526 + ], + "score": 1.0, + "content": "were used", + "type": "text" + }, + { + "bbox": [ + 152, + 513, + 243, + 525 + ], + "score": 0.89, + "content": "( \\beta \\in \\{ - 4 , - 2 , 0 , 2 , 4 \\} )", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 513, + 505, + 526 + ], + "score": 1.0, + "content": ". For each condition, we ran ten estimation processes from 4000", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 524, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 85, + 526, + 100, + 536 + ], + "score": 1.0, + "content": "169", + "type": "text" + }, + { + "bbox": [ + 105, + 524, + 291, + 537 + ], + "score": 1.0, + "content": "random samples using the same starting point", + "type": "text" + }, + { + "bbox": [ + 291, + 525, + 325, + 535 + ], + "score": 0.84, + "content": "\\mathit { v } = 1 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 524, + 505, + 537 + ], + "score": 1.0, + "content": "). The learning rate was constant and equal to", + "type": "text" + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 535, + 149, + 547 + ], + "spans": [ + { + "bbox": [ + 86, + 537, + 100, + 547 + ], + "score": 1.0, + "content": "170", + "type": "text" + }, + { + "bbox": [ + 106, + 536, + 145, + 546 + ], + "score": 0.84, + "content": "\\alpha = 0 . 0 2", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 535, + 149, + 547 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 552, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 86, + 554, + 99, + 563 + ], + "score": 1.0, + "content": "171", + "type": "text" + }, + { + "bbox": [ + 106, + 552, + 505, + 564 + ], + "score": 1.0, + "content": "The results are shown in figure 2. In the Gaussian case, the estimation processes successfully stabilize", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 562, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 86, + 565, + 100, + 574 + ], + "score": 1.0, + "content": "172", + "type": "text" + }, + { + "bbox": [ + 105, + 562, + 349, + 576 + ], + "score": 1.0, + "content": "around the true free energies, with processes having larger", + "type": "text" + }, + { + "bbox": [ + 349, + 563, + 362, + 575 + ], + "score": 0.89, + "content": "| \\beta |", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 562, + 505, + 576 + ], + "score": 1.0, + "content": "converging slower, but fluctuating", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 573, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 86, + 576, + 100, + 585 + ], + "score": 1.0, + "content": "173", + "type": "text" + }, + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "score": 1.0, + "content": "less. In the uniform case, the estimation processes do not settle around the correct free energy values", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 585, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 86, + 586, + 100, + 595 + ], + "score": 1.0, + "content": "174", + "type": "text" + }, + { + "bbox": [ + 106, + 585, + 120, + 596 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 121, + 585, + 146, + 596 + ], + "score": 0.9, + "content": "\\beta \\neq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 585, + 388, + 596 + ], + "score": 1.0, + "content": "; however, the found solutions increase monotonically with", + "type": "text" + }, + { + "bbox": [ + 388, + 585, + 395, + 596 + ], + "score": 0.83, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 585, + 505, + 596 + ], + "score": 1.0, + "content": ". These results validate the", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 595, + 328, + 607 + ], + "spans": [ + { + "bbox": [ + 85, + 597, + 100, + 607 + ], + "score": 1.0, + "content": "175", + "type": "text" + }, + { + "bbox": [ + 105, + 595, + 328, + 607 + ], + "score": 1.0, + "content": "estimation method only for Gaussian data, as expected.", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 86, + 620, + 100, + 630 + ], + "score": 1.0, + "content": "176", + "type": "text" + }, + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "Reinforcement learning. Next we applied the risk-sensitive learning rule to RL in a simple grid-", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 86, + 631, + 99, + 641 + ], + "score": 1.0, + "content": "177", + "type": "text" + }, + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "world. The goal was to qualitatively investigate the types of policies that result from different", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 639, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 86, + 641, + 99, + 652 + ], + "score": 1.0, + "content": "178", + "type": "text" + }, + { + "bbox": [ + 105, + 639, + 505, + 653 + ], + "score": 1.0, + "content": "risk-sensitivities. Shown in Figure 3a, the objective of the agent is to navigate to a terminal state", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 651, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 86, + 653, + 100, + 662 + ], + "score": 1.0, + "content": "179", + "type": "text" + }, + { + "bbox": [ + 106, + 651, + 505, + 663 + ], + "score": 1.0, + "content": "containing a reward pill within no more than 25 time steps while avoiding the water. The reward pill", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 662, + 505, + 674 + ], + "spans": [ + { + "bbox": [ + 86, + 664, + 100, + 673 + ], + "score": 1.0, + "content": "180", + "type": "text" + }, + { + "bbox": [ + 105, + 662, + 505, + 674 + ], + "score": 1.0, + "content": "delivers one reward point upon collection, whereas standing in the water penalizes the agent with", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 672, + 506, + 685 + ], + "spans": [ + { + "bbox": [ + 86, + 675, + 99, + 684 + ], + "score": 1.0, + "content": "181", + "type": "text" + }, + { + "bbox": [ + 104, + 672, + 443, + 685 + ], + "score": 1.0, + "content": "minus one reward point per time step. In addition, there is a very strong wind: with", + "type": "text" + }, + { + "bbox": [ + 443, + 673, + 463, + 683 + ], + "score": 0.89, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 672, + 506, + 685 + ], + "score": 1.0, + "content": "chance in", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 683, + 458, + 696 + ], + "spans": [ + { + "bbox": [ + 86, + 685, + 100, + 695 + ], + "score": 1.0, + "content": "182", + "type": "text" + }, + { + "bbox": [ + 105, + 683, + 458, + 696 + ], + "score": 1.0, + "content": "each step, the wind pushes the agent one block in a randomly chosen cardinal direction.", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 698, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 87, + 702, + 100, + 711 + ], + "score": 1.0, + "content": "183", + "type": "text" + }, + { + "bbox": [ + 104, + 698, + 506, + 714 + ], + "score": 1.0, + "content": "We trained R2D2 (Kapturowski et al., 2018) agents with the risk-sensitive cost function (23) using", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 84, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 84, + 711, + 286, + 723 + ], + "score": 1.0, + "content": "184 five uniformly spaced inverse temperatures", + "type": "text" + }, + { + "bbox": [ + 287, + 712, + 294, + 722 + ], + "score": 0.85, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 711, + 353, + 723 + ], + "score": 1.0, + "content": "ranging from", + "type": "text" + }, + { + "bbox": [ + 353, + 711, + 375, + 721 + ], + "score": 0.77, + "content": "- 0 . 8", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "to 0.8. The architecture of our", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 86, + 347, + 100, + 356 + ], + "score": 1.0, + "content": "185", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "agents consisted of a first convolutional layer with 3-by-3-kernels and 128 channels, a dense layer", + "type": "text", + "cross_page": true + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 356, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 86, + 358, + 100, + 367 + ], + "score": 1.0, + "content": "186", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 356, + 505, + 368 + ], + "score": 1.0, + "content": "with 128 units, and a logit layer for the four possible actions (i.e. walking directions). The discount", + "type": "text", + "cross_page": true + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 365, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 86, + 369, + 100, + 378 + ], + "score": 1.0, + "content": "187", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 365, + 173, + 380 + ], + "score": 1.0, + "content": "factor was set to", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 173, + 367, + 211, + 378 + ], + "score": 0.9, + "content": "\\gamma = 0 . 9 5", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 212, + 365, + 506, + 380 + ], + "score": 1.0, + "content": ". Each agent was trained for 500K iterations with a batch size of 64, using", + "type": "text", + "cross_page": true + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 376, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 86, + 380, + 100, + 389 + ], + "score": 1.0, + "content": "188", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 376, + 257, + 390 + ], + "score": 1.0, + "content": "the Adam optimizer with learning rate", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 258, + 377, + 280, + 388 + ], + "score": 0.89, + "content": "1 0 ^ { - 4 }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 280, + 376, + 506, + 390 + ], + "score": 1.0, + "content": "(Kingma and Ba, 2014). The target network was updated", + "type": "text", + "cross_page": true + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 387, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 85, + 390, + 100, + 401 + ], + "score": 1.0, + "content": "189", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 387, + 505, + 403 + ], + "score": 1.0, + "content": "every 400 steps. The inputs to the network were observation tensors of binary features representing", + "type": "text", + "cross_page": true + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 399, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 85, + 401, + 100, + 412 + ], + "score": 1.0, + "content": "190", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 399, + 505, + 412 + ], + "score": 1.0, + "content": "the 2D board. Note these agents didn’t use any recurrent cells and therefore no backpropagation", + "type": "text", + "cross_page": true + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 410, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 85, + 412, + 100, + 423 + ], + "score": 1.0, + "content": "191", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 410, + 506, + 424 + ], + "score": 1.0, + "content": "through time was used. To train all the agents in this experiment we used 154 CPU core hours at 2.4", + "type": "text", + "cross_page": true + } + ], + "index": 14, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 420, + 214, + 434 + ], + "spans": [ + { + "bbox": [ + 86, + 424, + 100, + 433 + ], + "score": 1.0, + "content": "192", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 420, + 214, + 434 + ], + "score": 1.0, + "content": "GHz and 22.5 GPU hours.", + "type": "text", + "cross_page": true + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 437, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 86, + 439, + 100, + 450 + ], + "score": 1.0, + "content": "193", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 437, + 505, + 451 + ], + "score": 1.0, + "content": "To analyze the resulting policies, we computed the episodic returns and the percentage of time the", + "type": "text", + "cross_page": true + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 448, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 85, + 451, + 100, + 461 + ], + "score": 1.0, + "content": "194", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "score": 1.0, + "content": "agents spent in the water (i.e. the “violations”) from 1000 roll-outs. The results, shown in Figure 3b,", + "type": "text", + "cross_page": true + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 86, + 462, + 100, + 471 + ], + "score": 1.0, + "content": "195", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 460, + 241, + 472 + ], + "score": 1.0, + "content": "reveal that the risk-neutral policy", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 242, + 460, + 269, + 471 + ], + "score": 0.89, + "content": "\\beta = 0", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 269, + 460, + 505, + 472 + ], + "score": 1.0, + "content": ") has the highest average return. However, the percentage of", + "type": "text", + "cross_page": true + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 471, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 85, + 472, + 100, + 482 + ], + "score": 1.0, + "content": "196", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 471, + 263, + 482 + ], + "score": 1.0, + "content": "violations increases monotonically with", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 263, + 471, + 271, + 482 + ], + "score": 0.77, + "content": "\\beta", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 271, + 471, + 505, + 482 + ], + "score": 1.0, + "content": ". Figure 3c shows the state-visitation probabilities estimated", + "type": "text", + "cross_page": true + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 85, + 483, + 100, + 493 + ], + "score": 1.0, + "content": "197", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "from the same roll-outs. There are essentially three types of policies: risk-averse, taking the longest", + "type": "text", + "cross_page": true + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 85, + 494, + 100, + 505 + ], + "score": 1.0, + "content": "198", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "path away from the water; risk-neutral, taking middle path; and risk-seeking, taking the shortest", + "type": "text", + "cross_page": true + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 503, + 507, + 516 + ], + "spans": [ + { + "bbox": [ + 86, + 506, + 100, + 515 + ], + "score": 1.0, + "content": "199", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 503, + 507, + 516 + ], + "score": 1.0, + "content": "route right next to the water. These are even more crisply revealed when the wind is de-activated.", + "type": "text", + "cross_page": true + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 85, + 516, + 100, + 526 + ], + "score": 1.0, + "content": "200", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 514, + 251, + 527 + ], + "score": 1.0, + "content": "Interestingly, the risk-averse policy", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 252, + 514, + 296, + 525 + ], + "score": 0.89, + "content": "\\beta = - 0 . 8 )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 296, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "does not always reach the goal, which explains why", + "type": "text", + "cross_page": true + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 525, + 371, + 537 + ], + "spans": [ + { + "bbox": [ + 86, + 527, + 99, + 536 + ], + "score": 1.0, + "content": "201", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 525, + 371, + 537 + ], + "score": 1.0, + "content": "its return is slightly lower in spite of committing fewer violations.", + "type": "text", + "cross_page": true + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 553, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 86, + 555, + 99, + 564 + ], + "score": 1.0, + "content": "202", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 553, + 505, + 565 + ], + "score": 1.0, + "content": "Bandits. In the last experiment we wanted to observe the premiums that risk-sensitive agents are", + "type": "text", + "cross_page": true + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 86, + 565, + 100, + 576 + ], + "score": 1.0, + "content": "203", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "willing to pay when confronted with a choice between a certain and a risky option. To do so, we", + "type": "text", + "cross_page": true + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 86, + 577, + 99, + 585 + ], + "score": 1.0, + "content": "204", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "used a two-arm bandit setup, where one arm (“certain”) delivered a fixed reward and the other arm", + "type": "text", + "cross_page": true + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 585, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 85, + 587, + 100, + 597 + ], + "score": 1.0, + "content": "205", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 585, + 478, + 597 + ], + "score": 1.0, + "content": "(“risky”) a stochastic one—more precisely, drawn from a Gaussian distribution with mean", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 479, + 587, + 487, + 597 + ], + "score": 0.8, + "content": "\\mu", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 487, + 585, + 506, + 597 + ], + "score": 1.0, + "content": "and", + "type": "text", + "cross_page": true + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 85, + 598, + 100, + 608 + ], + "score": 1.0, + "content": "206", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 596, + 145, + 609 + ], + "score": 1.0, + "content": "precision", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 145, + 597, + 170, + 608 + ], + "score": 0.91, + "content": "\\rho = 2", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 171, + 596, + 316, + 609 + ], + "score": 1.0, + "content": ". Both the fixed payoff and the mean", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 317, + 598, + 325, + 608 + ], + "score": 0.79, + "content": "\\mu", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 325, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "of the risky arm were drawn from a standard", + "type": "text", + "cross_page": true + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 85, + 609, + 100, + 619 + ], + "score": 1.0, + "content": "207", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "Gaussian distribution at the beginning of an episode, which lasted twenty rounds. To build agents", + "type": "text", + "cross_page": true + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 86, + 621, + 99, + 629 + ], + "score": 1.0, + "content": "208", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "that can trade off exploration versus exploitation, we used memory-based meta-learning (Wang et al.,", + "type": "text", + "cross_page": true + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 85, + 631, + 100, + 641 + ], + "score": 1.0, + "content": "209", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "2016; Santoro et al., 2016), which is known to produce near-optimal bandit players (Ortega et al.,", + "type": "text", + "cross_page": true + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 640, + 218, + 651 + ], + "spans": [ + { + "bbox": [ + 85, + 641, + 100, + 651 + ], + "score": 1.0, + "content": "210", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 640, + 218, + 651 + ], + "score": 1.0, + "content": "2019; Mikulik et al., 2020).", + "type": "text", + "cross_page": true + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 85, + 658, + 99, + 668 + ], + "score": 1.0, + "content": "211", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 656, + 335, + 668 + ], + "score": 1.0, + "content": "We meta-trained five R2D2 agents using risk-sensitives", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 336, + 656, + 456, + 668 + ], + "score": 0.92, + "content": "\\beta \\in \\{ - 1 . 0 , - 0 . 5 , 0 , 0 . 5 , 1 . 0 \\}", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 456, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "on the two-", + "type": "text", + "cross_page": true + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 668, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 85, + 668, + 100, + 678 + ], + "score": 1.0, + "content": "212", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 668, + 506, + 679 + ], + "score": 1.0, + "content": "armed bandit task distribution (also randomizing the certain/risky arm positions) with discount factor", + "type": "text", + "cross_page": true + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 85, + 680, + 100, + 690 + ], + "score": 1.0, + "content": "213", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 678, + 144, + 689 + ], + "score": 0.89, + "content": "\\gamma = 0 . 9 5", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 145, + 678, + 506, + 690 + ], + "score": 1.0, + "content": ". The network architecture and training parameters were as in the previous RL experiment,", + "type": "text", + "cross_page": true + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 85, + 690, + 100, + 700 + ], + "score": 1.0, + "content": "214", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "with the difference that the initial convolutional layer was replaced with a dense layer and an LSTM", + "type": "text", + "cross_page": true + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 85, + 702, + 100, + 712 + ], + "score": 1.0, + "content": "215", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "layer having 128 memory cells (Hochreiter and Schmidhuber, 1997). We used backpropagation", + "type": "text", + "cross_page": true + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 85, + 712, + 100, + 722 + ], + "score": 1.0, + "content": "216", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "through time for computing the episode gradients. The input to the network consisted of the action", + "type": "text", + "cross_page": true + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 262, + 505, + 275 + ], + "spans": [ + { + "bbox": [ + 86, + 265, + 101, + 274 + ], + "score": 1.0, + "content": "217", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 262, + 505, + 275 + ], + "score": 1.0, + "content": "taken and reward obtained in the previous step. This setup allows agents to adapt their choices to past", + "type": "text", + "cross_page": true + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 274, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 86, + 276, + 99, + 284 + ], + "score": 1.0, + "content": "218", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 274, + 505, + 286 + ], + "score": 1.0, + "content": "interactions throughout an episode. To train all the agents in this experiment we used 88 CPU core", + "type": "text", + "cross_page": true + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 284, + 255, + 296 + ], + "spans": [ + { + "bbox": [ + 86, + 286, + 100, + 296 + ], + "score": 1.0, + "content": "219", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 284, + 140, + 296 + ], + "score": 1.0, + "content": "hours at", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 141, + 285, + 176, + 295 + ], + "score": 0.45, + "content": "2 . 4 \\ : \\mathrm { G H z }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 177, + 284, + 255, + 296 + ], + "score": 1.0, + "content": "and 10 GPU hours.", + "type": "text", + "cross_page": true + } + ], + "index": 12, + "is_list_start_line": true + } + ], + "index": 22.5, + "bbox_fs": [ + 85, + 480, + 506, + 547 + ] + }, + { + "type": "index", + "bbox": [ + 86, + 551, + 505, + 606 + ], + "lines": [], + "index": 28, + "bbox_fs": [ + 85, + 552, + 505, + 607 + ], + "lines_deleted": true + }, + { + "type": "index", + "bbox": [ + 87, + 617, + 505, + 695 + ], + "lines": [], + "index": 34, + "bbox_fs": [ + 86, + 618, + 506, + 696 + ], + "lines_deleted": true + }, + { + "type": "index", + "bbox": [ + 87, + 699, + 505, + 722 + ], + "lines": [], + "index": 38.5, + "bbox_fs": [ + 84, + 698, + 506, + 723 + ], + "lines_deleted": true + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 109, + 70, + 506, + 256 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 70, + 506, + 256 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 70, + 506, + 256 + ], + "spans": [ + { + "bbox": [ + 109, + 70, + 506, + 256 + ], + "score": 0.971, + "type": "image", + "image_path": "f7e66af7de1a6fcb8d2c3b1c86030599165a688873f538aa8f7f7590fdd2452c.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 109, + 70, + 506, + 132.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 132.0, + 506, + 194.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 194.0, + 506, + 256.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 264, + 505, + 320 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "Figure 3: Comparison of risk-sensitive RL agents. a) The task consists in picking up a reward located", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 275, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 505, + 288 + ], + "score": 1.0, + "content": "at the terminal state while avoiding stepping into water. A strong wind pushes the agent into a random", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 285, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 145, + 299 + ], + "score": 1.0, + "content": "direction", + "type": "text" + }, + { + "bbox": [ + 145, + 286, + 166, + 297 + ], + "score": 0.87, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 285, + 506, + 299 + ], + "score": 1.0, + "content": "of the time. b) Bar plots showing the average return (blue) and the percentage of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 296, + 506, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 358, + 311 + ], + "score": 1.0, + "content": "violations (red) for each policy, ordered from lowest to highest", + "type": "text" + }, + { + "bbox": [ + 358, + 298, + 366, + 308 + ], + "score": 0.78, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 296, + 506, + 311 + ], + "score": 1.0, + "content": ". c) State visitation frequencies for", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 307, + 459, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 459, + 322 + ], + "score": 1.0, + "content": "each policy, plus the optimal (deterministic) policy when there is no wind (black paths).", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 86, + 344, + 505, + 433 + ], + "lines": [ + { + "bbox": [ + 86, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 86, + 347, + 100, + 356 + ], + "score": 1.0, + "content": "185", + "type": "text" + }, + { + "bbox": [ + 104, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "agents consisted of a first convolutional layer with 3-by-3-kernels and 128 channels, a dense layer", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 86, + 356, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 86, + 358, + 100, + 367 + ], + "score": 1.0, + "content": "186", + "type": "text" + }, + { + "bbox": [ + 105, + 356, + 505, + 368 + ], + "score": 1.0, + "content": "with 128 units, and a logit layer for the four possible actions (i.e. walking directions). The discount", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 86, + 365, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 86, + 369, + 100, + 378 + ], + "score": 1.0, + "content": "187", + "type": "text" + }, + { + "bbox": [ + 104, + 365, + 173, + 380 + ], + "score": 1.0, + "content": "factor was set to", + "type": "text" + }, + { + "bbox": [ + 173, + 367, + 211, + 378 + ], + "score": 0.9, + "content": "\\gamma = 0 . 9 5", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 365, + 506, + 380 + ], + "score": 1.0, + "content": ". Each agent was trained for 500K iterations with a batch size of 64, using", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 86, + 376, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 86, + 380, + 100, + 389 + ], + "score": 1.0, + "content": "188", + "type": "text" + }, + { + "bbox": [ + 105, + 376, + 257, + 390 + ], + "score": 1.0, + "content": "the Adam optimizer with learning rate", + "type": "text" + }, + { + "bbox": [ + 258, + 377, + 280, + 388 + ], + "score": 0.89, + "content": "1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 376, + 506, + 390 + ], + "score": 1.0, + "content": "(Kingma and Ba, 2014). The target network was updated", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 85, + 387, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 85, + 390, + 100, + 401 + ], + "score": 1.0, + "content": "189", + "type": "text" + }, + { + "bbox": [ + 105, + 387, + 505, + 403 + ], + "score": 1.0, + "content": "every 400 steps. The inputs to the network were observation tensors of binary features representing", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 85, + 399, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 85, + 401, + 100, + 412 + ], + "score": 1.0, + "content": "190", + "type": "text" + }, + { + "bbox": [ + 106, + 399, + 505, + 412 + ], + "score": 1.0, + "content": "the 2D board. Note these agents didn’t use any recurrent cells and therefore no backpropagation", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 85, + 410, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 85, + 412, + 100, + 423 + ], + "score": 1.0, + "content": "191", + "type": "text" + }, + { + "bbox": [ + 105, + 410, + 506, + 424 + ], + "score": 1.0, + "content": "through time was used. To train all the agents in this experiment we used 154 CPU core hours at 2.4", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 86, + 420, + 214, + 434 + ], + "spans": [ + { + "bbox": [ + 86, + 424, + 100, + 433 + ], + "score": 1.0, + "content": "192", + "type": "text" + }, + { + "bbox": [ + 105, + 420, + 214, + 434 + ], + "score": 1.0, + "content": "GHz and 22.5 GPU hours.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 86, + 438, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 86, + 437, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 86, + 439, + 100, + 450 + ], + "score": 1.0, + "content": "193", + "type": "text" + }, + { + "bbox": [ + 105, + 437, + 505, + 451 + ], + "score": 1.0, + "content": "To analyze the resulting policies, we computed the episodic returns and the percentage of time the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 85, + 448, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 85, + 451, + 100, + 461 + ], + "score": 1.0, + "content": "194", + "type": "text" + }, + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "score": 1.0, + "content": "agents spent in the water (i.e. the “violations”) from 1000 roll-outs. The results, shown in Figure 3b,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 86, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 86, + 462, + 100, + 471 + ], + "score": 1.0, + "content": "195", + "type": "text" + }, + { + "bbox": [ + 105, + 460, + 241, + 472 + ], + "score": 1.0, + "content": "reveal that the risk-neutral policy", + "type": "text" + }, + { + "bbox": [ + 242, + 460, + 269, + 471 + ], + "score": 0.89, + "content": "\\beta = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 460, + 505, + 472 + ], + "score": 1.0, + "content": ") has the highest average return. However, the percentage of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 85, + 471, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 85, + 472, + 100, + 482 + ], + "score": 1.0, + "content": "196", + "type": "text" + }, + { + "bbox": [ + 106, + 471, + 263, + 482 + ], + "score": 1.0, + "content": "violations increases monotonically with", + "type": "text" + }, + { + "bbox": [ + 263, + 471, + 271, + 482 + ], + "score": 0.77, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 471, + 505, + 482 + ], + "score": 1.0, + "content": ". Figure 3c shows the state-visitation probabilities estimated", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 85, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 85, + 483, + 100, + 493 + ], + "score": 1.0, + "content": "197", + "type": "text" + }, + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "from the same roll-outs. There are essentially three types of policies: risk-averse, taking the longest", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 85, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 85, + 494, + 100, + 505 + ], + "score": 1.0, + "content": "198", + "type": "text" + }, + { + "bbox": [ + 106, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "path away from the water; risk-neutral, taking middle path; and risk-seeking, taking the shortest", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 86, + 503, + 507, + 516 + ], + "spans": [ + { + "bbox": [ + 86, + 506, + 100, + 515 + ], + "score": 1.0, + "content": "199", + "type": "text" + }, + { + "bbox": [ + 104, + 503, + 507, + 516 + ], + "score": 1.0, + "content": "route right next to the water. These are even more crisply revealed when the wind is de-activated.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 85, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 85, + 516, + 100, + 526 + ], + "score": 1.0, + "content": "200", + "type": "text" + }, + { + "bbox": [ + 105, + 514, + 251, + 527 + ], + "score": 1.0, + "content": "Interestingly, the risk-averse policy", + "type": "text" + }, + { + "bbox": [ + 252, + 514, + 296, + 525 + ], + "score": 0.89, + "content": "\\beta = - 0 . 8 )", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "does not always reach the goal, which explains why", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 86, + 525, + 371, + 537 + ], + "spans": [ + { + "bbox": [ + 86, + 527, + 99, + 536 + ], + "score": 1.0, + "content": "201", + "type": "text" + }, + { + "bbox": [ + 105, + 525, + 371, + 537 + ], + "score": 1.0, + "content": "its return is slightly lower in spite of committing fewer violations.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 86, + 552, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 86, + 553, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 86, + 555, + 99, + 564 + ], + "score": 1.0, + "content": "202", + "type": "text" + }, + { + "bbox": [ + 105, + 553, + 505, + 565 + ], + "score": 1.0, + "content": "Bandits. In the last experiment we wanted to observe the premiums that risk-sensitive agents are", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 86, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 86, + 565, + 100, + 576 + ], + "score": 1.0, + "content": "203", + "type": "text" + }, + { + "bbox": [ + 104, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "willing to pay when confronted with a choice between a certain and a risky option. To do so, we", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 86, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 86, + 577, + 99, + 585 + ], + "score": 1.0, + "content": "204", + "type": "text" + }, + { + "bbox": [ + 106, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "used a two-arm bandit setup, where one arm (“certain”) delivered a fixed reward and the other arm", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 85, + 585, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 85, + 587, + 100, + 597 + ], + "score": 1.0, + "content": "205", + "type": "text" + }, + { + "bbox": [ + 105, + 585, + 478, + 597 + ], + "score": 1.0, + "content": "(“risky”) a stochastic one—more precisely, drawn from a Gaussian distribution with mean", + "type": "text" + }, + { + "bbox": [ + 479, + 587, + 487, + 597 + ], + "score": 0.8, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 585, + 506, + 597 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 85, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 85, + 598, + 100, + 608 + ], + "score": 1.0, + "content": "206", + "type": "text" + }, + { + "bbox": [ + 105, + 596, + 145, + 609 + ], + "score": 1.0, + "content": "precision", + "type": "text" + }, + { + "bbox": [ + 145, + 597, + 170, + 608 + ], + "score": 0.91, + "content": "\\rho = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 596, + 316, + 609 + ], + "score": 1.0, + "content": ". Both the fixed payoff and the mean", + "type": "text" + }, + { + "bbox": [ + 317, + 598, + 325, + 608 + ], + "score": 0.79, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "of the risky arm were drawn from a standard", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 85, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 85, + 609, + 100, + 619 + ], + "score": 1.0, + "content": "207", + "type": "text" + }, + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "Gaussian distribution at the beginning of an episode, which lasted twenty rounds. To build agents", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 86, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 86, + 621, + 99, + 629 + ], + "score": 1.0, + "content": "208", + "type": "text" + }, + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "that can trade off exploration versus exploitation, we used memory-based meta-learning (Wang et al.,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 85, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 85, + 631, + 100, + 641 + ], + "score": 1.0, + "content": "209", + "type": "text" + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "2016; Santoro et al., 2016), which is known to produce near-optimal bandit players (Ortega et al.,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 85, + 640, + 218, + 651 + ], + "spans": [ + { + "bbox": [ + 85, + 641, + 100, + 651 + ], + "score": 1.0, + "content": "210", + "type": "text" + }, + { + "bbox": [ + 105, + 640, + 218, + 651 + ], + "score": 1.0, + "content": "2019; Mikulik et al., 2020).", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 86, + 656, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 85, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 85, + 658, + 99, + 668 + ], + "score": 1.0, + "content": "211", + "type": "text" + }, + { + "bbox": [ + 105, + 656, + 335, + 668 + ], + "score": 1.0, + "content": "We meta-trained five R2D2 agents using risk-sensitives", + "type": "text" + }, + { + "bbox": [ + 336, + 656, + 456, + 668 + ], + "score": 0.92, + "content": "\\beta \\in \\{ - 1 . 0 , - 0 . 5 , 0 , 0 . 5 , 1 . 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "on the two-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 85, + 668, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 85, + 668, + 100, + 678 + ], + "score": 1.0, + "content": "212", + "type": "text" + }, + { + "bbox": [ + 105, + 668, + 506, + 679 + ], + "score": 1.0, + "content": "armed bandit task distribution (also randomizing the certain/risky arm positions) with discount factor", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 85, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 85, + 680, + 100, + 690 + ], + "score": 1.0, + "content": "213", + "type": "text" + }, + { + "bbox": [ + 106, + 678, + 144, + 689 + ], + "score": 0.89, + "content": "\\gamma = 0 . 9 5", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 678, + 506, + 690 + ], + "score": 1.0, + "content": ". The network architecture and training parameters were as in the previous RL experiment,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 85, + 689, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 85, + 690, + 100, + 700 + ], + "score": 1.0, + "content": "214", + "type": "text" + }, + { + "bbox": [ + 105, + 689, + 505, + 700 + ], + "score": 1.0, + "content": "with the difference that the initial convolutional layer was replaced with a dense layer and an LSTM", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 85, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 85, + 702, + 100, + 712 + ], + "score": 1.0, + "content": "215", + "type": "text" + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "layer having 128 memory cells (Hochreiter and Schmidhuber, 1997). We used backpropagation", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 85, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 85, + 712, + 100, + 722 + ], + "score": 1.0, + "content": "216", + "type": "text" + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "through time for computing the episode gradients. 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A strong wind pushes the agent into a random", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 285, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 145, + 299 + ], + "score": 1.0, + "content": "direction", + "type": "text" + }, + { + "bbox": [ + 145, + 286, + 166, + 297 + ], + "score": 0.87, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 285, + 506, + 299 + ], + "score": 1.0, + "content": "of the time. b) Bar plots showing the average return (blue) and the percentage of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 296, + 506, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 358, + 311 + ], + "score": 1.0, + "content": "violations (red) for each policy, ordered from lowest to highest", + "type": "text" + }, + { + "bbox": [ + 358, + 298, + 366, + 308 + ], + "score": 0.78, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 296, + 506, + 311 + ], + "score": 1.0, + "content": ". c) State visitation frequencies for", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 307, + 459, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 459, + 322 + ], + "score": 1.0, + "content": "each policy, plus the optimal (deterministic) policy when there is no wind (black paths).", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "index", + "bbox": [ + 86, + 344, + 505, + 433 + ], + "lines": [], + "index": 11.5, + "bbox_fs": [ + 85, + 344, + 506, + 434 + ], + "lines_deleted": true + }, + { + "type": "index", + "bbox": [ + 86, + 438, + 505, + 537 + ], + "lines": [], + "index": 20, + "bbox_fs": [ + 85, + 437, + 507, + 537 + ], + "lines_deleted": true + }, + { + "type": "index", + "bbox": [ + 86, + 552, + 505, + 651 + ], + "lines": [], + "index": 29, + "bbox_fs": [ + 85, + 553, + 506, + 651 + ], + "lines_deleted": true + }, + { + "type": "index", + "bbox": [ + 86, + 656, + 505, + 722 + ], + "lines": [], + "index": 36.5, + "bbox_fs": [ + 85, + 656, + 506, + 723 + ], + "lines_deleted": true + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 70, + 506, + 152 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 70, + 506, + 152 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 70, + 506, + 152 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 506, + 152 + ], + "score": 0.968, + "type": "image", + "image_path": "7ae5696db630fa8992a0b5df2c7dbe8c3630e973ebff738cc261f7b747fef6fe.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 70, + 506, + 97.33333333333333 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 97.33333333333333, + 506, + 124.66666666666666 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 124.66666666666666, + 506, + 152.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 159, + 505, + 236 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 158, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 400, + 172 + ], + "score": 1.0, + "content": "Figure 4: Two-armed bandit policy profiles with different risk-sensitivities", + "type": "text" + }, + { + "bbox": [ + 401, + 160, + 408, + 171 + ], + "score": 0.78, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 158, + 505, + 172 + ], + "score": 1.0, + "content": ". The certain arm 1 pays", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 104, + 169, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 104, + 169, + 440, + 183 + ], + "score": 1.0, + "content": "a deterministic reward, while the risky arm 2 pays a stochastic reward drawn from", + "type": "text" + }, + { + "bbox": [ + 441, + 170, + 483, + 182 + ], + "score": 0.92, + "content": "N ( r ; \\mu , \\rho )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 169, + 506, + 183 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 181, + 506, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 146, + 193 + ], + "score": 1.0, + "content": "precision", + "type": "text" + }, + { + "bbox": [ + 147, + 181, + 173, + 192 + ], + "score": 0.9, + "content": "\\rho = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 181, + 506, + 193 + ], + "score": 1.0, + "content": ". The agents were meta-trained on bandits where the payoffs (i.e. arm 1’s payoff", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 192, + 506, + 204 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 506, + 204 + ], + "score": 1.0, + "content": "and arm 2’s mean) were drawn from a standard Gaussian distribution. The plots show the marginal", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 203, + 506, + 215 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 215 + ], + "score": 1.0, + "content": "probability of choosing the certain arm (blue) over the risky arm (red) after twenty interactions for", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 214, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 225 + ], + "score": 1.0, + "content": "every payoff combination. Each point in the uniform grid was estimated from 30 seeds. Note the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 225, + 397, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 397, + 237 + ], + "score": 1.0, + "content": "deviations from the true risk-neutral indifference curve (black diagonal).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 87, + 263, + 505, + 295 + ], + "lines": [ + { + "bbox": [ + 86, + 262, + 505, + 275 + ], + "spans": [ + { + "bbox": [ + 86, + 265, + 101, + 274 + ], + "score": 1.0, + "content": "217", + "type": "text" + }, + { + "bbox": [ + 104, + 262, + 505, + 275 + ], + "score": 1.0, + "content": "taken and reward obtained in the previous step. This setup allows agents to adapt their choices to past", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 86, + 274, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 86, + 276, + 99, + 284 + ], + "score": 1.0, + "content": "218", + "type": "text" + }, + { + "bbox": [ + 105, + 274, + 505, + 286 + ], + "score": 1.0, + "content": "interactions throughout an episode. To train all the agents in this experiment we used 88 CPU core", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 86, + 284, + 255, + 296 + ], + "spans": [ + { + "bbox": [ + 86, + 286, + 100, + 296 + ], + "score": 1.0, + "content": "219", + "type": "text" + }, + { + "bbox": [ + 105, + 284, + 140, + 296 + ], + "score": 1.0, + "content": "hours at", + "type": "text" + }, + { + "bbox": [ + 141, + 285, + 176, + 295 + ], + "score": 0.45, + "content": "2 . 4 \\ : \\mathrm { G H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 284, + 255, + 296 + ], + "score": 1.0, + "content": "and 10 GPU hours.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 96, + 300, + 505, + 443 + ], + "lines": [ + { + "bbox": [ + 102, + 300, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 102, + 300, + 315, + 314 + ], + "score": 1.0, + "content": "Figure 4 shows the agents’ choice profile in the last", + "type": "text" + }, + { + "bbox": [ + 315, + 300, + 340, + 312 + ], + "score": 0.84, + "content": "( \\mathrm { 2 0 ^ { t h } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 300, + 506, + 314 + ], + "score": 1.0, + "content": "time step. A true risk-neutral agent does", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 312, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 324 + ], + "score": 1.0, + "content": "not distinguish between a certain and risky option that have the same expected payoff (black diagonal).", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 322, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 104, + 322, + 359, + 336 + ], + "score": 1.0, + "content": "The main finding is that the indifference region (i.e. close to a", + "type": "text" + }, + { + "bbox": [ + 360, + 323, + 380, + 333 + ], + "score": 0.86, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 322, + 506, + 336 + ], + "score": 1.0, + "content": "choice in white color) evolves", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 332, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 104, + 332, + 218, + 348 + ], + "score": 1.0, + "content": "significantly with increasing", + "type": "text" + }, + { + "bbox": [ + 219, + 334, + 226, + 345 + ], + "score": 0.77, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 332, + 506, + 348 + ], + "score": 1.0, + "content": ", implying that the agents with different risk attitudes are indeed willing", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 104, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "to pay different risk premia (measured as the vertical distance of the indifference region from the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 355, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 505, + 368 + ], + "score": 1.0, + "content": "diagonal). We observe two effects. The most salient effect is that the indifference region mostly", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 94, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 94, + 371, + 99, + 376 + ], + "score": 1.0, + "content": "6", + "type": "text" + }, + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "moves from being beneath (risk-averse) to above (risk-seeking) the true risk-neutral indifference", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 377, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 143, + 390 + ], + "score": 1.0, + "content": "curve as", + "type": "text" + }, + { + "bbox": [ + 143, + 378, + 151, + 389 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 377, + 384, + 390 + ], + "score": 1.0, + "content": "increases. The second effect is that risk-averse policies", + "type": "text" + }, + { + "bbox": [ + 385, + 378, + 419, + 389 + ], + "score": 0.9, + "content": "\\beta = - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 377, + 438, + 390 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 439, + 378, + 463, + 389 + ], + "score": 0.49, + "content": "- 0 . 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 377, + 506, + 390 + ], + "score": 1.0, + "content": "contain a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 94, + 388, + 507, + 401 + ], + "spans": [ + { + "bbox": [ + 94, + 392, + 99, + 398 + ], + "score": 1.0, + "content": "8", + "type": "text" + }, + { + "bbox": [ + 105, + 388, + 507, + 401 + ], + "score": 1.0, + "content": "large region of a stochastic choice profile that appears to depend only on the risky arm’s parameter.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 94, + 398, + 506, + 412 + ], + "spans": [ + { + "bbox": [ + 94, + 403, + 99, + 409 + ], + "score": 1.0, + "content": "9", + "type": "text" + }, + { + "bbox": [ + 104, + 398, + 506, + 412 + ], + "score": 1.0, + "content": "We do not have a clear explanation for this effect. Our hypothesis is that risk-averse policies assume", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "score": 1.0, + "content": "adversarial environments, which require playing mixed strategies with precise probabilities. Finally,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 421, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 195, + 433 + ], + "score": 1.0, + "content": "the risk-neutral agent", + "type": "text" + }, + { + "bbox": [ + 196, + 421, + 222, + 432 + ], + "score": 0.88, + "content": "\\beta = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 421, + 505, + 433 + ], + "score": 1.0, + "content": ") appears to be slightly risk-averse. We believe that this effect arises due", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 95, + 430, + 336, + 446 + ], + "spans": [ + { + "bbox": [ + 95, + 436, + 99, + 441 + ], + "score": 1.0, + "content": "2", + "type": "text" + }, + { + "bbox": [ + 104, + 430, + 336, + 446 + ], + "score": 1.0, + "content": "to the noisy exploration policy employed during training.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 19 + }, + { + "type": "title", + "bbox": [ + 92, + 464, + 179, + 477 + ], + "lines": [ + { + "bbox": [ + 87, + 463, + 181, + 479 + ], + "spans": [ + { + "bbox": [ + 87, + 463, + 181, + 479 + ], + "score": 1.0, + "content": "233 5 Discussion", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 104, + 492, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 106, + 492, + 507, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 507, + 505 + ], + "score": 1.0, + "content": "Summary of contributions. In this work we have introduced a learning rule for the online estima-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "score": 1.0, + "content": "tion of the Gaussian free energy with unknown mean and precision/variance. The learning rule (2) is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "obtained by reinterpreting the stimulus-presence indicator component of the Rescorla-Wagner rule", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "(Rescorla, 1972) as a (soft) indicator function for the event of either over- or underestimating the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "target value. In Lemma 1 we have shown that the free energy is the unique and stable fixed point of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 547, + 358, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 358, + 559 + ], + "score": 1.0, + "content": "the expected learning dynamics. This is the main contribution.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 86, + 563, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 86, + 563, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 86, + 565, + 99, + 575 + ], + "score": 1.0, + "content": "240", + "type": "text" + }, + { + "bbox": [ + 105, + 563, + 505, + 576 + ], + "score": 1.0, + "content": "Furthermore, we have shown how to use the learning rule for risk-sensitive RL. Since the free", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 85, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 85, + 576, + 100, + 586 + ], + "score": 1.0, + "content": "241", + "type": "text" + }, + { + "bbox": [ + 104, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "energy implements certainty-equivalents that range from risk-averse to risk-seeking, we were able", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 86, + 585, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 86, + 587, + 99, + 596 + ], + "score": 1.0, + "content": "242", + "type": "text" + }, + { + "bbox": [ + 104, + 585, + 506, + 597 + ], + "score": 1.0, + "content": "to formulate a risk-sensitive, model-free update in the spirit of TD(0) (Sutton and Barto, 1990),", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 85, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 85, + 597, + 100, + 608 + ], + "score": 1.0, + "content": "243", + "type": "text" + }, + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "thereby addressing a longstanding problem (Mihatsch and Neuneier, 2002) for the special case of", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 85, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 85, + 609, + 100, + 619 + ], + "score": 1.0, + "content": "244", + "type": "text" + }, + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "the Gaussian distribution. Due to its simplicity, the rule is easy to incorporate into existing deep RL", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 85, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 85, + 619, + 100, + 630 + ], + "score": 1.0, + "content": "245", + "type": "text" + }, + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "algorithms, for instance by modifying the error using a stop-gradient as shown in (23). In Section 3", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 85, + 628, + 505, + 642 + ], + "spans": [ + { + "bbox": [ + 85, + 630, + 100, + 641 + ], + "score": 1.0, + "content": "246", + "type": "text" + }, + { + "bbox": [ + 104, + 628, + 505, + 642 + ], + "score": 1.0, + "content": "we also elaborated on the role of the free energy within decision-making, pointing out its robustness", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 86, + 640, + 270, + 652 + ], + "spans": [ + { + "bbox": [ + 86, + 642, + 99, + 651 + ], + "score": 1.0, + "content": "247", + "type": "text" + }, + { + "bbox": [ + 105, + 640, + 270, + 652 + ], + "score": 1.0, + "content": "properties and adversarial interpretation.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 86, + 656, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 85, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 85, + 658, + 100, + 668 + ], + "score": 1.0, + "content": "248", + "type": "text" + }, + { + "bbox": [ + 106, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "We also demonstrated the learning rule in experiments. Firstly, we empirically confirmed that", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 85, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 85, + 668, + 100, + 678 + ], + "score": 1.0, + "content": "249", + "type": "text" + }, + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "the online estimates stabilize around the correct Gaussian free energies (Section 4–Estimation).", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 85, + 676, + 506, + 692 + ], + "spans": [ + { + "bbox": [ + 85, + 680, + 100, + 690 + ], + "score": 1.0, + "content": "250", + "type": "text" + }, + { + "bbox": [ + 104, + 676, + 506, + 692 + ], + "score": 1.0, + "content": "Secondly, we showed how incorporating risk-attitudes into deep RL can lead to agents implementing", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 85, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 85, + 690, + 99, + 700 + ], + "score": 1.0, + "content": "251", + "type": "text" + }, + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "qualitatively different policies which intuitively make sense (Section 4–RL). Lastly, we inspected the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 85, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 85, + 702, + 100, + 712 + ], + "score": 1.0, + "content": "252", + "type": "text" + }, + { + "bbox": [ + 105, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "premia risk-sensitive agents are willing to pay for choosing a risky over a certain option, finding that", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 85, + 710, + 490, + 723 + ], + "spans": [ + { + "bbox": [ + 85, + 712, + 100, + 722 + ], + "score": 1.0, + "content": "253", + "type": "text" + }, + { + "bbox": [ + 105, + 710, + 490, + 723 + ], + "score": 1.0, + "content": "agents have choice patterns that are more complex than we had anticipated (Section 4–Bandits).", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 43.5 + } + ], + "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": "image", + "bbox": [ + 106, + 70, + 506, + 152 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 70, + 506, + 152 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 70, + 506, + 152 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 506, + 152 + ], + "score": 0.968, + "type": "image", + "image_path": "7ae5696db630fa8992a0b5df2c7dbe8c3630e973ebff738cc261f7b747fef6fe.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 70, + 506, + 97.33333333333333 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 97.33333333333333, + 506, + 124.66666666666666 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 124.66666666666666, + 506, + 152.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 159, + 505, + 236 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 158, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 400, + 172 + ], + "score": 1.0, + "content": "Figure 4: Two-armed bandit policy profiles with different risk-sensitivities", + "type": "text" + }, + { + "bbox": [ + 401, + 160, + 408, + 171 + ], + "score": 0.78, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 158, + 505, + 172 + ], + "score": 1.0, + "content": ". The certain arm 1 pays", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 104, + 169, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 104, + 169, + 440, + 183 + ], + "score": 1.0, + "content": "a deterministic reward, while the risky arm 2 pays a stochastic reward drawn from", + "type": "text" + }, + { + "bbox": [ + 441, + 170, + 483, + 182 + ], + "score": 0.92, + "content": "N ( r ; \\mu , \\rho )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 169, + 506, + 183 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 181, + 506, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 146, + 193 + ], + "score": 1.0, + "content": "precision", + "type": "text" + }, + { + "bbox": [ + 147, + 181, + 173, + 192 + ], + "score": 0.9, + "content": "\\rho = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 181, + 506, + 193 + ], + "score": 1.0, + "content": ". The agents were meta-trained on bandits where the payoffs (i.e. arm 1’s payoff", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 192, + 506, + 204 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 506, + 204 + ], + "score": 1.0, + "content": "and arm 2’s mean) were drawn from a standard Gaussian distribution. The plots show the marginal", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 203, + 506, + 215 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 215 + ], + "score": 1.0, + "content": "probability of choosing the certain arm (blue) over the risky arm (red) after twenty interactions for", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 214, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 225 + ], + "score": 1.0, + "content": "every payoff combination. Each point in the uniform grid was estimated from 30 seeds. Note the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 225, + 397, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 397, + 237 + ], + "score": 1.0, + "content": "deviations from the true risk-neutral indifference curve (black diagonal).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "index", + "bbox": [ + 87, + 263, + 505, + 295 + ], + "lines": [], + "index": 11, + "bbox_fs": [ + 86, + 262, + 505, + 296 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 96, + 300, + 505, + 443 + ], + "lines": [ + { + "bbox": [ + 102, + 300, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 102, + 300, + 315, + 314 + ], + "score": 1.0, + "content": "Figure 4 shows the agents’ choice profile in the last", + "type": "text" + }, + { + "bbox": [ + 315, + 300, + 340, + 312 + ], + "score": 0.84, + "content": "( \\mathrm { 2 0 ^ { t h } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 300, + 506, + 314 + ], + "score": 1.0, + "content": "time step. A true risk-neutral agent does", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 312, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 324 + ], + "score": 1.0, + "content": "not distinguish between a certain and risky option that have the same expected payoff (black diagonal).", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 322, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 104, + 322, + 359, + 336 + ], + "score": 1.0, + "content": "The main finding is that the indifference region (i.e. close to a", + "type": "text" + }, + { + "bbox": [ + 360, + 323, + 380, + 333 + ], + "score": 0.86, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 322, + 506, + 336 + ], + "score": 1.0, + "content": "choice in white color) evolves", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 332, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 104, + 332, + 218, + 348 + ], + "score": 1.0, + "content": "significantly with increasing", + "type": "text" + }, + { + "bbox": [ + 219, + 334, + 226, + 345 + ], + "score": 0.77, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 332, + 506, + 348 + ], + "score": 1.0, + "content": ", implying that the agents with different risk attitudes are indeed willing", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 104, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "to pay different risk premia (measured as the vertical distance of the indifference region from the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 355, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 505, + 368 + ], + "score": 1.0, + "content": "diagonal). We observe two effects. The most salient effect is that the indifference region mostly", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 94, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 94, + 371, + 99, + 376 + ], + "score": 1.0, + "content": "6", + "type": "text" + }, + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "moves from being beneath (risk-averse) to above (risk-seeking) the true risk-neutral indifference", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 377, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 143, + 390 + ], + "score": 1.0, + "content": "curve as", + "type": "text" + }, + { + "bbox": [ + 143, + 378, + 151, + 389 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 377, + 384, + 390 + ], + "score": 1.0, + "content": "increases. The second effect is that risk-averse policies", + "type": "text" + }, + { + "bbox": [ + 385, + 378, + 419, + 389 + ], + "score": 0.9, + "content": "\\beta = - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 377, + 438, + 390 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 439, + 378, + 463, + 389 + ], + "score": 0.49, + "content": "- 0 . 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 377, + 506, + 390 + ], + "score": 1.0, + "content": "contain a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 94, + 388, + 507, + 401 + ], + "spans": [ + { + "bbox": [ + 94, + 392, + 99, + 398 + ], + "score": 1.0, + "content": "8", + "type": "text" + }, + { + "bbox": [ + 105, + 388, + 507, + 401 + ], + "score": 1.0, + "content": "large region of a stochastic choice profile that appears to depend only on the risky arm’s parameter.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 94, + 398, + 506, + 412 + ], + "spans": [ + { + "bbox": [ + 94, + 403, + 99, + 409 + ], + "score": 1.0, + "content": "9", + "type": "text" + }, + { + "bbox": [ + 104, + 398, + 506, + 412 + ], + "score": 1.0, + "content": "We do not have a clear explanation for this effect. Our hypothesis is that risk-averse policies assume", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 423 + ], + "score": 1.0, + "content": "adversarial environments, which require playing mixed strategies with precise probabilities. Finally,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 421, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 195, + 433 + ], + "score": 1.0, + "content": "the risk-neutral agent", + "type": "text" + }, + { + "bbox": [ + 196, + 421, + 222, + 432 + ], + "score": 0.88, + "content": "\\beta = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 421, + 505, + 433 + ], + "score": 1.0, + "content": ") appears to be slightly risk-averse. We believe that this effect arises due", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 95, + 430, + 336, + 446 + ], + "spans": [ + { + "bbox": [ + 95, + 436, + 99, + 441 + ], + "score": 1.0, + "content": "2", + "type": "text" + }, + { + "bbox": [ + 104, + 430, + 336, + 446 + ], + "score": 1.0, + "content": "to the noisy exploration policy employed during training.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 19, + "bbox_fs": [ + 94, + 300, + 507, + 446 + ] + }, + { + "type": "title", + "bbox": [ + 92, + 464, + 179, + 477 + ], + "lines": [ + { + "bbox": [ + 87, + 463, + 181, + 479 + ], + "spans": [ + { + "bbox": [ + 87, + 463, + 181, + 479 + ], + "score": 1.0, + "content": "233 5 Discussion", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 104, + 492, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 106, + 492, + 507, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 507, + 505 + ], + "score": 1.0, + "content": "Summary of contributions. In this work we have introduced a learning rule for the online estima-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "score": 1.0, + "content": "tion of the Gaussian free energy with unknown mean and precision/variance. The learning rule (2) is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "obtained by reinterpreting the stimulus-presence indicator component of the Rescorla-Wagner rule", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "(Rescorla, 1972) as a (soft) indicator function for the event of either over- or underestimating the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "target value. In Lemma 1 we have shown that the free energy is the unique and stable fixed point of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 547, + 358, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 358, + 559 + ], + "score": 1.0, + "content": "the expected learning dynamics. This is the main contribution.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 492, + 507, + 559 + ] + }, + { + "type": "index", + "bbox": [ + 86, + 563, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 86, + 563, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 86, + 565, + 99, + 575 + ], + "score": 1.0, + "content": "240", + "type": "text" + }, + { + "bbox": [ + 105, + 563, + 505, + 576 + ], + "score": 1.0, + "content": "Furthermore, we have shown how to use the learning rule for risk-sensitive RL. Since the free", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 85, + 576, + 100, + 586 + ], + "score": 1.0, + "content": "241", + "type": "text" + }, + { + "bbox": [ + 104, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "energy implements certainty-equivalents that range from risk-averse to risk-seeking, we were able", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 585, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 86, + 587, + 99, + 596 + ], + "score": 1.0, + "content": "242", + "type": "text" + }, + { + "bbox": [ + 104, + 585, + 506, + 597 + ], + "score": 1.0, + "content": "to formulate a risk-sensitive, model-free update in the spirit of TD(0) (Sutton and Barto, 1990),", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 85, + 597, + 100, + 608 + ], + "score": 1.0, + "content": "243", + "type": "text" + }, + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "thereby addressing a longstanding problem (Mihatsch and Neuneier, 2002) for the special case of", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 85, + 609, + 100, + 619 + ], + "score": 1.0, + "content": "244", + "type": "text" + }, + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "the Gaussian distribution. Due to its simplicity, the rule is easy to incorporate into existing deep RL", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 85, + 619, + 100, + 630 + ], + "score": 1.0, + "content": "245", + "type": "text" + }, + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "algorithms, for instance by modifying the error using a stop-gradient as shown in (23). In Section 3", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 628, + 505, + 642 + ], + "spans": [ + { + "bbox": [ + 85, + 630, + 100, + 641 + ], + "score": 1.0, + "content": "246", + "type": "text" + }, + { + "bbox": [ + 104, + 628, + 505, + 642 + ], + "score": 1.0, + "content": "we also elaborated on the role of the free energy within decision-making, pointing out its robustness", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 640, + 270, + 652 + ], + "spans": [ + { + "bbox": [ + 86, + 642, + 99, + 651 + ], + "score": 1.0, + "content": "247", + "type": "text" + }, + { + "bbox": [ + 105, + 640, + 270, + 652 + ], + "score": 1.0, + "content": "properties and adversarial interpretation.", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 85, + 658, + 100, + 668 + ], + "score": 1.0, + "content": "248", + "type": "text" + }, + { + "bbox": [ + 106, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "We also demonstrated the learning rule in experiments. Firstly, we empirically confirmed that", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 85, + 668, + 100, + 678 + ], + "score": 1.0, + "content": "249", + "type": "text" + }, + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "the online estimates stabilize around the correct Gaussian free energies (Section 4–Estimation).", + "type": "text" + } + ], + "index": 42, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 676, + 506, + 692 + ], + "spans": [ + { + "bbox": [ + 85, + 680, + 100, + 690 + ], + "score": 1.0, + "content": "250", + "type": "text" + }, + { + "bbox": [ + 104, + 676, + 506, + 692 + ], + "score": 1.0, + "content": "Secondly, we showed how incorporating risk-attitudes into deep RL can lead to agents implementing", + "type": "text" + } + ], + "index": 43, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 85, + 690, + 99, + 700 + ], + "score": 1.0, + "content": "251", + "type": "text" + }, + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "qualitatively different policies which intuitively make sense (Section 4–RL). Lastly, we inspected the", + "type": "text" + } + ], + "index": 44, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 85, + 702, + 100, + 712 + ], + "score": 1.0, + "content": "252", + "type": "text" + }, + { + "bbox": [ + 105, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "premia risk-sensitive agents are willing to pay for choosing a risky over a certain option, finding that", + "type": "text" + } + ], + "index": 45, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 710, + 490, + 723 + ], + "spans": [ + { + "bbox": [ + 85, + 712, + 100, + 722 + ], + "score": 1.0, + "content": "253", + "type": "text" + }, + { + "bbox": [ + 105, + 710, + 490, + 723 + ], + "score": 1.0, + "content": "agents have choice patterns that are more complex than we had anticipated (Section 4–Bandits).", + "type": "text" + } + ], + "index": 46, + "is_list_start_line": true + } + ], + "index": 36.5, + "bbox_fs": [ + 85, + 563, + 506, + 652 + ] + }, + { + "type": "index", + "bbox": [ + 86, + 656, + 505, + 722 + ], + "lines": [], + "index": 43.5, + "bbox_fs": [ + 85, + 656, + 506, + 723 + ], + "lines_deleted": true + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 96, + 72, + 505, + 128 + ], + "lines": [ + { + "bbox": [ + 101, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 101, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "Limitations. As shown empirically in Section 4–Estimation, an important limitation of the learning", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 104, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "rule is that its fixed point is only equal to the free energy when the samples are Gaussian (or", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 100, + 93, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 100, + 93, + 506, + 108 + ], + "score": 1.0, + "content": "approximately Gaussian, as justified by the CLT). Nevertheless, agents using the risk-sensitive TD(0)", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 104, + 105, + 307, + 118 + ], + "score": 1.0, + "content": "update (11) still display risk attitudes monotonic in", + "type": "text" + }, + { + "bbox": [ + 307, + 107, + 314, + 117 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 105, + 337, + 118 + ], + "score": 1.0, + "content": ", with", + "type": "text" + }, + { + "bbox": [ + 338, + 106, + 363, + 117 + ], + "score": 0.9, + "content": "\\beta = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "reducing to the familiar risk-neutral", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 118, + 129, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 129, + 128 + ], + "score": 1.0, + "content": "case.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 96, + 132, + 505, + 166 + ], + "lines": [ + { + "bbox": [ + 91, + 131, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 91, + 131, + 506, + 145 + ], + "score": 1.0, + "content": "59 While Lemma 1 establishes the stable equilibrium of the expected update, it only guarantees conver-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 101, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 101, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "gence in continuous-time updates. To show convergence using discrete-time point samples, a stronger", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 155, + 309, + 167 + ], + "spans": [ + { + "bbox": [ + 104, + 155, + 309, + 167 + ], + "score": 1.0, + "content": "result is required. In particular, we conjecture that", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6 + }, + { + "type": "interline_equation", + "bbox": [ + 181, + 169, + 429, + 196 + ], + "lines": [ + { + "bbox": [ + 181, + 169, + 429, + 196 + ], + "spans": [ + { + "bbox": [ + 181, + 169, + 429, + 196 + ], + "score": 0.95, + "content": "\\left| J ( v ) \\right| = 2 \\Biggr | \\int N ( x ; \\mu , \\rho ) \\sigma _ { \\beta } ( x - v ) ( x - v ) d x \\Biggr | \\leq 2 \\bigl | { \\bf F } _ { \\beta } - v \\bigr |", + "type": "interline_equation", + "image_path": "fa28ea1087936028f4cf09b5228d2de7ce9472eb370de07898d5cfc486ca7b03.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 181, + 169, + 429, + 178.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 181, + 178.0, + 429, + 187.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 181, + 187.0, + 429, + 196.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 93, + 199, + 504, + 223 + ], + "lines": [ + { + "bbox": [ + 104, + 199, + 505, + 212 + ], + "spans": [ + { + "bbox": [ + 104, + 199, + 215, + 212 + ], + "score": 1.0, + "content": "If (26) is true, meaning that", + "type": "text" + }, + { + "bbox": [ + 215, + 200, + 235, + 212 + ], + "score": 0.92, + "content": "J ( v )", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 199, + 505, + 212 + ], + "score": 1.0, + "content": "is 2-Lipschitz, then this could be combined with a result in stochastic", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 103, + 210, + 459, + 225 + ], + "spans": [ + { + "bbox": [ + 103, + 210, + 459, + 225 + ], + "score": 1.0, + "content": "approximation theory akin to Theorem 1 in Jaakkola et al. (1994) to prove convergence.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 100, + 227, + 505, + 261 + ], + "lines": [ + { + "bbox": [ + 105, + 227, + 506, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 506, + 240 + ], + "score": 1.0, + "content": "A shortcoming of our experiments using R2D2 agents is that they deterministically pick actions that", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 238, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 238, + 505, + 250 + ], + "score": 1.0, + "content": "maximize the Q-value. However, risk-averse agents see their environments as being adversarial, and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 249, + 429, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 429, + 262 + ], + "score": 1.0, + "content": "these in turn require stochastic policies in order to achieve optimal performance.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 271, + 505, + 316 + ], + "lines": [ + { + "bbox": [ + 106, + 270, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 285 + ], + "score": 1.0, + "content": "Conclusions. Because it is impossible to anticipate the many ways in which a dynamically-changing", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "score": 1.0, + "content": "environment will violate prior assumptions, requiring the robustness of ML algorithms is of vital", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 294, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 506, + 306 + ], + "score": 1.0, + "content": "importance for their deployment in real-world applications. Unforeseen events can render their", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 304, + 321, + 316 + ], + "spans": [ + { + "bbox": [ + 106, + 304, + 321, + 316 + ], + "score": 1.0, + "content": "decisions unreliable—and in some cases even unsafe.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 106, + 320, + 505, + 365 + ], + "lines": [ + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "score": 1.0, + "content": "Our work makes a small but nonetheless significant contribution to risk-sensitivity in ML. In essence,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 332, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 332, + 505, + 344 + ], + "score": 1.0, + "content": "it suggests a minor modification to existing algorithms, biasing valuation estimates in a risk-sensitive", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 343, + 506, + 355 + ], + "spans": [ + { + "bbox": [ + 106, + 343, + 506, + 355 + ], + "score": 1.0, + "content": "manner. 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As shown empirically in Section 4–Estimation, an important limitation of the learning", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 104, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "rule is that its fixed point is only equal to the free energy when the samples are Gaussian (or", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 100, + 93, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 100, + 93, + 506, + 108 + ], + "score": 1.0, + "content": "approximately Gaussian, as justified by the CLT). Nevertheless, agents using the risk-sensitive TD(0)", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 104, + 105, + 307, + 118 + ], + "score": 1.0, + "content": "update (11) still display risk attitudes monotonic in", + "type": "text" + }, + { + "bbox": [ + 307, + 107, + 314, + 117 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 105, + 337, + 118 + ], + "score": 1.0, + "content": ", with", + "type": "text" + }, + { + "bbox": [ + 338, + 106, + 363, + 117 + ], + "score": 0.9, + "content": "\\beta = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "reducing to the familiar risk-neutral", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 118, + 129, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 129, + 128 + ], + "score": 1.0, + "content": "case.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2, + "bbox_fs": [ + 100, + 72, + 506, + 128 + ] + }, + { + "type": "text", + "bbox": [ + 96, + 132, + 505, + 166 + ], + "lines": [ + { + "bbox": [ + 91, + 131, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 91, + 131, + 506, + 145 + ], + "score": 1.0, + "content": "59 While Lemma 1 establishes the stable equilibrium of the expected update, it only guarantees conver-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 101, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 101, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "gence in continuous-time updates. To show convergence using discrete-time point samples, a stronger", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 155, + 309, + 167 + ], + "spans": [ + { + "bbox": [ + 104, + 155, + 309, + 167 + ], + "score": 1.0, + "content": "result is required. In particular, we conjecture that", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6, + "bbox_fs": [ + 91, + 131, + 506, + 167 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 181, + 169, + 429, + 196 + ], + "lines": [ + { + "bbox": [ + 181, + 169, + 429, + 196 + ], + "spans": [ + { + "bbox": [ + 181, + 169, + 429, + 196 + ], + "score": 0.95, + "content": "\\left| J ( v ) \\right| = 2 \\Biggr | \\int N ( x ; \\mu , \\rho ) \\sigma _ { \\beta } ( x - v ) ( x - v ) d x \\Biggr | \\leq 2 \\bigl | { \\bf F } _ { \\beta } - v \\bigr |", + "type": "interline_equation", + "image_path": "fa28ea1087936028f4cf09b5228d2de7ce9472eb370de07898d5cfc486ca7b03.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 181, + 169, + 429, + 178.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 181, + 178.0, + 429, + 187.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 181, + 187.0, + 429, + 196.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 93, + 199, + 504, + 223 + ], + "lines": [ + { + "bbox": [ + 104, + 199, + 505, + 212 + ], + "spans": [ + { + "bbox": [ + 104, + 199, + 215, + 212 + ], + "score": 1.0, + "content": "If (26) is true, meaning that", + "type": "text" + }, + { + "bbox": [ + 215, + 200, + 235, + 212 + ], + "score": 0.92, + "content": "J ( v )", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 199, + 505, + 212 + ], + "score": 1.0, + "content": "is 2-Lipschitz, then this could be combined with a result in stochastic", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 103, + 210, + 459, + 225 + ], + "spans": [ + { + "bbox": [ + 103, + 210, + 459, + 225 + ], + "score": 1.0, + "content": "approximation theory akin to Theorem 1 in Jaakkola et al. (1994) to prove convergence.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 103, + 199, + 505, + 225 + ] + }, + { + "type": "text", + "bbox": [ + 100, + 227, + 505, + 261 + ], + "lines": [ + { + "bbox": [ + 105, + 227, + 506, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 506, + 240 + ], + "score": 1.0, + "content": "A shortcoming of our experiments using R2D2 agents is that they deterministically pick actions that", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 238, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 238, + 505, + 250 + ], + "score": 1.0, + "content": "maximize the Q-value. However, risk-averse agents see their environments as being adversarial, and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 249, + 429, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 429, + 262 + ], + "score": 1.0, + "content": "these in turn require stochastic policies in order to achieve optimal performance.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 227, + 506, + 262 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 271, + 505, + 316 + ], + "lines": [ + { + "bbox": [ + 106, + 270, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 285 + ], + "score": 1.0, + "content": "Conclusions. Because it is impossible to anticipate the many ways in which a dynamically-changing", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "score": 1.0, + "content": "environment will violate prior assumptions, requiring the robustness of ML algorithms is of vital", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 294, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 506, + 306 + ], + "score": 1.0, + "content": "importance for their deployment in real-world applications. Unforeseen events can render their", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 304, + 321, + 316 + ], + "spans": [ + { + "bbox": [ + 106, + 304, + 321, + 316 + ], + "score": 1.0, + "content": "decisions unreliable—and in some cases even unsafe.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 270, + 506, + 316 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 320, + 505, + 365 + ], + "lines": [ + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "score": 1.0, + "content": "Our work makes a small but nonetheless significant contribution to risk-sensitivity in ML. In essence,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 332, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 332, + 505, + 344 + ], + "score": 1.0, + "content": "it suggests a minor modification to existing algorithms, biasing valuation estimates in a risk-sensitive", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 343, + 506, + 355 + ], + "spans": [ + { + "bbox": [ + 106, + 343, + 506, + 355 + ], + "score": 1.0, + "content": "manner. 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Stich +EPFL, Switzerland +sebastian.stich@epfl.ch + +# ABSTRACT + +Mini-batch stochastic gradient descent (SGD) is state of the art in large scale distributed training. The scheme can reach a linear speedup with respect to the number of workers, but this is rarely seen in practice as the scheme often suffers from large network delays and bandwidth limits. To overcome this communication bottleneck recent works propose to reduce the communication frequency. An algorithm of this type is local SGD that runs SGD independently in parallel on different workers and averages the sequences only once in a while. This scheme shows promising results in practice, but eluded thorough theoretical analysis. + +We prove concise convergence rates for local SGD on convex problems and show that it converges at the same rate as mini-batch SGD in terms of number of evaluated gradients, that is, the scheme achieves linear speedup in the number of workers and mini-batch size. The number of communication rounds can be reduced up to a factor of $T ^ { 1 / 2 }$ —where $T$ denotes the number of total steps—compared to mini-batch SGD. This also holds for asynchronous implementations. + +Local SGD can also be used for large scale training of deep learning models. The results shown here aim serving as a guideline to further explore the theoretical and practical aspects of local SGD in these applications. + +# 1 INTRODUCTION + +Stochastic Gradient Descent (SGD) (Robbins & Monro, 1951) consists of iterations of the form + +$$ +\mathbf { x } _ { t + 1 } : = \mathbf { x } _ { t } - \eta _ { t } \mathbf { g } _ { t } , +$$ + +for iterates (weights) $\mathbf { x } _ { t } , \mathbf { x } _ { t + 1 } \in \mathbb { R } ^ { d }$ , stepsize (learning rate) $\eta _ { t } > 0$ , and stochastic gradient $\mathbf { g } _ { t } \in \mathbb { R } ^ { d }$ with the property $\mathbb { E } { \bf g } _ { t } = \nabla f ( { \bf x } _ { t } )$ , for a loss function $f \colon { \mathbb { R } ^ { d } } \to { \mathbb { R } }$ . This scheme can easily be parallelized by replacing $\mathbf { g } _ { t }$ in (1) by an average of stochastic gradients that are independently computed in parallel on separate workers (parallel $S G D _ { \ell }$ ). This simple scheme has a major drawback: in each iteration the results of the computations on the workers have to be shared with the other workers to compute the next iterate $\mathbf { x } _ { t + 1 }$ . Communication has been reported to be a major bottleneck for many large scale deep learning applications, see e.g. (Seide et al., 2014; Alistarh et al., 2017; Zhang et al., 2017; Lin et al., 2018b). Mini-batch parallel SGD addresses this issue by increasing the compute to communication ratio. Each worker computes a mini-batch of size $b \geq 1$ before communication. This scheme is implemented in state-of-the-art distributed deep learning frameworks (Abadi et al., 2016; Paszke et al., 2017; Seide & Agarwal, 2016). Recent work in (You et al., 2017; Goyal et al., 2017) explores various limitations of this approach, as in general it is reported that performance degrades for too large mini-batch sizes (Keskar et al., 2016; Ma et al., 2018; Yin et al., 2018). + +In this work we follow an orthogonal approach, still with the goal to increase the compute to communication ratio: Instead of increasing the mini-batch size, we reduce the communication frequency. Rather than keeping the sequences on different machines in sync, we allow them to evolve locally on each machine, independent from each other, and only average the sequences once in a while (local SGD). Such strategies have been explored widely in the literature, under various names. + +An extreme instance of this concept is one-shot SGD (McDonald et al., 2009; Zinkevich et al., 2010) where the local sequences are only exchanged once, after the local runs have converged. Zhang et al. (2013) show statistical convergence (see also (Shamir & Srebro, 2014; Godichon-Baggioni & Saadane, 2017; Jain et al., 2018)), but the analysis restricts the algorithm to at most one pass over the data, which is in general not enough for the training error to converge. More practical are schemes that perform more frequent averaging of the parallel sequences, as e.g. (McDonald et al., 2010) for perceptron training (iterative parameter mixing), see also (Coppola, 2015), (Zhang et al., 2014; Bijral et al., 2016; Zhang et al., 2016) for the training of deep neural networks (model averaging) or in federated learning (McMahan et al., 2017). + +![](images/ca01c479da1dcaf1bfb1091094f7af7ed3c1af6031dd438c1550f665a5e46f35.jpg) +Figure 1: Illustration of the speedup (3) for time-to-accuracy when either increasing mini-batch size $b$ ( $\hphantom { 0 } \mathrm { ~ 1 ~ 2 ~ }$ ) or communication inverval $H$ ( $1 2$ ), for compute to communication ratio $\rho = 2 5$ . + +The question of how often communication rounds need to be initiated has eluded a concise theoretical answer so far. Whilst there is practical evidence, the theory does not even resolve the question whether averaging helps when optimizing convex functions. Concretely, whether running local SGD on $K$ workers is $K$ times faster than running just a single instance of SGD on one worker.1 + +We fill this gap in the literature and provide a concise convergence analysis of local SGD. We show that averaging helps. Frequent synchronization of $K$ local sequences increases the convergence rate by a factor of $K$ , i.e. a linear speedup can be attained. Thus, local SGD is as efficient as parallel mini-batch SGD in terms of computation, but the communication cost can be drastically reduced. + +# 1.1 CONTRIBUTIONS + +We consider finite-sum convex optimization problems $f \colon { \mathbb { R } ^ { d } } \to { \mathbb { R } }$ of the form + +$$ +f ( \mathbf { x } ) = { \frac { 1 } { n } } \sum _ { i = 1 } ^ { n } f _ { i } ( \mathbf { x } ) , \qquad \mathbf { x } ^ { * } : = \arg \operatorname* { m i n } _ { \mathbf { x } \in \mathbb { R } ^ { d } } f ( \mathbf { x } ) , \qquad f ^ { \star } : = f ( \mathbf { x } ^ { \star } ) , +$$ + +where $f$ is $L$ -smooth2 and $\mu$ -strongly convex3. We consider $K$ parallel mini-batch SGD sequences with mini-batch size $b$ that are synchronized (by averaging) after at most every $H$ iterations. For appropriate chosen stepsizes and an averaged iterate $\hat { \mathbf { x } } _ { T }$ after $T$ steps (for $T$ sufficiently large, see Section 3 below for the precise statement of the convergence result with bias and variance terms) and synchronization delay $H = O ( \sqrt { T / ( K b ) } )$ we show convergence + +$$ +\mathbb { E } f ( \hat { \mathbf { x } } _ { T } ) - f ^ { \star } = O \left( \frac { G ^ { 2 } } { \mu b K T } \right) , +$$ + +with second moment bound $G ^ { 2 } \geq \mathbb { E } \left\| \nabla f _ { i } ( \mathbf { x } ) \right\| ^ { 2 }$ . Thus, we see that compared to parallel minibatch SGD the communication rounds can be reduced by a factor $H = O ( \sqrt { T / ( K b ) } )$ without hampering the asymptotic convergence. Equation (3) shows perfect linear speedup in terms of computation, but with much less communication that mini-batch SGD. The resulting speedup when taking communication cost into account is illustrated in Figure 1 (see also Section D below). Under the assumption that (3) is tight, one has thus now two strategies to improve the compute to communication ratio (denoted by $\rho \mathrm { \Sigma }$ ): (i) either to increase the mini-batch size $b$ or (ii) to increase the communication interval $H$ . Both strategies give the same improvement when $b$ and $H$ are small (linear speedup). Like mini-batch SGD that faces some limitations for $b \gg 1$ (as discussed in e.g. (Dekel et al., 2012; Ma et al., 2018; Yin et al., 2018)), the parameter $H$ cannot be chosen too large in local SGD. We give some pratical guidelines in Section 4. + +Our proof is simple and straightforward, and we imagine that—with slight modifications of the proof—the technique can also be used to analyze other variants of SGD that evolve sequences on different worker that are not perfectly synchronized. Although we do not yet provide convergence guarantees for the non-convex setting, we feel that the positive results presented here will spark further investigation of local SGD for this important application (see e.g. (Yu et al., 2018)). + +# 1.2 RELATED WORK + +A parallel line of work reduces the communication cost by compressing the stochastic gradients before communication. For instance, by limiting the number of bits in the floating point representation (Gupta et al., 2015; Na et al., 2017; Sa et al., 2015), or random quantization (Alistarh et al., 2017; Wen et al., 2017). The ZipML framework applies this technique also to the data (Zhang et al., 2017). Sparsification methods reduce the number of non-zero entries in the stochastic gradient (Alistarh et al., 2017; Wangni et al., 2017). A very aggressive—and promising—sparsification method is to keep only very few coordinates of the stochastic gradient by considering only the coordinates with the largest magnitudes (Seide et al., 2014; Strom, 2015; Dryden et al., 2016; Aji & Heafield, 2017; Sun et al., 2017; Lin et al., 2018b; Stich et al., 2018). + +Allowing asynchronous updates provides an alternative solution to disguise the communication overhead to a certain amount (Niu et al., 2011; Sa et al., 2015; Lian et al., 2015), though alternative strategies might be better when high accuracy is desired (Chen et al., 2016). The analysis of Agarwal & Duchi (2011) shows that asynchronous SGD on convex functions can tolerated delays up to $O ( { \sqrt { T / K } } )$ , which is identical to the maximal length of the local sequences in local SGD. Asynchronous SGD converges also for larger delays (see also (Zhou et al., 2018)) but without linear speedup, a similar statement holds for local SGD (see discussion in Section 3). The current frameworks for the analysis of asynchronous SGD do not cover local SGD. A fundamental difference is that asynchronous SGD maintains a (almost) synchronized sequence and gradients are computed with respect this unique sequence (but just applied with delays), whereas each worker in local SGD evolves a different sequence and computes gradient with respect those iterates. + +For the training of deep neural networks, Bijral et al. (2016) discuss a stochastic averaging schedule whereas Zhang et al. (2016) study local SGD with more frequent communication at the beginning of the optimization process. The elastic averaging technique (Zhang et al., 2015) is different to local SGD, as it uses the average of the iterates only to guide the local sequences but does not perform a hard reset after averaging. Among the first theoretical studies of local SGD in the non-convex setting are (Coppola, 2015; Zhou & Cong, 2018) that did not establish a speedup, in contrast to two more recent analyses (Yu et al., 2018; Wang & Joshi, 2018). Yu et al. (2018) show linear speedup of local SGD on non-convex functions for $H \stackrel { \cdot } { = } O ( T ^ { 1 / 4 } K ^ { - 3 / 4 } )$ , which is more restrictive than the constraint on $H$ in the convex setting. Lin et al. (2018a) study empirically hierarchical variants of local SGD. + +Local SGD with averaging in every step, i.e. $H = 1$ , is identical to mini-batch SGD. Dekel et al. (2012) show that batch sizes $b = T ^ { \bar { \delta } }$ , for $\delta \in ( 0 , \frac { 1 } { 2 } )$ are asymptotically optimal for mini-batch SGD, however they also note that this asymptotic bound might be crude for practical purposes. Similar considerations might also apply to the asymptotic upper bounds on the communication frequency $H$ derived here. Local SGD with averaging only at the end, i.e. $H = T$ , is identical to one-shot SGD. Jain et al. (2018) give concise speedup results in terms of bias and variance for one-shot SGD with constant stepsizes for the optimization of quadratic least squares problems. In contrast, our upper bounds become loose when $H T$ and our results do not cover one-shot SGD. + +Recently, Woodworth et al. (2018) provided a lower bound for parallel stochastic optimization (in the convex setting, and not for strongly convex functions as considered here). The bound is not known to be tight for local SGD. + +# 1.3 OUTLINE + +We formally introduce local SGD in Section 2 and sketch the convergence proof in Section 3. In Section 4 show numerical results to illustrate the result. We analyze asynchronous local SGD in Section 5. The proof of the technical results, further discussion about the experimental setup and implementation guidelines are deferred to the appendix. + +# Algorithm 1 LOCAL SGD + +1: Initialize variables $\mathbf { x } _ { 0 } ^ { k } = \mathbf { x } _ { 0 }$ for workers $k \in [ K ]$ +2: for $t$ in $0 \dots T - 1$ do +3: parallel for $k \in [ K ]$ do +4: Sample $i _ { t } ^ { k }$ uniformly in $[ n ]$ +5: 6: if $t + 1 \in \mathcal { I } _ { T }$ $\begin{array} { r } { \mathbf { x } _ { t + 1 } ^ { k } \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \bigl ( \mathbf { x } _ { t } ^ { k } - \eta _ { t } \nabla f _ { i _ { t } ^ { k } } ( \mathbf { x } _ { t } ^ { k } ) \bigr ) } \end{array}$ +7: else +8: $\mathbf { x } _ { t + 1 } ^ { k } \mathbf { x } _ { t } ^ { k } - \eta _ { t } \nabla f _ { i _ { t } ^ { k } } ( \mathbf { x } _ { t } ^ { k } )$ +9: end if +10: end parallel for +11: end for + +. local update + +# 2 LOCAL SGD + +The algorithm local SGD (depicted in Algorithm 1) generates in parallel $K$ sequences $\{ \mathbf { x } _ { t } ^ { k } \} _ { t = 0 } ^ { T }$ of iterates, $k \in [ K ]$ . Here $K$ denotes the level of parallelization, i.e. the number of distinct parallel sequences and $T$ the number of steps (i.e. the total number of stochastic gradient evaluations is $T K$ ). Let $\mathcal { T } _ { T } \subseteq [ T ]$ with $T \in { \mathcal { T } } _ { T }$ denote a set of synchronization indices. Then local SGD evolves the sequences $\bar { \{ \mathbf { x } _ { t } ^ { k } \} } _ { t = 0 } ^ { T }$ in the following way: + +$$ +\begin{array} { r } { \mathbf { x } _ { t + 1 } ^ { k } : = \left\{ \begin{array} { l l } { \mathbf { x } _ { t } ^ { k } - \eta _ { t } \nabla f _ { i _ { t } ^ { k } } ( \mathbf { x } _ { t } ^ { k } ) , } & { \mathrm { i f ~ } t + 1 \not \in \mathbb { Z } _ { T } } \\ { \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \bigl ( \mathbf { x } _ { t } ^ { k } - \eta _ { t } \nabla f _ { i _ { t } ^ { k } } ( \mathbf { x } _ { t } ^ { k } ) \bigr ) } & { \mathrm { i f ~ } t + 1 \in \mathbb { Z } _ { T } } \end{array} \right. } \end{array} +$$ + +where indices $i _ { t } ^ { k } \sim _ { \mathrm { u . a . r } }$ . $[ n ]$ and $\{ \eta _ { t } \} _ { t \ge 0 }$ denotes a sequence of stepsizes. If $\mathcal { T } _ { T } = [ T ]$ then the synchronization of the sequences is performed every iteration. In this case, (4) amounts to parallel or mini-batch SGD with mini-batch size $K$ .4 On the other extreme, if ${ \mathcal { T } } _ { T } = \{ T \}$ , the synchronization only happens at the end, which is known as one-shot averaging. + +In order to measure the longest interval between subsequent synchronization steps, we introduce the ${ g a p }$ of a set of integers. + +Definition 2.1 (gap). The gap of a set $\mathcal { P } : = \{ p _ { 0 } , . . . , p _ { t } \}$ of $t + 1$ integers, $p _ { i } \ \leq \ p _ { i + 1 }$ for $i =$ $0 , \ldots , t - 1$ , is defined as $\begin{array} { r } { \operatorname { g a p } ( \mathcal { P } ) : = \operatorname* { m a x } _ { i = 1 , \dots , t } ( p _ { i } - p _ { i - 1 } ) } \end{array}$ . + +# 2.1 VARIANCE REDUCTION IN LOCAL SGD + +Before jumping to the convergence result, we first discuss an important observation. + +Parallel (mini-batch) SGD. For carefully chosen stepsizes $\eta _ { t }$ , SGD converges at rate $\textstyle { \mathcal { O } } { \bigl ( } { \frac { \sigma ^ { 2 } } { T } } { \bigr ) } ^ { 5 }$ on strongly convex and smooth functions $f$ , where $\sigma ^ { 2 } \geq \mathbb { E } \| \nabla f _ { i _ { t } ^ { k } } ( { \mathbf x } _ { t } ^ { k } ) - \nabla f ( { \mathbf x } _ { t } ^ { k } ) \| ^ { 2 }$ for $t > 0 , k \in [ K ]$ is an upper bound on the variance, see for instance (Zhao & Zhang, 2015). By averaging $K$ stochastic gradients—such as in parallel SGD—the variance decreases by a factor of $K$ , and we conclude that parallel SGD converges at a rate $\textstyle { \mathcal { O } } { \bigl ( } { \frac { \sigma ^ { 2 } } { T K } } { \bigr ) }$ , i.e. achieves a linear speedup. + +Towards local SGD. For local SGD such a simple argument is elusive. For instance, just capitalizing the convexity of the objective function $f$ is not enough: this will show that the averaged iterate of $K$ independent SGD sequences converges at rate $\textstyle { \mathcal { O } } { \bigl ( } { \frac { \sigma ^ { 2 } } { T } } { \bigr ) }$ , i.e. no speedup can be shown in this way. + +This indicates that one has to show that local SGD decreases the variance $\sigma ^ { 2 }$ instead, similar as in parallel SGD. Suppose the different sequences $\mathbf { x } _ { t } ^ { k }$ evolve close to each other. Then it is reasonable to assume that averaging the stochastic gradients $\dot { \nabla } f _ { i _ { t } ^ { k } } ( \mathbf { x } _ { t } ^ { k } )$ for all $k \in [ K ]$ can still yield a reduction in the variance by a factor of $K$ —similar as in parallel SGD. Indeed, we will make this statement precise in the proof below. + +# 2.2 CONVERGENCE RESULT AND DISCUSSION + +Theorem 2.2. Let $f$ be $L$ -smooth and $\mu$ -strongly convex, $\mathbb { E } _ { i } \left\| \nabla f _ { i } ( \mathbf { x } _ { t } ^ { k } ) - \nabla f ( \mathbf { x } _ { t } ^ { k } ) \right\| ^ { 2 } \ \leq \ \sigma ^ { 2 }$ , $\mathbb { E } _ { i } \left\| \nabla f _ { i } ( \mathbf { x } _ { t } ^ { k } ) \right\| ^ { 2 } \leq G ^ { 2 }$ , for $t = 0 , \dots , T - 1$ , where $\{ \mathbf { x } _ { t } ^ { k } \} _ { t = 0 } ^ { T }$ for $k \in [ K ]$ are generated according to (4) with $\mathrm { g a p } ( \mathcal { T } _ { T } ) \leq H$ and for stepsizes $\begin{array} { r } { \eta _ { t } = \frac { 4 } { \mu ( a + t ) } } \end{array}$ with shift parameter $a > \operatorname* { m a x } \{ 1 6 \kappa , H \} ,$ , for $\begin{array} { r } { \kappa = \frac { L } { \mu } } \end{array}$ . Then + +$$ +\mathbb { E } f ( \hat { { \bf x } } _ { T } ) - f ^ { \star } \le \frac { \mu a ^ { 3 } } { 2 S _ { T } } \left. { \bf x } _ { 0 } - { \bf x } ^ { \star } \right. ^ { 2 } + \frac { 4 T ( T + 2 a ) } { \mu K S _ { T } } \sigma ^ { 2 } + \frac { 2 5 6 T } { \mu ^ { 2 } S _ { T } } G ^ { 2 } H ^ { 2 } L , +$$ + +where $\begin{array} { r } { \hat { \mathbf { x } } _ { T } = \frac { 1 } { K S _ { T } } \sum _ { k = 1 } ^ { K } \sum _ { t = 0 } ^ { T - 1 } w _ { t } \mathbf { x } _ { t } ^ { k } , } \end{array}$ , for $w _ { t } = ( a + t ) ^ { 2 }$ and $\begin{array} { r } { S _ { T } = \sum _ { t = 0 } ^ { T - 1 } w _ { t } \geq \frac { 1 } { 3 } T ^ { 3 } } \end{array}$ + +We were not especially careful to optimize the constants (and the lower order terms) in (5), so we now state the asymptotic result. + +Corollary 2.3. Let $\hat { \mathbf { x } } _ { T }$ be as defined as in Theorem 2.2, for parameter $a = \mathrm { m a x } \{ 1 6 \kappa , H \}$ . Then + +$$ +\mathbb { E } f \big ( \hat { \mathbf { x } } _ { T } \big ) - f ^ { \star } = O \left( \frac { 1 } { \mu K T } + \frac { \kappa + H } { \mu K T ^ { 2 } } \right) \sigma ^ { 2 } + O \left( \frac { \kappa H ^ { 2 } } { \mu T ^ { 2 } } + \frac { \kappa ^ { 3 } + H ^ { 3 } } { \mu T ^ { 3 } } \right) G ^ { 2 } . +$$ + +For the last estimate we used $\mathbb { E } \mu \left\| \mathbf { x } _ { 0 } - \mathbf { x } ^ { \star } \right\| \leq 2 G$ for $\mu$ -strongly convex $f$ , as derived in (Rakhlin et al., 2012, Lemma 2). + +Remark 2.4 (Mini-batch local SGD). So far, we assumed that each worker only computes a single stochastic gradient. In mini-batch local SGD, each worker computes a mini-batch of size b in each iteration. This reduces the variance by a factor of $b _ { : }$ , and thus Theorem (2.2) gives the convergence rate of mini-batch local SGD when $\sigma ^ { 2 }$ is replaced by $\frac { \sigma ^ { 2 } } { b }$ . + +We now state some consequences of equation (6). For the ease of the exposition we omit the dependency on $L , \mu , \sigma ^ { 2 }$ and $G ^ { 2 }$ below, but depict the dependency on the local mini-batch size $b$ . + +Convergence rate. For $T$ large enough and assuming $\sigma > 0$ , the very first term is dominating in (6) and local SGD converges at rate $O ( 1 / ( K T b ) )$ . That is, local SGD achieves a linear speedup in both, the number of workers $K$ and the mini-batch size $b$ . + +Global synchronization steps. It needs to hold $H = O ( \sqrt { T / ( K b ) } )$ to get the linear speedup. This yields a reduction of the number of communication rounds by a factor $O ( { \sqrt { T / ( K b ) } } )$ compared to parallel mini-batch SGD without hurting the convergence rate. + +Extreme Cases. We have not optimized the result for extreme settings of $H , K , L$ or $\sigma$ . For instance, we do not recover convergence for the one-shot averaging, i.e. the setting $H = T$ (though convergence for $H = o ( T )$ , but at a lower rate). + +Unknown Time Horizon/Adaptive Communication Frequency Zhang et al. (2016) empirically observe that more frequent communication at the beginning of the optimization can help to get faster time-to-accuracy (see also Lin et al. (2018a)). Indeed, when the number of total iterations $T$ is not known beforehand (as it e.g. depends on the target accuracy, cf. (6) and also Section 4 below), then increasing the communication frequency seems to be a good strategy to keep the communication low, why still respecting the constraint $H = O ( \sqrt { T / ( K b ) } )$ for all $T$ . + +# 3 PROOF OUTLINE + +We now give the outline of the proof. The proofs of the lemmas are given in Appendix A. + +Perturbed iterate analysis. Inspired by the perturbed iterate framework of (Mania et al., 2017) we first define a virtual sequence $\{ \bar { \bf x } _ { t } \} _ { t \ge 0 }$ in the following way: + +$$ +\bar { \mathbf { x } } _ { 0 } = \mathbf { x } _ { 0 } , \qquad \bar { \mathbf { x } } _ { t } = \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \mathbf { x } _ { t } ^ { k } , +$$ + +where the sequences $\{ \mathbf { x } _ { t } ^ { k } \} _ { t \geq 0 }$ for $k \in [ K ]$ are the same as in (4). Notice that this sequence never has to be computed explicitly, it is just a tool that we use in the analysis. Further notice that $\bar { \mathbf { x } } _ { t } = \mathbf { x } _ { t } ^ { k }$ for + +$k \in [ K ]$ whenever $t \in \mathcal { I } _ { T }$ . Especially, when $\mathcal { T } _ { T } = [ T ]$ , then $\bar { \mathbf { x } } _ { t } \equiv \mathbf { x } _ { t } ^ { k }$ for every $k \in [ K ] , t \in [ T ]$ . It will be useful to define + +$$ +\mathbf { g } _ { t } : = \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \nabla f _ { i _ { t } ^ { k } } \big ( \mathbf { x } _ { t } ^ { k } \big ) , \qquad \bar { \mathbf { g } } _ { t } : = \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \nabla f \big ( \mathbf { x } _ { t } ^ { k } \big ) . +$$ + +Observe $\bar { \mathbf { x } } _ { t + 1 } = \bar { \mathbf { x } } _ { t } - \eta _ { t } \mathbf { g } _ { t }$ and $\mathbb { E } { \bf g } _ { t } = \bar { \bf g } _ { t }$ . + +Now the proof proceeds as follows: we show (i) that the virtual sequence $\{ \bar { \bf x } _ { t } \} _ { t \ge 0 }$ almost behaves like mini-batch SGD with batch size $K$ (Lemma 3.1 and 3.2), and (ii) the true iterates $\{ \mathbf { x } _ { t } ^ { k } \} _ { t \ge 0 , k \in [ K ] }$ do not deviate much from the virtual sequence (Lemma 3.3). These are the main ingredients in the proof. To obtain the rate we exploit a technical lemma from (Stich et al., 2018). + +Lemma 3.1. Let $\{ { \bf x } _ { t } \} _ { t \ge 0 }$ and $\{ \bar { \bf x } _ { t } \} _ { t \ge 0 }$ for $k \in [ K ]$ be defined as in (4) and (7) and let $f$ be $L$ -smooth and $\mu$ -strongly convex and $\begin{array} { r } { \eta _ { t } \leq \frac { 1 } { 4 L } } \end{array}$ . Then + +$$ +\begin{array} { r l r } { { \mathbb { E } \| \bar { \mathbf { x } } _ { t + 1 } - \mathbf { x } ^ { \star } \| ^ { 2 } \leq ( 1 - \mu \eta _ { t } ) \mathbb { E } \| \bar { \mathbf { x } } _ { t } - \mathbf { x } ^ { \star } \| ^ { 2 } + \eta _ { t } ^ { 2 } \mathbb { E } \| \mathbf { g } _ { t } - \bar { \mathbf { g } } _ { t } \| ^ { 2 } } } \\ & { } & { \quad - \displaystyle \frac { 1 } { 2 } \eta _ { t } \mathbb { E } ( f ( \bar { \mathbf { x } } _ { t } ) - f ^ { \star } ) + 2 \eta _ { t } \frac { L } { K } \sum _ { k = 1 } ^ { K } \mathbb { E } \| \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { t } ^ { k } \| ^ { 2 } . } \end{array} +$$ + +Bounding the variance. From equation (9) it becomes clear that we should derive an upper bound on $\mathbb { E } \left\| \mathbf { g } _ { t } - \bar { \mathbf { g } } _ { t } \right\| ^ { 2 }$ . We will relate this to the variance $\sigma ^ { 2 }$ . + +$$ +\begin{array} { r } { t \sigma ^ { 2 } \geq \mathbb { E } _ { i } \| \nabla f _ { i } ( \mathbf { x } _ { t } ^ { k } ) - \nabla f ( \mathbf { x } _ { t } ^ { k } ) \| ^ { 2 } f o r k \in [ K ] , t \in [ T ] . T h e n \mathbb { E } \left\| \mathbf { g } _ { t } - \bar { \mathbf { g } } _ { t } \right\| ^ { 2 } \leq \frac { \sigma ^ { 2 } } { K } . } \end{array} +$$ + +Bounding the viation. Further, we need to bound $\begin{array} { r } { \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \mathbb { E } \left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { t } ^ { k } \right\| ^ { 2 } } \end{array}$ . For this we impose $\mathcal { I } _ { T }$ and an additional condition on the stepsize $\eta _ { t }$ . + +Lemma 3.3. If $\mathrm { g a p } ( { \mathcal { I } } _ { T } ) \leq H$ and sequence of decreasing positive stepsizes $\{ \eta _ { t } \} _ { t \ge 0 }$ satisfying $\eta _ { t } \leq 2 \eta _ { t + H }$ for all $t \geq 0$ , then + +$$ +\frac { 1 } { K } \sum _ { k = 1 } ^ { K } \mathbb { E } \left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { t } ^ { k } \right\| ^ { 2 } \leq 4 \eta _ { t } ^ { 2 } G ^ { 2 } H ^ { 2 } , +$$ + +where $G ^ { 2 }$ is a constant such that $\mathbb { E } _ { i } \| \nabla f _ { i } ( \mathbf { x } _ { t } ^ { k } ) \| ^ { 2 } \leq G ^ { 2 }$ for $k \in [ K ] , t \in [ T ]$ . + +Optimal Averaging. Similar as in (Lacoste-Julien et al., 2012; Shamir & Zhang, 2013; Rakhlin et al., 2012) we define a suitable averaging scheme for the iterates $\{ \bar { \bf x } _ { t } \} _ { t \ge 0 }$ to get the optimal convergence rate. In contrast to (Lacoste-Julien et al., 2012) that use linearly increasing weights, we use quadratically increasing weights, as for instance (Shamir & Zhang, 2013; Stich et al., 2018). + +Lemma 3.4 ((Stich et al., 2018)). Let $\{ a _ { t } \} _ { t \ge 0 } , a _ { t } \ge 0 , \{ e _ { t } \} _ { t \ge 0 } , e _ { t } \ge 0$ be sequences satisfying + +$$ +a _ { t + 1 } \leq \left( 1 - \mu \eta _ { t } \right) a _ { t } - \eta _ { t } e _ { t } A + \eta _ { t } ^ { 2 } B + \eta _ { t } ^ { 3 } C , +$$ + +for $\begin{array} { r } { \eta _ { t } = \frac { 4 } { \mu ( a + t ) } } \end{array}$ and constants $A > 0 , B , C \ge 0 , \mu > 0 , a > 1$ . Then + +$$ +\frac { A } { S _ { T } } \sum _ { t = 0 } ^ { T - 1 } w _ { t } e _ { t } \le \frac { \mu a ^ { 3 } } { 4 S _ { T } } a _ { 0 } + \frac { 2 T ( T + 2 a ) } { \mu S _ { T } } B + \frac { 1 6 T } { \mu ^ { 2 } S _ { T } } C , +$$ + +$w _ { t } = ( a + t ) ^ { 2 }$ an $\begin{array} { r } { S _ { T } : = \sum _ { t = 0 } ^ { T - 1 } w _ { t } = \frac { T } { 6 } \left( 2 T ^ { 2 } + 6 a T - 3 T + 6 a ^ { 2 } - 6 a + 1 \right) \ge \frac { 1 } { 3 } T ^ { 3 } . } \end{array}$ + +Proof. This is a reformulation of Lemma 3.3 in (Stich et al., 2018). + +Proof of Theorem 2.2. By convexity of $f$ we have $\begin{array} { r } { \mathbb { E } f ( \hat { \mathbf { x } } _ { T } ) - f ^ { \star } \le \frac { 1 } { S _ { T } } \sum _ { t = 0 } ^ { T - 1 } w _ { t } \mathbb { E } \big ( f ( \bar { \mathbf { x } } _ { t } ) - f ^ { \star } \big ) } \end{array}$ . The proof of the theorem thus follows immediately from the four lemmas that we have presented, i.e. by Lemma 3.4 with $e _ { t } : = \mathbb { E } ( f ( { \bar { \mathbf { x } } } _ { t } ) - f ^ { \star } )$ and constants $\begin{array} { r } { A = { \frac { 1 } { 2 } } } \end{array}$ , (Lemma 3.1), $\textstyle B = { \frac { \sigma ^ { 2 } } { K } }$ , (Lemma 3.2) and ${ \cal C } = 8 G ^ { 2 } H ^ { 2 } L$ , (Lemma 3.3). Observe that the stepsizes $\begin{array} { r } { \bar { \eta } _ { t } = \frac { 4 } { \mu ( a + t ) } } \end{array}$ satisfy both the conditions of Lemma 3.1 $\begin{array} { r } { ( \eta _ { 0 } = \frac { 4 } { \mu a } \le \frac { 1 } { 4 L } } \end{array}$ , as $a \geq 1 6 \kappa$ ) and of Lemma 3.3 $\begin{array} { r } { \frac { \eta _ { t } } { \eta _ { t + H } } = \frac { a + t + H } { a + t } \leq 2 } \end{array}$ , as $a \geq H$  .  + +![](images/95e66240a2121830c133d0308d4f327cabd2ac30fab21716799cd6ee7fc364cb.jpg) +Figure 2: Theoretical speedup of local SGD for different numbers of workers $K$ and $H$ . + +![](images/ee99912bbfefbabd4b67b1c135a15bd3a8a2f7f6ba3a1f5ca956e451e6d1a15e.jpg) +Figure 3: Measured speedup of local SGD with mini-batch $b = 4$ for different numbers of workers $K$ and parameters $H$ . + +# 4 NUMERICAL ILLUSTRATION + +In this section we show some numerical experiments to illustrate the results of Theorem 2.2. + +Speedup. When Algorithm 1 is implemented in a distributed setting, there are two components that determine the wall-clock time: (i) the total number of gradient computations, $T K$ , and (ii) the total time spend for communication. In each communication round $2 ( K - 1 )$ vectors need to be exchanged, and there will be $T / H$ communication rounds. Typically, the communication is more expensive than a single gradient computation. We will denote this ratio by a factor $\rho \geq 1$ (in practice, $\rho$ can be 10–100, or even larger on slow networks). The parameter $T$ depends on the desired accuracy  > 0, and according to (6) we roughly have T (, H, K) ≈ 1K $\begin{array} { r } { T ( \epsilon , H , K ) \approx \frac { 1 } { K \epsilon } \left( \frac { 1 } { 2 } + \frac { 1 } { 2 } \sqrt { 1 + \epsilon ( 1 + H + H ^ { 2 } K ) } \right) } \end{array}$ . Thus, the theoretical speedup $S ( K )$ of local SGD on $K$ machines compared to SGD on one machine $H = 1$ , $K = 1$ ) is + +$$ +S ( K ) = \frac { K } { \left( \frac { 1 } { 2 } + \frac { 1 } { 2 } \sqrt { 1 + \epsilon ( 1 + H + H ^ { 2 } K ) } \right) \left( 1 + 2 \rho \frac { ( K - 1 ) } { H } \right) } . +$$ + +Theoretical. Examining (13), we see that (i) increasing $H$ can reduce negative scaling effects due to parallelization (second bracket in the denominator of (13)), and (ii) local SGD only shows linear scaling for $\epsilon \ll 1$ (i.e. $T$ large enough, in agreement with the theory). In Figure 2 we depict $S ( K )$ , once for $\epsilon = 0$ in Figure 2b, and for positive $\epsilon > 0$ in Figure 2a under the assumption $\rho = 2 5$ . We see that for $\epsilon = 0$ the largest values of $H$ give the best speedup, however, when only a few epochs need to be performed, then the optimal values of $H$ change with the number of workers $K$ . We also see that for a small number of workers $H = 1$ is never optimal. If $T$ is unknown, then these observations seem to indicate that the technique from (Zhang et al., 2016), i.e. adaptively increasing $H$ over time seems to be a good strategy to get the best choice of $H$ when the time horizon is unknown. + +Experimental. We examine the practical speedup on a logistic regression problem, $f ( \mathbf { x } ) \ =$ $\begin{array} { r } { \frac { 1 } { n _ { . } } \sum _ { i = 1 } ^ { n } \log ( 1 + \exp ( - b _ { i } \mathbf { a } _ { i } ^ { \top } \mathbf { x } ) ) + \frac { \lambda } { 2 } \| \mathbf { x } \| ^ { 2 } } \end{array}$ , where $\mathbf { a } _ { i } \in \mathbb { R } ^ { d }$ and $b _ { i } \in \{ - 1 , + 1 \}$ are the data samples. The regularization parameter is set to $\lambda = 1 / n$ . We consider the $\mathtt { w } 8 \mathtt { a }$ dataset (Platt, 1999) $( d = 3 0 0 , n = 4 9 7 4 9 )$ . We initialize all runs with $\mathbf { x } _ { 0 } = \mathbf { 0 } _ { d }$ and measure the number of iterations to reach the target accuracy $\epsilon$ . We consider the target accuracy reached, when either the last iterate, the uniform average, the average with linear weights, or the average with quadratic weights (such as in Theorem 2.2) reaches the target accuracy. By extensive grid search we determine for each configuration $( H , K , B )$ the best stepsize from the set $\{ \operatorname* { m i n } ( 3 \bar { 2 } , \frac { c n } { t + 1 } ) , 3 2 c \}$ , where $c$ can take the values $c = 2 ^ { i }$ for $i \in \mathbb { Z }$ . For more details on the experimental setup refer Section $\mathbf { D }$ in the appendix. We depict the results in Figure 3, again under the assumption $\rho = 2 5$ . + +1: Initialize variables $\mathbf { x } _ { 0 } ^ { k } = \mathbf { x } _ { 0 }$ , $r ^ { k } = 0$ for $k \in [ K ]$ , aggregate $\bar { \bar { \mathbf { x } } } = \mathbf { x } _ { 0 }$ . +2: parallel for $k \in [ K ]$ do +3: for $t$ in $0 \dots T - 1$ do +4: Sample $i _ { t } ^ { k }$ uniformly in $[ n ]$ +5: ${ \bf x } _ { t + 1 } ^ { k } \dot { } - \dot { } { \bf x } _ { t } ^ { k } - \eta _ { t } \nabla \dot { f } _ { i _ { t } ^ { k } } ( \dot { } { \bf x } _ { t } ^ { k } )$ . local update +6: if $t + 1 \in \mathcal { I } _ { T } ^ { k }$ then +7: $\bar { \bar { \mathbf { x } } } \mathrm { a d } \bar { \mathrm { d } } ( \bar { \bar { \mathbf { x } } } , \frac { 1 } { K } ( \mathbf { x } _ { t + 1 } ^ { k } - \mathbf { x } _ { r ^ { k } } ^ { k } ) )$ . atomic aggregation of the updates +8: $\mathbf { x } _ { t + 1 } ^ { k } \mathrm { r e a d } ( \bar { \bar { \mathbf { x } } } )$ ; +9: r k ← t + 1 . iteration/time of last read +10: end if +11: end for +12: end parallel for + +Conclusion. The restriction on $H$ imposed by theory is not severe for $T \to \infty$ . Thus, for training that either requires many passes over the data or that is performed only on a small cluster, large values√ of $H$ are advisable. However, for smaller $T$ (few passes over the data), the $O ( 1 / { \sqrt { K } } )$ dependency shows significantly in the experiment. This has to be taken into account when deploying the algorithm on a massively parallel system, for instance through the technique mentioned in (Zhang et al., 2016). + +# 5 ASYNCHRONOUS LOCAL SGD + +In this section we present asynchronous local SGD that does not require that the local sequences are synchronized. This does not only reduce communication bottlenecks, but by using load-balancing techniques the algorithm can optimally be tuned to heterogeneous settings (slower workers do less computation between synchronization, and faster workers do more). We will discuss this in more detail in Section C. + +Asynchronous local SGD generates in parallel $K$ sequences $\{ \mathbf { x } _ { t } ^ { k } \} _ { t = 0 } ^ { T }$ of iterates, $k \in [ K ]$ . Similar as in Section 2 we introduce sets of synchronization indices, $\mathcal { T } _ { t } ^ { k } \subseteq [ T ]$ with $T \in \mathcal { I } _ { T } ^ { k }$ for $k \in [ K ]$ . Note that the sets do not have to be equal for different workers. Each worker $k$ evolves locally a sequence $\mathbf { x } _ { t } ^ { k }$ in the following way: + +$$ +\begin{array} { r } { \mathbf { x } _ { t + 1 } ^ { k } = \left\{ \mathbf { x } _ { t } ^ { k } - \gamma _ { t } \nabla f _ { i _ { t } ^ { k } } ( \mathbf { x } _ { t } ^ { k } ) \quad \mathrm { i f ~ } t + 1 \not \in \mathcal { I } _ { T } ^ { k } \right. } \\ { \bar { \mathbf { x } } _ { t + 1 } ^ { k } \qquad \quad \mathrm { i f ~ } t + 1 \in \mathcal { I } _ { T } ^ { k } } \end{array} +$$ + +where $\hat { \hat { \mathbf { x } } } _ { t + 1 } ^ { k }$ denotes the state of the aggregated variable at the time when worker $k$ reads the aggregated variable. To be precise, we use the notation + +$$ +\bar { \bar { \mathbf { x } } } _ { t } ^ { k } = \mathbf { x } _ { 0 } - \frac { 1 } { K } \sum _ { h = 1 } ^ { K } \sum _ { j = 0 } ^ { t - 1 } \mathbb { 1 } _ { j \in \mathcal { W } _ { t } ^ { k , h } } \bigl ( \gamma _ { j } \nabla f _ { i _ { j } ^ { k } } ( \mathbf { x } _ { j } ^ { k } ) \bigr ) , +$$ + +where $\mathcal { W } _ { t } ^ { k , h } \subseteq [ T ]$ denotes all updates that have been written at the time the read takes place. The sets $\mathcal { W } _ { t } ^ { k , h }$ are indexed by iteration $t$ , worker $k$ that initiates the read and $h \in [ K ]$ . Thus $\mathcal { W } _ { t } ^ { k , h }$ denotes all updates of the local sequence $\{ \mathbf { x } _ { t } ^ { h } \} _ { t \geq 0 }$ , that have been reported back to the server at the time worker $k$ reads (in iteration $t$ ). This notation is necessary, as we don’t necessarily have $\mathcal { W } _ { t } ^ { k , h } = \mathcal { W } _ { t } ^ { k ^ { \prime } , h }$ for $k \neq k ^ { \prime }$ . We have $\mathcal { W } _ { t } ^ { k , h } \subseteq \mathcal { W } _ { t ^ { \prime } } ^ { k , h }$ for $t ^ { \prime } \geq t$ , as updates are not overwritten. When we cast synchronized local SGD in this notation, then it holds $\mathcal { W } _ { t } ^ { k , h } = \mathcal { W } _ { t } ^ { k ^ { \prime } , h ^ { \prime } }$ for all $k , h , k ^ { \prime } , h ^ { \prime }$ , as all the writes and reads are synchronized. + +Theorem 5.1. Let $f$ , $\sigma$ , $G$ and $\kappa$ be as in Theorem 5.1 and sequences $\{ \mathbf { x } _ { t } ^ { k } \} _ { t = 0 } ^ { T } f o r k \in [ K ]$ generated according to (14) with $\mathrm { g a p } ( \mathcal { T } _ { T } ^ { k } ) \leq H$ for $k \in K$ and for stepsizes $\begin{array} { r } { \eta _ { t } = \frac { 4 } { \mu ( a + t ) } } \end{array}$ with shift parameter $a > \operatorname* { m a x } \{ 1 6 \kappa , H + \tau \}$ for delay $\tau > 0$ . If $\mathcal { W } _ { t } ^ { k , h } \supseteq [ t - \tau ]$ for all $k , h \in [ K ] _ { : }$ , $t \in [ T ]$ , then + +$$ +\mathbb { E } f ( \hat { { \bf x } } _ { T } ) - f ^ { \star } \le \frac { \mu a ^ { 3 } } { 2 S _ { T } } \left. { \bf x } _ { 0 } - { \bf x } ^ { \star } \right. ^ { 2 } + \frac { 4 T ( T + 2 a ) } { \mu K S _ { T } } \sigma ^ { 2 } + \frac { 7 6 8 T } { \mu ^ { 2 } S _ { T } } G ^ { 2 } ( H + \sigma ) ^ { 2 } L , +$$ + +where $\begin{array} { r } { \hat { \mathbf { x } } _ { T } = \frac { 1 } { K S _ { T } } \sum _ { k = 1 } ^ { K } \sum _ { t = 0 } ^ { T - 1 } w _ { t } \mathbf { x } _ { t } ^ { k } , } \end{array}$ , for $w _ { t } = ( a + t ) ^ { 2 }$ and $\begin{array} { r } { S _ { T } = \sum _ { t = 0 } ^ { T - 1 } w _ { t } \geq \frac { 1 } { 3 } T ^ { 3 } } \end{array}$ + +Hence, for $T$ large enough and $( H + \tau ) = O ( \sqrt { T / K } )$ , asynchronous local SGD converges with rate $\begin{array} { r } { O \big ( \frac { G ^ { 2 } } { K T } \big ) } \end{array}$ , the same rate as synchronous local SGD. + +# 6 CONCLUSION + +We prove convergence of synchronous and asynchronous local SGD and are the first to show that local SGD (for nontrivial values of $H$ ) attains theoretically linear speedup on strongly convex functions when parallelized among $K$ workers. We show that local SGD saves up to a factor of $O ( T ^ { 1 / 2 } )$ in global communication rounds compared to mini-batch SGD, while still converging at the same rate in terms of total stochastic gradient computations. + +Deriving more concise convergence rates for local SGD could be an interesting future direction that could deepen our understanding of the scheme. For instance one could aim for a more fine grained analysis in terms of bias and variance terms (similar as e.g. in Dekel et al. (2012); Jain et al. (2018)), relaxing the assumptions (here we relied on the bounded gradient assumption), or investigating the data dependence (e.g. by considering data-depentent measures like e.g. gradient diversity Yin et al. (2018)). There are also no apparent reasons that would limit the extension of the theory to non-convex objective functions; Lemma 3.3 does neither use the smoothness nor the strong convexity assumption, so this can be applied in the non-convex setting as well. 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Using the update equation (7) we have + +$$ +\begin{array} { r l } & { \left\| \bar { \mathbf { x } } _ { t + 1 } - \mathbf { x } ^ { \star } \right\| ^ { 2 } = \left\| \bar { \mathbf { x } } _ { t } - \eta _ { t } \mathbf { g } _ { t } - \mathbf { x } ^ { \star } \right\| ^ { 2 } = \left\| \bar { \mathbf { x } } _ { t } - \eta _ { t } \mathbf { g } _ { t } - \mathbf { x } ^ { \star } - \eta _ { t } \bar { \mathbf { g } } _ { t } + \eta _ { t } \bar { \mathbf { g } } _ { t } \right\| ^ { 2 } } \\ & { \qquad = \left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } ^ { \star } - \eta _ { t } \bar { \mathbf { g } } _ { t } \right\| ^ { 2 } + \eta _ { t } ^ { 2 } \left\| \mathbf { g } _ { t } - \bar { \mathbf { g } } _ { t } \right\| ^ { 2 } + 2 \eta _ { t } \left. \bar { \mathbf { x } } _ { t } - \mathbf { x } ^ { \star } - \eta _ { t } \bar { \mathbf { g } } _ { t } , \bar { \mathbf { g } } _ { t } - \mathbf { g } _ { t } \right. . } \end{array} +$$ + +Observe that + +$$ +\begin{array} { r l } { | { \bf x } _ { k } - { \bf x } ^ { \prime } - \eta _ { k } \mathbf { g } | ^ { 2 } = \| { \bf x } _ { k } - { \bf x } ^ { \prime } \| ^ { 2 } + \eta _ { k } ^ { 2 } \| { \bf g } _ { k } \| ^ { 2 } - 2 \eta _ { k } { \bf x } _ { k } - { \bf x } ^ { \prime } , { \bf g } _ { k } } & { \qquad \mathrm { ( f ~ } { \bf x } _ { k } < { \bf x } ^ { \prime } , { \bf g } _ { k } ^ { \prime } \mathrm { ) } } \\ & { = \| { \bf x } _ { k } - { \bf x } ^ { \prime } \| ^ { 2 } + \eta _ { k } ^ { 2 } \| { \bf g } _ { k } \| ^ { 2 } - 2 \eta _ { k } { 1 } { K _ { k } - 1 } { \bf x } _ { k } - { \bf x } ^ { \prime } , \nabla f ( { \bf x } _ { k } ^ { \prime } ) } & { \qquad \mathrm { ( f ~ } { \bf x } _ { k } < { \bf x } ^ { \prime } , \nabla f ( { \bf x } _ { k } ^ { \prime } ) } \\ & { \leq \| { \bf x } _ { k } - { \bf x } ^ { \prime } \| ^ { 2 } + \eta _ { k } ^ { 2 } \frac { 1 } { K _ { k } - 1 } \nabla f ( { \bf x } _ { k } ^ { \prime } ) + \eta _ { k } ^ { 2 } } \\ & { \qquad - 2 \eta _ { k } \frac { 1 } { K _ { k } - 1 } \frac { K _ { k } ^ { 2 } } { K _ { k } - 1 } { \bf x } _ { k } - { \bf x } _ { k } ^ { \prime } + { \bf x } _ { k } ^ { \prime } - { \bf x } ^ { \prime } , \nabla f ( { \bf x } _ { k } ^ { \prime } ) } \\ & { = \| { \bf x } _ { k } - { \bf x } ^ { \prime } \| ^ { 2 } + \eta _ { k } ^ { 2 } \frac { 1 } { K _ { k } - 1 } \| \nabla f ( { \bf x } _ { k } ^ { \prime } ) - \nabla f ( { \bf x } ^ { \prime } ) \| ^ { 2 } } \\ & \qquad - 2 \eta _ { k } ^ { 2 } \frac { 1 } { K _ { k } - 1 } { \bf x } _ { k } ^ { \prime } - \end{array} +$$ + +where we used the inequality $\begin{array} { r } { \| \sum _ { i = 1 } ^ { K } \mathbf { a } _ { i } \| ^ { 2 } \leq K \sum _ { i = 1 } ^ { K } \| \mathbf { a } _ { i } \| ^ { 2 } } \end{array}$ in (21). By $L$ -smoothness, + +$$ +\left\| \nabla f ( \mathbf { x } _ { t } ^ { k } ) - \nabla f ( \mathbf { x } ^ { \star } ) \right\| ^ { 2 } \leq 2 L ( f ( \mathbf { x } _ { t } ^ { k } ) - f ^ { \star } ) , +$$ + +and by $\mu$ -strong convexity + +$$ +- \left. \mathbf { x } _ { t } ^ { k } - \mathbf { x } ^ { \star } , \nabla f ( \mathbf { x } _ { t } ^ { k } ) \right. \leq - ( f ( \mathbf { x } _ { t } ^ { k } ) - f ^ { \star } ) - \frac { \mu } { 2 } \left\| \mathbf { x } _ { t } ^ { k } - \mathbf { x } ^ { \star } \right\| ^ { 2 } . +$$ + +To estimate the last term in (22) we use $2 \left. \mathbf { a } , \mathbf { b } \right. \leq \gamma \left\| \mathbf { a } \right\| ^ { 2 } + \gamma ^ { - 1 } \left\| \mathbf { b } \right\| ^ { 2 }$ , for $\gamma > 0$ . This gives + +$$ +\begin{array} { l } { \displaystyle - 2 \left. \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { k } ^ { t } , \nabla f ( { \mathbf { x } } _ { t } ^ { k } ) \right. \leq 2 L \left. \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { k } ^ { t } \right. ^ { 2 } + \displaystyle \frac { 1 } { 2 L } \left. \nabla f ( \mathbf { x } _ { t } ^ { k } ) \right. ^ { 2 } } \\ { \displaystyle \qquad = 2 L \left. \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { k } ^ { t } \right. ^ { 2 } + \displaystyle \frac { 1 } { 2 L } \left. \nabla f ( \mathbf { x } _ { t } ^ { k } ) - \nabla f ( \mathbf { x } ^ { \star } ) \right. ^ { 2 } } \\ { \displaystyle \qquad \leq 2 L \left. \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { k } ^ { t } \right. ^ { 2 } + \left( f ( \mathbf { x } _ { t } ^ { k } ) - f ^ { \star } \right) , } \end{array} +$$ + +where we have again used (23) in the last inequality. By applying these three estimates to (22) we get + +$$ +\begin{array} { l } { { \displaystyle \left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } ^ { \star } - \eta _ { t } \bar { \mathbf { g } } _ { t } \right\| ^ { 2 } \leq \left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } ^ { \star } \right\| ^ { 2 } + 2 \eta _ { t } \displaystyle \frac { L } { K } \sum _ { k = 1 } ^ { K } \left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { k } ^ { t } \right\| ^ { 2 } } } \\ { { \displaystyle \qquad + 2 \eta _ { t } \displaystyle \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \left( \left( \eta _ { t } L - \displaystyle \frac { 1 } { 2 } \right) \left( f ( \mathbf { x } _ { t } ^ { k } ) - f ^ { \star } \right) - \displaystyle \frac { \mu } { 2 } \left\| \mathbf { x } _ { t } ^ { k } - \mathbf { x } ^ { \star } \right\| ^ { 2 } \right) . } } \end{array} +$$ + +For $\begin{array} { r } { \eta _ { t } \le \frac { 1 } { 4 L } } \end{array}$ it holds $\begin{array} { r } { \left( \eta _ { t } L - \frac { 1 } { 2 } \right) \le - \frac { 1 } { 4 } } \end{array}$ . By convexity of $a \left( f ( \mathbf { x } ) - f ^ { \star } \right) + b \left\| \mathbf { x } - \mathbf { x } ^ { \star } \right\| ^ { 2 }$ for $a , b \geq 0$ : + +$$ +- \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \Big ( a \big ( f ( \mathbf { x } _ { t } ^ { k } ) - f ^ { \star } \big ) + b \big \| \mathbf { x } _ { t } ^ { k } - \mathbf { x } ^ { \star } \big \| ^ { 2 } \Big ) \leq - \Big ( a \big ( f ( \bar { \mathbf { x } } _ { t } ) - f ^ { \star } \big ) + b \big \| \bar { \mathbf { x } } _ { t } - \mathbf { x } ^ { \star } \big \| ^ { 2 } \Big ) \ , +$$ + +hence we can continue in (28) and obtain + +$$ +\left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } ^ { \star } - \eta _ { t } \bar { \mathbf { g } } _ { t } \right\| ^ { 2 } \leq \left( 1 - \mu \eta _ { t } \right) \left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } ^ { \star } \right\| ^ { 2 } - \frac { 1 } { 2 } \eta _ { t } \big ( f ( \bar { \mathbf { x } } _ { t } ) - f ^ { \star } \big ) + 2 \eta _ { t } \frac { L } { K } \sum _ { k = 1 } ^ { K } \left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { t } ^ { k } \right\| ^ { 2 } . +$$ + +Finally, we can plug (30) back into (18). By taking expectation we get + +$$ +\begin{array} { r l r } { { \mathbb { E } \| \bar { \mathbf { x } } _ { t + 1 } - \mathbf { x } ^ { \star } \| ^ { 2 } \leq ( 1 - \mu \eta _ { t } ) \mathbb { E } \| \bar { \mathbf { x } } _ { t } - \mathbf { x } ^ { \star } \| ^ { 2 } + \eta _ { t } ^ { 2 } \mathbb { E } \| \mathbf { g } _ { t } - \bar { \mathbf { g } } _ { t } \| ^ { 2 } } } \\ & { } & { \quad - \displaystyle \frac { 1 } { 2 } \eta _ { t } \mathbb { E } ( f ( \bar { \mathbf { x } } _ { t } ) - f ^ { \star } ) + 2 \eta _ { t } \frac { L } { K } \sum _ { k = 1 } ^ { K } \mathbb { E } \| \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { t } ^ { k } \| ^ { 2 } . } \end{array} +$$ + +Proof of Lemma 3.2. By definition of $\mathbf { g } _ { t }$ and $\bar { \bf g } _ { t }$ we have + +$$ +\mathbb { \Psi } \left. \mathbf { g } _ { t } - \bar { \mathbf { g } } _ { t } \right. ^ { 2 } = \mathbb { E } \left. \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \left( \nabla f _ { i _ { t } ^ { k } } ( \mathbf { x } _ { t } ^ { k } ) - \nabla f ( \mathbf { x } _ { t } ^ { k } ) \right) \right. ^ { 2 } = \frac { 1 } { K ^ { 2 } } \sum _ { k = 1 } ^ { K } \mathbb { E } \left. \nabla f _ { i _ { t } ^ { k } } ( \mathbf { x } _ { t } ^ { k } ) - \nabla f ( \mathbf { x } _ { t } ^ { k } ) \right. ^ { 2 } \leq \frac { \sigma ^ { 2 } } { K } , +$$ + +where we used $\begin{array} { r } { \operatorname { V a r } ( \sum _ { k = 1 } ^ { K } X _ { k } ) = \sum _ { k = 1 } ^ { K } \operatorname { V a r } ( X _ { k } ) } \end{array}$ for independent random variables. + +Proof of Lemma 3.3. As the $\mathrm { g a p } ( \mathcal { T } _ { T } ) \leq H$ , there is an index $t _ { 0 } , t - t _ { 0 } \leq H$ such that $\bar { \mathbf { x } } _ { t _ { 0 } } = \mathbf { x } _ { t _ { 0 } } ^ { k }$ for $k \in [ K ]$ . Observe, using $\operatorname { \mathbb { E } } \left\| X - \operatorname { \mathbb { E } } X \right\| ^ { 2 } = \operatorname { \mathbb { E } } \left\| X \right\| ^ { 2 } - \left\| \operatorname { \mathbb { E } } X \right\| ^ { 2 }$ and $\begin{array} { r } { \| \sum _ { i = 1 } ^ { H } \mathbf { a } _ { i } \| ^ { 2 } \leq H \sum _ { i = 1 } ^ { H } \| \mathbf { a } _ { i } \| ^ { 2 } } \end{array}$ , + +$$ +\begin{array} { l } { \displaystyle \frac { 1 } { K } \sum _ { k = 1 } ^ { K } \mathbb { E } \left\| \bar { \mathbf { x } } _ { t } - { \mathbf { x } } _ { t } ^ { k } \right\| ^ { 2 } = \frac { 1 } { K } \displaystyle \sum _ { k = 1 } ^ { K } \mathbb { E } \left\| { \mathbf { x } } _ { t } ^ { k } - { \mathbf { x } } _ { t _ { 0 } } - \left( \bar { \mathbf { x } } _ { t } - { \mathbf { x } } _ { t _ { 0 } } \right) \right\| ^ { 2 } } \\ { \displaystyle \qquad \leq \frac { 1 } { K } \displaystyle \sum _ { k = 1 } ^ { K } \mathbb { E } \left\| { \mathbf { x } } _ { t } ^ { k } - { \mathbf { x } } _ { t _ { 0 } } \right\| ^ { 2 } } \\ { \displaystyle \qquad \leq \frac { 1 } { K } \displaystyle \sum _ { k = 1 } ^ { K } H \eta _ { t _ { 0 } } ^ { 2 } \displaystyle \sum _ { h = t _ { 0 } } ^ { t - 1 } \mathbb { E } \left\| \nabla f _ { \bar { \mathbf { x } } _ { h } } ( x _ { h } ^ { k } ) \right\| ^ { 2 } } \\ { \displaystyle \qquad \leq \frac { 1 } { K } \displaystyle \sum _ { k = 1 } ^ { K } H ^ { 2 } \eta _ { t _ { 0 } } ^ { 2 } G ^ { 2 } , } \end{array} +$$ + +where we used $\eta _ { t } \leq \eta _ { t _ { 0 } }$ for $t \geq t _ { 0 }$ and the assumption $\mathbb { E } \| \nabla f _ { i _ { h } ^ { k } } ( \mathbf { x } _ { h } ^ { k } ) \| ^ { 2 } \leq G ^ { 2 }$ . Finally, the claim follows by the assumption on the stepsizes, $\frac { \eta _ { t _ { 0 } } } { \eta _ { t } } \leq 2$ . □ + +# B MISSING PROOF FOR ASYNCHRONOUS LOCAL SGD + +In this Section we prove Theorem 5.1. The proof follows closely the proof presented in Section 3. We again introduce the virtual sequence + +$$ +\bar { \mathbf { x } } _ { t } = \mathbf { x } _ { 0 } - \frac { 1 } { K } \sum _ { h = 1 } ^ { K } \sum _ { j = 0 } ^ { t - 1 } \eta _ { j } \nabla f _ { i _ { j } ^ { k } } \bigl ( \mathbf { x } _ { j } ^ { k } \bigr ) , +$$ + +as before. By the property $T \in \mathcal { T } _ { T } ^ { k }$ for $k \in K$ we know that all workers will have written their updates when the algorithm terminates. This assumption is not very critical and could be relaxed, but it facilitates the (already quite heavy) notation in the proof. + +Observe, that Lemmas 3.1 and 3.2 hold for the virtual sequence $\{ \bar { \mathbf { x } } _ { t } \} _ { t = 0 } ^ { T }$ . Hence, all we need is a refined version of Lemma 3.3 that bounds how far the local sequences can deviate from the virtual average. + +Lemma B.1. ${ \cal { I } } f \mathrm { g a p } ( { \cal { I } } _ { T } ^ { k } ) \le { \cal { H } }$ and $\exists \tau > 0 .$ , s.t. $\mathcal { W } _ { t } ^ { k , h } \supseteq [ t - \tau ]$ for all $k , h \in [ K ]$ , $t \in [ T ]$ , and sequence of decreasing positive stepsizes $\{ \eta _ { t } \} _ { t \ge 0 }$ satisfying $\eta _ { t } \leq 2 \eta _ { t + H + \tau }$ for all $t \geq 0$ , then + +$$ +\frac { 1 } { K } \sum _ { k = 1 } ^ { K } \mathbb { E } \left\| \bar { \mathbf { x } } _ { t } - { \mathbf { x } } _ { t } ^ { k } \right\| ^ { 2 } \leq 1 2 \eta _ { t } ^ { 2 } G ^ { 2 } ( H + \tau ) ^ { 2 } , +$$ + +where $G ^ { 2 }$ is a constant such that $\mathbb { E } _ { i } \| \nabla f _ { i } ( \mathbf { x } _ { t } ^ { k } ) \| ^ { 2 } \leq G ^ { 2 }$ for $k \in [ K ] , t \in [ T ]$ . + +Here we use the notation $[ s ] = \{ \}$ for $s < 0$ , such that $[ t - \tau ]$ is also defined for $t < \tau$ + +Proof. As $\mathrm { g a p } ( \mathcal { T } _ { T } ^ { k } ) \leq H$ there exists for every $k \in K$ a $t _ { k }$ , $t - t _ { k } \le H$ , such that $\mathbf { x } _ { t _ { k } } ^ { k } = \bar { \bar { x } } _ { t _ { k } } ^ { k }$ . Let $t _ { 0 } : = \operatorname* { m i n } \{ t _ { 1 } , \dots , t _ { K } \}$ and observe $t _ { 0 } \geq t - H$ . Let $t _ { 0 } ^ { \prime } = \operatorname* { m a x } \{ t _ { 0 } - \tau , 0 \}$ . As $\mathcal { W } _ { t } ^ { k , h } \supseteq [ t - \tau ]$ for all $k , h \in [ K ]$ , $t \in [ T ]$ , it holds + +$$ +\bar { \bar { \mathbf { x } } } _ { t _ { k } } ^ { k } = \bar { \mathbf { x } } _ { t _ { 0 } ^ { \prime } } - \frac { 1 } { K } \sum _ { h = 1 } ^ { K } \sum _ { j = t _ { 0 } ^ { \prime } } ^ { t _ { k } - 1 } \mathbb { 1 } _ { j \in \mathcal { W } _ { t _ { k } } ^ { k , h } } \bigl ( \eta _ { j } \nabla f _ { i _ { j } ^ { k } } ( \mathbf { x } _ { j } ^ { k } ) \bigr ) , +$$ + +for each $k \in [ K ]$ . In other words, all updates up to iteration $t _ { 0 } ^ { \prime }$ have been written to the aggregated sequence. + +We decompose the error term as + +$$ +\left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { t } ^ { k } \right\| ^ { 2 } \leq 3 \left( \left\| \mathbf { x } _ { t } ^ { k } - \mathbf { x } _ { t _ { k } } ^ { k } \right\| ^ { 2 } + \left\| \mathbf { x } _ { t _ { k } } ^ { k } - \bar { \mathbf { x } } _ { t _ { 0 } ^ { \prime } } \right\| ^ { 2 } + \left\| \bar { \mathbf { x } } _ { t _ { 0 } ^ { \prime } } - \bar { \mathbf { x } } _ { t } \right\| ^ { 2 } \right) . +$$ + +Now, using $\eta _ { t } \geq \eta _ { t + 1 }$ , and $t - t _ { k } \le H$ , we conclude (as in (35)) + +$$ +\left\| \mathbf { x } _ { t } ^ { k } - \mathbf { x } _ { t _ { k } } ^ { k } \right\| ^ { 2 } \leq \eta _ { t _ { k } } ^ { 2 } H ^ { 2 } G ^ { 2 } \leq \eta _ { t _ { 0 } ^ { \prime } } ^ { 2 } H ^ { 2 } G ^ { 2 } . +$$ + +As $t _ { k } - t _ { 0 } ^ { \prime } \leq \tau$ , + +$$ +\begin{array} { r } { \left\| \mathbf { x } _ { t _ { k } } ^ { k } - \bar { \mathbf { x } } _ { t _ { 0 } ^ { \prime } } \right\| ^ { 2 } \leq \eta _ { t _ { 0 } ^ { \prime } } ^ { 2 } \tau ^ { 2 } G ^ { 2 } , } \end{array} +$$ + +and similarly, as $t - t _ { 0 } ^ { \prime } \leq H + \tau$ , + +$$ +\begin{array} { r } { \left\| \tilde { \mathbf { x } } _ { t _ { 0 } ^ { \prime } } - \tilde { \mathbf { x } } _ { t } \right\| ^ { 2 } \leq \eta _ { t _ { 0 } ^ { \prime } } ^ { 2 } ( H + \tau ) ^ { 2 } G ^ { 2 } . } \end{array} +$$ + +Finally, as $\frac { \eta _ { t _ { 0 } ^ { \prime } } } { \eta _ { t } } \leq 2$ , we can conclude + +$$ +\left\| \bar { \mathbf { x } } _ { t } - \mathbf { x } _ { t } ^ { k } \right\| ^ { 2 } \leq 1 2 \eta _ { t } ^ { 2 } ( H + \tau ) ^ { 2 } G ^ { 2 } . +$$ + +and the lemma follows. + +Now the proof of Theorem 5.1 follows immediately. + +Proof of Theorem 5.1. As igence rate. Again, we have $\begin{array} { r } { A = { \frac { 1 } { 2 } } } \end{array}$ r, $\textstyle B = { \frac { \sigma ^ { 2 } } { K } }$ heore, and $C = L G ^ { 2 } ( H + \tau ) ^ { 2 }$ mma 3.4 to derive the conver-(Lemma B.1). It is easy to see that the stepsizes satisfy the condition of Lemma B.1, as clearly $\begin{array} { r } { \frac { \eta _ { t _ { 0 } ^ { \prime } } } { \eta _ { t } } \leq \frac { \eta _ { t _ { 0 } ^ { \prime } } } { \eta _ { t _ { 0 } ^ { \prime } + H + \tau } } = \frac { a + t + H + \tau } { a + t } \leq 2 } \end{array}$ $a \geq H + \tau$ . □ + +# C COMMENTS ON IMPLEMENTATION ISSUES + +# C.1 SYNCHRONOUS LOCAL SGD + +In Theorem 5 we do not prove convergence of the sequences $\{ \mathbf { x } _ { t } ^ { k } \} _ { t \geq 0 }$ of the iterates, but only convergence of a weighted average of all iterates. In practice, the last iterate might often be sufficient, but we like to remark that the weighted average of the iterates can easily be tracked on the fly with an auxiliary sequence $\{ \mathbf { y } _ { t } \} _ { t > 0 }$ , $\mathbf { y } _ { 0 } = \mathbf { x } _ { 0 }$ , without storing all intermediate iterates, see Table 1 for some examples. + +Table 1: Formulas to recursively track weighted averages. + +
criteriaweightsformularecursive update
last iterate-yt=Xtyt=Xt
uniform averageWt=1y=中∑i=0Xiyt=xt+1yt-1t
linear weightsWt=(t+1)yt =(+t(2+)∑i-0(i+ 1)xi2yt=22txt++2yt-1
quadratic weightsWt =(t+1)²yt= 6(t+1)(t+2)(2t+3)∑i=0(i+1)²xyt= 6(t+1) t(1+2t)(t+2)(2t+3)Xt+6+7t+2t2Yt-1
+ +# C.2 ASYNCHRONOUS LOCAL SGD + +As for synchronous local SGD, the weighted averages of the iterates (if needed), can be tracked on each worker locally by a recursive formula as explained above. + +A more important aspect that we do not have discussed yet, is that Algorithm 2 allows for an easy procedure to balance the load in heterogeneous settings. In our notation, we have always associated the local sequences $\{ \mathbf { x } _ { t } ^ { k } \}$ with a specific worker $k$ . However, the computation of the sequences does not need to be tied to a specific worker. Thus, a fast worker $k$ that has advanced his local sequence too much already, can start computing updates for another sequence $\boldsymbol { k } ^ { \prime } \neq \boldsymbol { k }$ , if worker $k ^ { \prime }$ is lagged behind. This was not possible in the synchronous model, as there all communications had to happen in sync. We demonstrate this principle in Table 2 below for two workers. Note that also the running averages can still be maintained. + +
wall clock time → → → → → →
worker 1xH←U(x)xH←U(x)xH←U(x)xH,2←U(x)xH←U()x4H←U(x):
worker 2x←U(x)xH←U(x)·
+ +Table 2: Simple load balancing. The faster worker can advance both sequences, even when the slower worker has not yet finished the computation. In the example each worker does $H$ steps of local SGD (denoted by the operator $U \colon { \mathbb { R } ^ { d } } \to \dot { { \mathbb { R } ^ { d } } }$ ) before writing back the updates to the aggregate $\bar { \bar { \bf x } }$ . Due to the load balancing, $\tau \leq 3 H$ . + +# D DETAILS ON EXPERIMENTS + +We here state the precise procedure that was used to generate the figures in this report. As briefly stated in Section 4 we examine empirically the speedup on a logistic regression problem, $f ( \mathbf { x } ) =$ $\begin{array} { r } { \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \log ( 1 + \exp ( - b _ { i } \mathbf { a } _ { i } ^ { \top } \mathbf { x } ) ) + \frac { \lambda } { 2 } \| \mathbf { x } \| ^ { 2 } , } \end{array}$ , where $\mathbf { a } _ { i } \in \mathbb { R } ^ { d }$ and $b _ { i } \in \{ - 1 , + 1 \}$ are the data samples. The regularization parameter is set to $\lambda = 1 / n$ . We consider the small scale $\mathtt { w } 8 \mathtt { a }$ dataset (Platt, 1999) $( d = 3 0 0 , n = 4 9 7 4 9 )$ . + +For each run, we initialize $\mathbf { x } _ { 0 } = \mathbf { 0 } _ { d }$ and measure the number of iterations6 (and number of stochastic gradient evaluations) to reach the target accuracy $\epsilon \in \lbrace 0 . 0 0 5 , 0 . 0 0 0 1 \rbrace$ . As we prove convergence only for a special weighted sum of the iterates in Theorem 2.2 and not for standard criteria (last iterate or uniform average), we evaluate the function value for different weighted averages $\mathbf { y } _ { t } =$ $\textstyle { \frac { 1 } { \sum _ { i = 0 } ^ { t } w _ { i } } } \sum _ { i = 0 } ^ { t } w _ { i } \mathbf { x } _ { t }$ , and consider the accuracy reached when one of the averages satisfies $f ( \mathbf { y } _ { t } ) -$ $f ^ { \star } \leq \epsilon$ , with $f ^ { \star } : = 0 . 1 2 6 4 3 3 1 7 6 2 1 6 5 4 5$ (numerically determined). The precise formulas for the averages that we used are given in Table 1. + +For each configuration $( K , H , b , \epsilon )$ , we report the best result found with any of the following two stepsizes: $\begin{array} { r } { \eta _ { t } : = \operatorname* { m i n } ( 3 2 , \frac { c n } { t + 1 } ) } \end{array}$ and $\eta _ { t } = 3 2 c$ . Here $c$ is a parameter that can take the values $c = { \bar { 2 } } ^ { i }$ for $i \in \mathbb { Z }$ . For each stepsize we determine the best parameter $c$ by a grid search, and consider parameter $c$ optimal, if parameters $\{ 2 ^ { - 2 } c , 2 ^ { - 1 } c , 2 c , 2 ^ { 2 } c \}$ yield worse results (i.e. more iterations to reach the target accuracy). + +In Figures 4 and 5 we give additional results for mini-batch sizes $b \in \{ 1 , 1 6 \}$ . + +![](images/eccb7f2240a1b75823d67ea0fe389320436a12453c91fee7ad80ecd7dd890c39.jpg) +Figure 4: Measured speedup of local SGD with mini-batch $b = 1$ for different numbers of workers $K$ and parameters $H$ . + +![](images/affeb36c82caec64525e836314f7c3c1794fcfe3d46da49b6a7911e9f02269c7.jpg) +Figure 5: Measured speedup of local SGD with mini-batch $b = 1 6$ for different numbers of workers $K$ and parameters $H$ . \ No newline at end of file diff --git a/parse/train/S1g2JnRcFX/S1g2JnRcFX_content_list.json b/parse/train/S1g2JnRcFX/S1g2JnRcFX_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..dcf969c44546e9c422e847aec9229de76bc665ca --- /dev/null +++ b/parse/train/S1g2JnRcFX/S1g2JnRcFX_content_list.json @@ -0,0 +1,2599 @@ +[ + { + "type": "text", + "text": "LOCAL SGD CONVERGES FAST AND COMMUNICATES LITTLE ", + "text_level": 1, + "bbox": [ + 174, + 98, + 553, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Sebastian U. Stich \nEPFL, Switzerland \nsebastian.stich@epfl.ch ", + "bbox": [ + 183, + 170, + 411, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 250, + 544, + 263 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Mini-batch stochastic gradient descent (SGD) is state of the art in large scale distributed training. The scheme can reach a linear speedup with respect to the number of workers, but this is rarely seen in practice as the scheme often suffers from large network delays and bandwidth limits. To overcome this communication bottleneck recent works propose to reduce the communication frequency. An algorithm of this type is local SGD that runs SGD independently in parallel on different workers and averages the sequences only once in a while. This scheme shows promising results in practice, but eluded thorough theoretical analysis. ", + "bbox": [ + 233, + 279, + 764, + 390 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We prove concise convergence rates for local SGD on convex problems and show that it converges at the same rate as mini-batch SGD in terms of number of evaluated gradients, that is, the scheme achieves linear speedup in the number of workers and mini-batch size. The number of communication rounds can be reduced up to a factor of $T ^ { 1 / 2 }$ —where $T$ denotes the number of total steps—compared to mini-batch SGD. This also holds for asynchronous implementations. ", + "bbox": [ + 232, + 392, + 764, + 477 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Local SGD can also be used for large scale training of deep learning models. The results shown here aim serving as a guideline to further explore the theoretical and practical aspects of local SGD in these applications. ", + "bbox": [ + 232, + 478, + 766, + 521 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 545, + 336, + 560 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Stochastic Gradient Descent (SGD) (Robbins & Monro, 1951) consists of iterations of the form ", + "bbox": [ + 171, + 575, + 799, + 590 + ], + "page_idx": 0 + }, + { + "type": "equation", + "img_path": "images/49b248831b2bf5e9c0244f28fab13749146466995fd9f0ac1c6cfadb922f8623.jpg", + "text": "$$\n\\mathbf { x } _ { t + 1 } : = \\mathbf { x } _ { t } - \\eta _ { t } \\mathbf { g } _ { t } ,\n$$", + "text_format": "latex", + "bbox": [ + 431, + 597, + 565, + 611 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "for iterates (weights) $\\mathbf { x } _ { t } , \\mathbf { x } _ { t + 1 } \\in \\mathbb { R } ^ { d }$ , stepsize (learning rate) $\\eta _ { t } > 0$ , and stochastic gradient $\\mathbf { g } _ { t } \\in \\mathbb { R } ^ { d }$ with the property $\\mathbb { E } { \\bf g } _ { t } = \\nabla f ( { \\bf x } _ { t } )$ , for a loss function $f \\colon { \\mathbb { R } ^ { d } } \\to { \\mathbb { R } }$ . This scheme can easily be parallelized by replacing $\\mathbf { g } _ { t }$ in (1) by an average of stochastic gradients that are independently computed in parallel on separate workers (parallel $S G D _ { \\ell }$ ). This simple scheme has a major drawback: in each iteration the results of the computations on the workers have to be shared with the other workers to compute the next iterate $\\mathbf { x } _ { t + 1 }$ . Communication has been reported to be a major bottleneck for many large scale deep learning applications, see e.g. (Seide et al., 2014; Alistarh et al., 2017; Zhang et al., 2017; Lin et al., 2018b). Mini-batch parallel SGD addresses this issue by increasing the compute to communication ratio. Each worker computes a mini-batch of size $b \\geq 1$ before communication. This scheme is implemented in state-of-the-art distributed deep learning frameworks (Abadi et al., 2016; Paszke et al., 2017; Seide & Agarwal, 2016). Recent work in (You et al., 2017; Goyal et al., 2017) explores various limitations of this approach, as in general it is reported that performance degrades for too large mini-batch sizes (Keskar et al., 2016; Ma et al., 2018; Yin et al., 2018). ", + "bbox": [ + 173, + 617, + 825, + 811 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work we follow an orthogonal approach, still with the goal to increase the compute to communication ratio: Instead of increasing the mini-batch size, we reduce the communication frequency. Rather than keeping the sequences on different machines in sync, we allow them to evolve locally on each machine, independent from each other, and only average the sequences once in a while (local SGD). Such strategies have been explored widely in the literature, under various names. ", + "bbox": [ + 174, + 819, + 825, + 888 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "An extreme instance of this concept is one-shot SGD (McDonald et al., 2009; Zinkevich et al., 2010) where the local sequences are only exchanged once, after the local runs have converged. Zhang et al. (2013) show statistical convergence (see also (Shamir & Srebro, 2014; Godichon-Baggioni & Saadane, 2017; Jain et al., 2018)), but the analysis restricts the algorithm to at most one pass over the data, which is in general not enough for the training error to converge. More practical are schemes that perform more frequent averaging of the parallel sequences, as e.g. (McDonald et al., 2010) for perceptron training (iterative parameter mixing), see also (Coppola, 2015), (Zhang et al., 2014; Bijral et al., 2016; Zhang et al., 2016) for the training of deep neural networks (model averaging) or in federated learning (McMahan et al., 2017). ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/ca01c479da1dcaf1bfb1091094f7af7ed3c1af6031dd438c1550f665a5e46f35.jpg", + "image_caption": [ + "Figure 1: Illustration of the speedup (3) for time-to-accuracy when either increasing mini-batch size $b$ ( $\\hphantom { 0 } \\mathrm { ~ 1 ~ 2 ~ }$ ) or communication inverval $H$ ( $1 2$ ), for compute to communication ratio $\\rho = 2 5$ . " + ], + "image_footnote": [], + "bbox": [ + 191, + 78, + 797, + 170 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 222, + 825, + 320 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The question of how often communication rounds need to be initiated has eluded a concise theoretical answer so far. Whilst there is practical evidence, the theory does not even resolve the question whether averaging helps when optimizing convex functions. Concretely, whether running local SGD on $K$ workers is $K$ times faster than running just a single instance of SGD on one worker.1 ", + "bbox": [ + 174, + 327, + 825, + 383 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We fill this gap in the literature and provide a concise convergence analysis of local SGD. We show that averaging helps. Frequent synchronization of $K$ local sequences increases the convergence rate by a factor of $K$ , i.e. a linear speedup can be attained. Thus, local SGD is as efficient as parallel mini-batch SGD in terms of computation, but the communication cost can be drastically reduced. ", + "bbox": [ + 173, + 390, + 825, + 446 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "1.1 CONTRIBUTIONS ", + "text_level": 1, + "bbox": [ + 176, + 462, + 333, + 477 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We consider finite-sum convex optimization problems $f \\colon { \\mathbb { R } ^ { d } } \\to { \\mathbb { R } }$ of the form ", + "bbox": [ + 176, + 488, + 687, + 503 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/77db4a9531d499fa706bb1be3a18d6219ef2d6f4bafd325d282d6f4939e5930d.jpg", + "text": "$$\nf ( \\mathbf { x } ) = { \\frac { 1 } { n } } \\sum _ { i = 1 } ^ { n } f _ { i } ( \\mathbf { x } ) , \\qquad \\mathbf { x } ^ { * } : = \\arg \\operatorname* { m i n } _ { \\mathbf { x } \\in \\mathbb { R } ^ { d } } f ( \\mathbf { x } ) , \\qquad f ^ { \\star } : = f ( \\mathbf { x } ^ { \\star } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 235, + 506, + 764, + 547 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $f$ is $L$ -smooth2 and $\\mu$ -strongly convex3. We consider $K$ parallel mini-batch SGD sequences with mini-batch size $b$ that are synchronized (by averaging) after at most every $H$ iterations. For appropriate chosen stepsizes and an averaged iterate $\\hat { \\mathbf { x } } _ { T }$ after $T$ steps (for $T$ sufficiently large, see Section 3 below for the precise statement of the convergence result with bias and variance terms) and synchronization delay $H = O ( \\sqrt { T / ( K b ) } )$ we show convergence ", + "bbox": [ + 173, + 551, + 825, + 626 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/e403cfb8d6ec40302410d88e9bd4f294e4ce25268661f8cd6da75510ea620edc.jpg", + "text": "$$\n\\mathbb { E } f ( \\hat { \\mathbf { x } } _ { T } ) - f ^ { \\star } = O \\left( \\frac { G ^ { 2 } } { \\mu b K T } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 390, + 628, + 606, + 664 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "with second moment bound $G ^ { 2 } \\geq \\mathbb { E } \\left\\| \\nabla f _ { i } ( \\mathbf { x } ) \\right\\| ^ { 2 }$ . Thus, we see that compared to parallel minibatch SGD the communication rounds can be reduced by a factor $H = O ( \\sqrt { T / ( K b ) } )$ without hampering the asymptotic convergence. Equation (3) shows perfect linear speedup in terms of computation, but with much less communication that mini-batch SGD. The resulting speedup when taking communication cost into account is illustrated in Figure 1 (see also Section D below). Under the assumption that (3) is tight, one has thus now two strategies to improve the compute to communication ratio (denoted by $\\rho \\mathrm { \\Sigma }$ ): (i) either to increase the mini-batch size $b$ or (ii) to increase the communication interval $H$ . Both strategies give the same improvement when $b$ and $H$ are small (linear speedup). Like mini-batch SGD that faces some limitations for $b \\gg 1$ (as discussed in e.g. (Dekel et al., 2012; Ma et al., 2018; Yin et al., 2018)), the parameter $H$ cannot be chosen too large in local SGD. We give some pratical guidelines in Section 4. ", + "bbox": [ + 173, + 667, + 826, + 825 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our proof is simple and straightforward, and we imagine that—with slight modifications of the proof—the technique can also be used to analyze other variants of SGD that evolve sequences on different worker that are not perfectly synchronized. Although we do not yet provide convergence guarantees for the non-convex setting, we feel that the positive results presented here will spark further investigation of local SGD for this important application (see e.g. (Yu et al., 2018)). ", + "bbox": [ + 176, + 832, + 821, + 861 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 146 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "1.2 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 179, + 330, + 194 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "A parallel line of work reduces the communication cost by compressing the stochastic gradients before communication. For instance, by limiting the number of bits in the floating point representation (Gupta et al., 2015; Na et al., 2017; Sa et al., 2015), or random quantization (Alistarh et al., 2017; Wen et al., 2017). The ZipML framework applies this technique also to the data (Zhang et al., 2017). Sparsification methods reduce the number of non-zero entries in the stochastic gradient (Alistarh et al., 2017; Wangni et al., 2017). A very aggressive—and promising—sparsification method is to keep only very few coordinates of the stochastic gradient by considering only the coordinates with the largest magnitudes (Seide et al., 2014; Strom, 2015; Dryden et al., 2016; Aji & Heafield, 2017; Sun et al., 2017; Lin et al., 2018b; Stich et al., 2018). ", + "bbox": [ + 174, + 213, + 825, + 338 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Allowing asynchronous updates provides an alternative solution to disguise the communication overhead to a certain amount (Niu et al., 2011; Sa et al., 2015; Lian et al., 2015), though alternative strategies might be better when high accuracy is desired (Chen et al., 2016). The analysis of Agarwal & Duchi (2011) shows that asynchronous SGD on convex functions can tolerated delays up to $O ( { \\sqrt { T / K } } )$ , which is identical to the maximal length of the local sequences in local SGD. Asynchronous SGD converges also for larger delays (see also (Zhou et al., 2018)) but without linear speedup, a similar statement holds for local SGD (see discussion in Section 3). The current frameworks for the analysis of asynchronous SGD do not cover local SGD. A fundamental difference is that asynchronous SGD maintains a (almost) synchronized sequence and gradients are computed with respect this unique sequence (but just applied with delays), whereas each worker in local SGD evolves a different sequence and computes gradient with respect those iterates. ", + "bbox": [ + 174, + 344, + 826, + 500 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "For the training of deep neural networks, Bijral et al. (2016) discuss a stochastic averaging schedule whereas Zhang et al. (2016) study local SGD with more frequent communication at the beginning of the optimization process. The elastic averaging technique (Zhang et al., 2015) is different to local SGD, as it uses the average of the iterates only to guide the local sequences but does not perform a hard reset after averaging. Among the first theoretical studies of local SGD in the non-convex setting are (Coppola, 2015; Zhou & Cong, 2018) that did not establish a speedup, in contrast to two more recent analyses (Yu et al., 2018; Wang & Joshi, 2018). Yu et al. (2018) show linear speedup of local SGD on non-convex functions for $H \\stackrel { \\cdot } { = } O ( T ^ { 1 / 4 } K ^ { - 3 / 4 } )$ , which is more restrictive than the constraint on $H$ in the convex setting. Lin et al. (2018a) study empirically hierarchical variants of local SGD. ", + "bbox": [ + 174, + 506, + 825, + 633 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Local SGD with averaging in every step, i.e. $H = 1$ , is identical to mini-batch SGD. Dekel et al. (2012) show that batch sizes $b = T ^ { \\bar { \\delta } }$ , for $\\delta \\in ( 0 , \\frac { 1 } { 2 } )$ are asymptotically optimal for mini-batch SGD, however they also note that this asymptotic bound might be crude for practical purposes. Similar considerations might also apply to the asymptotic upper bounds on the communication frequency $H$ derived here. Local SGD with averaging only at the end, i.e. $H = T$ , is identical to one-shot SGD. Jain et al. (2018) give concise speedup results in terms of bias and variance for one-shot SGD with constant stepsizes for the optimization of quadratic least squares problems. In contrast, our upper bounds become loose when $H T$ and our results do not cover one-shot SGD. ", + "bbox": [ + 173, + 640, + 826, + 751 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Recently, Woodworth et al. (2018) provided a lower bound for parallel stochastic optimization (in the convex setting, and not for strongly convex functions as considered here). The bound is not known to be tight for local SGD. ", + "bbox": [ + 176, + 758, + 823, + 800 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "1.3 OUTLINE", + "text_level": 1, + "bbox": [ + 176, + 834, + 279, + 849 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We formally introduce local SGD in Section 2 and sketch the convergence proof in Section 3. In Section 4 show numerical results to illustrate the result. We analyze asynchronous local SGD in Section 5. The proof of the technical results, further discussion about the experimental setup and implementation guidelines are deferred to the appendix. ", + "bbox": [ + 176, + 867, + 823, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Algorithm 1 LOCAL SGD ", + "text_level": 1, + "bbox": [ + 174, + 89, + 352, + 104 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "1: Initialize variables $\\mathbf { x } _ { 0 } ^ { k } = \\mathbf { x } _ { 0 }$ for workers $k \\in [ K ]$ \n2: for $t$ in $0 \\dots T - 1$ do \n3: parallel for $k \\in [ K ]$ do \n4: Sample $i _ { t } ^ { k }$ uniformly in $[ n ]$ \n5: 6: if $t + 1 \\in \\mathcal { I } _ { T }$ $\\begin{array} { r } { \\mathbf { x } _ { t + 1 } ^ { k } \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\bigl ( \\mathbf { x } _ { t } ^ { k } - \\eta _ { t } \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) \\bigr ) } \\end{array}$ \n7: else \n8: $\\mathbf { x } _ { t + 1 } ^ { k } \\mathbf { x } _ { t } ^ { k } - \\eta _ { t } \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } )$ \n9: end if \n10: end parallel for \n11: end for ", + "bbox": [ + 179, + 109, + 526, + 270 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": ". local update ", + "bbox": [ + 728, + 212, + 823, + 227 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2 LOCAL SGD ", + "text_level": 1, + "bbox": [ + 174, + 296, + 313, + 313 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The algorithm local SGD (depicted in Algorithm 1) generates in parallel $K$ sequences $\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t = 0 } ^ { T }$ of iterates, $k \\in [ K ]$ . Here $K$ denotes the level of parallelization, i.e. the number of distinct parallel sequences and $T$ the number of steps (i.e. the total number of stochastic gradient evaluations is $T K$ ). Let $\\mathcal { T } _ { T } \\subseteq [ T ]$ with $T \\in { \\mathcal { T } } _ { T }$ denote a set of synchronization indices. Then local SGD evolves the sequences $\\bar { \\{ \\mathbf { x } _ { t } ^ { k } \\} } _ { t = 0 } ^ { T }$ in the following way: ", + "bbox": [ + 173, + 327, + 826, + 398 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/4adf6d8f7a59e36c6df24e65e2838841c25724b900653dc7d6a6badd7bc92241.jpg", + "text": "$$\n\\begin{array} { r } { \\mathbf { x } _ { t + 1 } ^ { k } : = \\left\\{ \\begin{array} { l l } { \\mathbf { x } _ { t } ^ { k } - \\eta _ { t } \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) , } & { \\mathrm { i f ~ } t + 1 \\not \\in \\mathbb { Z } _ { T } } \\\\ { \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\bigl ( \\mathbf { x } _ { t } ^ { k } - \\eta _ { t } \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) \\bigr ) } & { \\mathrm { i f ~ } t + 1 \\in \\mathbb { Z } _ { T } } \\end{array} \\right. } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 310, + 405, + 684, + 448 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where indices $i _ { t } ^ { k } \\sim _ { \\mathrm { u . a . r } }$ . $[ n ]$ and $\\{ \\eta _ { t } \\} _ { t \\ge 0 }$ denotes a sequence of stepsizes. If $\\mathcal { T } _ { T } = [ T ]$ then the synchronization of the sequences is performed every iteration. In this case, (4) amounts to parallel or mini-batch SGD with mini-batch size $K$ .4 On the other extreme, if ${ \\mathcal { T } } _ { T } = \\{ T \\}$ , the synchronization only happens at the end, which is known as one-shot averaging. ", + "bbox": [ + 174, + 454, + 825, + 512 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In order to measure the longest interval between subsequent synchronization steps, we introduce the ${ g a p }$ of a set of integers. ", + "bbox": [ + 171, + 517, + 823, + 546 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Definition 2.1 (gap). The gap of a set $\\mathcal { P } : = \\{ p _ { 0 } , . . . , p _ { t } \\}$ of $t + 1$ integers, $p _ { i } \\ \\leq \\ p _ { i + 1 }$ for $i =$ $0 , \\ldots , t - 1$ , is defined as $\\begin{array} { r } { \\operatorname { g a p } ( \\mathcal { P } ) : = \\operatorname* { m a x } _ { i = 1 , \\dots , t } ( p _ { i } - p _ { i - 1 } ) } \\end{array}$ . ", + "bbox": [ + 169, + 550, + 823, + 582 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.1 VARIANCE REDUCTION IN LOCAL SGD ", + "text_level": 1, + "bbox": [ + 174, + 595, + 485, + 611 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Before jumping to the convergence result, we first discuss an important observation. ", + "bbox": [ + 173, + 621, + 722, + 637 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Parallel (mini-batch) SGD. For carefully chosen stepsizes $\\eta _ { t }$ , SGD converges at rate $\\textstyle { \\mathcal { O } } { \\bigl ( } { \\frac { \\sigma ^ { 2 } } { T } } { \\bigr ) } ^ { 5 }$ on strongly convex and smooth functions $f$ , where $\\sigma ^ { 2 } \\geq \\mathbb { E } \\| \\nabla f _ { i _ { t } ^ { k } } ( { \\mathbf x } _ { t } ^ { k } ) - \\nabla f ( { \\mathbf x } _ { t } ^ { k } ) \\| ^ { 2 }$ for $t > 0 , k \\in [ K ]$ is an upper bound on the variance, see for instance (Zhao & Zhang, 2015). By averaging $K$ stochastic gradients—such as in parallel SGD—the variance decreases by a factor of $K$ , and we conclude that parallel SGD converges at a rate $\\textstyle { \\mathcal { O } } { \\bigl ( } { \\frac { \\sigma ^ { 2 } } { T K } } { \\bigr ) }$ , i.e. achieves a linear speedup. ", + "bbox": [ + 173, + 654, + 825, + 734 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Towards local SGD. For local SGD such a simple argument is elusive. For instance, just capitalizing the convexity of the objective function $f$ is not enough: this will show that the averaged iterate of $K$ independent SGD sequences converges at rate $\\textstyle { \\mathcal { O } } { \\bigl ( } { \\frac { \\sigma ^ { 2 } } { T } } { \\bigr ) }$ , i.e. no speedup can be shown in this way. ", + "bbox": [ + 174, + 747, + 826, + 795 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "This indicates that one has to show that local SGD decreases the variance $\\sigma ^ { 2 }$ instead, similar as in parallel SGD. Suppose the different sequences $\\mathbf { x } _ { t } ^ { k }$ evolve close to each other. Then it is reasonable to assume that averaging the stochastic gradients $\\dot { \\nabla } f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } )$ for all $k \\in [ K ]$ can still yield a reduction in the variance by a factor of $K$ —similar as in parallel SGD. Indeed, we will make this statement precise in the proof below. ", + "bbox": [ + 174, + 800, + 825, + 873 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.2 CONVERGENCE RESULT AND DISCUSSION ", + "text_level": 1, + "bbox": [ + 174, + 103, + 508, + 118 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Theorem 2.2. Let $f$ be $L$ -smooth and $\\mu$ -strongly convex, $\\mathbb { E } _ { i } \\left\\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right\\| ^ { 2 } \\ \\leq \\ \\sigma ^ { 2 }$ , $\\mathbb { E } _ { i } \\left\\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) \\right\\| ^ { 2 } \\leq G ^ { 2 }$ , for $t = 0 , \\dots , T - 1$ , where $\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t = 0 } ^ { T }$ for $k \\in [ K ]$ are generated according to (4) with $\\mathrm { g a p } ( \\mathcal { T } _ { T } ) \\leq H$ and for stepsizes $\\begin{array} { r } { \\eta _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}$ with shift parameter $a > \\operatorname* { m a x } \\{ 1 6 \\kappa , H \\} ,$ , for $\\begin{array} { r } { \\kappa = \\frac { L } { \\mu } } \\end{array}$ . Then ", + "bbox": [ + 171, + 126, + 828, + 198 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/83dd0c4ae421f0aed660edc990fc0afc4a0f0a79818cdde083e3172787fa445a.jpg", + "text": "$$\n\\mathbb { E } f ( \\hat { { \\bf x } } _ { T } ) - f ^ { \\star } \\le \\frac { \\mu a ^ { 3 } } { 2 S _ { T } } \\left. { \\bf x } _ { 0 } - { \\bf x } ^ { \\star } \\right. ^ { 2 } + \\frac { 4 T ( T + 2 a ) } { \\mu K S _ { T } } \\sigma ^ { 2 } + \\frac { 2 5 6 T } { \\mu ^ { 2 } S _ { T } } G ^ { 2 } H ^ { 2 } L ,\n$$", + "text_format": "latex", + "bbox": [ + 259, + 195, + 736, + 229 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { \\hat { \\mathbf { x } } _ { T } = \\frac { 1 } { K S _ { T } } \\sum _ { k = 1 } ^ { K } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\mathbf { x } _ { t } ^ { k } , } \\end{array}$ , for $w _ { t } = ( a + t ) ^ { 2 }$ and $\\begin{array} { r } { S _ { T } = \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\geq \\frac { 1 } { 3 } T ^ { 3 } } \\end{array}$ ", + "bbox": [ + 171, + 233, + 741, + 255 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We were not especially careful to optimize the constants (and the lower order terms) in (5), so we now state the asymptotic result. ", + "bbox": [ + 173, + 263, + 825, + 292 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Corollary 2.3. Let $\\hat { \\mathbf { x } } _ { T }$ be as defined as in Theorem 2.2, for parameter $a = \\mathrm { m a x } \\{ 1 6 \\kappa , H \\}$ . Then ", + "bbox": [ + 171, + 295, + 805, + 310 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/0482638fcfff3c4170d02838f378493ee51ec338a62a79d8c97fa0b638efb85e.jpg", + "text": "$$\n\\mathbb { E } f \\big ( \\hat { \\mathbf { x } } _ { T } \\big ) - f ^ { \\star } = O \\left( \\frac { 1 } { \\mu K T } + \\frac { \\kappa + H } { \\mu K T ^ { 2 } } \\right) \\sigma ^ { 2 } + O \\left( \\frac { \\kappa H ^ { 2 } } { \\mu T ^ { 2 } } + \\frac { \\kappa ^ { 3 } + H ^ { 3 } } { \\mu T ^ { 3 } } \\right) G ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 250, + 315, + 745, + 351 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "For the last estimate we used $\\mathbb { E } \\mu \\left\\| \\mathbf { x } _ { 0 } - \\mathbf { x } ^ { \\star } \\right\\| \\leq 2 G$ for $\\mu$ -strongly convex $f$ , as derived in (Rakhlin et al., 2012, Lemma 2). ", + "bbox": [ + 173, + 361, + 825, + 391 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Remark 2.4 (Mini-batch local SGD). So far, we assumed that each worker only computes a single stochastic gradient. In mini-batch local SGD, each worker computes a mini-batch of size b in each iteration. This reduces the variance by a factor of $b _ { : }$ , and thus Theorem (2.2) gives the convergence rate of mini-batch local SGD when $\\sigma ^ { 2 }$ is replaced by $\\frac { \\sigma ^ { 2 } } { b }$ . ", + "bbox": [ + 173, + 393, + 825, + 454 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We now state some consequences of equation (6). For the ease of the exposition we omit the dependency on $L , \\mu , \\sigma ^ { 2 }$ and $G ^ { 2 }$ below, but depict the dependency on the local mini-batch size $b$ . ", + "bbox": [ + 173, + 463, + 825, + 493 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Convergence rate. For $T$ large enough and assuming $\\sigma > 0$ , the very first term is dominating in (6) and local SGD converges at rate $O ( 1 / ( K T b ) )$ . That is, local SGD achieves a linear speedup in both, the number of workers $K$ and the mini-batch size $b$ . ", + "bbox": [ + 178, + 502, + 821, + 545 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Global synchronization steps. It needs to hold $H = O ( \\sqrt { T / ( K b ) } )$ to get the linear speedup. This yields a reduction of the number of communication rounds by a factor $O ( { \\sqrt { T / ( K b ) } } )$ compared to parallel mini-batch SGD without hurting the convergence rate. ", + "bbox": [ + 173, + 547, + 826, + 594 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Extreme Cases. We have not optimized the result for extreme settings of $H , K , L$ or $\\sigma$ . For instance, we do not recover convergence for the one-shot averaging, i.e. the setting $H = T$ (though convergence for $H = o ( T )$ , but at a lower rate). ", + "bbox": [ + 173, + 598, + 825, + 641 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Unknown Time Horizon/Adaptive Communication Frequency Zhang et al. (2016) empirically observe that more frequent communication at the beginning of the optimization can help to get faster time-to-accuracy (see also Lin et al. (2018a)). Indeed, when the number of total iterations $T$ is not known beforehand (as it e.g. depends on the target accuracy, cf. (6) and also Section 4 below), then increasing the communication frequency seems to be a good strategy to keep the communication low, why still respecting the constraint $H = O ( \\sqrt { T / ( K b ) } )$ for all $T$ . ", + "bbox": [ + 174, + 645, + 825, + 731 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3 PROOF OUTLINE", + "text_level": 1, + "bbox": [ + 176, + 750, + 346, + 766 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We now give the outline of the proof. The proofs of the lemmas are given in Appendix A. ", + "bbox": [ + 171, + 781, + 759, + 796 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Perturbed iterate analysis. Inspired by the perturbed iterate framework of (Mania et al., 2017) we first define a virtual sequence $\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }$ in the following way: ", + "bbox": [ + 173, + 809, + 825, + 840 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/436cac0a704051302eaa61646a15bd317e81b308bfe1f23a7ebf23fb00f9e1d8.jpg", + "text": "$$\n\\bar { \\mathbf { x } } _ { 0 } = \\mathbf { x } _ { 0 } , \\qquad \\bar { \\mathbf { x } } _ { t } = \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbf { x } _ { t } ^ { k } ,\n$$", + "text_format": "latex", + "bbox": [ + 330, + 844, + 666, + 888 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where the sequences $\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t \\geq 0 }$ for $k \\in [ K ]$ are the same as in (4). Notice that this sequence never has to be computed explicitly, it is just a tool that we use in the analysis. Further notice that $\\bar { \\mathbf { x } } _ { t } = \\mathbf { x } _ { t } ^ { k }$ for ", + "bbox": [ + 176, + 892, + 825, + 925 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "$k \\in [ K ]$ whenever $t \\in \\mathcal { I } _ { T }$ . Especially, when $\\mathcal { T } _ { T } = [ T ]$ , then $\\bar { \\mathbf { x } } _ { t } \\equiv \\mathbf { x } _ { t } ^ { k }$ for every $k \\in [ K ] , t \\in [ T ]$ . It will be useful to define ", + "bbox": [ + 169, + 102, + 825, + 132 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/606e3af663ca5e92933cb8cf8dc01f39b4f866892fbe4bdecf5a2d90673b231d.jpg", + "text": "$$\n\\mathbf { g } _ { t } : = \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\nabla f _ { i _ { t } ^ { k } } \\big ( \\mathbf { x } _ { t } ^ { k } \\big ) , \\qquad \\bar { \\mathbf { g } } _ { t } : = \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\nabla f \\big ( \\mathbf { x } _ { t } ^ { k } \\big ) .\n$$", + "text_format": "latex", + "bbox": [ + 282, + 133, + 714, + 179 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Observe $\\bar { \\mathbf { x } } _ { t + 1 } = \\bar { \\mathbf { x } } _ { t } - \\eta _ { t } \\mathbf { g } _ { t }$ and $\\mathbb { E } { \\bf g } _ { t } = \\bar { \\bf g } _ { t }$ . ", + "bbox": [ + 176, + 183, + 454, + 199 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Now the proof proceeds as follows: we show (i) that the virtual sequence $\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }$ almost behaves like mini-batch SGD with batch size $K$ (Lemma 3.1 and 3.2), and (ii) the true iterates $\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t \\ge 0 , k \\in [ K ] }$ do not deviate much from the virtual sequence (Lemma 3.3). These are the main ingredients in the proof. To obtain the rate we exploit a technical lemma from (Stich et al., 2018). ", + "bbox": [ + 173, + 204, + 825, + 262 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Lemma 3.1. Let $\\{ { \\bf x } _ { t } \\} _ { t \\ge 0 }$ and $\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }$ for $k \\in [ K ]$ be defined as in (4) and (7) and let $f$ be $L$ -smooth and $\\mu$ -strongly convex and $\\begin{array} { r } { \\eta _ { t } \\leq \\frac { 1 } { 4 L } } \\end{array}$ . Then ", + "bbox": [ + 171, + 265, + 825, + 297 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/3c90d3f035f23b837c9ce64ac689cea16d28540b1e54601c1741255a6946b9bb.jpg", + "text": "$$\n\\begin{array} { r l r } { { \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t + 1 } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } \\leq ( 1 - \\mu \\eta _ { t } ) \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } + \\eta _ { t } ^ { 2 } \\mathbb { E } \\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\| ^ { 2 } } } \\\\ & { } & { \\quad - \\displaystyle \\frac { 1 } { 2 } \\eta _ { t } \\mathbb { E } ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } ) + 2 \\eta _ { t } \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\| ^ { 2 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 254, + 301, + 741, + 368 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Bounding the variance. From equation (9) it becomes clear that we should derive an upper bound on $\\mathbb { E } \\left\\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 }$ . We will relate this to the variance $\\sigma ^ { 2 }$ . ", + "bbox": [ + 171, + 378, + 825, + 410 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/f356e1c292e6b7481d78633ca26394040508d671dec24c520ff58837aa8f926b.jpg", + "text": "$$\n\\begin{array} { r } { t \\sigma ^ { 2 } \\geq \\mathbb { E } _ { i } \\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\| ^ { 2 } f o r k \\in [ K ] , t \\in [ T ] . T h e n \\mathbb { E } \\left\\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } \\leq \\frac { \\sigma ^ { 2 } } { K } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 284, + 414, + 810, + 435 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Bounding the viation. Further, we need to bound $\\begin{array} { r } { \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } } \\end{array}$ . For this we impose $\\mathcal { I } _ { T }$ and an additional condition on the stepsize $\\eta _ { t }$ . ", + "bbox": [ + 174, + 449, + 820, + 481 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Lemma 3.3. If $\\mathrm { g a p } ( { \\mathcal { I } } _ { T } ) \\leq H$ and sequence of decreasing positive stepsizes $\\{ \\eta _ { t } \\} _ { t \\ge 0 }$ satisfying $\\eta _ { t } \\leq 2 \\eta _ { t + H }$ for all $t \\geq 0$ , then ", + "bbox": [ + 173, + 483, + 820, + 512 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/e4be77d41561133b7ff86d46061e090e7b7c895b6e1d32dfac76d2f6280ba007.jpg", + "text": "$$\n\\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 4 \\eta _ { t } ^ { 2 } G ^ { 2 } H ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 379, + 518, + 617, + 561 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $G ^ { 2 }$ is a constant such that $\\mathbb { E } _ { i } \\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) \\| ^ { 2 } \\leq G ^ { 2 }$ for $k \\in [ K ] , t \\in [ T ]$ . ", + "bbox": [ + 173, + 566, + 671, + 585 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Optimal Averaging. Similar as in (Lacoste-Julien et al., 2012; Shamir & Zhang, 2013; Rakhlin et al., 2012) we define a suitable averaging scheme for the iterates $\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }$ to get the optimal convergence rate. In contrast to (Lacoste-Julien et al., 2012) that use linearly increasing weights, we use quadratically increasing weights, as for instance (Shamir & Zhang, 2013; Stich et al., 2018). ", + "bbox": [ + 173, + 597, + 826, + 655 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Lemma 3.4 ((Stich et al., 2018)). Let $\\{ a _ { t } \\} _ { t \\ge 0 } , a _ { t } \\ge 0 , \\{ e _ { t } \\} _ { t \\ge 0 } , e _ { t } \\ge 0$ be sequences satisfying ", + "bbox": [ + 169, + 656, + 800, + 674 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/225add30ce86bb0c0f624317503742b3d0d6c8209fed54ba8c9f8d8eb9686344.jpg", + "text": "$$\na _ { t + 1 } \\leq \\left( 1 - \\mu \\eta _ { t } \\right) a _ { t } - \\eta _ { t } e _ { t } A + \\eta _ { t } ^ { 2 } B + \\eta _ { t } ^ { 3 } C ,\n$$", + "text_format": "latex", + "bbox": [ + 346, + 678, + 650, + 696 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "for $\\begin{array} { r } { \\eta _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}$ and constants $A > 0 , B , C \\ge 0 , \\mu > 0 , a > 1$ . Then ", + "bbox": [ + 171, + 703, + 627, + 722 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/dd590d48079802aa4e3a841c8a7d717e0349374d12938df141020f8c0123223a.jpg", + "text": "$$\n\\frac { A } { S _ { T } } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } e _ { t } \\le \\frac { \\mu a ^ { 3 } } { 4 S _ { T } } a _ { 0 } + \\frac { 2 T ( T + 2 a ) } { \\mu S _ { T } } B + \\frac { 1 6 T } { \\mu ^ { 2 } S _ { T } } C ,\n$$", + "text_format": "latex", + "bbox": [ + 318, + 728, + 678, + 771 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$w _ { t } = ( a + t ) ^ { 2 }$ an $\\begin{array} { r } { S _ { T } : = \\sum _ { t = 0 } ^ { T - 1 } w _ { t } = \\frac { T } { 6 } \\left( 2 T ^ { 2 } + 6 a T - 3 T + 6 a ^ { 2 } - 6 a + 1 \\right) \\ge \\frac { 1 } { 3 } T ^ { 3 } . } \\end{array}$ ", + "bbox": [ + 171, + 776, + 767, + 797 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Proof. This is a reformulation of Lemma 3.3 in (Stich et al., 2018). ", + "bbox": [ + 173, + 809, + 617, + 825 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Proof of Theorem 2.2. By convexity of $f$ we have $\\begin{array} { r } { \\mathbb { E } f ( \\hat { \\mathbf { x } } _ { T } ) - f ^ { \\star } \\le \\frac { 1 } { S _ { T } } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\mathbb { E } \\big ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } \\big ) } \\end{array}$ . The proof of the theorem thus follows immediately from the four lemmas that we have presented, i.e. by Lemma 3.4 with $e _ { t } : = \\mathbb { E } ( f ( { \\bar { \\mathbf { x } } } _ { t } ) - f ^ { \\star } )$ and constants $\\begin{array} { r } { A = { \\frac { 1 } { 2 } } } \\end{array}$ , (Lemma 3.1), $\\textstyle B = { \\frac { \\sigma ^ { 2 } } { K } }$ , (Lemma 3.2) and ${ \\cal C } = 8 G ^ { 2 } H ^ { 2 } L$ , (Lemma 3.3). Observe that the stepsizes $\\begin{array} { r } { \\bar { \\eta } _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}$ satisfy both the conditions of Lemma 3.1 $\\begin{array} { r } { ( \\eta _ { 0 } = \\frac { 4 } { \\mu a } \\le \\frac { 1 } { 4 L } } \\end{array}$ , as $a \\geq 1 6 \\kappa$ ) and of Lemma 3.3 $\\begin{array} { r } { \\frac { \\eta _ { t } } { \\eta _ { t + H } } = \\frac { a + t + H } { a + t } \\leq 2 } \\end{array}$ , as $a \\geq H$ \u0001 . \u0003 ", + "bbox": [ + 173, + 839, + 828, + 928 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/95e66240a2121830c133d0308d4f327cabd2ac30fab21716799cd6ee7fc364cb.jpg", + "image_caption": [ + "Figure 2: Theoretical speedup of local SGD for different numbers of workers $K$ and $H$ . " + ], + "image_footnote": [], + "bbox": [ + 192, + 74, + 792, + 186 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/ee99912bbfefbabd4b67b1c135a15bd3a8a2f7f6ba3a1f5ca956e451e6d1a15e.jpg", + "image_caption": [ + "Figure 3: Measured speedup of local SGD with mini-batch $b = 4$ for different numbers of workers $K$ and parameters $H$ . " + ], + "image_footnote": [], + "bbox": [ + 196, + 210, + 785, + 323 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 NUMERICAL ILLUSTRATION ", + "text_level": 1, + "bbox": [ + 176, + 375, + 437, + 391 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In this section we show some numerical experiments to illustrate the results of Theorem 2.2. ", + "bbox": [ + 169, + 406, + 774, + 422 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Speedup. When Algorithm 1 is implemented in a distributed setting, there are two components that determine the wall-clock time: (i) the total number of gradient computations, $T K$ , and (ii) the total time spend for communication. In each communication round $2 ( K - 1 )$ vectors need to be exchanged, and there will be $T / H$ communication rounds. Typically, the communication is more expensive than a single gradient computation. We will denote this ratio by a factor $\\rho \\geq 1$ (in practice, $\\rho$ can be 10–100, or even larger on slow networks). The parameter $T$ depends on the desired accuracy \u000f > 0, and according to (6) we roughly have T (\u000f, H, K) ≈ 1K\u000f $\\begin{array} { r } { T ( \\epsilon , H , K ) \\approx \\frac { 1 } { K \\epsilon } \\left( \\frac { 1 } { 2 } + \\frac { 1 } { 2 } \\sqrt { 1 + \\epsilon ( 1 + H + H ^ { 2 } K ) } \\right) } \\end{array}$ . Thus, the theoretical speedup $S ( K )$ of local SGD on $K$ machines compared to SGD on one machine $H = 1$ , $K = 1$ ) is ", + "bbox": [ + 173, + 438, + 826, + 574 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/fe00597e4f310e78880fc5d15e1eaa6308264fd059a83cd15f386fac1af2f630.jpg", + "text": "$$\nS ( K ) = \\frac { K } { \\left( \\frac { 1 } { 2 } + \\frac { 1 } { 2 } \\sqrt { 1 + \\epsilon ( 1 + H + H ^ { 2 } K ) } \\right) \\left( 1 + 2 \\rho \\frac { ( K - 1 ) } { H } \\right) } .\n$$", + "text_format": "latex", + "bbox": [ + 294, + 579, + 702, + 625 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Theoretical. Examining (13), we see that (i) increasing $H$ can reduce negative scaling effects due to parallelization (second bracket in the denominator of (13)), and (ii) local SGD only shows linear scaling for $\\epsilon \\ll 1$ (i.e. $T$ large enough, in agreement with the theory). In Figure 2 we depict $S ( K )$ , once for $\\epsilon = 0$ in Figure 2b, and for positive $\\epsilon > 0$ in Figure 2a under the assumption $\\rho = 2 5$ . We see that for $\\epsilon = 0$ the largest values of $H$ give the best speedup, however, when only a few epochs need to be performed, then the optimal values of $H$ change with the number of workers $K$ . We also see that for a small number of workers $H = 1$ is never optimal. If $T$ is unknown, then these observations seem to indicate that the technique from (Zhang et al., 2016), i.e. adaptively increasing $H$ over time seems to be a good strategy to get the best choice of $H$ when the time horizon is unknown. ", + "bbox": [ + 173, + 637, + 825, + 763 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Experimental. We examine the practical speedup on a logistic regression problem, $f ( \\mathbf { x } ) \\ =$ $\\begin{array} { r } { \\frac { 1 } { n _ { . } } \\sum _ { i = 1 } ^ { n } \\log ( 1 + \\exp ( - b _ { i } \\mathbf { a } _ { i } ^ { \\top } \\mathbf { x } ) ) + \\frac { \\lambda } { 2 } \\| \\mathbf { x } \\| ^ { 2 } } \\end{array}$ , where $\\mathbf { a } _ { i } \\in \\mathbb { R } ^ { d }$ and $b _ { i } \\in \\{ - 1 , + 1 \\}$ are the data samples. The regularization parameter is set to $\\lambda = 1 / n$ . We consider the $\\mathtt { w } 8 \\mathtt { a }$ dataset (Platt, 1999) $( d = 3 0 0 , n = 4 9 7 4 9 )$ . We initialize all runs with $\\mathbf { x } _ { 0 } = \\mathbf { 0 } _ { d }$ and measure the number of iterations to reach the target accuracy $\\epsilon$ . We consider the target accuracy reached, when either the last iterate, the uniform average, the average with linear weights, or the average with quadratic weights (such as in Theorem 2.2) reaches the target accuracy. By extensive grid search we determine for each configuration $( H , K , B )$ the best stepsize from the set $\\{ \\operatorname* { m i n } ( 3 \\bar { 2 } , \\frac { c n } { t + 1 } ) , 3 2 c \\}$ , where $c$ can take the values $c = 2 ^ { i }$ for $i \\in \\mathbb { Z }$ . For more details on the experimental setup refer Section $\\mathbf { D }$ in the appendix. We depict the results in Figure 3, again under the assumption $\\rho = 2 5$ . ", + "bbox": [ + 173, + 779, + 826, + 924 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "1: Initialize variables $\\mathbf { x } _ { 0 } ^ { k } = \\mathbf { x } _ { 0 }$ , $r ^ { k } = 0$ for $k \\in [ K ]$ , aggregate $\\bar { \\bar { \\mathbf { x } } } = \\mathbf { x } _ { 0 }$ . \n2: parallel for $k \\in [ K ]$ do \n3: for $t$ in $0 \\dots T - 1$ do \n4: Sample $i _ { t } ^ { k }$ uniformly in $[ n ]$ \n5: ${ \\bf x } _ { t + 1 } ^ { k } \\dot { } - \\dot { } { \\bf x } _ { t } ^ { k } - \\eta _ { t } \\nabla \\dot { f } _ { i _ { t } ^ { k } } ( \\dot { } { \\bf x } _ { t } ^ { k } )$ . local update \n6: if $t + 1 \\in \\mathcal { I } _ { T } ^ { k }$ then \n7: $\\bar { \\bar { \\mathbf { x } } } \\mathrm { a d } \\bar { \\mathrm { d } } ( \\bar { \\bar { \\mathbf { x } } } , \\frac { 1 } { K } ( \\mathbf { x } _ { t + 1 } ^ { k } - \\mathbf { x } _ { r ^ { k } } ^ { k } ) )$ . atomic aggregation of the updates \n8: $\\mathbf { x } _ { t + 1 } ^ { k } \\mathrm { r e a d } ( \\bar { \\bar { \\mathbf { x } } } )$ ; \n9: r k ← t + 1 . iteration/time of last read \n10: end if \n11: end for \n12: end parallel for ", + "bbox": [ + 178, + 107, + 825, + 286 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Conclusion. The restriction on $H$ imposed by theory is not severe for $T \\to \\infty$ . Thus, for training that either requires many passes over the data or that is performed only on a small cluster, large values√ of $H$ are advisable. However, for smaller $T$ (few passes over the data), the $O ( 1 / { \\sqrt { K } } )$ dependency shows significantly in the experiment. This has to be taken into account when deploying the algorithm on a massively parallel system, for instance through the technique mentioned in (Zhang et al., 2016). ", + "bbox": [ + 173, + 311, + 825, + 385 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 ASYNCHRONOUS LOCAL SGD ", + "text_level": 1, + "bbox": [ + 176, + 402, + 459, + 420 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In this section we present asynchronous local SGD that does not require that the local sequences are synchronized. This does not only reduce communication bottlenecks, but by using load-balancing techniques the algorithm can optimally be tuned to heterogeneous settings (slower workers do less computation between synchronization, and faster workers do more). We will discuss this in more detail in Section C. ", + "bbox": [ + 173, + 434, + 825, + 505 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Asynchronous local SGD generates in parallel $K$ sequences $\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t = 0 } ^ { T }$ of iterates, $k \\in [ K ]$ . Similar as in Section 2 we introduce sets of synchronization indices, $\\mathcal { T } _ { t } ^ { k } \\subseteq [ T ]$ with $T \\in \\mathcal { I } _ { T } ^ { k }$ for $k \\in [ K ]$ . Note that the sets do not have to be equal for different workers. Each worker $k$ evolves locally a sequence $\\mathbf { x } _ { t } ^ { k }$ in the following way: ", + "bbox": [ + 173, + 510, + 825, + 568 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/537a36412ce746e65fca2fcadb4e12cb5a80ab28376216c7e6ebcd62d49c5633.jpg", + "text": "$$\n\\begin{array} { r } { \\mathbf { x } _ { t + 1 } ^ { k } = \\left\\{ \\mathbf { x } _ { t } ^ { k } - \\gamma _ { t } \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) \\quad \\mathrm { i f ~ } t + 1 \\not \\in \\mathcal { I } _ { T } ^ { k } \\right. } \\\\ { \\bar { \\mathbf { x } } _ { t + 1 } ^ { k } \\qquad \\quad \\mathrm { i f ~ } t + 1 \\in \\mathcal { I } _ { T } ^ { k } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 351, + 565, + 647, + 608 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "where $\\hat { \\hat { \\mathbf { x } } } _ { t + 1 } ^ { k }$ denotes the state of the aggregated variable at the time when worker $k$ reads the aggregated variable. To be precise, we use the notation ", + "bbox": [ + 174, + 614, + 823, + 642 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/263e6043b89d6b5696d96ab5ab1221175c41e4a14dd90c73c1d919bf87b2905f.jpg", + "text": "$$\n\\bar { \\bar { \\mathbf { x } } } _ { t } ^ { k } = \\mathbf { x } _ { 0 } - \\frac { 1 } { K } \\sum _ { h = 1 } ^ { K } \\sum _ { j = 0 } ^ { t - 1 } \\mathbb { 1 } _ { j \\in \\mathcal { W } _ { t } ^ { k , h } } \\bigl ( \\gamma _ { j } \\nabla f _ { i _ { j } ^ { k } } ( \\mathbf { x } _ { j } ^ { k } ) \\bigr ) ,\n$$", + "text_format": "latex", + "bbox": [ + 341, + 647, + 655, + 693 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "where $\\mathcal { W } _ { t } ^ { k , h } \\subseteq [ T ]$ denotes all updates that have been written at the time the read takes place. The sets $\\mathcal { W } _ { t } ^ { k , h }$ are indexed by iteration $t$ , worker $k$ that initiates the read and $h \\in [ K ]$ . Thus $\\mathcal { W } _ { t } ^ { k , h }$ denotes all updates of the local sequence $\\{ \\mathbf { x } _ { t } ^ { h } \\} _ { t \\geq 0 }$ , that have been reported back to the server at the time worker $k$ reads (in iteration $t$ ). This notation is necessary, as we don’t necessarily have $\\mathcal { W } _ { t } ^ { k , h } = \\mathcal { W } _ { t } ^ { k ^ { \\prime } , h }$ for $k \\neq k ^ { \\prime }$ . We have $\\mathcal { W } _ { t } ^ { k , h } \\subseteq \\mathcal { W } _ { t ^ { \\prime } } ^ { k , h }$ for $t ^ { \\prime } \\geq t$ , as updates are not overwritten. When we cast synchronized local SGD in this notation, then it holds $\\mathcal { W } _ { t } ^ { k , h } = \\mathcal { W } _ { t } ^ { k ^ { \\prime } , h ^ { \\prime } }$ for all $k , h , k ^ { \\prime } , h ^ { \\prime }$ , as all the writes and reads are synchronized. ", + "bbox": [ + 173, + 698, + 826, + 810 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Theorem 5.1. Let $f$ , $\\sigma$ , $G$ and $\\kappa$ be as in Theorem 5.1 and sequences $\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t = 0 } ^ { T } f o r k \\in [ K ]$ generated according to (14) with $\\mathrm { g a p } ( \\mathcal { T } _ { T } ^ { k } ) \\leq H$ for $k \\in K$ and for stepsizes $\\begin{array} { r } { \\eta _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}$ with shift parameter $a > \\operatorname* { m a x } \\{ 1 6 \\kappa , H + \\tau \\}$ for delay $\\tau > 0$ . If $\\mathcal { W } _ { t } ^ { k , h } \\supseteq [ t - \\tau ]$ for all $k , h \\in [ K ] _ { : }$ , $t \\in [ T ]$ , then ", + "bbox": [ + 171, + 813, + 825, + 863 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/532b37d7d3decfe693aeceb01fe44e9e1cb37027bc05b38c75340733f4efee80.jpg", + "text": "$$\n\\mathbb { E } f ( \\hat { { \\bf x } } _ { T } ) - f ^ { \\star } \\le \\frac { \\mu a ^ { 3 } } { 2 S _ { T } } \\left. { \\bf x } _ { 0 } - { \\bf x } ^ { \\star } \\right. ^ { 2 } + \\frac { 4 T ( T + 2 a ) } { \\mu K S _ { T } } \\sigma ^ { 2 } + \\frac { 7 6 8 T } { \\mu ^ { 2 } S _ { T } } G ^ { 2 } ( H + \\sigma ) ^ { 2 } L ,\n$$", + "text_format": "latex", + "bbox": [ + 236, + 867, + 758, + 901 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { \\hat { \\mathbf { x } } _ { T } = \\frac { 1 } { K S _ { T } } \\sum _ { k = 1 } ^ { K } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\mathbf { x } _ { t } ^ { k } , } \\end{array}$ , for $w _ { t } = ( a + t ) ^ { 2 }$ and $\\begin{array} { r } { S _ { T } = \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\geq \\frac { 1 } { 3 } T ^ { 3 } } \\end{array}$ ", + "bbox": [ + 169, + 905, + 745, + 928 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Hence, for $T$ large enough and $( H + \\tau ) = O ( \\sqrt { T / K } )$ , asynchronous local SGD converges with rate $\\begin{array} { r } { O \\big ( \\frac { G ^ { 2 } } { K T } \\big ) } \\end{array}$ , the same rate as synchronous local SGD. ", + "bbox": [ + 173, + 102, + 821, + 136 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 156, + 318, + 172 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We prove convergence of synchronous and asynchronous local SGD and are the first to show that local SGD (for nontrivial values of $H$ ) attains theoretically linear speedup on strongly convex functions when parallelized among $K$ workers. We show that local SGD saves up to a factor of $O ( T ^ { 1 / 2 } )$ in global communication rounds compared to mini-batch SGD, while still converging at the same rate in terms of total stochastic gradient computations. ", + "bbox": [ + 174, + 188, + 825, + 260 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Deriving more concise convergence rates for local SGD could be an interesting future direction that could deepen our understanding of the scheme. For instance one could aim for a more fine grained analysis in terms of bias and variance terms (similar as e.g. in Dekel et al. (2012); Jain et al. (2018)), relaxing the assumptions (here we relied on the bounded gradient assumption), or investigating the data dependence (e.g. by considering data-depentent measures like e.g. gradient diversity Yin et al. (2018)). There are also no apparent reasons that would limit the extension of the theory to non-convex objective functions; Lemma 3.3 does neither use the smoothness nor the strong convexity assumption, so this can be applied in the non-convex setting as well. We feel that the positive results shown here can motivate and spark further research on non-convex problems. Indeed, very recent work (Zhou & Cong, 2018; Yu et al., 2018) analyzes local SGD for non-convex optimization problems and shows convergence of SGD to a stationary point, though the restrictions on $H$ are stronger than here. ", + "bbox": [ + 174, + 266, + 825, + 420 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 441, + 356, + 457 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The author thanks Jean-Baptiste Cordonnier, Tao Lin and Kumar Kshitij Patel for spotting various typos in the first versions of this manuscript, as well as Martin Jaggi for his support. ", + "bbox": [ + 174, + 472, + 823, + 501 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 176, + 522, + 285, + 536 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Martín Abadi, Ashish Agarwal, Paul Barham, Eugene Brevdo, Zhifeng Chen, Craig Citro, Greg S Corrado, Andy Davis, Jeffrey Dean, Matthieu Devin, et al. Tensorflow: Large-scale machine learning on heterogeneous distributed systems. arXiv preprint arXiv:1603.04467, 2016. \nAlekh Agarwal and John C Duchi. 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", + "bbox": [ + 176, + 871, + 826, + 922 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A MISSING PROOFS FOR SYNCHRONIZED LOCAL SGD ", + "text_level": 1, + "bbox": [ + 173, + 101, + 647, + 119 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "In this section we provide the proofs for the three lemmas that were introduced in Section 3. ", + "bbox": [ + 169, + 132, + 774, + 150 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Proof of Lemma 3.1. Using the update equation (7) we have ", + "bbox": [ + 171, + 162, + 580, + 179 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/9302d46a7cbb1d31ca99cef59d10b956c07ca0a83e68481776b6730bd1044af6.jpg", + "text": "$$\n\\begin{array} { r l } & { \\left\\| \\bar { \\mathbf { x } } _ { t + 1 } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } = \\left\\| \\bar { \\mathbf { x } } _ { t } - \\eta _ { t } \\mathbf { g } _ { t } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } = \\left\\| \\bar { \\mathbf { x } } _ { t } - \\eta _ { t } \\mathbf { g } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } + \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } } \\\\ & { \\qquad = \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } + \\eta _ { t } ^ { 2 } \\left\\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } + 2 \\eta _ { t } \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } , \\bar { \\mathbf { g } } _ { t } - \\mathbf { g } _ { t } \\right. . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 192, + 183, + 777, + 228 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Observe that ", + "bbox": [ + 173, + 231, + 259, + 246 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/30e85c51a21898282a433859d87685f11577c7f7fdbf14a5ab574820d148a8fc.jpg", + "text": "$$\n\\begin{array} { r l } { | { \\bf x } _ { k } - { \\bf x } ^ { \\prime } - \\eta _ { k } \\mathbf { g } | ^ { 2 } = \\| { \\bf x } _ { k } - { \\bf x } ^ { \\prime } \\| ^ { 2 } + \\eta _ { k } ^ { 2 } \\| { \\bf g } _ { k } \\| ^ { 2 } - 2 \\eta _ { k } { \\bf x } _ { k } - { \\bf x } ^ { \\prime } , { \\bf g } _ { k } } & { \\qquad \\mathrm { ( f ~ } { \\bf x } _ { k } < { \\bf x } ^ { \\prime } , { \\bf g } _ { k } ^ { \\prime } \\mathrm { ) } } \\\\ & { = \\| { \\bf x } _ { k } - { \\bf x } ^ { \\prime } \\| ^ { 2 } + \\eta _ { k } ^ { 2 } \\| { \\bf g } _ { k } \\| ^ { 2 } - 2 \\eta _ { k } { 1 } { K _ { k } - 1 } { \\bf x } _ { k } - { \\bf x } ^ { \\prime } , \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) } & { \\qquad \\mathrm { ( f ~ } { \\bf x } _ { k } < { \\bf x } ^ { \\prime } , \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) } \\\\ & { \\leq \\| { \\bf x } _ { k } - { \\bf x } ^ { \\prime } \\| ^ { 2 } + \\eta _ { k } ^ { 2 } \\frac { 1 } { K _ { k } - 1 } \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) + \\eta _ { k } ^ { 2 } } \\\\ & { \\qquad - 2 \\eta _ { k } \\frac { 1 } { K _ { k } - 1 } \\frac { K _ { k } ^ { 2 } } { K _ { k } - 1 } { \\bf x } _ { k } - { \\bf x } _ { k } ^ { \\prime } + { \\bf x } _ { k } ^ { \\prime } - { \\bf x } ^ { \\prime } , \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) } \\\\ & { = \\| { \\bf x } _ { k } - { \\bf x } ^ { \\prime } \\| ^ { 2 } + \\eta _ { k } ^ { 2 } \\frac { 1 } { K _ { k } - 1 } \\| \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) - \\nabla f ( { \\bf x } ^ { \\prime } ) \\| ^ { 2 } } \\\\ & \\qquad - 2 \\eta _ { k } ^ { 2 } \\frac { 1 } { K _ { k } - 1 } { \\bf x } _ { k } ^ { \\prime } - \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 189, + 250, + 802, + 496 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "where we used the inequality $\\begin{array} { r } { \\| \\sum _ { i = 1 } ^ { K } \\mathbf { a } _ { i } \\| ^ { 2 } \\leq K \\sum _ { i = 1 } ^ { K } \\| \\mathbf { a } _ { i } \\| ^ { 2 } } \\end{array}$ in (21). By $L$ -smoothness, ", + "bbox": [ + 171, + 512, + 746, + 534 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/d1145f9bcf2ed1596234c14c7727900cb18edb0a253187e69525e82f9d86232c.jpg", + "text": "$$\n\\left\\| \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } ^ { \\star } ) \\right\\| ^ { 2 } \\leq 2 L ( f ( \\mathbf { x } _ { t } ^ { k } ) - f ^ { \\star } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 349, + 537, + 645, + 560 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "and by $\\mu$ -strong convexity ", + "bbox": [ + 173, + 566, + 348, + 580 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/ed4fe295c6db9858c15b03c425a40f64d8d2a1d2822f2b5f9543109c2e75a0a5.jpg", + "text": "$$\n- \\left. \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } ^ { \\star } , \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right. \\leq - ( f ( \\mathbf { x } _ { t } ^ { k } ) - f ^ { \\star } ) - \\frac { \\mu } { 2 } \\left\\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 294, + 587, + 700, + 613 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "To estimate the last term in (22) we use $2 \\left. \\mathbf { a } , \\mathbf { b } \\right. \\leq \\gamma \\left\\| \\mathbf { a } \\right\\| ^ { 2 } + \\gamma ^ { - 1 } \\left\\| \\mathbf { b } \\right\\| ^ { 2 }$ , for $\\gamma > 0$ . This gives ", + "bbox": [ + 173, + 619, + 782, + 638 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/6323e16b0c4cec6f5a266f8bc0968be4e2f8d92bc2fa920366d5f0dbbab4960c.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle - 2 \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } , \\nabla f ( { \\mathbf { x } } _ { t } ^ { k } ) \\right. \\leq 2 L \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right. ^ { 2 } + \\displaystyle \\frac { 1 } { 2 L } \\left. \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right. ^ { 2 } } \\\\ { \\displaystyle \\qquad = 2 L \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right. ^ { 2 } + \\displaystyle \\frac { 1 } { 2 L } \\left. \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } ^ { \\star } ) \\right. ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq 2 L \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right. ^ { 2 } + \\left( f ( \\mathbf { x } _ { t } ^ { k } ) - f ^ { \\star } \\right) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 254, + 643, + 738, + 728 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "where we have again used (23) in the last inequality. By applying these three estimates to (22) we get ", + "bbox": [ + 174, + 731, + 825, + 747 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/79055a38b99105fb1d532ad7f3ecbfb56063d8d1b734fe4e03163b5fe46089fb.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } \\leq \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } + 2 \\eta _ { t } \\displaystyle \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right\\| ^ { 2 } } } \\\\ { { \\displaystyle \\qquad + 2 \\eta _ { t } \\displaystyle \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\left( \\left( \\eta _ { t } L - \\displaystyle \\frac { 1 } { 2 } \\right) \\left( f ( \\mathbf { x } _ { t } ^ { k } ) - f ^ { \\star } \\right) - \\displaystyle \\frac { \\mu } { 2 } \\left\\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } \\right) . } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 196, + 751, + 774, + 840 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "For $\\begin{array} { r } { \\eta _ { t } \\le \\frac { 1 } { 4 L } } \\end{array}$ it holds $\\begin{array} { r } { \\left( \\eta _ { t } L - \\frac { 1 } { 2 } \\right) \\le - \\frac { 1 } { 4 } } \\end{array}$ . By convexity of $a \\left( f ( \\mathbf { x } ) - f ^ { \\star } \\right) + b \\left\\| \\mathbf { x } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 }$ for $a , b \\geq 0$ : ", + "bbox": [ + 171, + 853, + 825, + 873 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/d050b34fd54eccef1c02a6d08dd53cec70bd9a31e9ab8759cd617f02ea86d039.jpg", + "text": "$$\n- \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\Big ( a \\big ( f ( \\mathbf { x } _ { t } ^ { k } ) - f ^ { \\star } \\big ) + b \\big \\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } ^ { \\star } \\big \\| ^ { 2 } \\Big ) \\leq - \\Big ( a \\big ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } \\big ) + b \\big \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\big \\| ^ { 2 } \\Big ) \\ ,\n$$", + "text_format": "latex", + "bbox": [ + 200, + 878, + 766, + 922 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "hence we can continue in (28) and obtain ", + "bbox": [ + 174, + 103, + 444, + 118 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/128749f694b501be01f9433a3da21c53a0082aebd98c753390528decacfee1ff.jpg", + "text": "$$\n\\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } \\leq \\left( 1 - \\mu \\eta _ { t } \\right) \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } - \\frac { 1 } { 2 } \\eta _ { t } \\big ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } \\big ) + 2 \\eta _ { t } \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 181, + 126, + 789, + 171 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Finally, we can plug (30) back into (18). By taking expectation we get ", + "bbox": [ + 173, + 176, + 635, + 194 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/22af3c7b800dc6eda945c043c4b39560c2f73610f19e0bae16e6c067dba249f1.jpg", + "text": "$$\n\\begin{array} { r l r } { { \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t + 1 } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } \\leq ( 1 - \\mu \\eta _ { t } ) \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } + \\eta _ { t } ^ { 2 } \\mathbb { E } \\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\| ^ { 2 } } } \\\\ & { } & { \\quad - \\displaystyle \\frac { 1 } { 2 } \\eta _ { t } \\mathbb { E } ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } ) + 2 \\eta _ { t } \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\| ^ { 2 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 254, + 200, + 740, + 268 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Proof of Lemma 3.2. By definition of $\\mathbf { g } _ { t }$ and $\\bar { \\bf g } _ { t }$ we have ", + "bbox": [ + 173, + 286, + 555, + 303 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/432360ca49283baf06ceac6a498a63cc8e9023fedcef7581f921b0f2e161bdcd.jpg", + "text": "$$\n\\mathbb { \\Psi } \\left. \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right. ^ { 2 } = \\mathbb { E } \\left. \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\left( \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right) \\right. ^ { 2 } = \\frac { 1 } { K ^ { 2 } } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left. \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right. ^ { 2 } \\leq \\frac { \\sigma ^ { 2 } } { K } ,\n$$", + "text_format": "latex", + "bbox": [ + 181, + 310, + 830, + 354 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where we used $\\begin{array} { r } { \\operatorname { V a r } ( \\sum _ { k = 1 } ^ { K } X _ { k } ) = \\sum _ { k = 1 } ^ { K } \\operatorname { V a r } ( X _ { k } ) } \\end{array}$ for independent random variables. ", + "bbox": [ + 174, + 377, + 733, + 398 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Proof of Lemma 3.3. As the $\\mathrm { g a p } ( \\mathcal { T } _ { T } ) \\leq H$ , there is an index $t _ { 0 } , t - t _ { 0 } \\leq H$ such that $\\bar { \\mathbf { x } } _ { t _ { 0 } } = \\mathbf { x } _ { t _ { 0 } } ^ { k }$ for $k \\in [ K ]$ . Observe, using $\\operatorname { \\mathbb { E } } \\left\\| X - \\operatorname { \\mathbb { E } } X \\right\\| ^ { 2 } = \\operatorname { \\mathbb { E } } \\left\\| X \\right\\| ^ { 2 } - \\left\\| \\operatorname { \\mathbb { E } } X \\right\\| ^ { 2 }$ and $\\begin{array} { r } { \\| \\sum _ { i = 1 } ^ { H } \\mathbf { a } _ { i } \\| ^ { 2 } \\leq H \\sum _ { i = 1 } ^ { H } \\| \\mathbf { a } _ { i } \\| ^ { 2 } } \\end{array}$ , ", + "bbox": [ + 171, + 419, + 825, + 455 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/d866f6d2bed09c7d9bb8c62e99957b884f11a9ffb058a08261f0b9b060eb54e5.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - { \\mathbf { x } } _ { t } ^ { k } \\right\\| ^ { 2 } = \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| { \\mathbf { x } } _ { t } ^ { k } - { \\mathbf { x } } _ { t _ { 0 } } - \\left( \\bar { \\mathbf { x } } _ { t } - { \\mathbf { x } } _ { t _ { 0 } } \\right) \\right\\| ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| { \\mathbf { x } } _ { t } ^ { k } - { \\mathbf { x } } _ { t _ { 0 } } \\right\\| ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } H \\eta _ { t _ { 0 } } ^ { 2 } \\displaystyle \\sum _ { h = t _ { 0 } } ^ { t - 1 } \\mathbb { E } \\left\\| \\nabla f _ { \\bar { \\mathbf { x } } _ { h } } ( x _ { h } ^ { k } ) \\right\\| ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } H ^ { 2 } \\eta _ { t _ { 0 } } ^ { 2 } G ^ { 2 } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 297, + 462, + 697, + 642 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where we used $\\eta _ { t } \\leq \\eta _ { t _ { 0 } }$ for $t \\geq t _ { 0 }$ and the assumption $\\mathbb { E } \\| \\nabla f _ { i _ { h } ^ { k } } ( \\mathbf { x } _ { h } ^ { k } ) \\| ^ { 2 } \\leq G ^ { 2 }$ . Finally, the claim follows by the assumption on the stepsizes, $\\frac { \\eta _ { t _ { 0 } } } { \\eta _ { t } } \\leq 2$ . □ ", + "bbox": [ + 173, + 650, + 821, + 688 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B MISSING PROOF FOR ASYNCHRONOUS LOCAL SGD ", + "text_level": 1, + "bbox": [ + 173, + 707, + 642, + 724 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In this Section we prove Theorem 5.1. The proof follows closely the proof presented in Section 3. We again introduce the virtual sequence ", + "bbox": [ + 173, + 739, + 825, + 768 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/140add30c3853bbfb5c687eac103de7f35cb188763428d4e22daa8b766f2c1e7.jpg", + "text": "$$\n\\bar { \\mathbf { x } } _ { t } = \\mathbf { x } _ { 0 } - \\frac { 1 } { K } \\sum _ { h = 1 } ^ { K } \\sum _ { j = 0 } ^ { t - 1 } \\eta _ { j } \\nabla f _ { i _ { j } ^ { k } } \\bigl ( \\mathbf { x } _ { j } ^ { k } \\bigr ) ,\n$$", + "text_format": "latex", + "bbox": [ + 379, + 776, + 617, + 823 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "as before. By the property $T \\in \\mathcal { T } _ { T } ^ { k }$ for $k \\in K$ we know that all workers will have written their updates when the algorithm terminates. This assumption is not very critical and could be relaxed, but it facilitates the (already quite heavy) notation in the proof. ", + "bbox": [ + 174, + 832, + 825, + 876 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Observe, that Lemmas 3.1 and 3.2 hold for the virtual sequence $\\{ \\bar { \\mathbf { x } } _ { t } \\} _ { t = 0 } ^ { T }$ . Hence, all we need is a refined version of Lemma 3.3 that bounds how far the local sequences can deviate from the virtual average. ", + "bbox": [ + 174, + 881, + 825, + 924 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Lemma B.1. ${ \\cal { I } } f \\mathrm { g a p } ( { \\cal { I } } _ { T } ^ { k } ) \\le { \\cal { H } }$ and $\\exists \\tau > 0 .$ , s.t. $\\mathcal { W } _ { t } ^ { k , h } \\supseteq [ t - \\tau ]$ for all $k , h \\in [ K ]$ , $t \\in [ T ]$ , and sequence of decreasing positive stepsizes $\\{ \\eta _ { t } \\} _ { t \\ge 0 }$ satisfying $\\eta _ { t } \\leq 2 \\eta _ { t + H + \\tau }$ for all $t \\geq 0$ , then ", + "bbox": [ + 171, + 101, + 828, + 133 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/702a9e8430bc7c99ba78653b03875e7bb1bac11ac52505797e1ab844708764b7.jpg", + "text": "$$\n\\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - { \\mathbf { x } } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 1 2 \\eta _ { t } ^ { 2 } G ^ { 2 } ( H + \\tau ) ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 354, + 138, + 642, + 183 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "where $G ^ { 2 }$ is a constant such that $\\mathbb { E } _ { i } \\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) \\| ^ { 2 } \\leq G ^ { 2 }$ for $k \\in [ K ] , t \\in [ T ]$ . ", + "bbox": [ + 176, + 188, + 671, + 207 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Here we use the notation $[ s ] = \\{ \\}$ for $s < 0$ , such that $[ t - \\tau ]$ is also defined for $t < \\tau$ ", + "bbox": [ + 176, + 213, + 740, + 232 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Proof. As $\\mathrm { g a p } ( \\mathcal { T } _ { T } ^ { k } ) \\leq H$ there exists for every $k \\in K$ a $t _ { k }$ , $t - t _ { k } \\le H$ , such that $\\mathbf { x } _ { t _ { k } } ^ { k } = \\bar { \\bar { x } } _ { t _ { k } } ^ { k }$ . Let $t _ { 0 } : = \\operatorname* { m i n } \\{ t _ { 1 } , \\dots , t _ { K } \\}$ and observe $t _ { 0 } \\geq t - H$ . Let $t _ { 0 } ^ { \\prime } = \\operatorname* { m a x } \\{ t _ { 0 } - \\tau , 0 \\}$ . As $\\mathcal { W } _ { t } ^ { k , h } \\supseteq [ t - \\tau ]$ for all $k , h \\in [ K ]$ , $t \\in [ T ]$ , it holds ", + "bbox": [ + 173, + 244, + 825, + 292 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/821ecc930a46c50d7bc935eed00ff0bd02faed55afec9b102a9b26585c73a7ab.jpg", + "text": "$$\n\\bar { \\bar { \\mathbf { x } } } _ { t _ { k } } ^ { k } = \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } - \\frac { 1 } { K } \\sum _ { h = 1 } ^ { K } \\sum _ { j = t _ { 0 } ^ { \\prime } } ^ { t _ { k } - 1 } \\mathbb { 1 } _ { j \\in \\mathcal { W } _ { t _ { k } } ^ { k , h } } \\bigl ( \\eta _ { j } \\nabla f _ { i _ { j } ^ { k } } ( \\mathbf { x } _ { j } ^ { k } ) \\bigr ) ,\n$$", + "text_format": "latex", + "bbox": [ + 334, + 297, + 661, + 344 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "for each $k \\in [ K ]$ . In other words, all updates up to iteration $t _ { 0 } ^ { \\prime }$ have been written to the aggregated sequence. ", + "bbox": [ + 173, + 351, + 826, + 380 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "We decompose the error term as ", + "bbox": [ + 174, + 386, + 387, + 401 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/83c905e612ea35c41492ab5b02e8df84a172bece0c1a13686c832248a81688ad.jpg", + "text": "$$\n\\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 3 \\left( \\left\\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } _ { t _ { k } } ^ { k } \\right\\| ^ { 2 } + \\left\\| \\mathbf { x } _ { t _ { k } } ^ { k } - \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } \\right\\| ^ { 2 } + \\left\\| \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } - \\bar { \\mathbf { x } } _ { t } \\right\\| ^ { 2 } \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 276, + 406, + 720, + 434 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Now, using $\\eta _ { t } \\geq \\eta _ { t + 1 }$ , and $t - t _ { k } \\le H$ , we conclude (as in (35)) ", + "bbox": [ + 171, + 438, + 601, + 454 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/c05ce4235335355af687c8e0d47fee5e35b107c06fcde12cf45f12fe94ba7358.jpg", + "text": "$$\n\\left\\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } _ { t _ { k } } ^ { k } \\right\\| ^ { 2 } \\leq \\eta _ { t _ { k } } ^ { 2 } H ^ { 2 } G ^ { 2 } \\leq \\eta _ { t _ { 0 } ^ { \\prime } } ^ { 2 } H ^ { 2 } G ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 364, + 459, + 632, + 483 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "As $t _ { k } - t _ { 0 } ^ { \\prime } \\leq \\tau$ , ", + "bbox": [ + 173, + 489, + 281, + 506 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/66991334bd7c06c72ef300aa8bca93187440be251cb18fb6ee7b4a6abc28e1a2.jpg", + "text": "$$\n\\begin{array} { r } { \\left\\| \\mathbf { x } _ { t _ { k } } ^ { k } - \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } \\right\\| ^ { 2 } \\leq \\eta _ { t _ { 0 } ^ { \\prime } } ^ { 2 } \\tau ^ { 2 } G ^ { 2 } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 408, + 510, + 588, + 535 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "and similarly, as $t - t _ { 0 } ^ { \\prime } \\leq H + \\tau$ , ", + "bbox": [ + 173, + 540, + 397, + 556 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/5cfda043fb6f39dc281d8343c85fd05774bde3c74f2ecd6bc0f9b736a977ec8b.jpg", + "text": "$$\n\\begin{array} { r } { \\left\\| \\tilde { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } - \\tilde { \\mathbf { x } } _ { t } \\right\\| ^ { 2 } \\leq \\eta _ { t _ { 0 } ^ { \\prime } } ^ { 2 } ( H + \\tau ) ^ { 2 } G ^ { 2 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 388, + 561, + 609, + 585 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Finally, as $\\frac { \\eta _ { t _ { 0 } ^ { \\prime } } } { \\eta _ { t } } \\leq 2$ , we can conclude ", + "bbox": [ + 173, + 592, + 416, + 612 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/b034ed13a895dda7ac70e73df4f98653db7495f6e431eb00f3cf8c8a9aeb4d47.jpg", + "text": "$$\n\\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 1 2 \\eta _ { t } ^ { 2 } ( H + \\tau ) ^ { 2 } G ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 383, + 618, + 612, + 642 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "and the lemma follows. ", + "bbox": [ + 174, + 645, + 328, + 660 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Now the proof of Theorem 5.1 follows immediately. ", + "bbox": [ + 173, + 675, + 516, + 690 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Proof of Theorem 5.1. As igence rate. Again, we have $\\begin{array} { r } { A = { \\frac { 1 } { 2 } } } \\end{array}$ r, $\\textstyle B = { \\frac { \\sigma ^ { 2 } } { K } }$ heore, and $C = L G ^ { 2 } ( H + \\tau ) ^ { 2 }$ mma 3.4 to derive the conver-(Lemma B.1). It is easy to see that the stepsizes satisfy the condition of Lemma B.1, as clearly $\\begin{array} { r } { \\frac { \\eta _ { t _ { 0 } ^ { \\prime } } } { \\eta _ { t } } \\leq \\frac { \\eta _ { t _ { 0 } ^ { \\prime } } } { \\eta _ { t _ { 0 } ^ { \\prime } + H + \\tau } } = \\frac { a + t + H + \\tau } { a + t } \\leq 2 } \\end{array}$ $a \\geq H + \\tau$ . □ ", + "bbox": [ + 173, + 705, + 826, + 777 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C COMMENTS ON IMPLEMENTATION ISSUES ", + "text_level": 1, + "bbox": [ + 173, + 796, + 560, + 813 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C.1 SYNCHRONOUS LOCAL SGD ", + "text_level": 1, + "bbox": [ + 176, + 827, + 419, + 843 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In Theorem 5 we do not prove convergence of the sequences $\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t \\geq 0 }$ of the iterates, but only convergence of a weighted average of all iterates. In practice, the last iterate might often be sufficient, but we like to remark that the weighted average of the iterates can easily be tracked on the fly with an auxiliary sequence $\\{ \\mathbf { y } _ { t } \\} _ { t > 0 }$ , $\\mathbf { y } _ { 0 } = \\mathbf { x } _ { 0 }$ , without storing all intermediate iterates, see Table 1 for some examples. ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/4ec7874c8bba85c2d49e75c6c14261aace2278f1c58e405c56e90b495b9edc37.jpg", + "table_caption": [ + "Table 1: Formulas to recursively track weighted averages. " + ], + "table_footnote": [], + "table_body": "
criteriaweightsformularecursive update
last iterate-yt=Xtyt=Xt
uniform averageWt=1y=中∑i=0Xiyt=xt+1yt-1t
linear weightsWt=(t+1)yt =(+t(2+)∑i-0(i+ 1)xi2yt=22txt++2yt-1
quadratic weightsWt =(t+1)²yt= 6(t+1)(t+2)(2t+3)∑i=0(i+1)²xyt= 6(t+1) t(1+2t)(t+2)(2t+3)Xt+6+7t+2t2Yt-1
", + "bbox": [ + 176, + 99, + 821, + 174 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "C.2 ASYNCHRONOUS LOCAL SGD ", + "text_level": 1, + "bbox": [ + 176, + 223, + 428, + 237 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "As for synchronous local SGD, the weighted averages of the iterates (if needed), can be tracked on each worker locally by a recursive formula as explained above. ", + "bbox": [ + 174, + 250, + 823, + 277 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "A more important aspect that we do not have discussed yet, is that Algorithm 2 allows for an easy procedure to balance the load in heterogeneous settings. In our notation, we have always associated the local sequences $\\{ \\mathbf { x } _ { t } ^ { k } \\}$ with a specific worker $k$ . However, the computation of the sequences does not need to be tied to a specific worker. Thus, a fast worker $k$ that has advanced his local sequence too much already, can start computing updates for another sequence $\\boldsymbol { k } ^ { \\prime } \\neq \\boldsymbol { k }$ , if worker $k ^ { \\prime }$ is lagged behind. This was not possible in the synchronous model, as there all communications had to happen in sync. We demonstrate this principle in Table 2 below for two workers. Note that also the running averages can still be maintained. ", + "bbox": [ + 173, + 284, + 825, + 396 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/f9da9b8cd8223458a47ac83f9babdfb660e10a460d140f997923d7dc5ec7eff5.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
wall clock time → → → → → →
worker 1xH←U(x)xH←U(x)xH←U(x)xH,2←U(x)xH←U()x4H←U(x):
worker 2x←U(x)xH←U(x)·
", + "bbox": [ + 176, + 411, + 821, + 463 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Table 2: Simple load balancing. The faster worker can advance both sequences, even when the slower worker has not yet finished the computation. In the example each worker does $H$ steps of local SGD (denoted by the operator $U \\colon { \\mathbb { R } ^ { d } } \\to \\dot { { \\mathbb { R } ^ { d } } }$ ) before writing back the updates to the aggregate $\\bar { \\bar { \\bf x } }$ . Due to the load balancing, $\\tau \\leq 3 H$ . ", + "bbox": [ + 173, + 473, + 825, + 531 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D DETAILS ON EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 558, + 437, + 574 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We here state the precise procedure that was used to generate the figures in this report. As briefly stated in Section 4 we examine empirically the speedup on a logistic regression problem, $f ( \\mathbf { x } ) =$ $\\begin{array} { r } { \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\log ( 1 + \\exp ( - b _ { i } \\mathbf { a } _ { i } ^ { \\top } \\mathbf { x } ) ) + \\frac { \\lambda } { 2 } \\| \\mathbf { x } \\| ^ { 2 } , } \\end{array}$ , where $\\mathbf { a } _ { i } \\in \\mathbb { R } ^ { d }$ and $b _ { i } \\in \\{ - 1 , + 1 \\}$ are the data samples. The regularization parameter is set to $\\lambda = 1 / n$ . We consider the small scale $\\mathtt { w } 8 \\mathtt { a }$ dataset (Platt, 1999) $( d = 3 0 0 , n = 4 9 7 4 9 )$ . ", + "bbox": [ + 173, + 589, + 825, + 661 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "For each run, we initialize $\\mathbf { x } _ { 0 } = \\mathbf { 0 } _ { d }$ and measure the number of iterations6 (and number of stochastic gradient evaluations) to reach the target accuracy $\\epsilon \\in \\lbrace 0 . 0 0 5 , 0 . 0 0 0 1 \\rbrace$ . As we prove convergence only for a special weighted sum of the iterates in Theorem 2.2 and not for standard criteria (last iterate or uniform average), we evaluate the function value for different weighted averages $\\mathbf { y } _ { t } =$ $\\textstyle { \\frac { 1 } { \\sum _ { i = 0 } ^ { t } w _ { i } } } \\sum _ { i = 0 } ^ { t } w _ { i } \\mathbf { x } _ { t }$ , and consider the accuracy reached when one of the averages satisfies $f ( \\mathbf { y } _ { t } ) -$ $f ^ { \\star } \\leq \\epsilon$ , with $f ^ { \\star } : = 0 . 1 2 6 4 3 3 1 7 6 2 1 6 5 4 5$ (numerically determined). The precise formulas for the averages that we used are given in Table 1. ", + "bbox": [ + 173, + 667, + 825, + 772 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "For each configuration $( K , H , b , \\epsilon )$ , we report the best result found with any of the following two stepsizes: $\\begin{array} { r } { \\eta _ { t } : = \\operatorname* { m i n } ( 3 2 , \\frac { c n } { t + 1 } ) } \\end{array}$ and $\\eta _ { t } = 3 2 c$ . Here $c$ is a parameter that can take the values $c = { \\bar { 2 } } ^ { i }$ for $i \\in \\mathbb { Z }$ . For each stepsize we determine the best parameter $c$ by a grid search, and consider parameter $c$ optimal, if parameters $\\{ 2 ^ { - 2 } c , 2 ^ { - 1 } c , 2 c , 2 ^ { 2 } c \\}$ yield worse results (i.e. more iterations to reach the target accuracy). ", + "bbox": [ + 173, + 777, + 825, + 849 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "In Figures 4 and 5 we give additional results for mini-batch sizes $b \\in \\{ 1 , 1 6 \\}$ . ", + "bbox": [ + 173, + 103, + 681, + 118 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/eccb7f2240a1b75823d67ea0fe389320436a12453c91fee7ad80ecd7dd890c39.jpg", + "image_caption": [ + "Figure 4: Measured speedup of local SGD with mini-batch $b = 1$ for different numbers of workers $K$ and parameters $H$ . " + ], + "image_footnote": [], + "bbox": [ + 194, + 133, + 785, + 247 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/affeb36c82caec64525e836314f7c3c1794fcfe3d46da49b6a7911e9f02269c7.jpg", + "image_caption": [ + "Figure 5: Measured speedup of local SGD with mini-batch $b = 1 6$ for different numbers of workers $K$ and parameters $H$ . " + ], + "image_footnote": [], + "bbox": [ + 196, + 304, + 787, + 416 + ], + "page_idx": 16 + } +] \ No newline at end of file diff --git a/parse/train/S1g2JnRcFX/S1g2JnRcFX_middle.json b/parse/train/S1g2JnRcFX/S1g2JnRcFX_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..93e5f5763db55c914b56009173d5b71d9791b345 --- /dev/null +++ b/parse/train/S1g2JnRcFX/S1g2JnRcFX_middle.json @@ -0,0 +1,56743 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 78, + 339, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 78, + 342, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 78, + 342, + 97 + ], + "score": 1.0, + "content": "LOCAL SGD CONVERGES FAST", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 99, + 326, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 99, + 326, + 117 + ], + "score": 1.0, + "content": "AND COMMUNICATES LITTLE", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 112, + 135, + 252, + 168 + ], + "lines": [ + { + "bbox": [ + 111, + 135, + 192, + 145 + ], + "spans": [ + { + "bbox": [ + 111, + 135, + 192, + 145 + ], + "score": 1.0, + "content": "Sebastian U. 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The scheme can reach a linear speedup with respect to the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 243, + 469, + 255 + ], + "spans": [ + { + "bbox": [ + 141, + 243, + 469, + 255 + ], + "score": 1.0, + "content": "number of workers, but this is rarely seen in practice as the scheme often suffers", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 254, + 469, + 266 + ], + "spans": [ + { + "bbox": [ + 141, + 254, + 469, + 266 + ], + "score": 1.0, + "content": "from large network delays and bandwidth limits. To overcome this communication", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 265, + 469, + 278 + ], + "spans": [ + { + "bbox": [ + 141, + 265, + 469, + 278 + ], + "score": 1.0, + "content": "bottleneck recent works propose to reduce the communication frequency. An", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 142, + 276, + 469, + 289 + ], + "spans": [ + { + "bbox": [ + 142, + 276, + 469, + 289 + ], + "score": 1.0, + "content": "algorithm of this type is local SGD that runs SGD independently in parallel on", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 287, + 469, + 299 + ], + "spans": [ + { + "bbox": [ + 141, + 287, + 469, + 299 + ], + "score": 1.0, + "content": "different workers and averages the sequences only once in a while. 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This also holds for asynchronous implementations.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 142, + 379, + 469, + 413 + ], + "lines": [ + { + "bbox": [ + 140, + 378, + 469, + 392 + ], + "spans": [ + { + "bbox": [ + 140, + 378, + 469, + 392 + ], + "score": 1.0, + "content": "Local SGD can also be used for large scale training of deep learning models. 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This scheme can easily be", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 510, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 212, + 525 + ], + "score": 1.0, + "content": "parallelized by replacing", + "type": "text" + }, + { + "bbox": [ + 212, + 513, + 223, + 523 + ], + "score": 0.84, + "content": "\\mathbf { g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 510, + 505, + 525 + ], + "score": 1.0, + "content": "in (1) by an average of stochastic gradients that are independently", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 307, + 535 + ], + "score": 1.0, + "content": "computed in parallel on separate workers (parallel", + "type": "text" + }, + { + "bbox": [ + 307, + 523, + 329, + 533 + ], + "score": 0.28, + "content": "S G D _ { \\ell }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "). This simple scheme has a major drawback:", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 533, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 506, + 545 + ], + "score": 1.0, + "content": "in each iteration the results of the computations on the workers have to be shared with the other", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 544, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 246, + 557 + ], + "score": 1.0, + "content": "workers to compute the next iterate", + "type": "text" + }, + { + "bbox": [ + 246, + 546, + 267, + 556 + ], + "score": 0.89, + "content": "\\mathbf { x } _ { t + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 544, + 506, + 557 + ], + "score": 1.0, + "content": ". Communication has been reported to be a major bottleneck", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 554, + 507, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 507, + 569 + ], + "score": 1.0, + "content": "for many large scale deep learning applications, see e.g. (Seide et al., 2014; Alistarh et al., 2017;", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 564, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 104, + 564, + 506, + 580 + ], + "score": 1.0, + "content": "Zhang et al., 2017; Lin et al., 2018b). Mini-batch parallel SGD addresses this issue by increasing", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 577, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 106, + 578, + 448, + 589 + ], + "score": 1.0, + "content": "the compute to communication ratio. 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Recent work in (You et al., 2017;", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 610, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 610, + 506, + 622 + ], + "score": 1.0, + "content": "Goyal et al., 2017) explores various limitations of this approach, as in general it is reported that", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 620, + 507, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 620, + 507, + 634 + ], + "score": 1.0, + "content": "performance degrades for too large mini-batch sizes (Keskar et al., 2016; Ma et al., 2018; Yin et al.,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 631, + 135, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 135, + 645 + ], + "score": 1.0, + "content": "2018).", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 649, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "In this work we follow an orthogonal approach, still with the goal to increase the compute to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "communication ratio: Instead of increasing the mini-batch size, we reduce the communication", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 671, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 505, + 684 + ], + "score": 1.0, + "content": "frequency. 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This scheme can easily be", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 510, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 212, + 525 + ], + "score": 1.0, + "content": "parallelized by replacing", + "type": "text" + }, + { + "bbox": [ + 212, + 513, + 223, + 523 + ], + "score": 0.84, + "content": "\\mathbf { g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 510, + 505, + 525 + ], + "score": 1.0, + "content": "in (1) by an average of stochastic gradients that are independently", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 307, + 535 + ], + "score": 1.0, + "content": "computed in parallel on separate workers (parallel", + "type": "text" + }, + { + "bbox": [ + 307, + 523, + 329, + 533 + ], + "score": 0.28, + "content": "S G D _ { \\ell }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "). 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Rather than keeping the sequences on different machines in sync, we allow them to evolve", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "score": 1.0, + "content": "locally on each machine, independent from each other, and only average the sequences once in a", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 691, + 507, + 706 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 507, + 706 + ], + "score": 1.0, + "content": "while (local SGD). Such strategies have been explored widely in the literature, under various names.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 648, + 507, + 706 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "score": 1.0, + "content": "An extreme instance of this concept is one-shot SGD (McDonald et al., 2009; Zinkevich et al., 2010)", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 719, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 506, + 734 + ], + "score": 1.0, + "content": "where the local sequences are only exchanged once, after the local runs have converged. Zhang", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 177, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 506, + 190 + ], + "score": 1.0, + "content": "et al. (2013) show statistical convergence (see also (Shamir & Srebro, 2014; Godichon-Baggioni &", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 187, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 505, + 201 + ], + "score": 1.0, + "content": "Saadane, 2017; Jain et al., 2018)), but the analysis restricts the algorithm to at most one pass over the", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 198, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 212 + ], + "score": 1.0, + "content": "data, which is in general not enough for the training error to converge. More practical are schemes", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 210, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 222 + ], + "score": 1.0, + "content": "that perform more frequent averaging of the parallel sequences, as e.g. (McDonald et al., 2010) for", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 221, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 104, + 221, + 506, + 234 + ], + "score": 1.0, + "content": "perceptron training (iterative parameter mixing), see also (Coppola, 2015), (Zhang et al., 2014; Bijral", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "score": 1.0, + "content": "et al., 2016; Zhang et al., 2016) for the training of deep neural networks (model averaging) or in", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 242, + 280, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 280, + 255 + ], + "score": 1.0, + "content": "federated learning (McMahan et al., 2017).", + "type": "text", + "cross_page": true + } + ], + "index": 11 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 710, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 117, + 62, + 488, + 135 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 117, + 62, + 488, + 135 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 117, + 62, + 488, + 135 + ], + "spans": [ + { + "bbox": [ + 117, + 62, + 488, + 135 + ], + "score": 0.96, + "type": "image", + "image_path": "ca01c479da1dcaf1bfb1091094f7af7ed3c1af6031dd438c1550f665a5e46f35.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 117, + 62, + 488, + 86.33333333333333 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 117, + 86.33333333333333, + 488, + 110.66666666666666 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 117, + 110.66666666666666, + 488, + 135.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 144, + 505, + 166 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "Figure 1: Illustration of the speedup (3) for time-to-accuracy when either increasing mini-batch size", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 154, + 488, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 155, + 113, + 165 + ], + "score": 0.5, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 154, + 117, + 167 + ], + "score": 1.0, + "content": "(", + "type": "text" + }, + { + "bbox": [ + 117, + 155, + 144, + 165 + ], + "score": 0.82, + "content": "\\hphantom { 0 } \\mathrm { ~ 1 ~ 2 ~ }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 154, + 258, + 167 + ], + "score": 1.0, + "content": ") or communication inverval", + "type": "text" + }, + { + "bbox": [ + 259, + 155, + 269, + 164 + ], + "score": 0.71, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 154, + 274, + 167 + ], + "score": 1.0, + "content": "(", + "type": "text" + }, + { + "bbox": [ + 274, + 155, + 302, + 165 + ], + "score": 0.82, + "content": "1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 154, + 455, + 167 + ], + "score": 1.0, + "content": "), for compute to communication ratio", + "type": "text" + }, + { + "bbox": [ + 455, + 155, + 484, + 166 + ], + "score": 0.91, + "content": "\\rho = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 154, + 488, + 167 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 176, + 505, + 254 + ], + "lines": [ + { + "bbox": [ + 105, + 177, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 506, + 190 + ], + "score": 1.0, + "content": "et al. (2013) show statistical convergence (see also (Shamir & Srebro, 2014; Godichon-Baggioni &", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 187, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 505, + 201 + ], + "score": 1.0, + "content": "Saadane, 2017; Jain et al., 2018)), but the analysis restricts the algorithm to at most one pass over the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 198, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 212 + ], + "score": 1.0, + "content": "data, which is in general not enough for the training error to converge. More practical are schemes", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 210, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 222 + ], + "score": 1.0, + "content": "that perform more frequent averaging of the parallel sequences, as e.g. (McDonald et al., 2010) for", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 221, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 104, + 221, + 506, + 234 + ], + "score": 1.0, + "content": "perceptron training (iterative parameter mixing), see also (Coppola, 2015), (Zhang et al., 2014; Bijral", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "score": 1.0, + "content": "et al., 2016; Zhang et al., 2016) for the training of deep neural networks (model averaging) or in", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 242, + 280, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 280, + 255 + ], + "score": 1.0, + "content": "federated learning (McMahan et al., 2017).", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 107, + 259, + 505, + 304 + ], + "lines": [ + { + "bbox": [ + 106, + 260, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 260, + 505, + 272 + ], + "score": 1.0, + "content": "The question of how often communication rounds need to be initiated has eluded a concise theoretical", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 271, + 505, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 505, + 283 + ], + "score": 1.0, + "content": "answer so far. Whilst there is practical evidence, the theory does not even resolve the question", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 282, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 505, + 294 + ], + "score": 1.0, + "content": "whether averaging helps when optimizing convex functions. Concretely, whether running local SGD", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 291, + 471, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 119, + 306 + ], + "score": 1.0, + "content": "on", + "type": "text" + }, + { + "bbox": [ + 119, + 293, + 129, + 303 + ], + "score": 0.83, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 291, + 174, + 306 + ], + "score": 1.0, + "content": "workers is", + "type": "text" + }, + { + "bbox": [ + 174, + 293, + 185, + 303 + ], + "score": 0.82, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 291, + 471, + 306 + ], + "score": 1.0, + "content": "times faster than running just a single instance of SGD on one worker.1", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 106, + 309, + 505, + 354 + ], + "lines": [ + { + "bbox": [ + 105, + 309, + 506, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 506, + 322 + ], + "score": 1.0, + "content": "We fill this gap in the literature and provide a concise convergence analysis of local SGD. We show", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 306, + 334 + ], + "score": 1.0, + "content": "that averaging helps. Frequent synchronization of", + "type": "text" + }, + { + "bbox": [ + 306, + 321, + 317, + 330 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 320, + 506, + 334 + ], + "score": 1.0, + "content": "local sequences increases the convergence rate", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 332, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 164, + 344 + ], + "score": 1.0, + "content": "by a factor of", + "type": "text" + }, + { + "bbox": [ + 165, + 332, + 175, + 342 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 332, + 505, + 344 + ], + "score": 1.0, + "content": ", i.e. a linear speedup can be attained. 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Equation (3) shows perfect linear speedup in terms of", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "score": 1.0, + "content": "computation, but with much less communication that mini-batch SGD. The resulting speedup when", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 577, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 589 + ], + "score": 1.0, + "content": "taking communication cost into account is illustrated in Figure 1 (see also Section D below). Under the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 588, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 505, + 600 + ], + "score": 1.0, + "content": "assumption that (3) is tight, one has thus now two strategies to improve the compute to communication", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 599, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 106, + 599, + 176, + 611 + ], + "score": 1.0, + "content": "ratio (denoted by", + "type": "text" + }, + { + "bbox": [ + 176, + 600, + 183, + 610 + ], + "score": 0.63, + "content": "\\rho \\mathrm { \\Sigma }", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 599, + 349, + 611 + ], + "score": 1.0, + "content": "): (i) either to increase the mini-batch size", + "type": "text" + }, + { + "bbox": [ + 350, + 599, + 356, + 609 + ], + "score": 0.74, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 599, + 505, + 611 + ], + "score": 1.0, + "content": "or (ii) to increase the communication", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 140, + 622 + ], + "score": 1.0, + "content": "interval", + "type": "text" + }, + { + "bbox": [ + 140, + 610, + 150, + 619 + ], + "score": 0.7, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 609, + 359, + 622 + ], + "score": 1.0, + "content": ". Both strategies give the same improvement when", + "type": "text" + }, + { + "bbox": [ + 360, + 610, + 365, + 619 + ], + "score": 0.7, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 609, + 384, + 622 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 384, + 610, + 394, + 619 + ], + "score": 0.81, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 609, + 506, + 622 + ], + "score": 1.0, + "content": "are small (linear speedup).", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 621, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 318, + 633 + ], + "score": 1.0, + "content": "Like mini-batch SGD that faces some limitations for", + "type": "text" + }, + { + "bbox": [ + 318, + 621, + 344, + 631 + ], + "score": 0.91, + "content": "b \\gg 1", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 621, + 506, + 633 + ], + "score": 1.0, + "content": "(as discussed in e.g. (Dekel et al., 2012;", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 631, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 297, + 644 + ], + "score": 1.0, + "content": "Ma et al., 2018; Yin et al., 2018)), the parameter", + "type": "text" + }, + { + "bbox": [ + 298, + 632, + 308, + 641 + ], + "score": 0.81, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 631, + 505, + 644 + ], + "score": 1.0, + "content": "cannot be chosen too large in local SGD. We give", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 643, + 258, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 258, + 655 + ], + "score": 1.0, + "content": "some pratical guidelines in Section 4.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 108, + 659, + 503, + 682 + ], + "lines": [ + { + "bbox": [ + 106, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "Our proof is simple and straightforward, and we imagine that—with slight modifications of the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 670, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 505, + 684 + ], + "score": 1.0, + "content": "proof—the technique can also be used to analyze other variants of SGD that evolve sequences on", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43.5 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 689, + 505, + 734 + ], + "lines": [ + { + "bbox": [ + 118, + 686, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 118, + 686, + 267, + 702 + ], + "score": 1.0, + "content": "1On convex functions, the average of the", + "type": "text" + }, + { + "bbox": [ + 268, + 690, + 277, + 698 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 686, + 506, + 702 + ], + "score": 1.0, + "content": "local solutions can of course only decrease the objective value,", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 698, + 362, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 304, + 711 + ], + "score": 1.0, + "content": "but convexity does not imply that the averaged point is", + "type": "text" + }, + { + "bbox": [ + 305, + 700, + 314, + 708 + ], + "score": 0.83, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 698, + 362, + 711 + ], + "score": 1.0, + "content": "times better.", + "type": "text" + } + ] + }, + { + "bbox": [ + 119, + 708, + 351, + 723 + ], + "spans": [ + { + "bbox": [ + 119, + 709, + 348, + 721 + ], + "score": 0.79, + "content": "\\begin{array} { r } { { \\mathbf \\xi } ^ { 2 } f ( { \\mathbf y } ) \\leq f ( { \\mathbf x } ) + \\langle \\nabla f ( { \\mathbf x } ) , { \\mathbf y } - 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Whilst there is practical evidence, the theory does not even resolve the question", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 282, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 505, + 294 + ], + "score": 1.0, + "content": "whether averaging helps when optimizing convex functions. 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We show", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 306, + 334 + ], + "score": 1.0, + "content": "that averaging helps. Frequent synchronization of", + "type": "text" + }, + { + "bbox": [ + 306, + 321, + 317, + 330 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 320, + 506, + 334 + ], + "score": 1.0, + "content": "local sequences increases the convergence rate", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 332, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 164, + 344 + ], + "score": 1.0, + "content": "by a factor of", + "type": "text" + }, + { + "bbox": [ + 165, + 332, + 175, + 342 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 332, + 505, + 344 + ], + "score": 1.0, + "content": ", i.e. a linear speedup can be attained. Thus, local SGD is as efficient as parallel", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 342, + 496, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 496, + 355 + ], + "score": 1.0, + "content": "mini-batch SGD in terms of computation, but the communication cost can be drastically reduced.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 309, + 506, + 355 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 366, + 204, + 378 + ], + "lines": [ + { + "bbox": [ + 106, + 366, + 205, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 205, + 379 + ], + "score": 1.0, + "content": "1.1 CONTRIBUTIONS", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 108, + 387, + 421, + 399 + ], + "lines": [ + { + "bbox": [ + 106, + 386, + 421, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 386, + 324, + 401 + ], + "score": 1.0, + "content": "We consider finite-sum convex optimization problems", + "type": "text" + }, + { + "bbox": [ + 324, + 387, + 373, + 399 + ], + "score": 0.92, + "content": "f \\colon { \\mathbb { R } ^ { d } } \\to { \\mathbb { R } }", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 386, + 421, + 401 + ], + "score": 1.0, + "content": "of the form", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21, + "bbox_fs": [ + 106, + 386, + 421, + 401 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 144, + 401, + 468, + 434 + ], + "lines": [ + { + "bbox": [ + 144, + 401, + 468, + 434 + ], + "spans": [ + { + "bbox": [ + 144, + 401, + 468, + 434 + ], + "score": 0.91, + "content": "f ( \\mathbf { x } ) = { \\frac { 1 } { n } } \\sum _ { i = 1 } ^ { n } f _ { i } ( \\mathbf { x } ) , \\qquad \\mathbf { x } ^ { * } : = \\arg \\operatorname* { m i n } _ { \\mathbf { x } \\in \\mathbb { R } ^ { d } } f ( \\mathbf { x } ) , \\qquad f ^ { \\star } : = f ( \\mathbf { x } ^ { \\star } ) ,", + "type": "interline_equation", + "image_path": "77db4a9531d499fa706bb1be3a18d6219ef2d6f4bafd325d282d6f4939e5930d.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 144, + 401, + 468, + 412.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 144, + 412.0, + 468, + 423.0 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 144, + 423.0, + 468, + 434.0 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 437, + 505, + 496 + ], + "lines": [ + { + "bbox": [ + 106, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 133, + 451 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 439, + 140, + 450 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 437, + 150, + 451 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 151, + 438, + 159, + 448 + ], + "score": 0.63, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 437, + 214, + 451 + ], + "score": 1.0, + "content": "-smooth2 and", + "type": "text" + }, + { + "bbox": [ + 214, + 439, + 221, + 450 + ], + "score": 0.81, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 437, + 349, + 451 + ], + "score": 1.0, + "content": "-strongly convex3. We consider", + "type": "text" + }, + { + "bbox": [ + 349, + 439, + 360, + 448 + ], + "score": 0.83, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "parallel mini-batch SGD sequences", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 448, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 192, + 462 + ], + "score": 1.0, + "content": "with mini-batch size", + "type": "text" + }, + { + "bbox": [ + 192, + 450, + 199, + 459 + ], + "score": 0.74, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 448, + 432, + 462 + ], + "score": 1.0, + "content": "that are synchronized (by averaging) after at most every", + "type": "text" + }, + { + "bbox": [ + 432, + 450, + 443, + 459 + ], + "score": 0.81, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 448, + 506, + 462 + ], + "score": 1.0, + "content": "iterations. For", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 320, + 473 + ], + "score": 1.0, + "content": "appropriate chosen stepsizes and an averaged iterate", + "type": "text" + }, + { + "bbox": [ + 320, + 460, + 334, + 471 + ], + "score": 0.9, + "content": "\\hat { \\mathbf { x } } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 460, + 356, + 473 + ], + "score": 1.0, + "content": "after", + "type": "text" + }, + { + "bbox": [ + 357, + 461, + 365, + 470 + ], + "score": 0.83, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 460, + 406, + 473 + ], + "score": 1.0, + "content": "steps (for", + "type": "text" + }, + { + "bbox": [ + 407, + 461, + 415, + 470 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "sufficiently large, see", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 470, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 506, + 484 + ], + "score": 1.0, + "content": "Section 3 below for the precise statement of the convergence result with bias and variance terms) and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 482, + 371, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 197, + 497 + ], + "score": 1.0, + "content": "synchronization delay", + "type": "text" + }, + { + "bbox": [ + 197, + 482, + 279, + 496 + ], + "score": 0.94, + "content": "H = O ( \\sqrt { T / ( K b ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 482, + 371, + 497 + ], + "score": 1.0, + "content": "we show convergence", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 437, + 506, + 497 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 239, + 498, + 371, + 526 + ], + "lines": [ + { + "bbox": [ + 239, + 498, + 371, + 526 + ], + "spans": [ + { + "bbox": [ + 239, + 498, + 371, + 526 + ], + "score": 0.94, + "content": "\\mathbb { E } f ( \\hat { \\mathbf { x } } _ { T } ) - f ^ { \\star } = O \\left( \\frac { G ^ { 2 } } { \\mu b K T } \\right) ,", + "type": "interline_equation", + "image_path": "e403cfb8d6ec40302410d88e9bd4f294e4ce25268661f8cd6da75510ea620edc.jpg" + } + ] + } + ], + "index": 30.5, + "virtual_lines": [ + { + "bbox": [ + 239, + 498, + 371, + 512.0 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 239, + 512.0, + 371, + 526.0 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 529, + 506, + 654 + ], + "lines": [ + { + "bbox": [ + 104, + 529, + 507, + 545 + ], + "spans": [ + { + "bbox": [ + 104, + 529, + 225, + 545 + ], + "score": 1.0, + "content": "with second moment bound", + "type": "text" + }, + { + "bbox": [ + 225, + 529, + 308, + 543 + ], + "score": 0.94, + "content": "G ^ { 2 } \\geq \\mathbb { E } \\left\\| \\nabla f _ { i } ( \\mathbf { x } ) \\right\\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 529, + 507, + 545 + ], + "score": 1.0, + "content": ". Thus, we see that compared to parallel mini-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 542, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 384, + 557 + ], + "score": 1.0, + "content": "batch SGD the communication rounds can be reduced by a factor", + "type": "text" + }, + { + "bbox": [ + 384, + 542, + 469, + 556 + ], + "score": 0.94, + "content": "H = O ( \\sqrt { T / ( K b ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 543, + 506, + 557 + ], + "score": 1.0, + "content": "without", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 554, + 506, + 568 + ], + "spans": [ + { + "bbox": [ + 104, + 554, + 506, + 568 + ], + "score": 1.0, + "content": "hampering the asymptotic convergence. Equation (3) shows perfect linear speedup in terms of", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "score": 1.0, + "content": "computation, but with much less communication that mini-batch SGD. The resulting speedup when", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 577, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 589 + ], + "score": 1.0, + "content": "taking communication cost into account is illustrated in Figure 1 (see also Section D below). Under the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 588, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 505, + 600 + ], + "score": 1.0, + "content": "assumption that (3) is tight, one has thus now two strategies to improve the compute to communication", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 599, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 106, + 599, + 176, + 611 + ], + "score": 1.0, + "content": "ratio (denoted by", + "type": "text" + }, + { + "bbox": [ + 176, + 600, + 183, + 610 + ], + "score": 0.63, + "content": "\\rho \\mathrm { \\Sigma }", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 599, + 349, + 611 + ], + "score": 1.0, + "content": "): (i) either to increase the mini-batch size", + "type": "text" + }, + { + "bbox": [ + 350, + 599, + 356, + 609 + ], + "score": 0.74, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 599, + 505, + 611 + ], + "score": 1.0, + "content": "or (ii) to increase the communication", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 140, + 622 + ], + "score": 1.0, + "content": "interval", + "type": "text" + }, + { + "bbox": [ + 140, + 610, + 150, + 619 + ], + "score": 0.7, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 609, + 359, + 622 + ], + "score": 1.0, + "content": ". Both strategies give the same improvement when", + "type": "text" + }, + { + "bbox": [ + 360, + 610, + 365, + 619 + ], + "score": 0.7, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 609, + 384, + 622 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 384, + 610, + 394, + 619 + ], + "score": 0.81, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 609, + 506, + 622 + ], + "score": 1.0, + "content": "are small (linear speedup).", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 621, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 318, + 633 + ], + "score": 1.0, + "content": "Like mini-batch SGD that faces some limitations for", + "type": "text" + }, + { + "bbox": [ + 318, + 621, + 344, + 631 + ], + "score": 0.91, + "content": "b \\gg 1", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 621, + 506, + 633 + ], + "score": 1.0, + "content": "(as discussed in e.g. (Dekel et al., 2012;", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 631, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 297, + 644 + ], + "score": 1.0, + "content": "Ma et al., 2018; Yin et al., 2018)), the parameter", + "type": "text" + }, + { + "bbox": [ + 298, + 632, + 308, + 641 + ], + "score": 0.81, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 631, + 505, + 644 + ], + "score": 1.0, + "content": "cannot be chosen too large in local SGD. We give", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 643, + 258, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 258, + 655 + ], + "score": 1.0, + "content": "some pratical guidelines in Section 4.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 37, + "bbox_fs": [ + 104, + 529, + 507, + 655 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 659, + 503, + 682 + ], + "lines": [ + { + "bbox": [ + 106, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "Our proof is simple and straightforward, and we imagine that—with slight modifications of the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 670, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 505, + 684 + ], + "score": 1.0, + "content": "proof—the technique can also be used to analyze other variants of SGD that evolve sequences on", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "different worker that are not perfectly synchronized. Although we do not yet provide convergence", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "guarantees for the non-convex setting, we feel that the positive results presented here will spark", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 471, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 471, + 118 + ], + "score": 1.0, + "content": "further investigation of local SGD for this important application (see e.g. (Yu et al., 2018)).", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 43.5, + "bbox_fs": [ + 105, + 659, + 505, + 684 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "different worker that are not perfectly synchronized. Although we do not yet provide convergence", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "guarantees for the non-convex setting, we feel that the positive results presented here will spark", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 471, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 471, + 118 + ], + "score": 1.0, + "content": "further investigation of local SGD for this important application (see e.g. (Yu et al., 2018)).", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "title", + "bbox": [ + 108, + 142, + 202, + 154 + ], + "lines": [ + { + "bbox": [ + 106, + 141, + 205, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 141, + 205, + 156 + ], + "score": 1.0, + "content": "1.2 RELATED WORK", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 169, + 505, + 268 + ], + "lines": [ + { + "bbox": [ + 106, + 169, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 505, + 181 + ], + "score": 1.0, + "content": "A parallel line of work reduces the communication cost by compressing the stochastic gradients before", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 180, + 505, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 505, + 193 + ], + "score": 1.0, + "content": "communication. For instance, by limiting the number of bits in the floating point representation (Gupta", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 191, + 506, + 204 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 506, + 204 + ], + "score": 1.0, + "content": "et al., 2015; Na et al., 2017; Sa et al., 2015), or random quantization (Alistarh et al., 2017; Wen", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 201, + 506, + 215 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 506, + 215 + ], + "score": 1.0, + "content": "et al., 2017). The ZipML framework applies this technique also to the data (Zhang et al., 2017).", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 213, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 106, + 213, + 506, + 226 + ], + "score": 1.0, + "content": "Sparsification methods reduce the number of non-zero entries in the stochastic gradient (Alistarh", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 223, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 104, + 223, + 506, + 238 + ], + "score": 1.0, + "content": "et al., 2017; Wangni et al., 2017). A very aggressive—and promising—sparsification method is to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 234, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 505, + 247 + ], + "score": 1.0, + "content": "keep only very few coordinates of the stochastic gradient by considering only the coordinates with", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "score": 1.0, + "content": "the largest magnitudes (Seide et al., 2014; Strom, 2015; Dryden et al., 2016; Aji & Heafield, 2017;", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 257, + 320, + 269 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 320, + 269 + ], + "score": 1.0, + "content": "Sun et al., 2017; Lin et al., 2018b; Stich et al., 2018).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 107, + 273, + 506, + 396 + ], + "lines": [ + { + "bbox": [ + 106, + 273, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 505, + 286 + ], + "score": 1.0, + "content": "Allowing asynchronous updates provides an alternative solution to disguise the communication", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 285, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 106, + 285, + 505, + 297 + ], + "score": 1.0, + "content": "overhead to a certain amount (Niu et al., 2011; Sa et al., 2015; Lian et al., 2015), though alter-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 296, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 296, + 505, + 308 + ], + "score": 1.0, + "content": "native strategies might be better when high accuracy is desired (Chen et al., 2016). The analysis", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 306, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 306, + 506, + 320 + ], + "score": 1.0, + "content": "of Agarwal & Duchi (2011) shows that asynchronous SGD on convex functions can tolerated delays", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 131, + 332 + ], + "score": 1.0, + "content": "up to", + "type": "text" + }, + { + "bbox": [ + 131, + 318, + 178, + 332 + ], + "score": 0.94, + "content": "O ( { \\sqrt { T / K } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 318, + 506, + 332 + ], + "score": 1.0, + "content": ", which is identical to the maximal length of the local sequences in local SGD.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 330, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 343 + ], + "score": 1.0, + "content": "Asynchronous SGD converges also for larger delays (see also (Zhou et al., 2018)) but without linear", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 340, + 507, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 507, + 354 + ], + "score": 1.0, + "content": "speedup, a similar statement holds for local SGD (see discussion in Section 3). The current frame-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 353, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 353, + 505, + 364 + ], + "score": 1.0, + "content": "works for the analysis of asynchronous SGD do not cover local SGD. A fundamental difference is", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 363, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 506, + 376 + ], + "score": 1.0, + "content": "that asynchronous SGD maintains a (almost) synchronized sequence and gradients are computed", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 374, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 386 + ], + "score": 1.0, + "content": "with respect this unique sequence (but just applied with delays), whereas each worker in local SGD", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 385, + 422, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 422, + 398 + ], + "score": 1.0, + "content": "evolves a different sequence and computes gradient with respect those iterates.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 401, + 505, + 502 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "For the training of deep neural networks, Bijral et al. 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The elastic averaging technique (Zhang et al., 2015) is different to local", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 434, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 506, + 448 + ], + "score": 1.0, + "content": "SGD, as it uses the average of the iterates only to guide the local sequences but does not perform a", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 444, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 104, + 444, + 506, + 460 + ], + "score": 1.0, + "content": "hard reset after averaging. 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Lin et al. (2018a) study empirically hierarchical variants of local SGD.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 507, + 506, + 595 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 293, + 519 + ], + "score": 1.0, + "content": "Local SGD with averaging in every step, i.e.", + "type": "text" + }, + { + "bbox": [ + 293, + 507, + 322, + 517 + ], + "score": 0.89, + "content": "H = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 507, + 506, + 519 + ], + "score": 1.0, + "content": ", is identical to mini-batch SGD. Dekel et al.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 515, + 508, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 515, + 222, + 533 + ], + "score": 1.0, + "content": "(2012) show that batch sizes", + "type": "text" + }, + { + "bbox": [ + 222, + 518, + 252, + 529 + ], + "score": 0.93, + "content": "b = T ^ { \\bar { \\delta } }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 515, + 270, + 533 + ], + "score": 1.0, + "content": ", for", + "type": "text" + }, + { + "bbox": [ + 270, + 518, + 311, + 531 + ], + "score": 0.93, + "content": "\\delta \\in ( 0 , \\frac { 1 } { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 515, + 508, + 533 + ], + "score": 1.0, + "content": "are asymptotically optimal for mini-batch SGD,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "however they also note that this asymptotic bound might be crude for practical purposes. Similar", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 541, + 504, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 493, + 553 + ], + "score": 1.0, + "content": "considerations might also apply to the asymptotic upper bounds on the communication frequency", + "type": "text" + }, + { + "bbox": [ + 494, + 541, + 504, + 550 + ], + "score": 0.67, + "content": "H", + "type": "inline_equation" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 551, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 352, + 563 + ], + "score": 1.0, + "content": "derived here. Local SGD with averaging only at the end, i.e.", + "type": "text" + }, + { + "bbox": [ + 353, + 551, + 384, + 561 + ], + "score": 0.9, + "content": "H = T", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 551, + 506, + 563 + ], + "score": 1.0, + "content": ", is identical to one-shot SGD.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 562, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 506, + 574 + ], + "score": 1.0, + "content": "Jain et al. (2018) give concise speedup results in terms of bias and variance for one-shot SGD with", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 573, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 573, + 506, + 587 + ], + "score": 1.0, + "content": "constant stepsizes for the optimization of quadratic least squares problems. In contrast, our upper", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 585, + 428, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 219, + 595 + ], + "score": 1.0, + "content": "bounds become loose when", + "type": "text" + }, + { + "bbox": [ + 219, + 585, + 252, + 594 + ], + "score": 0.9, + "content": "H T", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 585, + 428, + 595 + ], + "score": 1.0, + "content": "and our results do not cover one-shot SGD.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 108, + 601, + 504, + 634 + ], + "lines": [ + { + "bbox": [ + 106, + 601, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 505, + 613 + ], + "score": 1.0, + "content": "Recently, Woodworth et al. (2018) provided a lower bound for parallel stochastic optimization (in the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 613, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 624 + ], + "score": 1.0, + "content": "convex setting, and not for strongly convex functions as considered here). The bound is not known to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 623, + 200, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 200, + 634 + ], + "score": 1.0, + "content": "be tight for local SGD.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42 + }, + { + "type": "title", + "bbox": [ + 108, + 661, + 171, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 659, + 173, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 173, + 675 + ], + "score": 1.0, + "content": "1.3 OUTLINE", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 108, + 687, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "We formally introduce local SGD in Section 2 and sketch the convergence proof in Section 3. In", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 700, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 710 + ], + "score": 1.0, + "content": "Section 4 show numerical results to illustrate the result. We analyze asynchronous local SGD in", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "Section 5. 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For instance, by limiting the number of bits in the floating point representation (Gupta", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 191, + 506, + 204 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 506, + 204 + ], + "score": 1.0, + "content": "et al., 2015; Na et al., 2017; Sa et al., 2015), or random quantization (Alistarh et al., 2017; Wen", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 201, + 506, + 215 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 506, + 215 + ], + "score": 1.0, + "content": "et al., 2017). The ZipML framework applies this technique also to the data (Zhang et al., 2017).", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 213, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 106, + 213, + 506, + 226 + ], + "score": 1.0, + "content": "Sparsification methods reduce the number of non-zero entries in the stochastic gradient (Alistarh", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 223, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 104, + 223, + 506, + 238 + ], + "score": 1.0, + "content": "et al., 2017; Wangni et al., 2017). A very aggressive—and promising—sparsification method is to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 234, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 505, + 247 + ], + "score": 1.0, + "content": "keep only very few coordinates of the stochastic gradient by considering only the coordinates with", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "score": 1.0, + "content": "the largest magnitudes (Seide et al., 2014; Strom, 2015; Dryden et al., 2016; Aji & Heafield, 2017;", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 257, + 320, + 269 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 320, + 269 + ], + "score": 1.0, + "content": "Sun et al., 2017; Lin et al., 2018b; Stich et al., 2018).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 8, + "bbox_fs": [ + 104, + 169, + 506, + 269 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 273, + 506, + 396 + ], + "lines": [ + { + "bbox": [ + 106, + 273, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 505, + 286 + ], + "score": 1.0, + "content": "Allowing asynchronous updates provides an alternative solution to disguise the communication", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 285, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 106, + 285, + 505, + 297 + ], + "score": 1.0, + "content": "overhead to a certain amount (Niu et al., 2011; Sa et al., 2015; Lian et al., 2015), though alter-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 296, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 296, + 505, + 308 + ], + "score": 1.0, + "content": "native strategies might be better when high accuracy is desired (Chen et al., 2016). The analysis", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 306, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 306, + 506, + 320 + ], + "score": 1.0, + "content": "of Agarwal & Duchi (2011) shows that asynchronous SGD on convex functions can tolerated delays", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 131, + 332 + ], + "score": 1.0, + "content": "up to", + "type": "text" + }, + { + "bbox": [ + 131, + 318, + 178, + 332 + ], + "score": 0.94, + "content": "O ( { \\sqrt { T / K } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 318, + 506, + 332 + ], + "score": 1.0, + "content": ", which is identical to the maximal length of the local sequences in local SGD.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 330, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 343 + ], + "score": 1.0, + "content": "Asynchronous SGD converges also for larger delays (see also (Zhou et al., 2018)) but without linear", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 340, + 507, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 507, + 354 + ], + "score": 1.0, + "content": "speedup, a similar statement holds for local SGD (see discussion in Section 3). The current frame-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 353, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 353, + 505, + 364 + ], + "score": 1.0, + "content": "works for the analysis of asynchronous SGD do not cover local SGD. A fundamental difference is", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 363, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 506, + 376 + ], + "score": 1.0, + "content": "that asynchronous SGD maintains a (almost) synchronized sequence and gradients are computed", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 374, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 386 + ], + "score": 1.0, + "content": "with respect this unique sequence (but just applied with delays), whereas each worker in local SGD", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 385, + 422, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 422, + 398 + ], + "score": 1.0, + "content": "evolves a different sequence and computes gradient with respect those iterates.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 273, + 507, + 398 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 401, + 505, + 502 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "For the training of deep neural networks, Bijral et al. 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Lin et al. (2018a) study empirically hierarchical variants of local SGD.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28, + "bbox_fs": [ + 104, + 401, + 506, + 504 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 507, + 506, + 595 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 293, + 519 + ], + "score": 1.0, + "content": "Local SGD with averaging in every step, i.e.", + "type": "text" + }, + { + "bbox": [ + 293, + 507, + 322, + 517 + ], + "score": 0.89, + "content": "H = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 507, + 506, + 519 + ], + "score": 1.0, + "content": ", is identical to mini-batch SGD. Dekel et al.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 515, + 508, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 515, + 222, + 533 + ], + "score": 1.0, + "content": "(2012) show that batch sizes", + "type": "text" + }, + { + "bbox": [ + 222, + 518, + 252, + 529 + ], + "score": 0.93, + "content": "b = T ^ { \\bar { \\delta } }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 515, + 270, + 533 + ], + "score": 1.0, + "content": ", for", + "type": "text" + }, + { + "bbox": [ + 270, + 518, + 311, + 531 + ], + "score": 0.93, + "content": "\\delta \\in ( 0 , \\frac { 1 } { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 515, + 508, + 533 + ], + "score": 1.0, + "content": "are asymptotically optimal for mini-batch SGD,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "however they also note that this asymptotic bound might be crude for practical purposes. Similar", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 541, + 504, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 493, + 553 + ], + "score": 1.0, + "content": "considerations might also apply to the asymptotic upper bounds on the communication frequency", + "type": "text" + }, + { + "bbox": [ + 494, + 541, + 504, + 550 + ], + "score": 0.67, + "content": "H", + "type": "inline_equation" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 551, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 352, + 563 + ], + "score": 1.0, + "content": "derived here. Local SGD with averaging only at the end, i.e.", + "type": "text" + }, + { + "bbox": [ + 353, + 551, + 384, + 561 + ], + "score": 0.9, + "content": "H = T", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 551, + 506, + 563 + ], + "score": 1.0, + "content": ", is identical to one-shot SGD.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 562, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 506, + 574 + ], + "score": 1.0, + "content": "Jain et al. (2018) give concise speedup results in terms of bias and variance for one-shot SGD with", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 573, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 573, + 506, + 587 + ], + "score": 1.0, + "content": "constant stepsizes for the optimization of quadratic least squares problems. 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If", + "type": "text" + }, + { + "bbox": [ + 426, + 361, + 467, + 373 + ], + "score": 0.93, + "content": "\\mathcal { T } _ { T } = [ T ]", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 359, + 506, + 375 + ], + "score": 1.0, + "content": "then the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 372, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 506, + 384 + ], + "score": 1.0, + "content": "synchronization of the sequences is performed every iteration. In this case, (4) amounts to parallel or", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 381, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 259, + 396 + ], + "score": 1.0, + "content": "mini-batch SGD with mini-batch size", + "type": "text" + }, + { + "bbox": [ + 259, + 383, + 270, + 393 + ], + "score": 0.82, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 381, + 376, + 396 + ], + "score": 1.0, + "content": ".4 On the other extreme, if", + "type": "text" + }, + { + "bbox": [ + 376, + 383, + 420, + 395 + ], + "score": 0.93, + "content": "{ \\mathcal { T } } _ { T } = \\{ T \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 381, + 505, + 396 + ], + "score": 1.0, + "content": ", the synchronization", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 393, + 364, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 364, + 408 + ], + "score": 1.0, + "content": "only happens at the end, which is known as one-shot averaging.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 105, + 410, + 504, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "score": 1.0, + "content": "In order to measure the longest interval between subsequent synchronization steps, we introduce the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 421, + 203, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 123, + 434 + ], + "score": 0.49, + "content": "{ g a p }", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 421, + 203, + 434 + ], + "score": 1.0, + "content": "of a set of integers.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 104, + 436, + 504, + 461 + ], + "lines": [ + { + "bbox": [ + 104, + 434, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 104, + 434, + 268, + 450 + ], + "score": 1.0, + "content": "Definition 2.1 (gap). The gap of a set", + "type": "text" + }, + { + "bbox": [ + 269, + 437, + 347, + 448 + ], + "score": 0.89, + "content": "\\mathcal { P } : = \\{ p _ { 0 } , . . . , p _ { t } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 434, + 361, + 450 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 361, + 437, + 384, + 447 + ], + "score": 0.78, + "content": "t + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 434, + 424, + 450 + ], + "score": 1.0, + "content": "integers,", + "type": "text" + }, + { + "bbox": [ + 424, + 438, + 469, + 449 + ], + "score": 0.87, + "content": "p _ { i } \\ \\leq \\ p _ { i + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 434, + 487, + 450 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 487, + 437, + 505, + 448 + ], + "score": 0.84, + "content": "i =", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 107, + 446, + 357, + 461 + ], + "spans": [ + { + "bbox": [ + 107, + 448, + 155, + 459 + ], + "score": 0.91, + "content": "0 , \\ldots , t - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 446, + 212, + 461 + ], + "score": 1.0, + "content": ", is defined as", + "type": "text" + }, + { + "bbox": [ + 212, + 448, + 352, + 460 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\operatorname { g a p } ( \\mathcal { P } ) : = \\operatorname* { m a x } _ { i = 1 , \\dots , t } ( p _ { i } - p _ { i - 1 } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 446, + 357, + 461 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + }, + { + "type": "title", + "bbox": [ + 107, + 472, + 297, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 472, + 298, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 298, + 485 + ], + "score": 1.0, + "content": "2.1 VARIANCE REDUCTION IN LOCAL SGD", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 492, + 442, + 505 + ], + "lines": [ + { + "bbox": [ + 104, + 491, + 444, + 507 + ], + "spans": [ + { + "bbox": [ + 104, + 491, + 444, + 507 + ], + "score": 1.0, + "content": "Before jumping to the convergence result, we first discuss an important observation.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 106, + 518, + 505, + 582 + ], + "lines": [ + { + "bbox": [ + 104, + 516, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 517, + 352, + 533 + ], + "score": 1.0, + "content": "Parallel (mini-batch) SGD. For carefully chosen stepsizes", + "type": "text" + }, + { + "bbox": [ + 352, + 522, + 362, + 531 + ], + "score": 0.82, + "content": "\\eta _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 517, + 457, + 533 + ], + "score": 1.0, + "content": ", SGD converges at rate", + "type": "text" + }, + { + "bbox": [ + 458, + 516, + 491, + 532 + ], + "score": 0.93, + "content": "\\textstyle { \\mathcal { O } } { \\bigl ( } { \\frac { \\sigma ^ { 2 } } { T } } { \\bigr ) } ^ { 5 }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 517, + 506, + 533 + ], + "score": 1.0, + "content": "on", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 530, + 504, + 546 + ], + "spans": [ + { + "bbox": [ + 104, + 530, + 260, + 546 + ], + "score": 1.0, + "content": "strongly convex and smooth functions", + "type": "text" + }, + { + "bbox": [ + 260, + 533, + 267, + 544 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 530, + 298, + 546 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 298, + 532, + 428, + 546 + ], + "score": 0.93, + "content": "\\sigma ^ { 2 } \\geq \\mathbb { E } \\| \\nabla f _ { i _ { t } ^ { k } } ( { \\mathbf x } _ { t } ^ { k } ) - \\nabla f ( { \\mathbf x } _ { t } ^ { k } ) \\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 530, + 444, + 546 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 444, + 533, + 504, + 545 + ], + "score": 0.91, + "content": "t > 0 , k \\in [ K ]", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 545, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 452, + 557 + ], + "score": 1.0, + "content": "is an upper bound on the variance, see for instance (Zhao & Zhang, 2015). By averaging", + "type": "text" + }, + { + "bbox": [ + 453, + 545, + 463, + 555 + ], + "score": 0.82, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 545, + 505, + 557 + ], + "score": 1.0, + "content": "stochastic", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 555, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 555, + 404, + 568 + ], + "score": 1.0, + "content": "gradients—such as in parallel SGD—the variance decreases by a factor of", + "type": "text" + }, + { + "bbox": [ + 404, + 556, + 414, + 565 + ], + "score": 0.82, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 555, + 505, + 568 + ], + "score": 1.0, + "content": ", and we conclude that", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 567, + 397, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 237, + 583 + ], + "score": 1.0, + "content": "parallel SGD converges at a rate", + "type": "text" + }, + { + "bbox": [ + 238, + 567, + 271, + 582 + ], + "score": 0.94, + "content": "\\textstyle { \\mathcal { O } } { \\bigl ( } { \\frac { \\sigma ^ { 2 } } { T K } } { \\bigr ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 567, + 397, + 583 + ], + "score": 1.0, + "content": ", i.e. achieves a linear speedup.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 592, + 506, + 630 + ], + "lines": [ + { + "bbox": [ + 106, + 591, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 506, + 605 + ], + "score": 1.0, + "content": "Towards local SGD. For local SGD such a simple argument is elusive. For instance, just capitaliz-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 603, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 274, + 616 + ], + "score": 1.0, + "content": "ing the convexity of the objective function", + "type": "text" + }, + { + "bbox": [ + 275, + 604, + 281, + 615 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 603, + 506, + 616 + ], + "score": 1.0, + "content": "is not enough: this will show that the averaged iterate of", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 614, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 107, + 617, + 117, + 627 + ], + "score": 0.75, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 615, + 304, + 631 + ], + "score": 1.0, + "content": "independent SGD sequences converges at rate", + "type": "text" + }, + { + "bbox": [ + 304, + 614, + 333, + 630 + ], + "score": 0.93, + "content": "\\textstyle { \\mathcal { O } } { \\bigl ( } { \\frac { \\sigma ^ { 2 } } { T } } { \\bigr ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 615, + 505, + 631 + ], + "score": 1.0, + "content": ", i.e. no speedup can be shown in this way.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 692 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 406, + 648 + ], + "score": 1.0, + "content": "This indicates that one has to show that local SGD decreases the variance", + "type": "text" + }, + { + "bbox": [ + 406, + 635, + 418, + 645 + ], + "score": 0.88, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 635, + 505, + 648 + ], + "score": 1.0, + "content": "instead, similar as in", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 645, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 291, + 659 + ], + "score": 1.0, + "content": "parallel SGD. Suppose the different sequences", + "type": "text" + }, + { + "bbox": [ + 291, + 646, + 303, + 658 + ], + "score": 0.89, + "content": "\\mathbf { x } _ { t } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 645, + 506, + 659 + ], + "score": 1.0, + "content": "evolve close to each other. 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Then local SGD evolves the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 302, + 274, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 150, + 317 + ], + "score": 1.0, + "content": "sequences", + "type": "text" + }, + { + "bbox": [ + 150, + 304, + 185, + 316 + ], + "score": 0.92, + "content": "\\bar { \\{ \\mathbf { x } _ { t } ^ { k } \\} } _ { t = 0 } ^ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 302, + 274, + 317 + ], + "score": 1.0, + "content": "in the following way:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15, + "bbox_fs": [ + 104, + 256, + 508, + 317 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 190, + 321, + 419, + 355 + ], + "lines": [ + { + "bbox": [ + 190, + 321, + 419, + 355 + ], + "spans": [ + { + "bbox": [ + 190, + 321, + 419, + 355 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mathbf { x } _ { t + 1 } ^ { k } : = \\left\\{ \\begin{array} { l l } { \\mathbf { x } _ { t } ^ { k } - \\eta _ { t } \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) , } & { \\mathrm { i f ~ } t + 1 \\not \\in \\mathbb { Z } _ { T } } \\\\ { \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\bigl ( \\mathbf { x } _ { t } ^ { k } - \\eta _ { t } \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) \\bigr ) } & { \\mathrm { i f ~ } t + 1 \\in \\mathbb { Z } _ { T } } \\end{array} \\right. } \\end{array}", + "type": "interline_equation", + "image_path": "4adf6d8f7a59e36c6df24e65e2838841c25724b900653dc7d6a6badd7bc92241.jpg" + } + ] + } + ], + "index": 18.5, + "virtual_lines": [ + { + "bbox": [ + 190, + 321, + 419, + 338.0 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 190, + 338.0, + 419, + 355.0 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 360, + 505, + 406 + ], + "lines": [ + { + "bbox": [ + 105, + 359, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 166, + 375 + ], + "score": 1.0, + "content": "where indices", + "type": "text" + }, + { + "bbox": [ + 166, + 360, + 204, + 373 + ], + "score": 0.65, + "content": "i _ { t } ^ { k } \\sim _ { \\mathrm { u . a . r } }", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 359, + 210, + 375 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 210, + 360, + 222, + 373 + ], + "score": 0.63, + "content": "[ n ]", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 359, + 242, + 375 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 243, + 360, + 276, + 374 + ], + "score": 0.93, + "content": "\\{ \\eta _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 359, + 425, + 375 + ], + "score": 1.0, + "content": "denotes a sequence of stepsizes. If", + "type": "text" + }, + { + "bbox": [ + 426, + 361, + 467, + 373 + ], + "score": 0.93, + "content": "\\mathcal { T } _ { T } = [ T ]", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 359, + 506, + 375 + ], + "score": 1.0, + "content": "then the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 372, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 506, + 384 + ], + "score": 1.0, + "content": "synchronization of the sequences is performed every iteration. In this case, (4) amounts to parallel or", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 381, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 259, + 396 + ], + "score": 1.0, + "content": "mini-batch SGD with mini-batch size", + "type": "text" + }, + { + "bbox": [ + 259, + 383, + 270, + 393 + ], + "score": 0.82, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 381, + 376, + 396 + ], + "score": 1.0, + "content": ".4 On the other extreme, if", + "type": "text" + }, + { + "bbox": [ + 376, + 383, + 420, + 395 + ], + "score": 0.93, + "content": "{ \\mathcal { T } } _ { T } = \\{ T \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 381, + 505, + 396 + ], + "score": 1.0, + "content": ", the synchronization", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 393, + 364, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 364, + 408 + ], + "score": 1.0, + "content": "only happens at the end, which is known as one-shot averaging.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 359, + 506, + 408 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 410, + 504, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "score": 1.0, + "content": "In order to measure the longest interval between subsequent synchronization steps, we introduce the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 421, + 203, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 123, + 434 + ], + "score": 0.49, + "content": "{ g a p }", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 421, + 203, + 434 + ], + "score": 1.0, + "content": "of a set of integers.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 410, + 505, + 434 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 436, + 504, + 461 + ], + "lines": [ + { + "bbox": [ + 104, + 434, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 104, + 434, + 268, + 450 + ], + "score": 1.0, + "content": "Definition 2.1 (gap). The gap of a set", + "type": "text" + }, + { + "bbox": [ + 269, + 437, + 347, + 448 + ], + "score": 0.89, + "content": "\\mathcal { P } : = \\{ p _ { 0 } , . . . , p _ { t } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 434, + 361, + 450 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 361, + 437, + 384, + 447 + ], + "score": 0.78, + "content": "t + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 434, + 424, + 450 + ], + "score": 1.0, + "content": "integers,", + "type": "text" + }, + { + "bbox": [ + 424, + 438, + 469, + 449 + ], + "score": 0.87, + "content": "p _ { i } \\ \\leq \\ p _ { i + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 434, + 487, + 450 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 487, + 437, + 505, + 448 + ], + "score": 0.84, + "content": "i =", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 107, + 446, + 357, + 461 + ], + "spans": [ + { + "bbox": [ + 107, + 448, + 155, + 459 + ], + "score": 0.91, + "content": "0 , \\ldots , t - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 446, + 212, + 461 + ], + "score": 1.0, + "content": ", is defined as", + "type": "text" + }, + { + "bbox": [ + 212, + 448, + 352, + 460 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\operatorname { g a p } ( \\mathcal { P } ) : = \\operatorname* { m a x } _ { i = 1 , \\dots , t } ( p _ { i } - p _ { i - 1 } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 446, + 357, + 461 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5, + "bbox_fs": [ + 104, + 434, + 505, + 461 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 472, + 297, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 472, + 298, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 298, + 485 + ], + "score": 1.0, + "content": "2.1 VARIANCE REDUCTION IN LOCAL SGD", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 492, + 442, + 505 + ], + "lines": [ + { + "bbox": [ + 104, + 491, + 444, + 507 + ], + "spans": [ + { + "bbox": [ + 104, + 491, + 444, + 507 + ], + "score": 1.0, + "content": "Before jumping to the convergence result, we first discuss an important observation.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29, + "bbox_fs": [ + 104, + 491, + 444, + 507 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 518, + 505, + 582 + ], + "lines": [ + { + "bbox": [ + 104, + 516, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 517, + 352, + 533 + ], + "score": 1.0, + "content": "Parallel (mini-batch) SGD. For carefully chosen stepsizes", + "type": "text" + }, + { + "bbox": [ + 352, + 522, + 362, + 531 + ], + "score": 0.82, + "content": "\\eta _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 517, + 457, + 533 + ], + "score": 1.0, + "content": ", SGD converges at rate", + "type": "text" + }, + { + "bbox": [ + 458, + 516, + 491, + 532 + ], + "score": 0.93, + "content": "\\textstyle { \\mathcal { O } } { \\bigl ( } { \\frac { \\sigma ^ { 2 } } { T } } { \\bigr ) } ^ { 5 }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 517, + 506, + 533 + ], + "score": 1.0, + "content": "on", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 530, + 504, + 546 + ], + "spans": [ + { + "bbox": [ + 104, + 530, + 260, + 546 + ], + "score": 1.0, + "content": "strongly convex and smooth functions", + "type": "text" + }, + { + "bbox": [ + 260, + 533, + 267, + 544 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 530, + 298, + 546 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 298, + 532, + 428, + 546 + ], + "score": 0.93, + "content": "\\sigma ^ { 2 } \\geq \\mathbb { E } \\| \\nabla f _ { i _ { t } ^ { k } } ( { \\mathbf x } _ { t } ^ { k } ) - \\nabla f ( { \\mathbf x } _ { t } ^ { k } ) \\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 530, + 444, + 546 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 444, + 533, + 504, + 545 + ], + "score": 0.91, + "content": "t > 0 , k \\in [ K ]", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 545, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 452, + 557 + ], + "score": 1.0, + "content": "is an upper bound on the variance, see for instance (Zhao & Zhang, 2015). By averaging", + "type": "text" + }, + { + "bbox": [ + 453, + 545, + 463, + 555 + ], + "score": 0.82, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 545, + 505, + 557 + ], + "score": 1.0, + "content": "stochastic", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 555, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 555, + 404, + 568 + ], + "score": 1.0, + "content": "gradients—such as in parallel SGD—the variance decreases by a factor of", + "type": "text" + }, + { + "bbox": [ + 404, + 556, + 414, + 565 + ], + "score": 0.82, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 555, + 505, + 568 + ], + "score": 1.0, + "content": ", and we conclude that", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 567, + 397, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 237, + 583 + ], + "score": 1.0, + "content": "parallel SGD converges at a rate", + "type": "text" + }, + { + "bbox": [ + 238, + 567, + 271, + 582 + ], + "score": 0.94, + "content": "\\textstyle { \\mathcal { O } } { \\bigl ( } { \\frac { \\sigma ^ { 2 } } { T K } } { \\bigr ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 567, + 397, + 583 + ], + "score": 1.0, + "content": ", i.e. achieves a linear speedup.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32, + "bbox_fs": [ + 104, + 516, + 506, + 583 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 592, + 506, + 630 + ], + "lines": [ + { + "bbox": [ + 106, + 591, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 506, + 605 + ], + "score": 1.0, + "content": "Towards local SGD. For local SGD such a simple argument is elusive. For instance, just capitaliz-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 603, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 274, + 616 + ], + "score": 1.0, + "content": "ing the convexity of the objective function", + "type": "text" + }, + { + "bbox": [ + 275, + 604, + 281, + 615 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 603, + 506, + 616 + ], + "score": 1.0, + "content": "is not enough: this will show that the averaged iterate of", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 614, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 107, + 617, + 117, + 627 + ], + "score": 0.75, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 615, + 304, + 631 + ], + "score": 1.0, + "content": "independent SGD sequences converges at rate", + "type": "text" + }, + { + "bbox": [ + 304, + 614, + 333, + 630 + ], + "score": 0.93, + "content": "\\textstyle { \\mathcal { O } } { \\bigl ( } { \\frac { \\sigma ^ { 2 } } { T } } { \\bigr ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 615, + 505, + 631 + ], + "score": 1.0, + "content": ", i.e. no speedup can be shown in this way.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 591, + 506, + 631 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 692 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 406, + 648 + ], + "score": 1.0, + "content": "This indicates that one has to show that local SGD decreases the variance", + "type": "text" + }, + { + "bbox": [ + 406, + 635, + 418, + 645 + ], + "score": 0.88, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 635, + 505, + 648 + ], + "score": 1.0, + "content": "instead, similar as in", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 645, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 291, + 659 + ], + "score": 1.0, + "content": "parallel SGD. Suppose the different sequences", + "type": "text" + }, + { + "bbox": [ + 291, + 646, + 303, + 658 + ], + "score": 0.89, + "content": "\\mathbf { x } _ { t } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 645, + 506, + 659 + ], + "score": 1.0, + "content": "evolve close to each other. Then it is reasonable to", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 657, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 296, + 670 + ], + "score": 1.0, + "content": "assume that averaging the stochastic gradients", + "type": "text" + }, + { + "bbox": [ + 296, + 657, + 336, + 671 + ], + "score": 0.93, + "content": "\\dot { \\nabla } f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 657, + 365, + 670 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 365, + 657, + 399, + 669 + ], + "score": 0.92, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 657, + 505, + 670 + ], + "score": 1.0, + "content": "can still yield a reduction", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 669, + 504, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 226, + 681 + ], + "score": 1.0, + "content": "in the variance by a factor of", + "type": "text" + }, + { + "bbox": [ + 226, + 670, + 236, + 680 + ], + "score": 0.8, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 669, + 504, + 681 + ], + "score": 1.0, + "content": "—similar as in parallel SGD. Indeed, we will make this statement", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 681, + 214, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 214, + 693 + ], + "score": 1.0, + "content": "precise in the proof below.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 635, + 506, + 693 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 82, + 311, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 312, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 312, + 96 + ], + "score": 1.0, + "content": "2.2 CONVERGENCE RESULT AND DISCUSSION", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 105, + 100, + 507, + 157 + ], + "lines": [ + { + "bbox": [ + 105, + 100, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 189, + 117 + ], + "score": 1.0, + "content": "Theorem 2.2. Let", + "type": "text" + }, + { + "bbox": [ + 189, + 103, + 196, + 115 + ], + "score": 0.82, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 100, + 214, + 117 + ], + "score": 1.0, + "content": "be", + "type": "text" + }, + { + "bbox": [ + 214, + 104, + 222, + 113 + ], + "score": 0.76, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 100, + 279, + 117 + ], + "score": 1.0, + "content": "-smooth and", + "type": "text" + }, + { + "bbox": [ + 279, + 105, + 286, + 115 + ], + "score": 0.77, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 100, + 361, + 117 + ], + "score": 1.0, + "content": "-strongly convex,", + "type": "text" + }, + { + "bbox": [ + 361, + 100, + 503, + 116 + ], + "score": 0.92, + "content": "\\mathbb { E } _ { i } \\left\\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right\\| ^ { 2 } \\ \\leq \\ \\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 100, + 506, + 117 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 114, + 507, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 196, + 131 + ], + "score": 0.93, + "content": "\\mathbb { E } _ { i } \\left\\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) \\right\\| ^ { 2 } \\leq G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 114, + 214, + 135 + ], + "score": 1.0, + "content": ", for", + "type": "text" + }, + { + "bbox": [ + 214, + 118, + 284, + 130 + ], + "score": 0.91, + "content": "t = 0 , \\dots , T - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 114, + 316, + 135 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 316, + 117, + 352, + 131 + ], + "score": 0.88, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t = 0 } ^ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 114, + 367, + 135 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 367, + 118, + 401, + 130 + ], + "score": 0.85, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 114, + 507, + 135 + ], + "score": 1.0, + "content": "are generated according", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 102, + 127, + 507, + 150 + ], + "spans": [ + { + "bbox": [ + 102, + 127, + 150, + 150 + ], + "score": 1.0, + "content": "to (4) with", + "type": "text" + }, + { + "bbox": [ + 150, + 131, + 208, + 143 + ], + "score": 0.91, + "content": "\\mathrm { g a p } ( \\mathcal { T } _ { T } ) \\leq H", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 127, + 277, + 150 + ], + "score": 1.0, + "content": "and for stepsizes", + "type": "text" + }, + { + "bbox": [ + 278, + 130, + 327, + 146 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\eta _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 127, + 410, + 150 + ], + "score": 1.0, + "content": "with shift parameter", + "type": "text" + }, + { + "bbox": [ + 410, + 131, + 488, + 143 + ], + "score": 0.91, + "content": "a > \\operatorname* { m a x } \\{ 1 6 \\kappa , H \\} ,", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 127, + 507, + 150 + ], + "score": 1.0, + "content": ", for", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 107, + 143, + 163, + 160 + ], + "spans": [ + { + "bbox": [ + 107, + 144, + 134, + 160 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\kappa = \\frac { L } { \\mu } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 143, + 163, + 159 + ], + "score": 1.0, + "content": ". Then", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "interline_equation", + "bbox": [ + 159, + 155, + 451, + 182 + ], + "lines": [ + { + "bbox": [ + 159, + 155, + 451, + 182 + ], + "spans": [ + { + "bbox": [ + 159, + 155, + 451, + 182 + ], + "score": 0.94, + "content": "\\mathbb { E } f ( \\hat { { \\bf x } } _ { T } ) - f ^ { \\star } \\le \\frac { \\mu a ^ { 3 } } { 2 S _ { T } } \\left. { \\bf x } _ { 0 } - { \\bf x } ^ { \\star } \\right. ^ { 2 } + \\frac { 4 T ( T + 2 a ) } { \\mu K S _ { T } } \\sigma ^ { 2 } + \\frac { 2 5 6 T } { \\mu ^ { 2 } S _ { T } } G ^ { 2 } H ^ { 2 } L ,", + "type": "interline_equation", + "image_path": "83dd0c4ae421f0aed660edc990fc0afc4a0f0a79818cdde083e3172787fa445a.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 159, + 155, + 451, + 182 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 185, + 454, + 202 + ], + "lines": [ + { + "bbox": [ + 101, + 179, + 451, + 206 + ], + "spans": [ + { + "bbox": [ + 101, + 179, + 133, + 206 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 185, + 259, + 202 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\hat { \\mathbf { x } } _ { T } = \\frac { 1 } { K S _ { T } } \\sum _ { k = 1 } ^ { K } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\mathbf { x } _ { t } ^ { k } , } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 179, + 276, + 206 + ], + "score": 1.0, + "content": ", for", + "type": "text" + }, + { + "bbox": [ + 277, + 187, + 335, + 200 + ], + "score": 0.92, + "content": "w _ { t } = ( a + t ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 179, + 354, + 206 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 354, + 185, + 451, + 201 + ], + "score": 0.89, + "content": "\\begin{array} { r } { S _ { T } = \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\geq \\frac { 1 } { 3 } T ^ { 3 } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 209, + 505, + 232 + ], + "lines": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "We were not especially careful to optimize the constants (and the lower order terms) in (5), so we", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 221, + 234, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 234, + 232 + ], + "score": 1.0, + "content": "now state the asymptotic result.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 105, + 234, + 493, + 246 + ], + "lines": [ + { + "bbox": [ + 106, + 232, + 494, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 185, + 248 + ], + "score": 1.0, + "content": "Corollary 2.3. Let", + "type": "text" + }, + { + "bbox": [ + 185, + 235, + 199, + 246 + ], + "score": 0.84, + "content": "\\hat { \\mathbf { x } } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 232, + 389, + 248 + ], + "score": 1.0, + "content": "be as defined as in Theorem 2.2, for parameter", + "type": "text" + }, + { + "bbox": [ + 389, + 234, + 467, + 246 + ], + "score": 0.92, + "content": "a = \\mathrm { m a x } \\{ 1 6 \\kappa , H \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 232, + 494, + 248 + ], + "score": 1.0, + "content": ". Then", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "interline_equation", + "bbox": [ + 153, + 250, + 456, + 278 + ], + "lines": [ + { + "bbox": [ + 153, + 250, + 456, + 278 + ], + "spans": [ + { + "bbox": [ + 153, + 250, + 456, + 278 + ], + "score": 0.94, + "content": "\\mathbb { E } f \\big ( \\hat { \\mathbf { x } } _ { T } \\big ) - f ^ { \\star } = O \\left( \\frac { 1 } { \\mu K T } + \\frac { \\kappa + H } { \\mu K T ^ { 2 } } \\right) \\sigma ^ { 2 } + O \\left( \\frac { \\kappa H ^ { 2 } } { \\mu T ^ { 2 } } + \\frac { \\kappa ^ { 3 } + H ^ { 3 } } { \\mu T ^ { 3 } } \\right) G ^ { 2 } .", + "type": "interline_equation", + "image_path": "0482638fcfff3c4170d02838f378493ee51ec338a62a79d8c97fa0b638efb85e.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 153, + 250, + 456, + 278 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 286, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 105, + 286, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 225, + 300 + ], + "score": 1.0, + "content": "For the last estimate we used", + "type": "text" + }, + { + "bbox": [ + 225, + 287, + 312, + 299 + ], + "score": 0.93, + "content": "\\mathbb { E } \\mu \\left\\| \\mathbf { x } _ { 0 } - \\mathbf { x } ^ { \\star } \\right\\| \\leq 2 G", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 286, + 327, + 300 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 327, + 289, + 335, + 299 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 286, + 403, + 300 + ], + "score": 1.0, + "content": "-strongly convex", + "type": "text" + }, + { + "bbox": [ + 403, + 288, + 410, + 299 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 286, + 505, + 300 + ], + "score": 1.0, + "content": ", as derived in (Rakhlin", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 297, + 202, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 202, + 310 + ], + "score": 1.0, + "content": "et al., 2012, Lemma 2).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 106, + 312, + 505, + 360 + ], + "lines": [ + { + "bbox": [ + 105, + 311, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 326 + ], + "score": 1.0, + "content": "Remark 2.4 (Mini-batch local SGD). So far, we assumed that each worker only computes a single", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "stochastic gradient. In mini-batch local SGD, each worker computes a mini-batch of size b in each", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 334, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 309, + 348 + ], + "score": 1.0, + "content": "iteration. This reduces the variance by a factor of", + "type": "text" + }, + { + "bbox": [ + 309, + 335, + 315, + 344 + ], + "score": 0.44, + "content": "b _ { : }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 334, + 505, + 348 + ], + "score": 1.0, + "content": ", and thus Theorem (2.2) gives the convergence", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 345, + 333, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 248, + 361 + ], + "score": 1.0, + "content": "rate of mini-batch local SGD when", + "type": "text" + }, + { + "bbox": [ + 249, + 347, + 260, + 357 + ], + "score": 0.86, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 346, + 320, + 361 + ], + "score": 1.0, + "content": "is replaced by", + "type": "text" + }, + { + "bbox": [ + 320, + 345, + 331, + 361 + ], + "score": 0.9, + "content": "\\frac { \\sigma ^ { 2 } } { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 346, + 333, + 361 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 106, + 367, + 505, + 391 + ], + "lines": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "We now state some consequences of equation (6). For the ease of the exposition we omit the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 378, + 493, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 169, + 392 + ], + "score": 1.0, + "content": "dependency on", + "type": "text" + }, + { + "bbox": [ + 169, + 378, + 203, + 390 + ], + "score": 0.59, + "content": "L , \\mu , \\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 378, + 221, + 392 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 222, + 378, + 235, + 389 + ], + "score": 0.88, + "content": "G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 378, + 484, + 392 + ], + "score": 1.0, + "content": "below, but depict the dependency on the local mini-batch size", + "type": "text" + }, + { + "bbox": [ + 484, + 379, + 489, + 389 + ], + "score": 0.68, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 378, + 493, + 392 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 109, + 398, + 503, + 432 + ], + "lines": [ + { + "bbox": [ + 108, + 398, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 108, + 398, + 204, + 412 + ], + "score": 1.0, + "content": "Convergence rate. For", + "type": "text" + }, + { + "bbox": [ + 204, + 399, + 213, + 409 + ], + "score": 0.78, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 398, + 323, + 412 + ], + "score": 1.0, + "content": "large enough and assuming", + "type": "text" + }, + { + "bbox": [ + 324, + 400, + 349, + 410 + ], + "score": 0.89, + "content": "\\sigma > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 398, + 505, + 412 + ], + "score": 1.0, + "content": ", the very first term is dominating in (6)", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 120, + 409, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 120, + 409, + 253, + 423 + ], + "score": 1.0, + "content": "and local SGD converges at rate", + "type": "text" + }, + { + "bbox": [ + 253, + 410, + 307, + 422 + ], + "score": 0.92, + "content": "O ( 1 / ( K T b ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 409, + 505, + 423 + ], + "score": 1.0, + "content": ". That is, local SGD achieves a linear speedup in", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 121, + 421, + 352, + 432 + ], + "spans": [ + { + "bbox": [ + 121, + 421, + 236, + 432 + ], + "score": 1.0, + "content": "both, the number of workers", + "type": "text" + }, + { + "bbox": [ + 236, + 421, + 247, + 431 + ], + "score": 0.84, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 421, + 343, + 432 + ], + "score": 1.0, + "content": "and the mini-batch size", + "type": "text" + }, + { + "bbox": [ + 343, + 421, + 348, + 431 + ], + "score": 0.72, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 421, + 352, + 432 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 434, + 506, + 471 + ], + "lines": [ + { + "bbox": [ + 106, + 433, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 300, + 449 + ], + "score": 1.0, + "content": "Global synchronization steps. It needs to hold", + "type": "text" + }, + { + "bbox": [ + 300, + 433, + 382, + 448 + ], + "score": 0.94, + "content": "H = O ( \\sqrt { T / ( K b ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 435, + 505, + 449 + ], + "score": 1.0, + "content": "to get the linear speedup. This", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 120, + 447, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 120, + 448, + 402, + 462 + ], + "score": 1.0, + "content": "yields a reduction of the number of communication rounds by a factor", + "type": "text" + }, + { + "bbox": [ + 402, + 447, + 461, + 461 + ], + "score": 0.92, + "content": "O ( { \\sqrt { T / ( K b ) } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 448, + 506, + 462 + ], + "score": 1.0, + "content": "compared", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 120, + 460, + 382, + 473 + ], + "spans": [ + { + "bbox": [ + 120, + 460, + 382, + 473 + ], + "score": 1.0, + "content": "to parallel mini-batch SGD without hurting the convergence rate.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 474, + 505, + 508 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 419, + 487 + ], + "score": 1.0, + "content": "Extreme Cases. We have not optimized the result for extreme settings of", + "type": "text" + }, + { + "bbox": [ + 419, + 474, + 459, + 485 + ], + "score": 0.27, + "content": "H , K , L", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 474, + 473, + 487 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 473, + 477, + 480, + 484 + ], + "score": 0.76, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 474, + 505, + 487 + ], + "score": 1.0, + "content": ". For", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 119, + 485, + 504, + 497 + ], + "spans": [ + { + "bbox": [ + 119, + 485, + 470, + 497 + ], + "score": 1.0, + "content": "instance, we do not recover convergence for the one-shot averaging, i.e. the setting", + "type": "text" + }, + { + "bbox": [ + 470, + 486, + 504, + 496 + ], + "score": 0.89, + "content": "H = T", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 120, + 496, + 347, + 509 + ], + "spans": [ + { + "bbox": [ + 120, + 496, + 220, + 509 + ], + "score": 1.0, + "content": "(though convergence for", + "type": "text" + }, + { + "bbox": [ + 220, + 496, + 263, + 508 + ], + "score": 0.92, + "content": "H = o ( T )", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 496, + 347, + 509 + ], + "score": 1.0, + "content": ", but at a lower rate).", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 511, + 505, + 579 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 524 + ], + "score": 1.0, + "content": "Unknown Time Horizon/Adaptive Communication Frequency Zhang et al. (2016) empirically", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 120, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 120, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "observe that more frequent communication at the beginning of the optimization can help to get", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 120, + 532, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 120, + 532, + 505, + 545 + ], + "score": 1.0, + "content": "faster time-to-accuracy (see also Lin et al. (2018a)). Indeed, when the number of total iterations", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 121, + 543, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 121, + 545, + 129, + 554 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 543, + 505, + 556 + ], + "score": 1.0, + "content": "is not known beforehand (as it e.g. depends on the target accuracy, cf. (6) and also Section 4", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 120, + 554, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 120, + 554, + 505, + 568 + ], + "score": 1.0, + "content": "below), then increasing the communication frequency seems to be a good strategy to keep the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 119, + 566, + 464, + 580 + ], + "spans": [ + { + "bbox": [ + 119, + 567, + 341, + 580 + ], + "score": 1.0, + "content": "communication low, why still respecting the constraint", + "type": "text" + }, + { + "bbox": [ + 342, + 566, + 423, + 580 + ], + "score": 0.94, + "content": "H = O ( \\sqrt { T / ( K b ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 567, + 451, + 580 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 451, + 567, + 460, + 577 + ], + "score": 0.81, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 567, + 464, + 580 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5 + }, + { + "type": "title", + "bbox": [ + 108, + 594, + 212, + 607 + ], + "lines": [ + { + "bbox": [ + 105, + 593, + 213, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 213, + 610 + ], + "score": 1.0, + "content": "3 PROOF OUTLINE", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 105, + 619, + 465, + 631 + ], + "lines": [ + { + "bbox": [ + 106, + 618, + 466, + 633 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 466, + 633 + ], + "score": 1.0, + "content": "We now give the outline of the proof. The proofs of the lemmas are given in Appendix A.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 641, + 505, + 666 + ], + "lines": [ + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "score": 1.0, + "content": "Perturbed iterate analysis. Inspired by the perturbed iterate framework of (Mania et al., 2017) we", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 652, + 349, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 226, + 667 + ], + "score": 1.0, + "content": "first define a virtual sequence", + "type": "text" + }, + { + "bbox": [ + 226, + 653, + 260, + 666 + ], + "score": 0.93, + "content": "\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 652, + 349, + 667 + ], + "score": 1.0, + "content": "in the following way:", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + }, + { + "type": "interline_equation", + "bbox": [ + 202, + 669, + 408, + 704 + ], + "lines": [ + { + "bbox": [ + 202, + 669, + 408, + 704 + ], + "spans": [ + { + "bbox": [ + 202, + 669, + 408, + 704 + ], + "score": 0.86, + "content": "\\bar { \\mathbf { x } } _ { 0 } = \\mathbf { x } _ { 0 } , \\qquad \\bar { \\mathbf { x } } _ { t } = \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbf { x } _ { t } ^ { k } ,", + "type": "interline_equation", + "image_path": "436cac0a704051302eaa61646a15bd317e81b308bfe1f23a7ebf23fb00f9e1d8.jpg" + } + ] + } + ], + "index": 38.5, + "virtual_lines": [ + { + "bbox": [ + 202, + 669, + 408, + 686.5 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 202, + 686.5, + 408, + 704.0 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 707, + 505, + 733 + ], + "lines": [ + { + "bbox": [ + 105, + 706, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 706, + 189, + 722 + ], + "score": 1.0, + "content": "where the sequences", + "type": "text" + }, + { + "bbox": [ + 190, + 707, + 225, + 721 + ], + "score": 0.93, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t \\geq 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 706, + 240, + 722 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 241, + 708, + 273, + 720 + ], + "score": 0.92, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 274, + 706, + 506, + 722 + ], + "score": 1.0, + "content": "are the same as in (4). Notice that this sequence never has", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 455, + 733 + ], + "score": 1.0, + "content": "to be computed explicitly, it is just a tool that we use in the analysis. Further notice that", + "type": "text" + }, + { + "bbox": [ + 455, + 720, + 490, + 732 + ], + "score": 0.93, + "content": "\\bar { \\mathbf { x } } _ { t } = \\mathbf { x } _ { t } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5 + } + ], + "page_idx": 4, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 82, + 311, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 312, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 312, + 96 + ], + "score": 1.0, + "content": "2.2 CONVERGENCE RESULT AND DISCUSSION", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 105, + 100, + 507, + 157 + ], + "lines": [ + { + "bbox": [ + 105, + 100, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 189, + 117 + ], + "score": 1.0, + "content": "Theorem 2.2. Let", + "type": "text" + }, + { + "bbox": [ + 189, + 103, + 196, + 115 + ], + "score": 0.82, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 100, + 214, + 117 + ], + "score": 1.0, + "content": "be", + "type": "text" + }, + { + "bbox": [ + 214, + 104, + 222, + 113 + ], + "score": 0.76, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 100, + 279, + 117 + ], + "score": 1.0, + "content": "-smooth and", + "type": "text" + }, + { + "bbox": [ + 279, + 105, + 286, + 115 + ], + "score": 0.77, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 100, + 361, + 117 + ], + "score": 1.0, + "content": "-strongly convex,", + "type": "text" + }, + { + "bbox": [ + 361, + 100, + 503, + 116 + ], + "score": 0.92, + "content": "\\mathbb { E } _ { i } \\left\\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right\\| ^ { 2 } \\ \\leq \\ \\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 100, + 506, + 117 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 114, + 507, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 196, + 131 + ], + "score": 0.93, + "content": "\\mathbb { E } _ { i } \\left\\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) \\right\\| ^ { 2 } \\leq G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 114, + 214, + 135 + ], + "score": 1.0, + "content": ", for", + "type": "text" + }, + { + "bbox": [ + 214, + 118, + 284, + 130 + ], + "score": 0.91, + "content": "t = 0 , \\dots , T - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 114, + 316, + 135 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 316, + 117, + 352, + 131 + ], + "score": 0.88, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t = 0 } ^ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 114, + 367, + 135 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 367, + 118, + 401, + 130 + ], + "score": 0.85, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 114, + 507, + 135 + ], + "score": 1.0, + "content": "are generated according", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 102, + 127, + 507, + 150 + ], + "spans": [ + { + "bbox": [ + 102, + 127, + 150, + 150 + ], + "score": 1.0, + "content": "to (4) with", + "type": "text" + }, + { + "bbox": [ + 150, + 131, + 208, + 143 + ], + "score": 0.91, + "content": "\\mathrm { g a p } ( \\mathcal { T } _ { T } ) \\leq H", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 127, + 277, + 150 + ], + "score": 1.0, + "content": "and for stepsizes", + "type": "text" + }, + { + "bbox": [ + 278, + 130, + 327, + 146 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\eta _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 127, + 410, + 150 + ], + "score": 1.0, + "content": "with shift parameter", + "type": "text" + }, + { + "bbox": [ + 410, + 131, + 488, + 143 + ], + "score": 0.91, + "content": "a > \\operatorname* { m a x } \\{ 1 6 \\kappa , H \\} ,", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 127, + 507, + 150 + ], + "score": 1.0, + "content": ", for", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 107, + 143, + 163, + 160 + ], + "spans": [ + { + "bbox": [ + 107, + 144, + 134, + 160 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\kappa = \\frac { L } { \\mu } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 143, + 163, + 159 + ], + "score": 1.0, + "content": ". Then", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2.5, + "bbox_fs": [ + 102, + 100, + 507, + 160 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 159, + 155, + 451, + 182 + ], + "lines": [ + { + "bbox": [ + 159, + 155, + 451, + 182 + ], + "spans": [ + { + "bbox": [ + 159, + 155, + 451, + 182 + ], + "score": 0.94, + "content": "\\mathbb { E } f ( \\hat { { \\bf x } } _ { T } ) - f ^ { \\star } \\le \\frac { \\mu a ^ { 3 } } { 2 S _ { T } } \\left. { \\bf x } _ { 0 } - { \\bf x } ^ { \\star } \\right. ^ { 2 } + \\frac { 4 T ( T + 2 a ) } { \\mu K S _ { T } } \\sigma ^ { 2 } + \\frac { 2 5 6 T } { \\mu ^ { 2 } S _ { T } } G ^ { 2 } H ^ { 2 } L ,", + "type": "interline_equation", + "image_path": "83dd0c4ae421f0aed660edc990fc0afc4a0f0a79818cdde083e3172787fa445a.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 159, + 155, + 451, + 182 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 185, + 454, + 202 + ], + "lines": [ + { + "bbox": [ + 101, + 179, + 451, + 206 + ], + "spans": [ + { + "bbox": [ + 101, + 179, + 133, + 206 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 185, + 259, + 202 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\hat { \\mathbf { x } } _ { T } = \\frac { 1 } { K S _ { T } } \\sum _ { k = 1 } ^ { K } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\mathbf { x } _ { t } ^ { k } , } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 179, + 276, + 206 + ], + "score": 1.0, + "content": ", for", + "type": "text" + }, + { + "bbox": [ + 277, + 187, + 335, + 200 + ], + "score": 0.92, + "content": "w _ { t } = ( a + t ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 179, + 354, + 206 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 354, + 185, + 451, + 201 + ], + "score": 0.89, + "content": "\\begin{array} { r } { S _ { T } = \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\geq \\frac { 1 } { 3 } T ^ { 3 } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 6 + } + ], + "index": 6, + "bbox_fs": [ + 101, + 179, + 451, + 206 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 209, + 505, + 232 + ], + "lines": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "We were not especially careful to optimize the constants (and the lower order terms) in (5), so we", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 221, + 234, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 234, + 232 + ], + "score": 1.0, + "content": "now state the asymptotic result.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5, + "bbox_fs": [ + 106, + 209, + 505, + 232 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 234, + 493, + 246 + ], + "lines": [ + { + "bbox": [ + 106, + 232, + 494, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 185, + 248 + ], + "score": 1.0, + "content": "Corollary 2.3. Let", + "type": "text" + }, + { + "bbox": [ + 185, + 235, + 199, + 246 + ], + "score": 0.84, + "content": "\\hat { \\mathbf { x } } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 232, + 389, + 248 + ], + "score": 1.0, + "content": "be as defined as in Theorem 2.2, for parameter", + "type": "text" + }, + { + "bbox": [ + 389, + 234, + 467, + 246 + ], + "score": 0.92, + "content": "a = \\mathrm { m a x } \\{ 1 6 \\kappa , H \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 232, + 494, + 248 + ], + "score": 1.0, + "content": ". Then", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9, + "bbox_fs": [ + 106, + 232, + 494, + 248 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 153, + 250, + 456, + 278 + ], + "lines": [ + { + "bbox": [ + 153, + 250, + 456, + 278 + ], + "spans": [ + { + "bbox": [ + 153, + 250, + 456, + 278 + ], + "score": 0.94, + "content": "\\mathbb { E } f \\big ( \\hat { \\mathbf { x } } _ { T } \\big ) - f ^ { \\star } = O \\left( \\frac { 1 } { \\mu K T } + \\frac { \\kappa + H } { \\mu K T ^ { 2 } } \\right) \\sigma ^ { 2 } + O \\left( \\frac { \\kappa H ^ { 2 } } { \\mu T ^ { 2 } } + \\frac { \\kappa ^ { 3 } + H ^ { 3 } } { \\mu T ^ { 3 } } \\right) G ^ { 2 } .", + "type": "interline_equation", + "image_path": "0482638fcfff3c4170d02838f378493ee51ec338a62a79d8c97fa0b638efb85e.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 153, + 250, + 456, + 278 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 286, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 105, + 286, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 225, + 300 + ], + "score": 1.0, + "content": "For the last estimate we used", + "type": "text" + }, + { + "bbox": [ + 225, + 287, + 312, + 299 + ], + "score": 0.93, + "content": "\\mathbb { E } \\mu \\left\\| \\mathbf { x } _ { 0 } - \\mathbf { x } ^ { \\star } \\right\\| \\leq 2 G", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 286, + 327, + 300 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 327, + 289, + 335, + 299 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 286, + 403, + 300 + ], + "score": 1.0, + "content": "-strongly convex", + "type": "text" + }, + { + "bbox": [ + 403, + 288, + 410, + 299 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 286, + 505, + 300 + ], + "score": 1.0, + "content": ", as derived in (Rakhlin", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 297, + 202, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 202, + 310 + ], + "score": 1.0, + "content": "et al., 2012, Lemma 2).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 286, + 505, + 310 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 312, + 505, + 360 + ], + "lines": [ + { + "bbox": [ + 105, + 311, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 326 + ], + "score": 1.0, + "content": "Remark 2.4 (Mini-batch local SGD). So far, we assumed that each worker only computes a single", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "stochastic gradient. In mini-batch local SGD, each worker computes a mini-batch of size b in each", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 334, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 309, + 348 + ], + "score": 1.0, + "content": "iteration. This reduces the variance by a factor of", + "type": "text" + }, + { + "bbox": [ + 309, + 335, + 315, + 344 + ], + "score": 0.44, + "content": "b _ { : }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 334, + 505, + 348 + ], + "score": 1.0, + "content": ", and thus Theorem (2.2) gives the convergence", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 345, + 333, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 248, + 361 + ], + "score": 1.0, + "content": "rate of mini-batch local SGD when", + "type": "text" + }, + { + "bbox": [ + 249, + 347, + 260, + 357 + ], + "score": 0.86, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 346, + 320, + 361 + ], + "score": 1.0, + "content": "is replaced by", + "type": "text" + }, + { + "bbox": [ + 320, + 345, + 331, + 361 + ], + "score": 0.9, + "content": "\\frac { \\sigma ^ { 2 } } { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 346, + 333, + 361 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 311, + 505, + 361 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 367, + 505, + 391 + ], + "lines": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "We now state some consequences of equation (6). For the ease of the exposition we omit the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 378, + 493, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 169, + 392 + ], + "score": 1.0, + "content": "dependency on", + "type": "text" + }, + { + "bbox": [ + 169, + 378, + 203, + 390 + ], + "score": 0.59, + "content": "L , \\mu , \\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 378, + 221, + 392 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 222, + 378, + 235, + 389 + ], + "score": 0.88, + "content": "G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 378, + 484, + 392 + ], + "score": 1.0, + "content": "below, but depict the dependency on the local mini-batch size", + "type": "text" + }, + { + "bbox": [ + 484, + 379, + 489, + 389 + ], + "score": 0.68, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 378, + 493, + 392 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 367, + 505, + 392 + ] + }, + { + "type": "text", + "bbox": [ + 109, + 398, + 503, + 432 + ], + "lines": [ + { + "bbox": [ + 108, + 398, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 108, + 398, + 204, + 412 + ], + "score": 1.0, + "content": "Convergence rate. For", + "type": "text" + }, + { + "bbox": [ + 204, + 399, + 213, + 409 + ], + "score": 0.78, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 398, + 323, + 412 + ], + "score": 1.0, + "content": "large enough and assuming", + "type": "text" + }, + { + "bbox": [ + 324, + 400, + 349, + 410 + ], + "score": 0.89, + "content": "\\sigma > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 398, + 505, + 412 + ], + "score": 1.0, + "content": ", the very first term is dominating in (6)", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 120, + 409, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 120, + 409, + 253, + 423 + ], + "score": 1.0, + "content": "and local SGD converges at rate", + "type": "text" + }, + { + "bbox": [ + 253, + 410, + 307, + 422 + ], + "score": 0.92, + "content": "O ( 1 / ( K T b ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 409, + 505, + 423 + ], + "score": 1.0, + "content": ". That is, local SGD achieves a linear speedup in", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 121, + 421, + 352, + 432 + ], + "spans": [ + { + "bbox": [ + 121, + 421, + 236, + 432 + ], + "score": 1.0, + "content": "both, the number of workers", + "type": "text" + }, + { + "bbox": [ + 236, + 421, + 247, + 431 + ], + "score": 0.84, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 421, + 343, + 432 + ], + "score": 1.0, + "content": "and the mini-batch size", + "type": "text" + }, + { + "bbox": [ + 343, + 421, + 348, + 431 + ], + "score": 0.72, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 421, + 352, + 432 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20, + "bbox_fs": [ + 108, + 398, + 505, + 432 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 434, + 506, + 471 + ], + "lines": [ + { + "bbox": [ + 106, + 433, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 300, + 449 + ], + "score": 1.0, + "content": "Global synchronization steps. It needs to hold", + "type": "text" + }, + { + "bbox": [ + 300, + 433, + 382, + 448 + ], + "score": 0.94, + "content": "H = O ( \\sqrt { T / ( K b ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 435, + 505, + 449 + ], + "score": 1.0, + "content": "to get the linear speedup. This", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 120, + 447, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 120, + 448, + 402, + 462 + ], + "score": 1.0, + "content": "yields a reduction of the number of communication rounds by a factor", + "type": "text" + }, + { + "bbox": [ + 402, + 447, + 461, + 461 + ], + "score": 0.92, + "content": "O ( { \\sqrt { T / ( K b ) } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 448, + 506, + 462 + ], + "score": 1.0, + "content": "compared", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 120, + 460, + 382, + 473 + ], + "spans": [ + { + "bbox": [ + 120, + 460, + 382, + 473 + ], + "score": 1.0, + "content": "to parallel mini-batch SGD without hurting the convergence rate.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23, + "bbox_fs": [ + 106, + 433, + 506, + 473 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 474, + 505, + 508 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 419, + 487 + ], + "score": 1.0, + "content": "Extreme Cases. We have not optimized the result for extreme settings of", + "type": "text" + }, + { + "bbox": [ + 419, + 474, + 459, + 485 + ], + "score": 0.27, + "content": "H , K , L", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 474, + 473, + 487 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 473, + 477, + 480, + 484 + ], + "score": 0.76, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 474, + 505, + 487 + ], + "score": 1.0, + "content": ". For", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 119, + 485, + 504, + 497 + ], + "spans": [ + { + "bbox": [ + 119, + 485, + 470, + 497 + ], + "score": 1.0, + "content": "instance, we do not recover convergence for the one-shot averaging, i.e. the setting", + "type": "text" + }, + { + "bbox": [ + 470, + 486, + 504, + 496 + ], + "score": 0.89, + "content": "H = T", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 120, + 496, + 347, + 509 + ], + "spans": [ + { + "bbox": [ + 120, + 496, + 220, + 509 + ], + "score": 1.0, + "content": "(though convergence for", + "type": "text" + }, + { + "bbox": [ + 220, + 496, + 263, + 508 + ], + "score": 0.92, + "content": "H = o ( T )", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 496, + 347, + 509 + ], + "score": 1.0, + "content": ", but at a lower rate).", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26, + "bbox_fs": [ + 106, + 474, + 505, + 509 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 511, + 505, + 579 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 524 + ], + "score": 1.0, + "content": "Unknown Time Horizon/Adaptive Communication Frequency Zhang et al. (2016) empirically", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 120, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 120, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "observe that more frequent communication at the beginning of the optimization can help to get", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 120, + 532, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 120, + 532, + 505, + 545 + ], + "score": 1.0, + "content": "faster time-to-accuracy (see also Lin et al. (2018a)). Indeed, when the number of total iterations", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 121, + 543, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 121, + 545, + 129, + 554 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 543, + 505, + 556 + ], + "score": 1.0, + "content": "is not known beforehand (as it e.g. depends on the target accuracy, cf. (6) and also Section 4", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 120, + 554, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 120, + 554, + 505, + 568 + ], + "score": 1.0, + "content": "below), then increasing the communication frequency seems to be a good strategy to keep the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 119, + 566, + 464, + 580 + ], + "spans": [ + { + "bbox": [ + 119, + 567, + 341, + 580 + ], + "score": 1.0, + "content": "communication low, why still respecting the constraint", + "type": "text" + }, + { + "bbox": [ + 342, + 566, + 423, + 580 + ], + "score": 0.94, + "content": "H = O ( \\sqrt { T / ( K b ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 567, + 451, + 580 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 451, + 567, + 460, + 577 + ], + "score": 0.81, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 567, + 464, + 580 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5, + "bbox_fs": [ + 106, + 510, + 506, + 580 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 594, + 212, + 607 + ], + "lines": [ + { + "bbox": [ + 105, + 593, + 213, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 213, + 610 + ], + "score": 1.0, + "content": "3 PROOF OUTLINE", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 105, + 619, + 465, + 631 + ], + "lines": [ + { + "bbox": [ + 106, + 618, + 466, + 633 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 466, + 633 + ], + "score": 1.0, + "content": "We now give the outline of the proof. The proofs of the lemmas are given in Appendix A.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35, + "bbox_fs": [ + 106, + 618, + 466, + 633 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 641, + 505, + 666 + ], + "lines": [ + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "score": 1.0, + "content": "Perturbed iterate analysis. Inspired by the perturbed iterate framework of (Mania et al., 2017) we", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 652, + 349, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 226, + 667 + ], + "score": 1.0, + "content": "first define a virtual sequence", + "type": "text" + }, + { + "bbox": [ + 226, + 653, + 260, + 666 + ], + "score": 0.93, + "content": "\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 652, + 349, + 667 + ], + "score": 1.0, + "content": "in the following way:", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 642, + 505, + 667 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 202, + 669, + 408, + 704 + ], + "lines": [ + { + "bbox": [ + 202, + 669, + 408, + 704 + ], + "spans": [ + { + "bbox": [ + 202, + 669, + 408, + 704 + ], + "score": 0.86, + "content": "\\bar { \\mathbf { x } } _ { 0 } = \\mathbf { x } _ { 0 } , \\qquad \\bar { \\mathbf { x } } _ { t } = \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbf { x } _ { t } ^ { k } ,", + "type": "interline_equation", + "image_path": "436cac0a704051302eaa61646a15bd317e81b308bfe1f23a7ebf23fb00f9e1d8.jpg" + } + ] + } + ], + "index": 38.5, + "virtual_lines": [ + { + "bbox": [ + 202, + 669, + 408, + 686.5 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 202, + 686.5, + 408, + 704.0 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 707, + 505, + 733 + ], + "lines": [ + { + "bbox": [ + 105, + 706, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 706, + 189, + 722 + ], + "score": 1.0, + "content": "where the sequences", + "type": "text" + }, + { + "bbox": [ + 190, + 707, + 225, + 721 + ], + "score": 0.93, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t \\geq 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 706, + 240, + 722 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 241, + 708, + 273, + 720 + ], + "score": 0.92, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 274, + 706, + 506, + 722 + ], + "score": 1.0, + "content": "are the same as in (4). Notice that this sequence never has", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 455, + 733 + ], + "score": 1.0, + "content": "to be computed explicitly, it is just a tool that we use in the analysis. Further notice that", + "type": "text" + }, + { + "bbox": [ + 455, + 720, + 490, + 732 + ], + "score": 0.93, + "content": "\\bar { \\mathbf { x } } _ { t } = \\mathbf { x } _ { t } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 706, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 81, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 107, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 107, + 82, + 140, + 95 + ], + "score": 0.92, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 81, + 183, + 96 + ], + "score": 1.0, + "content": "whenever", + "type": "text" + }, + { + "bbox": [ + 183, + 83, + 211, + 93 + ], + "score": 0.91, + "content": "t \\in \\mathcal { I } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 81, + 287, + 96 + ], + "score": 1.0, + "content": ". Especially, when", + "type": "text" + }, + { + "bbox": [ + 287, + 82, + 326, + 95 + ], + "score": 0.92, + "content": "\\mathcal { T } _ { T } = [ T ]", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 81, + 349, + 96 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 350, + 82, + 385, + 95 + ], + "score": 0.93, + "content": "\\bar { \\mathbf { x } } _ { t } \\equiv \\mathbf { x } _ { t } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 81, + 425, + 96 + ], + "score": 1.0, + "content": "for every", + "type": "text" + }, + { + "bbox": [ + 425, + 82, + 492, + 95 + ], + "score": 0.92, + "content": "k \\in [ K ] , t \\in [ T ]", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 81, + 506, + 96 + ], + "score": 1.0, + "content": ". It", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 200, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 200, + 106 + ], + "score": 1.0, + "content": "will be useful to define", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "interline_equation", + "bbox": [ + 173, + 106, + 437, + 142 + ], + "lines": [ + { + "bbox": [ + 173, + 106, + 437, + 142 + ], + "spans": [ + { + "bbox": [ + 173, + 106, + 437, + 142 + ], + "score": 0.88, + "content": "\\mathbf { g } _ { t } : = \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\nabla f _ { i _ { t } ^ { k } } \\big ( \\mathbf { x } _ { t } ^ { k } \\big ) , \\qquad \\bar { \\mathbf { g } } _ { t } : = \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\nabla f \\big ( \\mathbf { x } _ { t } ^ { k } \\big ) .", + "type": "interline_equation", + "image_path": "606e3af663ca5e92933cb8cf8dc01f39b4f866892fbe4bdecf5a2d90673b231d.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 173, + 106, + 437, + 118.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 173, + 118.0, + 437, + 130.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 173, + 130.0, + 437, + 142.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 145, + 278, + 158 + ], + "lines": [ + { + "bbox": [ + 106, + 143, + 279, + 159 + ], + "spans": [ + { + "bbox": [ + 106, + 143, + 142, + 159 + ], + "score": 1.0, + "content": "Observe", + "type": "text" + }, + { + "bbox": [ + 142, + 146, + 216, + 158 + ], + "score": 0.91, + "content": "\\bar { \\mathbf { x } } _ { t + 1 } = \\bar { \\mathbf { x } } _ { t } - \\eta _ { t } \\mathbf { g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 143, + 234, + 159 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 234, + 146, + 275, + 157 + ], + "score": 0.92, + "content": "\\mathbb { E } { \\bf g } _ { t } = \\bar { \\bf g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 143, + 279, + 159 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 162, + 505, + 208 + ], + "lines": [ + { + "bbox": [ + 105, + 162, + 506, + 176 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 405, + 176 + ], + "score": 1.0, + "content": "Now the proof proceeds as follows: we show (i) that the virtual sequence", + "type": "text" + }, + { + "bbox": [ + 405, + 162, + 439, + 174 + ], + "score": 0.93, + "content": "\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 162, + 506, + 176 + ], + "score": 1.0, + "content": "almost behaves", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 170, + 503, + 190 + ], + "spans": [ + { + "bbox": [ + 104, + 170, + 251, + 190 + ], + "score": 1.0, + "content": "like mini-batch SGD with batch size", + "type": "text" + }, + { + "bbox": [ + 252, + 175, + 262, + 185 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 170, + 444, + 190 + ], + "score": 1.0, + "content": "(Lemma 3.1 and 3.2), and (ii) the true iterates", + "type": "text" + }, + { + "bbox": [ + 444, + 174, + 503, + 187 + ], + "score": 0.91, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t \\ge 0 , k \\in [ K ] }", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 186, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 186, + 505, + 198 + ], + "score": 1.0, + "content": "do not deviate much from the virtual sequence (Lemma 3.3). These are the main ingredients in the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 196, + 426, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 426, + 209 + ], + "score": 1.0, + "content": "proof. To obtain the rate we exploit a technical lemma from (Stich et al., 2018).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 105, + 210, + 505, + 236 + ], + "lines": [ + { + "bbox": [ + 105, + 209, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 175, + 225 + ], + "score": 1.0, + "content": "Lemma 3.1. Let", + "type": "text" + }, + { + "bbox": [ + 176, + 210, + 209, + 223 + ], + "score": 0.92, + "content": "\\{ { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 209, + 227, + 225 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 227, + 210, + 261, + 223 + ], + "score": 0.83, + "content": "\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 209, + 275, + 225 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 276, + 210, + 309, + 223 + ], + "score": 0.79, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 209, + 445, + 225 + ], + "score": 1.0, + "content": "be defined as in (4) and (7) and let", + "type": "text" + }, + { + "bbox": [ + 445, + 212, + 452, + 223 + ], + "score": 0.8, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 209, + 464, + 225 + ], + "score": 1.0, + "content": "be", + "type": "text" + }, + { + "bbox": [ + 465, + 212, + 472, + 221 + ], + "score": 0.78, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 209, + 505, + 225 + ], + "score": 1.0, + "content": "-smooth", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 222, + 278, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 124, + 237 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 225, + 131, + 235 + ], + "score": 0.79, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 222, + 215, + 237 + ], + "score": 1.0, + "content": "-strongly convex and", + "type": "text" + }, + { + "bbox": [ + 215, + 223, + 249, + 236 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\eta _ { t } \\leq \\frac { 1 } { 4 L } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 222, + 278, + 237 + ], + "score": 1.0, + "content": ". Then", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 239, + 454, + 292 + ], + "lines": [ + { + "bbox": [ + 156, + 239, + 454, + 292 + ], + "spans": [ + { + "bbox": [ + 156, + 239, + 454, + 292 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } { { \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t + 1 } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } \\leq ( 1 - \\mu \\eta _ { t } ) \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } + \\eta _ { t } ^ { 2 } \\mathbb { E } \\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\| ^ { 2 } } } \\\\ & { } & { \\quad - \\displaystyle \\frac { 1 } { 2 } \\eta _ { t } \\mathbb { E } ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } ) + 2 \\eta _ { t } \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\| ^ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "3c90d3f035f23b837c9ce64ac689cea16d28540b1e54601c1741255a6946b9bb.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 156, + 239, + 454, + 256.6666666666667 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 156, + 256.6666666666667, + 454, + 274.33333333333337 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 156, + 274.33333333333337, + 454, + 292.00000000000006 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 300, + 505, + 325 + ], + "lines": [ + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "Bounding the variance. From equation (9) it becomes clear that we should derive an upper bound", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 312, + 329, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 118, + 326 + ], + "score": 1.0, + "content": "on", + "type": "text" + }, + { + "bbox": [ + 119, + 312, + 173, + 326 + ], + "score": 0.93, + "content": "\\mathbb { E } \\left\\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 312, + 313, + 326 + ], + "score": 1.0, + "content": ". We will relate this to the variance", + "type": "text" + }, + { + "bbox": [ + 314, + 313, + 325, + 324 + ], + "score": 0.87, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 312, + 329, + 326 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5 + }, + { + "type": "interline_equation", + "bbox": [ + 174, + 328, + 496, + 345 + ], + "lines": [ + { + "bbox": [ + 174, + 328, + 496, + 345 + ], + "spans": [ + { + "bbox": [ + 174, + 328, + 496, + 345 + ], + "score": 0.71, + "content": "\\begin{array} { r } { t \\sigma ^ { 2 } \\geq \\mathbb { E } _ { i } \\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\| ^ { 2 } f o r k \\in [ K ] , t \\in [ T ] . T h e n \\mathbb { E } \\left\\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } \\leq \\frac { \\sigma ^ { 2 } } { K } . } \\end{array}", + "type": "interline_equation", + "image_path": "f356e1c292e6b7481d78633ca26394040508d671dec24c520ff58837aa8f926b.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 174, + 328, + 496, + 345 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 356, + 502, + 381 + ], + "lines": [ + { + "bbox": [ + 101, + 348, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 101, + 348, + 165, + 379 + ], + "score": 1.0, + "content": "Bounding the", + "type": "text" + }, + { + "bbox": [ + 179, + 348, + 326, + 379 + ], + "score": 1.0, + "content": "viation. Further, we need to bound", + "type": "text" + }, + { + "bbox": [ + 326, + 356, + 422, + 371 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 348, + 505, + 379 + ], + "score": 1.0, + "content": ". For this we impose", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 166, + 367, + 366, + 384 + ], + "spans": [ + { + "bbox": [ + 166, + 370, + 179, + 380 + ], + "score": 0.89, + "content": "\\mathcal { I } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 367, + 352, + 384 + ], + "score": 1.0, + "content": "and an additional condition on the stepsize", + "type": "text" + }, + { + "bbox": [ + 353, + 372, + 362, + 381 + ], + "score": 0.82, + "content": "\\eta _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 367, + 366, + 384 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 106, + 383, + 502, + 406 + ], + "lines": [ + { + "bbox": [ + 104, + 381, + 504, + 398 + ], + "spans": [ + { + "bbox": [ + 104, + 381, + 172, + 398 + ], + "score": 1.0, + "content": "Lemma 3.3. If", + "type": "text" + }, + { + "bbox": [ + 172, + 383, + 234, + 396 + ], + "score": 0.88, + "content": "\\mathrm { g a p } ( { \\mathcal { I } } _ { T } ) \\leq H", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 381, + 428, + 398 + ], + "score": 1.0, + "content": "and sequence of decreasing positive stepsizes", + "type": "text" + }, + { + "bbox": [ + 428, + 384, + 461, + 396 + ], + "score": 0.92, + "content": "\\{ \\eta _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 381, + 504, + 398 + ], + "score": 1.0, + "content": "satisfying", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 395, + 232, + 407 + ], + "spans": [ + { + "bbox": [ + 107, + 395, + 156, + 407 + ], + "score": 0.91, + "content": "\\eta _ { t } \\leq 2 \\eta _ { t + H }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 395, + 184, + 407 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 185, + 396, + 208, + 406 + ], + "score": 0.89, + "content": "t \\geq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 395, + 232, + 407 + ], + "score": 1.0, + "content": ", then", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "interline_equation", + "bbox": [ + 232, + 411, + 378, + 445 + ], + "lines": [ + { + "bbox": [ + 232, + 411, + 378, + 445 + ], + "spans": [ + { + "bbox": [ + 232, + 411, + 378, + 445 + ], + "score": 0.95, + "content": "\\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 4 \\eta _ { t } ^ { 2 } G ^ { 2 } H ^ { 2 } ,", + "type": "interline_equation", + "image_path": "e4be77d41561133b7ff86d46061e090e7b7c895b6e1d32dfac76d2f6280ba007.jpg" + } + ] + } + ], + "index": 22.5, + "virtual_lines": [ + { + "bbox": [ + 232, + 411, + 378, + 428.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 232, + 428.0, + 378, + 445.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 449, + 411, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 447, + 411, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 133, + 465 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 450, + 146, + 460 + ], + "score": 0.87, + "content": "G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 447, + 239, + 465 + ], + "score": 1.0, + "content": "is a constant such that", + "type": "text" + }, + { + "bbox": [ + 239, + 449, + 326, + 463 + ], + "score": 0.9, + "content": "\\mathbb { E } _ { i } \\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) \\| ^ { 2 } \\leq G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 447, + 341, + 465 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 341, + 450, + 407, + 462 + ], + "score": 0.89, + "content": "k \\in [ K ] , t \\in [ T ]", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 447, + 411, + 465 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 473, + 506, + 519 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "Optimal Averaging. Similar as in (Lacoste-Julien et al., 2012; Shamir & Zhang, 2013; Rakhlin", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 485, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 390, + 498 + ], + "score": 1.0, + "content": "et al., 2012) we define a suitable averaging scheme for the iterates", + "type": "text" + }, + { + "bbox": [ + 391, + 485, + 425, + 497 + ], + "score": 0.93, + "content": "\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 485, + 506, + 498 + ], + "score": 1.0, + "content": "to get the optimal", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "score": 1.0, + "content": "convergence rate. In contrast to (Lacoste-Julien et al., 2012) that use linearly increasing weights, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 507, + 492, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 492, + 519 + ], + "score": 1.0, + "content": "use quadratically increasing weights, as for instance (Shamir & Zhang, 2013; Stich et al., 2018).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 104, + 520, + 490, + 534 + ], + "lines": [ + { + "bbox": [ + 104, + 518, + 492, + 537 + ], + "spans": [ + { + "bbox": [ + 104, + 518, + 258, + 537 + ], + "score": 1.0, + "content": "Lemma 3.4 ((Stich et al., 2018)). Let", + "type": "text" + }, + { + "bbox": [ + 259, + 521, + 395, + 534 + ], + "score": 0.34, + "content": "\\{ a _ { t } \\} _ { t \\ge 0 } , a _ { t } \\ge 0 , \\{ e _ { t } \\} _ { t \\ge 0 } , e _ { t } \\ge 0", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 518, + 492, + 537 + ], + "score": 1.0, + "content": "be sequences satisfying", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "interline_equation", + "bbox": [ + 212, + 537, + 398, + 552 + ], + "lines": [ + { + "bbox": [ + 212, + 537, + 398, + 552 + ], + "spans": [ + { + "bbox": [ + 212, + 537, + 398, + 552 + ], + "score": 0.88, + "content": "a _ { t + 1 } \\leq \\left( 1 - \\mu \\eta _ { t } \\right) a _ { t } - \\eta _ { t } e _ { t } A + \\eta _ { t } ^ { 2 } B + \\eta _ { t } ^ { 3 } C ,", + "type": "interline_equation", + "image_path": "225add30ce86bb0c0f624317503742b3d0d6c8209fed54ba8c9f8d8eb9686344.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 212, + 537, + 398, + 552 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 557, + 384, + 572 + ], + "lines": [ + { + "bbox": [ + 101, + 554, + 388, + 577 + ], + "spans": [ + { + "bbox": [ + 101, + 554, + 120, + 577 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 120, + 557, + 170, + 573 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\eta _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 554, + 229, + 577 + ], + "score": 1.0, + "content": "and constants", + "type": "text" + }, + { + "bbox": [ + 229, + 558, + 358, + 570 + ], + "score": 0.57, + "content": "A > 0 , B , C \\ge 0 , \\mu > 0 , a > 1", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 554, + 388, + 577 + ], + "score": 1.0, + "content": ". Then", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "interline_equation", + "bbox": [ + 195, + 577, + 415, + 611 + ], + "lines": [ + { + "bbox": [ + 195, + 577, + 415, + 611 + ], + "spans": [ + { + "bbox": [ + 195, + 577, + 415, + 611 + ], + "score": 0.92, + "content": "\\frac { A } { S _ { T } } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } e _ { t } \\le \\frac { \\mu a ^ { 3 } } { 4 S _ { T } } a _ { 0 } + \\frac { 2 T ( T + 2 a ) } { \\mu S _ { T } } B + \\frac { 1 6 T } { \\mu ^ { 2 } S _ { T } } C ,", + "type": "interline_equation", + "image_path": "dd590d48079802aa4e3a841c8a7d717e0349374d12938df141020f8c0123223a.jpg" + } + ] + } + ], + "index": 32.5, + "virtual_lines": [ + { + "bbox": [ + 195, + 577, + 415, + 594.0 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 195, + 594.0, + 415, + 611.0 + ], + "spans": [], + "index": 33 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 615, + 470, + 632 + ], + "lines": [ + { + "bbox": [ + 121, + 609, + 469, + 636 + ], + "spans": [ + { + "bbox": [ + 121, + 617, + 179, + 630 + ], + "score": 0.93, + "content": "w _ { t } = ( a + t ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 609, + 194, + 636 + ], + "score": 1.0, + "content": "an", + "type": "text" + }, + { + "bbox": [ + 198, + 615, + 469, + 631 + ], + "score": 0.79, + "content": "\\begin{array} { r } { S _ { T } : = \\sum _ { t = 0 } ^ { T - 1 } w _ { t } = \\frac { T } { 6 } \\left( 2 T ^ { 2 } + 6 a T - 3 T + 6 a ^ { 2 } - 6 a + 1 \\right) \\ge \\frac { 1 } { 3 } T ^ { 3 } . } \\end{array}", + "type": "inline_equation" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 641, + 378, + 654 + ], + "lines": [ + { + "bbox": [ + 106, + 641, + 377, + 654 + ], + "spans": [ + { + "bbox": [ + 106, + 641, + 377, + 654 + ], + "score": 1.0, + "content": "Proof. This is a reformulation of Lemma 3.3 in (Stich et al., 2018).", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 665, + 507, + 735 + ], + "lines": [ + { + "bbox": [ + 102, + 663, + 509, + 686 + ], + "spans": [ + { + "bbox": [ + 102, + 663, + 273, + 686 + ], + "score": 1.0, + "content": "Proof of Theorem 2.2. By convexity of", + "type": "text" + }, + { + "bbox": [ + 274, + 668, + 281, + 679 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 663, + 316, + 686 + ], + "score": 1.0, + "content": "we have", + "type": "text" + }, + { + "bbox": [ + 316, + 665, + 503, + 681 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\mathbb { E } f ( \\hat { \\mathbf { x } } _ { T } ) - f ^ { \\star } \\le \\frac { 1 } { S _ { T } } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\mathbb { E } \\big ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } \\big ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 663, + 509, + 686 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 679, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 679, + 506, + 691 + ], + "score": 1.0, + "content": "The proof of the theorem thus follows immediately from the four lemmas that we have presented, i.e.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 689, + 507, + 708 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 185, + 708 + ], + "score": 1.0, + "content": "by Lemma 3.4 with", + "type": "text" + }, + { + "bbox": [ + 185, + 692, + 270, + 705 + ], + "score": 0.92, + "content": "e _ { t } : = \\mathbb { E } ( f ( { \\bar { \\mathbf { x } } } _ { t } ) - f ^ { \\star } )", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 689, + 327, + 708 + ], + "score": 1.0, + "content": "and constants", + "type": "text" + }, + { + "bbox": [ + 327, + 692, + 355, + 705 + ], + "score": 0.93, + "content": "\\begin{array} { r } { A = { \\frac { 1 } { 2 } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 689, + 415, + 708 + ], + "score": 1.0, + "content": ", (Lemma 3.1),", + "type": "text" + }, + { + "bbox": [ + 415, + 690, + 448, + 705 + ], + "score": 0.92, + "content": "\\textstyle B = { \\frac { \\sigma ^ { 2 } } { K } }", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 689, + 507, + 708 + ], + "score": 1.0, + "content": ", (Lemma 3.2)", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 702, + 506, + 721 + ], + "spans": [ + { + "bbox": [ + 105, + 702, + 123, + 721 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 704, + 183, + 716 + ], + "score": 0.91, + "content": "{ \\cal C } = 8 G ^ { 2 } H ^ { 2 } L", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 702, + 348, + 721 + ], + "score": 1.0, + "content": ", (Lemma 3.3). Observe that the stepsizes", + "type": "text" + }, + { + "bbox": [ + 348, + 704, + 397, + 720 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\bar { \\eta } _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 702, + 506, + 721 + ], + "score": 1.0, + "content": "satisfy both the conditions", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 717, + 506, + 737 + ], + "spans": [ + { + "bbox": [ + 106, + 718, + 166, + 734 + ], + "score": 1.0, + "content": "of Lemma 3.1", + "type": "text" + }, + { + "bbox": [ + 166, + 719, + 227, + 735 + ], + "score": 0.92, + "content": "\\begin{array} { r } { ( \\eta _ { 0 } = \\frac { 4 } { \\mu a } \\le \\frac { 1 } { 4 L } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 717, + 242, + 737 + ], + "score": 1.0, + "content": ", as", + "type": "text" + }, + { + "bbox": [ + 242, + 720, + 278, + 732 + ], + "score": 0.87, + "content": "a \\geq 1 6 \\kappa", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 717, + 359, + 737 + ], + "score": 1.0, + "content": ") and of Lemma 3.3", + "type": "text" + }, + { + "bbox": [ + 360, + 719, + 443, + 735 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\frac { \\eta _ { t } } { \\eta _ { t + H } } = \\frac { a + t + H } { a + t } \\leq 2 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 718, + 457, + 734 + ], + "score": 1.0, + "content": ", as", + "type": "text" + }, + { + "bbox": [ + 457, + 720, + 486, + 732 + ], + "score": 0.88, + "content": "a \\geq H", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 718, + 506, + 734 + ], + "score": 1.0, + "content": "\u0001 . \u0003", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 357, + 725, + 360, + 738 + ], + "spans": [ + { + "bbox": [ + 357, + 725, + 360, + 738 + ], + "score": 0.0, + "content": "", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 641, + 505, + 652 + ], + "lines": [ + { + "bbox": [ + 495, + 643, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 495, + 643, + 505, + 653 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 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": [ + 104, + 81, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 107, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 107, + 82, + 140, + 95 + ], + "score": 0.92, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 81, + 183, + 96 + ], + "score": 1.0, + "content": "whenever", + "type": "text" + }, + { + "bbox": [ + 183, + 83, + 211, + 93 + ], + "score": 0.91, + "content": "t \\in \\mathcal { I } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 81, + 287, + 96 + ], + "score": 1.0, + "content": ". 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It", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 200, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 200, + 106 + ], + "score": 1.0, + "content": "will be useful to define", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 506, + 106 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 173, + 106, + 437, + 142 + ], + "lines": [ + { + "bbox": [ + 173, + 106, + 437, + 142 + ], + "spans": [ + { + "bbox": [ + 173, + 106, + 437, + 142 + ], + "score": 0.88, + "content": "\\mathbf { g } _ { t } : = \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\nabla f _ { i _ { t } ^ { k } } \\big ( \\mathbf { x } _ { t } ^ { k } \\big ) , \\qquad \\bar { \\mathbf { g } } _ { t } : = \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\nabla f \\big ( \\mathbf { x } _ { t } ^ { k } \\big ) .", + "type": "interline_equation", + "image_path": "606e3af663ca5e92933cb8cf8dc01f39b4f866892fbe4bdecf5a2d90673b231d.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 173, + 106, + 437, + 118.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 173, + 118.0, + 437, + 130.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 173, + 130.0, + 437, + 142.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 145, + 278, + 158 + ], + "lines": [ + { + "bbox": [ + 106, + 143, + 279, + 159 + ], + "spans": [ + { + "bbox": [ + 106, + 143, + 142, + 159 + ], + "score": 1.0, + "content": "Observe", + "type": "text" + }, + { + "bbox": [ + 142, + 146, + 216, + 158 + ], + "score": 0.91, + "content": "\\bar { \\mathbf { x } } _ { t + 1 } = \\bar { \\mathbf { x } } _ { t } - \\eta _ { t } \\mathbf { g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 143, + 234, + 159 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 234, + 146, + 275, + 157 + ], + "score": 0.92, + "content": "\\mathbb { E } { \\bf g } _ { t } = \\bar { \\bf g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 143, + 279, + 159 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5, + "bbox_fs": [ + 106, + 143, + 279, + 159 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 162, + 505, + 208 + ], + "lines": [ + { + "bbox": [ + 105, + 162, + 506, + 176 + ], + "spans": [ + { + "bbox": [ + 105, + 162, + 405, + 176 + ], + "score": 1.0, + "content": "Now the proof proceeds as follows: we show (i) that the virtual sequence", + "type": "text" + }, + { + "bbox": [ + 405, + 162, + 439, + 174 + ], + "score": 0.93, + "content": "\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 162, + 506, + 176 + ], + "score": 1.0, + "content": "almost behaves", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 170, + 503, + 190 + ], + "spans": [ + { + "bbox": [ + 104, + 170, + 251, + 190 + ], + "score": 1.0, + "content": "like mini-batch SGD with batch size", + "type": "text" + }, + { + "bbox": [ + 252, + 175, + 262, + 185 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 170, + 444, + 190 + ], + "score": 1.0, + "content": "(Lemma 3.1 and 3.2), and (ii) the true iterates", + "type": "text" + }, + { + "bbox": [ + 444, + 174, + 503, + 187 + ], + "score": 0.91, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t \\ge 0 , k \\in [ K ] }", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 186, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 186, + 505, + 198 + ], + "score": 1.0, + "content": "do not deviate much from the virtual sequence (Lemma 3.3). These are the main ingredients in the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 196, + 426, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 426, + 209 + ], + "score": 1.0, + "content": "proof. To obtain the rate we exploit a technical lemma from (Stich et al., 2018).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5, + "bbox_fs": [ + 104, + 162, + 506, + 209 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 210, + 505, + 236 + ], + "lines": [ + { + "bbox": [ + 105, + 209, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 175, + 225 + ], + "score": 1.0, + "content": "Lemma 3.1. Let", + "type": "text" + }, + { + "bbox": [ + 176, + 210, + 209, + 223 + ], + "score": 0.92, + "content": "\\{ { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 209, + 227, + 225 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 227, + 210, + 261, + 223 + ], + "score": 0.83, + "content": "\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 209, + 275, + 225 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 276, + 210, + 309, + 223 + ], + "score": 0.79, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 209, + 445, + 225 + ], + "score": 1.0, + "content": "be defined as in (4) and (7) and let", + "type": "text" + }, + { + "bbox": [ + 445, + 212, + 452, + 223 + ], + "score": 0.8, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 209, + 464, + 225 + ], + "score": 1.0, + "content": "be", + "type": "text" + }, + { + "bbox": [ + 465, + 212, + 472, + 221 + ], + "score": 0.78, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 209, + 505, + 225 + ], + "score": 1.0, + "content": "-smooth", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 222, + 278, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 124, + 237 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 225, + 131, + 235 + ], + "score": 0.79, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 222, + 215, + 237 + ], + "score": 1.0, + "content": "-strongly convex and", + "type": "text" + }, + { + "bbox": [ + 215, + 223, + 249, + 236 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\eta _ { t } \\leq \\frac { 1 } { 4 L } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 222, + 278, + 237 + ], + "score": 1.0, + "content": ". Then", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 209, + 505, + 237 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 239, + 454, + 292 + ], + "lines": [ + { + "bbox": [ + 156, + 239, + 454, + 292 + ], + "spans": [ + { + "bbox": [ + 156, + 239, + 454, + 292 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } { { \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t + 1 } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } \\leq ( 1 - \\mu \\eta _ { t } ) \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } + \\eta _ { t } ^ { 2 } \\mathbb { E } \\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\| ^ { 2 } } } \\\\ & { } & { \\quad - \\displaystyle \\frac { 1 } { 2 } \\eta _ { t } \\mathbb { E } ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } ) + 2 \\eta _ { t } \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\| ^ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "3c90d3f035f23b837c9ce64ac689cea16d28540b1e54601c1741255a6946b9bb.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 156, + 239, + 454, + 256.6666666666667 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 156, + 256.6666666666667, + 454, + 274.33333333333337 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 156, + 274.33333333333337, + 454, + 292.00000000000006 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 300, + 505, + 325 + ], + "lines": [ + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "Bounding the variance. From equation (9) it becomes clear that we should derive an upper bound", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 312, + 329, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 118, + 326 + ], + "score": 1.0, + "content": "on", + "type": "text" + }, + { + "bbox": [ + 119, + 312, + 173, + 326 + ], + "score": 0.93, + "content": "\\mathbb { E } \\left\\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 312, + 313, + 326 + ], + "score": 1.0, + "content": ". We will relate this to the variance", + "type": "text" + }, + { + "bbox": [ + 314, + 313, + 325, + 324 + ], + "score": 0.87, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 312, + 329, + 326 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 300, + 505, + 326 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 174, + 328, + 496, + 345 + ], + "lines": [ + { + "bbox": [ + 174, + 328, + 496, + 345 + ], + "spans": [ + { + "bbox": [ + 174, + 328, + 496, + 345 + ], + "score": 0.71, + "content": "\\begin{array} { r } { t \\sigma ^ { 2 } \\geq \\mathbb { E } _ { i } \\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\| ^ { 2 } f o r k \\in [ K ] , t \\in [ T ] . T h e n \\mathbb { E } \\left\\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } \\leq \\frac { \\sigma ^ { 2 } } { K } . } \\end{array}", + "type": "interline_equation", + "image_path": "f356e1c292e6b7481d78633ca26394040508d671dec24c520ff58837aa8f926b.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 174, + 328, + 496, + 345 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 356, + 502, + 381 + ], + "lines": [ + { + "bbox": [ + 101, + 348, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 101, + 348, + 165, + 379 + ], + "score": 1.0, + "content": "Bounding the", + "type": "text" + }, + { + "bbox": [ + 179, + 348, + 326, + 379 + ], + "score": 1.0, + "content": "viation. Further, we need to bound", + "type": "text" + }, + { + "bbox": [ + 326, + 356, + 422, + 371 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 348, + 505, + 379 + ], + "score": 1.0, + "content": ". For this we impose", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 166, + 367, + 366, + 384 + ], + "spans": [ + { + "bbox": [ + 166, + 370, + 179, + 380 + ], + "score": 0.89, + "content": "\\mathcal { I } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 367, + 352, + 384 + ], + "score": 1.0, + "content": "and an additional condition on the stepsize", + "type": "text" + }, + { + "bbox": [ + 353, + 372, + 362, + 381 + ], + "score": 0.82, + "content": "\\eta _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 367, + 366, + 384 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 101, + 348, + 505, + 384 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 383, + 502, + 406 + ], + "lines": [ + { + "bbox": [ + 104, + 381, + 504, + 398 + ], + "spans": [ + { + "bbox": [ + 104, + 381, + 172, + 398 + ], + "score": 1.0, + "content": "Lemma 3.3. If", + "type": "text" + }, + { + "bbox": [ + 172, + 383, + 234, + 396 + ], + "score": 0.88, + "content": "\\mathrm { g a p } ( { \\mathcal { I } } _ { T } ) \\leq H", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 381, + 428, + 398 + ], + "score": 1.0, + "content": "and sequence of decreasing positive stepsizes", + "type": "text" + }, + { + "bbox": [ + 428, + 384, + 461, + 396 + ], + "score": 0.92, + "content": "\\{ \\eta _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 381, + 504, + 398 + ], + "score": 1.0, + "content": "satisfying", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 395, + 232, + 407 + ], + "spans": [ + { + "bbox": [ + 107, + 395, + 156, + 407 + ], + "score": 0.91, + "content": "\\eta _ { t } \\leq 2 \\eta _ { t + H }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 395, + 184, + 407 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 185, + 396, + 208, + 406 + ], + "score": 0.89, + "content": "t \\geq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 395, + 232, + 407 + ], + "score": 1.0, + "content": ", then", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 104, + 381, + 504, + 407 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 232, + 411, + 378, + 445 + ], + "lines": [ + { + "bbox": [ + 232, + 411, + 378, + 445 + ], + "spans": [ + { + "bbox": [ + 232, + 411, + 378, + 445 + ], + "score": 0.95, + "content": "\\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 4 \\eta _ { t } ^ { 2 } G ^ { 2 } H ^ { 2 } ,", + "type": "interline_equation", + "image_path": "e4be77d41561133b7ff86d46061e090e7b7c895b6e1d32dfac76d2f6280ba007.jpg" + } + ] + } + ], + "index": 22.5, + "virtual_lines": [ + { + "bbox": [ + 232, + 411, + 378, + 428.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 232, + 428.0, + 378, + 445.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 449, + 411, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 447, + 411, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 133, + 465 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 450, + 146, + 460 + ], + "score": 0.87, + "content": "G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 447, + 239, + 465 + ], + "score": 1.0, + "content": "is a constant such that", + "type": "text" + }, + { + "bbox": [ + 239, + 449, + 326, + 463 + ], + "score": 0.9, + "content": "\\mathbb { E } _ { i } \\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) \\| ^ { 2 } \\leq G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 447, + 341, + 465 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 341, + 450, + 407, + 462 + ], + "score": 0.89, + "content": "k \\in [ K ] , t \\in [ T ]", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 447, + 411, + 465 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 447, + 411, + 465 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 473, + 506, + 519 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "Optimal Averaging. Similar as in (Lacoste-Julien et al., 2012; Shamir & Zhang, 2013; Rakhlin", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 485, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 390, + 498 + ], + "score": 1.0, + "content": "et al., 2012) we define a suitable averaging scheme for the iterates", + "type": "text" + }, + { + "bbox": [ + 391, + 485, + 425, + 497 + ], + "score": 0.93, + "content": "\\{ \\bar { \\bf x } _ { t } \\} _ { t \\ge 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 485, + 506, + 498 + ], + "score": 1.0, + "content": "to get the optimal", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "score": 1.0, + "content": "convergence rate. In contrast to (Lacoste-Julien et al., 2012) that use linearly increasing weights, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 507, + 492, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 492, + 519 + ], + "score": 1.0, + "content": "use quadratically increasing weights, as for instance (Shamir & Zhang, 2013; Stich et al., 2018).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 474, + 506, + 519 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 520, + 490, + 534 + ], + "lines": [ + { + "bbox": [ + 104, + 518, + 492, + 537 + ], + "spans": [ + { + "bbox": [ + 104, + 518, + 258, + 537 + ], + "score": 1.0, + "content": "Lemma 3.4 ((Stich et al., 2018)). Let", + "type": "text" + }, + { + "bbox": [ + 259, + 521, + 395, + 534 + ], + "score": 0.34, + "content": "\\{ a _ { t } \\} _ { t \\ge 0 } , a _ { t } \\ge 0 , \\{ e _ { t } \\} _ { t \\ge 0 } , e _ { t } \\ge 0", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 518, + 492, + 537 + ], + "score": 1.0, + "content": "be sequences satisfying", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29, + "bbox_fs": [ + 104, + 518, + 492, + 537 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 212, + 537, + 398, + 552 + ], + "lines": [ + { + "bbox": [ + 212, + 537, + 398, + 552 + ], + "spans": [ + { + "bbox": [ + 212, + 537, + 398, + 552 + ], + "score": 0.88, + "content": "a _ { t + 1 } \\leq \\left( 1 - \\mu \\eta _ { t } \\right) a _ { t } - \\eta _ { t } e _ { t } A + \\eta _ { t } ^ { 2 } B + \\eta _ { t } ^ { 3 } C ,", + "type": "interline_equation", + "image_path": "225add30ce86bb0c0f624317503742b3d0d6c8209fed54ba8c9f8d8eb9686344.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 212, + 537, + 398, + 552 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 557, + 384, + 572 + ], + "lines": [ + { + "bbox": [ + 101, + 554, + 388, + 577 + ], + "spans": [ + { + "bbox": [ + 101, + 554, + 120, + 577 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 120, + 557, + 170, + 573 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\eta _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 554, + 229, + 577 + ], + "score": 1.0, + "content": "and constants", + "type": "text" + }, + { + "bbox": [ + 229, + 558, + 358, + 570 + ], + "score": 0.57, + "content": "A > 0 , B , C \\ge 0 , \\mu > 0 , a > 1", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 554, + 388, + 577 + ], + "score": 1.0, + "content": ". Then", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31, + "bbox_fs": [ + 101, + 554, + 388, + 577 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 195, + 577, + 415, + 611 + ], + "lines": [ + { + "bbox": [ + 195, + 577, + 415, + 611 + ], + "spans": [ + { + "bbox": [ + 195, + 577, + 415, + 611 + ], + "score": 0.92, + "content": "\\frac { A } { S _ { T } } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } e _ { t } \\le \\frac { \\mu a ^ { 3 } } { 4 S _ { T } } a _ { 0 } + \\frac { 2 T ( T + 2 a ) } { \\mu S _ { T } } B + \\frac { 1 6 T } { \\mu ^ { 2 } S _ { T } } C ,", + "type": "interline_equation", + "image_path": "dd590d48079802aa4e3a841c8a7d717e0349374d12938df141020f8c0123223a.jpg" + } + ] + } + ], + "index": 32.5, + "virtual_lines": [ + { + "bbox": [ + 195, + 577, + 415, + 594.0 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 195, + 594.0, + 415, + 611.0 + ], + "spans": [], + "index": 33 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 615, + 470, + 632 + ], + "lines": [ + { + "bbox": [ + 121, + 609, + 469, + 636 + ], + "spans": [ + { + "bbox": [ + 121, + 617, + 179, + 630 + ], + "score": 0.93, + "content": "w _ { t } = ( a + t ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 609, + 194, + 636 + ], + "score": 1.0, + "content": "an", + "type": "text" + }, + { + "bbox": [ + 198, + 615, + 469, + 631 + ], + "score": 0.79, + "content": "\\begin{array} { r } { S _ { T } : = \\sum _ { t = 0 } ^ { T - 1 } w _ { t } = \\frac { T } { 6 } \\left( 2 T ^ { 2 } + 6 a T - 3 T + 6 a ^ { 2 } - 6 a + 1 \\right) \\ge \\frac { 1 } { 3 } T ^ { 3 } . } \\end{array}", + "type": "inline_equation" + } + ], + "index": 34 + } + ], + "index": 34, + "bbox_fs": [ + 121, + 609, + 469, + 636 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 641, + 378, + 654 + ], + "lines": [ + { + "bbox": [ + 106, + 641, + 377, + 654 + ], + "spans": [ + { + "bbox": [ + 106, + 641, + 377, + 654 + ], + "score": 1.0, + "content": "Proof. This is a reformulation of Lemma 3.3 in (Stich et al., 2018).", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35, + "bbox_fs": [ + 106, + 641, + 377, + 654 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 665, + 507, + 735 + ], + "lines": [ + { + "bbox": [ + 102, + 663, + 509, + 686 + ], + "spans": [ + { + "bbox": [ + 102, + 663, + 273, + 686 + ], + "score": 1.0, + "content": "Proof of Theorem 2.2. By convexity of", + "type": "text" + }, + { + "bbox": [ + 274, + 668, + 281, + 679 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 663, + 316, + 686 + ], + "score": 1.0, + "content": "we have", + "type": "text" + }, + { + "bbox": [ + 316, + 665, + 503, + 681 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\mathbb { E } f ( \\hat { \\mathbf { x } } _ { T } ) - f ^ { \\star } \\le \\frac { 1 } { S _ { T } } \\sum _ { t = 0 } ^ { T - 1 } w _ { t } \\mathbb { E } \\big ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } \\big ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 663, + 509, + 686 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 679, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 679, + 506, + 691 + ], + "score": 1.0, + "content": "The proof of the theorem thus follows immediately from the four lemmas that we have presented, i.e.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 689, + 507, + 708 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 185, + 708 + ], + "score": 1.0, + "content": "by Lemma 3.4 with", + "type": "text" + }, + { + "bbox": [ + 185, + 692, + 270, + 705 + ], + "score": 0.92, + "content": "e _ { t } : = \\mathbb { E } ( f ( { \\bar { \\mathbf { x } } } _ { t } ) - f ^ { \\star } )", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 689, + 327, + 708 + ], + "score": 1.0, + "content": "and constants", + "type": "text" + }, + { + "bbox": [ + 327, + 692, + 355, + 705 + ], + "score": 0.93, + "content": "\\begin{array} { r } { A = { \\frac { 1 } { 2 } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 689, + 415, + 708 + ], + "score": 1.0, + "content": ", (Lemma 3.1),", + "type": "text" + }, + { + "bbox": [ + 415, + 690, + 448, + 705 + ], + "score": 0.92, + "content": "\\textstyle B = { \\frac { \\sigma ^ { 2 } } { K } }", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 689, + 507, + 708 + ], + "score": 1.0, + "content": ", (Lemma 3.2)", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 702, + 506, + 721 + ], + "spans": [ + { + "bbox": [ + 105, + 702, + 123, + 721 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 704, + 183, + 716 + ], + "score": 0.91, + "content": "{ \\cal C } = 8 G ^ { 2 } H ^ { 2 } L", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 702, + 348, + 721 + ], + "score": 1.0, + "content": ", (Lemma 3.3). Observe that the stepsizes", + "type": "text" + }, + { + "bbox": [ + 348, + 704, + 397, + 720 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\bar { \\eta } _ { t } = \\frac { 4 } { \\mu ( a + t ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 702, + 506, + 721 + ], + "score": 1.0, + "content": "satisfy both the conditions", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 717, + 506, + 737 + ], + "spans": [ + { + "bbox": [ + 106, + 718, + 166, + 734 + ], + "score": 1.0, + "content": "of Lemma 3.1", + "type": "text" + }, + { + "bbox": [ + 166, + 719, + 227, + 735 + ], + "score": 0.92, + "content": "\\begin{array} { r } { ( \\eta _ { 0 } = \\frac { 4 } { \\mu a } \\le \\frac { 1 } { 4 L } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 717, + 242, + 737 + ], + "score": 1.0, + "content": ", as", + "type": "text" + }, + { + "bbox": [ + 242, + 720, + 278, + 732 + ], + "score": 0.87, + "content": "a \\geq 1 6 \\kappa", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 717, + 359, + 737 + ], + "score": 1.0, + "content": ") and of Lemma 3.3", + "type": "text" + }, + { + "bbox": [ + 360, + 719, + 443, + 735 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\frac { \\eta _ { t } } { \\eta _ { t + H } } = \\frac { a + t + H } { a + t } \\leq 2 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 718, + 457, + 734 + ], + "score": 1.0, + "content": ", as", + "type": "text" + }, + { + "bbox": [ + 457, + 720, + 486, + 732 + ], + "score": 0.88, + "content": "a \\geq H", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 718, + 506, + 734 + ], + "score": 1.0, + "content": "\u0001 . \u0003", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 357, + 725, + 360, + 738 + ], + "spans": [ + { + "bbox": [ + 357, + 725, + 360, + 738 + ], + "score": 0.0, + "content": "", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38.5, + 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"score": 1.0, + "content": "for different numbers of workers", + "type": "text" + }, + { + "bbox": [ + 493, + 259, + 504, + 269 + ], + "score": 0.72, + "content": "K", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 270, + 184, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 169, + 282 + ], + "score": 1.0, + "content": "and parameters", + "type": "text" + }, + { + "bbox": [ + 170, + 271, + 180, + 280 + ], + "score": 0.78, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 270, + 184, + 282 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + } + ], + "index": 6.25 + }, + { + "type": "title", + "bbox": [ + 108, + 297, + 268, + 310 + ], + "lines": [ + { + "bbox": [ + 104, + 295, + 271, + 312 + ], + "spans": [ + { + "bbox": [ + 104, + 295, + 271, + 312 + ], + "score": 1.0, + "content": "4 NUMERICAL ILLUSTRATION", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 104, + 322, + 474, + 335 + ], + "lines": [ + { + "bbox": [ + 105, + 322, + 477, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 477, + 336 + ], + "score": 1.0, + "content": "In this section we show some numerical experiments to illustrate the results of Theorem 2.2.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 347, + 506, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 347, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 505, + 360 + ], + "score": 1.0, + "content": "Speedup. When Algorithm 1 is implemented in a distributed setting, there are two components", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 437, + 371 + ], + "score": 1.0, + "content": "that determine the wall-clock time: (i) the total number of gradient computations,", + "type": "text" + }, + { + "bbox": [ + 437, + 359, + 455, + 369 + ], + "score": 0.82, + "content": "T K", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 358, + 505, + 371 + ], + "score": 1.0, + "content": ", and (ii) the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 385, + 381 + ], + "score": 1.0, + "content": "total time spend for communication. In each communication round", + "type": "text" + }, + { + "bbox": [ + 386, + 370, + 426, + 381 + ], + "score": 0.92, + "content": "2 ( K - 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "vectors need to be", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 225, + 393 + ], + "score": 1.0, + "content": "exchanged, and there will be", + "type": "text" + }, + { + "bbox": [ + 226, + 380, + 248, + 393 + ], + "score": 0.91, + "content": "T / H", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "communication rounds. Typically, the communication is more", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 391, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 431, + 405 + ], + "score": 1.0, + "content": "expensive than a single gradient computation. We will denote this ratio by a factor", + "type": "text" + }, + { + "bbox": [ + 432, + 392, + 456, + 403 + ], + "score": 0.9, + "content": "\\rho \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 391, + 506, + 405 + ], + "score": 1.0, + "content": "(in practice,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 113, + 414 + ], + "score": 0.78, + "content": "\\rho", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 402, + 367, + 415 + ], + "score": 1.0, + "content": "can be 10–100, or even larger on slow networks). The parameter", + "type": "text" + }, + { + "bbox": [ + 367, + 403, + 376, + 412 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "depends on the desired accuracy", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 102, + 412, + 504, + 435 + ], + "spans": [ + { + "bbox": [ + 102, + 412, + 369, + 433 + ], + "score": 1.0, + "content": "\u000f > 0, and according to (6) we roughly have T (\u000f, H, K) ≈ 1K\u000f", + "type": "text" + }, + { + "bbox": [ + 291, + 414, + 502, + 433 + ], + "score": 0.92, + "content": "\\begin{array} { r } { T ( \\epsilon , H , K ) \\approx \\frac { 1 } { K \\epsilon } \\left( \\frac { 1 } { 2 } + \\frac { 1 } { 2 } \\sqrt { 1 + \\epsilon ( 1 + H + H ^ { 2 } K ) } \\right) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 412, + 504, + 435 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 430, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 223, + 445 + ], + "score": 1.0, + "content": "Thus, the theoretical speedup", + "type": "text" + }, + { + "bbox": [ + 224, + 432, + 248, + 444 + ], + "score": 0.93, + "content": "S ( K )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 430, + 316, + 445 + ], + "score": 1.0, + "content": "of local SGD on", + "type": "text" + }, + { + "bbox": [ + 316, + 433, + 326, + 442 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 430, + 506, + 445 + ], + "score": 1.0, + "content": "machines compared to SGD on one machine", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 442, + 185, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 109, + 455 + ], + "score": 0.0, + "content": "", + "type": "text" + }, + { + "bbox": [ + 110, + 443, + 138, + 453 + ], + "score": 0.81, + "content": "H = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 442, + 142, + 455 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 142, + 443, + 171, + 453 + ], + "score": 0.71, + "content": "K = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 442, + 185, + 455 + ], + "score": 1.0, + "content": ") is", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15 + }, + { + "type": "interline_equation", + "bbox": [ + 180, + 459, + 430, + 495 + ], + "lines": [ + { + "bbox": [ + 180, + 459, + 430, + 495 + ], + "spans": [ + { + "bbox": [ + 180, + 459, + 430, + 495 + ], + "score": 0.94, + "content": "S ( K ) = \\frac { K } { \\left( \\frac { 1 } { 2 } + \\frac { 1 } { 2 } \\sqrt { 1 + \\epsilon ( 1 + H + H ^ { 2 } K ) } \\right) \\left( 1 + 2 \\rho \\frac { ( K - 1 ) } { H } \\right) } .", + "type": "interline_equation", + "image_path": "fe00597e4f310e78880fc5d15e1eaa6308264fd059a83cd15f386fac1af2f630.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 180, + 459, + 430, + 471.0 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 180, + 471.0, + 430, + 483.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 180, + 483.0, + 430, + 495.0 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 505, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 105, + 505, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 336, + 518 + ], + "score": 1.0, + "content": "Theoretical. Examining (13), we see that (i) increasing", + "type": "text" + }, + { + "bbox": [ + 337, + 506, + 347, + 516 + ], + "score": 0.82, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 505, + 506, + 518 + ], + "score": 1.0, + "content": "can reduce negative scaling effects due", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "score": 1.0, + "content": "to parallelization (second bracket in the denominator of (13)), and (ii) local SGD only shows linear", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 527, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 104, + 527, + 151, + 542 + ], + "score": 1.0, + "content": "scaling for", + "type": "text" + }, + { + "bbox": [ + 152, + 528, + 178, + 538 + ], + "score": 0.88, + "content": "\\epsilon \\ll 1", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 527, + 197, + 542 + ], + "score": 1.0, + "content": "(i.e.", + "type": "text" + }, + { + "bbox": [ + 198, + 528, + 206, + 538 + ], + "score": 0.79, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 527, + 478, + 542 + ], + "score": 1.0, + "content": "large enough, in agreement with the theory). In Figure 2 we depict", + "type": "text" + }, + { + "bbox": [ + 478, + 528, + 502, + 540 + ], + "score": 0.92, + "content": "S ( K )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 527, + 506, + 542 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 141, + 552 + ], + "score": 1.0, + "content": "once for", + "type": "text" + }, + { + "bbox": [ + 141, + 540, + 165, + 549 + ], + "score": 0.89, + "content": "\\epsilon = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 538, + 281, + 552 + ], + "score": 1.0, + "content": "in Figure 2b, and for positive", + "type": "text" + }, + { + "bbox": [ + 281, + 539, + 305, + 549 + ], + "score": 0.89, + "content": "\\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 538, + 441, + 552 + ], + "score": 1.0, + "content": "in Figure 2a under the assumption", + "type": "text" + }, + { + "bbox": [ + 441, + 539, + 470, + 550 + ], + "score": 0.9, + "content": "\\rho = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 538, + 506, + 552 + ], + "score": 1.0, + "content": ". We see", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 138, + 563 + ], + "score": 1.0, + "content": "that for", + "type": "text" + }, + { + "bbox": [ + 138, + 550, + 162, + 560 + ], + "score": 0.88, + "content": "\\epsilon = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 549, + 245, + 563 + ], + "score": 1.0, + "content": "the largest values of", + "type": "text" + }, + { + "bbox": [ + 245, + 550, + 255, + 560 + ], + "score": 0.82, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "give the best speedup, however, when only a few epochs need", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 283, + 573 + ], + "score": 1.0, + "content": "to be performed, then the optimal values of", + "type": "text" + }, + { + "bbox": [ + 283, + 561, + 294, + 570 + ], + "score": 0.82, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 560, + 440, + 573 + ], + "score": 1.0, + "content": "change with the number of workers", + "type": "text" + }, + { + "bbox": [ + 441, + 561, + 451, + 570 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 560, + 506, + 573 + ], + "score": 1.0, + "content": ". We also see", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 571, + 504, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 571, + 244, + 583 + ], + "score": 1.0, + "content": "that for a small number of workers", + "type": "text" + }, + { + "bbox": [ + 245, + 572, + 273, + 581 + ], + "score": 0.9, + "content": "H = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 274, + 571, + 352, + 583 + ], + "score": 1.0, + "content": "is never optimal. If", + "type": "text" + }, + { + "bbox": [ + 352, + 572, + 360, + 581 + ], + "score": 0.81, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 571, + 504, + 583 + ], + "score": 1.0, + "content": "is unknown, then these observations", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 583, + 504, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 453, + 595 + ], + "score": 1.0, + "content": "seem to indicate that the technique from (Zhang et al., 2016), i.e. adaptively increasing", + "type": "text" + }, + { + "bbox": [ + 453, + 583, + 464, + 593 + ], + "score": 0.75, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 583, + 504, + 595 + ], + "score": 1.0, + "content": "over time", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 594, + 470, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 316, + 606 + ], + "score": 1.0, + "content": "seems to be a good strategy to get the best choice of", + "type": "text" + }, + { + "bbox": [ + 316, + 594, + 326, + 603 + ], + "score": 0.82, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 594, + 470, + 606 + ], + "score": 1.0, + "content": "when the time horizon is unknown.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 617, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 617, + 504, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 469, + 631 + ], + "score": 1.0, + "content": "Experimental. We examine the practical speedup on a logistic regression problem,", + "type": "text" + }, + { + "bbox": [ + 469, + 618, + 504, + 630 + ], + "score": 0.9, + "content": "f ( \\mathbf { x } ) \\ =", + "type": "inline_equation" + } + ], + "index": 32 + }, + { + "bbox": [ + 108, + 624, + 510, + 648 + ], + "spans": [ + { + "bbox": [ + 108, + 629, + 279, + 644 + ], + "score": 0.89, + "content": "\\begin{array} { r } { \\frac { 1 } { n _ { . } } \\sum _ { i = 1 } ^ { n } \\log ( 1 + \\exp ( - b _ { i } \\mathbf { a } _ { i } ^ { \\top } \\mathbf { x } ) ) + \\frac { \\lambda } { 2 } \\| \\mathbf { x } \\| ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 624, + 311, + 648 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 311, + 630, + 348, + 641 + ], + "score": 0.91, + "content": "\\mathbf { a } _ { i } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 624, + 367, + 648 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 368, + 630, + 431, + 642 + ], + "score": 0.92, + "content": "b _ { i } \\in \\{ - 1 , + 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 624, + 510, + 648 + ], + "score": 1.0, + "content": "are the data sam-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 286, + 654 + ], + "score": 1.0, + "content": "ples. The regularization parameter is set to", + "type": "text" + }, + { + "bbox": [ + 287, + 642, + 325, + 653 + ], + "score": 0.92, + "content": "\\lambda = 1 / n", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 641, + 399, + 654 + ], + "score": 1.0, + "content": ". We consider the", + "type": "text" + }, + { + "bbox": [ + 400, + 643, + 419, + 652 + ], + "score": 0.74, + "content": "\\mathtt { w } 8 \\mathtt { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 641, + 506, + 654 + ], + "score": 1.0, + "content": "dataset (Platt, 1999)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 108, + 652, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 108, + 653, + 196, + 664 + ], + "score": 0.88, + "content": "( d = 3 0 0 , n = 4 9 7 4 9 )", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 652, + 312, + 665 + ], + "score": 1.0, + "content": ". We initialize all runs with", + "type": "text" + }, + { + "bbox": [ + 312, + 653, + 349, + 664 + ], + "score": 0.91, + "content": "\\mathbf { x } _ { 0 } = \\mathbf { 0 } _ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 652, + 505, + 665 + ], + "score": 1.0, + "content": "and measure the number of iterations", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 663, + 507, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 219, + 676 + ], + "score": 1.0, + "content": "to reach the target accuracy", + "type": "text" + }, + { + "bbox": [ + 219, + 666, + 225, + 673 + ], + "score": 0.3, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 663, + 507, + 676 + ], + "score": 1.0, + "content": ". We consider the target accuracy reached, when either the last iterate,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 673, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 505, + 687 + ], + "score": 1.0, + "content": "the uniform average, the average with linear weights, or the average with quadratic weights (such", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 685, + 505, + 698 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 505, + 698 + ], + "score": 1.0, + "content": "as in Theorem 2.2) reaches the target accuracy. By extensive grid search we determine for each", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 103, + 693, + 508, + 713 + ], + "spans": [ + { + "bbox": [ + 103, + 693, + 164, + 713 + ], + "score": 1.0, + "content": "configuration", + "type": "text" + }, + { + "bbox": [ + 164, + 696, + 206, + 708 + ], + "score": 0.93, + "content": "( H , K , B )", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 693, + 330, + 713 + ], + "score": 1.0, + "content": "the best stepsize from the set", + "type": "text" + }, + { + "bbox": [ + 330, + 696, + 414, + 710 + ], + "score": 0.93, + "content": "\\{ \\operatorname* { m i n } ( 3 \\bar { 2 } , \\frac { c n } { t + 1 } ) , 3 2 c \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 693, + 446, + 713 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 446, + 698, + 452, + 706 + ], + "score": 0.6, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 693, + 508, + 713 + ], + "score": 1.0, + "content": "can take the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 708, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 133, + 723 + ], + "score": 1.0, + "content": "values", + "type": "text" + }, + { + "bbox": [ + 134, + 709, + 161, + 720 + ], + "score": 0.91, + "content": "c = 2 ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 708, + 176, + 723 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 177, + 709, + 200, + 720 + ], + "score": 0.89, + "content": "i \\in \\mathbb { Z }", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 708, + 430, + 723 + ], + "score": 1.0, + "content": ". For more details on the experimental setup refer Section", + "type": "text" + }, + { + "bbox": [ + 430, + 710, + 439, + 720 + ], + "score": 0.49, + "content": "\\mathbf { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 708, + 506, + 723 + ], + "score": 1.0, + "content": "in the appendix.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 719, + 385, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 352, + 733 + ], + "score": 1.0, + "content": "We depict the results in Figure 3, again under the assumption", + "type": "text" + }, + { + "bbox": [ + 352, + 721, + 381, + 732 + ], + "score": 0.91, + "content": "\\rho = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 719, + 385, + 733 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36.5 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + 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184, + 282 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + } + ], + "index": 6.25 + }, + { + "type": "title", + "bbox": [ + 108, + 297, + 268, + 310 + ], + "lines": [ + { + "bbox": [ + 104, + 295, + 271, + 312 + ], + "spans": [ + { + "bbox": [ + 104, + 295, + 271, + 312 + ], + "score": 1.0, + "content": "4 NUMERICAL ILLUSTRATION", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 104, + 322, + 474, + 335 + ], + "lines": [ + { + "bbox": [ + 105, + 322, + 477, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 477, + 336 + ], + "score": 1.0, + "content": "In this section we show some numerical experiments to illustrate the results of Theorem 2.2.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 322, + 477, + 336 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 347, + 506, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 347, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 505, + 360 + ], + "score": 1.0, + "content": "Speedup. When Algorithm 1 is implemented in a distributed setting, there are two components", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 437, + 371 + ], + "score": 1.0, + "content": "that determine the wall-clock time: (i) the total number of gradient computations,", + "type": "text" + }, + { + "bbox": [ + 437, + 359, + 455, + 369 + ], + "score": 0.82, + "content": "T K", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 358, + 505, + 371 + ], + "score": 1.0, + "content": ", and (ii) the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 385, + 381 + ], + "score": 1.0, + "content": "total time spend for communication. In each communication round", + "type": "text" + }, + { + "bbox": [ + 386, + 370, + 426, + 381 + ], + "score": 0.92, + "content": "2 ( K - 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "vectors need to be", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 225, + 393 + ], + "score": 1.0, + "content": "exchanged, and there will be", + "type": "text" + }, + { + "bbox": [ + 226, + 380, + 248, + 393 + ], + "score": 0.91, + "content": "T / H", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "communication rounds. Typically, the communication is more", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 391, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 431, + 405 + ], + "score": 1.0, + "content": "expensive than a single gradient computation. We will denote this ratio by a factor", + "type": "text" + }, + { + "bbox": [ + 432, + 392, + 456, + 403 + ], + "score": 0.9, + "content": "\\rho \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 391, + 506, + 405 + ], + "score": 1.0, + "content": "(in practice,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 113, + 414 + ], + "score": 0.78, + "content": "\\rho", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 402, + 367, + 415 + ], + "score": 1.0, + "content": "can be 10–100, or even larger on slow networks). The parameter", + "type": "text" + }, + { + "bbox": [ + 367, + 403, + 376, + 412 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "depends on the desired accuracy", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 102, + 412, + 504, + 435 + ], + "spans": [ + { + "bbox": [ + 102, + 412, + 369, + 433 + ], + "score": 1.0, + "content": "\u000f > 0, and according to (6) we roughly have T (\u000f, H, K) ≈ 1K\u000f", + "type": "text" + }, + { + "bbox": [ + 291, + 414, + 502, + 433 + ], + "score": 0.92, + "content": "\\begin{array} { r } { T ( \\epsilon , H , K ) \\approx \\frac { 1 } { K \\epsilon } \\left( \\frac { 1 } { 2 } + \\frac { 1 } { 2 } \\sqrt { 1 + \\epsilon ( 1 + H + H ^ { 2 } K ) } \\right) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 412, + 504, + 435 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 430, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 223, + 445 + ], + "score": 1.0, + "content": "Thus, the theoretical speedup", + "type": "text" + }, + { + "bbox": [ + 224, + 432, + 248, + 444 + ], + "score": 0.93, + "content": "S ( K )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 430, + 316, + 445 + ], + "score": 1.0, + "content": "of local SGD on", + "type": "text" + }, + { + "bbox": [ + 316, + 433, + 326, + 442 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 430, + 506, + 445 + ], + "score": 1.0, + "content": "machines compared to SGD on one machine", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 442, + 185, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 109, + 455 + ], + "score": 0.0, + "content": "", + "type": "text" + }, + { + "bbox": [ + 110, + 443, + 138, + 453 + ], + "score": 0.81, + "content": "H = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 442, + 142, + 455 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 142, + 443, + 171, + 453 + ], + "score": 0.71, + "content": "K = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 442, + 185, + 455 + ], + "score": 1.0, + "content": ") is", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15, + "bbox_fs": [ + 102, + 347, + 506, + 455 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 180, + 459, + 430, + 495 + ], + "lines": [ + { + "bbox": [ + 180, + 459, + 430, + 495 + ], + "spans": [ + { + "bbox": [ + 180, + 459, + 430, + 495 + ], + "score": 0.94, + "content": "S ( K ) = \\frac { K } { \\left( \\frac { 1 } { 2 } + \\frac { 1 } { 2 } \\sqrt { 1 + \\epsilon ( 1 + H + H ^ { 2 } K ) } \\right) \\left( 1 + 2 \\rho \\frac { ( K - 1 ) } { H } \\right) } .", + "type": "interline_equation", + "image_path": "fe00597e4f310e78880fc5d15e1eaa6308264fd059a83cd15f386fac1af2f630.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 180, + 459, + 430, + 471.0 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 180, + 471.0, + 430, + 483.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 180, + 483.0, + 430, + 495.0 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 505, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 105, + 505, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 336, + 518 + ], + "score": 1.0, + "content": "Theoretical. Examining (13), we see that (i) increasing", + "type": "text" + }, + { + "bbox": [ + 337, + 506, + 347, + 516 + ], + "score": 0.82, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 505, + 506, + 518 + ], + "score": 1.0, + "content": "can reduce negative scaling effects due", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "score": 1.0, + "content": "to parallelization (second bracket in the denominator of (13)), and (ii) local SGD only shows linear", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 527, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 104, + 527, + 151, + 542 + ], + "score": 1.0, + "content": "scaling for", + "type": "text" + }, + { + "bbox": [ + 152, + 528, + 178, + 538 + ], + "score": 0.88, + "content": "\\epsilon \\ll 1", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 527, + 197, + 542 + ], + "score": 1.0, + "content": "(i.e.", + "type": "text" + }, + { + "bbox": [ + 198, + 528, + 206, + 538 + ], + "score": 0.79, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 527, + 478, + 542 + ], + "score": 1.0, + "content": "large enough, in agreement with the theory). In Figure 2 we depict", + "type": "text" + }, + { + "bbox": [ + 478, + 528, + 502, + 540 + ], + "score": 0.92, + "content": "S ( K )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 527, + 506, + 542 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 141, + 552 + ], + "score": 1.0, + "content": "once for", + "type": "text" + }, + { + "bbox": [ + 141, + 540, + 165, + 549 + ], + "score": 0.89, + "content": "\\epsilon = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 538, + 281, + 552 + ], + "score": 1.0, + "content": "in Figure 2b, and for positive", + "type": "text" + }, + { + "bbox": [ + 281, + 539, + 305, + 549 + ], + "score": 0.89, + "content": "\\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 538, + 441, + 552 + ], + "score": 1.0, + "content": "in Figure 2a under the assumption", + "type": "text" + }, + { + "bbox": [ + 441, + 539, + 470, + 550 + ], + "score": 0.9, + "content": "\\rho = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 538, + 506, + 552 + ], + "score": 1.0, + "content": ". We see", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 138, + 563 + ], + "score": 1.0, + "content": "that for", + "type": "text" + }, + { + "bbox": [ + 138, + 550, + 162, + 560 + ], + "score": 0.88, + "content": "\\epsilon = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 549, + 245, + 563 + ], + "score": 1.0, + "content": "the largest values of", + "type": "text" + }, + { + "bbox": [ + 245, + 550, + 255, + 560 + ], + "score": 0.82, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "give the best speedup, however, when only a few epochs need", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 283, + 573 + ], + "score": 1.0, + "content": "to be performed, then the optimal values of", + "type": "text" + }, + { + "bbox": [ + 283, + 561, + 294, + 570 + ], + "score": 0.82, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 560, + 440, + 573 + ], + "score": 1.0, + "content": "change with the number of workers", + "type": "text" + }, + { + "bbox": [ + 441, + 561, + 451, + 570 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 560, + 506, + 573 + ], + "score": 1.0, + "content": ". We also see", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 571, + 504, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 571, + 244, + 583 + ], + "score": 1.0, + "content": "that for a small number of workers", + "type": "text" + }, + { + "bbox": [ + 245, + 572, + 273, + 581 + ], + "score": 0.9, + "content": "H = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 274, + 571, + 352, + 583 + ], + "score": 1.0, + "content": "is never optimal. If", + "type": "text" + }, + { + "bbox": [ + 352, + 572, + 360, + 581 + ], + "score": 0.81, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 571, + 504, + 583 + ], + "score": 1.0, + "content": "is unknown, then these observations", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 583, + 504, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 453, + 595 + ], + "score": 1.0, + "content": "seem to indicate that the technique from (Zhang et al., 2016), i.e. adaptively increasing", + "type": "text" + }, + { + "bbox": [ + 453, + 583, + 464, + 593 + ], + "score": 0.75, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 583, + 504, + 595 + ], + "score": 1.0, + "content": "over time", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 594, + 470, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 316, + 606 + ], + "score": 1.0, + "content": "seems to be a good strategy to get the best choice of", + "type": "text" + }, + { + "bbox": [ + 316, + 594, + 326, + 603 + ], + "score": 0.82, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 594, + 470, + 606 + ], + "score": 1.0, + "content": "when the time horizon is unknown.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 505, + 506, + 606 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 617, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 617, + 504, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 469, + 631 + ], + "score": 1.0, + "content": "Experimental. We examine the practical speedup on a logistic regression problem,", + "type": "text" + }, + { + "bbox": [ + 469, + 618, + 504, + 630 + ], + "score": 0.9, + "content": "f ( \\mathbf { x } ) \\ =", + "type": "inline_equation" + } + ], + "index": 32 + }, + { + "bbox": [ + 108, + 624, + 510, + 648 + ], + "spans": [ + { + "bbox": [ + 108, + 629, + 279, + 644 + ], + "score": 0.89, + "content": "\\begin{array} { r } { \\frac { 1 } { n _ { . } } \\sum _ { i = 1 } ^ { n } \\log ( 1 + \\exp ( - b _ { i } \\mathbf { a } _ { i } ^ { \\top } \\mathbf { x } ) ) + \\frac { \\lambda } { 2 } \\| \\mathbf { x } \\| ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 624, + 311, + 648 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 311, + 630, + 348, + 641 + ], + "score": 0.91, + "content": "\\mathbf { a } _ { i } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 624, + 367, + 648 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 368, + 630, + 431, + 642 + ], + "score": 0.92, + "content": "b _ { i } \\in \\{ - 1 , + 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 624, + 510, + 648 + ], + "score": 1.0, + "content": "are the data sam-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 286, + 654 + ], + "score": 1.0, + "content": "ples. The regularization parameter is set to", + "type": "text" + }, + { + "bbox": [ + 287, + 642, + 325, + 653 + ], + "score": 0.92, + "content": "\\lambda = 1 / n", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 641, + 399, + 654 + ], + "score": 1.0, + "content": ". We consider the", + "type": "text" + }, + { + "bbox": [ + 400, + 643, + 419, + 652 + ], + "score": 0.74, + "content": "\\mathtt { w } 8 \\mathtt { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 641, + 506, + 654 + ], + "score": 1.0, + "content": "dataset (Platt, 1999)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 108, + 652, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 108, + 653, + 196, + 664 + ], + "score": 0.88, + "content": "( d = 3 0 0 , n = 4 9 7 4 9 )", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 652, + 312, + 665 + ], + "score": 1.0, + "content": ". We initialize all runs with", + "type": "text" + }, + { + "bbox": [ + 312, + 653, + 349, + 664 + ], + "score": 0.91, + "content": "\\mathbf { x } _ { 0 } = \\mathbf { 0 } _ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 652, + 505, + 665 + ], + "score": 1.0, + "content": "and measure the number of iterations", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 663, + 507, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 219, + 676 + ], + "score": 1.0, + "content": "to reach the target accuracy", + "type": "text" + }, + { + "bbox": [ + 219, + 666, + 225, + 673 + ], + "score": 0.3, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 663, + 507, + 676 + ], + "score": 1.0, + "content": ". We consider the target accuracy reached, when either the last iterate,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 673, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 505, + 687 + ], + "score": 1.0, + "content": "the uniform average, the average with linear weights, or the average with quadratic weights (such", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 685, + 505, + 698 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 505, + 698 + ], + "score": 1.0, + "content": "as in Theorem 2.2) reaches the target accuracy. 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The restriction on", + "type": "text" + }, + { + "bbox": [ + 240, + 248, + 250, + 258 + ], + "score": 0.79, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 246, + 394, + 261 + ], + "score": 1.0, + "content": "imposed by theory is not severe for", + "type": "text" + }, + { + "bbox": [ + 394, + 248, + 428, + 258 + ], + "score": 0.91, + "content": "T \\to \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 246, + 505, + 261 + ], + "score": 1.0, + "content": ". 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This has to be taken into account when deploying the algorithm", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 506, + 306 + ], + "score": 1.0, + "content": "on a massively parallel system, for instance through the technique mentioned in (Zhang et al., 2016).", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14 + }, + { + "type": "title", + "bbox": [ + 108, + 319, + 281, + 333 + ], + "lines": [ + { + "bbox": [ + 105, + 318, + 282, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 282, + 334 + ], + "score": 1.0, + "content": "5 ASYNCHRONOUS LOCAL SGD", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 344, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "In this section we present asynchronous local SGD that does not require that the local sequences are", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 354, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 505, + 370 + ], + "score": 1.0, + "content": "synchronized. 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For instance one could aim for a more fine grained", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "analysis in terms of bias and variance terms (similar as e.g. in Dekel et al. (2012); Jain et al. (2018)),", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 245, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 506, + 257 + ], + "score": 1.0, + "content": "relaxing the assumptions (here we relied on the bounded gradient assumption), or investigating the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 254, + 507, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 507, + 269 + ], + "score": 1.0, + "content": "data dependence (e.g. by considering data-depentent measures like e.g. gradient diversity Yin et al.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 266, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 506, + 280 + ], + "score": 1.0, + "content": "(2018)). There are also no apparent reasons that would limit the extension of the theory to non-convex", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 277, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 506, + 291 + ], + "score": 1.0, + "content": "objective functions; Lemma 3.3 does neither use the smoothness nor the strong convexity assumption,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 288, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 288, + 505, + 301 + ], + "score": 1.0, + "content": "so this can be applied in the non-convex setting as well. We feel that the positive results shown here", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "score": 1.0, + "content": "can motivate and spark further research on non-convex problems. Indeed, very recent work (Zhou &", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 311, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 505, + 323 + ], + "score": 1.0, + "content": "Cong, 2018; Yu et al., 2018) analyzes local SGD for non-convex optimization problems and shows", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 321, + 483, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 380, + 334 + ], + "score": 1.0, + "content": "convergence of SGD to a stationary point, though the restrictions on", + "type": "text" + }, + { + "bbox": [ + 380, + 322, + 390, + 331 + ], + "score": 0.81, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 321, + 483, + 334 + ], + "score": 1.0, + "content": "are stronger than here.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 13 + }, + { + "type": "title", + "bbox": [ + 108, + 350, + 218, + 362 + ], + "lines": [ + { + "bbox": [ + 106, + 349, + 220, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 220, + 365 + ], + "score": 1.0, + "content": "ACKNOWLEDGMENTS", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 374, + 504, + 397 + ], + "lines": [ + { + "bbox": [ + 105, + 373, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 388 + ], + "score": 1.0, + "content": "The author thanks Jean-Baptiste Cordonnier, Tao Lin and Kumar Kshitij Patel for spotting various", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 385, + 444, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 444, + 399 + ], + "score": 1.0, + "content": "typos in the first versions of this manuscript, as well as Martin Jaggi for his support.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 108, + 414, + 175, + 425 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 176, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 176, + 426 + ], + "score": 1.0, + "content": "REFERENCES", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 430, + 507, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "score": 1.0, + "content": "Martín Abadi, Ashish Agarwal, Paul Barham, Eugene Brevdo, Zhifeng Chen, Craig Citro, Greg S Corrado,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 115, + 440, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 115, + 440, + 506, + 456 + ], + "score": 1.0, + "content": "Andy Davis, Jeffrey Dean, Matthieu Devin, et al. 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We show that local SGD saves up to a factor of", + "type": "text" + }, + { + "bbox": [ + 457, + 172, + 493, + 185 + ], + "score": 0.92, + "content": "O ( T ^ { 1 / 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 170, + 506, + 187 + ], + "score": 1.0, + "content": "in", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 184, + 505, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 184, + 505, + 197 + ], + "score": 1.0, + "content": "global communication rounds compared to mini-batch SGD, while still converging at the same rate", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 195, + 308, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 195, + 308, + 207 + ], + "score": 1.0, + "content": "in terms of total stochastic gradient computations.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5, + "bbox_fs": [ + 105, + 150, + 506, + 207 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 211, + 505, + 333 + ], + "lines": [ + { + "bbox": [ + 106, + 212, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 106, + 212, + 506, + 225 + ], + "score": 1.0, + "content": "Deriving more concise convergence rates for local SGD could be an interesting future direction that", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 223, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 506, + 236 + ], + "score": 1.0, + "content": "could deepen our understanding of the scheme. For instance one could aim for a more fine grained", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "analysis in terms of bias and variance terms (similar as e.g. in Dekel et al. (2012); Jain et al. (2018)),", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 245, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 506, + 257 + ], + "score": 1.0, + "content": "relaxing the assumptions (here we relied on the bounded gradient assumption), or investigating the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 254, + 507, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 507, + 269 + ], + "score": 1.0, + "content": "data dependence (e.g. by considering data-depentent measures like e.g. gradient diversity Yin et al.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 266, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 506, + 280 + ], + "score": 1.0, + "content": "(2018)). There are also no apparent reasons that would limit the extension of the theory to non-convex", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 277, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 506, + 291 + ], + "score": 1.0, + "content": "objective functions; Lemma 3.3 does neither use the smoothness nor the strong convexity assumption,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 288, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 288, + 505, + 301 + ], + "score": 1.0, + "content": "so this can be applied in the non-convex setting as well. We feel that the positive results shown here", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "score": 1.0, + "content": "can motivate and spark further research on non-convex problems. Indeed, very recent work (Zhou &", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 311, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 505, + 323 + ], + "score": 1.0, + "content": "Cong, 2018; Yu et al., 2018) analyzes local SGD for non-convex optimization problems and shows", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 321, + 483, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 380, + 334 + ], + "score": 1.0, + "content": "convergence of SGD to a stationary point, though the restrictions on", + "type": "text" + }, + { + "bbox": [ + 380, + 322, + 390, + 331 + ], + "score": 0.81, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 321, + 483, + 334 + ], + "score": 1.0, + "content": "are stronger than here.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 212, + 507, + 334 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 350, + 218, + 362 + ], + "lines": [ + { + "bbox": [ + 106, + 349, + 220, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 220, + 365 + ], + "score": 1.0, + "content": "ACKNOWLEDGMENTS", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 374, + 504, + 397 + ], + "lines": [ + { + "bbox": [ + 105, + 373, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 388 + ], + "score": 1.0, + "content": "The author thanks Jean-Baptiste Cordonnier, Tao Lin and Kumar Kshitij Patel for spotting various", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 385, + 444, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 444, + 399 + ], + "score": 1.0, + "content": "typos in the first versions of this manuscript, as well as Martin Jaggi for his support.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 373, + 505, + 399 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 414, + 175, + 425 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 176, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 176, + 426 + ], + "score": 1.0, + "content": "REFERENCES", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "list", + "bbox": [ + 106, + 430, + 507, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "score": 1.0, + "content": "Martín Abadi, Ashish Agarwal, Paul Barham, Eugene Brevdo, Zhifeng Chen, Craig Citro, Greg S Corrado,", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 115, + 440, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 115, + 440, + 506, + 456 + ], + "score": 1.0, + "content": "Andy Davis, Jeffrey Dean, Matthieu Devin, et al. 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Using the update equation (7) we have", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "interline_equation", + "bbox": [ + 118, + 145, + 476, + 181 + ], + "lines": [ + { + "bbox": [ + 118, + 145, + 476, + 181 + ], + "spans": [ + { + "bbox": [ + 118, + 145, + 476, + 181 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\left\\| \\bar { \\mathbf { x } } _ { t + 1 } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } = \\left\\| \\bar { \\mathbf { x } } _ { t } - \\eta _ { t } \\mathbf { g } _ { t } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } = \\left\\| \\bar { \\mathbf { x } } _ { t } - \\eta _ { t } \\mathbf { g } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } + \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } } \\\\ & { \\qquad = \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } + \\eta _ { t } ^ { 2 } \\left\\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } + 2 \\eta _ { t } \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } , \\bar { \\mathbf { g } } _ { t } - \\mathbf { g } _ { t } \\right. . } \\end{array}", + "type": "interline_equation", + "image_path": "9302d46a7cbb1d31ca99cef59d10b956c07ca0a83e68481776b6730bd1044af6.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 118, + 145, + 476, + 157.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 118, + 157.0, + 476, + 169.0 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 118, + 169.0, + 476, + 181.0 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 183, + 159, + 195 + ], + "lines": [ + { + "bbox": [ + 106, + 183, + 160, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 160, + 196 + ], + "score": 1.0, + "content": "Observe that", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "interline_equation", + "bbox": [ + 116, + 198, + 491, + 393 + ], + "lines": [ + { + "bbox": [ + 116, + 198, + 491, + 393 + ], + "spans": [ + { + "bbox": [ + 116, + 198, + 491, + 393 + ], + "score": 0.92, + "content": "\\begin{array} { r l } { | { \\bf x } _ { k } - { \\bf x } ^ { \\prime } - \\eta _ { k } \\mathbf { g } | ^ { 2 } = \\| { \\bf x } _ { k } - { \\bf x } ^ { \\prime } \\| ^ { 2 } + \\eta _ { k } ^ { 2 } \\| { \\bf g } _ { k } \\| ^ { 2 } - 2 \\eta _ { k } { \\bf x } _ { k } - { \\bf x } ^ { \\prime } , { \\bf g } _ { k } } & { \\qquad \\mathrm { ( f ~ } { \\bf x } _ { k } < { \\bf x } ^ { \\prime } , { \\bf g } _ { k } ^ { \\prime } \\mathrm { ) } } \\\\ & { = \\| { \\bf x } _ { k } - { \\bf x } ^ { \\prime } \\| ^ { 2 } + \\eta _ { k } ^ { 2 } \\| { \\bf g } _ { k } \\| ^ { 2 } - 2 \\eta _ { k } { 1 } { K _ { k } - 1 } { \\bf x } _ { k } - { \\bf x } ^ { \\prime } , \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) } & { \\qquad \\mathrm { ( f ~ } { \\bf x } _ { k } < { \\bf x } ^ { \\prime } , \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) } \\\\ & { \\leq \\| { \\bf x } _ { k } - { \\bf x } ^ { \\prime } \\| ^ { 2 } + \\eta _ { k } ^ { 2 } \\frac { 1 } { K _ { k } - 1 } \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) + \\eta _ { k } ^ { 2 } } \\\\ & { \\qquad - 2 \\eta _ { k } \\frac { 1 } { K _ { k } - 1 } \\frac { K _ { k } ^ { 2 } } { K _ { k } - 1 } { \\bf x } _ { k } - { \\bf x } _ { k } ^ { \\prime } + { \\bf x } _ { k } ^ { \\prime } - { \\bf x } ^ { \\prime } , \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) } \\\\ & { = \\| { \\bf x } _ { k } - { \\bf x } ^ { \\prime } \\| ^ { 2 } + \\eta _ { k } ^ { 2 } \\frac { 1 } { K _ { k } - 1 } \\| \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) - \\nabla f ( { \\bf x } ^ { \\prime } ) \\| ^ { 2 } } \\\\ & \\qquad - 2 \\eta _ { k } ^ { 2 } \\frac { 1 } { K _ { k } - 1 } { \\bf x } _ { k } ^ { \\prime } - \\end{array}", + "type": "interline_equation", + "image_path": "30e85c51a21898282a433859d87685f11577c7f7fdbf14a5ab574820d148a8fc.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 116, + 198, + 491, + 263.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 116, + 263.0, + 491, + 328.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 116, + 328.0, + 491, + 393.0 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 406, + 457, + 423 + ], + "lines": [ + { + "bbox": [ + 103, + 402, + 460, + 426 + ], + "spans": [ + { + "bbox": [ + 103, + 402, + 225, + 426 + ], + "score": 1.0, + "content": "where we used the inequality", + "type": "text" + }, + { + "bbox": [ + 226, + 407, + 348, + 423 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\| \\sum _ { i = 1 } ^ { K } \\mathbf { a } _ { i } \\| ^ { 2 } \\leq K \\sum _ { i = 1 } ^ { K } \\| \\mathbf { a } _ { i } \\| ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 402, + 396, + 426 + ], + "score": 1.0, + "content": "in (21). 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This gives", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 510, + 452, + 577 + ], + "lines": [ + { + "bbox": [ + 156, + 510, + 452, + 577 + ], + "spans": [ + { + "bbox": [ + 156, + 510, + 452, + 577 + ], + "score": 0.94, + "content": "\\begin{array} { l } { \\displaystyle - 2 \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } , \\nabla f ( { \\mathbf { x } } _ { t } ^ { k } ) \\right. \\leq 2 L \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right. ^ { 2 } + \\displaystyle \\frac { 1 } { 2 L } \\left. \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right. ^ { 2 } } \\\\ { \\displaystyle \\qquad = 2 L \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right. ^ { 2 } + \\displaystyle \\frac { 1 } { 2 L } \\left. \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } ^ { \\star } ) \\right. ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq 2 L \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right. ^ { 2 } + \\left( f ( \\mathbf { x } _ { t } ^ { k } ) - f ^ { \\star } \\right) , } \\end{array}", + "type": "interline_equation", + "image_path": "6323e16b0c4cec6f5a266f8bc0968be4e2f8d92bc2fa920366d5f0dbbab4960c.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 156, + 510, + 452, + 532.3333333333334 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 156, + 532.3333333333334, + 452, + 554.6666666666667 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 156, + 554.6666666666667, + 452, + 577.0000000000001 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 579, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 506, + 594 + ], + "score": 1.0, + "content": "where we have again used (23) in the last inequality. 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Using the update equation (7) we have", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 127, + 355, + 145 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 118, + 145, + 476, + 181 + ], + "lines": [ + { + "bbox": [ + 118, + 145, + 476, + 181 + ], + "spans": [ + { + "bbox": [ + 118, + 145, + 476, + 181 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\left\\| \\bar { \\mathbf { x } } _ { t + 1 } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } = \\left\\| \\bar { \\mathbf { x } } _ { t } - \\eta _ { t } \\mathbf { g } _ { t } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } = \\left\\| \\bar { \\mathbf { x } } _ { t } - \\eta _ { t } \\mathbf { g } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } + \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } } \\\\ & { \\qquad = \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } + \\eta _ { t } ^ { 2 } \\left\\| \\mathbf { g } _ { t } - 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2 \\eta _ { k } \\frac { 1 } { K _ { k } - 1 } \\frac { K _ { k } ^ { 2 } } { K _ { k } - 1 } { \\bf x } _ { k } - { \\bf x } _ { k } ^ { \\prime } + { \\bf x } _ { k } ^ { \\prime } - { \\bf x } ^ { \\prime } , \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) } \\\\ & { = \\| { \\bf x } _ { k } - { \\bf x } ^ { \\prime } \\| ^ { 2 } + \\eta _ { k } ^ { 2 } \\frac { 1 } { K _ { k } - 1 } \\| \\nabla f ( { \\bf x } _ { k } ^ { \\prime } ) - \\nabla f ( { \\bf x } ^ { \\prime } ) \\| ^ { 2 } } \\\\ & \\qquad - 2 \\eta _ { k } ^ { 2 } \\frac { 1 } { K _ { k } - 1 } { \\bf x } _ { k } ^ { \\prime } - \\end{array}", + "type": "interline_equation", + "image_path": "30e85c51a21898282a433859d87685f11577c7f7fdbf14a5ab574820d148a8fc.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 116, + 198, + 491, + 263.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 116, + 263.0, + 491, + 328.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 116, + 328.0, + 491, + 393.0 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 406, + 457, + 423 + ], + "lines": [ + { + "bbox": [ + 103, + 402, + 460, + 426 + ], + "spans": [ + { + "bbox": [ + 103, + 402, + 225, + 426 + ], + "score": 1.0, + "content": "where we used the inequality", + "type": "text" + }, + { + "bbox": [ + 226, + 407, + 348, + 423 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\| \\sum _ { i = 1 } ^ { K } \\mathbf { a } _ { i } \\| ^ { 2 } \\leq K \\sum _ { i = 1 } ^ { K } \\| \\mathbf { a } _ { i } \\| ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 402, + 396, + 426 + ], + "score": 1.0, + "content": "in (21). 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This gives", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14, + "bbox_fs": [ + 104, + 489, + 481, + 508 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 510, + 452, + 577 + ], + "lines": [ + { + "bbox": [ + 156, + 510, + 452, + 577 + ], + "spans": [ + { + "bbox": [ + 156, + 510, + 452, + 577 + ], + "score": 0.94, + "content": "\\begin{array} { l } { \\displaystyle - 2 \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } , \\nabla f ( { \\mathbf { x } } _ { t } ^ { k } ) \\right. \\leq 2 L \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right. ^ { 2 } + \\displaystyle \\frac { 1 } { 2 L } \\left. \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right. ^ { 2 } } \\\\ { \\displaystyle \\qquad = 2 L \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right. ^ { 2 } + \\displaystyle \\frac { 1 } { 2 L } \\left. \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } ^ { \\star } ) \\right. ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq 2 L \\left. \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right. ^ { 2 } + \\left( f ( \\mathbf { x } _ { t } ^ { k } ) - f ^ { \\star } \\right) , } \\end{array}", + "type": "interline_equation", + "image_path": "6323e16b0c4cec6f5a266f8bc0968be4e2f8d92bc2fa920366d5f0dbbab4960c.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 156, + 510, + 452, + 532.3333333333334 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 156, + 532.3333333333334, + 452, + 554.6666666666667 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 156, + 554.6666666666667, + 452, + 577.0000000000001 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 579, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 506, + 594 + ], + "score": 1.0, + "content": "where we have again used (23) in the last inequality. By applying these three estimates to (22) we get", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 577, + 506, + 594 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 120, + 595, + 474, + 666 + ], + "lines": [ + { + "bbox": [ + 120, + 595, + 474, + 666 + ], + "spans": [ + { + "bbox": [ + 120, + 595, + 474, + 666 + ], + "score": 0.95, + "content": "\\begin{array} { l } { { \\displaystyle \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } \\leq \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } + 2 \\eta _ { t } \\displaystyle \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { k } ^ { t } \\right\\| ^ { 2 } } } \\\\ { { \\displaystyle \\qquad + 2 \\eta _ { t } \\displaystyle \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\left( \\left( \\eta _ { t } L - \\displaystyle \\frac { 1 } { 2 } \\right) \\left( f ( \\mathbf { x } _ { t } ^ { k } ) - f ^ { \\star } \\right) - \\displaystyle \\frac { \\mu } { 2 } \\left\\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } \\right) . } } \\end{array}", + "type": "interline_equation", + "image_path": "79055a38b99105fb1d532ad7f3ecbfb56063d8d1b734fe4e03163b5fe46089fb.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 120, + 595, + 474, + 618.6666666666666 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 120, + 618.6666666666666, + 474, + 642.3333333333333 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 120, + 642.3333333333333, + 474, + 665.9999999999999 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 676, + 505, + 692 + ], + "lines": [ + { + "bbox": [ + 104, + 676, + 506, + 693 + ], + "spans": [ + { + "bbox": [ + 104, + 676, + 122, + 693 + ], + "score": 1.0, + "content": "For", + "type": "text" + }, + { + "bbox": [ + 123, + 677, + 157, + 692 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\eta _ { t } \\le \\frac { 1 } { 4 L } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 676, + 191, + 693 + ], + "score": 1.0, + "content": "it holds", + "type": "text" + }, + { + "bbox": [ + 192, + 677, + 262, + 692 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\left( \\eta _ { t } L - \\frac { 1 } { 2 } \\right) \\le - \\frac { 1 } { 4 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 676, + 333, + 693 + ], + "score": 1.0, + "content": ". By convexity of", + "type": "text" + }, + { + "bbox": [ + 333, + 676, + 452, + 690 + ], + "score": 0.9, + "content": "a \\left( f ( \\mathbf { x } ) - f ^ { \\star } \\right) + b \\left\\| \\mathbf { x } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 676, + 468, + 693 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 469, + 678, + 501, + 690 + ], + "score": 0.88, + "content": "a , b \\geq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 676, + 506, + 693 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22, + "bbox_fs": [ + 104, + 676, + 506, + 693 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 123, + 696, + 469, + 731 + ], + "lines": [ + { + "bbox": [ + 123, + 696, + 469, + 731 + ], + "spans": [ + { + "bbox": [ + 123, + 696, + 469, + 731 + ], + "score": 0.89, + "content": "- \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\Big ( a \\big ( f ( \\mathbf { x } _ { t } ^ { k } ) - f ^ { \\star } \\big ) + b \\big \\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } ^ { \\star } \\big \\| ^ { 2 } \\Big ) \\leq - \\Big ( a \\big ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } \\big ) + b \\big \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\big \\| ^ { 2 } \\Big ) \\ ,", + "type": "interline_equation", + "image_path": "d050b34fd54eccef1c02a6d08dd53cec70bd9a31e9ab8759cd617f02ea86d039.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 123, + 696, + 469, + 707.6666666666666 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 123, + 707.6666666666666, + 469, + 719.3333333333333 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 123, + 719.3333333333333, + 469, + 730.9999999999999 + ], + "spans": [], + "index": 25 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 272, + 94 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 272, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 272, + 95 + ], + "score": 1.0, + "content": "hence we can continue in (28) and obtain", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 100, + 483, + 136 + ], + "lines": [ + { + "bbox": [ + 111, + 100, + 483, + 136 + ], + "spans": [ + { + "bbox": [ + 111, + 100, + 483, + 136 + ], + "score": 0.93, + "content": "\\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } \\leq \\left( 1 - \\mu \\eta _ { t } \\right) \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } - \\frac { 1 } { 2 } \\eta _ { t } \\big ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } \\big ) + 2 \\eta _ { t } \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } .", + "type": "interline_equation", + "image_path": "128749f694b501be01f9433a3da21c53a0082aebd98c753390528decacfee1ff.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 111, + 100, + 483, + 112.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 111, + 112.0, + 483, + 124.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 111, + 124.0, + 483, + 136.0 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 140, + 389, + 154 + ], + "lines": [ + { + "bbox": [ + 105, + 139, + 389, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 389, + 156 + ], + "score": 1.0, + "content": "Finally, we can plug (30) back into (18). By taking expectation we get", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 159, + 453, + 213 + ], + "lines": [ + { + "bbox": [ + 156, + 159, + 453, + 213 + ], + "spans": [ + { + "bbox": [ + 156, + 159, + 453, + 213 + ], + "score": 0.93, + "content": "\\begin{array} { r l r } { { \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t + 1 } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } \\leq ( 1 - \\mu \\eta _ { t } ) \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } + \\eta _ { t } ^ { 2 } \\mathbb { E } \\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\| ^ { 2 } } } \\\\ & { } & { \\quad - \\displaystyle \\frac { 1 } { 2 } \\eta _ { t } \\mathbb { E } ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } ) + 2 \\eta _ { t } \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\| ^ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "22af3c7b800dc6eda945c043c4b39560c2f73610f19e0bae16e6c067dba249f1.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 156, + 159, + 453, + 177.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 156, + 177.0, + 453, + 195.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 156, + 195.0, + 453, + 213.0 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 227, + 340, + 240 + ], + "lines": [ + { + "bbox": [ + 105, + 226, + 340, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 264, + 241 + ], + "score": 1.0, + "content": "Proof of Lemma 3.2. By definition of", + "type": "text" + }, + { + "bbox": [ + 264, + 230, + 274, + 239 + ], + "score": 0.86, + "content": "\\mathbf { g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 226, + 292, + 241 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 293, + 229, + 303, + 239 + ], + "score": 0.88, + "content": "\\bar { \\bf g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 226, + 340, + 241 + ], + "score": 1.0, + "content": "we have", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 246, + 508, + 281 + ], + "lines": [ + { + "bbox": [ + 111, + 246, + 508, + 281 + ], + "spans": [ + { + "bbox": [ + 111, + 246, + 508, + 281 + ], + "score": 0.91, + "content": "\\mathbb { \\Psi } \\left. \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right. ^ { 2 } = \\mathbb { E } \\left. \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\left( \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right) \\right. ^ { 2 } = \\frac { 1 } { K ^ { 2 } } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left. \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right. ^ { 2 } \\leq \\frac { \\sigma ^ { 2 } } { K } ,", + "type": "interline_equation", + "image_path": "432360ca49283baf06ceac6a498a63cc8e9023fedcef7581f921b0f2e161bdcd.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 111, + 246, + 508, + 257.6666666666667 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 111, + 257.6666666666667, + 508, + 269.33333333333337 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 111, + 269.33333333333337, + 508, + 281.00000000000006 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 299, + 449, + 316 + ], + "lines": [ + { + "bbox": [ + 104, + 296, + 452, + 320 + ], + "spans": [ + { + "bbox": [ + 104, + 296, + 168, + 320 + ], + "score": 1.0, + "content": "where we used", + "type": "text" + }, + { + "bbox": [ + 168, + 300, + 309, + 315 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\operatorname { V a r } ( \\sum _ { k = 1 } ^ { K } X _ { k } ) = \\sum _ { k = 1 } ^ { K } \\operatorname { V a r } ( X _ { k } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 296, + 452, + 320 + ], + "score": 1.0, + "content": "for independent random variables.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 105, + 332, + 505, + 361 + ], + "lines": [ + { + "bbox": [ + 105, + 331, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 226, + 347 + ], + "score": 1.0, + "content": "Proof of Lemma 3.3. As the", + "type": "text" + }, + { + "bbox": [ + 226, + 333, + 284, + 345 + ], + "score": 0.91, + "content": "\\mathrm { g a p } ( \\mathcal { T } _ { T } ) \\leq H", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 331, + 353, + 347 + ], + "score": 1.0, + "content": ", there is an index", + "type": "text" + }, + { + "bbox": [ + 354, + 334, + 411, + 345 + ], + "score": 0.91, + "content": "t _ { 0 } , t - t _ { 0 } \\leq H", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 331, + 449, + 347 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 449, + 333, + 489, + 346 + ], + "score": 0.93, + "content": "\\bar { \\mathbf { x } } _ { t _ { 0 } } = \\mathbf { x } _ { t _ { 0 } } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 331, + 506, + 347 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 340, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 140, + 360 + ], + "score": 0.92, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 340, + 207, + 365 + ], + "score": 1.0, + "content": ". Observe, using", + "type": "text" + }, + { + "bbox": [ + 207, + 346, + 358, + 360 + ], + "score": 0.9, + "content": "\\operatorname { \\mathbb { E } } \\left\\| X - \\operatorname { \\mathbb { E } } X \\right\\| ^ { 2 } = \\operatorname { \\mathbb { E } } \\left\\| X \\right\\| ^ { 2 } - \\left\\| \\operatorname { \\mathbb { E } } X \\right\\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 340, + 376, + 365 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 377, + 346, + 499, + 361 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\| \\sum _ { i = 1 } ^ { H } \\mathbf { a } _ { i } \\| ^ { 2 } \\leq H \\sum _ { i = 1 } ^ { H } \\| \\mathbf { a } _ { i } \\| ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 500, + 340, + 506, + 365 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "interline_equation", + "bbox": [ + 182, + 366, + 427, + 509 + ], + "lines": [ + { + "bbox": [ + 182, + 366, + 427, + 509 + ], + "spans": [ + { + "bbox": [ + 182, + 366, + 427, + 509 + ], + "score": 0.97, + "content": "\\begin{array} { l } { \\displaystyle \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - { \\mathbf { x } } _ { t } ^ { k } \\right\\| ^ { 2 } = \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| { \\mathbf { x } } _ { t } ^ { k } - { \\mathbf { x } } _ { t _ { 0 } } - \\left( \\bar { \\mathbf { x } } _ { t } - { \\mathbf { x } } _ { t _ { 0 } } \\right) \\right\\| ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| { \\mathbf { x } } _ { t } ^ { k } - { \\mathbf { x } } _ { t _ { 0 } } \\right\\| ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } H \\eta _ { t _ { 0 } } ^ { 2 } \\displaystyle \\sum _ { h = t _ { 0 } } ^ { t - 1 } \\mathbb { E } \\left\\| \\nabla f _ { \\bar { \\mathbf { x } } _ { h } } ( x _ { h } ^ { k } ) \\right\\| ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } H ^ { 2 } \\eta _ { t _ { 0 } } ^ { 2 } G ^ { 2 } , } \\end{array}", + "type": "interline_equation", + "image_path": "d866f6d2bed09c7d9bb8c62e99957b884f11a9ffb058a08261f0b9b060eb54e5.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 182, + 366, + 427, + 413.6666666666667 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 182, + 413.6666666666667, + 427, + 461.33333333333337 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 182, + 461.33333333333337, + 427, + 509.00000000000006 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 515, + 503, + 545 + ], + "lines": [ + { + "bbox": [ + 105, + 515, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 170, + 529 + ], + "score": 1.0, + "content": "where we used", + "type": "text" + }, + { + "bbox": [ + 170, + 517, + 207, + 529 + ], + "score": 0.91, + "content": "\\eta _ { t } \\leq \\eta _ { t _ { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 515, + 223, + 529 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 224, + 517, + 252, + 528 + ], + "score": 0.9, + "content": "t \\geq t _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 515, + 335, + 529 + ], + "score": 1.0, + "content": "and the assumption", + "type": "text" + }, + { + "bbox": [ + 336, + 515, + 424, + 531 + ], + "score": 0.94, + "content": "\\mathbb { E } \\| \\nabla f _ { i _ { h } ^ { k } } ( \\mathbf { x } _ { h } ^ { k } ) \\| ^ { 2 } \\leq G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 515, + 505, + 529 + ], + "score": 1.0, + "content": ". Finally, the claim", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 527, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 281, + 545 + ], + "score": 1.0, + "content": "follows by the assumption on the stepsizes,", + "type": "text" + }, + { + "bbox": [ + 282, + 529, + 314, + 545 + ], + "score": 0.93, + "content": "\\frac { \\eta _ { t _ { 0 } } } { \\eta _ { t } } \\leq 2", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 527, + 321, + 545 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 495, + 531, + 505, + 542 + ], + "score": 0.998, + "content": "□", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 106, + 560, + 393, + 574 + ], + "lines": [ + { + "bbox": [ + 105, + 559, + 394, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 394, + 575 + ], + "score": 1.0, + "content": "B MISSING PROOF FOR ASYNCHRONOUS LOCAL SGD", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 586, + 505, + 609 + ], + "lines": [ + { + "bbox": [ + 104, + 585, + 507, + 600 + ], + "spans": [ + { + "bbox": [ + 104, + 585, + 507, + 600 + ], + "score": 1.0, + "content": "In this Section we prove Theorem 5.1. The proof follows closely the proof presented in Section 3.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 596, + 268, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 268, + 610 + ], + "score": 1.0, + "content": "We again introduce the virtual sequence", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5 + }, + { + "type": "interline_equation", + "bbox": [ + 232, + 615, + 378, + 652 + ], + "lines": [ + { + "bbox": [ + 232, + 615, + 378, + 652 + ], + "spans": [ + { + "bbox": [ + 232, + 615, + 378, + 652 + ], + "score": 0.94, + "content": "\\bar { \\mathbf { x } } _ { t } = \\mathbf { x } _ { 0 } - \\frac { 1 } { K } \\sum _ { h = 1 } ^ { K } \\sum _ { j = 0 } ^ { t - 1 } \\eta _ { j } \\nabla f _ { i _ { j } ^ { k } } \\bigl ( \\mathbf { x } _ { j } ^ { k } \\bigr ) ,", + "type": "interline_equation", + "image_path": "140add30c3853bbfb5c687eac103de7f35cb188763428d4e22daa8b766f2c1e7.jpg" + } + ] + } + ], + "index": 23.5, + "virtual_lines": [ + { + "bbox": [ + 232, + 615, + 378, + 633.5 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 232, + 633.5, + 378, + 652.0 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 659, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 219, + 673 + ], + "score": 1.0, + "content": "as before. By the property", + "type": "text" + }, + { + "bbox": [ + 220, + 659, + 254, + 672 + ], + "score": 0.93, + "content": "T \\in \\mathcal { T } _ { T } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 659, + 271, + 673 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 271, + 660, + 302, + 670 + ], + "score": 0.9, + "content": "k \\in K", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "we know that all workers will have written their", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "score": 1.0, + "content": "updates when the algorithm terminates. This assumption is not very critical and could be relaxed, but", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 681, + 343, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 343, + 694 + ], + "score": 1.0, + "content": "it facilitates the (already quite heavy) notation in the proof.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 698, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 697, + 507, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 369, + 713 + ], + "score": 1.0, + "content": "Observe, that Lemmas 3.1 and 3.2 hold for the virtual sequence", + "type": "text" + }, + { + "bbox": [ + 369, + 698, + 403, + 711 + ], + "score": 0.94, + "content": "\\{ \\bar { \\mathbf { x } } _ { t } \\} _ { t = 0 } ^ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 697, + 507, + 713 + ], + "score": 1.0, + "content": ". Hence, all we need is a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "refined version of Lemma 3.3 that bounds how far the local sequences can deviate from the virtual", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 720, + 143, + 735 + ], + "spans": [ + { + "bbox": [ + 104, + 720, + 143, + 735 + ], + "score": 1.0, + "content": "average.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29 + } + ], + "page_idx": 13, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 294, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "14", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 188, + 505, + 199 + ], + "lines": [ + { + "bbox": [ + 495, + 190, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 495, + 190, + 505, + 200 + ], + "score": 0.998, + "content": "□", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 303, + 505, + 313 + ], + "lines": [ + { + "bbox": [ + 496, + 304, + 504, + 313 + ], + "spans": [ + { + "bbox": [ + 496, + 304, + 504, + 313 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 272, + 94 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 272, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 272, + 95 + ], + "score": 1.0, + "content": "hence we can continue in (28) and obtain", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 106, + 82, + 272, + 95 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 100, + 483, + 136 + ], + "lines": [ + { + "bbox": [ + 111, + 100, + 483, + 136 + ], + "spans": [ + { + "bbox": [ + 111, + 100, + 483, + 136 + ], + "score": 0.93, + "content": "\\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } - \\eta _ { t } \\bar { \\mathbf { g } } _ { t } \\right\\| ^ { 2 } \\leq \\left( 1 - \\mu \\eta _ { t } \\right) \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\right\\| ^ { 2 } - \\frac { 1 } { 2 } \\eta _ { t } \\big ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } \\big ) + 2 \\eta _ { t } \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } .", + "type": "interline_equation", + "image_path": "128749f694b501be01f9433a3da21c53a0082aebd98c753390528decacfee1ff.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 111, + 100, + 483, + 112.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 111, + 112.0, + 483, + 124.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 111, + 124.0, + 483, + 136.0 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 140, + 389, + 154 + ], + "lines": [ + { + "bbox": [ + 105, + 139, + 389, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 389, + 156 + ], + "score": 1.0, + "content": "Finally, we can plug (30) back into (18). By taking expectation we get", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 139, + 389, + 156 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 159, + 453, + 213 + ], + "lines": [ + { + "bbox": [ + 156, + 159, + 453, + 213 + ], + "spans": [ + { + "bbox": [ + 156, + 159, + 453, + 213 + ], + "score": 0.93, + "content": "\\begin{array} { r l r } { { \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t + 1 } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } \\leq ( 1 - \\mu \\eta _ { t } ) \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } ^ { \\star } \\| ^ { 2 } + \\eta _ { t } ^ { 2 } \\mathbb { E } \\| \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\| ^ { 2 } } } \\\\ & { } & { \\quad - \\displaystyle \\frac { 1 } { 2 } \\eta _ { t } \\mathbb { E } ( f ( \\bar { \\mathbf { x } } _ { t } ) - f ^ { \\star } ) + 2 \\eta _ { t } \\frac { L } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\| ^ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "22af3c7b800dc6eda945c043c4b39560c2f73610f19e0bae16e6c067dba249f1.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 156, + 159, + 453, + 177.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 156, + 177.0, + 453, + 195.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 156, + 195.0, + 453, + 213.0 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 227, + 340, + 240 + ], + "lines": [ + { + "bbox": [ + 105, + 226, + 340, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 264, + 241 + ], + "score": 1.0, + "content": "Proof of Lemma 3.2. By definition of", + "type": "text" + }, + { + "bbox": [ + 264, + 230, + 274, + 239 + ], + "score": 0.86, + "content": "\\mathbf { g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 226, + 292, + 241 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 293, + 229, + 303, + 239 + ], + "score": 0.88, + "content": "\\bar { \\bf g } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 226, + 340, + 241 + ], + "score": 1.0, + "content": "we have", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 226, + 340, + 241 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 246, + 508, + 281 + ], + "lines": [ + { + "bbox": [ + 111, + 246, + 508, + 281 + ], + "spans": [ + { + "bbox": [ + 111, + 246, + 508, + 281 + ], + "score": 0.91, + "content": "\\mathbb { \\Psi } \\left. \\mathbf { g } _ { t } - \\bar { \\mathbf { g } } _ { t } \\right. ^ { 2 } = \\mathbb { E } \\left. \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\left( \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right) \\right. ^ { 2 } = \\frac { 1 } { K ^ { 2 } } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left. \\nabla f _ { i _ { t } ^ { k } } ( \\mathbf { x } _ { t } ^ { k } ) - \\nabla f ( \\mathbf { x } _ { t } ^ { k } ) \\right. ^ { 2 } \\leq \\frac { \\sigma ^ { 2 } } { K } ,", + "type": "interline_equation", + "image_path": "432360ca49283baf06ceac6a498a63cc8e9023fedcef7581f921b0f2e161bdcd.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 111, + 246, + 508, + 257.6666666666667 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 111, + 257.6666666666667, + 508, + 269.33333333333337 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 111, + 269.33333333333337, + 508, + 281.00000000000006 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 299, + 449, + 316 + ], + "lines": [ + { + "bbox": [ + 104, + 296, + 452, + 320 + ], + "spans": [ + { + "bbox": [ + 104, + 296, + 168, + 320 + ], + "score": 1.0, + "content": "where we used", + "type": "text" + }, + { + "bbox": [ + 168, + 300, + 309, + 315 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\operatorname { V a r } ( \\sum _ { k = 1 } ^ { K } X _ { k } ) = \\sum _ { k = 1 } ^ { K } \\operatorname { V a r } ( X _ { k } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 296, + 452, + 320 + ], + "score": 1.0, + "content": "for independent random variables.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12, + "bbox_fs": [ + 104, + 296, + 452, + 320 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 332, + 505, + 361 + ], + "lines": [ + { + "bbox": [ + 105, + 331, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 226, + 347 + ], + "score": 1.0, + "content": "Proof of Lemma 3.3. As the", + "type": "text" + }, + { + "bbox": [ + 226, + 333, + 284, + 345 + ], + "score": 0.91, + "content": "\\mathrm { g a p } ( \\mathcal { T } _ { T } ) \\leq H", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 331, + 353, + 347 + ], + "score": 1.0, + "content": ", there is an index", + "type": "text" + }, + { + "bbox": [ + 354, + 334, + 411, + 345 + ], + "score": 0.91, + "content": "t _ { 0 } , t - t _ { 0 } \\leq H", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 331, + 449, + 347 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 449, + 333, + 489, + 346 + ], + "score": 0.93, + "content": "\\bar { \\mathbf { x } } _ { t _ { 0 } } = \\mathbf { x } _ { t _ { 0 } } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 331, + 506, + 347 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 340, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 140, + 360 + ], + "score": 0.92, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 340, + 207, + 365 + ], + "score": 1.0, + "content": ". Observe, using", + "type": "text" + }, + { + "bbox": [ + 207, + 346, + 358, + 360 + ], + "score": 0.9, + "content": "\\operatorname { \\mathbb { E } } \\left\\| X - \\operatorname { \\mathbb { E } } X \\right\\| ^ { 2 } = \\operatorname { \\mathbb { E } } \\left\\| X \\right\\| ^ { 2 } - \\left\\| \\operatorname { \\mathbb { E } } X \\right\\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 340, + 376, + 365 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 377, + 346, + 499, + 361 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\| \\sum _ { i = 1 } ^ { H } \\mathbf { a } _ { i } \\| ^ { 2 } \\leq H \\sum _ { i = 1 } ^ { H } \\| \\mathbf { a } _ { i } \\| ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 500, + 340, + 506, + 365 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 331, + 506, + 365 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 182, + 366, + 427, + 509 + ], + "lines": [ + { + "bbox": [ + 182, + 366, + 427, + 509 + ], + "spans": [ + { + "bbox": [ + 182, + 366, + 427, + 509 + ], + "score": 0.97, + "content": "\\begin{array} { l } { \\displaystyle \\frac { 1 } { K } \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| \\bar { \\mathbf { x } } _ { t } - { \\mathbf { x } } _ { t } ^ { k } \\right\\| ^ { 2 } = \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| { \\mathbf { x } } _ { t } ^ { k } - { \\mathbf { x } } _ { t _ { 0 } } - \\left( \\bar { \\mathbf { x } } _ { t } - { \\mathbf { x } } _ { t _ { 0 } } \\right) \\right\\| ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } \\mathbb { E } \\left\\| { \\mathbf { x } } _ { t } ^ { k } - { \\mathbf { x } } _ { t _ { 0 } } \\right\\| ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } H \\eta _ { t _ { 0 } } ^ { 2 } \\displaystyle \\sum _ { h = t _ { 0 } } ^ { t - 1 } \\mathbb { E } \\left\\| \\nabla f _ { \\bar { \\mathbf { x } } _ { h } } ( x _ { h } ^ { k } ) \\right\\| ^ { 2 } } \\\\ { \\displaystyle \\qquad \\leq \\frac { 1 } { K } \\displaystyle \\sum _ { k = 1 } ^ { K } H ^ { 2 } \\eta _ { t _ { 0 } } ^ { 2 } G ^ { 2 } , } \\end{array}", + "type": "interline_equation", + "image_path": "d866f6d2bed09c7d9bb8c62e99957b884f11a9ffb058a08261f0b9b060eb54e5.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 182, + 366, + 427, + 413.6666666666667 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 182, + 413.6666666666667, + 427, + 461.33333333333337 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 182, + 461.33333333333337, + 427, + 509.00000000000006 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 515, + 503, + 545 + ], + "lines": [ + { + "bbox": [ + 105, + 515, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 170, + 529 + ], + "score": 1.0, + "content": "where we used", + "type": "text" + }, + { + "bbox": [ + 170, + 517, + 207, + 529 + ], + "score": 0.91, + "content": "\\eta _ { t } \\leq \\eta _ { t _ { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 515, + 223, + 529 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 224, + 517, + 252, + 528 + ], + "score": 0.9, + "content": "t \\geq t _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 515, + 335, + 529 + ], + "score": 1.0, + "content": "and the assumption", + "type": "text" + }, + { + "bbox": [ + 336, + 515, + 424, + 531 + ], + "score": 0.94, + "content": "\\mathbb { E } \\| \\nabla f _ { i _ { h } ^ { k } } ( \\mathbf { x } _ { h } ^ { k } ) \\| ^ { 2 } \\leq G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 515, + 505, + 529 + ], + "score": 1.0, + "content": ". Finally, the claim", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 527, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 281, + 545 + ], + "score": 1.0, + "content": "follows by the assumption on the stepsizes,", + "type": "text" + }, + { + "bbox": [ + 282, + 529, + 314, + 545 + ], + "score": 0.93, + "content": "\\frac { \\eta _ { t _ { 0 } } } { \\eta _ { t } } \\leq 2", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 527, + 321, + 545 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 495, + 531, + 505, + 542 + ], + "score": 0.998, + "content": "□", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 515, + 505, + 545 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 560, + 393, + 574 + ], + "lines": [ + { + "bbox": [ + 105, + 559, + 394, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 394, + 575 + ], + "score": 1.0, + "content": "B MISSING PROOF FOR ASYNCHRONOUS LOCAL SGD", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 586, + 505, + 609 + ], + "lines": [ + { + "bbox": [ + 104, + 585, + 507, + 600 + ], + "spans": [ + { + "bbox": [ + 104, + 585, + 507, + 600 + ], + "score": 1.0, + "content": "In this Section we prove Theorem 5.1. The proof follows closely the proof presented in Section 3.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 596, + 268, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 268, + 610 + ], + "score": 1.0, + "content": "We again introduce the virtual sequence", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5, + "bbox_fs": [ + 104, + 585, + 507, + 610 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 232, + 615, + 378, + 652 + ], + "lines": [ + { + "bbox": [ + 232, + 615, + 378, + 652 + ], + "spans": [ + { + "bbox": [ + 232, + 615, + 378, + 652 + ], + "score": 0.94, + "content": "\\bar { \\mathbf { x } } _ { t } = \\mathbf { x } _ { 0 } - \\frac { 1 } { K } \\sum _ { h = 1 } ^ { K } \\sum _ { j = 0 } ^ { t - 1 } \\eta _ { j } \\nabla f _ { i _ { j } ^ { k } } \\bigl ( \\mathbf { x } _ { j } ^ { k } \\bigr ) ,", + "type": "interline_equation", + "image_path": "140add30c3853bbfb5c687eac103de7f35cb188763428d4e22daa8b766f2c1e7.jpg" + } + ] + } + ], + "index": 23.5, + "virtual_lines": [ + { + "bbox": [ + 232, + 615, + 378, + 633.5 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 232, + 633.5, + 378, + 652.0 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 659, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 219, + 673 + ], + "score": 1.0, + "content": "as before. By the property", + "type": "text" + }, + { + "bbox": [ + 220, + 659, + 254, + 672 + ], + "score": 0.93, + "content": "T \\in \\mathcal { T } _ { T } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 659, + 271, + 673 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 271, + 660, + 302, + 670 + ], + "score": 0.9, + "content": "k \\in K", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "we know that all workers will have written their", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "score": 1.0, + "content": "updates when the algorithm terminates. This assumption is not very critical and could be relaxed, but", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 681, + 343, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 343, + 694 + ], + "score": 1.0, + "content": "it facilitates the (already quite heavy) notation in the proof.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 659, + 506, + 694 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 698, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 697, + 507, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 369, + 713 + ], + "score": 1.0, + "content": "Observe, that Lemmas 3.1 and 3.2 hold for the virtual sequence", + "type": "text" + }, + { + "bbox": [ + 369, + 698, + 403, + 711 + ], + "score": 0.94, + "content": "\\{ \\bar { \\mathbf { x } } _ { t } \\} _ { t = 0 } ^ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 697, + 507, + 713 + ], + "score": 1.0, + "content": ". Hence, all we need is a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "refined version of Lemma 3.3 that bounds how far the local sequences can deviate from the virtual", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 720, + 143, + 735 + ], + "spans": [ + { + "bbox": [ + 104, + 720, + 143, + 735 + ], + "score": 1.0, + "content": "average.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29, + "bbox_fs": [ + 104, + 697, + 507, + 735 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 80, + 507, + 106 + ], + "lines": [ + { + "bbox": [ + 104, + 77, + 508, + 97 + ], + "spans": [ + { + "bbox": [ + 104, + 77, + 166, + 97 + ], + "score": 1.0, + "content": "Lemma B.1.", + "type": "text" + }, + { + "bbox": [ + 167, + 82, + 234, + 95 + ], + "score": 0.9, + "content": "{ \\cal { I } } f \\mathrm { g a p } ( { \\cal { I } } _ { T } ^ { k } ) \\le { \\cal { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 77, + 253, + 97 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 253, + 82, + 285, + 93 + ], + "score": 0.88, + "content": "\\exists \\tau > 0 .", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 77, + 306, + 97 + ], + "score": 1.0, + "content": ", s.t.", + "type": "text" + }, + { + "bbox": [ + 306, + 80, + 372, + 95 + ], + "score": 0.91, + "content": "\\mathcal { W } _ { t } ^ { k , h } \\supseteq [ t - 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{ \\mathbf { x } } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 1 2 \\eta _ { t } ^ { 2 } G ^ { 2 } ( H + \\tau ) ^ { 2 } ,", + "type": "interline_equation", + "image_path": "702a9e8430bc7c99ba78653b03875e7bb1bac11ac52505797e1ab844708764b7.jpg" + } + ] + } + ], + "index": 2.5, + "virtual_lines": [ + { + "bbox": [ + 217, + 110, + 393, + 127.5 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 217, + 127.5, + 393, + 145.0 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 149, + 411, + 164 + ], + "lines": [ + { + "bbox": [ + 105, + 146, + 410, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 146, + 133, + 165 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 150, + 146, + 160 + ], + "score": 0.88, + "content": "G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 146, + 239, + 165 + ], + "score": 1.0, + "content": "is a constant such that", + "type": "text" + }, + { + "bbox": [ + 239, + 149, + 326, + 163 + ], + "score": 0.89, + "content": "\\mathbb { E } _ { i } \\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) \\| ^ { 2 } \\leq G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 146, + 340, + 165 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 341, + 150, + 407, + 163 + ], + "score": 0.86, + "content": "k \\in [ K ] , t \\in [ T ]", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 146, + 410, + 165 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 108, + 169, + 453, + 184 + ], + "lines": [ + { + "bbox": [ + 105, + 169, + 451, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 208, + 185 + ], + "score": 1.0, + "content": "Here we use the notation", + "type": "text" + }, + { + "bbox": [ + 209, + 171, + 243, + 183 + ], + "score": 0.93, + "content": "[ s ] = \\{ \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 169, + 258, + 185 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 258, + 172, + 282, + 182 + ], + "score": 0.88, + "content": "s < 0", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 169, + 324, + 185 + ], + "score": 1.0, + "content": ", such that", + "type": "text" + }, + { + "bbox": [ + 325, + 171, + 352, + 183 + ], + "score": 0.92, + "content": "[ t - 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Let", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 107, + 205, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 107, + 209, + 200, + 221 + ], + "score": 0.9, + "content": "t _ { 0 } : = \\operatorname* { m i n } \\{ t _ { 1 } , \\dots , t _ { K } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 205, + 252, + 222 + ], + "score": 1.0, + "content": "and observe", + "type": "text" + }, + { + "bbox": [ + 253, + 209, + 300, + 221 + ], + "score": 0.9, + "content": "t _ { 0 } \\geq t - H", + "type": "inline_equation" + }, + { + "bbox": [ + 301, + 205, + 321, + 222 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 321, + 209, + 407, + 221 + ], + "score": 0.91, + "content": "t _ { 0 } ^ { \\prime } = \\operatorname* { m a x } \\{ t _ { 0 } - \\tau , 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 205, + 425, + 222 + ], + "score": 1.0, + "content": ". 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\\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 3 \\left( \\left\\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } _ { t _ { k } } ^ { k } \\right\\| ^ { 2 } + \\left\\| \\mathbf { x } _ { t _ { k } } ^ { k } - \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } \\right\\| ^ { 2 } + \\left\\| \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } - \\bar { \\mathbf { x } } _ { t } \\right\\| ^ { 2 } \\right) .", + "type": "interline_equation", + "image_path": "83c905e612ea35c41492ab5b02e8df84a172bece0c1a13686c832248a81688ad.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 169, + 322, + 441, + 344 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 347, + 368, + 360 + ], + "lines": [ + { + "bbox": [ + 106, + 347, + 367, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 154, + 361 + ], + "score": 1.0, + "content": "Now, using", + "type": "text" + }, + { + "bbox": [ + 154, + 349, + 195, + 360 + ], + "score": 0.91, + "content": "\\eta _ { t } \\geq \\eta _ { t + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 347, + 216, + 361 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 216, + 348, + 264, + 359 + ], + "score": 0.92, + "content": "t - t _ { k } \\le H", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 347, + 367, + 361 + ], + "score": 1.0, + "content": ", we conclude (as in (35))", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "interline_equation", + "bbox": [ + 223, + 364, + 387, + 383 + ], + "lines": [ + { + "bbox": [ + 223, + 364, + 387, + 383 + ], + "spans": [ + { + "bbox": [ + 223, + 364, + 387, + 383 + ], + "score": 0.93, + "content": "\\left\\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } _ { t _ { k } } ^ { k } \\right\\| ^ { 2 } \\leq \\eta _ { t _ { k } } ^ { 2 } H ^ { 2 } G ^ { 2 } \\leq \\eta _ { t _ { 0 } ^ { \\prime } } ^ { 2 } H ^ { 2 } G ^ { 2 } .", + "type": "interline_equation", + "image_path": "c05ce4235335355af687c8e0d47fee5e35b107c06fcde12cf45f12fe94ba7358.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 223, + 364, + 387, + 383 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 388, + 172, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 387, + 173, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 119, + 402 + ], + "score": 1.0, + "content": "As", + "type": "text" + }, + { + "bbox": [ + 119, + 388, + 168, + 401 + ], + "score": 0.88, + "content": "t _ { k } - 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t _ { 0 } ^ { \\prime } \\leq H + \\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 426, + 244, + 442 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "interline_equation", + "bbox": [ + 238, + 445, + 373, + 464 + ], + "lines": [ + { + "bbox": [ + 238, + 445, + 373, + 464 + ], + "spans": [ + { + "bbox": [ + 238, + 445, + 373, + 464 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\left\\| \\tilde { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } - \\tilde { \\mathbf { x } } _ { t } \\right\\| ^ { 2 } \\leq \\eta _ { t _ { 0 } ^ { \\prime } } ^ { 2 } ( H + \\tau ) ^ { 2 } G ^ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "5cfda043fb6f39dc281d8343c85fd05774bde3c74f2ecd6bc0f9b736a977ec8b.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 238, + 445, + 373, + 464 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 469, + 255, + 485 + ], + "lines": [ + { + "bbox": [ + 105, + 466, + 257, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 150, + 487 + ], + "score": 1.0, + "content": "Finally, as", + "type": "text" + }, + { + "bbox": [ + 150, + 469, + 183, + 486 + ], + "score": 0.93, + "content": "\\frac { \\eta _ { t _ { 0 } ^ { \\prime } } } { \\eta _ { t } } \\leq 2", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 466, + 257, + 487 + ], + "score": 1.0, + "content": ", we can conclude", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "interline_equation", + "bbox": [ + 235, + 490, + 375, + 509 + ], + "lines": [ + { + "bbox": [ + 235, + 490, + 375, + 509 + ], + "spans": [ + { + "bbox": [ + 235, + 490, + 375, + 509 + ], + "score": 0.92, + "content": "\\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 1 2 \\eta _ { t } ^ { 2 } ( H + \\tau ) ^ { 2 } G ^ { 2 } .", + "type": "interline_equation", + "image_path": "b034ed13a895dda7ac70e73df4f98653db7495f6e431eb00f3cf8c8a9aeb4d47.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 235, + 490, + 375, + 509 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 511, + 201, + 523 + ], + "lines": [ + { + "bbox": [ + 106, + 512, + 203, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 203, + 524 + ], + "score": 1.0, + "content": "and the lemma follows.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 535, + 316, + 547 + ], + "lines": [ + { + "bbox": [ + 105, + 534, + 317, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 317, + 549 + ], + "score": 1.0, + "content": "Now the proof of Theorem 5.1 follows immediately.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 559, + 506, + 616 + ], + "lines": [ + { + "bbox": [ + 101, + 558, + 511, + 593 + ], + "spans": [ + { + "bbox": [ + 101, + 558, + 216, + 593 + ], + "score": 1.0, + "content": "Proof of Theorem 5.1. As igence rate. Again, we have", + "type": "text" + }, + { + "bbox": [ + 216, + 572, + 244, + 586 + ], + "score": 0.87, + "content": "\\begin{array} { r } { A = { \\frac { 1 } { 2 } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 558, + 248, + 593 + ], + "score": 1.0, + "content": "r,", + "type": "text" + }, + { + "bbox": [ + 248, + 570, + 281, + 586 + ], + "score": 0.84, + "content": "\\textstyle B = { \\frac { \\sigma ^ { 2 } } { K } }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 558, + 302, + 593 + ], + "score": 1.0, + "content": "heore, and", + "type": "text" + }, + { + "bbox": [ + 302, + 572, + 382, + 585 + ], + "score": 0.92, + "content": "C = L G ^ { 2 } ( H + \\tau ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 558, + 511, + 593 + ], + "score": 1.0, + "content": "mma 3.4 to derive the conver-(Lemma B.1). It is easy to see", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 582, + 491, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 358, + 603 + ], + "score": 1.0, + "content": "that the stepsizes satisfy the condition of Lemma B.1, as clearly", + "type": "text" + }, + { + "bbox": [ + 358, + 585, + 491, + 606 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\frac { \\eta _ { t _ { 0 } ^ { \\prime } } } { \\eta _ { t } } \\leq \\frac { \\eta _ { t _ { 0 } ^ { \\prime } } } { \\eta _ { t _ { 0 } ^ { \\prime } + H + \\tau } } = \\frac { a + t + H + \\tau } { a + t } \\leq 2 } \\end{array}", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 604, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 153, + 615 + ], + "score": 0.71, + "content": "a \\geq H + \\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 604, + 157, + 616 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 494, + 604, + 505, + 616 + ], + "score": 0.996, + "content": "□", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 106, + 631, + 343, + 644 + ], + "lines": [ + { + "bbox": [ + 106, + 629, + 343, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 343, + 646 + ], + "score": 1.0, + "content": "C COMMENTS ON IMPLEMENTATION ISSUES", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 108, + 655, + 257, + 668 + ], + "lines": [ + { + "bbox": [ + 106, + 655, + 257, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 257, + 669 + ], + "score": 1.0, + "content": "C.1 SYNCHRONOUS LOCAL SGD", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 676, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 366, + 691 + ], + "score": 1.0, + "content": "In Theorem 5 we do not prove convergence of the sequences", + "type": "text" + }, + { + "bbox": [ + 367, + 676, + 402, + 689 + ], + "score": 0.93, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t \\geq 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 676, + 506, + 691 + ], + "score": 1.0, + "content": "of the iterates, but only", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "score": 1.0, + "content": "convergence of a weighted average of all iterates. 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{ \\mathbf { x } } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 1 2 \\eta _ { t } ^ { 2 } G ^ { 2 } ( H + \\tau ) ^ { 2 } ,", + "type": "interline_equation", + "image_path": "702a9e8430bc7c99ba78653b03875e7bb1bac11ac52505797e1ab844708764b7.jpg" + } + ] + } + ], + "index": 2.5, + "virtual_lines": [ + { + "bbox": [ + 217, + 110, + 393, + 127.5 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 217, + 127.5, + 393, + 145.0 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 149, + 411, + 164 + ], + "lines": [ + { + "bbox": [ + 105, + 146, + 410, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 146, + 133, + 165 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 150, + 146, + 160 + ], + "score": 0.88, + "content": "G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 146, + 239, + 165 + ], + "score": 1.0, + "content": "is a constant such that", + "type": "text" + }, + { + "bbox": [ + 239, + 149, + 326, + 163 + ], + "score": 0.89, + "content": "\\mathbb { E } _ { i } \\| \\nabla f _ { i } ( \\mathbf { x } _ { t } ^ { k } ) \\| ^ { 2 } \\leq G ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 146, + 340, + 165 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 341, + 150, + 407, + 163 + ], + "score": 0.86, + "content": "k \\in [ K ] , t \\in [ T ]", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 146, + 410, + 165 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 146, + 410, + 165 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 169, + 453, + 184 + ], + "lines": [ + { + "bbox": [ + 105, + 169, + 451, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 169, + 208, + 185 + ], + "score": 1.0, + "content": "Here we use the notation", + "type": "text" + }, + { + "bbox": [ + 209, + 171, + 243, + 183 + ], + "score": 0.93, + "content": "[ s ] = \\{ \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 169, + 258, + 185 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 258, + 172, + 282, + 182 + ], + "score": 0.88, + "content": "s < 0", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 169, + 324, + 185 + ], + "score": 1.0, + "content": ", such that", + "type": "text" + }, + { + "bbox": [ + 325, + 171, + 352, + 183 + ], + "score": 0.92, + "content": "[ t - 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Let", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 107, + 205, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 107, + 209, + 200, + 221 + ], + "score": 0.9, + "content": "t _ { 0 } : = \\operatorname* { m i n } \\{ t _ { 1 } , \\dots , t _ { K } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 205, + 252, + 222 + ], + "score": 1.0, + "content": "and observe", + "type": "text" + }, + { + "bbox": [ + 253, + 209, + 300, + 221 + ], + "score": 0.9, + "content": "t _ { 0 } \\geq t - H", + "type": "inline_equation" + }, + { + "bbox": [ + 301, + 205, + 321, + 222 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 321, + 209, + 407, + 221 + ], + "score": 0.91, + "content": "t _ { 0 } ^ { \\prime } = \\operatorname* { m a x } \\{ t _ { 0 } - \\tau , 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 205, + 425, + 222 + ], + "score": 1.0, + "content": ". As", + "type": "text" + }, + { + "bbox": [ + 426, + 208, + 489, + 221 + ], + "score": 0.92, + "content": "\\mathcal { W } _ { t } ^ { k , h } \\supseteq [ t - \\tau ]", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 205, + 506, + 222 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 219, + 233, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 119, + 232 + ], + "score": 1.0, + "content": "all", + "type": "text" + }, + { + "bbox": [ + 119, + 221, + 163, + 232 + ], + "score": 0.76, + "content": "k , h \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 219, + 166, + 232 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 167, + 221, + 196, + 232 + ], + "score": 0.47, + "content": "t \\in [ T ]", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 219, + 233, + 232 + ], + "score": 1.0, + "content": ", it holds", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7, + "bbox_fs": [ + 104, + 191, + 508, + 232 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 205, + 236, + 405, + 273 + ], + "lines": [ + { + "bbox": [ + 205, + 236, + 405, + 273 + ], + "spans": [ + { + "bbox": [ + 205, + 236, + 405, + 273 + ], + "score": 0.94, + "content": "\\bar { \\bar { \\mathbf { x } } } _ { t _ { k } } ^ { k } = \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } - \\frac { 1 } { K } \\sum _ { h = 1 } ^ { K } \\sum _ { j = t _ { 0 } ^ { \\prime } } ^ { t _ { k } - 1 } \\mathbb { 1 } _ { j \\in \\mathcal { W } _ { t _ { k } } ^ { k , h } } \\bigl ( \\eta _ { j } \\nabla f _ { i _ { j } ^ { k } } ( \\mathbf { x } _ { j } ^ { k } ) \\bigr ) ,", + "type": "interline_equation", + "image_path": "821ecc930a46c50d7bc935eed00ff0bd02faed55afec9b102a9b26585c73a7ab.jpg" + } + ] + } + ], + "index": 9.5, + "virtual_lines": [ + { + "bbox": [ + 205, + 236, + 405, + 254.5 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 205, + 254.5, + 405, + 273.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 278, + 506, + 301 + ], + "lines": [ + { + "bbox": [ + 105, + 276, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 141, + 292 + ], + "score": 1.0, + "content": "for each", + "type": "text" + }, + { + "bbox": [ + 142, + 278, + 175, + 290 + ], + "score": 0.92, + "content": "k \\in [ K ]", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 276, + 348, + 292 + ], + "score": 1.0, + "content": ". In other words, all updates up to iteration", + "type": "text" + }, + { + "bbox": [ + 349, + 278, + 358, + 290 + ], + "score": 0.89, + "content": "t _ { 0 } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 276, + 506, + 292 + ], + "score": 1.0, + "content": "have been written to the aggregated", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 289, + 149, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 149, + 303 + ], + "score": 1.0, + "content": "sequence.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 276, + 506, + 303 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 306, + 237, + 318 + ], + "lines": [ + { + "bbox": [ + 106, + 305, + 237, + 319 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 237, + 319 + ], + "score": 1.0, + "content": "We decompose the error term as", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13, + "bbox_fs": [ + 106, + 305, + 237, + 319 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 169, + 322, + 441, + 344 + ], + "lines": [ + { + "bbox": [ + 169, + 322, + 441, + 344 + ], + "spans": [ + { + "bbox": [ + 169, + 322, + 441, + 344 + ], + "score": 0.91, + "content": "\\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 3 \\left( \\left\\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } _ { t _ { k } } ^ { k } \\right\\| ^ { 2 } + \\left\\| \\mathbf { x } _ { t _ { k } } ^ { k } - \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } \\right\\| ^ { 2 } + \\left\\| \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } - \\bar { \\mathbf { x } } _ { t } \\right\\| ^ { 2 } \\right) .", + "type": "interline_equation", + "image_path": "83c905e612ea35c41492ab5b02e8df84a172bece0c1a13686c832248a81688ad.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 169, + 322, + 441, + 344 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 347, + 368, + 360 + ], + "lines": [ + { + "bbox": [ + 106, + 347, + 367, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 154, + 361 + ], + "score": 1.0, + "content": "Now, using", + "type": "text" + }, + { + "bbox": [ + 154, + 349, + 195, + 360 + ], + "score": 0.91, + "content": "\\eta _ { t } \\geq \\eta _ { t + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 347, + 216, + 361 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 216, + 348, + 264, + 359 + ], + "score": 0.92, + "content": "t - t _ { k } \\le H", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 347, + 367, + 361 + ], + "score": 1.0, + "content": ", we conclude (as in (35))", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15, + "bbox_fs": [ + 106, + 347, + 367, + 361 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 223, + 364, + 387, + 383 + ], + "lines": [ + { + "bbox": [ + 223, + 364, + 387, + 383 + ], + "spans": [ + { + "bbox": [ + 223, + 364, + 387, + 383 + ], + "score": 0.93, + "content": "\\left\\| \\mathbf { x } _ { t } ^ { k } - \\mathbf { x } _ { t _ { k } } ^ { k } \\right\\| ^ { 2 } \\leq \\eta _ { t _ { k } } ^ { 2 } H ^ { 2 } G ^ { 2 } \\leq \\eta _ { t _ { 0 } ^ { \\prime } } ^ { 2 } H ^ { 2 } G ^ { 2 } .", + "type": "interline_equation", + "image_path": "c05ce4235335355af687c8e0d47fee5e35b107c06fcde12cf45f12fe94ba7358.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 223, + 364, + 387, + 383 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 388, + 172, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 387, + 173, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 119, + 402 + ], + "score": 1.0, + "content": "As", + "type": "text" + }, + { + "bbox": [ + 119, + 388, + 168, + 401 + ], + "score": 0.88, + "content": "t _ { k } - t _ { 0 } ^ { \\prime } \\leq \\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 387, + 173, + 402 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 387, + 173, + 402 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 250, + 404, + 360, + 424 + ], + "lines": [ + { + "bbox": [ + 250, + 404, + 360, + 424 + ], + "spans": [ + { + "bbox": [ + 250, + 404, + 360, + 424 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\left\\| \\mathbf { x } _ { t _ { k } } ^ { k } - \\bar { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } \\right\\| ^ { 2 } \\leq \\eta _ { t _ { 0 } ^ { \\prime } } ^ { 2 } \\tau ^ { 2 } G ^ { 2 } , } \\end{array}", + "type": "interline_equation", + "image_path": "66991334bd7c06c72ef300aa8bca93187440be251cb18fb6ee7b4a6abc28e1a2.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 250, + 404, + 360, + 424 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 428, + 243, + 441 + ], + "lines": [ + { + "bbox": [ + 105, + 426, + 244, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 174, + 442 + ], + "score": 1.0, + "content": "and similarly, as", + "type": "text" + }, + { + "bbox": [ + 174, + 428, + 239, + 441 + ], + "score": 0.92, + "content": "t - t _ { 0 } ^ { \\prime } \\leq H + \\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 426, + 244, + 442 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 426, + 244, + 442 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 238, + 445, + 373, + 464 + ], + "lines": [ + { + "bbox": [ + 238, + 445, + 373, + 464 + ], + "spans": [ + { + "bbox": [ + 238, + 445, + 373, + 464 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\left\\| \\tilde { \\mathbf { x } } _ { t _ { 0 } ^ { \\prime } } - \\tilde { \\mathbf { x } } _ { t } \\right\\| ^ { 2 } \\leq \\eta _ { t _ { 0 } ^ { \\prime } } ^ { 2 } ( H + \\tau ) ^ { 2 } G ^ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "5cfda043fb6f39dc281d8343c85fd05774bde3c74f2ecd6bc0f9b736a977ec8b.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 238, + 445, + 373, + 464 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 469, + 255, + 485 + ], + "lines": [ + { + "bbox": [ + 105, + 466, + 257, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 150, + 487 + ], + "score": 1.0, + "content": "Finally, as", + "type": "text" + }, + { + "bbox": [ + 150, + 469, + 183, + 486 + ], + "score": 0.93, + "content": "\\frac { \\eta _ { t _ { 0 } ^ { \\prime } } } { \\eta _ { t } } \\leq 2", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 466, + 257, + 487 + ], + "score": 1.0, + "content": ", we can conclude", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 466, + 257, + 487 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 235, + 490, + 375, + 509 + ], + "lines": [ + { + "bbox": [ + 235, + 490, + 375, + 509 + ], + "spans": [ + { + "bbox": [ + 235, + 490, + 375, + 509 + ], + "score": 0.92, + "content": "\\left\\| \\bar { \\mathbf { x } } _ { t } - \\mathbf { x } _ { t } ^ { k } \\right\\| ^ { 2 } \\leq 1 2 \\eta _ { t } ^ { 2 } ( H + \\tau ) ^ { 2 } G ^ { 2 } .", + "type": "interline_equation", + "image_path": "b034ed13a895dda7ac70e73df4f98653db7495f6e431eb00f3cf8c8a9aeb4d47.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 235, + 490, + 375, + 509 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 511, + 201, + 523 + ], + "lines": [ + { + "bbox": [ + 106, + 512, + 203, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 203, + 524 + ], + "score": 1.0, + "content": "and the lemma follows.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 106, + 512, + 203, + 524 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 535, + 316, + 547 + ], + "lines": [ + { + "bbox": [ + 105, + 534, + 317, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 317, + 549 + ], + "score": 1.0, + "content": "Now the proof of Theorem 5.1 follows immediately.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 534, + 317, + 549 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 559, + 506, + 616 + ], + "lines": [ + { + "bbox": [ + 101, + 558, + 511, + 593 + ], + "spans": [ + { + "bbox": [ + 101, + 558, + 216, + 593 + ], + "score": 1.0, + "content": "Proof of Theorem 5.1. As igence rate. Again, we have", + "type": "text" + }, + { + "bbox": [ + 216, + 572, + 244, + 586 + ], + "score": 0.87, + "content": "\\begin{array} { r } { A = { \\frac { 1 } { 2 } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 558, + 248, + 593 + ], + "score": 1.0, + "content": "r,", + "type": "text" + }, + { + "bbox": [ + 248, + 570, + 281, + 586 + ], + "score": 0.84, + "content": "\\textstyle B = { \\frac { \\sigma ^ { 2 } } { K } }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 558, + 302, + 593 + ], + "score": 1.0, + "content": "heore, and", + "type": "text" + }, + { + "bbox": [ + 302, + 572, + 382, + 585 + ], + "score": 0.92, + "content": "C = L G ^ { 2 } ( H + \\tau ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 558, + 511, + 593 + ], + "score": 1.0, + "content": "mma 3.4 to derive the conver-(Lemma B.1). It is easy to see", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 582, + 491, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 358, + 603 + ], + "score": 1.0, + "content": "that the stepsizes satisfy the condition of Lemma B.1, as clearly", + "type": "text" + }, + { + "bbox": [ + 358, + 585, + 491, + 606 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\frac { \\eta _ { t _ { 0 } ^ { \\prime } } } { \\eta _ { t } } \\leq \\frac { \\eta _ { t _ { 0 } ^ { \\prime } } } { \\eta _ { t _ { 0 } ^ { \\prime } + H + \\tau } } = \\frac { a + t + H + \\tau } { a + t } \\leq 2 } \\end{array}", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 604, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 153, + 615 + ], + "score": 0.71, + "content": "a \\geq H + \\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 604, + 157, + 616 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 494, + 604, + 505, + 616 + ], + "score": 0.996, + "content": "□", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26, + "bbox_fs": [ + 101, + 558, + 511, + 616 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 631, + 343, + 644 + ], + "lines": [ + { + "bbox": [ + 106, + 629, + 343, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 343, + 646 + ], + "score": 1.0, + "content": "C COMMENTS ON IMPLEMENTATION ISSUES", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 108, + 655, + 257, + 668 + ], + "lines": [ + { + "bbox": [ + 106, + 655, + 257, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 257, + 669 + ], + "score": 1.0, + "content": "C.1 SYNCHRONOUS LOCAL SGD", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 676, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 366, + 691 + ], + "score": 1.0, + "content": "In Theorem 5 we do not prove convergence of the sequences", + "type": "text" + }, + { + "bbox": [ + 367, + 676, + 402, + 689 + ], + "score": 0.93, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\} _ { t \\geq 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 676, + 506, + 691 + ], + "score": 1.0, + "content": "of the iterates, but only", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "score": 1.0, + "content": "convergence of a weighted average of all iterates. In practice, the last iterate might often be sufficient,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "but we like to remark that the weighted average of the iterates can easily be tracked on the fly with an", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 183, + 723 + ], + "score": 1.0, + "content": "auxiliary sequence", + "type": "text" + }, + { + "bbox": [ + 183, + 709, + 217, + 722 + ], + "score": 0.86, + "content": "\\{ \\mathbf { y } _ { t } \\} _ { t > 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 709, + 221, + 723 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 221, + 711, + 256, + 721 + ], + "score": 0.77, + "content": "\\mathbf { y } _ { 0 } = \\mathbf { x } _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 709, + 506, + 723 + ], + "score": 1.0, + "content": ", without storing all intermediate iterates, see Table 1 for some", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 720, + 149, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 149, + 734 + ], + "score": 1.0, + "content": "examples.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 676, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 79, + 503, + 138 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 108, + 79, + 503, + 138 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 79, + 503, + 138 + ], + "spans": [ + { + "bbox": [ + 108, + 79, + 503, + 138 + ], + "score": 0.978, + "html": "
criteriaweightsformularecursive update
last iterate-yt=Xtyt=Xt
uniform averageWt=1y=中∑i=0Xiyt=xt+1yt-1t
linear weightsWt=(t+1)yt =(+t(2+)∑i-0(i+ 1)xi2yt=22txt++2yt-1
quadratic weightsWt =(t+1)²yt= 6(t+1)(t+2)(2t+3)∑i=0(i+1)²xyt= 6(t+1) t(1+2t)(t+2)(2t+3)Xt+6+7t+2t2Yt-1
", + "type": "table", + "image_path": "4ec7874c8bba85c2d49e75c6c14261aace2278f1c58e405c56e90b495b9edc37.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 79, + 503, + 98.66666666666667 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 98.66666666666667, + 503, + 118.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 118.33333333333334, + 503, + 138.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 189, + 145, + 421, + 157 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 188, + 143, + 422, + 159 + ], + "spans": [ + { + "bbox": [ + 188, + 143, + 422, + 159 + ], + "score": 1.0, + "content": "Table 1: Formulas to recursively track weighted averages.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "title", + "bbox": [ + 108, + 177, + 262, + 188 + ], + "lines": [ + { + "bbox": [ + 105, + 175, + 264, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 264, + 190 + ], + "score": 1.0, + "content": "C.2 ASYNCHRONOUS LOCAL SGD", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 198, + 504, + 220 + ], + "lines": [ + { + "bbox": [ + 106, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "As for synchronous local SGD, the weighted averages of the iterates (if needed), can be tracked on", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 209, + 361, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 361, + 221 + ], + "score": 1.0, + "content": "each worker locally by a recursive formula as explained above.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 106, + 225, + 505, + 314 + ], + "lines": [ + { + "bbox": [ + 104, + 225, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 104, + 225, + 505, + 239 + ], + "score": 1.0, + "content": "A more important aspect that we do not have discussed yet, is that Algorithm 2 allows for an easy", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 237, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 505, + 249 + ], + "score": 1.0, + "content": "procedure to balance the load in heterogeneous settings. In our notation, we have always associated", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 247, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 185, + 261 + ], + "score": 1.0, + "content": "the local sequences", + "type": "text" + }, + { + "bbox": [ + 186, + 247, + 208, + 260 + ], + "score": 0.93, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 247, + 298, + 261 + ], + "score": 1.0, + "content": "with a specific worker", + "type": "text" + }, + { + "bbox": [ + 299, + 248, + 306, + 258 + ], + "score": 0.76, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 247, + 506, + 261 + ], + "score": 1.0, + "content": ". However, the computation of the sequences does", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 347, + 271 + ], + "score": 1.0, + "content": "not need to be tied to a specific worker. Thus, a fast worker", + "type": "text" + }, + { + "bbox": [ + 347, + 259, + 354, + 268 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 258, + 506, + 271 + ], + "score": 1.0, + "content": "that has advanced his local sequence", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 383, + 282 + ], + "score": 1.0, + "content": "too much already, can start computing updates for another sequence", + "type": "text" + }, + { + "bbox": [ + 384, + 270, + 412, + 281 + ], + "score": 0.92, + "content": "\\boldsymbol { k } ^ { \\prime } \\neq \\boldsymbol { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 270, + 455, + 282 + ], + "score": 1.0, + "content": ", if worker", + "type": "text" + }, + { + "bbox": [ + 455, + 270, + 465, + 280 + ], + "score": 0.87, + "content": "k ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 270, + 505, + 282 + ], + "score": 1.0, + "content": "is lagged", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 280, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 294 + ], + "score": 1.0, + "content": "behind. This was not possible in the synchronous model, as there all communications had to happen", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 291, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 104, + 291, + 505, + 305 + ], + "score": 1.0, + "content": "in sync. We demonstrate this principle in Table 2 below for two workers. Note that also the running", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 303, + 238, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 238, + 315 + ], + "score": 1.0, + "content": "averages can still be maintained.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5 + }, + { + "type": "table", + "bbox": [ + 108, + 326, + 503, + 367 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 108, + 326, + 503, + 367 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 108, + 326, + 503, + 367 + ], + "spans": [ + { + "bbox": [ + 108, + 326, + 503, + 367 + ], + "score": 0.974, + "html": "
wall clock time → → → → → →
worker 1xH←U(x)xH←U(x)xH←U(x)xH,2←U(x)xH←U()x4H←U(x):
worker 2x←U(x)xH←U(x)·
", + "type": "table", + "image_path": "f9da9b8cd8223458a47ac83f9babdfb660e10a460d140f997923d7dc5ec7eff5.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 108, + 326, + 503, + 339.6666666666667 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 108, + 339.6666666666667, + 503, + 353.33333333333337 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 108, + 353.33333333333337, + 503, + 367.00000000000006 + ], + "spans": [], + "index": 17 + } + ] + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 106, + 375, + 505, + 421 + ], + "lines": [ + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "Table 2: Simple load balancing. The faster worker can advance both sequences, even when the slower", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 387, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 416, + 398 + ], + "score": 1.0, + "content": "worker has not yet finished the computation. In the example each worker does", + "type": "text" + }, + { + "bbox": [ + 417, + 387, + 427, + 397 + ], + "score": 0.77, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 387, + 505, + 398 + ], + "score": 1.0, + "content": "steps of local SGD", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 208, + 410 + ], + "score": 1.0, + "content": "(denoted by the operator", + "type": "text" + }, + { + "bbox": [ + 208, + 397, + 263, + 407 + ], + "score": 0.9, + "content": "U \\colon { \\mathbb { R } ^ { d } } \\to \\dot { { \\mathbb { R } ^ { d } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 397, + 463, + 410 + ], + "score": 1.0, + "content": ") before writing back the updates to the aggregate", + "type": "text" + }, + { + "bbox": [ + 464, + 398, + 471, + 407 + ], + "score": 0.72, + "content": "\\bar { \\bar { \\bf x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 397, + 506, + 410 + ], + "score": 1.0, + "content": ". Due to", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 408, + 222, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 184, + 420 + ], + "score": 1.0, + "content": "the load balancing,", + "type": "text" + }, + { + "bbox": [ + 185, + 409, + 218, + 420 + ], + "score": 0.91, + "content": "\\tau \\leq 3 H", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 408, + 222, + 420 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5 + }, + { + "type": "title", + "bbox": [ + 108, + 442, + 268, + 455 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 270, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 270, + 457 + ], + "score": 1.0, + "content": "D DETAILS ON EXPERIMENTS", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 467, + 505, + 524 + ], + "lines": [ + { + "bbox": [ + 106, + 467, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 505, + 480 + ], + "score": 1.0, + "content": "We here state the precise procedure that was used to generate the figures in this report. As briefly", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 477, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 472, + 491 + ], + "score": 1.0, + "content": "stated in Section 4 we examine empirically the speedup on a logistic regression problem,", + "type": "text" + }, + { + "bbox": [ + 472, + 478, + 505, + 490 + ], + "score": 0.91, + "content": "f ( \\mathbf { x } ) =", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 485, + 509, + 508 + ], + "spans": [ + { + "bbox": [ + 106, + 489, + 277, + 503 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\log ( 1 + \\exp ( - b _ { i } \\mathbf { a } _ { i } ^ { \\top } \\mathbf { x } ) ) + \\frac { \\lambda } { 2 } \\| \\mathbf { x } \\| ^ { 2 } , } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 485, + 307, + 508 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 307, + 489, + 341, + 502 + ], + "score": 0.92, + "content": "\\mathbf { a } _ { i } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 485, + 359, + 508 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 360, + 490, + 420, + 502 + ], + "score": 0.93, + "content": "b _ { i } \\in \\{ - 1 , + 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 485, + 509, + 508 + ], + "score": 1.0, + "content": "are the data samples.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 500, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 254, + 514 + ], + "score": 1.0, + "content": "The regularization parameter is set to", + "type": "text" + }, + { + "bbox": [ + 254, + 502, + 290, + 514 + ], + "score": 0.91, + "content": "\\lambda = 1 / n", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 500, + 404, + 514 + ], + "score": 1.0, + "content": ". We consider the small scale", + "type": "text" + }, + { + "bbox": [ + 405, + 503, + 424, + 512 + ], + "score": 0.74, + "content": "\\mathtt { w } 8 \\mathtt { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 500, + 506, + 514 + ], + "score": 1.0, + "content": "dataset (Platt, 1999)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 108, + 511, + 199, + 525 + ], + "spans": [ + { + "bbox": [ + 108, + 513, + 195, + 524 + ], + "score": 0.69, + "content": "( d = 3 0 0 , n = 4 9 7 4 9 )", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 511, + 199, + 525 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 529, + 505, + 612 + ], + "lines": [ + { + "bbox": [ + 106, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 211, + 542 + ], + "score": 1.0, + "content": "For each run, we initialize", + "type": "text" + }, + { + "bbox": [ + 212, + 530, + 247, + 541 + ], + "score": 0.93, + "content": "\\mathbf { x } _ { 0 } = \\mathbf { 0 } _ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "and measure the number of iterations6 (and number of stochastic", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 540, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 309, + 554 + ], + "score": 1.0, + "content": "gradient evaluations) to reach the target accuracy", + "type": "text" + }, + { + "bbox": [ + 309, + 540, + 392, + 552 + ], + "score": 0.91, + "content": "\\epsilon \\in \\lbrace 0 . 0 0 5 , 0 . 0 0 0 1 \\rbrace", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 540, + 506, + 554 + ], + "score": 1.0, + "content": ". As we prove convergence", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 551, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 563 + ], + "score": 1.0, + "content": "only for a special weighted sum of the iterates in Theorem 2.2 and not for standard criteria (last", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 561, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 104, + 561, + 481, + 576 + ], + "score": 1.0, + "content": "iterate or uniform average), we evaluate the function value for different weighted averages", + "type": "text" + }, + { + "bbox": [ + 481, + 564, + 505, + 574 + ], + "score": 0.86, + "content": "\\mathbf { y } _ { t } =", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 573, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 107, + 573, + 187, + 590 + ], + "score": 0.91, + "content": "\\textstyle { \\frac { 1 } { \\sum _ { i = 0 } ^ { t } w _ { i } } } \\sum _ { i = 0 } ^ { t } w _ { i } \\mathbf { x } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 574, + 469, + 596 + ], + "score": 1.0, + "content": ", and consider the accuracy reached when one of the averages satisfies", + "type": "text" + }, + { + "bbox": [ + 470, + 574, + 505, + 587 + ], + "score": 0.91, + "content": "f ( \\mathbf { y } _ { t } ) -", + "type": "inline_equation" + } + ], + "index": 32 + }, + { + "bbox": [ + 107, + 586, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 107, + 590, + 137, + 601 + ], + "score": 0.89, + "content": "f ^ { \\star } \\leq \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 586, + 162, + 604 + ], + "score": 1.0, + "content": ", with", + "type": "text" + }, + { + "bbox": [ + 162, + 589, + 274, + 601 + ], + "score": 0.64, + "content": "f ^ { \\star } : = 0 . 1 2 6 4 3 3 1 7 6 2 1 6 5 4 5", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 586, + 506, + 604 + ], + "score": 1.0, + "content": "(numerically determined). The precise formulas for the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 600, + 280, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 280, + 612 + ], + "score": 1.0, + "content": "averages that we used are given in Table 1.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 616, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 106, + 616, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 202, + 630 + ], + "score": 1.0, + "content": "For each configuration", + "type": "text" + }, + { + "bbox": [ + 202, + 617, + 249, + 628 + ], + "score": 0.92, + "content": "( K , H , b , \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 616, + 506, + 630 + ], + "score": 1.0, + "content": ", we report the best result found with any of the following two", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 102, + 622, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 102, + 622, + 146, + 646 + ], + "score": 1.0, + "content": "stepsizes:", + "type": "text" + }, + { + "bbox": [ + 147, + 628, + 226, + 641 + ], + "score": 0.89, + "content": "\\begin{array} { r } { \\eta _ { t } : = \\operatorname* { m i n } ( 3 2 , \\frac { c n } { t + 1 } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 622, + 244, + 646 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 244, + 628, + 282, + 639 + ], + "score": 0.91, + "content": "\\eta _ { t } = 3 2 c", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 622, + 307, + 646 + ], + "score": 1.0, + "content": ". Here", + "type": "text" + }, + { + "bbox": [ + 307, + 630, + 313, + 637 + ], + "score": 0.72, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 622, + 463, + 646 + ], + "score": 1.0, + "content": "is a parameter that can take the values", + "type": "text" + }, + { + "bbox": [ + 463, + 627, + 490, + 638 + ], + "score": 0.9, + "content": "c = { \\bar { 2 } } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 622, + 506, + 646 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 107, + 640, + 130, + 650 + ], + "score": 0.9, + "content": "i \\in \\mathbb { Z }", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 639, + 335, + 653 + ], + "score": 1.0, + "content": ". For each stepsize we determine the best parameter", + "type": "text" + }, + { + "bbox": [ + 336, + 642, + 342, + 650 + ], + "score": 0.63, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "by a grid search, and consider parameter", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 107, + 650, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 107, + 653, + 113, + 661 + ], + "score": 0.7, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 650, + 205, + 664 + ], + "score": 1.0, + "content": "optimal, if parameters", + "type": "text" + }, + { + "bbox": [ + 206, + 650, + 293, + 663 + ], + "score": 0.94, + "content": "\\{ 2 ^ { - 2 } c , 2 ^ { - 1 } c , 2 c , 2 ^ { 2 } c \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 650, + 505, + 664 + ], + "score": 1.0, + "content": "yield worse results (i.e. more iterations to reach the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 661, + 174, + 675 + ], + "spans": [ + { + "bbox": [ + 106, + 661, + 174, + 675 + ], + "score": 1.0, + "content": "target accuracy).", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37 + } + ], + "page_idx": 15, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 681, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 118, + 680, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 118, + 680, + 506, + 694 + ], + "score": 1.0, + "content": "6Note, that besides the randomness involved the stochastic gradient computations, the averaging steps of", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 691, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 506, + 703 + ], + "score": 1.0, + "content": "synchronous local SGD are deterministic. Hence, these results (convergence in terms if numbers of iterations)", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 701, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 701, + 506, + 713 + ], + "score": 1.0, + "content": "can be reproduced by just simulating local SGD by using virtual workers (which we did for large number of", + "type": "text" + } + ] + }, + { + "bbox": [ + 107, + 710, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 107, + 712, + 117, + 721 + ], + "score": 0.67, + "content": "K _ { \\cdot }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 710, + 506, + 724 + ], + "score": 1.0, + "content": "). 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criteriaweightsformularecursive update
last iterate-yt=Xtyt=Xt
uniform averageWt=1y=中∑i=0Xiyt=xt+1yt-1t
linear weightsWt=(t+1)yt =(+t(2+)∑i-0(i+ 1)xi2yt=22txt++2yt-1
quadratic weightsWt =(t+1)²yt= 6(t+1)(t+2)(2t+3)∑i=0(i+1)²xyt= 6(t+1) t(1+2t)(t+2)(2t+3)Xt+6+7t+2t2Yt-1
", + "type": "table", + "image_path": "4ec7874c8bba85c2d49e75c6c14261aace2278f1c58e405c56e90b495b9edc37.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 79, + 503, + 98.66666666666667 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 98.66666666666667, + 503, + 118.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 118.33333333333334, + 503, + 138.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 189, + 145, + 421, + 157 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 188, + 143, + 422, + 159 + ], + "spans": [ + { + "bbox": [ + 188, + 143, + 422, + 159 + ], + "score": 1.0, + "content": "Table 1: Formulas to recursively track weighted averages.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "title", + "bbox": [ + 108, + 177, + 262, + 188 + ], + "lines": [ + { + "bbox": [ + 105, + 175, + 264, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 264, + 190 + ], + "score": 1.0, + "content": "C.2 ASYNCHRONOUS LOCAL SGD", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 198, + 504, + 220 + ], + "lines": [ + { + "bbox": [ + 106, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "As for synchronous local SGD, the weighted averages of the iterates (if needed), can be tracked on", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 209, + 361, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 361, + 221 + ], + "score": 1.0, + "content": "each worker locally by a recursive formula as explained above.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5, + "bbox_fs": [ + 106, + 198, + 505, + 221 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 225, + 505, + 314 + ], + "lines": [ + { + "bbox": [ + 104, + 225, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 104, + 225, + 505, + 239 + ], + "score": 1.0, + "content": "A more important aspect that we do not have discussed yet, is that Algorithm 2 allows for an easy", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 237, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 505, + 249 + ], + "score": 1.0, + "content": "procedure to balance the load in heterogeneous settings. In our notation, we have always associated", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 247, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 185, + 261 + ], + "score": 1.0, + "content": "the local sequences", + "type": "text" + }, + { + "bbox": [ + 186, + 247, + 208, + 260 + ], + "score": 0.93, + "content": "\\{ \\mathbf { x } _ { t } ^ { k } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 247, + 298, + 261 + ], + "score": 1.0, + "content": "with a specific worker", + "type": "text" + }, + { + "bbox": [ + 299, + 248, + 306, + 258 + ], + "score": 0.76, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 247, + 506, + 261 + ], + "score": 1.0, + "content": ". However, the computation of the sequences does", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 347, + 271 + ], + "score": 1.0, + "content": "not need to be tied to a specific worker. Thus, a fast worker", + "type": "text" + }, + { + "bbox": [ + 347, + 259, + 354, + 268 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 258, + 506, + 271 + ], + "score": 1.0, + "content": "that has advanced his local sequence", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 383, + 282 + ], + "score": 1.0, + "content": "too much already, can start computing updates for another sequence", + "type": "text" + }, + { + "bbox": [ + 384, + 270, + 412, + 281 + ], + "score": 0.92, + "content": "\\boldsymbol { k } ^ { \\prime } \\neq \\boldsymbol { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 270, + 455, + 282 + ], + "score": 1.0, + "content": ", if worker", + "type": "text" + }, + { + "bbox": [ + 455, + 270, + 465, + 280 + ], + "score": 0.87, + "content": "k ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 270, + 505, + 282 + ], + "score": 1.0, + "content": "is lagged", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 280, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 294 + ], + "score": 1.0, + "content": "behind. This was not possible in the synchronous model, as there all communications had to happen", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 291, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 104, + 291, + 505, + 305 + ], + "score": 1.0, + "content": "in sync. We demonstrate this principle in Table 2 below for two workers. Note that also the running", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 303, + 238, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 238, + 315 + ], + "score": 1.0, + "content": "averages can still be maintained.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5, + "bbox_fs": [ + 104, + 225, + 506, + 315 + ] + }, + { + "type": "table", + "bbox": [ + 108, + 326, + 503, + 367 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 108, + 326, + 503, + 367 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 108, + 326, + 503, + 367 + ], + "spans": [ + { + "bbox": [ + 108, + 326, + 503, + 367 + ], + "score": 0.974, + "html": "
wall clock time → → → → → →
worker 1xH←U(x)xH←U(x)xH←U(x)xH,2←U(x)xH←U()x4H←U(x):
worker 2x←U(x)xH←U(x)·
", + "type": "table", + "image_path": "f9da9b8cd8223458a47ac83f9babdfb660e10a460d140f997923d7dc5ec7eff5.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 108, + 326, + 503, + 339.6666666666667 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 108, + 339.6666666666667, + 503, + 353.33333333333337 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 108, + 353.33333333333337, + 503, + 367.00000000000006 + ], + "spans": [], + "index": 17 + } + ] + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 106, + 375, + 505, + 421 + ], + "lines": [ + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "Table 2: Simple load balancing. The faster worker can advance both sequences, even when the slower", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 387, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 416, + 398 + ], + "score": 1.0, + "content": "worker has not yet finished the computation. In the example each worker does", + "type": "text" + }, + { + "bbox": [ + 417, + 387, + 427, + 397 + ], + "score": 0.77, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 387, + 505, + 398 + ], + "score": 1.0, + "content": "steps of local SGD", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 208, + 410 + ], + "score": 1.0, + "content": "(denoted by the operator", + "type": "text" + }, + { + "bbox": [ + 208, + 397, + 263, + 407 + ], + "score": 0.9, + "content": "U \\colon { \\mathbb { R } ^ { d } } \\to \\dot { { \\mathbb { R } ^ { d } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 397, + 463, + 410 + ], + "score": 1.0, + "content": ") before writing back the updates to the aggregate", + "type": "text" + }, + { + "bbox": [ + 464, + 398, + 471, + 407 + ], + "score": 0.72, + "content": "\\bar { \\bar { \\bf x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 397, + 506, + 410 + ], + "score": 1.0, + "content": ". Due to", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 408, + 222, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 184, + 420 + ], + "score": 1.0, + "content": "the load balancing,", + "type": "text" + }, + { + "bbox": [ + 185, + 409, + 218, + 420 + ], + "score": 0.91, + "content": "\\tau \\leq 3 H", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 408, + 222, + 420 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 375, + 506, + 420 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 442, + 268, + 455 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 270, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 270, + 457 + ], + "score": 1.0, + "content": "D DETAILS ON EXPERIMENTS", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 467, + 505, + 524 + ], + "lines": [ + { + "bbox": [ + 106, + 467, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 505, + 480 + ], + "score": 1.0, + "content": "We here state the precise procedure that was used to generate the figures in this report. As briefly", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 477, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 472, + 491 + ], + "score": 1.0, + "content": "stated in Section 4 we examine empirically the speedup on a logistic regression problem,", + "type": "text" + }, + { + "bbox": [ + 472, + 478, + 505, + 490 + ], + "score": 0.91, + "content": "f ( \\mathbf { x } ) =", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 485, + 509, + 508 + ], + "spans": [ + { + "bbox": [ + 106, + 489, + 277, + 503 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\log ( 1 + \\exp ( - b _ { i } \\mathbf { a } _ { i } ^ { \\top } \\mathbf { x } ) ) + \\frac { \\lambda } { 2 } \\| \\mathbf { x } \\| ^ { 2 } , } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 485, + 307, + 508 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 307, + 489, + 341, + 502 + ], + "score": 0.92, + "content": "\\mathbf { a } _ { i } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 485, + 359, + 508 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 360, + 490, + 420, + 502 + ], + "score": 0.93, + "content": "b _ { i } \\in \\{ - 1 , + 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 485, + 509, + 508 + ], + "score": 1.0, + "content": "are the data samples.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 500, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 254, + 514 + ], + "score": 1.0, + "content": "The regularization parameter is set to", + "type": "text" + }, + { + "bbox": [ + 254, + 502, + 290, + 514 + ], + "score": 0.91, + "content": "\\lambda = 1 / n", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 500, + 404, + 514 + ], + "score": 1.0, + "content": ". We consider the small scale", + "type": "text" + }, + { + "bbox": [ + 405, + 503, + 424, + 512 + ], + "score": 0.74, + "content": "\\mathtt { w } 8 \\mathtt { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 500, + 506, + 514 + ], + "score": 1.0, + "content": "dataset (Platt, 1999)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 108, + 511, + 199, + 525 + ], + "spans": [ + { + "bbox": [ + 108, + 513, + 195, + 524 + ], + "score": 0.69, + "content": "( d = 3 0 0 , n = 4 9 7 4 9 )", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 511, + 199, + 525 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 467, + 509, + 525 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 529, + 505, + 612 + ], + "lines": [ + { + "bbox": [ + 106, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 211, + 542 + ], + "score": 1.0, + "content": "For each run, we initialize", + "type": "text" + }, + { + "bbox": [ + 212, + 530, + 247, + 541 + ], + "score": 0.93, + "content": "\\mathbf { x } _ { 0 } = \\mathbf { 0 } _ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "and measure the number of iterations6 (and number of stochastic", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 540, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 309, + 554 + ], + "score": 1.0, + "content": "gradient evaluations) to reach the target accuracy", + "type": "text" + }, + { + "bbox": [ + 309, + 540, + 392, + 552 + ], + "score": 0.91, + "content": "\\epsilon \\in \\lbrace 0 . 0 0 5 , 0 . 0 0 0 1 \\rbrace", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 540, + 506, + 554 + ], + "score": 1.0, + "content": ". As we prove convergence", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 551, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 563 + ], + "score": 1.0, + "content": "only for a special weighted sum of the iterates in Theorem 2.2 and not for standard criteria (last", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 561, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 104, + 561, + 481, + 576 + ], + "score": 1.0, + "content": "iterate or uniform average), we evaluate the function value for different weighted averages", + "type": "text" + }, + { + "bbox": [ + 481, + 564, + 505, + 574 + ], + "score": 0.86, + "content": "\\mathbf { y } _ { t } =", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 573, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 107, + 573, + 187, + 590 + ], + "score": 0.91, + "content": "\\textstyle { \\frac { 1 } { \\sum _ { i = 0 } ^ { t } w _ { i } } } \\sum _ { i = 0 } ^ { t } w _ { i } \\mathbf { x } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 574, + 469, + 596 + ], + "score": 1.0, + "content": ", and consider the accuracy reached when one of the averages satisfies", + "type": "text" + }, + { + "bbox": [ + 470, + 574, + 505, + 587 + ], + "score": 0.91, + "content": "f ( \\mathbf { y } _ { t } ) -", + "type": "inline_equation" + } + ], + "index": 32 + }, + { + "bbox": [ + 107, + 586, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 107, + 590, + 137, + 601 + ], + "score": 0.89, + "content": "f ^ { \\star } \\leq \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 586, + 162, + 604 + ], + "score": 1.0, + "content": ", with", + "type": "text" + }, + { + "bbox": [ + 162, + 589, + 274, + 601 + ], + "score": 0.64, + "content": "f ^ { \\star } : = 0 . 1 2 6 4 3 3 1 7 6 2 1 6 5 4 5", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 586, + 506, + 604 + ], + "score": 1.0, + "content": "(numerically determined). 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1: Initialize variables xk = Xo,rk = O for k ∈ [K],aggregate x = X0. 2: parallel fork∈Kdo
3: fortinO...T-1do Sample iuniformly in [n]
4:local update
5:x+1<x-ntVfi(x)
6:if t+1∈then ←add(x,(x+1-xk)) > atomic aggregation of the updates
7:
8:x+1←read(x);
9:r←t+1 >iteration/time of last read
10: end if
11: end for 12: end parallel for
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criteriaweightsformularecursive update
last iterate-yt=Xtyt=Xt
uniform averageWt=1y=中∑i=0Xiyt=xt+1yt-1t
linear weightsWt=(t+1)yt =(+t(2+)∑i-0(i+ 1)xi2yt=22txt++2yt-1
quadratic weightsWt =(t+1)²yt= 6(t+1)(t+2)(2t+3)∑i=0(i+1)²xyt= 6(t+1) t(1+2t)(t+2)(2t+3)Xt+6+7t+2t2Yt-1
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wall clock time → → → → → →
worker 1xH←U(x)xH←U(x)xH←U(x)xH,2←U(x)xH←U()x4H←U(x):
worker 2x←U(x)xH←U(x)·
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0000000000000000000000000000000000000000..d229706474ba8c895cf636c42906b6864b615531 --- /dev/null +++ b/parse/train/S1giVsRcYm/S1giVsRcYm.md @@ -0,0 +1,326 @@ +# COUNT-BASED EXPLORATION WITH THE SUCCESSOR REPRESENTATION + +Anonymous authors Paper under double-blind review + +# ABSTRACT + +The problem of exploration in reinforcement learning is well-understood in the tabular case and many sample-efficient algorithms are known. Nevertheless, it is often unclear how the algorithms in the tabular setting can be extended to tasks with large state-spaces where generalization is required. Recent promising developments generally depend on problem-specific density models or handcrafted features. In this paper we introduce a simple approach for exploration that allows us to develop theoretically justified algorithms in the tabular case but that also give us intuitions for new algorithms applicable to settings where function approximation is required. Our approach and its underlying theory is based on the substochastic successor representation, a concept we develop here. While the traditional successor representation is a representation that defines state generalization by the similarity of successor states, the substochastic successor representation is also able to implicitly count the number of times each state (or feature) has been observed. This extension connects two until now disjoint areas of research. We show in traditional tabular domains (RiverSwim and SixArms) that our algorithm empirically performs as well as other sample-efficient algorithms. We then describe a deep reinforcement learning algorithm inspired by these ideas and show that it matches the performance of recent pseudo-count-based methods in hard exploration Atari 2600 games. + +# 1 INTRODUCTION + +Reinforcement learning (RL) tackles sequential decision making problems by formulating them as tasks where an agent must learn how to act optimally through trial and error interactions with the environment. The goal in these problems is to maximize the sum of the numerical reward signal observed at each time step. Because the actions taken by the agent influence not just the immediate reward but also the states and associated rewards in the future, sequential decision making problems require agents to deal with the trade-off between immediate and delayed rewards. Here we focus on the problem of exploration in RL, which aims to reduce the number of samples (i.e., interactions) an agent needs in order to learn to perform well in these tasks when the environment is initially unknown. + +The sample efficiency of RL algorithms is largely dependent on how agents select exploratory actions. In order to learn the proper balance between immediate and delayed rewards agents need to navigate through the state space to learn about the outcome of different transitions. The number of samples an agent requires is related to how quickly it is able to explore the state-space. Surprisingly, the most common approach is to select exploratory actions uniformly at random, even in high-profile success stories of RL (e.g., Tesauro, 1995; Mnih et al., 2015). Nevertheless, random exploration often fails in environments with sparse rewards, that is, environments where the agent observes a reward signal of value zero for the majority of states.1 + +In model-based approaches agents explicitly learn a model of the dynamics of the environment which they use to plan future actions. In this setting the problem of exploration is well understood. When all states can be enumerated and uniquely identified (tabular case), we have algorithms with proven sample complexity bounds on the maximum number of suboptimal actions an agent selects before converging to an $\epsilon$ -optimal policy (e.g., Brafman & Tennenholtz, 2002; Kearns & Singh, 2002; Strehl & Littman, 2008). However, these approaches are not easily extended to large environments where it is intractable to enumerate all of the states. When using function approximation, the concept of state visitation is not helpful and learning useful models is by itself quite challenging. + +Due to the difficulties in learning good models in large domains, model-free methods are much more popular. Instead of building an explicit model of the environment, they estimate state values directly from transition samples (state, action, reward, next state). Unfortunately, this approach makes systematic exploration much more challenging. Nevertheless, because model-free methods make up the majority of approaches scalable to large domains, practitioners often ignore the exploration challenges these methods pose and accept the high sample complexity of random exploration. Reward bonuses that promote exploration are one alternative to random walks (e.g., Bellemare et al., 2016; Martin et al., 2017), but none such proposed solutions are widely adopted in the field. + +In this paper we introduce an algorithm for exploration based on the successor representation (SR). The SR, originally introduced by Dayan (1993), is a representation that generalizes between states using the similarity between their successors, i.e., the similarity between the states that follow the current state given the environment’s dynamics and the agent’s policy. The SR is defined for any problem, it can be learned through temporal-difference learning (Sutton, 1988) and, as we discuss below, it can also be seen as implicitly estimating the transition dynamics of the environment. Our approach is inspired by the substochastic successor representation (SSR), a concept we introduce here. The SSR is defined so that it implicitly counts state visitation, allowing us to use it to encourage exploration. This idea connects representation learning and exploration, two otherwise disjoint areas of research. The SSR allows us to derive an exploration bonus that when applied to model-based RL generates algorithms that perform as well as theoretically sample-efficient algorithms. Importantly, the intuition developed with the SSR assists us in the design of a model-free deep RL algorithm that achieves performance similar to pseudo-count-based methods in hard exploration Atari 2600 games (Bellemare et al., 2016; Ostrovski et al., 2017). + +# 2 PRELIMINARIES + +We consider an agent interacting with its environment in a sequential manner. Starting from a state $S _ { 0 } \in \mathcal { S }$ , at each step the agent takes an action $A _ { t } \in \mathcal A$ , to which the environment responds with a state $S _ { t + 1 } \in \mathcal S$ according to a transition probability function $p ( s ^ { \prime } | s , a ) = \operatorname* { P r } ( S _ { t + 1 } = s ^ { \prime } \bar { | } S _ { t } = s , A _ { t } = a )$ , and with a reward signal $R _ { t + 1 } \in \mathbb { R }$ , where $r ( s , a )$ indicates the expected reward for a transition from state $s$ under action $a$ , that is, $r ( s , a ) \doteq \mathbb { E } [ R _ { t } | S _ { t } = s , A _ { t } = a ]$ . + +The value of a state $s$ when following a policy $\pi$ , $v _ { \pi } ( s )$ , is defined to be the expected sum of discounted rewards from that state: $\begin{array} { r } { v _ { \pi } ( s ) \doteq \mathbb { E } _ { \pi } \Big [ \sum _ { k = t + 1 } ^ { T } \gamma ^ { k - t - 1 } R _ { k } \Big | S _ { t } = s \Big ] } \end{array}$ , with $\gamma$ being the discount factor. When the transition probability function $p$ and the reward function $r$ are known, we can compute $v _ { \pi } ( s )$ recursively by solving the system of equations below (Bellman, 1957): + +$$ +v _ { \pi } ( s ) = \sum _ { a } \pi ( a | s ) \big [ r ( s , a ) + \gamma \sum _ { s ^ { \prime } } p ( s ^ { \prime } | s , a ) v _ { \pi } ( s ^ { \prime } ) \big ] . +$$ + +This equation can also be written in matrix form with $\mathbf { v } _ { \pi }$ , $\mathbf { r } \in \mathbb { R } ^ { | s | }$ and $P _ { \pi } \in \mathbb { R } ^ { | \mathcal { S } | \times | \mathcal { S } | }$ : + +$$ +\mathbf { v } _ { \pi } = \mathbf { r } + \gamma P _ { \pi } \mathbf { v } _ { \pi } = ( I - \gamma P _ { \pi } ) ^ { - 1 } \mathbf { r } , +$$ + +where $P _ { \pi }$ is the state to state transition probability function induced by $\pi$ , that is, $P _ { \pi } ( s , s ^ { \prime } ) =$ $\begin{array} { r } { \sum _ { a } \pi ( a | s ) p ( s ^ { \prime } | s , a ) } \end{array}$ . + +Traditional model-based algorithms for RL work by learning estimates of the matrix $P _ { \pi }$ and of the vector $\mathbf { r }$ and using them to estimate $v _ { \pi }$ , for example by solving Equation 1. We use $\hat { P } _ { \pi }$ and $\hat { \mathbf { r } }$ to denote empirical estimates of $P _ { \pi }$ and $\mathbf { r }$ . Formally, + +$$ +\hat { P _ { \pi } } ( s ^ { \prime } | s ) = \frac { n ( s , s ^ { \prime } ) } { n ( s ) } , \hat { \bf r } ( s ) = \frac { C ( s , s ^ { \prime } ) } { n ( s ) } , +$$ + +where $\hat { \mathbf { r } } ( i )$ denotes the $i$ -th entry in the vector $\hat { \mathbf { r } }$ , $n ( s , s ^ { \prime } )$ is the number of times the transition $s s ^ { \prime }$ was observed, $\begin{array} { r } { n ( s ) = \sum _ { s ^ { \prime } \in \mathcal { S } } \bar { n } ( s , s ^ { \prime } ) } \end{array}$ , and $C ( s , s ^ { \prime } )$ is the sum of the rewards associated with the $n ( s , s ^ { \prime } )$ transitions (we drop the action in the discussion to simplify notation). + +Alternatively, in model-free RL, instead of estimating $P _ { \pi }$ and $\mathbf { r }$ we estimate $v _ { \pi } ( s )$ directly from samples. We often use temporal-difference (TD) learning (Sutton, 1988) to update our estimates of $v _ { \pi } ( \bar { s } ) , \hat { v } ( \cdot )$ , online: + +$$ +\hat { v } ( S _ { t } ) \gets \hat { v } ( S _ { t } ) + \alpha \big [ R _ { t + 1 } + \gamma \hat { v } ( S _ { t + 1 } ) - \hat { v } ( S _ { t } ) \big ] , +$$ + +where $\alpha$ is the step-size parameter. Generalization is required in problems with large state spaces, where it is unfeasible to learn an individual value for each state. We do so by parametrizing ${ \hat { v } } ( s )$ with a set of weights $\theta$ . We write, given the weights $\theta$ , $\hat { v } ( s ; \theta ) \approx v _ { \pi } ( s )$ and $\hat { q } ( \dot { s } , \bar { a } ; \theta ) \approx q _ { \pi } ( \bar { s , a } )$ , where $\begin{array} { r } { q _ { \pi } ( s , a ) = r ( s , a ) + \gamma \sum _ { s ^ { \prime } } p ( s ^ { \prime } | s , a ) v _ { \pi } ( s ^ { \prime } ) } \end{array}$ . Model-free methods have performed well in problems with large state spaces, mainly due to the use of neural networks as function approximators (e.g., Mnih et al., 2015). + +Our algorithm is based on the successor representation (SR; Dayan, 1993). The successor representation, with respect to a policy $\pi$ , $\Psi _ { \pi }$ , is defined as + +$$ +\Psi _ { \pi } ( s , s ^ { \prime } ) = \mathbb { E } _ { \pi , p } \Big [ \sum _ { t = 0 } ^ { \infty } \gamma ^ { t } \mathbb { I } \{ S _ { t } = s ^ { \prime } \} \Big | S _ { 0 } = s \Big ] , +$$ + +where we assume the sum is convergent with $\mathbb { I }$ denoting the indicator function. Dayan (1993) has shown that this expectation can be estimated from samples through TD learning. It also corresponds to the Neumann series of $\gamma P$ : + +$$ +\Psi _ { \pi } = \sum _ { t = 0 } ^ { \infty } \gamma ^ { t } ( P _ { \pi } ) ^ { t } = ( I - \gamma P _ { \pi } ) ^ { - 1 } . +$$ + +Notice that the SR is part of the solution when computing a value function: $\mathbf { v } _ { \pi } = \Psi _ { \pi } \mathbf { r }$ (Equation 1). +We use $\hat { \Psi } _ { \pi }$ to denote the SR computed through $\hat { P } _ { \pi }$ , the approximation of $P _ { \pi }$ . + +The definition of the SR can also be extended to features. Successor features generalize the SR to the function approximation setting (Barreto et al., 2017). We use the definition for the uncontrolled case in this paper. Importantly, the successor features can also be learned with TD learning. + +Definition 2.1 (Successor Features). For a given $0 \leq \gamma < 1$ , policy $\pi$ , and for a feature representation $\phi ( s ) \in \mathbb { R } ^ { d }$ , the successor features for a state s are: + +$$ +\psi _ { \pi } ( s ) = \mathbb { E } _ { \pi , p } \left[ \sum _ { t = 0 } ^ { \infty } \gamma ^ { t } \phi ( S _ { t } ) \Bigg | S _ { 0 } = s \right] . +$$ + +Alternatively, in matrix form, $\begin{array} { r } { \Psi _ { \pi } = \sum _ { t = 0 } ^ { \infty } \gamma ^ { t } ( P _ { \pi } ) ^ { t } \Phi = ( I - \gamma P _ { \pi } ) ^ { - 1 } \Phi } \end{array}$ . Notice that this definition reduces to the SR in the tabular case, where $\Phi = I$ . + +# 3 THE SUBSTOCHASTIC SUCCESSOR REPRESENTATION + +In this section we introduce the concept of the substochastic successor representation (SSR). The SSR is derived from an empirical transition matrix similar to Equation 2, but where each state incorporates a small $( 1 / ( n ( s ) + 1 { \bar { ) } } )$ probability of terminating at that state, rather than transiting to a next state. As we will show, we can recover the visit counts $n ( s )$ through algebraic manipulation on the SSR. + +While computing the SSR is usually impractical, we use it as inspiration in the design of a new deep reinforcement learning algorithm for exploration (Section 4). In a nutshell, we view the SSR as approximating the process of learning the SR from an uninformative initialization (i.e., the zero vector), and using a stochastic update rule. While this approximation is relatively coarse, we believe it gives qualitative justification to our use of the learned SR to guide exploration. To further this claim, we demonstrate that using the SSR in synthetic, tabular settings yields comparable performance to that of theoretically-derived exploration algorithms. + +Definition 3.1 (Substochastic Successor Representation). Let $\tilde { P _ { \pi } }$ denote the substochastic matrix induced by the environment’s dynamics and by the policy $\pi$ such that $\begin{array} { r } { \tilde { P } _ { \pi } ( s ^ { \prime } | s ) = \frac { n ( s , s ^ { \prime } ) } { n ( s ) + 1 } } \end{array}$ . For a given $0 \leq \gamma < 1$ , the substochastic successor representation, $\tilde { \Psi } _ { \pi }$ , is defined as: + +$$ +\tilde { \Psi } _ { \pi } = \sum _ { t = 0 } ^ { \infty } \gamma ^ { t } \tilde { P _ { \pi } } ^ { t } = ( I - \gamma \tilde { P _ { \pi } } ) ^ { - 1 } . +$$ + +The theorem below formalizes the idea that the $\ell _ { 1 }$ norm of the SSR implicitly counts state visitation. + +Theorem 1. Let $n ( s )$ denote the number of times state s has been visited and let $\chi ( s ) = ( 1 + \gamma ) -$ $| | \tilde { \Psi } _ { \pi } ( s ) | | _ { 1 }$ , where $\tilde { \Psi } _ { \pi }$ is the substochastic $S R$ as in Definition 3.1. For a given $0 \leq \gamma < 1$ , + +$$ +\frac { \gamma } { n ( s ) + 1 } - \frac { \gamma ^ { 2 } } { 1 - \gamma } \leq \chi ( s ) \leq \frac { \gamma } { n ( s ) + 1 } +$$ + +Proof of Theorem $^ { l }$ . Let $\hat { P } _ { \pi }$ be the empirical transition matrix. We first rewrite $\tilde { P _ { \pi } }$ in terms of $\hat { P _ { \pi } }$ : + +$$ +\tilde { P _ { \pi } } ( s , s ^ { \prime } ) = \frac { n ( s , s ^ { \prime } ) } { n ( s ) + 1 } = \frac { n ( s ) } { n ( s ) + 1 } \frac { n ( s , s ^ { \prime } ) } { n ( s ) } = \frac { n ( s ) } { n ( s ) + 1 } \hat { P _ { \pi } } ( s , s ^ { \prime } ) = \Big ( 1 - \frac { 1 } { n ( s ) + 1 } \Big ) \hat { P _ { \pi } } ( s , s ^ { \prime } ) . +$$ + +The expression above can also be written in matrix form: ${ \tilde { P } } _ { \pi } = ( I - N ) { \hat { P } } _ { \pi }$ , where $N \in \mathbb { R } ^ { | \mathcal { S } | \times | \mathcal { S } | }$ denotes the diagonal matrix of augmented inverse counts. Expanding $\tilde { \Psi } _ { \pi }$ we have: + +$$ +\tilde { \Psi } _ { \pi } = \sum _ { t = 0 } ^ { \gamma } ( \gamma \tilde { P _ { \pi } } ) ^ { t } = I + \gamma \tilde { P _ { \pi } } + \sum _ { t = 2 } ^ { \infty } ( \gamma \tilde { P _ { \pi } } ) ^ { t } = I + \gamma \tilde { P _ { \pi } } + \gamma ^ { 2 } \tilde { P _ { \pi } } ^ { 2 } \tilde { \Psi } _ { \pi } . +$$ + +The top eigenvector of a stochastic matrix is the all-ones vector, e (Meyn & Tweedie, 2012), and it corresponds to the eigenvalue 1. Using this fact and the definition of $\tilde { P _ { \pi } }$ with respect to $\hat { P } _ { \pi }$ we have: + +$$ +\begin{array} { r l r } { ( I + \gamma \tilde { P _ { \pi } } ) \mathbf { e } + \gamma ^ { 2 } \tilde { P _ { \pi } } ^ { 2 } \tilde { \Psi } _ { \pi } \mathbf { e } } & { = } & { \bigl ( I + \gamma ( I - N ) \hat { P _ { \pi } } \bigr ) \mathbf { e } + \gamma ^ { 2 } \tilde { P _ { \pi } } ^ { 2 } \tilde { \Psi } _ { \pi } \mathbf { e } } \\ & { = } & { ( I + \gamma ) \mathbf { e } - \gamma N \mathbf { e } + \gamma ^ { 2 } \tilde { P _ { \pi } } ^ { 2 } \tilde { \Psi } _ { \pi } \mathbf { e } . } \end{array} +$$ + +We can now bound the term $\gamma ^ { 2 } \tilde { P _ { \pi } } ^ { 2 } \tilde { \Psi } _ { \pi } \mathbf { e }$ using the fact that $\mathbf { e }$ is also the top eigenvector of the successor representation and has eigenvalue $\frac { 1 ^ { - } } { 1 - \gamma }$ (Machado et al., 2018b): + +$$ +0 \leq \gamma ^ { 2 } \tilde { P _ { \pi } } ^ { 2 } \tilde { \Psi } _ { \pi } { \bf e } \leq \frac { \gamma ^ { 2 } } { 1 - \gamma } { \bf e } . +$$ + +Plugging (5) into the definition of $\chi$ we have (notice that $\Psi ( s ) \mathbf { e } = | | \Psi ( s ) | | _ { 1 } )$ : + +$$ +\chi ( s ) = ( 1 + \gamma ) \mathbf { e } - ( 1 + \gamma ) \mathbf { e } + \gamma N \mathbf { e } - \gamma ^ { 2 } \tilde { P _ { \pi } } ^ { 2 } \tilde { \Psi } _ { \pi } \mathbf { e } \ = \ \gamma N \mathbf { e } - \gamma ^ { 2 } \tilde { P _ { \pi } } ^ { 2 } \tilde { \Psi } _ { \pi } \mathbf { e } \ \leq \ \gamma N \mathbf { e } . +$$ + +When we also use the other bound on the quadratic term we conclude that, for any state $s$ , + +$$ +\frac { \gamma } { n ( s ) + 1 } - \frac { \gamma ^ { 2 } } { 1 - \gamma } \leq \chi ( s ) \leq \frac { \gamma } { n ( s ) + 1 } . +$$ + +In other words, the SSR, obtained after a slight change to the SR, can be used to recover state visitation counts. The intuition behind this result is that the phantom transition, represented by the $+ 1$ in the denominator of the SSR, serves as a proxy for the uncertainty about that state by underestimating the SR. This is due to the fact that $\sum _ { s ^ { \prime } } \tilde { P _ { \pi } } ( s , s ^ { \prime } )$ gets closer to 1 each time state $s$ is visited. + +This result can now be used to convert the SSR into a reward function in the tabular case. We do so by using the SSR to define an exploration bonus, $r _ { \mathrm { i n t } }$ , such that the reward being maximized by the agent becomes $r ( s , a ) + \beta r _ { \mathrm { i n t } } ( s )$ , where $\beta$ is a scaling parameter. Since we want to incentivize agents to visit the least visited states as quickly as possible, we can trivially define $\mathbf { r } _ { \mathrm { i n t } } = - | | \tilde { \Psi } _ { \boldsymbol { \pi } } ( s ) | | _ { 1 }$ , where we penalize the agent by visiting the states that lead to commonly visited states. Notice that the shift $( 1 + \gamma )$ in $\chi ( s )$ has no effect as an exploration bonus because it is the same across all states. + +Table 1: Comparison between our algorithm, termed ESSR, and R-MAX, $\mathrm { E ^ { 3 } }$ , and MBIE. The numbers reported for R-MAX, $\mathrm { E ^ { 3 } }$ , and MBIE are an estimate obtained from the histograms presented by Strehl & Littman (2008). The performance of our algorithm is the average over 100 runs. A $9 5 \%$ confidence interval is reported between parentheses. + +
ER-MAXMBIEESSR
RIVERSWIM3,000,0003,000,0003,250,0003,088,924 (± 57,584)
SIXARMS1,800,0002,800,0009,250,0007,327,222 (± 1,189,460)
+ +# EVALUATING $- | | \tilde { \Psi } _ { \pi } ( s ) | | _ { 1 }$ AS AN EXPLORATION BONUS + +We evaluated the effectiveness of the proposed exploration bonus in a standard model-based algorithm. In our implementation the agent updates its transition probability model and reward model through Equation 2 and its SSR estimate as in Definition 3.1 (the pseudo-code of this algorithm is available in the Appendix), which is then used for the exploration bonus $r _ { \mathrm { i n t } }$ . We used the domains RiverSwim and SixArms (Strehl & Littman, 2008) to assess the performance of this algorithm.2 These are traditional domains in the PAC-MDP literature (Kakade, 2003) and are often used to evaluate provably sampleefficient algorithms. Details about these environments are also available in the Appendix. We used the same protocol used by Strehl & Littman (2008). Our results are available in Table 1. It is interesting to see that our algorithm performs as well as R-MAX (Brafman & Tennenholtz, 2002) and $\mathrm { E ^ { 3 } }$ (Kearns & Singh, 2002) on RiverSwim and it clearly outperforms these algorithms on SixArms. + +# 4 COUNTING FEATURE ACTIVATIONS WITH THE SR + +In large environments, where enumerating all states is not an option, directly using the SSR as described in the previous section is not viable. Learning the SSR becomes even more challenging when the representation, $\phi ( \cdot )$ , is also being learned and so is non-stationary. In this section we design an algorithm for the function approximation setting inspired by the results from the previous section. + +Since explicitly estimating the transition probability function is not an option, we learn the SR directly using TD learning. In order to capture the SSR we rely on TD’s tendency to underestimate values when the estimates are pessimistically initialized, just as the SSR underestimates the true successor representation; with larger underestimates for states (and similarly features) that are rarely observed. This is mainly due to the fact that when the SR is being learned with TD learning, because a reward of 1 is observed at each time step, there is no variance in the target and the predictions slowly approach the true value of the SR. When pessimistically initialized, the predictions approach the target from below. In this sense, what defines how far a prediction is from its final target is indeed how many times it has been updated in a given state. Finally, recent work (Kulkarni et al., 2016; Machado et al., 2018b) have shown successor features can be learned jointly with the feature representation itself. These ideas are combined together to create our algorithm. + +The neural network we used to learn the agent’s value function while also learning the feature representation and the successor representation is depicted in Figure 1. The layers used to compute the state-action value function, $\hat { q } ( S _ { t } , \cdot )$ , are structured as in DQN (Mnih et al., 2015), but with different numbers of parameters (i..e, filter sizes, stride, and number of nodes). This was done to match Oh et al.’s (2015) architecture, which is known to succeed in the auxiliary task we define below. From here on, we will call the part of our architecture that predicts $\hat { q } ( S _ { t } , \cdot ) \dot { Ḋ \mathbf Ḋ \mathrm Ḋ \mathrm Ḋ \mathrm Ḋ \Gamma Ḍ Ḍ Ḍ } $ . It is trained to minimize + +$$ +\mathcal { L } _ { \mathrm { T D } } = \mathbb { E } \Big [ \big ( ( 1 - \tau ) \delta ( s , a ) + \tau \delta _ { \mathrm { M C } } ( s , a ) \big ) ^ { 2 } \Big ] , +$$ + +![](images/06777259c82f0ccaa6aeac35e63ab713437d0b554aafc97c1462a9e2c54607a2.jpg) + +Figure 1: Neural network architecture used by our algorithm when learning to play Atari 2600 games. + +where $\delta ( s , a )$ and $\delta _ { \mathrm { M C } } ( s , a )$ are defined as + +$$ +\begin{array} { r l r } & { } & { \delta ( s , a ) = R _ { t } + \beta r _ { \mathrm { i n t } } ( s ; \theta ^ { - } ) + \gamma \operatorname* { m a x } _ { a ^ { \prime } } q ( s ^ { \prime } , a ^ { \prime } ; \theta ^ { - } ) - q ( s , a ; \theta ) , } \\ & { } & { \delta _ { \mathrm { M C } } ( s , a ) = \displaystyle \sum _ { t = 0 } ^ { \infty } \gamma ^ { t } \Big ( r ( S _ { t } , A _ { t } ) + \beta r _ { \mathrm { i n t } } ( S _ { t } ; \theta ^ { - } ) \Big ) - q ( s , a ; \theta ) . } \end{array} +$$ + +This loss is known as the mixed Monte-Carlo return (MMC) and it has been used in the past by the algorithms that achieved succesful exploration in deep reinforcement learning (Bellemare et al., 2016; Ostrovski et al., 2017). The distinction between $\theta$ and $\theta ^ { - }$ is standard in the field, with $\theta ^ { - }$ denoting the parameters of the target network, which is updated less often for stability purposes (Mnih et al., 2015). As before, we use $r _ { \mathrm { i n t } }$ to denote the exploration bonus obtained from the successor features of the internal representation, $\phi ( \cdot )$ , which will be defined below. Moreover, to ensure all features are in the same range, we normalize the feature vector so that $| | \phi ( \cdot ) | | _ { 2 } = 1$ . In Figure 1 we highlight the layer in which we normalize its output with the symbol $\phi$ . Notice that the features are always non-negative due to the use of ReLU gates. + +The successor features are computed by the two bottom layers of the network, which minimize the loss + +$$ +\mathcal { L } _ { \mathrm { { S R } } } = \mathbb { E } _ { \pi , p } \Big [ \big ( \phi ( S _ { t } ; \theta ^ { - } ) + \gamma \psi ( S _ { t + 1 } ; \theta ^ { - } ) - \psi ( S _ { t } ; \theta ) \big ) ^ { 2 } \Big ] . +$$ + +Zero is a fixed point for the SR. This is particularly concerning in settings with sparse rewards. The agent might learn to set $\phi ( \cdot ) = \vec { 0 }$ to achieve zero loss. We address this problem by not propagating $\nabla \mathcal { L } _ { \mathrm { s R } }$ to $\phi ( \cdot )$ (this is depicted in Figure 1 as an open circle stopping the gradient), and by creating an auxiliary task (Jaderberg et al., 2017) to encourage a representation to be learned before a non-zero reward is observed. As Machado et al. (2018b), we use the auxiliary task of predicting the next observation, learned through the architecture proposed by Oh et al. (2015), which is depicted as the top layers in Figure 1. The loss we minimize for this last part of the network is $\mathcal { L } _ { \mathrm { R e c o n s } } = \left( \hat { S } _ { t + 1 } - S _ { t + 1 } \right) ^ { 2 }$ + +The overall loss minimized by the network is $\mathcal { L } = w _ { \mathrm { { T D } } } \mathcal { L } _ { \mathrm { { T D } } } + w _ { \mathrm { { S R } } } \mathcal { L } _ { \mathrm { { S R } } } + w _ { \mathrm { { R e c o n s } } } \mathcal { L } _ { \mathrm { { R e c o n s } } } .$ + +The last step in describing our algorithm is to define $r _ { \mathrm { i n t } } ( S _ { t } ; \theta ^ { - } )$ , the intrinsic reward we use to encourage exploration. We choose the exploration bonus to be the inverse of the $\ell _ { 2 }$ -norm of the vector of successor features of the current state, that is, + +$$ +r _ { \mathrm { i n t } } ( S _ { t } ; \theta ^ { - } ) = \frac { 1 } { | | \psi ( S _ { t } ; \theta ^ { - } ) | | _ { 2 } } , +$$ + +where $\psi ( S _ { t } ; \theta ^ { - } )$ denotes the successor features of state $S _ { t }$ parametrized by $\theta ^ { - }$ . The exploration bonus comes from the same intuition presented in the previous section, but instead of penalizing the agent with the norm of the SR we make $r _ { \mathrm { i n t } } ( S _ { t } ; \theta ^ { - } )$ into a bonus (we observed in preliminary experiments not discussed here that DQN performs better when dealing with positive rewards). Moreover, instead of using the $\ell _ { 1 }$ -norm we use the $\ell _ { 2 }$ -norm of the SR since our features have unit length in $\ell _ { 2 }$ (whereas the successor probabilities in the tabular-case have unit length in $\ell _ { 1 }$ ). + +Finally, we initialize our network the same way Oh et al. (2015) does. We use Xavier initialization (Glorot & Bengio, 2010) in all layers except the fully connected layers around the element-wise multiplication denoted by $\otimes$ , which are initialized uniformly with values between $- 0 . 1$ and 0.1. + +Table 2: Performance of the proposed algorithm, $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } } + \mathrm { S R }$ , compared to various agents on the “hard exploration” subset of Atari 2600 games. The DQN results reported are from Machado et al. (2018a) while the $\mathrm { D Q N ^ { M M C } + C T S }$ and DQNMMC $+$ PixelCNN results were extracted from the learning curves available in Ostrovski et al.’s (2017) work. $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } }$ denotes another baseline used in the comparison. When available, standard deviations are reported between parentheses. See text for details. + +
DQNDQNMMC+CTSDQNMMC+PIXELCNNDQNMMCDQNMMC+ e+SR
FREEWAY32.4 (0.3)29.229.429.5(0.1)29.5(0.1)
GRAVITAR118.5 (22.0)199.8275.41078.3(254.1)430.3(109.4)
MONT.REV.0.0 (0.0)2941.91671.70.0(0.0)1778.6(903.6)
PRIVATE EYE1447.4 (2,567.9)32.814386.0113.4(42.3)99.1(1.8)
SOLARIS783.4 (55.3)1147.12279.42244.6(378.8)2155.7(398.3)
VENTURE4.4 (5.4)0.0856.21220.1(51.0)1241.8(236.0)
+ +# 5 EMPIRICAL EVALUATION OF EXPLORATION IN DEEP RL + +We evaluated our algorithm on the Arcade Learning Environment (Bellemare et al., 2013). Following Bellemare et al.’s (2016) taxonomy, we evaluated our algorithm in the Atari 2600 games with sparse rewards that pose hard exploration problems. They are: FREEWAY, GRAVITAR, MONTEZUMA’S REVENGE, PRIVATE EYE, SOLARIS, and VENTURE.3 + +We followed the evaluation protocol proposed by Machado et al. (2018a). We used MONTEZUMA’S REVENGE to tune our parameters (training set). The reported results are the average over 10 seeds after 100 million frames. We evaluated our agents in the stochastic setting (sticky actions, $\varsigma = 0 . 2 5 )$ ) using a frame skip of 5 with the full action set $| \mathcal { A } | = 1 8 )$ ). The agent learns from raw pixels, that is, it uses the game screen as input. + +Our results were obtained with the algorithm described in Section 4. We set $\beta = 0 . 0 2 5$ after a rough sweep over values in the game MONTEZUMA’S REVENGE. We annealed $\epsilon$ in DQN’s $\epsilon$ -greedy exploration over the first million steps, starting at 1.0 and stopping at 0.1 as done by Bellemare et al. (2016). We trained the network with RMSprop with a step-size of 0.00025, an $\epsilon$ value of 0.01, and a decay of 0.95, which are the standard parameters for training DQN (Mnih et al., 2015). The discount factor, $\gamma$ , is set to 0.99 and $w _ { \mathrm { T D } } = 1$ , $w _ { \mathrm { S R } } = 1 0 0 0$ , ${ w _ { \mathrm { R e c o n s } } = 0 . 0 0 1 }$ . The weights $w _ { \mathrm { T D } }$ , $w _ { \tt S R }$ , and $w _ { \mathrm { R e c o n s } }$ were set so that the loss functions would be roughly the same scale. All other parameters are the same as those used by Mnih et al. (2015). + +Table 2 summarizes the results after 100 million frames. The performance of other algorithms is also provided for reference. Notice we are reporting learning performance for all algorithms instead of the maximum scores achieved by the algorithm. We use the superscript MMC to distinguish between the algorithms that use MMC from those that do not. When comparing our algorithm, $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } } + \mathrm { S R }$ , to DQN we can see how much our approach improves over the most traditional baseline. By comparing our algorithm’s performance to $\mathrm { \bar { D Q N } ^ { M M C } + \bar { C } T S }$ (Bellemare et al., 2016) and $\mathrm { D Q N ^ { M M C } }$ +PixelCNN (Ostrovski et al., 2017) we compare our algorithm to established baselines for exploration. As highlighted in Section 4, the parameters of the network we used are different from those used in the traditional DQN network, so we also compared the performance of our algorithm to the performance of the same network our algorithm uses but without the additional modules (next state prediction and successor representation) by setting $w _ { \mathrm { S R } } = w _ { \mathrm { R e c o n s } } = 0$ and without the intrinsic reward bonus by setting $\beta = 0 . 0$ . The column labeled $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } }$ contains the results for this baseline. This comparison allows us to explicitly quantify the improvement provided by the proposed exploration bonus. The learning curves of these algorithms, their performance after different amounts of experience, and additional results analyzing, for example, the impact of the introduced auxiliary task, are available in the Appendix. + +We can clearly see that our algorithm achieves scores much higher than those achieved by DQN, which struggles in games that pose hard exploration problems. Moreover, by comparing $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } } + \mathrm { S R }$ to $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } }$ we can see that the provided exploration bonus has a big impact in the game MONTEZUMA’S REVENGE, which is probably known as the hardest game among those we used in our evaluation. Interestingly, the change in architecture and the use of MMC leads to a big improvement in games such as GRAVITAR and VENTURE, which we cannot fully explain. However, notice that the change in architecture does not have any effect in MONTEZUMA’S REVENGE. The proposed exploration bonus seems to be essential in this game. Finally, we also compared our algorithm to $\mathrm { D Q N ^ { \bar { M } M C } + C T S }$ and DQNMMC+PixelCNN. We can observe that, on average, it performs as well as these algorithms, but instead of requiring a density model it requires the SR, which is already defined for every problem since it is a component of the value function estimates, as discussed in Section 2. + +# 6 RELATED WORK + +There are multiple algorithms in the tabular, model-based case with guarantees about their performance (e.g., Brafman & Tennenholtz, 2002; Kearns & Singh, 2002; Strehl & Littman, 2008; Osband et al., 2016). RiverSwim and SixArms are domains traditionally used when evaluating these algorithms. In this paper we have given evidence that our algorithm performs as well as some of these algorithms with theoretical guarantees. Among these algorithms, R-MAX seems the closest approach to ours. As with R-MAX, the algorithm we presented in Section 3 augments the state-space with an imaginary state and encourages the agent to visit that state, implicitly reducing the algorithm’s uncertainty in the state-space. However, R-MAX deletes the transition to this imaginary state once a state has been visited a given number of times. Ours lets the probability of visiting this imaginary state vanish with additional visitations. Moreover, notice that it is not clear how to apply these traditional algorithms such as R-MAX and $\mathrm { E ^ { 3 } }$ to large domains where function approximation is required. + +Conversely, there are not many model-free approaches with proven sample-complexity bounds (e.g., Strehl et al., 2006), but there are multiple model-free algorithms for exploration that actually work in large domains (e.g., Stadie et al., 2015; Bellemare et al., 2016; Ostrovski et al., 2017; Plappert et al., 2018). Among these algorithms, the use of pseudo-counts through density models is the closest to ours (Bellemare et al., 2016; Ostrovski et al., 2017). Inspired by those papers we used the mixed Monte-Carlo return as a target in the update rule. In Section 5 we have shown that our algorithm performs generally as well as these approaches without requiring a density model. Importantly, Martin et al. (2017) had already shown that counting activations of fixed, handcrafted features in Atari 2600 games leads to good exploration behavior. Nevertheless, by using the SSR we are not only counting learned features but we are also implicitly capturing the induced transition dynamics. + +Finally, the SR has already been used in the context of exploration. However, it was used to help the agent learn how to act in a higher level of abstraction in order to navigate through the state space faster (Machado et al., 2017; 2018b). Such an approach has led to promising results in the tabular case but only anecdotal evidence about its scalability has been provided when the idea was applied to large domains such as Atari 2600 games. Importantly, the work developed by Machado et al. (2018b), Kulkarni et al. (2016) and Oh et al. (2015) are the main motivation for the neural network architecture presented here. Oh et al. (2015) have shown how one can predict the next screen given the current observation and action (our auxiliary task), while Machado et al. (2018b) and Kulkarni et al. (2016) have proposed different architectures for learning the successor representation from raw pixels. + +# 7 CONCLUSION + +RL algorithms tend to have high sample complexity, which often prevents them from being used in the real-world. Poor exploration strategies is one of the main reasons for this high sample-complexity. Despite all of its shortcomings, uniform random exploration is, to date, the most commonly used approach for exploration. This is mainly due to the fact that most approaches for tackling the exploration problem still rely on domain-specific knowledge (e.g., density models, handcrafted features), or on having an agent learn a perfect model of the environment. In this paper we introduced a general method for exploration in RL that implicitly counts state (or feature) visitation in order to guide the exploration process. It is compatible to representation learning and the idea can also be adapted to be applied to large domains. + +This result opens up multiple possibilities for future work. Based on the results presented in Section 3, for example, we conjecture that the substochastic successor representation can be actually used to generate algorithms with PAC-MDP bounds. Investigating to what extent different auxiliary tasks impact the algorithm’s performance, and whether simpler tasks such as predicting feature activations or parts of the input (Jaderberg et al., 2017) are effective is also worth studying. Finally, it might be interesting to further investigate the connection between representation learning and exploration, since it is also known that better representations can lead to faster exploration (Jiang et al., 2017). + +# REFERENCES + +Andre Barreto, Will Dabney, R ´ emi Munos, Jonathan Hunt, Tom Schaul, David Silver, and Hado ´ van Hasselt. Successor Features for Transfer in Reinforcement Learning. In Advances in Neural Information Processing Systems (NIPS), pp. 4058–4068, 2017. + +Marc G. Bellemare, Yavar Naddaf, Joel Veness, and Michael Bowling. The Arcade Learning Environment: An Evaluation Platform for General Agents. Journal of Artificial Intelligence Research, 47:253–279, 2013. + +Marc G. Bellemare, Sriram Srinivasan, Georg Ostrovski, Tom Schaul, David Saxton, and Remi ´ Munos. Unifying Count-Based Exploration and Intrinsic Motivation. In Advances in Neural Information Processing Systems (NIPS), pp. 1471–1479, 2016. + +Richard E. Bellman. Dynamic Programming. Princeton University Press, Princeton, NJ, 1957. + +Ronen I. Brafman and Moshe Tennenholtz. R-MAX - A General Polynomial Time Algorithm for Near-Optimal Reinforcement Learning. Journal of Machine Learning Research, 3:213–231, 2002. + +Peter Dayan. Improving Generalization for Temporal Difference Learning: The Successor Representation. Neural Computation, 5(4):613–624, 1993. + +Xavier Glorot and Yoshua Bengio. Understanding the Difficulty of Training Deep Feedforward Neural Networks. In Proceedings of the International Conference on Artificial Intelligence and Statistics (AISTATS), pp. 249–256, 2010. + +Max Jaderberg, Volodymyr Mnih, Wojciech Marian Czarnecki, Tom Schaul, Joel Z. Leibo, David Silver, and Koray Kavukcuoglu. Reinforcement Learning with Unsupervised Auxiliary Tasks. In Proceedings of the International Conference on Learning Representations (ICLR), 2017. + +Nan Jiang, Akshay Krishnamurthy, Alekh Agarwal, John Langford, and Robert E. Schapire. Contextual Decision Processes with Low Bellman Rank are PAC-Learnable. In Proceedings of the International Conference on Machine Learning (ICML), pp. 1704–1713, 2017. + +Sham Kakade. On the Sample Complexity of Reinforcement Learning. PhD thesis, Gatsby Computational Neuroscience Unit, University College London, 2003. + +Michael J. Kearns and Satinder P. Singh. Near-Optimal Reinforcement Learning in Polynomial Time. Machine Learning, 49(2-3):209–232, 2002. + +Tejas D. Kulkarni, Ardavan Saeedi, Simanta Gautam, and Samuel J. Gershman. Deep Successor Reinforcement Learning. CoRR, abs/1606.02396, 2016. + +Marlos C. Machado, Marc G. Bellemare, and Michael Bowling. A Laplacian Framework for Option Discovery in Reinforcement Learning. In Proceedings of the International Conference on Machine Learning (ICML), pp. 2295–2304, 2017. + +Marlos C. Machado, Marc G. Bellemare, Erik Talvitie, Joel Veness, Matthew Hausknecht, and Michael Bowling. Revisiting the Arcade Learning Environment: Evaluation Protocols and Open Problems for General Agents. Journal of Artificial Intelligence Research, 61:523–562, 2018a. + +Marlos C. Machado, Clemens Rosenbaum, Xiaoxiao Guo, Miao Liu, Gerald Tesauro, and Murray Campbell. Eigenoption Discovery through the Deep Successor Representation. In Proceedings of the International Conference on Learning Representations (ICLR), 2018b. + +Jarryd Martin, Suraj Narayanan Sasikumar, Tom Everitt, and Marcus Hutter. Count-Based Exploration in Feature Space for Reinforcement Learning. In Proceedings of the International Joint Conference on Artificial Intelligence (IJCAI), pp. 2471–2478, 2017. + +Sean P Meyn and Richard L Tweedie. Markov Chains and Stochastic Stability. 2012. + +Volodymyr Mnih, Koray Kavukcuoglu, David Silver, Andrei A. Rusu, Joel Veness, Marc G. Bellemare, Alex Graves, Martin Riedmiller, Andreas K. Fidjeland, Georg Ostrovski, Stig Petersen, Charles Beattie, Amir Sadik, Ioannis Antonoglou, Helen King, Dharshan Kumaran, Daan Wierstra, Shane Legg, and Demis Hassabis. Human-level Control through Deep Reinforcement Learning. Nature, 518:529–533, 2015. + +Junhyuk Oh, Xiaoxiao Guo, Honglak Lee, Richard L. Lewis, and Satinder P. Singh. ActionConditional Video Prediction using Deep Networks in Atari Games. In Advances in Neural Information Processing Systems (NIPS), pp. 2863–2871, 2015. + +Ian Osband, Benjamin Van Roy, and Zheng Wen. Generalization and Exploration via Randomized Value Functions. In Proceedings of the International Conference on Machine Learning (ICML), pp. 2377–2386, 2016. + +Georg Ostrovski, Marc G. Bellemare, Aaron van den Oord, and Remi Munos. Count-Based Explo- ´ ration with Neural Density Models. In Proceedings of the International Conference on Machine Learning (ICML), pp. 2721–2730, 2017. + +Matthias Plappert, Rein Houthooft, Prafulla Dhariwal, Szymon Sidor, Richard Y. Chen, Xi Chen, Tamim Asfour, Pieter Abbeel, and Marcin Andrychowicz. Parameter Space Noise for Exploration. In Proceedings of the International Conference on Learning Representations (ICLR), 2018. + +Bradly C. Stadie, Sergey Levine, and Pieter Abbeel. Incentivizing Exploration in Reinforcement Learning With Deep Predictive Models. CoRR, abs/1507.00814, 2015. + +Alexander L. Strehl and Michael L. Littman. An Analysis of Model-based Interval Estimation for Markov Decision Processes. Journal of Computer and System Sciences, 74(8):1309–1331, 2008. + +Alexander L. Strehl, Lihong Li, Eric Wiewiora, John Langford, and Michael L. Littman. PAC Model-Free Reinforcement Learning. In Proceedings of the International Conference on Machine Learning (ICML), pp. 881–888, 2006. + +Richard S. Sutton. Learning to Predict by the Methods of Temporal Differences. Machine Learning, 3:9–44, 1988. + +Gerald Tesauro. Temporal Difference Learning and TD-Gammon. Communications of the ACM, 38 (3):58–68, 1995. + +# Supplemental Material Count-Based Exploration with the Successor Representation + +This supplementary material contains details omitted from the main text due to space constraints. The list of contents is below: + +• Pseudo-code of the model-based algorithm discussed in Section 3; +• Description of RiverSwim and SixArms, the tabular domains we used in our evaluation; +• Learning curves of $\mathrm { D Q N } _ { e }$ and $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } } + \mathrm { S R }$ and their performance after different amounts of experience in the Atari 2600 games used for evaluation; Results of additional experiments designed to evaluate the role of the auxiliary task in the results reported in the paper for ESSR. + +# EXPLORATION THROUGH THE SUBSTOCHASTIC SUCCESSOR REPRESENTATION + +In the main paper we described our algorithm as a standard model-based algorithm where the agent updates its transition probability model and reward model through Equation 2 and its SSR estimate as in Definition 3.1. The pseudo-code with details about the implementation is presented in Algorithm 1. + +
Algorithm1Exploration through the Substochastic Successor Representation (ESSR)
n(s,s')←0 ∀s,s'∈S
t(s,a,s')←1∀s,s'∈S,∀a∈A
r(s,a)←0∀s∈S,∀a∈A
P(s,a)←1/|Sl∀s∈S,∀a∈A
P(s,s')←0As,s'∈S
T←random over A
while episode is not over do Observe s E S, take action a E A selected according to π(s),and observe a reward R and a
next state s' ∈ S n(s,s')← n(s,s')+1
t(s,a,s')←t(s,a,s')+1
n(s)←∑x',bt(s,b,x')
n(s,a)←∑x,t(s,a,x')
r(s,a,s') ← (t(s,a,s)-2)xf(s,a,s')+R
t(s,a,s')-1 for each state x' ∈ Sdo
P(s,a,x')← t(s,a,x')
n(s,a) n(s,x')
P(s,x')← n(s)+1
end for √←(I-γP)-1
rint←-e
T ← POLICYITERATION(P,𝑟+ βrint)
end while
+ +# DESCRIPTION OF RIVERSWIM AND SIXARMS + +The two domains we used as testbed to evaluate the proposed model-based algorithm with the exploration bonus generated by the substochastic successor representation are shown in Figure 2. These domains are the same used by Strehl & Littman (2008). For SixArms, the agent starts in state 0. For RiverSwim, the agent starts in either state 1 or 2 with equal probability. + +![](images/5668527eec930a068c0c61f8e7ce73a9f8d40ed779bcb71ff47bdc04db2eb83b.jpg) +Figure 2: Domains used as testbed in the tabular case. The tuples in each transition should be read as haction id, probability, rewardi. See text for details. + +# EVALUATION THE IMPACT OF THE AUXILIARY TASK IN ESSR + +The algorithm we introduced in the paper, ESSR, relies on a network that estimates the state-action value function, the successor representation, and the next observation to be seen given the agent’s current observation and action. While the results depicted in Table 2 allow us to clearly see the benefit of using an exploration bonus derived from the successor representation, they do not inform us about the impact of the auxiliary task in the results. The experiments in this section aim at addressing this issue. We focus on Montezumas Revenge because it is the game where the problem of exploration is maximized, with most algorithms not being able to do anything without an exploration bonus. + +The first question we asked was whether the auxiliary task was necessary in our algorithm. We evaluated this by dropping the reconstruction module from the network to test whether the initial random noise generated by the successor representation is enough to drive representation learning. It is not. When dropping the auxiliary task, the average performance of this baseline over 4 seeds in MONTEZUMA’S REVENGE after 100 million frames was 100.0 points $\textstyle \cdot \sigma ^ { 2 } = 2 0 0 . 0$ ; min: 0.0, max: 400.0). As comparison, our algorithm obtains 1778.6 points $\cdot \sigma ^ { 2 } = 9 0 3 . 6$ , min: 400.0, max: 2500.0). These results suggest that auxiliary tasks seem to be necessary for our method to perform well. + +We also evaluated whether the auxiliary task was sufficient to generate the results we observed. To do so we dropped the SR module and set $\beta = 0 . 0$ to evaluate whether our exploration bonus was actually improving the agent’s performance or whether the auxiliary task was doing it. The exploration bonus seems to be essential in our algorithm. When dropping the exploration bonus and the successor representation module, the average performance of this baseline over 4 seeds in MONTEZUMA’S REVENGE after 100 million frames was 398.5 points $\sigma ^ { 2 } = 2 3 0 . 1$ ; min: 0.0, max: 400.0). Again, clearly, the auxiliary task is not a sufficient condition for the performance we report. + +The reported results use the same parameters as those reported in the main paper. Learning curves for each individual run are depicted in Figure 3. + +![](images/d6d739ad291411fdbea9cc046ca7a4a0c3c72cd8cbb1947ce71e832e5aae22ea.jpg) +Figure 3: Evaluation of the sufficiency and necessity of the auxiliary task in $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } } { + } \mathrm { S R }$ . The learning curves are smoothed with a running average computed using a window of size 100. + +ADDITIONAL RESULTS FOR $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } } + \mathrm { S R }$ AND $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } }$ IN THE ATARI 2600 GAMES + +As recommended by Machado et al. (2018a), we report the performance of $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } } + \mathrm { S R }$ and $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } }$ after different amounts of experience (10, 50, and 100 million frames) in Tables 3 and 4. + +Finally, Figure 4 depicts the learning curves obtained with the evaluated algorithms in each game. Lighter lines represent individual runs while the solid lines encode the average over the multiple runs. +Table 3: Results obtained with $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } } + \mathrm { S R }$ after different amounts of experience. + +
Game10Mframes50M frames100M frames
FREEWAY24.9 (0.5)29.5 (0.1)29.5 (0.1)
GRAVITAR244.1 (23.8)326.4 (53.0)430.3 (109.4)
MONT.REVENGE2.6 (7.2)563.8 (465.7)1778.6 (903.6)
PRIVATEEYE99.2 (1.2)98.5 (3.3)99.1 (1.8)
SOLARIS1547.5 (410.9)2036.3 (339.0)2155.7 (398.3)
VENTURE26.2 (22.1)942.0 (423.8)1241.8 (236.0)
+ +Table 4: Results obtained with $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } }$ after different amounts of experience. + +
Game10Mframes50Mframes100M frames
FREEWAY25.7 (1.5)29.6 (0.1)29.5(0.1)
GRAVITAR229.9 (31.3)559.3 (75.9)1078.3(254.1)
MONT.REVENGE0.0 (0.0)0.0 (0.0)0.0(0.0)
PRIVATEEYE216.7 (219.5)109.1 (44.1)113.4(42.3)
SOLARIS2230.0 (322.3)2181.5 (292.9)2244.6(378.8)
VENTURE63.8 (31.3)794.1(151.9) 1220.1(51.0)
+ +![](images/f32c5c28aa96c691cd2490833e2718c882a8db0510c45acacb1908ccb21959ae.jpg) +Figure 4: $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } } + \mathrm { S R }$ and $\mathrm { D Q N } _ { e } ^ { \mathrm { M M C } }$ learning curves in the Atari 2600 games used as testbed. The curves are smoothed with a running average computed using a window of size 100. \ No newline at end of file diff --git a/parse/train/S1giVsRcYm/S1giVsRcYm_content_list.json b/parse/train/S1giVsRcYm/S1giVsRcYm_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..dede3ffb77027c8952c03512fd90e098ae64d40a --- /dev/null +++ b/parse/train/S1giVsRcYm/S1giVsRcYm_content_list.json @@ -0,0 +1,1631 @@ +[ + { + "type": "text", + "text": "COUNT-BASED EXPLORATION WITH THE SUCCESSOR REPRESENTATION ", + "text_level": 1, + "bbox": [ + 174, + 99, + 607, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 171, + 398, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 236, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The problem of exploration in reinforcement learning is well-understood in the tabular case and many sample-efficient algorithms are known. Nevertheless, it is often unclear how the algorithms in the tabular setting can be extended to tasks with large state-spaces where generalization is required. Recent promising developments generally depend on problem-specific density models or handcrafted features. In this paper we introduce a simple approach for exploration that allows us to develop theoretically justified algorithms in the tabular case but that also give us intuitions for new algorithms applicable to settings where function approximation is required. Our approach and its underlying theory is based on the substochastic successor representation, a concept we develop here. While the traditional successor representation is a representation that defines state generalization by the similarity of successor states, the substochastic successor representation is also able to implicitly count the number of times each state (or feature) has been observed. This extension connects two until now disjoint areas of research. We show in traditional tabular domains (RiverSwim and SixArms) that our algorithm empirically performs as well as other sample-efficient algorithms. We then describe a deep reinforcement learning algorithm inspired by these ideas and show that it matches the performance of recent pseudo-count-based methods in hard exploration Atari 2600 games. ", + "bbox": [ + 233, + 265, + 766, + 515 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 540, + 336, + 555 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Reinforcement learning (RL) tackles sequential decision making problems by formulating them as tasks where an agent must learn how to act optimally through trial and error interactions with the environment. The goal in these problems is to maximize the sum of the numerical reward signal observed at each time step. Because the actions taken by the agent influence not just the immediate reward but also the states and associated rewards in the future, sequential decision making problems require agents to deal with the trade-off between immediate and delayed rewards. Here we focus on the problem of exploration in RL, which aims to reduce the number of samples (i.e., interactions) an agent needs in order to learn to perform well in these tasks when the environment is initially unknown. ", + "bbox": [ + 174, + 570, + 825, + 681 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The sample efficiency of RL algorithms is largely dependent on how agents select exploratory actions. In order to learn the proper balance between immediate and delayed rewards agents need to navigate through the state space to learn about the outcome of different transitions. The number of samples an agent requires is related to how quickly it is able to explore the state-space. Surprisingly, the most common approach is to select exploratory actions uniformly at random, even in high-profile success stories of RL (e.g., Tesauro, 1995; Mnih et al., 2015). Nevertheless, random exploration often fails in environments with sparse rewards, that is, environments where the agent observes a reward signal of value zero for the majority of states.1 ", + "bbox": [ + 174, + 689, + 825, + 800 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In model-based approaches agents explicitly learn a model of the dynamics of the environment which they use to plan future actions. In this setting the problem of exploration is well understood. When all states can be enumerated and uniquely identified (tabular case), we have algorithms with proven sample complexity bounds on the maximum number of suboptimal actions an agent selects before converging to an $\\epsilon$ -optimal policy (e.g., Brafman & Tennenholtz, 2002; Kearns & Singh, 2002; Strehl & Littman, 2008). However, these approaches are not easily extended to large environments where it is intractable to enumerate all of the states. When using function approximation, the concept of state visitation is not helpful and learning useful models is by itself quite challenging. ", + "bbox": [ + 174, + 808, + 823, + 863 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 160 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Due to the difficulties in learning good models in large domains, model-free methods are much more popular. Instead of building an explicit model of the environment, they estimate state values directly from transition samples (state, action, reward, next state). Unfortunately, this approach makes systematic exploration much more challenging. Nevertheless, because model-free methods make up the majority of approaches scalable to large domains, practitioners often ignore the exploration challenges these methods pose and accept the high sample complexity of random exploration. Reward bonuses that promote exploration are one alternative to random walks (e.g., Bellemare et al., 2016; Martin et al., 2017), but none such proposed solutions are widely adopted in the field. ", + "bbox": [ + 174, + 166, + 825, + 279 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this paper we introduce an algorithm for exploration based on the successor representation (SR). The SR, originally introduced by Dayan (1993), is a representation that generalizes between states using the similarity between their successors, i.e., the similarity between the states that follow the current state given the environment’s dynamics and the agent’s policy. The SR is defined for any problem, it can be learned through temporal-difference learning (Sutton, 1988) and, as we discuss below, it can also be seen as implicitly estimating the transition dynamics of the environment. Our approach is inspired by the substochastic successor representation (SSR), a concept we introduce here. The SSR is defined so that it implicitly counts state visitation, allowing us to use it to encourage exploration. This idea connects representation learning and exploration, two otherwise disjoint areas of research. The SSR allows us to derive an exploration bonus that when applied to model-based RL generates algorithms that perform as well as theoretically sample-efficient algorithms. Importantly, the intuition developed with the SSR assists us in the design of a model-free deep RL algorithm that achieves performance similar to pseudo-count-based methods in hard exploration Atari 2600 games (Bellemare et al., 2016; Ostrovski et al., 2017). ", + "bbox": [ + 174, + 285, + 825, + 478 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 PRELIMINARIES ", + "text_level": 1, + "bbox": [ + 176, + 500, + 339, + 515 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We consider an agent interacting with its environment in a sequential manner. Starting from a state $S _ { 0 } \\in \\mathcal { S }$ , at each step the agent takes an action $A _ { t } \\in \\mathcal A$ , to which the environment responds with a state $S _ { t + 1 } \\in \\mathcal S$ according to a transition probability function $p ( s ^ { \\prime } | s , a ) = \\operatorname* { P r } ( S _ { t + 1 } = s ^ { \\prime } \\bar { | } S _ { t } = s , A _ { t } = a )$ , and with a reward signal $R _ { t + 1 } \\in \\mathbb { R }$ , where $r ( s , a )$ indicates the expected reward for a transition from state $s$ under action $a$ , that is, $r ( s , a ) \\doteq \\mathbb { E } [ R _ { t } | S _ { t } = s , A _ { t } = a ]$ . ", + "bbox": [ + 173, + 530, + 825, + 602 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The value of a state $s$ when following a policy $\\pi$ , $v _ { \\pi } ( s )$ , is defined to be the expected sum of discounted rewards from that state: $\\begin{array} { r } { v _ { \\pi } ( s ) \\doteq \\mathbb { E } _ { \\pi } \\Big [ \\sum _ { k = t + 1 } ^ { T } \\gamma ^ { k - t - 1 } R _ { k } \\Big | S _ { t } = s \\Big ] } \\end{array}$ , with $\\gamma$ being the discount factor. When the transition probability function $p$ and the reward function $r$ are known, we can compute $v _ { \\pi } ( s )$ recursively by solving the system of equations below (Bellman, 1957): ", + "bbox": [ + 173, + 606, + 826, + 672 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/091e7bb9a3312459720a21dd2cfe25d8c65a8c21722874b0c664a5e5e7b4daba.jpg", + "text": "$$\nv _ { \\pi } ( s ) = \\sum _ { a } \\pi ( a | s ) \\big [ r ( s , a ) + \\gamma \\sum _ { s ^ { \\prime } } p ( s ^ { \\prime } | s , a ) v _ { \\pi } ( s ^ { \\prime } ) \\big ] .\n$$", + "text_format": "latex", + "bbox": [ + 312, + 679, + 686, + 704 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "This equation can also be written in matrix form with $\\mathbf { v } _ { \\pi }$ , $\\mathbf { r } \\in \\mathbb { R } ^ { | s | }$ and $P _ { \\pi } \\in \\mathbb { R } ^ { | \\mathcal { S } | \\times | \\mathcal { S } | }$ : ", + "bbox": [ + 171, + 710, + 740, + 727 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/c470c121a818a7c0017c16b86a883a0e17c98a2d1f9800cdcf20d56550b46038.jpg", + "text": "$$\n\\mathbf { v } _ { \\pi } = \\mathbf { r } + \\gamma P _ { \\pi } \\mathbf { v } _ { \\pi } = ( I - \\gamma P _ { \\pi } ) ^ { - 1 } \\mathbf { r } ,\n$$", + "text_format": "latex", + "bbox": [ + 362, + 731, + 601, + 750 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $P _ { \\pi }$ is the state to state transition probability function induced by $\\pi$ , that is, $P _ { \\pi } ( s , s ^ { \\prime } ) =$ $\\begin{array} { r } { \\sum _ { a } \\pi ( a | s ) p ( s ^ { \\prime } | s , a ) } \\end{array}$ . ", + "bbox": [ + 171, + 755, + 825, + 785 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Traditional model-based algorithms for RL work by learning estimates of the matrix $P _ { \\pi }$ and of the vector $\\mathbf { r }$ and using them to estimate $v _ { \\pi }$ , for example by solving Equation 1. We use $\\hat { P } _ { \\pi }$ and $\\hat { \\mathbf { r } }$ to denote empirical estimates of $P _ { \\pi }$ and $\\mathbf { r }$ . Formally, ", + "bbox": [ + 174, + 790, + 825, + 835 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/e2053845fb561a493451234ac3eeadd37a4d4b9813b1e7cea294ca67f465afa3.jpg", + "text": "$$\n\\hat { P _ { \\pi } } ( s ^ { \\prime } | s ) = \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) } , \\hat { \\bf r } ( s ) = \\frac { C ( s , s ^ { \\prime } ) } { n ( s ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 320, + 839, + 676, + 875 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $\\hat { \\mathbf { r } } ( i )$ denotes the $i$ -th entry in the vector $\\hat { \\mathbf { r } }$ , $n ( s , s ^ { \\prime } )$ is the number of times the transition $s s ^ { \\prime }$ was observed, $\\begin{array} { r } { n ( s ) = \\sum _ { s ^ { \\prime } \\in \\mathcal { S } } \\bar { n } ( s , s ^ { \\prime } ) } \\end{array}$ , and $C ( s , s ^ { \\prime } )$ is the sum of the rewards associated with the $n ( s , s ^ { \\prime } )$ transitions (we drop the action in the discussion to simplify notation). ", + "bbox": [ + 174, + 880, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Alternatively, in model-free RL, instead of estimating $P _ { \\pi }$ and $\\mathbf { r }$ we estimate $v _ { \\pi } ( s )$ directly from samples. We often use temporal-difference (TD) learning (Sutton, 1988) to update our estimates of $v _ { \\pi } ( \\bar { s } ) , \\hat { v } ( \\cdot )$ , online: ", + "bbox": [ + 174, + 103, + 825, + 146 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/d24ccac5c0147db6ad097cc1f02e3ce9f2cc7b4459f404faa249db0b3dc240c5.jpg", + "text": "$$\n\\hat { v } ( S _ { t } ) \\gets \\hat { v } ( S _ { t } ) + \\alpha \\big [ R _ { t + 1 } + \\gamma \\hat { v } ( S _ { t + 1 } ) - \\hat { v } ( S _ { t } ) \\big ] ,\n$$", + "text_format": "latex", + "bbox": [ + 318, + 147, + 643, + 166 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $\\alpha$ is the step-size parameter. Generalization is required in problems with large state spaces, where it is unfeasible to learn an individual value for each state. We do so by parametrizing ${ \\hat { v } } ( s )$ with a set of weights $\\theta$ . We write, given the weights $\\theta$ , $\\hat { v } ( s ; \\theta ) \\approx v _ { \\pi } ( s )$ and $\\hat { q } ( \\dot { s } , \\bar { a } ; \\theta ) \\approx q _ { \\pi } ( \\bar { s , a } )$ , where $\\begin{array} { r } { q _ { \\pi } ( s , a ) = r ( s , a ) + \\gamma \\sum _ { s ^ { \\prime } } p ( s ^ { \\prime } | s , a ) v _ { \\pi } ( s ^ { \\prime } ) } \\end{array}$ . Model-free methods have performed well in problems with large state spaces, mainly due to the use of neural networks as function approximators (e.g., Mnih et al., 2015). ", + "bbox": [ + 173, + 166, + 826, + 251 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our algorithm is based on the successor representation (SR; Dayan, 1993). The successor representation, with respect to a policy $\\pi$ , $\\Psi _ { \\pi }$ , is defined as ", + "bbox": [ + 173, + 257, + 821, + 285 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/15dc1adcddf8f40e97e6644f49d2e6ee32ee47c0680d69312994a9e65c19f880.jpg", + "text": "$$\n\\Psi _ { \\pi } ( s , s ^ { \\prime } ) = \\mathbb { E } _ { \\pi , p } \\Big [ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\mathbb { I } \\{ S _ { t } = s ^ { \\prime } \\} \\Big | S _ { 0 } = s \\Big ] ,\n$$", + "text_format": "latex", + "bbox": [ + 346, + 286, + 650, + 328 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where we assume the sum is convergent with $\\mathbb { I }$ denoting the indicator function. Dayan (1993) has shown that this expectation can be estimated from samples through TD learning. It also corresponds to the Neumann series of $\\gamma P$ : ", + "bbox": [ + 174, + 328, + 821, + 369 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/dd304161ae78a40ee1eca89a344917df6d9d71c206502faccf5ca5938178fa10.jpg", + "text": "$$\n\\Psi _ { \\pi } = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } ( P _ { \\pi } ) ^ { t } = ( I - \\gamma P _ { \\pi } ) ^ { - 1 } .\n$$", + "text_format": "latex", + "bbox": [ + 362, + 371, + 602, + 411 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Notice that the SR is part of the solution when computing a value function: $\\mathbf { v } _ { \\pi } = \\Psi _ { \\pi } \\mathbf { r }$ (Equation 1). \nWe use $\\hat { \\Psi } _ { \\pi }$ to denote the SR computed through $\\hat { P } _ { \\pi }$ , the approximation of $P _ { \\pi }$ . ", + "bbox": [ + 173, + 412, + 823, + 444 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The definition of the SR can also be extended to features. Successor features generalize the SR to the function approximation setting (Barreto et al., 2017). We use the definition for the uncontrolled case in this paper. Importantly, the successor features can also be learned with TD learning. ", + "bbox": [ + 173, + 449, + 826, + 492 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Definition 2.1 (Successor Features). For a given $0 \\leq \\gamma < 1$ , policy $\\pi$ , and for a feature representation $\\phi ( s ) \\in \\mathbb { R } ^ { d }$ , the successor features for a state s are: ", + "bbox": [ + 173, + 493, + 823, + 522 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/518f7be9be65a0c7e2276b84772286709964d7de559e6dfb974ac3867e7d4318.jpg", + "text": "$$\n\\psi _ { \\pi } ( s ) = \\mathbb { E } _ { \\pi , p } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\phi ( S _ { t } ) \\Bigg | S _ { 0 } = s \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 370, + 523, + 627, + 566 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Alternatively, in matrix form, $\\begin{array} { r } { \\Psi _ { \\pi } = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } ( P _ { \\pi } ) ^ { t } \\Phi = ( I - \\gamma P _ { \\pi } ) ^ { - 1 } \\Phi } \\end{array}$ . Notice that this definition reduces to the SR in the tabular case, where $\\Phi = I$ . ", + "bbox": [ + 174, + 580, + 823, + 611 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 THE SUBSTOCHASTIC SUCCESSOR REPRESENTATION ", + "text_level": 1, + "bbox": [ + 174, + 628, + 648, + 646 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section we introduce the concept of the substochastic successor representation (SSR). The SSR is derived from an empirical transition matrix similar to Equation 2, but where each state incorporates a small $( 1 / ( n ( s ) + 1 { \\bar { ) } } )$ probability of terminating at that state, rather than transiting to a next state. As we will show, we can recover the visit counts $n ( s )$ through algebraic manipulation on the SSR. ", + "bbox": [ + 173, + 660, + 826, + 717 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "While computing the SSR is usually impractical, we use it as inspiration in the design of a new deep reinforcement learning algorithm for exploration (Section 4). In a nutshell, we view the SSR as approximating the process of learning the SR from an uninformative initialization (i.e., the zero vector), and using a stochastic update rule. While this approximation is relatively coarse, we believe it gives qualitative justification to our use of the learned SR to guide exploration. To further this claim, we demonstrate that using the SSR in synthetic, tabular settings yields comparable performance to that of theoretically-derived exploration algorithms. ", + "bbox": [ + 173, + 722, + 826, + 820 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Definition 3.1 (Substochastic Successor Representation). Let $\\tilde { P _ { \\pi } }$ denote the substochastic matrix induced by the environment’s dynamics and by the policy $\\pi$ such that $\\begin{array} { r } { \\tilde { P } _ { \\pi } ( s ^ { \\prime } | s ) = \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) + 1 } } \\end{array}$ . For a given $0 \\leq \\gamma < 1$ , the substochastic successor representation, $\\tilde { \\Psi } _ { \\pi }$ , is defined as: ", + "bbox": [ + 173, + 824, + 825, + 876 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/18e8c30ed0ec83cf54285117b5af472ba2d6eb25775712948f4ebc19f8d6115e.jpg", + "text": "$$\n\\tilde { \\Psi } _ { \\pi } = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\tilde { P _ { \\pi } } ^ { t } = ( I - \\gamma \\tilde { P _ { \\pi } } ) ^ { - 1 } .\n$$", + "text_format": "latex", + "bbox": [ + 385, + 877, + 611, + 917 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The theorem below formalizes the idea that the $\\ell _ { 1 }$ norm of the SSR implicitly counts state visitation. ", + "bbox": [ + 171, + 102, + 825, + 119 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Theorem 1. Let $n ( s )$ denote the number of times state s has been visited and let $\\chi ( s ) = ( 1 + \\gamma ) -$ $| | \\tilde { \\Psi } _ { \\pi } ( s ) | | _ { 1 }$ , where $\\tilde { \\Psi } _ { \\pi }$ is the substochastic $S R$ as in Definition 3.1. For a given $0 \\leq \\gamma < 1$ , ", + "bbox": [ + 173, + 123, + 825, + 156 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/9db3a09270e1ee7748f875502cc4869cbfc8bf86deaea7e207689299f65a3508.jpg", + "text": "$$\n\\frac { \\gamma } { n ( s ) + 1 } - \\frac { \\gamma ^ { 2 } } { 1 - \\gamma } \\leq \\chi ( s ) \\leq \\frac { \\gamma } { n ( s ) + 1 }\n$$", + "text_format": "latex", + "bbox": [ + 351, + 164, + 614, + 200 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Proof of Theorem $^ { l }$ . Let $\\hat { P } _ { \\pi }$ be the empirical transition matrix. We first rewrite $\\tilde { P _ { \\pi } }$ in terms of $\\hat { P _ { \\pi } }$ : ", + "bbox": [ + 173, + 224, + 816, + 241 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/286328f00678c0663ca421a47ef5384c31a48b08747b8d59c7c2901770b46e0b.jpg", + "text": "$$\n\\tilde { P _ { \\pi } } ( s , s ^ { \\prime } ) = \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) + 1 } = \\frac { n ( s ) } { n ( s ) + 1 } \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) } = \\frac { n ( s ) } { n ( s ) + 1 } \\hat { P _ { \\pi } } ( s , s ^ { \\prime } ) = \\Big ( 1 - \\frac { 1 } { n ( s ) + 1 } \\Big ) \\hat { P _ { \\pi } } ( s , s ^ { \\prime } ) .\n$$", + "text_format": "latex", + "bbox": [ + 187, + 250, + 808, + 285 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The expression above can also be written in matrix form: ${ \\tilde { P } } _ { \\pi } = ( I - N ) { \\hat { P } } _ { \\pi }$ , where $N \\in \\mathbb { R } ^ { | \\mathcal { S } | \\times | \\mathcal { S } | }$ denotes the diagonal matrix of augmented inverse counts. Expanding $\\tilde { \\Psi } _ { \\pi }$ we have: ", + "bbox": [ + 171, + 301, + 823, + 335 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/f6c90a40823122785dfe8b4e1b102ebeec0ec8bddaea3700aa201f4bd6f204ce.jpg", + "text": "$$\n\\tilde { \\Psi } _ { \\pi } = \\sum _ { t = 0 } ^ { \\gamma } ( \\gamma \\tilde { P _ { \\pi } } ) ^ { t } = I + \\gamma \\tilde { P _ { \\pi } } + \\sum _ { t = 2 } ^ { \\infty } ( \\gamma \\tilde { P _ { \\pi } } ) ^ { t } = I + \\gamma \\tilde { P _ { \\pi } } + \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } .\n$$", + "text_format": "latex", + "bbox": [ + 254, + 344, + 710, + 386 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The top eigenvector of a stochastic matrix is the all-ones vector, e (Meyn & Tweedie, 2012), and it corresponds to the eigenvalue 1. Using this fact and the definition of $\\tilde { P _ { \\pi } }$ with respect to $\\hat { P } _ { \\pi }$ we have: ", + "bbox": [ + 169, + 401, + 826, + 434 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/061bd8d1a384099d358ae1573ac39db89a41c8c033a0514cf718e608ba8aee28.jpg", + "text": "$$\n\\begin{array} { r l r } { ( I + \\gamma \\tilde { P _ { \\pi } } ) \\mathbf { e } + \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } } & { = } & { \\bigl ( I + \\gamma ( I - N ) \\hat { P _ { \\pi } } \\bigr ) \\mathbf { e } + \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } } \\\\ & { = } & { ( I + \\gamma ) \\mathbf { e } - \\gamma N \\mathbf { e } + \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 272, + 441, + 725, + 489 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We can now bound the term $\\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e }$ using the fact that $\\mathbf { e }$ is also the top eigenvector of the successor representation and has eigenvalue $\\frac { 1 ^ { - } } { 1 - \\gamma }$ (Machado et al., 2018b): ", + "bbox": [ + 174, + 505, + 825, + 540 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/8b19b9200c0b0a39c5813ca8095f76fc46a45426ff7095f9b8b4bb3b1ee87de2.jpg", + "text": "$$\n0 \\leq \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } { \\bf e } \\leq \\frac { \\gamma ^ { 2 } } { 1 - \\gamma } { \\bf e } .\n$$", + "text_format": "latex", + "bbox": [ + 390, + 550, + 575, + 585 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Plugging (5) into the definition of $\\chi$ we have (notice that $\\Psi ( s ) \\mathbf { e } = | | \\Psi ( s ) | | _ { 1 } )$ : ", + "bbox": [ + 173, + 602, + 681, + 618 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/f8dbfead3adb1a25a3854c792ecb15ae63e6e9619af25fc5af4a5ba36d5f24db.jpg", + "text": "$$\n\\chi ( s ) = ( 1 + \\gamma ) \\mathbf { e } - ( 1 + \\gamma ) \\mathbf { e } + \\gamma N \\mathbf { e } - \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } \\ = \\ \\gamma N \\mathbf { e } - \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } \\ \\leq \\ \\gamma N \\mathbf { e } .\n$$", + "text_format": "latex", + "bbox": [ + 196, + 626, + 767, + 648 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "When we also use the other bound on the quadratic term we conclude that, for any state $s$ , ", + "bbox": [ + 173, + 665, + 763, + 681 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/32feb89b4290fa3a14153ec73f1d35cbc4a2a3616fea6a2a95a22ad84cc40cce.jpg", + "text": "$$\n\\frac { \\gamma } { n ( s ) + 1 } - \\frac { \\gamma ^ { 2 } } { 1 - \\gamma } \\leq \\chi ( s ) \\leq \\frac { \\gamma } { n ( s ) + 1 } .\n$$", + "text_format": "latex", + "bbox": [ + 348, + 689, + 617, + 724 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In other words, the SSR, obtained after a slight change to the SR, can be used to recover state visitation counts. The intuition behind this result is that the phantom transition, represented by the $+ 1$ in the denominator of the SSR, serves as a proxy for the uncertainty about that state by underestimating the SR. This is due to the fact that $\\sum _ { s ^ { \\prime } } \\tilde { P _ { \\pi } } ( s , s ^ { \\prime } )$ gets closer to 1 each time state $s$ is visited. ", + "bbox": [ + 173, + 772, + 825, + 833 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "This result can now be used to convert the SSR into a reward function in the tabular case. We do so by using the SSR to define an exploration bonus, $r _ { \\mathrm { i n t } }$ , such that the reward being maximized by the agent becomes $r ( s , a ) + \\beta r _ { \\mathrm { i n t } } ( s )$ , where $\\beta$ is a scaling parameter. Since we want to incentivize agents to visit the least visited states as quickly as possible, we can trivially define $\\mathbf { r } _ { \\mathrm { i n t } } = - | | \\tilde { \\Psi } _ { \\boldsymbol { \\pi } } ( s ) | | _ { 1 }$ , where we penalize the agent by visiting the states that lead to commonly visited states. Notice that the shift $( 1 + \\gamma )$ in $\\chi ( s )$ has no effect as an exploration bonus because it is the same across all states. ", + "bbox": [ + 173, + 837, + 825, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Table 1: Comparison between our algorithm, termed ESSR, and R-MAX, $\\mathrm { E ^ { 3 } }$ , and MBIE. The numbers reported for R-MAX, $\\mathrm { E ^ { 3 } }$ , and MBIE are an estimate obtained from the histograms presented by Strehl & Littman (2008). The performance of our algorithm is the average over 100 runs. A $9 5 \\%$ confidence interval is reported between parentheses. ", + "bbox": [ + 173, + 101, + 825, + 157 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/059441974e832282d591534b3e9fdedeaa659618cb27a8814cdc933e37295fa8.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
ER-MAXMBIEESSR
RIVERSWIM3,000,0003,000,0003,250,0003,088,924 (± 57,584)
SIXARMS1,800,0002,800,0009,250,0007,327,222 (± 1,189,460)
", + "bbox": [ + 240, + 175, + 758, + 219 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "EVALUATING $- | | \\tilde { \\Psi } _ { \\pi } ( s ) | | _ { 1 }$ AS AN EXPLORATION BONUS ", + "text_level": 1, + "bbox": [ + 174, + 250, + 565, + 267 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We evaluated the effectiveness of the proposed exploration bonus in a standard model-based algorithm. In our implementation the agent updates its transition probability model and reward model through Equation 2 and its SSR estimate as in Definition 3.1 (the pseudo-code of this algorithm is available in the Appendix), which is then used for the exploration bonus $r _ { \\mathrm { i n t } }$ . We used the domains RiverSwim and SixArms (Strehl & Littman, 2008) to assess the performance of this algorithm.2 These are traditional domains in the PAC-MDP literature (Kakade, 2003) and are often used to evaluate provably sampleefficient algorithms. Details about these environments are also available in the Appendix. We used the same protocol used by Strehl & Littman (2008). Our results are available in Table 1. It is interesting to see that our algorithm performs as well as R-MAX (Brafman & Tennenholtz, 2002) and $\\mathrm { E ^ { 3 } }$ (Kearns & Singh, 2002) on RiverSwim and it clearly outperforms these algorithms on SixArms. ", + "bbox": [ + 173, + 281, + 826, + 420 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 COUNTING FEATURE ACTIVATIONS WITH THE SR ", + "text_level": 1, + "bbox": [ + 174, + 450, + 612, + 465 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In large environments, where enumerating all states is not an option, directly using the SSR as described in the previous section is not viable. Learning the SSR becomes even more challenging when the representation, $\\phi ( \\cdot )$ , is also being learned and so is non-stationary. In this section we design an algorithm for the function approximation setting inspired by the results from the previous section. ", + "bbox": [ + 174, + 486, + 825, + 541 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Since explicitly estimating the transition probability function is not an option, we learn the SR directly using TD learning. In order to capture the SSR we rely on TD’s tendency to underestimate values when the estimates are pessimistically initialized, just as the SSR underestimates the true successor representation; with larger underestimates for states (and similarly features) that are rarely observed. This is mainly due to the fact that when the SR is being learned with TD learning, because a reward of 1 is observed at each time step, there is no variance in the target and the predictions slowly approach the true value of the SR. When pessimistically initialized, the predictions approach the target from below. In this sense, what defines how far a prediction is from its final target is indeed how many times it has been updated in a given state. Finally, recent work (Kulkarni et al., 2016; Machado et al., 2018b) have shown successor features can be learned jointly with the feature representation itself. These ideas are combined together to create our algorithm. ", + "bbox": [ + 174, + 547, + 825, + 702 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The neural network we used to learn the agent’s value function while also learning the feature representation and the successor representation is depicted in Figure 1. The layers used to compute the state-action value function, $\\hat { q } ( S _ { t } , \\cdot )$ , are structured as in DQN (Mnih et al., 2015), but with different numbers of parameters (i..e, filter sizes, stride, and number of nodes). This was done to match Oh et al.’s (2015) architecture, which is known to succeed in the auxiliary task we define below. From here on, we will call the part of our architecture that predicts $\\hat { q } ( S _ { t } , \\cdot ) \\dot { Ḋ \\mathbf Ḋ \\mathrm Ḋ \\mathrm Ḋ \\mathrm Ḋ \\Gamma Ḍ Ḍ Ḍ } $ . It is trained to minimize ", + "bbox": [ + 174, + 709, + 825, + 794 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/6c62f359bea45a1cd43b4968519708b3fe3ee7b31ae67debd65938709f6fc1e6.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { T D } } = \\mathbb { E } \\Big [ \\big ( ( 1 - \\tau ) \\delta ( s , a ) + \\tau \\delta _ { \\mathrm { M C } } ( s , a ) \\big ) ^ { 2 } \\Big ] ,\n$$", + "text_format": "latex", + "bbox": [ + 339, + 808, + 622, + 835 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/06777259c82f0ccaa6aeac35e63ab713437d0b554aafc97c1462a9e2c54607a2.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 204, + 99, + 794, + 242 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Figure 1: Neural network architecture used by our algorithm when learning to play Atari 2600 games. ", + "bbox": [ + 171, + 252, + 823, + 268 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\delta ( s , a )$ and $\\delta _ { \\mathrm { M C } } ( s , a )$ are defined as ", + "bbox": [ + 174, + 294, + 449, + 310 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/13a28f2b83934a75438c8dc1588da4ccadcc83c98681fcf0e8b880b07984f7c9.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { \\delta ( s , a ) = R _ { t } + \\beta r _ { \\mathrm { i n t } } ( s ; \\theta ^ { - } ) + \\gamma \\operatorname* { m a x } _ { a ^ { \\prime } } q ( s ^ { \\prime } , a ^ { \\prime } ; \\theta ^ { - } ) - q ( s , a ; \\theta ) , } \\\\ & { } & { \\delta _ { \\mathrm { M C } } ( s , a ) = \\displaystyle \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\Big ( r ( S _ { t } , A _ { t } ) + \\beta r _ { \\mathrm { i n t } } ( S _ { t } ; \\theta ^ { - } ) \\Big ) - q ( s , a ; \\theta ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 277, + 313, + 689, + 382 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "This loss is known as the mixed Monte-Carlo return (MMC) and it has been used in the past by the algorithms that achieved succesful exploration in deep reinforcement learning (Bellemare et al., 2016; Ostrovski et al., 2017). The distinction between $\\theta$ and $\\theta ^ { - }$ is standard in the field, with $\\theta ^ { - }$ denoting the parameters of the target network, which is updated less often for stability purposes (Mnih et al., 2015). As before, we use $r _ { \\mathrm { i n t } }$ to denote the exploration bonus obtained from the successor features of the internal representation, $\\phi ( \\cdot )$ , which will be defined below. Moreover, to ensure all features are in the same range, we normalize the feature vector so that $| | \\phi ( \\cdot ) | | _ { 2 } = 1$ . In Figure 1 we highlight the layer in which we normalize its output with the symbol $\\phi$ . Notice that the features are always non-negative due to the use of ReLU gates. ", + "bbox": [ + 173, + 386, + 826, + 512 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The successor features are computed by the two bottom layers of the network, which minimize the loss ", + "bbox": [ + 173, + 518, + 823, + 534 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/28bf9ab781d9bb5f28f001a2e32c324153d315663e4578797035247ea5aeba81.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { { S R } } } = \\mathbb { E } _ { \\pi , p } \\Big [ \\big ( \\phi ( S _ { t } ; \\theta ^ { - } ) + \\gamma \\psi ( S _ { t + 1 } ; \\theta ^ { - } ) - \\psi ( S _ { t } ; \\theta ) \\big ) ^ { 2 } \\Big ] .\n$$", + "text_format": "latex", + "bbox": [ + 295, + 540, + 668, + 566 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Zero is a fixed point for the SR. This is particularly concerning in settings with sparse rewards. The agent might learn to set $\\phi ( \\cdot ) = \\vec { 0 }$ to achieve zero loss. We address this problem by not propagating $\\nabla \\mathcal { L } _ { \\mathrm { s R } }$ to $\\phi ( \\cdot )$ (this is depicted in Figure 1 as an open circle stopping the gradient), and by creating an auxiliary task (Jaderberg et al., 2017) to encourage a representation to be learned before a non-zero reward is observed. As Machado et al. (2018b), we use the auxiliary task of predicting the next observation, learned through the architecture proposed by Oh et al. (2015), which is depicted as the top layers in Figure 1. The loss we minimize for this last part of the network is $\\mathcal { L } _ { \\mathrm { R e c o n s } } = \\left( \\hat { S } _ { t + 1 } - S _ { t + 1 } \\right) ^ { 2 }$ ", + "bbox": [ + 173, + 571, + 825, + 676 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The overall loss minimized by the network is $\\mathcal { L } = w _ { \\mathrm { { T D } } } \\mathcal { L } _ { \\mathrm { { T D } } } + w _ { \\mathrm { { S R } } } \\mathcal { L } _ { \\mathrm { { S R } } } + w _ { \\mathrm { { R e c o n s } } } \\mathcal { L } _ { \\mathrm { { R e c o n s } } } .$ ", + "bbox": [ + 174, + 681, + 730, + 696 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The last step in describing our algorithm is to define $r _ { \\mathrm { i n t } } ( S _ { t } ; \\theta ^ { - } )$ , the intrinsic reward we use to encourage exploration. We choose the exploration bonus to be the inverse of the $\\ell _ { 2 }$ -norm of the vector of successor features of the current state, that is, ", + "bbox": [ + 176, + 703, + 825, + 746 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/eb9111f84b7d58830be7c892a08041f6b27e57efde5fa43f3d31ecd564c92d81.jpg", + "text": "$$\nr _ { \\mathrm { i n t } } ( S _ { t } ; \\theta ^ { - } ) = \\frac { 1 } { | | \\psi ( S _ { t } ; \\theta ^ { - } ) | | _ { 2 } } ,\n$$", + "text_format": "latex", + "bbox": [ + 383, + 751, + 581, + 784 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\psi ( S _ { t } ; \\theta ^ { - } )$ denotes the successor features of state $S _ { t }$ parametrized by $\\theta ^ { - }$ . The exploration bonus comes from the same intuition presented in the previous section, but instead of penalizing the agent with the norm of the SR we make $r _ { \\mathrm { i n t } } ( S _ { t } ; \\theta ^ { - } )$ into a bonus (we observed in preliminary experiments not discussed here that DQN performs better when dealing with positive rewards). Moreover, instead of using the $\\ell _ { 1 }$ -norm we use the $\\ell _ { 2 }$ -norm of the SR since our features have unit length in $\\ell _ { 2 }$ (whereas the successor probabilities in the tabular-case have unit length in $\\ell _ { 1 }$ ). ", + "bbox": [ + 173, + 790, + 826, + 876 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Finally, we initialize our network the same way Oh et al. (2015) does. We use Xavier initialization (Glorot & Bengio, 2010) in all layers except the fully connected layers around the element-wise multiplication denoted by $\\otimes$ , which are initialized uniformly with values between $- 0 . 1$ and 0.1. ", + "bbox": [ + 174, + 881, + 825, + 924 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/bbdf7a6af1788c393684e30e5aeec707af50ba22f4946c0849193a8a8dccce05.jpg", + "table_caption": [ + "Table 2: Performance of the proposed algorithm, $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }$ , compared to various agents on the “hard exploration” subset of Atari 2600 games. The DQN results reported are from Machado et al. (2018a) while the $\\mathrm { D Q N ^ { M M C } + C T S }$ and DQNMMC $+$ PixelCNN results were extracted from the learning curves available in Ostrovski et al.’s (2017) work. $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }$ denotes another baseline used in the comparison. When available, standard deviations are reported between parentheses. See text for details. " + ], + "table_footnote": [], + "table_body": "
DQNDQNMMC+CTSDQNMMC+PIXELCNNDQNMMCDQNMMC+ e+SR
FREEWAY32.4 (0.3)29.229.429.5(0.1)29.5(0.1)
GRAVITAR118.5 (22.0)199.8275.41078.3(254.1)430.3(109.4)
MONT.REV.0.0 (0.0)2941.91671.70.0(0.0)1778.6(903.6)
PRIVATE EYE1447.4 (2,567.9)32.814386.0113.4(42.3)99.1(1.8)
SOLARIS783.4 (55.3)1147.12279.42244.6(378.8)2155.7(398.3)
VENTURE4.4 (5.4)0.0856.21220.1(51.0)1241.8(236.0)
", + "bbox": [ + 176, + 189, + 823, + 268 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5 EMPIRICAL EVALUATION OF EXPLORATION IN DEEP RL ", + "text_level": 1, + "bbox": [ + 176, + 295, + 665, + 309 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We evaluated our algorithm on the Arcade Learning Environment (Bellemare et al., 2013). Following Bellemare et al.’s (2016) taxonomy, we evaluated our algorithm in the Atari 2600 games with sparse rewards that pose hard exploration problems. They are: FREEWAY, GRAVITAR, MONTEZUMA’S REVENGE, PRIVATE EYE, SOLARIS, and VENTURE.3 ", + "bbox": [ + 174, + 325, + 825, + 381 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We followed the evaluation protocol proposed by Machado et al. (2018a). We used MONTEZUMA’S REVENGE to tune our parameters (training set). The reported results are the average over 10 seeds after 100 million frames. We evaluated our agents in the stochastic setting (sticky actions, $\\varsigma = 0 . 2 5 )$ ) using a frame skip of 5 with the full action set $| \\mathcal { A } | = 1 8 )$ ). The agent learns from raw pixels, that is, it uses the game screen as input. ", + "bbox": [ + 174, + 388, + 825, + 458 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Our results were obtained with the algorithm described in Section 4. We set $\\beta = 0 . 0 2 5$ after a rough sweep over values in the game MONTEZUMA’S REVENGE. We annealed $\\epsilon$ in DQN’s $\\epsilon$ -greedy exploration over the first million steps, starting at 1.0 and stopping at 0.1 as done by Bellemare et al. (2016). We trained the network with RMSprop with a step-size of 0.00025, an $\\epsilon$ value of 0.01, and a decay of 0.95, which are the standard parameters for training DQN (Mnih et al., 2015). The discount factor, $\\gamma$ , is set to 0.99 and $w _ { \\mathrm { T D } } = 1$ , $w _ { \\mathrm { S R } } = 1 0 0 0$ , ${ w _ { \\mathrm { R e c o n s } } = 0 . 0 0 1 }$ . The weights $w _ { \\mathrm { T D } }$ , $w _ { \\tt S R }$ , and $w _ { \\mathrm { R e c o n s } }$ were set so that the loss functions would be roughly the same scale. All other parameters are the same as those used by Mnih et al. (2015). ", + "bbox": [ + 174, + 465, + 825, + 577 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 2 summarizes the results after 100 million frames. The performance of other algorithms is also provided for reference. Notice we are reporting learning performance for all algorithms instead of the maximum scores achieved by the algorithm. We use the superscript MMC to distinguish between the algorithms that use MMC from those that do not. When comparing our algorithm, $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }$ , to DQN we can see how much our approach improves over the most traditional baseline. By comparing our algorithm’s performance to $\\mathrm { \\bar { D Q N } ^ { M M C } + \\bar { C } T S }$ (Bellemare et al., 2016) and $\\mathrm { D Q N ^ { M M C } }$ +PixelCNN (Ostrovski et al., 2017) we compare our algorithm to established baselines for exploration. As highlighted in Section 4, the parameters of the network we used are different from those used in the traditional DQN network, so we also compared the performance of our algorithm to the performance of the same network our algorithm uses but without the additional modules (next state prediction and successor representation) by setting $w _ { \\mathrm { S R } } = w _ { \\mathrm { R e c o n s } } = 0$ and without the intrinsic reward bonus by setting $\\beta = 0 . 0$ . The column labeled $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }$ contains the results for this baseline. This comparison allows us to explicitly quantify the improvement provided by the proposed exploration bonus. The learning curves of these algorithms, their performance after different amounts of experience, and additional results analyzing, for example, the impact of the introduced auxiliary task, are available in the Appendix. ", + "bbox": [ + 174, + 583, + 825, + 805 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We can clearly see that our algorithm achieves scores much higher than those achieved by DQN, which struggles in games that pose hard exploration problems. Moreover, by comparing $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }$ to $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }$ we can see that the provided exploration bonus has a big impact in the game MONTEZUMA’S REVENGE, which is probably known as the hardest game among those we used in our evaluation. Interestingly, the change in architecture and the use of MMC leads to a big improvement in games such as GRAVITAR and VENTURE, which we cannot fully explain. However, notice that the change in architecture does not have any effect in MONTEZUMA’S REVENGE. The proposed exploration bonus seems to be essential in this game. Finally, we also compared our algorithm to $\\mathrm { D Q N ^ { \\bar { M } M C } + C T S }$ and DQNMMC+PixelCNN. We can observe that, on average, it performs as well as these algorithms, but instead of requiring a density model it requires the SR, which is already defined for every problem since it is a component of the value function estimates, as discussed in Section 2. ", + "bbox": [ + 174, + 813, + 825, + 896 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 172 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 190, + 341, + 205 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "There are multiple algorithms in the tabular, model-based case with guarantees about their performance (e.g., Brafman & Tennenholtz, 2002; Kearns & Singh, 2002; Strehl & Littman, 2008; Osband et al., 2016). RiverSwim and SixArms are domains traditionally used when evaluating these algorithms. In this paper we have given evidence that our algorithm performs as well as some of these algorithms with theoretical guarantees. Among these algorithms, R-MAX seems the closest approach to ours. As with R-MAX, the algorithm we presented in Section 3 augments the state-space with an imaginary state and encourages the agent to visit that state, implicitly reducing the algorithm’s uncertainty in the state-space. However, R-MAX deletes the transition to this imaginary state once a state has been visited a given number of times. Ours lets the probability of visiting this imaginary state vanish with additional visitations. Moreover, notice that it is not clear how to apply these traditional algorithms such as R-MAX and $\\mathrm { E ^ { 3 } }$ to large domains where function approximation is required. ", + "bbox": [ + 174, + 218, + 825, + 371 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Conversely, there are not many model-free approaches with proven sample-complexity bounds (e.g., Strehl et al., 2006), but there are multiple model-free algorithms for exploration that actually work in large domains (e.g., Stadie et al., 2015; Bellemare et al., 2016; Ostrovski et al., 2017; Plappert et al., 2018). Among these algorithms, the use of pseudo-counts through density models is the closest to ours (Bellemare et al., 2016; Ostrovski et al., 2017). Inspired by those papers we used the mixed Monte-Carlo return as a target in the update rule. In Section 5 we have shown that our algorithm performs generally as well as these approaches without requiring a density model. Importantly, Martin et al. (2017) had already shown that counting activations of fixed, handcrafted features in Atari 2600 games leads to good exploration behavior. Nevertheless, by using the SSR we are not only counting learned features but we are also implicitly capturing the induced transition dynamics. ", + "bbox": [ + 174, + 378, + 825, + 517 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Finally, the SR has already been used in the context of exploration. However, it was used to help the agent learn how to act in a higher level of abstraction in order to navigate through the state space faster (Machado et al., 2017; 2018b). Such an approach has led to promising results in the tabular case but only anecdotal evidence about its scalability has been provided when the idea was applied to large domains such as Atari 2600 games. Importantly, the work developed by Machado et al. (2018b), Kulkarni et al. (2016) and Oh et al. (2015) are the main motivation for the neural network architecture presented here. Oh et al. (2015) have shown how one can predict the next screen given the current observation and action (our auxiliary task), while Machado et al. (2018b) and Kulkarni et al. (2016) have proposed different architectures for learning the successor representation from raw pixels. ", + "bbox": [ + 174, + 523, + 825, + 650 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "7 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 665, + 318, + 681 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "RL algorithms tend to have high sample complexity, which often prevents them from being used in the real-world. Poor exploration strategies is one of the main reasons for this high sample-complexity. Despite all of its shortcomings, uniform random exploration is, to date, the most commonly used approach for exploration. This is mainly due to the fact that most approaches for tackling the exploration problem still rely on domain-specific knowledge (e.g., density models, handcrafted features), or on having an agent learn a perfect model of the environment. In this paper we introduced a general method for exploration in RL that implicitly counts state (or feature) visitation in order to guide the exploration process. It is compatible to representation learning and the idea can also be adapted to be applied to large domains. ", + "bbox": [ + 174, + 694, + 825, + 819 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "This result opens up multiple possibilities for future work. Based on the results presented in Section 3, for example, we conjecture that the substochastic successor representation can be actually used to generate algorithms with PAC-MDP bounds. Investigating to what extent different auxiliary tasks impact the algorithm’s performance, and whether simpler tasks such as predicting feature activations or parts of the input (Jaderberg et al., 2017) are effective is also worth studying. Finally, it might be interesting to further investigate the connection between representation learning and exploration, since it is also known that better representations can lead to faster exploration (Jiang et al., 2017). ", + "bbox": [ + 174, + 825, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 176, + 103, + 287, + 117 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Andre Barreto, Will Dabney, R ´ emi Munos, Jonathan Hunt, Tom Schaul, David Silver, and Hado ´ van Hasselt. Successor Features for Transfer in Reinforcement Learning. In Advances in Neural Information Processing Systems (NIPS), pp. 4058–4068, 2017. 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Stadie, Sergey Levine, and Pieter Abbeel. Incentivizing Exploration in Reinforcement Learning With Deep Predictive Models. CoRR, abs/1507.00814, 2015. ", + "bbox": [ + 174, + 309, + 823, + 338 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Alexander L. Strehl and Michael L. Littman. An Analysis of Model-based Interval Estimation for Markov Decision Processes. Journal of Computer and System Sciences, 74(8):1309–1331, 2008. ", + "bbox": [ + 173, + 347, + 823, + 376 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Alexander L. Strehl, Lihong Li, Eric Wiewiora, John Langford, and Michael L. Littman. PAC Model-Free Reinforcement Learning. In Proceedings of the International Conference on Machine Learning (ICML), pp. 881–888, 2006. ", + "bbox": [ + 173, + 385, + 825, + 428 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Richard S. Sutton. Learning to Predict by the Methods of Temporal Differences. Machine Learning, 3:9–44, 1988. 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The list of contents is below: ", + "bbox": [ + 173, + 151, + 825, + 181 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "• Pseudo-code of the model-based algorithm discussed in Section 3; \n• Description of RiverSwim and SixArms, the tabular domains we used in our evaluation; \n• Learning curves of $\\mathrm { D Q N } _ { e }$ and $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }$ and their performance after different amounts of experience in the Atari 2600 games used for evaluation; Results of additional experiments designed to evaluate the role of the auxiliary task in the results reported in the paper for ESSR. ", + "bbox": [ + 215, + 193, + 825, + 292 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "EXPLORATION THROUGH THE SUBSTOCHASTIC SUCCESSOR REPRESENTATION ", + "text_level": 1, + "bbox": [ + 174, + 321, + 720, + 337 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "In the main paper we described our algorithm as a standard model-based algorithm where the agent updates its transition probability model and reward model through Equation 2 and its SSR estimate as in Definition 3.1. The pseudo-code with details about the implementation is presented in Algorithm 1. ", + "bbox": [ + 174, + 348, + 826, + 390 + ], + "page_idx": 10 + }, + { + "type": "table", + "img_path": "images/fb5781582a0947e1de03549818a77980bd64bf8e1179bb182a987e4ccba94093.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Algorithm1Exploration through the Substochastic Successor Representation (ESSR)
n(s,s')←0 ∀s,s'∈S
t(s,a,s')←1∀s,s'∈S,∀a∈A
r(s,a)←0∀s∈S,∀a∈A
P(s,a)←1/|Sl∀s∈S,∀a∈A
P(s,s')←0As,s'∈S
T←random over A
while episode is not over do Observe s E S, take action a E A selected according to π(s),and observe a reward R and a
next state s' ∈ S n(s,s')← n(s,s')+1
t(s,a,s')←t(s,a,s')+1
n(s)←∑x',bt(s,b,x')
n(s,a)←∑x,t(s,a,x')
r(s,a,s') ← (t(s,a,s)-2)xf(s,a,s')+R
t(s,a,s')-1 for each state x' ∈ Sdo
P(s,a,x')← t(s,a,x')
n(s,a) n(s,x')
P(s,x')← n(s)+1
end for √←(I-γP)-1
rint←-e
T ← POLICYITERATION(P,𝑟+ βrint)
end while
", + "bbox": [ + 181, + 402, + 826, + 828 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "DESCRIPTION OF RIVERSWIM AND SIXARMS ", + "text_level": 1, + "bbox": [ + 174, + 103, + 490, + 117 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The two domains we used as testbed to evaluate the proposed model-based algorithm with the exploration bonus generated by the substochastic successor representation are shown in Figure 2. These domains are the same used by Strehl & Littman (2008). For SixArms, the agent starts in state 0. For RiverSwim, the agent starts in either state 1 or 2 with equal probability. ", + "bbox": [ + 174, + 130, + 826, + 185 + ], + "page_idx": 11 + }, + { + "type": "image", + "img_path": "images/5668527eec930a068c0c61f8e7ce73a9f8d40ed779bcb71ff47bdc04db2eb83b.jpg", + "image_caption": [ + "Figure 2: Domains used as testbed in the tabular case. The tuples in each transition should be read as haction id, probability, rewardi. See text for details. " + ], + "image_footnote": [], + "bbox": [ + 176, + 196, + 820, + 315 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "EVALUATION THE IMPACT OF THE AUXILIARY TASK IN ESSR ", + "text_level": 1, + "bbox": [ + 181, + 380, + 591, + 393 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The algorithm we introduced in the paper, ESSR, relies on a network that estimates the state-action value function, the successor representation, and the next observation to be seen given the agent’s current observation and action. While the results depicted in Table 2 allow us to clearly see the benefit of using an exploration bonus derived from the successor representation, they do not inform us about the impact of the auxiliary task in the results. The experiments in this section aim at addressing this issue. We focus on Montezumas Revenge because it is the game where the problem of exploration is maximized, with most algorithms not being able to do anything without an exploration bonus. ", + "bbox": [ + 173, + 405, + 825, + 502 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The first question we asked was whether the auxiliary task was necessary in our algorithm. We evaluated this by dropping the reconstruction module from the network to test whether the initial random noise generated by the successor representation is enough to drive representation learning. It is not. When dropping the auxiliary task, the average performance of this baseline over 4 seeds in MONTEZUMA’S REVENGE after 100 million frames was 100.0 points $\\textstyle \\cdot \\sigma ^ { 2 } = 2 0 0 . 0$ ; min: 0.0, max: 400.0). As comparison, our algorithm obtains 1778.6 points $\\cdot \\sigma ^ { 2 } = 9 0 3 . 6$ , min: 400.0, max: 2500.0). These results suggest that auxiliary tasks seem to be necessary for our method to perform well. ", + "bbox": [ + 173, + 510, + 826, + 608 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "We also evaluated whether the auxiliary task was sufficient to generate the results we observed. To do so we dropped the SR module and set $\\beta = 0 . 0$ to evaluate whether our exploration bonus was actually improving the agent’s performance or whether the auxiliary task was doing it. The exploration bonus seems to be essential in our algorithm. When dropping the exploration bonus and the successor representation module, the average performance of this baseline over 4 seeds in MONTEZUMA’S REVENGE after 100 million frames was 398.5 points $\\sigma ^ { 2 } = 2 3 0 . 1$ ; min: 0.0, max: 400.0). Again, clearly, the auxiliary task is not a sufficient condition for the performance we report. ", + "bbox": [ + 174, + 614, + 825, + 712 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The reported results use the same parameters as those reported in the main paper. Learning curves for each individual run are depicted in Figure 3. ", + "bbox": [ + 173, + 718, + 823, + 747 + ], + "page_idx": 11 + }, + { + "type": "image", + "img_path": "images/d6d739ad291411fdbea9cc046ca7a4a0c3c72cd8cbb1947ce71e832e5aae22ea.jpg", + "image_caption": [ + "Figure 3: Evaluation of the sufficiency and necessity of the auxiliary task in $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } { + } \\mathrm { S R }$ . The learning curves are smoothed with a running average computed using a window of size 100. " + ], + "image_footnote": [], + "bbox": [ + 295, + 765, + 692, + 876 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "ADDITIONAL RESULTS FOR $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }$ AND $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }$ IN THE ATARI 2600 GAMES ", + "bbox": [ + 169, + 102, + 759, + 119 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "As recommended by Machado et al. (2018a), we report the performance of $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }$ and $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }$ after different amounts of experience (10, 50, and 100 million frames) in Tables 3 and 4. ", + "bbox": [ + 173, + 128, + 823, + 159 + ], + "page_idx": 12 + }, + { + "type": "table", + "img_path": "images/5618f78349bcdb9597ea629f0f175ee3dd97eba228e5a3c7f4d763ed84195aee.jpg", + "table_caption": [ + "Finally, Figure 4 depicts the learning curves obtained with the evaluated algorithms in each game. Lighter lines represent individual runs while the solid lines encode the average over the multiple runs. ", + "Table 3: Results obtained with $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }$ after different amounts of experience. " + ], + "table_footnote": [], + "table_body": "
Game10Mframes50M frames100M frames
FREEWAY24.9 (0.5)29.5 (0.1)29.5 (0.1)
GRAVITAR244.1 (23.8)326.4 (53.0)430.3 (109.4)
MONT.REVENGE2.6 (7.2)563.8 (465.7)1778.6 (903.6)
PRIVATEEYE99.2 (1.2)98.5 (3.3)99.1 (1.8)
SOLARIS1547.5 (410.9)2036.3 (339.0)2155.7 (398.3)
VENTURE26.2 (22.1)942.0 (423.8)1241.8 (236.0)
", + "bbox": [ + 246, + 204, + 745, + 304 + ], + "page_idx": 12 + }, + { + "type": "table", + "img_path": "images/bbb44cdfd041485a660543a51dd1db6a2bf9f041a958d366b4beb2c6624ee918.jpg", + "table_caption": [ + "Table 4: Results obtained with $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }$ after different amounts of experience. " + ], + "table_footnote": [], + "table_body": "
Game10Mframes50Mframes100M frames
FREEWAY25.7 (1.5)29.6 (0.1)29.5(0.1)
GRAVITAR229.9 (31.3)559.3 (75.9)1078.3(254.1)
MONT.REVENGE0.0 (0.0)0.0 (0.0)0.0(0.0)
PRIVATEEYE216.7 (219.5)109.1 (44.1)113.4(42.3)
SOLARIS2230.0 (322.3)2181.5 (292.9)2244.6(378.8)
VENTURE63.8 (31.3)794.1(151.9) 1220.1(51.0)
", + "bbox": [ + 246, + 390, + 745, + 489 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/f32c5c28aa96c691cd2490833e2718c882a8db0510c45acacb1908ccb21959ae.jpg", + "image_caption": [ + "Figure 4: $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }$ and $\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }$ learning curves in the Atari 2600 games used as testbed. The curves are smoothed with a running average computed using a window of size 100. " + ], + "image_footnote": [], + "bbox": [ + 179, + 579, + 810, + 820 + ], + "page_idx": 12 + } +] \ No newline at end of file diff --git a/parse/train/S1giVsRcYm/S1giVsRcYm_middle.json b/parse/train/S1giVsRcYm/S1giVsRcYm_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..97667d0ceec16e0db17e86df7cf2dd6e212168c5 --- /dev/null +++ b/parse/train/S1giVsRcYm/S1giVsRcYm_middle.json @@ -0,0 +1,35122 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 79, + 372, + 116 + ], + "lines": [ + { + "bbox": [ + 106, + 78, + 374, + 97 + ], + "spans": [ + { + "bbox": [ + 106, + 78, + 374, + 97 + ], + "score": 1.0, + "content": "COUNT-BASED EXPLORATION WITH", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 97, + 366, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 97, + 366, + 117 + ], + "score": 1.0, + "content": "THE SUCCESSOR REPRESENTATION", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 112, + 136, + 244, + 157 + ], + "lines": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "spans": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "spans": [ + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 278, + 187, + 333, + 199 + ], + "lines": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "spans": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 210, + 469, + 408 + ], + "lines": [ + { + "bbox": [ + 142, + 211, + 470, + 223 + ], + "spans": [ + { + "bbox": [ + 142, + 211, + 470, + 223 + ], + "score": 1.0, + "content": "The problem of exploration in reinforcement learning is well-understood in the tab-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 142, + 222, + 469, + 233 + ], + "spans": [ + { + "bbox": [ + 142, + 222, + 469, + 233 + ], + "score": 1.0, + "content": "ular case and many sample-efficient algorithms are known. 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In", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 265, + 469, + 279 + ], + "spans": [ + { + "bbox": [ + 141, + 265, + 469, + 279 + ], + "score": 1.0, + "content": "this paper we introduce a simple approach for exploration that allows us to develop", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 142, + 277, + 469, + 289 + ], + "spans": [ + { + "bbox": [ + 142, + 277, + 469, + 289 + ], + "score": 1.0, + "content": "theoretically justified algorithms in the tabular case but that also give us intuitions", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 287, + 470, + 300 + ], + "spans": [ + { + "bbox": [ + 141, + 287, + 470, + 300 + ], + "score": 1.0, + "content": "for new algorithms applicable to settings where function approximation is required.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 142, + 299, + 470, + 311 + ], + "spans": [ + { + "bbox": [ + 142, + 299, + 470, + 311 + ], + "score": 1.0, + "content": "Our approach and its underlying theory is based on the substochastic successor", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 310, + 470, + 322 + ], + "spans": [ + { + "bbox": [ + 141, + 310, + 470, + 322 + ], + "score": 1.0, + "content": "representation, a concept we develop here. 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This extension", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 354, + 469, + 365 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 469, + 365 + ], + "score": 1.0, + "content": "connects two until now disjoint areas of research. We show in traditional tabular", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 364, + 469, + 376 + ], + "spans": [ + { + "bbox": [ + 141, + 364, + 469, + 376 + ], + "score": 1.0, + "content": "domains (RiverSwim and SixArms) that our algorithm empirically performs as", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 375, + 469, + 387 + ], + "spans": [ + { + "bbox": [ + 141, + 375, + 469, + 387 + ], + "score": 1.0, + "content": "well as other sample-efficient algorithms. We then describe a deep reinforcement", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 386, + 469, + 399 + ], + "spans": [ + { + "bbox": [ + 141, + 386, + 469, + 399 + ], + "score": 1.0, + "content": "learning algorithm inspired by these ideas and show that it matches the performance", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 397, + 452, + 410 + ], + "spans": [ + { + "bbox": [ + 141, + 397, + 452, + 410 + ], + "score": 1.0, + "content": "of recent pseudo-count-based methods in hard exploration Atari 2600 games.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 13.5 + }, + { + "type": "title", + "bbox": [ + 108, + 428, + 206, + 440 + ], + "lines": [ + { + "bbox": [ + 105, + 426, + 208, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 208, + 443 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 452, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 105, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "Reinforcement learning (RL) tackles sequential decision making problems by formulating them as", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "score": 1.0, + "content": "tasks where an agent must learn how to act optimally through trial and error interactions with the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 475, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 505, + 486 + ], + "score": 1.0, + "content": "environment. The goal in these problems is to maximize the sum of the numerical reward signal", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 486, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 505, + 497 + ], + "score": 1.0, + "content": "observed at each time step. Because the actions taken by the agent influence not just the immediate", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "score": 1.0, + "content": "reward but also the states and associated rewards in the future, sequential decision making problems", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 506, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 505, + 520 + ], + "score": 1.0, + "content": "require agents to deal with the trade-off between immediate and delayed rewards. 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The number of samples an", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "agent requires is related to how quickly it is able to explore the state-space. Surprisingly, the most", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 590, + 505, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 602 + ], + "score": 1.0, + "content": "common approach is to select exploratory actions uniformly at random, even in high-profile success", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "stories of RL (e.g., Tesauro, 1995; Mnih et al., 2015). 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In this setting the problem of exploration is well understood. When", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 662, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 506, + 674 + ], + "score": 1.0, + "content": "all states can be enumerated and uniquely identified (tabular case), we have algorithms with proven", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 673, + 505, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 505, + 685 + ], + "score": 1.0, + "content": "sample complexity bounds on the maximum number of suboptimal actions an agent selects before", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41.5 + } + ], + "page_idx": 0, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 691, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 118, + 688, + 506, + 704 + ], + "spans": [ + { + "bbox": [ + 118, + 688, + 506, + 704 + ], + "score": 1.0, + "content": "1When we refer to environments with sparse rewards we do so for brevity and ease of presentation. 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Nevertheless, it is often", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 231, + 469, + 245 + ], + "spans": [ + { + "bbox": [ + 141, + 231, + 469, + 245 + ], + "score": 1.0, + "content": "unclear how the algorithms in the tabular setting can be extended to tasks with large", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 244, + 469, + 256 + ], + "spans": [ + { + "bbox": [ + 141, + 244, + 469, + 256 + ], + "score": 1.0, + "content": "state-spaces where generalization is required. Recent promising developments", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 255, + 469, + 266 + ], + "spans": [ + { + "bbox": [ + 141, + 255, + 469, + 266 + ], + "score": 1.0, + "content": "generally depend on problem-specific density models or handcrafted features. In", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 265, + 469, + 279 + ], + "spans": [ + { + "bbox": [ + 141, + 265, + 469, + 279 + ], + "score": 1.0, + "content": "this paper we introduce a simple approach for exploration that allows us to develop", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 142, + 277, + 469, + 289 + ], + "spans": [ + { + "bbox": [ + 142, + 277, + 469, + 289 + ], + "score": 1.0, + "content": "theoretically justified algorithms in the tabular case but that also give us intuitions", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 287, + 470, + 300 + ], + "spans": [ + { + "bbox": [ + 141, + 287, + 470, + 300 + ], + "score": 1.0, + "content": "for new algorithms applicable to settings where function approximation is required.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 142, + 299, + 470, + 311 + ], + "spans": [ + { + "bbox": [ + 142, + 299, + 470, + 311 + ], + "score": 1.0, + "content": "Our approach and its underlying theory is based on the substochastic successor", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 310, + 470, + 322 + ], + "spans": [ + { + "bbox": [ + 141, + 310, + 470, + 322 + ], + "score": 1.0, + "content": "representation, a concept we develop here. While the traditional successor repre-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 321, + 470, + 333 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 470, + 333 + ], + "score": 1.0, + "content": "sentation is a representation that defines state generalization by the similarity of", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 331, + 469, + 343 + ], + "spans": [ + { + "bbox": [ + 141, + 331, + 469, + 343 + ], + "score": 1.0, + "content": "successor states, the substochastic successor representation is also able to implicitly", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 142, + 343, + 469, + 354 + ], + "spans": [ + { + "bbox": [ + 142, + 343, + 469, + 354 + ], + "score": 1.0, + "content": "count the number of times each state (or feature) has been observed. This extension", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 354, + 469, + 365 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 469, + 365 + ], + "score": 1.0, + "content": "connects two until now disjoint areas of research. We show in traditional tabular", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 364, + 469, + 376 + ], + "spans": [ + { + "bbox": [ + 141, + 364, + 469, + 376 + ], + "score": 1.0, + "content": "domains (RiverSwim and SixArms) that our algorithm empirically performs as", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 375, + 469, + 387 + ], + "spans": [ + { + "bbox": [ + 141, + 375, + 469, + 387 + ], + "score": 1.0, + "content": "well as other sample-efficient algorithms. 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Nevertheless, random exploration often fails in", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 612, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 506, + 624 + ], + "score": 1.0, + "content": "environments with sparse rewards, that is, environments where the agent observes a reward signal of", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 623, + 256, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 256, + 635 + ], + "score": 1.0, + "content": "value zero for the majority of states.1", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 545, + 507, + 635 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 640, + 504, + 684 + ], + "lines": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "In model-based approaches agents explicitly learn a model of the dynamics of the environment which", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "score": 1.0, + "content": "they use to plan future actions. In this setting the problem of exploration is well understood. When", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 662, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 506, + 674 + ], + "score": 1.0, + "content": "all states can be enumerated and uniquely identified (tabular case), we have algorithms with proven", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 673, + 505, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 505, + 685 + ], + "score": 1.0, + "content": "sample complexity bounds on the maximum number of suboptimal actions an agent selects before", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 82, + 506, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 174, + 94 + ], + "score": 1.0, + "content": "converging to an", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 174, + 85, + 179, + 92 + ], + "score": 0.56, + "content": "\\epsilon", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 180, + 82, + 506, + 94 + ], + "score": 1.0, + "content": "-optimal policy (e.g., Brafman & Tennenholtz, 2002; Kearns & Singh, 2002; Strehl", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "& Littman, 2008). However, these approaches are not easily extended to large environments where it", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "is intractable to enumerate all of the states. When using function approximation, the concept of state", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 429, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 429, + 129 + ], + "score": 1.0, + "content": "visitation is not helpful and learning useful models is by itself quite challenging.", + "type": "text", + "cross_page": true + } + ], + "index": 3 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 640, + 506, + 685 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 127 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 174, + 94 + ], + "score": 1.0, + "content": "converging to an", + "type": "text" + }, + { + "bbox": [ + 174, + 85, + 179, + 92 + ], + "score": 0.56, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 82, + 506, + 94 + ], + "score": 1.0, + "content": "-optimal policy (e.g., Brafman & Tennenholtz, 2002; Kearns & Singh, 2002; Strehl", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "& Littman, 2008). However, these approaches are not easily extended to large environments where it", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "is intractable to enumerate all of the states. When using function approximation, the concept of state", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 429, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 429, + 129 + ], + "score": 1.0, + "content": "visitation is not helpful and learning useful models is by itself quite challenging.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 107, + 132, + 505, + 221 + ], + "lines": [ + { + "bbox": [ + 105, + 131, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 131, + 505, + 145 + ], + "score": 1.0, + "content": "Due to the difficulties in learning good models in large domains, model-free methods are much", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "more popular. Instead of building an explicit model of the environment, they estimate state values", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 153, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 153, + 505, + 167 + ], + "score": 1.0, + "content": "directly from transition samples (state, action, reward, next state). Unfortunately, this approach makes", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "systematic exploration much more challenging. Nevertheless, because model-free methods make", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "up the majority of approaches scalable to large domains, practitioners often ignore the exploration", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 186, + 506, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 506, + 201 + ], + "score": 1.0, + "content": "challenges these methods pose and accept the high sample complexity of random exploration. Reward", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 199, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 506, + 210 + ], + "score": 1.0, + "content": "bonuses that promote exploration are one alternative to random walks (e.g., Bellemare et al., 2016;", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 450, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 450, + 222 + ], + "score": 1.0, + "content": "Martin et al., 2017), but none such proposed solutions are widely adopted in the field.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 226, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 106, + 227, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 506, + 238 + ], + "score": 1.0, + "content": "In this paper we introduce an algorithm for exploration based on the successor representation (SR).", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 506, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 506, + 250 + ], + "score": 1.0, + "content": "The SR, originally introduced by Dayan (1993), is a representation that generalizes between states", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "using the similarity between their successors, i.e., the similarity between the states that follow the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 258, + 506, + 273 + ], + "spans": [ + { + "bbox": [ + 104, + 258, + 506, + 273 + ], + "score": 1.0, + "content": "current state given the environment’s dynamics and the agent’s policy. The SR is defined for any", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "score": 1.0, + "content": "problem, it can be learned through temporal-difference learning (Sutton, 1988) and, as we discuss", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "below, it can also be seen as implicitly estimating the transition dynamics of the environment. Our", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "score": 1.0, + "content": "approach is inspired by the substochastic successor representation (SSR), a concept we introduce", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 302, + 505, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 505, + 316 + ], + "score": 1.0, + "content": "here. The SSR is defined so that it implicitly counts state visitation, allowing us to use it to encourage", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 314, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 106, + 314, + 506, + 327 + ], + "score": 1.0, + "content": "exploration. This idea connects representation learning and exploration, two otherwise disjoint areas", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 325, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 506, + 337 + ], + "score": 1.0, + "content": "of research. The SSR allows us to derive an exploration bonus that when applied to model-based RL", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 335, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 104, + 335, + 506, + 349 + ], + "score": 1.0, + "content": "generates algorithms that perform as well as theoretically sample-efficient algorithms. Importantly,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "score": 1.0, + "content": "the intuition developed with the SSR assists us in the design of a model-free deep RL algorithm", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 505, + 370 + ], + "score": 1.0, + "content": "that achieves performance similar to pseudo-count-based methods in hard exploration Atari 2600", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 369, + 324, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 324, + 380 + ], + "score": 1.0, + "content": "games (Bellemare et al., 2016; Ostrovski et al., 2017).", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 108, + 396, + 208, + 408 + ], + "lines": [ + { + "bbox": [ + 105, + 394, + 209, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 209, + 410 + ], + "score": 1.0, + "content": "2 PRELIMINARIES", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 420, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 105, + 420, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 434 + ], + "score": 1.0, + "content": "We consider an agent interacting with its environment in a sequential manner. Starting from a state", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 107, + 430, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 107, + 432, + 136, + 443 + ], + "score": 0.9, + "content": "S _ { 0 } \\in \\mathcal { S }", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 430, + 284, + 444 + ], + "score": 1.0, + "content": ", at each step the agent takes an action", + "type": "text" + }, + { + "bbox": [ + 285, + 432, + 316, + 443 + ], + "score": 0.92, + "content": "A _ { t } \\in \\mathcal A", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 430, + 505, + 444 + ], + "score": 1.0, + "content": ", to which the environment responds with a state", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 107, + 442, + 506, + 455 + ], + "spans": [ + { + "bbox": [ + 107, + 443, + 145, + 455 + ], + "score": 0.91, + "content": "S _ { t + 1 } \\in \\mathcal S", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 442, + 329, + 455 + ], + "score": 1.0, + "content": "according to a transition probability function", + "type": "text" + }, + { + "bbox": [ + 329, + 442, + 502, + 455 + ], + "score": 0.91, + "content": "p ( s ^ { \\prime } | s , a ) = \\operatorname* { P r } ( S _ { t + 1 } = s ^ { \\prime } \\bar { | } S _ { t } = s , A _ { t } = a )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 442, + 506, + 455 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 453, + 506, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 205, + 466 + ], + "score": 1.0, + "content": "and with a reward signal", + "type": "text" + }, + { + "bbox": [ + 205, + 454, + 246, + 465 + ], + "score": 0.91, + "content": "R _ { t + 1 } \\in \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 453, + 276, + 466 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 276, + 454, + 304, + 465 + ], + "score": 0.91, + "content": "r ( s , a )", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 453, + 506, + 466 + ], + "score": 1.0, + "content": "indicates the expected reward for a transition from", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 464, + 358, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 127, + 478 + ], + "score": 1.0, + "content": "state", + "type": "text" + }, + { + "bbox": [ + 127, + 467, + 133, + 474 + ], + "score": 0.73, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 464, + 186, + 478 + ], + "score": 1.0, + "content": "under action", + "type": "text" + }, + { + "bbox": [ + 187, + 467, + 193, + 474 + ], + "score": 0.72, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 464, + 226, + 478 + ], + "score": 1.0, + "content": ", that is,", + "type": "text" + }, + { + "bbox": [ + 226, + 465, + 355, + 477 + ], + "score": 0.91, + "content": "r ( s , a ) \\doteq \\mathbb { E } [ R _ { t } | S _ { t } = s , A _ { t } = a ]", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 464, + 358, + 478 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 106, + 480, + 506, + 533 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 193, + 495 + ], + "score": 1.0, + "content": "The value of a state", + "type": "text" + }, + { + "bbox": [ + 194, + 484, + 200, + 491 + ], + "score": 0.71, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 480, + 307, + 495 + ], + "score": 1.0, + "content": "when following a policy", + "type": "text" + }, + { + "bbox": [ + 308, + 484, + 315, + 491 + ], + "score": 0.38, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 480, + 319, + 495 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 320, + 481, + 343, + 493 + ], + "score": 0.64, + "content": "v _ { \\pi } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 480, + 506, + 495 + ], + "score": 1.0, + "content": ", is defined to be the expected sum of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 493, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 256, + 513 + ], + "score": 1.0, + "content": "discounted rewards from that state:", + "type": "text" + }, + { + "bbox": [ + 256, + 493, + 430, + 513 + ], + "score": 0.93, + "content": "\\begin{array} { r } { v _ { \\pi } ( s ) \\doteq \\mathbb { E } _ { \\pi } \\Big [ \\sum _ { k = t + 1 } ^ { T } \\gamma ^ { k - 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Reward", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 199, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 506, + 210 + ], + "score": 1.0, + "content": "bonuses that promote exploration are one alternative to random walks (e.g., Bellemare et al., 2016;", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 450, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 450, + 222 + ], + "score": 1.0, + "content": "Martin et al., 2017), but none such proposed solutions are widely adopted in the field.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 131, + 506, + 222 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 226, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 106, + 227, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 506, + 238 + ], + "score": 1.0, + "content": "In this paper we introduce an algorithm for exploration based on the successor representation (SR).", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 506, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 506, + 250 + ], + "score": 1.0, + "content": "The SR, originally introduced by Dayan (1993), is a representation that generalizes between states", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "using the similarity between their successors, i.e., the similarity between the states that follow the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 258, + 506, + 273 + ], + "spans": [ + { + "bbox": [ + 104, + 258, + 506, + 273 + ], + "score": 1.0, + "content": "current state given the environment’s dynamics and the agent’s policy. The SR is defined for any", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "score": 1.0, + "content": "problem, it can be learned through temporal-difference learning (Sutton, 1988) and, as we discuss", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "below, it can also be seen as implicitly estimating the transition dynamics of the environment. Our", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "score": 1.0, + "content": "approach is inspired by the substochastic successor representation (SSR), a concept we introduce", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 302, + 505, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 505, + 316 + ], + "score": 1.0, + "content": "here. The SSR is defined so that it implicitly counts state visitation, allowing us to use it to encourage", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 314, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 106, + 314, + 506, + 327 + ], + "score": 1.0, + "content": "exploration. 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We often use temporal-difference (TD) learning (Sutton, 1988) to update our estimates of", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 107, + 104, + 185, + 117 + ], + "spans": [ + { + "bbox": [ + 107, + 104, + 151, + 117 + ], + "score": 0.89, + "content": "v _ { \\pi } ( \\bar { s } ) , \\hat { v } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 104, + 185, + 117 + ], + "score": 1.0, + "content": ", online:", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "interline_equation", + "bbox": [ + 195, + 117, + 394, + 132 + ], + "lines": [ + { + "bbox": [ + 195, + 117, + 394, + 132 + ], + "spans": [ + { + "bbox": [ + 195, + 117, + 394, + 132 + ], + "score": 0.92, + "content": "\\hat { v } ( S _ { t } ) \\gets \\hat { v } ( S _ { t } ) + \\alpha \\big [ R _ { t + 1 } + \\gamma \\hat { v } ( S _ { t + 1 } ) - \\hat { v } ( S _ { t } ) \\big ] ,", + "type": "interline_equation", + "image_path": "d24ccac5c0147db6ad097cc1f02e3ce9f2cc7b4459f404faa249db0b3dc240c5.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 195, + 117, + 394, + 132 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 132, + 506, + 199 + ], + "lines": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 133, + 145 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 135, + 141, + 142 + ], + "score": 0.77, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "is the step-size parameter. Generalization is required in problems with large state spaces,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 142, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 142, + 465, + 156 + ], + "score": 1.0, + "content": "where it is unfeasible to learn an individual value for each state. We do so by parametrizing", + "type": "text" + }, + { + "bbox": [ + 465, + 144, + 484, + 155 + ], + "score": 0.92, + "content": "{ \\hat { v } } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 142, + 506, + 156 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 153, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 104, + 153, + 172, + 167 + ], + "score": 1.0, + "content": "a set of weights", + "type": "text" + }, + { + "bbox": [ + 172, + 155, + 178, + 164 + ], + "score": 0.77, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 153, + 298, + 167 + ], + "score": 1.0, + "content": ". We write, given the weights", + "type": "text" + }, + { + "bbox": [ + 299, + 155, + 305, + 164 + ], + "score": 0.49, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 153, + 307, + 167 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 308, + 154, + 372, + 166 + ], + "score": 0.9, + "content": "\\hat { v } ( s ; \\theta ) \\approx v _ { \\pi } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 153, + 391, + 167 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 392, + 154, + 474, + 166 + ], + "score": 0.93, + "content": "\\hat { q } ( \\dot { s } , \\bar { a } ; \\theta ) \\approx q _ { \\pi } ( \\bar { s , a } )", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 153, + 506, + 167 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 165, + 506, + 179 + ], + "spans": [ + { + "bbox": [ + 106, + 165, + 281, + 178 + ], + "score": 0.91, + "content": "\\begin{array} { r } { q _ { \\pi } ( s , a ) = r ( s , a ) + \\gamma \\sum _ { s ^ { \\prime } } p ( s ^ { \\prime } | s , a ) v _ { \\pi } ( s ^ { \\prime } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 165, + 506, + 179 + ], + "score": 1.0, + "content": ". Model-free methods have performed well in problems", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 175, + 507, + 190 + ], + "spans": [ + { + "bbox": [ + 104, + 175, + 507, + 190 + ], + "score": 1.0, + "content": "with large state spaces, mainly due to the use of neural networks as function approximators (e.g.,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 183, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 183, + 199 + ], + "score": 1.0, + "content": "Mnih et al., 2015).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 106, + 204, + 503, + 226 + ], + "lines": [ + { + "bbox": [ + 106, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "Our algorithm is based on the successor representation (SR; Dayan, 1993). The successor representa-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 216, + 303, + 227 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 222, + 227 + ], + "score": 1.0, + "content": "tion, with respect to a policy", + "type": "text" + }, + { + "bbox": [ + 223, + 218, + 229, + 225 + ], + "score": 0.56, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 216, + 233, + 227 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 234, + 216, + 247, + 226 + ], + "score": 0.69, + "content": "\\Psi _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 216, + 303, + 227 + ], + "score": 1.0, + "content": ", is defined as", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "interline_equation", + "bbox": [ + 212, + 227, + 398, + 260 + ], + "lines": [ + { + "bbox": [ + 212, + 227, + 398, + 260 + ], + "spans": [ + { + "bbox": [ + 212, + 227, + 398, + 260 + ], + "score": 0.94, + "content": "\\Psi _ { \\pi } ( s , s ^ { \\prime } ) = \\mathbb { E } _ { \\pi , p } \\Big [ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\mathbb { I } \\{ S _ { t } = s ^ { \\prime } \\} \\Big | S _ { 0 } = s \\Big ] ,", + "type": "interline_equation", + "image_path": "15dc1adcddf8f40e97e6644f49d2e6ee32ee47c0680d69312994a9e65c19f880.jpg" + } + ] + } + ], + "index": 12.5, + "virtual_lines": [ + { + "bbox": [ + 212, + 227, + 398, + 243.5 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 212, + 243.5, + 398, + 260.0 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 260, + 503, + 293 + ], + "lines": [ + { + "bbox": [ + 106, + 260, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 260, + 291, + 272 + ], + "score": 1.0, + "content": "where we assume the sum is convergent with", + "type": "text" + }, + { + "bbox": [ + 292, + 261, + 298, + 270 + ], + "score": 0.34, + "content": "\\mathbb { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 260, + 505, + 272 + ], + "score": 1.0, + "content": "denoting the indicator function. Dayan (1993) has", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 272, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 505, + 284 + ], + "score": 1.0, + "content": "shown that this expectation can be estimated from samples through TD learning. It also corresponds", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 282, + 228, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 208, + 294 + ], + "score": 1.0, + "content": "to the Neumann series of", + "type": "text" + }, + { + "bbox": [ + 209, + 283, + 223, + 294 + ], + "score": 0.89, + "content": "\\gamma P", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 282, + 228, + 294 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15 + }, + { + "type": "interline_equation", + "bbox": [ + 222, + 294, + 369, + 326 + ], + "lines": [ + { + "bbox": [ + 222, + 294, + 369, + 326 + ], + "spans": [ + { + "bbox": [ + 222, + 294, + 369, + 326 + ], + "score": 0.94, + "content": "\\Psi _ { \\pi } = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } ( P _ { \\pi } ) ^ { t } = ( I - \\gamma P _ { \\pi } ) ^ { - 1 } .", + "type": "interline_equation", + "image_path": "dd304161ae78a40ee1eca89a344917df6d9d71c206502faccf5ca5938178fa10.jpg" + } + ] + } + ], + "index": 17.5, + "virtual_lines": [ + { + "bbox": [ + 222, + 294, + 369, + 310.0 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 222, + 310.0, + 369, + 326.0 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 327, + 504, + 352 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 406, + 340 + ], + "score": 1.0, + "content": "Notice that the SR is part of the solution when computing a value function:", + "type": "text" + }, + { + "bbox": [ + 407, + 327, + 451, + 338 + ], + "score": 0.91, + "content": "\\mathbf { v } _ { \\pi } = \\Psi _ { \\pi } \\mathbf { r }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 325, + 506, + 340 + ], + "score": 1.0, + "content": "(Equation 1).", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 337, + 416, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 137, + 353 + ], + "score": 1.0, + "content": "We use", + "type": "text" + }, + { + "bbox": [ + 137, + 338, + 151, + 351 + ], + "score": 0.9, + "content": "\\hat { \\Psi } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 337, + 297, + 353 + ], + "score": 1.0, + "content": "to denote the SR computed through", + "type": "text" + }, + { + "bbox": [ + 297, + 338, + 309, + 351 + ], + "score": 0.89, + "content": "\\hat { P } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 337, + 399, + 353 + ], + "score": 1.0, + "content": ", the approximation of", + "type": "text" + }, + { + "bbox": [ + 400, + 340, + 412, + 351 + ], + "score": 0.9, + "content": "P _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 337, + 416, + 353 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 106, + 356, + 506, + 390 + ], + "lines": [ + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "The definition of the SR can also be extended to features. Successor features generalize the SR to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "function approximation setting (Barreto et al., 2017). We use the definition for the uncontrolled case", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 378, + 453, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 453, + 392 + ], + "score": 1.0, + "content": "in this paper. Importantly, the successor features can also be learned with TD learning.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 504, + 414 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 297, + 406 + ], + "score": 1.0, + "content": "Definition 2.1 (Successor Features). For a given", + "type": "text" + }, + { + "bbox": [ + 298, + 392, + 340, + 403 + ], + "score": 0.89, + "content": "0 \\leq \\gamma < 1", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 390, + 370, + 406 + ], + "score": 1.0, + "content": ", policy", + "type": "text" + }, + { + "bbox": [ + 370, + 394, + 377, + 402 + ], + "score": 0.69, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 390, + 505, + 406 + ], + "score": 1.0, + "content": ", and for a feature representation", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 401, + 314, + 416 + ], + "spans": [ + { + "bbox": [ + 107, + 402, + 151, + 415 + ], + "score": 0.92, + "content": "\\phi ( s ) \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 401, + 314, + 416 + ], + "score": 1.0, + "content": ", the successor features for a state s are:", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5 + }, + { + "type": "interline_equation", + "bbox": [ + 227, + 415, + 384, + 449 + ], + "lines": [ + { + "bbox": [ + 227, + 415, + 384, + 449 + ], + "spans": [ + { + "bbox": [ + 227, + 415, + 384, + 449 + ], + "score": 0.94, + "content": "\\psi _ { \\pi } ( s ) = \\mathbb { E } _ { \\pi , p } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\phi ( S _ { t } ) \\Bigg | S _ { 0 } = s \\right] .", + "type": "interline_equation", + "image_path": "518f7be9be65a0c7e2276b84772286709964d7de559e6dfb974ac3867e7d4318.jpg" + } + ] + } + ], + "index": 26.5, + "virtual_lines": [ + { + "bbox": [ + 227, + 415, + 384, + 432.0 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 227, + 432.0, + 384, + 449.0 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 460, + 504, + 484 + ], + "lines": [ + { + "bbox": [ + 103, + 455, + 508, + 479 + ], + "spans": [ + { + "bbox": [ + 103, + 455, + 228, + 479 + ], + "score": 1.0, + "content": "Alternatively, in matrix form,", + "type": "text" + }, + { + "bbox": [ + 228, + 460, + 395, + 473 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\Psi _ { \\pi } = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } ( P _ { \\pi } ) ^ { t } \\Phi = ( I - \\gamma P _ { \\pi } ) ^ { - 1 } \\Phi } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 455, + 508, + 479 + ], + "score": 1.0, + "content": ". Notice that this definition", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 472, + 314, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 283, + 484 + ], + "score": 1.0, + "content": "reduces to the SR in the tabular case, where", + "type": "text" + }, + { + "bbox": [ + 283, + 473, + 309, + 482 + ], + "score": 0.87, + "content": "\\Phi = I", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 472, + 314, + 484 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 107, + 498, + 397, + 512 + ], + "lines": [ + { + "bbox": [ + 104, + 497, + 398, + 514 + ], + "spans": [ + { + "bbox": [ + 104, + 497, + 398, + 514 + ], + "score": 1.0, + "content": "3 THE SUBSTOCHASTIC SUCCESSOR REPRESENTATION", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 523, + 506, + 568 + ], + "lines": [ + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "score": 1.0, + "content": "In this section we introduce the concept of the substochastic successor representation (SSR). The SSR", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 534, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 546 + ], + "score": 1.0, + "content": "is derived from an empirical transition matrix similar to Equation 2, but where each state incorporates", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 545, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 138, + 557 + ], + "score": 1.0, + "content": "a small", + "type": "text" + }, + { + "bbox": [ + 138, + 545, + 198, + 557 + ], + "score": 0.89, + "content": "( 1 / ( n ( s ) + 1 { \\bar { ) } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 546, + 506, + 557 + ], + "score": 1.0, + "content": "probability of terminating at that state, rather than transiting to a next state.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 556, + 501, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 302, + 568 + ], + "score": 1.0, + "content": "As we will show, we can recover the visit counts", + "type": "text" + }, + { + "bbox": [ + 303, + 556, + 322, + 568 + ], + "score": 0.91, + "content": "n ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 556, + 501, + 568 + ], + "score": 1.0, + "content": "through algebraic manipulation on the SSR.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 106, + 572, + 506, + 650 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "score": 1.0, + "content": "While computing the SSR is usually impractical, we use it as inspiration in the design of a new", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "score": 1.0, + "content": "deep reinforcement learning algorithm for exploration (Section 4). In a nutshell, we view the SSR", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 594, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 104, + 594, + 506, + 608 + ], + "score": 1.0, + "content": "as approximating the process of learning the SR from an uninformative initialization (i.e., the zero", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 606, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 618 + ], + "score": 1.0, + "content": "vector), and using a stochastic update rule. While this approximation is relatively coarse, we believe", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 616, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 616, + 506, + 630 + ], + "score": 1.0, + "content": "it gives qualitative justification to our use of the learned SR to guide exploration. To further this claim,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 628, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "we demonstrate that using the SSR in synthetic, tabular settings yields comparable performance to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 640, + 315, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 315, + 650 + ], + "score": 1.0, + "content": "that of theoretically-derived exploration algorithms.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 106, + 653, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 106, + 651, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 106, + 653, + 359, + 665 + ], + "score": 1.0, + "content": "Definition 3.1 (Substochastic Successor Representation). Let", + "type": "text" + }, + { + "bbox": [ + 360, + 651, + 372, + 664 + ], + "score": 0.9, + "content": "\\tilde { P _ { \\pi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 653, + 505, + 665 + ], + "score": 1.0, + "content": "denote the substochastic matrix", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 663, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 663, + 331, + 683 + ], + "score": 1.0, + "content": "induced by the environment’s dynamics and by the policy", + "type": "text" + }, + { + "bbox": [ + 332, + 669, + 339, + 677 + ], + "score": 0.64, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 663, + 378, + 683 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 378, + 664, + 455, + 682 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\tilde { P } _ { \\pi } ( s ^ { \\prime } | s ) = \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) + 1 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 663, + 506, + 683 + ], + "score": 1.0, + "content": ". 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We often use temporal-difference (TD) learning (Sutton, 1988) to update our estimates of", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 107, + 104, + 185, + 117 + ], + "spans": [ + { + "bbox": [ + 107, + 104, + 151, + 117 + ], + "score": 0.89, + "content": "v _ { \\pi } ( \\bar { s } ) , \\hat { v } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 104, + 185, + 117 + ], + "score": 1.0, + "content": ", online:", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1, + "bbox_fs": [ + 105, + 82, + 505, + 117 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 195, + 117, + 394, + 132 + ], + "lines": [ + { + "bbox": [ + 195, + 117, + 394, + 132 + ], + "spans": [ + { + "bbox": [ + 195, + 117, + 394, + 132 + ], + "score": 0.92, + "content": "\\hat { v } ( S _ { t } ) \\gets \\hat { v } ( S _ { t } ) + \\alpha \\big [ R _ { t + 1 } + \\gamma \\hat { v } ( S _ { t + 1 } ) - \\hat { v } ( S _ { t } ) \\big ] ,", + "type": "interline_equation", + "image_path": "d24ccac5c0147db6ad097cc1f02e3ce9f2cc7b4459f404faa249db0b3dc240c5.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 195, + 117, + 394, + 132 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 132, + 506, + 199 + ], + "lines": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 133, + 145 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 135, + 141, + 142 + ], + "score": 0.77, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "is the step-size parameter. Generalization is required in problems with large state spaces,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 142, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 142, + 465, + 156 + ], + "score": 1.0, + "content": "where it is unfeasible to learn an individual value for each state. We do so by parametrizing", + "type": "text" + }, + { + "bbox": [ + 465, + 144, + 484, + 155 + ], + "score": 0.92, + "content": "{ \\hat { v } } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 142, + 506, + 156 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 153, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 104, + 153, + 172, + 167 + ], + "score": 1.0, + "content": "a set of weights", + "type": "text" + }, + { + "bbox": [ + 172, + 155, + 178, + 164 + ], + "score": 0.77, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 153, + 298, + 167 + ], + "score": 1.0, + "content": ". We write, given the weights", + "type": "text" + }, + { + "bbox": [ + 299, + 155, + 305, + 164 + ], + "score": 0.49, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 153, + 307, + 167 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 308, + 154, + 372, + 166 + ], + "score": 0.9, + "content": "\\hat { v } ( s ; \\theta ) \\approx v _ { \\pi } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 153, + 391, + 167 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 392, + 154, + 474, + 166 + ], + "score": 0.93, + "content": "\\hat { q } ( \\dot { s } , \\bar { a } ; \\theta ) \\approx q _ { \\pi } ( \\bar { s , a } )", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 153, + 506, + 167 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 165, + 506, + 179 + ], + "spans": [ + { + "bbox": [ + 106, + 165, + 281, + 178 + ], + "score": 0.91, + "content": "\\begin{array} { r } { q _ { \\pi } ( s , a ) = r ( s , a ) + \\gamma \\sum _ { s ^ { \\prime } } p ( s ^ { \\prime } | s , a ) v _ { \\pi } ( s ^ { \\prime } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 165, + 506, + 179 + ], + "score": 1.0, + "content": ". Model-free methods have performed well in problems", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 175, + 507, + 190 + ], + "spans": [ + { + "bbox": [ + 104, + 175, + 507, + 190 + ], + "score": 1.0, + "content": "with large state spaces, mainly due to the use of neural networks as function approximators (e.g.,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 183, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 183, + 199 + ], + "score": 1.0, + "content": "Mnih et al., 2015).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5, + "bbox_fs": [ + 104, + 132, + 507, + 199 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 204, + 503, + 226 + ], + "lines": [ + { + "bbox": [ + 106, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "Our algorithm is based on the successor representation (SR; Dayan, 1993). The successor representa-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 216, + 303, + 227 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 222, + 227 + ], + "score": 1.0, + "content": "tion, with respect to a policy", + "type": "text" + }, + { + "bbox": [ + 223, + 218, + 229, + 225 + ], + "score": 0.56, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 216, + 233, + 227 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 234, + 216, + 247, + 226 + ], + "score": 0.69, + "content": "\\Psi _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 216, + 303, + 227 + ], + "score": 1.0, + "content": ", is defined as", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 106, + 204, + 505, + 227 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 212, + 227, + 398, + 260 + ], + "lines": [ + { + "bbox": [ + 212, + 227, + 398, + 260 + ], + "spans": [ + { + "bbox": [ + 212, + 227, + 398, + 260 + ], + "score": 0.94, + "content": "\\Psi _ { \\pi } ( s , s ^ { \\prime } ) = \\mathbb { E } _ { \\pi , p } \\Big [ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\mathbb { I } \\{ S _ { t } = s ^ { \\prime } \\} \\Big | S _ { 0 } = s \\Big ] ,", + "type": "interline_equation", + "image_path": "15dc1adcddf8f40e97e6644f49d2e6ee32ee47c0680d69312994a9e65c19f880.jpg" + } + ] + } + ], + "index": 12.5, + "virtual_lines": [ + { + "bbox": [ + 212, + 227, + 398, + 243.5 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 212, + 243.5, + 398, + 260.0 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 260, + 503, + 293 + ], + "lines": [ + { + "bbox": [ + 106, + 260, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 260, + 291, + 272 + ], + "score": 1.0, + "content": "where we assume the sum is convergent with", + "type": "text" + }, + { + "bbox": [ + 292, + 261, + 298, + 270 + ], + "score": 0.34, + "content": "\\mathbb { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 260, + 505, + 272 + ], + "score": 1.0, + "content": "denoting the indicator function. Dayan (1993) has", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 272, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 505, + 284 + ], + "score": 1.0, + "content": "shown that this expectation can be estimated from samples through TD learning. It also corresponds", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 282, + 228, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 208, + 294 + ], + "score": 1.0, + "content": "to the Neumann series of", + "type": "text" + }, + { + "bbox": [ + 209, + 283, + 223, + 294 + ], + "score": 0.89, + "content": "\\gamma P", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 282, + 228, + 294 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15, + "bbox_fs": [ + 106, + 260, + 505, + 294 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 222, + 294, + 369, + 326 + ], + "lines": [ + { + "bbox": [ + 222, + 294, + 369, + 326 + ], + "spans": [ + { + "bbox": [ + 222, + 294, + 369, + 326 + ], + "score": 0.94, + "content": "\\Psi _ { \\pi } = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } ( P _ { \\pi } ) ^ { t } = ( I - \\gamma P _ { \\pi } ) ^ { - 1 } .", + "type": "interline_equation", + "image_path": "dd304161ae78a40ee1eca89a344917df6d9d71c206502faccf5ca5938178fa10.jpg" + } + ] + } + ], + "index": 17.5, + "virtual_lines": [ + { + "bbox": [ + 222, + 294, + 369, + 310.0 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 222, + 310.0, + 369, + 326.0 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "list", + "bbox": [ + 106, + 327, + 504, + 352 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 406, + 340 + ], + "score": 1.0, + "content": "Notice that the SR is part of the solution when computing a value function:", + "type": "text" + }, + { + "bbox": [ + 407, + 327, + 451, + 338 + ], + "score": 0.91, + "content": "\\mathbf { v } _ { \\pi } = \\Psi _ { \\pi } \\mathbf { r }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 325, + 506, + 340 + ], + "score": 1.0, + "content": "(Equation 1).", + "type": "text" + } + ], + "index": 19, + "is_list_end_line": true + }, + { + "bbox": [ + 105, + 337, + 416, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 137, + 353 + ], + "score": 1.0, + "content": "We use", + "type": "text" + }, + { + "bbox": [ + 137, + 338, + 151, + 351 + ], + "score": 0.9, + "content": "\\hat { \\Psi } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 337, + 297, + 353 + ], + "score": 1.0, + "content": "to denote the SR computed through", + "type": "text" + }, + { + "bbox": [ + 297, + 338, + 309, + 351 + ], + "score": 0.89, + "content": "\\hat { P } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 337, + 399, + 353 + ], + "score": 1.0, + "content": ", the approximation of", + "type": "text" + }, + { + "bbox": [ + 400, + 340, + 412, + 351 + ], + "score": 0.9, + "content": "P _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 337, + 416, + 353 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 20, + "is_list_start_line": true, + "is_list_end_line": true + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 325, + 506, + 353 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 356, + 506, + 390 + ], + "lines": [ + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "The definition of the SR can also be extended to features. Successor features generalize the SR to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "function approximation setting (Barreto et al., 2017). We use the definition for the uncontrolled case", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 378, + 453, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 453, + 392 + ], + "score": 1.0, + "content": "in this paper. Importantly, the successor features can also be learned with TD learning.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 356, + 505, + 392 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 504, + 414 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 297, + 406 + ], + "score": 1.0, + "content": "Definition 2.1 (Successor Features). For a given", + "type": "text" + }, + { + "bbox": [ + 298, + 392, + 340, + 403 + ], + "score": 0.89, + "content": "0 \\leq \\gamma < 1", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 390, + 370, + 406 + ], + "score": 1.0, + "content": ", policy", + "type": "text" + }, + { + "bbox": [ + 370, + 394, + 377, + 402 + ], + "score": 0.69, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 390, + 505, + 406 + ], + "score": 1.0, + "content": ", and for a feature representation", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 401, + 314, + 416 + ], + "spans": [ + { + "bbox": [ + 107, + 402, + 151, + 415 + ], + "score": 0.92, + "content": "\\phi ( s ) \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 401, + 314, + 416 + ], + "score": 1.0, + "content": ", the successor features for a state s are:", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 390, + 505, + 416 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 227, + 415, + 384, + 449 + ], + "lines": [ + { + "bbox": [ + 227, + 415, + 384, + 449 + ], + "spans": [ + { + "bbox": [ + 227, + 415, + 384, + 449 + ], + "score": 0.94, + "content": "\\psi _ { \\pi } ( s ) = \\mathbb { E } _ { \\pi , p } \\left[ \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\phi ( S _ { t } ) \\Bigg | S _ { 0 } = s \\right] .", + "type": "interline_equation", + "image_path": "518f7be9be65a0c7e2276b84772286709964d7de559e6dfb974ac3867e7d4318.jpg" + } + ] + } + ], + "index": 26.5, + "virtual_lines": [ + { + "bbox": [ + 227, + 415, + 384, + 432.0 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 227, + 432.0, + 384, + 449.0 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 460, + 504, + 484 + ], + "lines": [ + { + "bbox": [ + 103, + 455, + 508, + 479 + ], + "spans": [ + { + "bbox": [ + 103, + 455, + 228, + 479 + ], + "score": 1.0, + "content": "Alternatively, in matrix form,", + "type": "text" + }, + { + "bbox": [ + 228, + 460, + 395, + 473 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\Psi _ { \\pi } = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } ( P _ { \\pi } ) ^ { t } \\Phi = ( I - \\gamma P _ { \\pi } ) ^ { - 1 } \\Phi } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 455, + 508, + 479 + ], + "score": 1.0, + "content": ". Notice that this definition", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 472, + 314, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 283, + 484 + ], + "score": 1.0, + "content": "reduces to the SR in the tabular case, where", + "type": "text" + }, + { + "bbox": [ + 283, + 473, + 309, + 482 + ], + "score": 0.87, + "content": "\\Phi = I", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 472, + 314, + 484 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5, + "bbox_fs": [ + 103, + 455, + 508, + 484 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 498, + 397, + 512 + ], + "lines": [ + { + "bbox": [ + 104, + 497, + 398, + 514 + ], + "spans": [ + { + "bbox": [ + 104, + 497, + 398, + 514 + ], + "score": 1.0, + "content": "3 THE SUBSTOCHASTIC SUCCESSOR REPRESENTATION", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 523, + 506, + 568 + ], + "lines": [ + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "score": 1.0, + "content": "In this section we introduce the concept of the substochastic successor representation (SSR). The SSR", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 534, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 546 + ], + "score": 1.0, + "content": "is derived from an empirical transition matrix similar to Equation 2, but where each state incorporates", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 545, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 138, + 557 + ], + "score": 1.0, + "content": "a small", + "type": "text" + }, + { + "bbox": [ + 138, + 545, + 198, + 557 + ], + "score": 0.89, + "content": "( 1 / ( n ( s ) + 1 { \\bar { ) } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 546, + 506, + 557 + ], + "score": 1.0, + "content": "probability of terminating at that state, rather than transiting to a next state.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 556, + 501, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 302, + 568 + ], + "score": 1.0, + "content": "As we will show, we can recover the visit counts", + "type": "text" + }, + { + "bbox": [ + 303, + 556, + 322, + 568 + ], + "score": 0.91, + "content": "n ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 556, + 501, + 568 + ], + "score": 1.0, + "content": "through algebraic manipulation on the SSR.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 523, + 506, + 568 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 572, + 506, + 650 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "score": 1.0, + "content": "While computing the SSR is usually impractical, we use it as inspiration in the design of a new", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "score": 1.0, + "content": "deep reinforcement learning algorithm for exploration (Section 4). In a nutshell, we view the SSR", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 594, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 104, + 594, + 506, + 608 + ], + "score": 1.0, + "content": "as approximating the process of learning the SR from an uninformative initialization (i.e., the zero", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 606, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 618 + ], + "score": 1.0, + "content": "vector), and using a stochastic update rule. While this approximation is relatively coarse, we believe", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 616, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 616, + 506, + 630 + ], + "score": 1.0, + "content": "it gives qualitative justification to our use of the learned SR to guide exploration. To further this claim,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 628, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "we demonstrate that using the SSR in synthetic, tabular settings yields comparable performance to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 640, + 315, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 315, + 650 + ], + "score": 1.0, + "content": "that of theoretically-derived exploration algorithms.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38, + "bbox_fs": [ + 104, + 573, + 506, + 650 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 653, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 106, + 651, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 106, + 653, + 359, + 665 + ], + "score": 1.0, + "content": "Definition 3.1 (Substochastic Successor Representation). Let", + "type": "text" + }, + { + "bbox": [ + 360, + 651, + 372, + 664 + ], + "score": 0.9, + "content": "\\tilde { P _ { \\pi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 653, + 505, + 665 + ], + "score": 1.0, + "content": "denote the substochastic matrix", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 663, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 663, + 331, + 683 + ], + "score": 1.0, + "content": "induced by the environment’s dynamics and by the policy", + "type": "text" + }, + { + "bbox": [ + 332, + 669, + 339, + 677 + ], + "score": 0.64, + "content": "\\pi", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 663, + 378, + 683 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 378, + 664, + 455, + 682 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\tilde { P } _ { \\pi } ( s ^ { \\prime } | s ) = \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) + 1 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 663, + 506, + 683 + ], + "score": 1.0, + "content": ". For a given", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 107, + 681, + 401, + 695 + ], + "spans": [ + { + "bbox": [ + 107, + 682, + 149, + 694 + ], + "score": 0.9, + "content": "0 \\leq \\gamma < 1", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 681, + 328, + 695 + ], + "score": 1.0, + "content": ", the substochastic successor representation,", + "type": "text" + }, + { + "bbox": [ + 328, + 681, + 342, + 694 + ], + "score": 0.89, + "content": "\\tilde { \\Psi } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 681, + 401, + 695 + ], + "score": 1.0, + "content": ", is defined as:", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43, + "bbox_fs": [ + 106, + 651, + 506, + 695 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 236, + 695, + 374, + 727 + ], + "lines": [ + { + "bbox": [ + 236, + 695, + 374, + 727 + ], + "spans": [ + { + "bbox": [ + 236, + 695, + 374, + 727 + ], + "score": 0.94, + "content": "\\tilde { \\Psi } _ { \\pi } = \\sum _ { t = 0 } ^ { \\infty } \\gamma ^ { t } \\tilde { P _ { \\pi } } ^ { t } = ( I - \\gamma \\tilde { P _ { \\pi } } ) ^ { - 1 } .", + "type": "interline_equation", + "image_path": "18e8c30ed0ec83cf54285117b5af472ba2d6eb25775712948f4ebc19f8d6115e.jpg" + } + ] + } + ], + "index": 45.5, + "virtual_lines": [ + { + "bbox": [ + 236, + 695, + 374, + 711.0 + ], + "spans": [], + "index": 45 + }, + { + "bbox": [ + 236, + 711.0, + 374, + 727.0 + ], + "spans": [], + "index": 46 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 81, + 505, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 507, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 295, + 96 + ], + "score": 1.0, + "content": "The theorem below formalizes the idea that the", + "type": "text" + }, + { + "bbox": [ + 295, + 83, + 305, + 93 + ], + "score": 0.87, + "content": "\\ell _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 81, + 507, + 96 + ], + "score": 1.0, + "content": "norm of the SSR implicitly counts state visitation.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 98, + 505, + 124 + ], + "lines": [ + { + "bbox": [ + 105, + 97, + 505, + 112 + ], + "spans": [ + { + "bbox": [ + 105, + 97, + 177, + 112 + ], + "score": 1.0, + "content": "Theorem 1. Let", + "type": "text" + }, + { + "bbox": [ + 177, + 99, + 197, + 110 + ], + "score": 0.89, + "content": "n ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 97, + 430, + 112 + ], + "score": 1.0, + "content": "denote the number of times state s has been visited and let", + "type": "text" + }, + { + "bbox": [ + 430, + 98, + 505, + 111 + ], + "score": 0.91, + "content": "\\chi ( s ) = ( 1 + \\gamma ) -", + "type": "inline_equation" + } + ], + "index": 1 + }, + { + "bbox": [ + 107, + 110, + 465, + 124 + ], + "spans": [ + { + "bbox": [ + 107, + 110, + 149, + 124 + ], + "score": 0.92, + "content": "| | \\tilde { \\Psi } _ { \\pi } ( s ) | | _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 110, + 179, + 124 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 179, + 110, + 193, + 122 + ], + "score": 0.9, + "content": "\\tilde { \\Psi } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 110, + 274, + 124 + ], + "score": 1.0, + "content": "is the substochastic", + "type": "text" + }, + { + "bbox": [ + 275, + 111, + 287, + 121 + ], + "score": 0.41, + "content": "S R", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 110, + 418, + 124 + ], + "score": 1.0, + "content": "as in Definition 3.1. For a given", + "type": "text" + }, + { + "bbox": [ + 418, + 112, + 461, + 123 + ], + "score": 0.91, + "content": "0 \\leq \\gamma < 1", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 110, + 465, + 124 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5 + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 130, + 376, + 159 + ], + "lines": [ + { + "bbox": [ + 215, + 130, + 376, + 159 + ], + "spans": [ + { + "bbox": [ + 215, + 130, + 376, + 159 + ], + "score": 0.94, + "content": "\\frac { \\gamma } { n ( s ) + 1 } - \\frac { \\gamma ^ { 2 } } { 1 - \\gamma } \\leq \\chi ( s ) \\leq \\frac { \\gamma } { n ( s ) + 1 }", + "type": "interline_equation", + "image_path": "9db3a09270e1ee7748f875502cc4869cbfc8bf86deaea7e207689299f65a3508.jpg" + } + ] + } + ], + "index": 3.5, + "virtual_lines": [ + { + "bbox": [ + 215, + 130, + 376, + 144.5 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 215, + 144.5, + 376, + 159.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 178, + 500, + 191 + ], + "lines": [ + { + "bbox": [ + 105, + 175, + 501, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 179, + 193 + ], + "score": 1.0, + "content": "Proof of Theorem", + "type": "text" + }, + { + "bbox": [ + 180, + 180, + 185, + 189 + ], + "score": 0.52, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 175, + 207, + 193 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 208, + 178, + 220, + 190 + ], + "score": 0.91, + "content": "\\hat { P } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 175, + 424, + 193 + ], + "score": 1.0, + "content": "be the empirical transition matrix. We first rewrite", + "type": "text" + }, + { + "bbox": [ + 424, + 178, + 437, + 190 + ], + "score": 0.9, + "content": "\\tilde { P _ { \\pi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 175, + 484, + 193 + ], + "score": 1.0, + "content": "in terms of", + "type": "text" + }, + { + "bbox": [ + 484, + 178, + 497, + 190 + ], + "score": 0.9, + "content": "\\hat { P _ { \\pi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 497, + 175, + 501, + 193 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "interline_equation", + "bbox": [ + 115, + 198, + 495, + 226 + ], + "lines": [ + { + "bbox": [ + 115, + 198, + 495, + 226 + ], + "spans": [ + { + "bbox": [ + 115, + 198, + 495, + 226 + ], + "score": 0.93, + "content": "\\tilde { P _ { \\pi } } ( s , s ^ { \\prime } ) = \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) + 1 } = \\frac { n ( s ) } { n ( s ) + 1 } \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) } = \\frac { n ( s ) } { n ( s ) + 1 } \\hat { P _ { \\pi } } ( s , s ^ { \\prime } ) = \\Big ( 1 - \\frac { 1 } { n ( s ) + 1 } \\Big ) \\hat { P _ { \\pi } } ( s , s ^ { \\prime } ) .", + "type": "interline_equation", + "image_path": "286328f00678c0663ca421a47ef5384c31a48b08747b8d59c7c2901770b46e0b.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 115, + 198, + 495, + 226 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 239, + 504, + 266 + ], + "lines": [ + { + "bbox": [ + 104, + 239, + 504, + 254 + ], + "spans": [ + { + "bbox": [ + 104, + 239, + 343, + 254 + ], + "score": 1.0, + "content": "The expression above can also be written in matrix form:", + "type": "text" + }, + { + "bbox": [ + 343, + 240, + 416, + 253 + ], + "score": 0.93, + "content": "{ \\tilde { P } } _ { \\pi } = ( I - N ) { \\hat { P } } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 239, + 448, + 254 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 448, + 240, + 504, + 252 + ], + "score": 0.91, + "content": "N \\in \\mathbb { R } ^ { | \\mathcal { S } | \\times | \\mathcal { S } | }", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 253, + 437, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 384, + 266 + ], + "score": 1.0, + "content": "denotes the diagonal matrix of augmented inverse counts. Expanding", + "type": "text" + }, + { + "bbox": [ + 385, + 253, + 398, + 265 + ], + "score": 0.89, + "content": "\\tilde { \\Psi } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 253, + 437, + 266 + ], + "score": 1.0, + "content": "we have:", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 273, + 435, + 306 + ], + "lines": [ + { + "bbox": [ + 156, + 273, + 435, + 306 + ], + "spans": [ + { + "bbox": [ + 156, + 273, + 435, + 306 + ], + "score": 0.94, + "content": "\\tilde { \\Psi } _ { \\pi } = \\sum _ { t = 0 } ^ { \\gamma } ( \\gamma \\tilde { P _ { \\pi } } ) ^ { t } = I + \\gamma \\tilde { P _ { \\pi } } + \\sum _ { t = 2 } ^ { \\infty } ( \\gamma \\tilde { P _ { \\pi } } ) ^ { t } = I + \\gamma \\tilde { P _ { \\pi } } + \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } .", + "type": "interline_equation", + "image_path": "f6c90a40823122785dfe8b4e1b102ebeec0ec8bddaea3700aa201f4bd6f204ce.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 156, + 273, + 435, + 284.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 156, + 284.0, + 435, + 295.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 156, + 295.0, + 435, + 306.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 318, + 506, + 344 + ], + "lines": [ + { + "bbox": [ + 106, + 318, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 505, + 330 + ], + "score": 1.0, + "content": "The top eigenvector of a stochastic matrix is the all-ones vector, e (Meyn & Tweedie, 2012), and it", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 330, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 379, + 344 + ], + "score": 1.0, + "content": "corresponds to the eigenvalue 1. Using this fact and the definition of", + "type": "text" + }, + { + "bbox": [ + 380, + 330, + 392, + 343 + ], + "score": 0.91, + "content": "\\tilde { P _ { \\pi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 331, + 454, + 344 + ], + "score": 1.0, + "content": "with respect to", + "type": "text" + }, + { + "bbox": [ + 455, + 330, + 467, + 343 + ], + "score": 0.9, + "content": "\\hat { P } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 331, + 506, + 344 + ], + "score": 1.0, + "content": "we have:", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12.5 + }, + { + "type": "interline_equation", + "bbox": [ + 167, + 350, + 444, + 388 + ], + "lines": [ + { + "bbox": [ + 167, + 350, + 444, + 388 + ], + "spans": [ + { + "bbox": [ + 167, + 350, + 444, + 388 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } { ( I + \\gamma \\tilde { P _ { \\pi } } ) \\mathbf { e } + \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } } & { = } & { \\bigl ( I + \\gamma ( I - N ) \\hat { P _ { \\pi } } \\bigr ) \\mathbf { e } + \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } } \\\\ & { = } & { ( I + \\gamma ) \\mathbf { e } - \\gamma N \\mathbf { e } + \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } . } \\end{array}", + "type": "interline_equation", + "image_path": "061bd8d1a384099d358ae1573ac39db89a41c8c033a0514cf718e608ba8aee28.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 167, + 350, + 444, + 362.6666666666667 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 167, + 362.6666666666667, + 444, + 375.33333333333337 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 167, + 375.33333333333337, + 444, + 388.00000000000006 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 400, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 399, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 228, + 417 + ], + "score": 1.0, + "content": "We can now bound the term", + "type": "text" + }, + { + "bbox": [ + 228, + 400, + 275, + 416 + ], + "score": 0.92, + "content": "\\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 399, + 356, + 417 + ], + "score": 1.0, + "content": "using the fact that", + "type": "text" + }, + { + "bbox": [ + 356, + 406, + 363, + 414 + ], + "score": 0.68, + "content": "\\mathbf { e }", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 399, + 506, + 417 + ], + "score": 1.0, + "content": "is also the top eigenvector of the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 412, + 406, + 429 + ], + "spans": [ + { + "bbox": [ + 104, + 412, + 284, + 429 + ], + "score": 1.0, + "content": "successor representation and has eigenvalue", + "type": "text" + }, + { + "bbox": [ + 284, + 414, + 302, + 429 + ], + "score": 0.92, + "content": "\\frac { 1 ^ { - } } { 1 - \\gamma }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 412, + 406, + 429 + ], + "score": 1.0, + "content": "(Machado et al., 2018b):", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5 + }, + { + "type": "interline_equation", + "bbox": [ + 239, + 436, + 352, + 464 + ], + "lines": [ + { + "bbox": [ + 239, + 436, + 352, + 464 + ], + "spans": [ + { + "bbox": [ + 239, + 436, + 352, + 464 + ], + "score": 0.93, + "content": "0 \\leq \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } { \\bf e } \\leq \\frac { \\gamma ^ { 2 } } { 1 - \\gamma } { \\bf e } .", + "type": "interline_equation", + "image_path": "8b19b9200c0b0a39c5813ca8095f76fc46a45426ff7095f9b8b4bb3b1ee87de2.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 239, + 436, + 352, + 464 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 477, + 417, + 490 + ], + "lines": [ + { + "bbox": [ + 106, + 476, + 418, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 243, + 491 + ], + "score": 1.0, + "content": "Plugging (5) into the definition of", + "type": "text" + }, + { + "bbox": [ + 243, + 479, + 251, + 489 + ], + "score": 0.82, + "content": "\\chi", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 476, + 335, + 491 + ], + "score": 1.0, + "content": "we have (notice that", + "type": "text" + }, + { + "bbox": [ + 335, + 477, + 413, + 490 + ], + "score": 0.9, + "content": "\\Psi ( s ) \\mathbf { e } = | | \\Psi ( s ) | | _ { 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 476, + 418, + 491 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "interline_equation", + "bbox": [ + 120, + 496, + 470, + 514 + ], + "lines": [ + { + "bbox": [ + 120, + 496, + 470, + 514 + ], + "spans": [ + { + "bbox": [ + 120, + 496, + 470, + 514 + ], + "score": 0.9, + "content": "\\chi ( s ) = ( 1 + \\gamma ) \\mathbf { e } - ( 1 + \\gamma ) \\mathbf { e } + \\gamma N \\mathbf { e } - \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } \\ = \\ \\gamma N \\mathbf { e } - \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } \\ \\leq \\ \\gamma N \\mathbf { e } .", + "type": "interline_equation", + "image_path": "f8dbfead3adb1a25a3854c792ecb15ae63e6e9619af25fc5af4a5ba36d5f24db.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 120, + 496, + 470, + 514 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 527, + 467, + 540 + ], + "lines": [ + { + "bbox": [ + 105, + 525, + 468, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 457, + 541 + ], + "score": 1.0, + "content": "When we also use the other bound on the quadratic term we conclude that, for any state", + "type": "text" + }, + { + "bbox": [ + 457, + 530, + 463, + 537 + ], + "score": 0.71, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 525, + 468, + 541 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "interline_equation", + "bbox": [ + 213, + 546, + 378, + 574 + ], + "lines": [ + { + "bbox": [ + 213, + 546, + 378, + 574 + ], + "spans": [ + { + "bbox": [ + 213, + 546, + 378, + 574 + ], + "score": 0.94, + "content": "\\frac { \\gamma } { n ( s ) + 1 } - \\frac { \\gamma ^ { 2 } } { 1 - \\gamma } \\leq \\chi ( s ) \\leq \\frac { \\gamma } { n ( s ) + 1 } .", + "type": "interline_equation", + "image_path": "32feb89b4290fa3a14153ec73f1d35cbc4a2a3616fea6a2a95a22ad84cc40cce.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 213, + 546, + 378, + 574 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 612, + 505, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "score": 1.0, + "content": "In other words, the SSR, obtained after a slight change to the SR, can be used to recover state visitation", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 624, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 464, + 636 + ], + "score": 1.0, + "content": "counts. The intuition behind this result is that the phantom transition, represented by the", + "type": "text" + }, + { + "bbox": [ + 465, + 624, + 479, + 635 + ], + "score": 0.85, + "content": "+ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 624, + 505, + 636 + ], + "score": 1.0, + "content": "in the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "score": 1.0, + "content": "denominator of the SSR, serves as a proxy for the uncertainty about that state by underestimating the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 646, + 460, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 230, + 660 + ], + "score": 1.0, + "content": "SR. This is due to the fact that", + "type": "text" + }, + { + "bbox": [ + 230, + 646, + 286, + 660 + ], + "score": 0.93, + "content": "\\sum _ { s ^ { \\prime } } \\tilde { P _ { \\pi } } ( s , s ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 646, + 411, + 660 + ], + "score": 1.0, + "content": "gets closer to 1 each time state", + "type": "text" + }, + { + "bbox": [ + 412, + 649, + 417, + 657 + ], + "score": 0.72, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 646, + 460, + 660 + ], + "score": 1.0, + "content": "is visited.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 106, + 663, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 662, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 505, + 677 + ], + "score": 1.0, + "content": "This result can now be used to convert the SSR into a reward function in the tabular case. We do so by", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 287, + 688 + ], + "score": 1.0, + "content": "using the SSR to define an exploration bonus,", + "type": "text" + }, + { + "bbox": [ + 288, + 677, + 300, + 686 + ], + "score": 0.85, + "content": "r _ { \\mathrm { i n t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 675, + 505, + 688 + ], + "score": 1.0, + "content": ", such that the reward being maximized by the agent", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 685, + 506, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 685, + 145, + 699 + ], + "score": 1.0, + "content": "becomes", + "type": "text" + }, + { + "bbox": [ + 145, + 686, + 214, + 698 + ], + "score": 0.93, + "content": "r ( s , a ) + \\beta r _ { \\mathrm { i n t } } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 685, + 245, + 699 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 246, + 686, + 253, + 698 + ], + "score": 0.85, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 685, + 506, + 699 + ], + "score": 1.0, + "content": "is a scaling parameter. Since we want to incentivize agents to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 697, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 399, + 711 + ], + "score": 1.0, + "content": "visit the least visited states as quickly as possible, we can trivially define", + "type": "text" + }, + { + "bbox": [ + 399, + 697, + 474, + 711 + ], + "score": 0.93, + "content": "\\mathbf { r } _ { \\mathrm { i n t } } = - | | \\tilde { \\Psi } _ { \\boldsymbol { \\pi } } ( s ) | | _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 698, + 505, + 711 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "we penalize the agent by visiting the states that lead to commonly visited states. Notice that the shift", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 721, + 475, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 137, + 732 + ], + "score": 0.91, + "content": "( 1 + \\gamma )", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 721, + 148, + 732 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 149, + 721, + 168, + 732 + ], + "score": 0.91, + "content": "\\chi ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 721, + 475, + 732 + ], + "score": 1.0, + "content": "has no effect as an exploration bonus because it is the same across all states.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 26, + 308, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 581, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 495, + 583, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 495, + 583, + 505, + 593 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 12, + "width": 9 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 81, + 505, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 507, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 295, + 96 + ], + "score": 1.0, + "content": "The theorem below formalizes the idea that the", + "type": "text" + }, + { + "bbox": [ + 295, + 83, + 305, + 93 + ], + "score": 0.87, + "content": "\\ell _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 81, + 507, + 96 + ], + "score": 1.0, + "content": "norm of the SSR implicitly counts state visitation.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 106, + 81, + 507, + 96 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 98, + 505, + 124 + ], + "lines": [ + { + "bbox": [ + 105, + 97, + 505, + 112 + ], + "spans": [ + { + "bbox": [ + 105, + 97, + 177, + 112 + ], + "score": 1.0, + "content": "Theorem 1. Let", + "type": "text" + }, + { + "bbox": [ + 177, + 99, + 197, + 110 + ], + "score": 0.89, + "content": "n ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 97, + 430, + 112 + ], + "score": 1.0, + "content": "denote the number of times state s has been visited and let", + "type": "text" + }, + { + "bbox": [ + 430, + 98, + 505, + 111 + ], + "score": 0.91, + "content": "\\chi ( s ) = ( 1 + \\gamma ) -", + "type": "inline_equation" + } + ], + "index": 1 + }, + { + "bbox": [ + 107, + 110, + 465, + 124 + ], + "spans": [ + { + "bbox": [ + 107, + 110, + 149, + 124 + ], + "score": 0.92, + "content": "| | \\tilde { \\Psi } _ { \\pi } ( s ) | | _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 110, + 179, + 124 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 179, + 110, + 193, + 122 + ], + "score": 0.9, + "content": "\\tilde { \\Psi } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 110, + 274, + 124 + ], + "score": 1.0, + "content": "is the substochastic", + "type": "text" + }, + { + "bbox": [ + 275, + 111, + 287, + 121 + ], + "score": 0.41, + "content": "S R", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 110, + 418, + 124 + ], + "score": 1.0, + "content": "as in Definition 3.1. For a given", + "type": "text" + }, + { + "bbox": [ + 418, + 112, + 461, + 123 + ], + "score": 0.91, + "content": "0 \\leq \\gamma < 1", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 110, + 465, + 124 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5, + "bbox_fs": [ + 105, + 97, + 505, + 124 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 130, + 376, + 159 + ], + "lines": [ + { + "bbox": [ + 215, + 130, + 376, + 159 + ], + "spans": [ + { + "bbox": [ + 215, + 130, + 376, + 159 + ], + "score": 0.94, + "content": "\\frac { \\gamma } { n ( s ) + 1 } - \\frac { \\gamma ^ { 2 } } { 1 - \\gamma } \\leq \\chi ( s ) \\leq \\frac { \\gamma } { n ( s ) + 1 }", + "type": "interline_equation", + "image_path": "9db3a09270e1ee7748f875502cc4869cbfc8bf86deaea7e207689299f65a3508.jpg" + } + ] + } + ], + "index": 3.5, + "virtual_lines": [ + { + "bbox": [ + 215, + 130, + 376, + 144.5 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 215, + 144.5, + 376, + 159.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 178, + 500, + 191 + ], + "lines": [ + { + "bbox": [ + 105, + 175, + 501, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 179, + 193 + ], + "score": 1.0, + "content": "Proof of Theorem", + "type": "text" + }, + { + "bbox": [ + 180, + 180, + 185, + 189 + ], + "score": 0.52, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 175, + 207, + 193 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 208, + 178, + 220, + 190 + ], + "score": 0.91, + "content": "\\hat { P } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 175, + 424, + 193 + ], + "score": 1.0, + "content": "be the empirical transition matrix. We first rewrite", + "type": "text" + }, + { + "bbox": [ + 424, + 178, + 437, + 190 + ], + "score": 0.9, + "content": "\\tilde { P _ { \\pi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 175, + 484, + 193 + ], + "score": 1.0, + "content": "in terms of", + "type": "text" + }, + { + "bbox": [ + 484, + 178, + 497, + 190 + ], + "score": 0.9, + "content": "\\hat { P _ { \\pi } }", + "type": "inline_equation" + }, + { + "bbox": [ + 497, + 175, + 501, + 193 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5, + "bbox_fs": [ + 105, + 175, + 501, + 193 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 115, + 198, + 495, + 226 + ], + "lines": [ + { + "bbox": [ + 115, + 198, + 495, + 226 + ], + "spans": [ + { + "bbox": [ + 115, + 198, + 495, + 226 + ], + "score": 0.93, + "content": "\\tilde { P _ { \\pi } } ( s , s ^ { \\prime } ) = \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) + 1 } = \\frac { n ( s ) } { n ( s ) + 1 } \\frac { n ( s , s ^ { \\prime } ) } { n ( s ) } = \\frac { n ( s ) } { n ( s ) + 1 } \\hat { P _ { \\pi } } ( s , s ^ { \\prime } ) = \\Big ( 1 - \\frac { 1 } { n ( s ) + 1 } \\Big ) \\hat { P _ { \\pi } } ( s , s ^ { \\prime } ) .", + "type": "interline_equation", + "image_path": "286328f00678c0663ca421a47ef5384c31a48b08747b8d59c7c2901770b46e0b.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 115, + 198, + 495, + 226 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 239, + 504, + 266 + ], + "lines": [ + { + "bbox": [ + 104, + 239, + 504, + 254 + ], + "spans": [ + { + "bbox": [ + 104, + 239, + 343, + 254 + ], + "score": 1.0, + "content": "The expression above can also be written in matrix form:", + "type": "text" + }, + { + "bbox": [ + 343, + 240, + 416, + 253 + ], + "score": 0.93, + "content": "{ \\tilde { P } } _ { \\pi } = ( I - N ) { \\hat { P } } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 239, + 448, + 254 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 448, + 240, + 504, + 252 + ], + "score": 0.91, + "content": "N \\in \\mathbb { R } ^ { | \\mathcal { S } | \\times | \\mathcal { S } | }", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 253, + 437, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 384, + 266 + ], + "score": 1.0, + "content": "denotes the diagonal matrix of augmented inverse counts. Expanding", + "type": "text" + }, + { + "bbox": [ + 385, + 253, + 398, + 265 + ], + "score": 0.89, + "content": "\\tilde { \\Psi } _ { \\pi }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 253, + 437, + 266 + ], + "score": 1.0, + "content": "we have:", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5, + "bbox_fs": [ + 104, + 239, + 504, + 266 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 273, + 435, + 306 + ], + "lines": [ + { + "bbox": [ + 156, + 273, + 435, + 306 + ], + "spans": [ + { + "bbox": [ + 156, + 273, + 435, + 306 + ], + "score": 0.94, + "content": "\\tilde { \\Psi } _ { \\pi } = \\sum _ { t = 0 } ^ { \\gamma } ( \\gamma \\tilde { P _ { \\pi } } ) ^ { t } = I + \\gamma \\tilde { P _ { \\pi } } + \\sum _ { t = 2 } ^ { \\infty } ( \\gamma \\tilde { P _ { \\pi } } ) ^ { t } = I + \\gamma \\tilde { P _ { \\pi } } + \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } .", + "type": "interline_equation", + "image_path": "f6c90a40823122785dfe8b4e1b102ebeec0ec8bddaea3700aa201f4bd6f204ce.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 156, + 273, + 435, + 284.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 156, + 284.0, + 435, + 295.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 156, + 295.0, + 435, + 306.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 318, + 506, + 344 + ], + "lines": [ + { + "bbox": [ + 106, + 318, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 505, + 330 + ], + "score": 1.0, + "content": "The top eigenvector of a stochastic matrix is the all-ones vector, e (Meyn & Tweedie, 2012), and it", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 330, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 379, + 344 + ], + "score": 1.0, + "content": "corresponds to the eigenvalue 1. 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} } { 1 - \\gamma }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 412, + 406, + 429 + ], + "score": 1.0, + "content": "(Machado et al., 2018b):", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5, + "bbox_fs": [ + 104, + 399, + 506, + 429 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 239, + 436, + 352, + 464 + ], + "lines": [ + { + "bbox": [ + 239, + 436, + 352, + 464 + ], + "spans": [ + { + "bbox": [ + 239, + 436, + 352, + 464 + ], + "score": 0.93, + "content": "0 \\leq \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } { \\bf e } \\leq \\frac { \\gamma ^ { 2 } } { 1 - \\gamma } { \\bf e } .", + "type": "interline_equation", + "image_path": "8b19b9200c0b0a39c5813ca8095f76fc46a45426ff7095f9b8b4bb3b1ee87de2.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 239, + 436, + 352, + 464 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 477, + 417, + 490 + ], + "lines": [ + { + "bbox": [ + 106, + 476, + 418, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 243, + 491 + ], + "score": 1.0, + "content": "Plugging (5) into the definition of", + "type": "text" + }, + { + "bbox": [ + 243, + 479, + 251, + 489 + ], + "score": 0.82, + "content": "\\chi", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 476, + 335, + 491 + ], + "score": 1.0, + "content": "we have (notice that", + "type": "text" + }, + { + "bbox": [ + 335, + 477, + 413, + 490 + ], + "score": 0.9, + "content": "\\Psi ( s ) \\mathbf { e } = | | \\Psi ( s ) | | _ { 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 476, + 418, + 491 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20, + "bbox_fs": [ + 106, + 476, + 418, + 491 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 120, + 496, + 470, + 514 + ], + "lines": [ + { + "bbox": [ + 120, + 496, + 470, + 514 + ], + "spans": [ + { + "bbox": [ + 120, + 496, + 470, + 514 + ], + "score": 0.9, + "content": "\\chi ( s ) = ( 1 + \\gamma ) \\mathbf { e } - ( 1 + \\gamma ) \\mathbf { e } + \\gamma N \\mathbf { e } - \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } \\ = \\ \\gamma N \\mathbf { e } - \\gamma ^ { 2 } \\tilde { P _ { \\pi } } ^ { 2 } \\tilde { \\Psi } _ { \\pi } \\mathbf { e } \\ \\leq \\ \\gamma N \\mathbf { e } .", + "type": "interline_equation", + "image_path": "f8dbfead3adb1a25a3854c792ecb15ae63e6e9619af25fc5af4a5ba36d5f24db.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 120, + 496, + 470, + 514 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 527, + 467, + 540 + ], + "lines": [ + { + "bbox": [ + 105, + 525, + 468, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 457, + 541 + ], + "score": 1.0, + "content": "When we also use the other bound on the quadratic term we conclude that, for any state", + "type": "text" + }, + { + "bbox": [ + 457, + 530, + 463, + 537 + ], + "score": 0.71, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 525, + 468, + 541 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 525, + 468, + 541 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 213, + 546, + 378, + 574 + ], + "lines": [ + { + "bbox": [ + 213, + 546, + 378, + 574 + ], + "spans": [ + { + "bbox": [ + 213, + 546, + 378, + 574 + ], + "score": 0.94, + "content": "\\frac { \\gamma } { n ( s ) + 1 } - \\frac { \\gamma ^ { 2 } } { 1 - \\gamma } \\leq \\chi ( s ) \\leq \\frac { \\gamma } { n ( s ) + 1 } .", + "type": "interline_equation", + "image_path": "32feb89b4290fa3a14153ec73f1d35cbc4a2a3616fea6a2a95a22ad84cc40cce.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 213, + 546, + 378, + 574 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 612, + 505, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 625 + ], + "score": 1.0, + "content": "In other words, the SSR, obtained after a slight change to the SR, can be used to recover state visitation", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 624, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 464, + 636 + ], + "score": 1.0, + "content": "counts. The intuition behind this result is that the phantom transition, represented by the", + "type": "text" + }, + { + "bbox": [ + 465, + 624, + 479, + 635 + ], + "score": 0.85, + "content": "+ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 624, + 505, + 636 + ], + "score": 1.0, + "content": "in the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "score": 1.0, + "content": "denominator of the SSR, serves as a proxy for the uncertainty about that state by underestimating the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 646, + 460, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 230, + 660 + ], + "score": 1.0, + "content": "SR. This is due to the fact that", + "type": "text" + }, + { + "bbox": [ + 230, + 646, + 286, + 660 + ], + "score": 0.93, + "content": "\\sum _ { s ^ { \\prime } } \\tilde { P _ { \\pi } } ( s , s ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 646, + 411, + 660 + ], + "score": 1.0, + "content": "gets closer to 1 each time state", + "type": "text" + }, + { + "bbox": [ + 412, + 649, + 417, + 657 + ], + "score": 0.72, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 646, + 460, + 660 + ], + "score": 1.0, + "content": "is visited.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 613, + 505, + 660 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 663, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 662, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 505, + 677 + ], + "score": 1.0, + "content": "This result can now be used to convert the SSR into a reward function in the tabular case. We do so by", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 287, + 688 + ], + "score": 1.0, + "content": "using the SSR to define an exploration bonus,", + "type": "text" + }, + { + "bbox": [ + 288, + 677, + 300, + 686 + ], + "score": 0.85, + "content": "r _ { \\mathrm { i n t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 675, + 505, + 688 + ], + "score": 1.0, + "content": ", such that the reward being maximized by the agent", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 685, + 506, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 685, + 145, + 699 + ], + "score": 1.0, + "content": "becomes", + "type": "text" + }, + { + "bbox": [ + 145, + 686, + 214, + 698 + ], + "score": 0.93, + "content": "r ( s , a ) + \\beta r _ { \\mathrm { i n t } } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 685, + 245, + 699 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 246, + 686, + 253, + 698 + ], + "score": 0.85, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 685, + 506, + 699 + ], + "score": 1.0, + "content": "is a scaling parameter. Since we want to incentivize agents to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 697, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 399, + 711 + ], + "score": 1.0, + "content": "visit the least visited states as quickly as possible, we can trivially define", + "type": "text" + }, + { + "bbox": [ + 399, + 697, + 474, + 711 + ], + "score": 0.93, + "content": "\\mathbf { r } _ { \\mathrm { i n t } } = - | | \\tilde { \\Psi } _ { \\boldsymbol { \\pi } } ( s ) | | _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 698, + 505, + 711 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "we penalize the agent by visiting the states that lead to commonly visited states. Notice that the shift", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 721, + 475, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 137, + 732 + ], + "score": 0.91, + "content": "( 1 + \\gamma )", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 721, + 148, + 732 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 149, + 721, + 168, + 732 + ], + "score": 0.91, + "content": "\\chi ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 721, + 475, + 732 + ], + "score": 1.0, + "content": "has no effect as an exploration bonus because it is the same across all states.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 662, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 80, + 505, + 125 + ], + "lines": [ + { + "bbox": [ + 106, + 80, + 505, + 92 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 417, + 92 + ], + "score": 1.0, + "content": "Table 1: Comparison between our algorithm, termed ESSR, and R-MAX,", + "type": "text" + }, + { + "bbox": [ + 417, + 80, + 430, + 91 + ], + "score": 0.83, + "content": "\\mathrm { E ^ { 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 81, + 505, + 92 + ], + "score": 1.0, + "content": ", and MBIE. 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A", + "type": "text" + }, + { + "bbox": [ + 485, + 102, + 505, + 114 + ], + "score": 0.87, + "content": "9 5 \\%", + "type": "inline_equation" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 114, + 316, + 126 + ], + "spans": [ + { + "bbox": [ + 106, + 114, + 316, + 126 + ], + "score": 1.0, + "content": "confidence interval is reported between parentheses.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "table", + "bbox": [ + 147, + 139, + 464, + 174 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 147, + 139, + 464, + 174 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 147, + 139, + 464, + 174 + ], + "spans": [ + { + "bbox": [ + 147, + 139, + 464, + 174 + ], + "score": 0.962, + "html": "
ER-MAXMBIEESSR
RIVERSWIM3,000,0003,000,0003,250,0003,088,924 (± 57,584)
SIXARMS1,800,0002,800,0009,250,0007,327,222 (± 1,189,460)
", + "type": "table", + "image_path": "059441974e832282d591534b3e9fdedeaa659618cb27a8814cdc933e37295fa8.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 147, + 139, + 464, + 150.66666666666666 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 147, + 150.66666666666666, + 464, + 162.33333333333331 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 147, + 162.33333333333331, + 464, + 173.99999999999997 + ], + "spans": [], + "index": 6 + } + ] + } + ], + "index": 5 + }, + { + "type": "title", + "bbox": [ + 107, + 198, + 346, + 212 + ], + "lines": [ + { + "bbox": [ + 106, + 198, + 347, + 213 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 167, + 213 + ], + "score": 1.0, + "content": "EVALUATING", + "type": "text" + }, + { + "bbox": [ + 167, + 198, + 217, + 212 + ], + "score": 0.92, + "content": "- | | \\tilde { \\Psi } _ { \\pi } ( s ) | | _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 198, + 347, + 213 + ], + "score": 1.0, + "content": "AS AN EXPLORATION BONUS", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 223, + 506, + 333 + ], + "lines": [ + { + "bbox": [ + 106, + 223, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 506, + 236 + ], + "score": 1.0, + "content": "We evaluated the effectiveness of the proposed exploration bonus in a standard model-based algorithm.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 234, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 505, + 247 + ], + "score": 1.0, + "content": "In our implementation the agent updates its transition probability model and reward model through", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "score": 1.0, + "content": "Equation 2 and its SSR estimate as in Definition 3.1 (the pseudo-code of this algorithm is available in", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 256, + 506, + 269 + ], + "spans": [ + { + "bbox": [ + 106, + 256, + 340, + 269 + ], + "score": 1.0, + "content": "the Appendix), which is then used for the exploration bonus", + "type": "text" + }, + { + "bbox": [ + 341, + 258, + 353, + 267 + ], + "score": 0.86, + "content": "r _ { \\mathrm { i n t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 256, + 506, + 269 + ], + "score": 1.0, + "content": ". We used the domains RiverSwim and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 267, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 506, + 280 + ], + "score": 1.0, + "content": "SixArms (Strehl & Littman, 2008) to assess the performance of this algorithm.2 These are traditional", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 278, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 278, + 506, + 291 + ], + "score": 1.0, + "content": "domains in the PAC-MDP literature (Kakade, 2003) and are often used to evaluate provably sample-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 289, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 505, + 301 + ], + "score": 1.0, + "content": "efficient algorithms. Details about these environments are also available in the Appendix. We used the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 299, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 506, + 314 + ], + "score": 1.0, + "content": "same protocol used by Strehl & Littman (2008). Our results are available in Table 1. It is interesting", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 311, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 459, + 323 + ], + "score": 1.0, + "content": "to see that our algorithm performs as well as R-MAX (Brafman & Tennenholtz, 2002) and", + "type": "text" + }, + { + "bbox": [ + 459, + 311, + 471, + 321 + ], + "score": 0.86, + "content": "\\mathrm { E ^ { 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 311, + 505, + 323 + ], + "score": 1.0, + "content": "(Kearns", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 322, + 457, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 457, + 334 + ], + "score": 1.0, + "content": "& Singh, 2002) on RiverSwim and it clearly outperforms these algorithms on SixArms.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 107, + 357, + 375, + 369 + ], + "lines": [ + { + "bbox": [ + 105, + 355, + 376, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 376, + 371 + ], + "score": 1.0, + "content": "4 COUNTING FEATURE ACTIVATIONS WITH THE SR", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 385, + 505, + 429 + ], + "lines": [ + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "In large environments, where enumerating all states is not an option, directly using the SSR as", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 396, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 505, + 410 + ], + "score": 1.0, + "content": "described in the previous section is not viable. Learning the SSR becomes even more challenging", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 407, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 204, + 421 + ], + "score": 1.0, + "content": "when the representation,", + "type": "text" + }, + { + "bbox": [ + 204, + 408, + 222, + 420 + ], + "score": 0.9, + "content": "\\phi ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 407, + 505, + 421 + ], + "score": 1.0, + "content": ", is also being learned and so is non-stationary. In this section we design", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 419, + 506, + 431 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 506, + 431 + ], + "score": 1.0, + "content": "an algorithm for the function approximation setting inspired by the results from the previous section.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 434, + 505, + 556 + ], + "lines": [ + { + "bbox": [ + 106, + 435, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 506, + 449 + ], + "score": 1.0, + "content": "Since explicitly estimating the transition probability function is not an option, we learn the SR directly", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 447, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 506, + 459 + ], + "score": 1.0, + "content": "using TD learning. In order to capture the SSR we rely on TD’s tendency to underestimate values", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 457, + 506, + 470 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 506, + 470 + ], + "score": 1.0, + "content": "when the estimates are pessimistically initialized, just as the SSR underestimates the true successor", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 469, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 506, + 480 + ], + "score": 1.0, + "content": "representation; with larger underestimates for states (and similarly features) that are rarely observed.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "score": 1.0, + "content": "This is mainly due to the fact that when the SR is being learned with TD learning, because a reward of", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 489, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 503 + ], + "score": 1.0, + "content": "1 is observed at each time step, there is no variance in the target and the predictions slowly approach", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "the true value of the SR. When pessimistically initialized, the predictions approach the target from", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 511, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 506, + 526 + ], + "score": 1.0, + "content": "below. In this sense, what defines how far a prediction is from its final target is indeed how many", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 522, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 506, + 536 + ], + "score": 1.0, + "content": "times it has been updated in a given state. Finally, recent work (Kulkarni et al., 2016; Machado et al.,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 533, + 507, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 507, + 547 + ], + "score": 1.0, + "content": "2018b) have shown successor features can be learned jointly with the feature representation itself.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 544, + 343, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 343, + 558 + ], + "score": 1.0, + "content": "These ideas are combined together to create our algorithm.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 562, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 105, + 561, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 575 + ], + "score": 1.0, + "content": "The neural network we used to learn the agent’s value function while also learning the feature", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "representation and the successor representation is depicted in Figure 1. 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ER-MAXMBIEESSR
RIVERSWIM3,000,0003,000,0003,250,0003,088,924 (± 57,584)
SIXARMS1,800,0002,800,0009,250,0007,327,222 (± 1,189,460)
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We used the domains RiverSwim and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 267, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 506, + 280 + ], + "score": 1.0, + "content": "SixArms (Strehl & Littman, 2008) to assess the performance of this algorithm.2 These are traditional", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 278, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 278, + 506, + 291 + ], + "score": 1.0, + "content": "domains in the PAC-MDP literature (Kakade, 2003) and are often used to evaluate provably sample-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 289, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 505, + 301 + ], + "score": 1.0, + "content": "efficient algorithms. Details about these environments are also available in the Appendix. We used the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 299, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 506, + 314 + ], + "score": 1.0, + "content": "same protocol used by Strehl & Littman (2008). Our results are available in Table 1. It is interesting", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 311, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 459, + 323 + ], + "score": 1.0, + "content": "to see that our algorithm performs as well as R-MAX (Brafman & Tennenholtz, 2002) and", + "type": "text" + }, + { + "bbox": [ + 459, + 311, + 471, + 321 + ], + "score": 0.86, + "content": "\\mathrm { E ^ { 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 311, + 505, + 323 + ], + "score": 1.0, + "content": "(Kearns", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 322, + 457, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 457, + 334 + ], + "score": 1.0, + "content": "& Singh, 2002) on RiverSwim and it clearly outperforms these algorithms on SixArms.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 223, + 506, + 334 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 357, + 375, + 369 + ], + "lines": [ + { + "bbox": [ + 105, + 355, + 376, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 376, + 371 + ], + "score": 1.0, + "content": "4 COUNTING FEATURE ACTIVATIONS WITH THE SR", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 385, + 505, + 429 + ], + "lines": [ + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "In large environments, where enumerating all states is not an option, directly using the SSR as", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 396, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 505, + 410 + ], + "score": 1.0, + "content": "described in the previous section is not viable. Learning the SSR becomes even more challenging", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 407, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 204, + 421 + ], + "score": 1.0, + "content": "when the representation,", + "type": "text" + }, + { + "bbox": [ + 204, + 408, + 222, + 420 + ], + "score": 0.9, + "content": "\\phi ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 407, + 505, + 421 + ], + "score": 1.0, + "content": ", is also being learned and so is non-stationary. In this section we design", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 419, + 506, + 431 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 506, + 431 + ], + "score": 1.0, + "content": "an algorithm for the function approximation setting inspired by the results from the previous section.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 385, + 506, + 431 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 434, + 505, + 556 + ], + "lines": [ + { + "bbox": [ + 106, + 435, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 506, + 449 + ], + "score": 1.0, + "content": "Since explicitly estimating the transition probability function is not an option, we learn the SR directly", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 447, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 506, + 459 + ], + "score": 1.0, + "content": "using TD learning. 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The distinction between", + "type": "text" + }, + { + "bbox": [ + 300, + 329, + 307, + 338 + ], + "score": 0.79, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 325, + 325, + 343 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 325, + 328, + 338, + 338 + ], + "score": 0.88, + "content": "\\theta ^ { - }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 325, + 453, + 343 + ], + "score": 1.0, + "content": "is standard in the field, with", + "type": "text" + }, + { + "bbox": [ + 453, + 328, + 466, + 338 + ], + "score": 0.88, + "content": "\\theta ^ { - }", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 325, + 506, + 343 + ], + "score": 1.0, + "content": "denoting", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "the parameters of the target network, which is updated less often for stability purposes (Mnih et al.,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 208, + 363 + ], + "score": 1.0, + "content": "2015). As before, we use", + "type": "text" + }, + { + "bbox": [ + 208, + 352, + 221, + 361 + ], + "score": 0.87, + "content": "r _ { \\mathrm { i n t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 349, + 506, + 363 + ], + "score": 1.0, + "content": "to denote the exploration bonus obtained from the successor features of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 361, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 217, + 374 + ], + "score": 1.0, + "content": "the internal representation,", + "type": "text" + }, + { + "bbox": [ + 218, + 361, + 235, + 373 + ], + "score": 0.9, + "content": "\\phi ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 361, + 506, + 374 + ], + "score": 1.0, + "content": ", which will be defined below. Moreover, to ensure all features are", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 346, + 385 + ], + "score": 1.0, + "content": "in the same range, we normalize the feature vector so that", + "type": "text" + }, + { + "bbox": [ + 346, + 372, + 398, + 384 + ], + "score": 0.95, + "content": "| | \\phi ( \\cdot ) | | _ { 2 } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 372, + 505, + 385 + ], + "score": 1.0, + "content": ". In Figure 1 we highlight", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 382, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 348, + 396 + ], + "score": 1.0, + "content": "the layer in which we normalize its output with the symbol", + "type": "text" + }, + { + "bbox": [ + 348, + 384, + 356, + 395 + ], + "score": 0.81, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 382, + 506, + 396 + ], + "score": 1.0, + "content": ". Notice that the features are always", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 395, + 281, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 281, + 407 + ], + "score": 1.0, + "content": "non-negative due to the use of ReLU gates.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 411, + 504, + 423 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 424 + ], + "score": 1.0, + "content": "The successor features are computed by the two bottom layers of the network, which minimize the loss", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "interline_equation", + "bbox": [ + 181, + 428, + 409, + 449 + ], + "lines": [ + { + "bbox": [ + 181, + 428, + 409, + 449 + ], + "spans": [ + { + "bbox": [ + 181, + 428, + 409, + 449 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { { S R } } } = \\mathbb { E } _ { \\pi , p } \\Big [ \\big ( \\phi ( S _ { t } ; \\theta ^ { - } ) + \\gamma \\psi ( S _ { t + 1 } ; \\theta ^ { - } ) - \\psi ( S _ { t } ; \\theta ) \\big ) ^ { 2 } \\Big ] .", + "type": "interline_equation", + "image_path": "28bf9ab781d9bb5f28f001a2e32c324153d315663e4578797035247ea5aeba81.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 181, + 428, + 409, + 449 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 453, + 505, + 536 + ], + "lines": [ + { + "bbox": [ + 106, + 453, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 466 + ], + "score": 1.0, + "content": "Zero is a fixed point for the SR. This is particularly concerning in settings with sparse rewards. The", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 465, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 203, + 480 + ], + "score": 1.0, + "content": "agent might learn to set", + "type": "text" + }, + { + "bbox": [ + 204, + 465, + 240, + 478 + ], + "score": 0.93, + "content": "\\phi ( \\cdot ) = \\vec { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 465, + 506, + 480 + ], + "score": 1.0, + "content": "to achieve zero loss. We address this problem by not propagating", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 476, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 107, + 477, + 131, + 488 + ], + "score": 0.89, + "content": "\\nabla \\mathcal { L } _ { \\mathrm { s R } }", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 476, + 142, + 490 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 142, + 477, + 159, + 489 + ], + "score": 0.9, + "content": "\\phi ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 476, + 505, + 490 + ], + "score": 1.0, + "content": "(this is depicted in Figure 1 as an open circle stopping the gradient), and by creating an", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 487, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 502 + ], + "score": 1.0, + "content": "auxiliary task (Jaderberg et al., 2017) to encourage a representation to be learned before a non-zero", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "reward is observed. As Machado et al. (2018b), we use the auxiliary task of predicting the next", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 523 + ], + "score": 1.0, + "content": "observation, learned through the architecture proposed by Oh et al. (2015), which is depicted as the top", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 521, + 502, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 399, + 538 + ], + "score": 1.0, + "content": "layers in Figure 1. The loss we minimize for this last part of the network is", + "type": "text" + }, + { + "bbox": [ + 400, + 521, + 502, + 537 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { R e c o n s } } = \\left( \\hat { S } _ { t + 1 } - S _ { t + 1 } \\right) ^ { 2 }", + "type": "inline_equation" + } + ], + "index": 25 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 540, + 447, + 552 + ], + "lines": [ + { + "bbox": [ + 104, + 537, + 446, + 556 + ], + "spans": [ + { + "bbox": [ + 104, + 537, + 288, + 556 + ], + "score": 1.0, + "content": "The overall loss minimized by the network is", + "type": "text" + }, + { + "bbox": [ + 288, + 540, + 446, + 552 + ], + "score": 0.91, + "content": "\\mathcal { L } = w _ { \\mathrm { { T D } } } \\mathcal { L } _ { \\mathrm { { T D } } } + w _ { \\mathrm { { S R } } } \\mathcal { L } _ { \\mathrm { { S R } } } + w _ { \\mathrm { { R e c o n s } } } \\mathcal { L } _ { \\mathrm { { R e c o n s } } } .", + "type": "inline_equation" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 108, + 557, + 505, + 591 + ], + "lines": [ + { + "bbox": [ + 106, + 557, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 328, + 570 + ], + "score": 1.0, + "content": "The last step in describing our algorithm is to define", + "type": "text" + }, + { + "bbox": [ + 328, + 557, + 374, + 569 + ], + "score": 0.93, + "content": "r _ { \\mathrm { i n t } } ( S _ { t } ; \\theta ^ { - } )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 557, + 506, + 570 + ], + "score": 1.0, + "content": ", the intrinsic reward we use to", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 442, + 581 + ], + "score": 1.0, + "content": "encourage exploration. 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The distinction between", + "type": "text" + }, + { + "bbox": [ + 300, + 329, + 307, + 338 + ], + "score": 0.79, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 325, + 325, + 343 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 325, + 328, + 338, + 338 + ], + "score": 0.88, + "content": "\\theta ^ { - }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 325, + 453, + 343 + ], + "score": 1.0, + "content": "is standard in the field, with", + "type": "text" + }, + { + "bbox": [ + 453, + 328, + 466, + 338 + ], + "score": 0.88, + "content": "\\theta ^ { - }", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 325, + 506, + 343 + ], + "score": 1.0, + "content": "denoting", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "the parameters of the target network, which is updated less often for stability purposes (Mnih et al.,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 208, + 363 + ], + "score": 1.0, + "content": "2015). As before, we use", + "type": "text" + }, + { + "bbox": [ + 208, + 352, + 221, + 361 + ], + "score": 0.87, + "content": "r _ { \\mathrm { i n t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 349, + 506, + 363 + ], + "score": 1.0, + "content": "to denote the exploration bonus obtained from the successor features of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 361, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 217, + 374 + ], + "score": 1.0, + "content": "the internal representation,", + "type": "text" + }, + { + "bbox": [ + 218, + 361, + 235, + 373 + ], + "score": 0.9, + "content": "\\phi ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 361, + 506, + 374 + ], + "score": 1.0, + "content": ", which will be defined below. Moreover, to ensure all features are", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 346, + 385 + ], + "score": 1.0, + "content": "in the same range, we normalize the feature vector so that", + "type": "text" + }, + { + "bbox": [ + 346, + 372, + 398, + 384 + ], + "score": 0.95, + "content": "| | \\phi ( \\cdot ) | | _ { 2 } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 372, + 505, + 385 + ], + "score": 1.0, + "content": ". In Figure 1 we highlight", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 382, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 348, + 396 + ], + "score": 1.0, + "content": "the layer in which we normalize its output with the symbol", + "type": "text" + }, + { + "bbox": [ + 348, + 384, + 356, + 395 + ], + "score": 0.81, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 382, + 506, + 396 + ], + "score": 1.0, + "content": ". Notice that the features are always", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 395, + 281, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 281, + 407 + ], + "score": 1.0, + "content": "non-negative due to the use of ReLU gates.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 12, + "bbox_fs": [ + 104, + 305, + 506, + 407 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 411, + 504, + 423 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 424 + ], + "score": 1.0, + "content": "The successor features are computed by the two bottom layers of the network, which minimize the loss", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17, + "bbox_fs": [ + 106, + 410, + 505, + 424 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 181, + 428, + 409, + 449 + ], + "lines": [ + { + "bbox": [ + 181, + 428, + 409, + 449 + ], + "spans": [ + { + "bbox": [ + 181, + 428, + 409, + 449 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { { S R } } } = \\mathbb { E } _ { \\pi , p } \\Big [ \\big ( \\phi ( S _ { t } ; \\theta ^ { - } ) + \\gamma \\psi ( S _ { t + 1 } ; \\theta ^ { - } ) - \\psi ( S _ { t } ; \\theta ) \\big ) ^ { 2 } \\Big ] .", + "type": "interline_equation", + "image_path": "28bf9ab781d9bb5f28f001a2e32c324153d315663e4578797035247ea5aeba81.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 181, + 428, + 409, + 449 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 453, + 505, + 536 + ], + "lines": [ + { + "bbox": [ + 106, + 453, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 466 + ], + "score": 1.0, + "content": "Zero is a fixed point for the SR. This is particularly concerning in settings with sparse rewards. The", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 465, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 203, + 480 + ], + "score": 1.0, + "content": "agent might learn to set", + "type": "text" + }, + { + "bbox": [ + 204, + 465, + 240, + 478 + ], + "score": 0.93, + "content": "\\phi ( \\cdot ) = \\vec { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 465, + 506, + 480 + ], + "score": 1.0, + "content": "to achieve zero loss. 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As Machado et al. (2018b), we use the auxiliary task of predicting the next", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 523 + ], + "score": 1.0, + "content": "observation, learned through the architecture proposed by Oh et al. (2015), which is depicted as the top", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 521, + 502, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 399, + 538 + ], + "score": 1.0, + "content": "layers in Figure 1. The loss we minimize for this last part of the network is", + "type": "text" + }, + { + "bbox": [ + 400, + 521, + 502, + 537 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { R e c o n s } } = \\left( \\hat { S } _ { t + 1 } - S _ { t + 1 } \\right) ^ { 2 }", + "type": "inline_equation" + } + ], + "index": 25 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 453, + 506, + 538 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 540, + 447, + 552 + ], + "lines": [ + { + "bbox": [ + 104, + 537, + 446, + 556 + ], + "spans": [ + { + "bbox": [ + 104, + 537, + 288, + 556 + ], + "score": 1.0, + "content": "The overall loss minimized by the network is", + "type": "text" + }, + { + "bbox": [ + 288, + 540, + 446, + 552 + ], + "score": 0.91, + "content": "\\mathcal { L } = w _ { \\mathrm { { T D } } } \\mathcal { L } _ { \\mathrm { { T D } } } + w _ { \\mathrm { { S R } } } \\mathcal { L } _ { \\mathrm { { S R } } } + w _ { \\mathrm { { R e c o n s } } } \\mathcal { L } _ { \\mathrm { { R e c o n s } } } .", + "type": "inline_equation" + } + ], + "index": 26 + } + ], + "index": 26, + "bbox_fs": [ + 104, + 537, + 446, + 556 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 557, + 505, + 591 + ], + "lines": [ + { + "bbox": [ + 106, + 557, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 328, + 570 + ], + "score": 1.0, + "content": "The last step in describing our algorithm is to define", + "type": "text" + }, + { + "bbox": [ + 328, + 557, + 374, + 569 + ], + "score": 0.93, + "content": "r _ { \\mathrm { i n t } } ( S _ { t } ; \\theta ^ { - } )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 557, + 506, + 570 + ], + "score": 1.0, + "content": ", the intrinsic reward we use to", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 442, + 581 + ], + "score": 1.0, + "content": "encourage exploration. 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GRAVITAR118.5 (22.0)199.8275.41078.3(254.1)430.3(109.4)
MONT.REV.0.0 (0.0)2941.91671.70.0(0.0)1778.6(903.6)
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SOLARIS783.4 (55.3)1147.12279.42244.6(378.8)2155.7(398.3)
VENTURE4.4 (5.4)0.0856.21220.1(51.0)1241.8(236.0)
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Following", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "Bellemare et al.’s (2016) taxonomy, we evaluated our algorithm in the Atari 2600 games with sparse", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 281, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 292 + ], + "score": 1.0, + "content": "rewards that pose hard exploration problems. They are: FREEWAY, GRAVITAR, MONTEZUMA’S", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 291, + 327, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 327, + 303 + ], + "score": 1.0, + "content": "REVENGE, PRIVATE EYE, SOLARIS, and VENTURE.3", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 107, + 308, + 505, + 363 + ], + "lines": [ + { + "bbox": [ + 106, + 307, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 505, + 321 + ], + "score": 1.0, + "content": "We followed the evaluation protocol proposed by Machado et al. (2018a). We used MONTEZUMA’S", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 320, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 505, + 331 + ], + "score": 1.0, + "content": "REVENGE to tune our parameters (training set). The reported results are the average over 10 seeds", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 329, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 464, + 343 + ], + "score": 1.0, + "content": "after 100 million frames. We evaluated our agents in the stochastic setting (sticky actions,", + "type": "text" + }, + { + "bbox": [ + 464, + 331, + 503, + 341 + ], + "score": 0.86, + "content": "\\varsigma = 0 . 2 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 329, + 506, + 343 + ], + "score": 1.0, + "content": ")", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 340, + 507, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 295, + 355 + ], + "score": 1.0, + "content": "using a frame skip of 5 with the full action set", + "type": "text" + }, + { + "bbox": [ + 296, + 341, + 335, + 353 + ], + "score": 0.89, + "content": "| \\mathcal { A } | = 1 8 )", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 340, + 507, + 355 + ], + "score": 1.0, + "content": "). The agent learns from raw pixels, that is,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 352, + 237, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 237, + 366 + ], + "score": 1.0, + "content": "it uses the game screen as input.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 369, + 505, + 457 + ], + "lines": [ + { + "bbox": [ + 106, + 369, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 428, + 381 + ], + "score": 1.0, + "content": "Our results were obtained with the algorithm described in Section 4. We set", + "type": "text" + }, + { + "bbox": [ + 428, + 369, + 474, + 380 + ], + "score": 0.91, + "content": "\\beta = 0 . 0 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 369, + 506, + 381 + ], + "score": 1.0, + "content": "after a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 421, + 392 + ], + "score": 1.0, + "content": "rough sweep over values in the game MONTEZUMA’S REVENGE. 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All other parameters are the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 446, + 274, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 274, + 458 + ], + "score": 1.0, + "content": "same as those used by Mnih et al. (2015).", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 462, + 505, + 638 + ], + "lines": [ + { + "bbox": [ + 106, + 462, + 504, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 504, + 475 + ], + "score": 1.0, + "content": "Table 2 summarizes the results after 100 million frames. The performance of other algorithms", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 474, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 506, + 487 + ], + "score": 1.0, + "content": "is also provided for reference. Notice we are reporting learning performance for all algorithms", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 482, + 506, + 499 + ], + "spans": [ + { + "bbox": [ + 104, + 482, + 506, + 499 + ], + "score": 1.0, + "content": "instead of the maximum scores achieved by the algorithm. We use the superscript MMC to distinguish", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "between the algorithms that use MMC from those that do not. When comparing our algorithm,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 504, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 163, + 519 + ], + "score": 0.91, + "content": "\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 504, + 506, + 521 + ], + "score": 1.0, + "content": ", to DQN we can see how much our approach improves over the most traditional", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 516, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 104, + 516, + 329, + 530 + ], + "score": 1.0, + "content": "baseline. By comparing our algorithm’s performance to", + "type": "text" + }, + { + "bbox": [ + 329, + 517, + 391, + 529 + ], + "score": 0.84, + "content": "\\mathrm { \\bar { D Q N } ^ { M M C } + \\bar { C } T S }", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 516, + 506, + 530 + ], + "score": 1.0, + "content": "(Bellemare et al., 2016) and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 527, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 144, + 540 + ], + "score": 0.32, + "content": "\\mathrm { D Q N ^ { M M C } }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 527, + 506, + 542 + ], + "score": 1.0, + "content": "+PixelCNN (Ostrovski et al., 2017) we compare our algorithm to established baselines for", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "exploration. As highlighted in Section 4, the parameters of the network we used are different from", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 551, + 504, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 504, + 562 + ], + "score": 1.0, + "content": "those used in the traditional DQN network, so we also compared the performance of our algorithm", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "to the performance of the same network our algorithm uses but without the additional modules", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 572, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 361, + 587 + ], + "score": 1.0, + "content": "(next state prediction and successor representation) by setting", + "type": "text" + }, + { + "bbox": [ + 362, + 573, + 437, + 583 + ], + "score": 0.91, + "content": "w _ { \\mathrm { S R } } = w _ { \\mathrm { R e c o n s } } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 572, + 506, + 587 + ], + "score": 1.0, + "content": "and without the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 581, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 104, + 581, + 238, + 596 + ], + "score": 1.0, + "content": "intrinsic reward bonus by setting", + "type": "text" + }, + { + "bbox": [ + 238, + 583, + 272, + 595 + ], + "score": 0.92, + "content": "\\beta = 0 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 581, + 357, + 596 + ], + "score": 1.0, + "content": ". The column labeled", + "type": "text" + }, + { + "bbox": [ + 357, + 583, + 395, + 595 + ], + "score": 0.89, + "content": "\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 581, + 506, + 596 + ], + "score": 1.0, + "content": "contains the results for this", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "baseline. This comparison allows us to explicitly quantify the improvement provided by the proposed", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "exploration bonus. 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Following", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "Bellemare et al.’s (2016) taxonomy, we evaluated our algorithm in the Atari 2600 games with sparse", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 281, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 292 + ], + "score": 1.0, + "content": "rewards that pose hard exploration problems. They are: FREEWAY, GRAVITAR, MONTEZUMA’S", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 291, + 327, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 327, + 303 + ], + "score": 1.0, + "content": "REVENGE, PRIVATE EYE, SOLARIS, and VENTURE.3", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 257, + 505, + 303 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 308, + 505, + 363 + ], + "lines": [ + { + "bbox": [ + 106, + 307, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 505, + 321 + ], + "score": 1.0, + "content": "We followed the evaluation protocol proposed by Machado et al. (2018a). We used MONTEZUMA’S", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 320, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 505, + 331 + ], + "score": 1.0, + "content": "REVENGE to tune our parameters (training set). The reported results are the average over 10 seeds", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 329, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 464, + 343 + ], + "score": 1.0, + "content": "after 100 million frames. We evaluated our agents in the stochastic setting (sticky actions,", + "type": "text" + }, + { + "bbox": [ + 464, + 331, + 503, + 341 + ], + "score": 0.86, + "content": "\\varsigma = 0 . 2 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 329, + 506, + 343 + ], + "score": 1.0, + "content": ")", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 340, + 507, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 295, + 355 + ], + "score": 1.0, + "content": "using a frame skip of 5 with the full action set", + "type": "text" + }, + { + "bbox": [ + 296, + 341, + 335, + 353 + ], + "score": 0.89, + "content": "| \\mathcal { A } | = 1 8 )", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 340, + 507, + 355 + ], + "score": 1.0, + "content": "). The agent learns from raw pixels, that is,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 352, + 237, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 237, + 366 + ], + "score": 1.0, + "content": "it uses the game screen as input.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 307, + 507, + 366 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 369, + 505, + 457 + ], + "lines": [ + { + "bbox": [ + 106, + 369, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 428, + 381 + ], + "score": 1.0, + "content": "Our results were obtained with the algorithm described in Section 4. We set", + "type": "text" + }, + { + "bbox": [ + 428, + 369, + 474, + 380 + ], + "score": 0.91, + "content": "\\beta = 0 . 0 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 369, + 506, + 381 + ], + "score": 1.0, + "content": "after a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 421, + 392 + ], + "score": 1.0, + "content": "rough sweep over values in the game MONTEZUMA’S REVENGE. We annealed", + "type": "text" + }, + { + "bbox": [ + 421, + 382, + 428, + 390 + ], + "score": 0.76, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 380, + 469, + 392 + ], + "score": 1.0, + "content": "in DQN’s", + "type": "text" + }, + { + "bbox": [ + 469, + 382, + 474, + 390 + ], + "score": 0.63, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 380, + 505, + 392 + ], + "score": 1.0, + "content": "-greedy", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 390, + 507, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 507, + 403 + ], + "score": 1.0, + "content": "exploration over the first million steps, starting at 1.0 and stopping at 0.1 as done by Bellemare et al.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 402, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 417, + 414 + ], + "score": 1.0, + "content": "(2016). We trained the network with RMSprop with a step-size of 0.00025, an", + "type": "text" + }, + { + "bbox": [ + 418, + 404, + 424, + 412 + ], + "score": 0.64, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 402, + 506, + 414 + ], + "score": 1.0, + "content": "value of 0.01, and a", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "decay of 0.95, which are the standard parameters for training DQN (Mnih et al., 2015). The discount", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 421, + 504, + 438 + ], + "spans": [ + { + "bbox": [ + 104, + 421, + 133, + 438 + ], + "score": 1.0, + "content": "factor,", + "type": "text" + }, + { + "bbox": [ + 133, + 425, + 141, + 435 + ], + "score": 0.8, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 421, + 212, + 438 + ], + "score": 1.0, + "content": ", is set to 0.99 and", + "type": "text" + }, + { + "bbox": [ + 212, + 424, + 247, + 435 + ], + "score": 0.9, + "content": "w _ { \\mathrm { T D } } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 421, + 251, + 438 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 251, + 424, + 300, + 435 + ], + "score": 0.87, + "content": "w _ { \\mathrm { S R } } = 1 0 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 421, + 304, + 438 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 304, + 424, + 366, + 435 + ], + "score": 0.87, + "content": "{ w _ { \\mathrm { R e c o n s } } = 0 . 0 0 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 421, + 420, + 438 + ], + "score": 1.0, + "content": ". The weights", + "type": "text" + }, + { + "bbox": [ + 421, + 426, + 437, + 435 + ], + "score": 0.79, + "content": "w _ { \\mathrm { T D } }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 421, + 441, + 438 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 441, + 426, + 457, + 435 + ], + "score": 0.79, + "content": "w _ { \\tt S R }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 421, + 477, + 438 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 477, + 425, + 504, + 435 + ], + "score": 0.74, + "content": "w _ { \\mathrm { R e c o n s } }", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 435, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 447 + ], + "score": 1.0, + "content": "were set so that the loss functions would be roughly the same scale. All other parameters are the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 446, + 274, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 274, + 458 + ], + "score": 1.0, + "content": "same as those used by Mnih et al. (2015).", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 21.5, + "bbox_fs": [ + 104, + 369, + 507, + 458 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 462, + 505, + 638 + ], + "lines": [ + { + "bbox": [ + 106, + 462, + 504, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 504, + 475 + ], + "score": 1.0, + "content": "Table 2 summarizes the results after 100 million frames. The performance of other algorithms", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 474, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 506, + 487 + ], + "score": 1.0, + "content": "is also provided for reference. Notice we are reporting learning performance for all algorithms", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 482, + 506, + 499 + ], + "spans": [ + { + "bbox": [ + 104, + 482, + 506, + 499 + ], + "score": 1.0, + "content": "instead of the maximum scores achieved by the algorithm. We use the superscript MMC to distinguish", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "between the algorithms that use MMC from those that do not. When comparing our algorithm,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 504, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 163, + 519 + ], + "score": 0.91, + "content": "\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 504, + 506, + 521 + ], + "score": 1.0, + "content": ", to DQN we can see how much our approach improves over the most traditional", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 516, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 104, + 516, + 329, + 530 + ], + "score": 1.0, + "content": "baseline. By comparing our algorithm’s performance to", + "type": "text" + }, + { + "bbox": [ + 329, + 517, + 391, + 529 + ], + "score": 0.84, + "content": "\\mathrm { \\bar { D Q N } ^ { M M C } + \\bar { C } T S }", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 516, + 506, + 530 + ], + "score": 1.0, + "content": "(Bellemare et al., 2016) and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 527, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 144, + 540 + ], + "score": 0.32, + "content": "\\mathrm { D Q N ^ { M M C } }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 527, + 506, + 542 + ], + "score": 1.0, + "content": "+PixelCNN (Ostrovski et al., 2017) we compare our algorithm to established baselines for", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "exploration. As highlighted in Section 4, the parameters of the network we used are different from", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 551, + 504, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 504, + 562 + ], + "score": 1.0, + "content": "those used in the traditional DQN network, so we also compared the performance of our algorithm", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "to the performance of the same network our algorithm uses but without the additional modules", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 572, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 361, + 587 + ], + "score": 1.0, + "content": "(next state prediction and successor representation) by setting", + "type": "text" + }, + { + "bbox": [ + 362, + 573, + 437, + 583 + ], + "score": 0.91, + "content": "w _ { \\mathrm { S R } } = w _ { \\mathrm { R e c o n s } } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 572, + 506, + 587 + ], + "score": 1.0, + "content": "and without the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 581, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 104, + 581, + 238, + 596 + ], + "score": 1.0, + "content": "intrinsic reward bonus by setting", + "type": "text" + }, + { + "bbox": [ + 238, + 583, + 272, + 595 + ], + "score": 0.92, + "content": "\\beta = 0 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 581, + 357, + 596 + ], + "score": 1.0, + "content": ". The column labeled", + "type": "text" + }, + { + "bbox": [ + 357, + 583, + 395, + 595 + ], + "score": 0.89, + "content": "\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 581, + 506, + 596 + ], + "score": 1.0, + "content": "contains the results for this", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "baseline. This comparison allows us to explicitly quantify the improvement provided by the proposed", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "exploration bonus. The learning curves of these algorithms, their performance after different amounts", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 629 + ], + "score": 1.0, + "content": "of experience, and additional results analyzing, for example, the impact of the introduced auxiliary", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 627, + 249, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 249, + 640 + ], + "score": 1.0, + "content": "task, are available in the Appendix.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 33.5, + "bbox_fs": [ + 104, + 462, + 506, + 640 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 644, + 505, + 710 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 657 + ], + "score": 1.0, + "content": "We can clearly see that our algorithm achieves scores much higher than those achieved by DQN, which", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 103, + 651, + 508, + 672 + ], + "spans": [ + { + "bbox": [ + 103, + 651, + 437, + 672 + ], + "score": 1.0, + "content": "struggles in games that pose hard exploration problems. Moreover, by comparing", + "type": "text" + }, + { + "bbox": [ + 437, + 655, + 493, + 667 + ], + "score": 0.9, + "content": "\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 651, + 508, + 672 + ], + "score": 1.0, + "content": "to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 662, + 507, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 144, + 678 + ], + "score": 0.83, + "content": "\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } }", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 662, + 507, + 680 + ], + "score": 1.0, + "content": "we can see that the provided exploration bonus has a big impact in the game MONTEZUMA’S", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "REVENGE, which is probably known as the hardest game among those we used in our evaluation.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "Interestingly, the change in architecture and the use of MMC leads to a big improvement in games", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "such as GRAVITAR and VENTURE, which we cannot fully explain. However, notice that the change", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "in architecture does not have any effect in MONTEZUMA’S REVENGE. The proposed exploration", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 90, + 504, + 108 + ], + "spans": [ + { + "bbox": [ + 104, + 90, + 443, + 108 + ], + "score": 1.0, + "content": "bonus seems to be essential in this game. Finally, we also compared our algorithm to", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 443, + 93, + 504, + 105 + ], + "score": 0.84, + "content": "\\mathrm { D Q N ^ { \\bar { M } M C } + C T S }", + "type": "inline_equation", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 101, + 507, + 119 + ], + "spans": [ + { + "bbox": [ + 104, + 101, + 507, + 119 + ], + "score": 1.0, + "content": "and DQNMMC+PixelCNN. We can observe that, on average, it performs as well as these algorithms,", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 505, + 128 + ], + "score": 1.0, + "content": "but instead of requiring a density model it requires the SR, which is already defined for every problem", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 432, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 432, + 138 + ], + "score": 1.0, + "content": "since it is a component of the value function estimates, as discussed in Section 2.", + "type": "text", + "cross_page": true + } + ], + "index": 4 + } + ], + "index": 44.5, + "bbox_fs": [ + 103, + 644, + 508, + 712 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 137 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "in architecture does not have any effect in MONTEZUMA’S REVENGE. The proposed exploration", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 90, + 504, + 108 + ], + "spans": [ + { + "bbox": [ + 104, + 90, + 443, + 108 + ], + "score": 1.0, + "content": "bonus seems to be essential in this game. Finally, we also compared our algorithm to", + "type": "text" + }, + { + "bbox": [ + 443, + 93, + 504, + 105 + ], + "score": 0.84, + "content": "\\mathrm { D Q N ^ { \\bar { M } M C } + C T S }", + "type": "inline_equation" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 101, + 507, + 119 + ], + "spans": [ + { + "bbox": [ + 104, + 101, + 507, + 119 + ], + "score": 1.0, + "content": "and DQNMMC+PixelCNN. We can observe that, on average, it performs as well as these algorithms,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 505, + 128 + ], + "score": 1.0, + "content": "but instead of requiring a density model it requires the SR, which is already defined for every problem", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 432, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 432, + 138 + ], + "score": 1.0, + "content": "since it is a component of the value function estimates, as discussed in Section 2.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 108, + 151, + 209, + 163 + ], + "lines": [ + { + "bbox": [ + 105, + 149, + 210, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 210, + 165 + ], + "score": 1.0, + "content": "6 RELATED WORK", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 173, + 505, + 294 + ], + "lines": [ + { + "bbox": [ + 106, + 173, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 106, + 173, + 506, + 186 + ], + "score": 1.0, + "content": "There are multiple algorithms in the tabular, model-based case with guarantees about their per-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 184, + 506, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 184, + 506, + 197 + ], + "score": 1.0, + "content": "formance (e.g., Brafman & Tennenholtz, 2002; Kearns & Singh, 2002; Strehl & Littman, 2008;", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 195, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 195, + 505, + 208 + ], + "score": 1.0, + "content": "Osband et al., 2016). RiverSwim and SixArms are domains traditionally used when evaluating these", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "score": 1.0, + "content": "algorithms. In this paper we have given evidence that our algorithm performs as well as some of these", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 217, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 505, + 230 + ], + "score": 1.0, + "content": "algorithms with theoretical guarantees. Among these algorithms, R-MAX seems the closest approach", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 106, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "to ours. As with R-MAX, the algorithm we presented in Section 3 augments the state-space with", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 239, + 505, + 252 + ], + "score": 1.0, + "content": "an imaginary state and encourages the agent to visit that state, implicitly reducing the algorithm’s", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 250, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 506, + 263 + ], + "score": 1.0, + "content": "uncertainty in the state-space. However, R-MAX deletes the transition to this imaginary state once a", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "score": 1.0, + "content": "state has been visited a given number of times. Ours lets the probability of visiting this imaginary state", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 272, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 505, + 285 + ], + "score": 1.0, + "content": "vanish with additional visitations. Moreover, notice that it is not clear how to apply these traditional", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 282, + 488, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 235, + 297 + ], + "score": 1.0, + "content": "algorithms such as R-MAX and", + "type": "text" + }, + { + "bbox": [ + 235, + 282, + 247, + 293 + ], + "score": 0.87, + "content": "\\mathrm { E ^ { 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 282, + 488, + 297 + ], + "score": 1.0, + "content": "to large domains where function approximation is required.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 300, + 505, + 410 + ], + "lines": [ + { + "bbox": [ + 105, + 298, + 507, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 507, + 314 + ], + "score": 1.0, + "content": "Conversely, there are not many model-free approaches with proven sample-complexity bounds (e.g.,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 310, + 506, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 506, + 323 + ], + "score": 1.0, + "content": "Strehl et al., 2006), but there are multiple model-free algorithms for exploration that actually work", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 322, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 506, + 335 + ], + "score": 1.0, + "content": "in large domains (e.g., Stadie et al., 2015; Bellemare et al., 2016; Ostrovski et al., 2017; Plappert", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 333, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 506, + 345 + ], + "score": 1.0, + "content": "et al., 2018). Among these algorithms, the use of pseudo-counts through density models is the closest", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "to ours (Bellemare et al., 2016; Ostrovski et al., 2017). Inspired by those papers we used the mixed", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 354, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 505, + 367 + ], + "score": 1.0, + "content": "Monte-Carlo return as a target in the update rule. In Section 5 we have shown that our algorithm", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 365, + 507, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 507, + 379 + ], + "score": 1.0, + "content": "performs generally as well as these approaches without requiring a density model. Importantly,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 376, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 506, + 389 + ], + "score": 1.0, + "content": "Martin et al. (2017) had already shown that counting activations of fixed, handcrafted features in", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "score": 1.0, + "content": "Atari 2600 games leads to good exploration behavior. Nevertheless, by using the SSR we are not only", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 399, + 486, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 486, + 411 + ], + "score": 1.0, + "content": "counting learned features but we are also implicitly capturing the induced transition dynamics.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 415, + 505, + 515 + ], + "lines": [ + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "score": 1.0, + "content": "Finally, the SR has already been used in the context of exploration. However, it was used to help the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 425, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 506, + 440 + ], + "score": 1.0, + "content": "agent learn how to act in a higher level of abstraction in order to navigate through the state space", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "faster (Machado et al., 2017; 2018b). Such an approach has led to promising results in the tabular", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "case but only anecdotal evidence about its scalability has been provided when the idea was applied to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "large domains such as Atari 2600 games. Importantly, the work developed by Machado et al. (2018b),", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "score": 1.0, + "content": "Kulkarni et al. (2016) and Oh et al. (2015) are the main motivation for the neural network architecture", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "score": 1.0, + "content": "presented here. Oh et al. (2015) have shown how one can predict the next screen given the current", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "observation and action (our auxiliary task), while Machado et al. (2018b) and Kulkarni et al. (2016)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 504, + 488, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 488, + 516 + ], + "score": 1.0, + "content": "have proposed different architectures for learning the successor representation from raw pixels.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31 + }, + { + "type": "title", + "bbox": [ + 108, + 527, + 195, + 540 + ], + "lines": [ + { + "bbox": [ + 104, + 525, + 198, + 544 + ], + "spans": [ + { + "bbox": [ + 104, + 525, + 198, + 544 + ], + "score": 1.0, + "content": "7 CONCLUSION", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 550, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 562 + ], + "score": 1.0, + "content": "RL algorithms tend to have high sample complexity, which often prevents them from being used in", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "score": 1.0, + "content": "the real-world. Poor exploration strategies is one of the main reasons for this high sample-complexity.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 573, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 584 + ], + "score": 1.0, + "content": "Despite all of its shortcomings, uniform random exploration is, to date, the most commonly used", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "approach for exploration. This is mainly due to the fact that most approaches for tackling the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "exploration problem still rely on domain-specific knowledge (e.g., density models, handcrafted", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "features), or on having an agent learn a perfect model of the environment. In this paper we introduced", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 616, + 506, + 628 + ], + "spans": [ + { + "bbox": [ + 104, + 616, + 506, + 628 + ], + "score": 1.0, + "content": "a general method for exploration in RL that implicitly counts state (or feature) visitation in order to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "score": 1.0, + "content": "guide the exploration process. It is compatible to representation learning and the idea can also be", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 638, + 264, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 264, + 651 + ], + "score": 1.0, + "content": "adapted to be applied to large domains.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 654, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "This result opens up multiple possibilities for future work. Based on the results presented in Section 3,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 666, + 504, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 504, + 677 + ], + "score": 1.0, + "content": "for example, we conjecture that the substochastic successor representation can be actually used to", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "generate algorithms with PAC-MDP bounds. Investigating to what extent different auxiliary tasks", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "impact the algorithm’s performance, and whether simpler tasks such as predicting feature activations", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "or parts of the input (Jaderberg et al., 2017) are effective is also worth studying. Finally, it might", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 709, + 507, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 507, + 723 + ], + "score": 1.0, + "content": "be interesting to further investigate the connection between representation learning and exploration,", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 720, + 497, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 497, + 733 + ], + "score": 1.0, + "content": "since it is also known that better representations can lead to faster exploration (Jiang et al., 2017).", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 49 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "score": 1.0, + "content": "8", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 137 + ], + "lines": [], + "index": 2, + "bbox_fs": [ + 104, + 83, + 507, + 138 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 108, + 151, + 209, + 163 + ], + "lines": [ + { + "bbox": [ + 105, + 149, + 210, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 210, + 165 + ], + "score": 1.0, + "content": "6 RELATED WORK", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 173, + 505, + 294 + ], + "lines": [ + { + "bbox": [ + 106, + 173, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 106, + 173, + 506, + 186 + ], + "score": 1.0, + "content": "There are multiple algorithms in the tabular, model-based case with guarantees about their per-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 184, + 506, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 184, + 506, + 197 + ], + "score": 1.0, + "content": "formance (e.g., Brafman & Tennenholtz, 2002; Kearns & Singh, 2002; Strehl & Littman, 2008;", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 195, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 195, + 505, + 208 + ], + "score": 1.0, + "content": "Osband et al., 2016). RiverSwim and SixArms are domains traditionally used when evaluating these", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "score": 1.0, + "content": "algorithms. In this paper we have given evidence that our algorithm performs as well as some of these", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 217, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 505, + 230 + ], + "score": 1.0, + "content": "algorithms with theoretical guarantees. Among these algorithms, R-MAX seems the closest approach", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 106, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "to ours. As with R-MAX, the algorithm we presented in Section 3 augments the state-space with", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 239, + 505, + 252 + ], + "score": 1.0, + "content": "an imaginary state and encourages the agent to visit that state, implicitly reducing the algorithm’s", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 250, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 506, + 263 + ], + "score": 1.0, + "content": "uncertainty in the state-space. However, R-MAX deletes the transition to this imaginary state once a", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "score": 1.0, + "content": "state has been visited a given number of times. Ours lets the probability of visiting this imaginary state", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 272, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 505, + 285 + ], + "score": 1.0, + "content": "vanish with additional visitations. Moreover, notice that it is not clear how to apply these traditional", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 282, + 488, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 235, + 297 + ], + "score": 1.0, + "content": "algorithms such as R-MAX and", + "type": "text" + }, + { + "bbox": [ + 235, + 282, + 247, + 293 + ], + "score": 0.87, + "content": "\\mathrm { E ^ { 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 282, + 488, + 297 + ], + "score": 1.0, + "content": "to large domains where function approximation is required.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 173, + 506, + 297 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 300, + 505, + 410 + ], + "lines": [ + { + "bbox": [ + 105, + 298, + 507, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 507, + 314 + ], + "score": 1.0, + "content": "Conversely, there are not many model-free approaches with proven sample-complexity bounds (e.g.,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 310, + 506, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 506, + 323 + ], + "score": 1.0, + "content": "Strehl et al., 2006), but there are multiple model-free algorithms for exploration that actually work", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 322, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 506, + 335 + ], + "score": 1.0, + "content": "in large domains (e.g., Stadie et al., 2015; Bellemare et al., 2016; Ostrovski et al., 2017; Plappert", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 333, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 506, + 345 + ], + "score": 1.0, + "content": "et al., 2018). Among these algorithms, the use of pseudo-counts through density models is the closest", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "to ours (Bellemare et al., 2016; Ostrovski et al., 2017). Inspired by those papers we used the mixed", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 354, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 505, + 367 + ], + "score": 1.0, + "content": "Monte-Carlo return as a target in the update rule. In Section 5 we have shown that our algorithm", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 365, + 507, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 507, + 379 + ], + "score": 1.0, + "content": "performs generally as well as these approaches without requiring a density model. Importantly,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 376, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 506, + 389 + ], + "score": 1.0, + "content": "Martin et al. (2017) had already shown that counting activations of fixed, handcrafted features in", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "score": 1.0, + "content": "Atari 2600 games leads to good exploration behavior. Nevertheless, by using the SSR we are not only", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 399, + 486, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 486, + 411 + ], + "score": 1.0, + "content": "counting learned features but we are also implicitly capturing the induced transition dynamics.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 298, + 507, + 411 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 415, + 505, + 515 + ], + "lines": [ + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "score": 1.0, + "content": "Finally, the SR has already been used in the context of exploration. However, it was used to help the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 425, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 506, + 440 + ], + "score": 1.0, + "content": "agent learn how to act in a higher level of abstraction in order to navigate through the state space", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "faster (Machado et al., 2017; 2018b). Such an approach has led to promising results in the tabular", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "case but only anecdotal evidence about its scalability has been provided when the idea was applied to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "large domains such as Atari 2600 games. Importantly, the work developed by Machado et al. (2018b),", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "score": 1.0, + "content": "Kulkarni et al. (2016) and Oh et al. (2015) are the main motivation for the neural network architecture", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "score": 1.0, + "content": "presented here. Oh et al. (2015) have shown how one can predict the next screen given the current", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "observation and action (our auxiliary task), while Machado et al. (2018b) and Kulkarni et al. (2016)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 504, + 488, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 488, + 516 + ], + "score": 1.0, + "content": "have proposed different architectures for learning the successor representation from raw pixels.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 416, + 506, + 516 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 527, + 195, + 540 + ], + "lines": [ + { + "bbox": [ + 104, + 525, + 198, + 544 + ], + "spans": [ + { + "bbox": [ + 104, + 525, + 198, + 544 + ], + "score": 1.0, + "content": "7 CONCLUSION", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 550, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 562 + ], + "score": 1.0, + "content": "RL algorithms tend to have high sample complexity, which often prevents them from being used in", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "score": 1.0, + "content": "the real-world. Poor exploration strategies is one of the main reasons for this high sample-complexity.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 573, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 584 + ], + "score": 1.0, + "content": "Despite all of its shortcomings, uniform random exploration is, to date, the most commonly used", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "approach for exploration. This is mainly due to the fact that most approaches for tackling the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "exploration problem still rely on domain-specific knowledge (e.g., density models, handcrafted", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "features), or on having an agent learn a perfect model of the environment. In this paper we introduced", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 616, + 506, + 628 + ], + "spans": [ + { + "bbox": [ + 104, + 616, + 506, + 628 + ], + "score": 1.0, + "content": "a general method for exploration in RL that implicitly counts state (or feature) visitation in order to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "score": 1.0, + "content": "guide the exploration process. It is compatible to representation learning and the idea can also be", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 638, + 264, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 264, + 651 + ], + "score": 1.0, + "content": "adapted to be applied to large domains.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41, + "bbox_fs": [ + 104, + 550, + 506, + 651 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 654, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "This result opens up multiple possibilities for future work. Based on the results presented in Section 3,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 666, + 504, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 504, + 677 + ], + "score": 1.0, + "content": "for example, we conjecture that the substochastic successor representation can be actually used to", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "generate algorithms with PAC-MDP bounds. Investigating to what extent different auxiliary tasks", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "impact the algorithm’s performance, and whether simpler tasks such as predicting feature activations", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "or parts of the input (Jaderberg et al., 2017) are effective is also worth studying. 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Algorithm1Exploration through the Substochastic Successor Representation (ESSR)
n(s,s')←0 ∀s,s'∈S
t(s,a,s')←1∀s,s'∈S,∀a∈A
r(s,a)←0∀s∈S,∀a∈A
P(s,a)←1/|Sl∀s∈S,∀a∈A
P(s,s')←0As,s'∈S
T←random over A
while episode is not over do Observe s E S, take action a E A selected according to π(s),and observe a reward R and a
next state s' ∈ S n(s,s')← n(s,s')+1
t(s,a,s')←t(s,a,s')+1
n(s)←∑x',bt(s,b,x')
n(s,a)←∑x,t(s,a,x')
r(s,a,s') ← (t(s,a,s)-2)xf(s,a,s')+R
t(s,a,s')-1 for each state x' ∈ Sdo
P(s,a,x')← t(s,a,x')
n(s,a) n(s,x')
P(s,x')← n(s)+1
end for √←(I-γP)-1
rint←-e
T ← POLICYITERATION(P,𝑟+ βrint)
end while
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contains details omitted from the main text due to space constraints.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 132, + 224, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 224, + 144 + ], + "score": 1.0, + "content": "The list of contents is below:", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 120, + 506, + 144 + ] + }, + { + "type": "list", + "bbox": [ + 132, + 153, + 505, + 232 + ], + "lines": [ + { + "bbox": [ + 132, + 154, + 409, + 165 + ], + "spans": [ + { + "bbox": [ + 132, + 154, + 409, + 165 + ], + "score": 1.0, + "content": "• Pseudo-code of the model-based algorithm discussed in Section 3;", + "type": "text" + } + ], + "index": 4, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 131, + 168, + 495, + 181 + ], + "spans": [ + { + "bbox": [ + 131, + 168, + 495, + 181 + ], + "score": 1.0, + "content": "• Description of RiverSwim and SixArms, the tabular domains we used in our evaluation;", + "type": "text" + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 131, + 181, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 131, + 181, + 219, + 196 + ], + "score": 1.0, + "content": "• Learning curves of", + "type": "text" + }, + { + "bbox": [ + 220, + 183, + 246, + 194 + ], + "score": 0.89, + "content": "\\mathrm { D Q N } _ { e }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 181, + 264, + 196 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 265, + 182, + 321, + 195 + ], + "score": 0.89, + "content": "\\mathrm { D Q N } _ { e } ^ { \\mathrm { M M C } } + \\mathrm { S R }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 181, + 506, + 196 + ], + "score": 1.0, + "content": "and their performance after different amounts", + "type": "text" + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 142, + 194, + 378, + 207 + ], + "spans": [ + { + "bbox": [ + 142, + 194, + 378, + 207 + ], + "score": 1.0, + "content": "of experience in the Atari 2600 games used for evaluation;", + "type": "text" + } + ], + "index": 7, + "is_list_end_line": true + }, + { + "bbox": [ + 137, + 208, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 137, + 208, + 505, + 222 + ], + "score": 1.0, + "content": "Results of additional experiments designed to evaluate the role of the auxiliary task in the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 220, + 299, + 232 + ], + "spans": [ + { + "bbox": [ + 141, + 220, + 299, + 232 + ], + "score": 1.0, + "content": "results reported in the paper for ESSR.", + "type": "text" + } + ], + "index": 9, + "is_list_end_line": true + } + ], + "index": 6.5, + "bbox_fs": [ + 131, + 154, + 506, + 232 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 255, + 441, + 267 + ], + "lines": [ + { + "bbox": [ + 106, + 256, + 442, + 267 + ], + "spans": [ + { + "bbox": [ + 106, + 256, + 442, + 267 + ], + "score": 1.0, + "content": "EXPLORATION THROUGH THE SUBSTOCHASTIC SUCCESSOR REPRESENTATION", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 276, + 506, + 309 + ], + "lines": [ + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "score": 1.0, + "content": "In the main paper we described our algorithm as a standard model-based algorithm where the agent", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 287, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 506, + 299 + ], + "score": 1.0, + "content": "updates its transition probability model and reward model through Equation 2 and its SSR estimate as", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 298, + 507, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 507, + 311 + ], + "score": 1.0, + "content": "in Definition 3.1. The pseudo-code with details about the implementation is presented in Algorithm 1.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 275, + 507, + 311 + ] + }, + { + "type": "table", + "bbox": [ + 111, + 319, + 506, + 656 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 111, + 319, + 506, + 656 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 111, + 319, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 111, + 319, + 506, + 656 + ], + "score": 0.711, + "html": "
Algorithm1Exploration through the Substochastic Successor Representation (ESSR)
n(s,s')←0 ∀s,s'∈S
t(s,a,s')←1∀s,s'∈S,∀a∈A
r(s,a)←0∀s∈S,∀a∈A
P(s,a)←1/|Sl∀s∈S,∀a∈A
P(s,s')←0As,s'∈S
T←random over A
while episode is not over do Observe s E S, take action a E A selected according to π(s),and observe a reward R and a
next state s' ∈ S n(s,s')← n(s,s')+1
t(s,a,s')←t(s,a,s')+1
n(s)←∑x',bt(s,b,x')
n(s,a)←∑x,t(s,a,x')
r(s,a,s') ← (t(s,a,s)-2)xf(s,a,s')+R
t(s,a,s')-1 for each state x' ∈ Sdo
P(s,a,x')← t(s,a,x')
n(s,a) n(s,x')
P(s,x')← n(s)+1
end for √←(I-γP)-1
rint←-e
T ← POLICYITERATION(P,𝑟+ βrint)
end while
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For SixArms, the agent starts in state 0.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 135, + 409, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 135, + 409, + 149 + ], + "score": 1.0, + "content": "For RiverSwim, the agent starts in either state 1 or 2 with equal probability.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "image", + "bbox": [ + 108, + 156, + 502, + 250 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 156, + 502, + 250 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 156, + 502, + 250 + ], + "spans": [ + { + "bbox": [ + 108, + 156, + 502, + 250 + ], + "score": 0.962, + "type": "image", + "image_path": "5668527eec930a068c0c61f8e7ce73a9f8d40ed779bcb71ff47bdc04db2eb83b.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 108, + 156, + 502, + 187.33333333333334 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 108, + 187.33333333333334, + 502, + 218.66666666666669 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 108, + 218.66666666666669, + 502, + 250.00000000000003 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 259, + 505, + 281 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 258, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 505, + 271 + ], + "score": 1.0, + "content": "Figure 2: Domains used as testbed in the tabular case. The tuples in each transition should be read as", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 270, + 314, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 314, + 282 + ], + "score": 1.0, + "content": "haction id, probability, rewardi. See text for details.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + } + ], + "index": 7.25 + }, + { + "type": "title", + "bbox": [ + 111, + 301, + 362, + 312 + ], + "lines": [ + { + "bbox": [ + 109, + 301, + 364, + 312 + ], + "spans": [ + { + "bbox": [ + 109, + 301, + 364, + 312 + ], + "score": 1.0, + "content": "EVALUATION THE IMPACT OF THE AUXILIARY TASK IN ESSR", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 321, + 505, + 398 + ], + "lines": [ + { + "bbox": [ + 105, + 320, + 505, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 505, + 333 + ], + "score": 1.0, + "content": "The algorithm we introduced in the paper, ESSR, relies on a network that estimates the state-action", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 333, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 505, + 344 + ], + "score": 1.0, + "content": "value function, the successor representation, and the next observation to be seen given the agent’s", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 344, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 505, + 354 + ], + "score": 1.0, + "content": "current observation and action. While the results depicted in Table 2 allow us to clearly see the benefit", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 355, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 355, + 505, + 366 + ], + "score": 1.0, + "content": "of using an exploration bonus derived from the successor representation, they do not inform us about", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 366, + 505, + 377 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 505, + 377 + ], + "score": 1.0, + "content": "the impact of the auxiliary task in the results. The experiments in this section aim at addressing this", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "issue. We focus on Montezumas Revenge because it is the game where the problem of exploration is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 388, + 483, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 483, + 399 + ], + "score": 1.0, + "content": "maximized, with most algorithms not being able to do anything without an exploration bonus.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 404, + 506, + 482 + ], + "lines": [ + { + "bbox": [ + 105, + 403, + 507, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 507, + 417 + ], + "score": 1.0, + "content": "The first question we asked was whether the auxiliary task was necessary in our algorithm. We evalu-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "ated this by dropping the reconstruction module from the network to test whether the initial random", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "noise generated by the successor representation is enough to drive representation learning. It is not.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 435, + 507, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 507, + 450 + ], + "score": 1.0, + "content": "When dropping the auxiliary task, the average performance of this baseline over 4 seeds in MON-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 447, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 366, + 460 + ], + "score": 1.0, + "content": "TEZUMA’S REVENGE after 100 million frames was 100.0 points", + "type": "text" + }, + { + "bbox": [ + 366, + 447, + 411, + 459 + ], + "score": 0.88, + "content": "\\textstyle \\cdot \\sigma ^ { 2 } = 2 0 0 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 448, + 506, + 460 + ], + "score": 1.0, + "content": "; min: 0.0, max: 400.0).", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 458, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 104, + 458, + 320, + 471 + ], + "score": 1.0, + "content": "As comparison, our algorithm obtains 1778.6 points", + "type": "text" + }, + { + "bbox": [ + 321, + 459, + 366, + 469 + ], + "score": 0.89, + "content": "\\cdot \\sigma ^ { 2 } = 9 0 3 . 6", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 458, + 506, + 471 + ], + "score": 1.0, + "content": ", min: 400.0, max: 2500.0). These", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 470, + 460, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 460, + 482 + ], + "score": 1.0, + "content": "results suggest that auxiliary tasks seem to be necessary for our method to perform well.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 564 + ], + "lines": [ + { + "bbox": [ + 106, + 487, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 499 + ], + "score": 1.0, + "content": "We also evaluated whether the auxiliary task was sufficient to generate the results we observed. To do", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 255, + 510 + ], + "score": 1.0, + "content": "so we dropped the SR module and set", + "type": "text" + }, + { + "bbox": [ + 255, + 498, + 288, + 509 + ], + "score": 0.92, + "content": "\\beta = 0 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "to evaluate whether our exploration bonus was actually", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "improving the agent’s performance or whether the auxiliary task was doing it. The exploration bonus", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "score": 1.0, + "content": "seems to be essential in our algorithm. 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The tuples in each transition should be read as", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 270, + 314, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 314, + 282 + ], + "score": 1.0, + "content": "haction id, probability, rewardi. 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We evalu-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "ated this by dropping the reconstruction module from the network to test whether the initial random", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "noise generated by the successor representation is enough to drive representation learning. 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RIVERSWIM3,000,0003,000,0003,250,0003,088,924 (± 57,584)
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Algorithm1Exploration through the Substochastic Successor Representation (ESSR)
n(s,s')←0 ∀s,s'∈S
t(s,a,s')←1∀s,s'∈S,∀a∈A
r(s,a)←0∀s∈S,∀a∈A
P(s,a)←1/|Sl∀s∈S,∀a∈A
P(s,s')←0As,s'∈S
T←random over A
while episode is not over do Observe s E S, take action a E A selected according to π(s),and observe a reward R and a
next state s' ∈ S n(s,s')← n(s,s')+1
t(s,a,s')←t(s,a,s')+1
n(s)←∑x',bt(s,b,x')
n(s,a)←∑x,t(s,a,x')
r(s,a,s') ← (t(s,a,s)-2)xf(s,a,s')+R
t(s,a,s')-1 for each state x' ∈ Sdo
P(s,a,x')← t(s,a,x')
n(s,a) n(s,x')
P(s,x')← n(s)+1
end for √←(I-γP)-1
rint←-e
T ← POLICYITERATION(P,𝑟+ βrint)
end while
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0000000000000000000000000000000000000000..b630e7eaddd8b5fae25e3dbc5861380d288359af --- /dev/null +++ b/parse/train/SJxUjlBtwB/SJxUjlBtwB.md @@ -0,0 +1,375 @@ +# RECONSTRUCTING CONTINUOUS DISTRIBUTIONS OF 3D PROTEIN STRUCTURE FROM CRYO-EM IMAGES + +Ellen D. Zhong MIT zhonge@mit.edu + +Tristan Bepler MIT tbepler@mit.edu + +Joseph H. Davis∗ MIT jhdavis@mit.edu + +Bonnie Berger∗ MIT bab@mit.edu + +# ABSTRACT + +Cryo-electron microscopy (cryo-EM) is a powerful technique for determining the structure of proteins and other macromolecular complexes at near-atomic resolution. In single particle cryo-EM, the central problem is to reconstruct the 3D structure of a macromolecule from $1 0 ^ { 4 - 7 }$ noisy and randomly oriented 2D projection images. However, the imaged protein complexes may exhibit structural variability, which complicates reconstruction and is typically addressed using discrete clustering approaches that fail to capture the full range of protein dynamics. Here, we introduce a novel method for cryo-EM reconstruction that extends naturally to modeling continuous generative factors of structural heterogeneity. This method encodes structures in Fourier space using coordinate-based deep neural networks, and trains these networks from unlabeled 2D cryo-EM images by combining exact inference over image orientation with variational inference for structural heterogeneity. We demonstrate that the proposed method, termed cryoDRGN, can perform ab initio reconstruction of 3D protein complexes from simulated and real 2D cryo-EM image data. To our knowledge, cryoDRGN is the first neural networkbased approach for cryo-EM reconstruction and the first end-to-end method for directly reconstructing continuous ensembles of protein structures from cryo-EM images. + +# 1 INTRODUCTION + +Cryo-electron microscopy (cryo-EM) is a Nobel Prize-winning technique capable of determining the structure of proteins and macromolecular complexes at near-atomic resolution. In a single particle cryo-EM experiment, a purified solution of the target protein or biomolecular complex is frozen in a thin layer of vitreous ice and imaged at sub-nanometer resolution using an electron microscope. After initial preprocessing and segmentation of the raw data, the dataset typically comprises $1 0 ^ { 4 ^ { 2 } - 7 }$ noisy projection images. Each image contains a separate instance of the molecule, recorded as the molecule’s electron density integrated along the imaging axis (Figure 1). A major bottleneck in cryo-EM structure determination is the computational task of 3D reconstruction, where the goal is to solve the inverse problem of learning the structure, i.e. the 3D electron density volume, which gave rise to the projection images. Unlike classic tomographic reconstruction (e.g. MRI), cryoEM reconstruction is complicated by the unknown orientation of each copy of the molecule in the ice. Furthermore, cryo-EM reconstruction algorithms must handle challenges such as an extremely low signal to noise ratio (SNR), unknown in-plane translations, imperfect signal transfer due to microscope optics, and discretization of the measurements. Despite these challenges, continuing advances in hardware and software have enabled structure determination at near-atomic resolution for rigid proteins (Kühlbrandt (2014); Scheres (2012b); Renaud et al. (2018); Li et al. (2013)). + +Many proteins and other biomolecules are intrinsically flexible and undergo large conformational changes to perform their function. Since each cryo-EM image contains a unique instance of the molecule of interest, cryo-EM has the potential to resolve structural heterogeneity, which is experimentally infeasible with other structural biology techniques such as X-ray crystallography. However, this heterogeneity poses a substantial challenge for reconstruction as each image is no longer of the same structure. Traditional reconstruction algorithms address heterogeneity with discrete clustering approaches, however, protein conformations are continuous and may be poorly approximated with discrete clusters (Malhotra & Udgaonkar (2016); Nakane et al. (2018)). + +Here, we introduce a neural network-based reconstruction algorithm that learns a continuous low-dimensional manifold over a protein’s conformational states from unlabeled 2D cryoEM images. We present an end-to-end learning framework for a generative model over 3D volumes using an image encoder-volume decoder neural network architecture. Extending spatialVAE, we formulate our decoder as a function of 3D Cartesian coordinates and unconstrained latent variables representing factors of image variation that we expect to result from protein structural heterogeneity (Bepler et al. (2019)). All inference is performed in Fourier space, which allows us to efficiently relate 2D projections to 3D volumes via the Fourier slice theorem. By + +![](images/0045f395a228725789bd5c4a7ea1b90d737e736f586b4cc2282dbeb4591c0ce0.jpg) +Figure 1: Cryo-EM reconstruction algorithms tackle the inverse problem of determining the 3D electron density volume from 104−7 noisy images. Each image is a noisy projection of a unique instance of the molecule suspended in ice at a random orientation. Algorithms must jointly learn the volume and the orientation of each particle image. Example image from Wong et al. (2014). + +formulating our decoder as a function of Cartesian coordinates, we can explicitly model the imaging operation to disentangle the orientation of the molecule during imaging from intrinsic protein structural heterogeneity. Our learning framework avoids errant local minima in image orientation by optimizing with exact inference over a discretization of $S O ( 3 ) \times \mathbb { R } ^ { 2 }$ using a branch and bound algorithm. The unconstrained latent variables are trained in the standard variational autoencoder approach. We present results on both real and simulated cryo-EM data. + +# 2 BACKGROUND AND NOTATION + +# 2.1 IMAGE FORMATION MODEL + +Cryo-EM aims to recover a structure of interest $V : \mathbb { R } ^ { 3 } \mathbb { R }$ consisting of an electron density at each point in space based on a collection of noisy images $X _ { 1 } , . . . , X _ { N }$ produced by projecting (i.e. integrating) the volume in an unknown orientation along the imaging axis. Formally, the generation of image $X$ can be modeled as: + +$$ +X ( r _ { x } , r _ { y } ) = g * \int _ { \mathbb { R } } V ( R ^ { T } { \mathbf { r } } + t ) d r _ { z } + n o i s e \mathbf { r } \qquad { \mathbf { r } } = ( r _ { x } , r _ { y } , r _ { z } ) ^ { T } +$$ + +where $V$ is the electron density (volume), $R \in S O ( 3 )$ , the 3D rotation group, is an unknown orientation of the volume, and $t = ( t x , t y , 0 )$ is an unknown in-plane translation, corresponding to imperfect centering of the volume within the image. The image signal is convolved with $g$ , the point spread function for the microscope before being corrupted with frequency-dependent noise and registered on a discrete grid of size DxD, where $\mathrm { D }$ is the size of the image along one dimension. + +The reconstruction problem is simplified by the observation that the Fourier transform of a 2D projection of $V$ is a 2D slice through the origin of $V$ in the Fourier domain, where the slice is perpendicular to the projection direction. This correspondence is known as the Fourier slice theorem (Bracewell (1956)). In the Fourier domain, the generative process for image $\hat { X }$ from volume $\hat { V }$ can thus be written: + +$$ +\hat { X } ( k _ { x } , k _ { y } ) = \hat { g } S ( t ) A ( R ) \hat { V } ( k _ { x } , k _ { y } ) + \epsilon +$$ + +where $\hat { g } = \mathcal { F } g$ is the contrast transfer function (CTF) of the microscope, $S ( t )$ is a phase shift operator corresponding to image translation by $t$ in real space, and $A ( R ) \hat { V } = \hat { V } ( R ^ { T } ( \cdot , \cdot , 0 ) ^ { T } )$ is a linear slice operator corresponding to rotation by $R$ and linear projection along the $\mathbf { Z }$ -axis in real space. The frequency-dependent noise $\epsilon$ is typically modelled as independent, zero-centered Gaussian noise in Fourier space. Under this model, the probability of of observing an image $\hat { X }$ with pose $\phi = ( R , t )$ from volume $\hat { V }$ is thus: + +$$ +p ( \hat { X } | \phi , \hat { V } ) = p ( \hat { X } | R , t , \hat { V } ) = \frac { 1 } { Z } \exp \Bigg ( \sum _ { l } \frac { - 1 } { 2 \sigma _ { l } ^ { 2 } } \left| \hat { g } _ { l } A _ { l } ( R ) \hat { V } - S _ { l } ( t ) \hat { X } _ { l } \right| ^ { 2 } \Bigg ) +$$ + +where $l$ is a two-component index over Fourier coefficients for the image, $\sigma _ { l }$ is the width of the Gaussian noise expected at each frequency, and $Z$ is a normalization constant. + +# 2.2 TRADITIONAL CRYO-EM RECONSTRUCTION + +To recover the desired structure, cryo-EM reconstruction methods must jointly solve for the unknown volume $V$ and image poses $\phi _ { i } = ( R _ { i } , t _ { i } )$ . Expectation maximization (Scheres (2012a)) and simpler variants of coordinate ascent are typically employed to find a maximum a posteriori estimate of $V$ marginalizing over the posterior distribution of $\phi _ { i }$ ’s, i.e.: + +$$ +V ^ { \mathrm { M A P } } = \underset { V } { \arg \operatorname* { m a x } } \sum _ { i = 1 } ^ { N } \log \int p ( X _ { i } | \phi , V ) p ( \phi ) d \phi + \log p ( V ) +$$ + +Intuitively, given $V ^ { ( n ) }$ , the estimate of the volume at iteration $n$ , images are first aligned with $V ^ { ( n ) }$ (Estep), then with the updated alignments, the images are backprojected to yield $V ^ { ( n + 1 ) }$ (M-step). This iterative refinement procedure is sensitive to the initial estimate of $V$ as the optimization objective is highly nonconvex; stochastic gradient descent is commonly used for ab initio reconstruction1 to provide an initial estimate $V ^ { ( 0 ) }$ (Punjani et al. (2017)). + +Given sample heterogeneity, the standard approach in the cryo-EM field is to simultaneously reconstruct $K$ independent volumes. Termed multiclass refinement, the image formation model is extended to assume images are generated from $V _ { 1 } , . . . , V _ { K }$ independent volumes, with inference now requiring marginalization over $\phi _ { i }$ ’s and class assignment probabilities $\pi _ { j }$ ’s: + +$$ +\underset { V _ { 1 } , . . . , V _ { K } } { \arg \operatorname* { m a x } } \ \sum _ { i = 1 } ^ { N } \log \sum _ { j = 1 } ^ { K } \left( \pi _ { j } \int p ( X _ { i } | \phi , V _ { j } ) p ( \phi ) d \phi \right) + \sum _ { j = 1 } ^ { K } \log p ( V _ { j } ) +$$ + +While this formulation is sufficiently descriptive when the structural heterogeneity consists of a small number of discrete conformations, it suffers when the heterogeneity is complex or when conformations lie along a continuum of states. In practice, resolving such heterogeneity is handled through a hierarchical approach refining subsets of the imaging dataset with manual choices for the number of classes and the initial models for refinement. Because the number and nature of the underlying structural states are unknown, multiclass refinement is error-prone, and in general, the identification and analysis of heterogeneity is an open problem in single particle cryo-EM. + +# 3 METHODS + +We propose a neural network-based reconstruction method, cryoDRGN (Deep Reconstructing Generative Networks), that can perform ab-initio unsupervised reconstruction of a continuous distribution over 3D volumes from unlabeled 2D images (Figure 2). We formulate an image encoder-volume decoder architecture based on the variational autoencoder (VAE) (Kingma & Welling (2013)), where protein structural heterogeneity is modeled in the latent variable. While a standard VAE assumes all sources of image heterogeneity are entangled in the latent variable, we propose an architecture that enables modelling the intrinsic heterogeneity of the volume separately from the extrinsic orientation of the volume during imaging. Our end-to-end training framework explicitly models the forward image formation process to relate 2D views to 3D volumes and employs two separate strategies for inference: a variational approach for the unconstrained latent variables and a global search over $S O ( 3 ) \times \mathbb { R } ^ { 2 }$ for the unknown pose of each image. These elements are described in further detail below. + +# 3.1 GENERATIVE MODEL + +We design a deep generative model to approximate a single function, $\hat { V } : \mathbb { R } ^ { 3 + n } \mathbb { R }$ , representing a n-dimensional manifold of 3D electron densities in the Fourier domain. Specifically, the volume $\hat { V }$ is modelled as a probabilistic decoder $p _ { \theta } ( \hat { V } | k , z )$ , where $\theta$ are parameters of a multilayer perceptron (MLP). Given Cartesian coordinates $k \in \mathbb { R } ^ { 3 }$ and continuous latent variable $z$ , the decoder outputs distribution parameters for a Gaussian distribution over $\hat { V } ( \boldsymbol { k } , z )$ , i.e. the electron density of volume $\hat { V } _ { z }$ at frequency $k$ in Fourier space. Unlike a standard deconvolutional decoder which produces a separate distribution for each voxel of a $D ^ { 3 }$ lattice given the latent variable, following spatial-VAE, we model a function over Cartesian coordinates (Bepler et al. (2019)). Here, these coordinates are explicitly treated as each pixel’s location in 3D Fourier space and thus enforce the topological constraints between 2D views in 3D via the Fourier slice theorem. + +By the image formation model, each image corresponds to an oriented central slice of the 3D volume in the Fourier domain (Section 2). During training, the 3D coordinates of an image’s pixels can be explicitly represented by the rotation of a $\mathrm { D x D }$ lattice initially on the $\mathbf { X }$ -y plane. Under this model, the log probability of an image, $\hat { X }$ , represented as a vector of size DxD, given the current MLP, latent pose variables $\bar { R ^ { \prime } } \in S O ( 3 )$ and $t \in \mathbb { R } ^ { 2 }$ , and unconstrained latent variable, $z$ , is: + +$$ +\log p ( \hat { X } | R , t , z ) = \log p ( \hat { X } ^ { \prime } | R , z ) = \sum _ { i } \log p _ { \theta } ( \hat { V } | R ^ { T } c _ { 0 } ^ { ( i ) } , z ) +$$ + +where $i$ indexes over the coordinates of a fixed lattice $c _ { 0 }$ . Note that ${ \hat { X } } ^ { \prime } = S ( - t ) { \hat { X } }$ is the centered image, where $S$ is the phase shift operator corresponding to image translation in real space. We define $c _ { 0 }$ as a vector of 3D coordinates of a fixed lattice spanning $[ - 0 . { \overset { - } { . } } , 0 . 5 ] ^ { 2 }$ on the x-y plane to represent the unoriented coordinates of an image’s pixels. + +Instead of directly supplying $k$ , a fixed positional encoding of $k$ is supplied to the decoder, consisting of sine and cosine waves of varying frequency: + +$$ +p e ^ { ( 2 i ) } ( k _ { j } ) = s i n ( k _ { j } D \pi ( 2 / D ) ^ { 2 i / D } ) , i = 1 , . . . , D / 2 ; k _ { j } \in k +$$ + +$$ +p e ^ { ( 2 i + 1 ) } ( k _ { j } ) = c o s ( k _ { j } D \pi ( 2 / D ) ^ { 2 i / D } ) , i = 1 , . . . , D / 2 ; k _ { j } \in k +$$ + +Without loss of generality, we assume a length scale by our definition of $c _ { 0 }$ which restricts the support of the volume to a sphere of radius 0.5. The wavelengths of the positional encoding thus follow a geometric series spanning the Fourier basis from wavelength 1 to the Nyquist limit $( 2 / D )$ of the image data. While this encoding empirically works well for noiseless data, we obtain better results with a slightly modified featurization for noisy datasets consisting of a geometric series which excludes the top 10 percentile of highest frequency components of the noiseless positional encoding. + +# 3.2 INFERENCE + +We employ a standard VAE for approximate inference of the latent variable $z$ , but use a global search to infer the pose $\phi = ( R , t )$ using a branch and bound algorithm. + +Variational encoder: As each cryo-EM image is a noisy projection of an instance of the volume at a random, unknown pose (viewing direction), the image encoder aims to learn a pose-invariant representation of the protein’s structural heterogeneity. Following the standard VAE framework, the probabilistic encoder $q _ { \xi } ( z | \hat { X } )$ is a MLP with variational parameters $\xi$ and Gaussian output with diagonal covariance. Given an input cryo-EM image $\hat { X }$ , represented as a $\mathrm { D x D }$ vector, the encoder MLP outputs $\mu _ { z | \hat { X } }$ and $\Sigma _ { z | \hat { X } }$ , statistics that parameterize an approximate posterior to the intractable true posterior $p ( z | \hat { X } )$ . The prior on $z$ is a standard normal, $\mathcal { N } ( 0 , \bf { I } )$ . + +Pose inference: We perform a global search over $S O ( 3 ) \times \mathbb { R } ^ { 2 }$ for the maximum-likelihood pose for each image given the current decoder MLP and a sampled value of $z$ from the approximate posterior. Two techniques are used to improve the efficiency of the search over poses: (1) discretizing the search space on a uniform grid and sub-dividing grid points after pruning candidate poses with branch and bound (BNB), and (2) band pass limiting the objective to low frequency components and incrementally increasing the $\mathbf { k }$ -space limit at each iteration (frequency marching). The pose inference procedure encodes the intuition that low-frequency components dominate pose estimation, and is fully described in Appendix A. + +![](images/64d07fd6dcfbb1d7fd5c33ee1818d48367f161219b241b40fe0dd316b5c883a7.jpg) +Figure 2: CryoDRGN model architecture. We use a VAE to perform approximate inference for latent variable $z$ denoting image heterogeneity. The decoder reconstructs an image pixel by pixel given $z$ and $p e ( k )$ , the positional encoding of 3D Cartesian coordinates. The 3D coordinates corresponding to each image pixel are obtained by rotating a DxD lattice on the x-y plane by $R$ , the image orientation. The latent orientation for each image is inferred through a branch and bound global optimization procedure (not shown). + +In summary, for a given image ${ \hat { X } } _ { i }$ , the image encoder produces $\mu _ { z | \hat { X _ { i } } }$ and $\Sigma _ { z | \hat { X } _ { i } }$ . A sampled value of the latent $z _ { i } \sim \mathcal N ( \mu _ { z | \hat { X } _ { i } } , \Sigma _ { z | \hat { X } _ { i } } )$ is broadcast to all pixels. Given $z _ { i }$ and the current decoder, BNB orientational search identifies the maximum likelihood rotation $R _ { i }$ and translation $t _ { i }$ for ${ \hat { X } } _ { i }$ . The decoder $p _ { \theta }$ then reconstructs the image pixel by pixel given the positional encoding of $R _ { i } ^ { T } c _ { 0 }$ and $z _ { i }$ . The phase shift corresponding to $t _ { i }$ and optionally the microscope CTF $\hat { g } _ { i }$ is then applied on the reconstructed pixel intensities. Following the standard VAE framework, the optimization objective is the variational lower bound of the model evidence: + +$$ +\mathcal { L } ( \hat { X } _ { i } ; \xi , \theta ) = \mathbb { E } _ { q _ { \xi } ( z | \hat { X } _ { i } ) } [ \log p _ { \theta } ( \hat { X } _ { i } | z ) ] - K L ( q _ { \xi } ( z | \hat { X } _ { i } ) | | p ( z ) ) +$$ + +where the expectation of the log likelihood is estimated with one Monte Carlo sample. By comparing many 2D slices from the imaging dataset, the volume can be learned through feedback from these single views. Furthermore, this learning process is denoising as overfitting to noise from a single image would lead to higher reconstruction error for other views. We note that the distribution of 3D volumes models heterogeneity within a single imaging dataset, capturing structural variation for a particular protein or biomolecular complex, and that a separate network is trained per experimental dataset. Unless otherwise specified, the encoder and decoder networks are both MLPs containing 10 hidden layers of dimension 128 with ReLU activations. Further architecture and implementation details are given in Appendix A. + +# 4 RELATED WORK + +Homogeneous cryo-EM reconstruction: Cryo-EM reconstruction is typically accomplished in two stages: 1) generation of an initial low-resolution model followed by 2) iterative refinement of the initial model with a coordinate ascent procedure alternating between projection matching and refinement of the structure. In practice, initial structures can be obtained experimentally (Leschziner & Nogales (2006)), inferred based on homology to complexes with known structure, or via ab-initio reconstruction with stochastic gradient descent (Punjani et al. (2017)). Once an initial model is generated, there are many tools for iterative refinement of the model (Scheres (2012b); Punjani et al. (2017); Hohn et al. (2007); Lyumkis, Dmitry et al. (2013); Tang et al. (2007)). For example, Scheres (2012a) presents a Bayesian approach based on a probabilistic model of the image formation process and refines the structure via Expectation Maximization. Frequency marching is used extensively in existing tools to speed up the search for the optimal pose for each image (Scheres (2012b); Barnett et al. (2016); Punjani et al. (2017)). CryoSPARC implements a branch and bound optimization scheme, where their bound is a probabilistic lower bound based on the noise characteristics from the image formation model (Punjani et al. (2017)). Ullrich et al. (2019) propose a differentiable voxelbased representation for the volume and introduce a variational inference algorithm for homogeneous reconstruction with known poses. + +Heterogeneous cryo-EM reconstruction: In the cryo-EM literature, standard approaches for addressing structural heterogeneity use mixture models of discrete, independent volumes, termed multiclass refinement (Scheres (2010); Lyumkis, Dmitry et al. (2013)). These mixture models assume that the clusters are independent and homogeneous, and in practice require many rounds of expertguided hierarchical clustering from appropriate initial volumes and manual choices for number of clusters. More recently, Nakane et al. (2018) extend the image generative model to model the protein as a sum of rigid bodies (determined from a homogeneous reconstruction), thus imposing structural assumptions on the type of heterogeneity. Frank & Ourmazd (2016) aim to build a continuous manifold of the images, however their approach requires pose supervision and final structures are obtained by clustering the images along the manifold and reconstructing with traditional tools. Recent theoretical work for continuous heterogeneous reconstruction includes expansion of discrete 3D volumes in a basis of Laplacian eigenvectors (Moscovich et al. (2019)) and a general framework for modelling hyper-volumes (Lederman et al. (2019)) e.g. as a tensor product of spatial and temporal basis functions (Lederman & Singer (2017)). To our knowledge, our work is the first to apply deep neural networks to cryo-EM reconstruction, and in doing so, is the first that can learn a continually heterogeneous volume from real cryo-EM data. + +Neural network 3D reconstruction in computer vision: There is a large body of work in computer vision on 3D object reconstruction from 2D viewpoints. While these general approaches have elements in common with single particle cryo-EM reconstruction, the problem in the context of computer vision differs substantially in that 2D viewpoints are not projections and viewing directions are typically known. For example, Yan et al. (2016) propose a neural network that can predict a 3D volume from a single 2D viewpoint using only 2D image supervision. Gadelha et al. (2017) learn a generative model over 3D object shapes based on 2D images of the objects thereby disentangling variation in shape and pose. Tulsiani et al. (2018) also reconstruct and disentangle the shape and pose of 3D objects from 2D images by enforcing geometric consistency. These works attempt to encode the viewpoint ‘projection’ operation 2 explicitly in the model in a manner similar to our use of the Fourier slice theorem. + +Coordinate-based neural networks in computer vision: Using spatial (i.e. pixel) coordinates as features to a convolutional decoder to improve generative modeling has been proposed many times, with recent work computing each image as a function of a fixed coordinate lattice and latent variables (Watters et al. (2019)). However, directly modeling a function that maps spatial coordinates to values is less extensively explored. In CocoNet, the authors present a deep neural network that maps 2D pixel coordinates to RBG color values. CocoNet learns an image model for single images, using the capacity of the network to memorize the image, which can then be used for various tasks such as denoising and upsampling (Bricman & Ionescu (2018)). Similarly, Spatial-VAE proposes a similar coordinate-based image model to enforce geometric consistency between rotated 2D images in order to learn latent image factors and disentangle positional information from image content (Bepler et al. (2019)). Our method extends many of these ideas from simpler 2D image modelling to enable 3D cryo-EM reconstruction in the Fourier domain. + +# 5 RESULTS + +Here, we present both qualitative and quantitative results for 1) homogeneous cryo-EM reconstruction, validating that cryoDRGN reconstructed volumes match those from existing tools; 2) heterogeneous cryo-EM reconstruction with pose supervision, demonstrating automatic learning of the latent manifold that previously required many expert-guided rounds of multiclass refinement; and 3) fully unsupervised reconstruction of continuous distributions of 3D protein structures, a capability not provided by any existing tool. + +# 5.1 UNSUPERVISED HOMOGENEOUS RECONSTRUCTION + +We first evaluate cryoDRGN on homogeneous datasets, where existing tools are capable of reconstruction. We create two synthetic datasets following the cryo-EM image formation model (image size $\scriptstyle \mathrm { D } = 1 2 8$ , 50k projections, with and without noise), and use one real dataset from EMPIAR-10028 consisting of 105,247 images of the 80S ribosome downsampled to image size $\scriptstyle \mathrm { D = } 9 0$ . The encoder network is not used in homogeneous reconstruction. As a baseline for comparison, we perform homogeneous $a b$ -initio reconstruction followed by iterative refinement in cryoSPARC (Punjani et al. (2017)). We compare against cryoSPARC as a representative of traditional state-of-the-art tools, which all implement variants of the same algorithm (Section 2). Further dataset preprocessing and training details are given in Appendix B. + +We find that cryoDRGN inferred poses and reconstructed volumes match those from state ofthe-art tools. The similarity of the volumes to the ground truth can be quantified with the with the Fourier shell correlation (FSC) curve3. Reconstructed volumes and quantitative comparison with the FSC curve is given in Figure S5. Pose error to the ground truth image poses are + +
MethodDataset
cryoSPARCNo NoiseSNR=0.1 0.002/0.64
cryoDRGN0.0009/ /0.47
0.0004/0.270.003/0.38
+ +Table 1: Homogeneous reconstruction pose accuracy quantified by median rotation/translation error to the ground truth image poses. Rotation/translation error is defined as the Frobenius/L2 norm after alignment. + +given in Table 1. For the real cryoEM dataset (no ground truth), the median pose difference between cryoDRGN and cryoSPARC reconstructions is 0.002 for rotations and 1.0 pixels for translations, and the resulting volumes are correlated above a FSC cutoff of 0.5 across all frequencies. + +# 5.2 HETEROGENEOUS RECONSTRUCTION WITH POSE SUPERVISION + +Next, we evaluate cryoDRGN for heterogeneous cryo-EM reconstruction on EMPIAR-10076, a real dataset of the $E$ . coli large ribosomal subunit (LSU) undergoing assembly (131,899 images, downsampled to ${ \mathrm { D } } { = } 9 0 \ \mathrm { \Omega }$ ) (Davis et al. (2016)). Here, poses are obtained through alignment to an existing structure of the LSU and treated as known during training. In the original analysis of this dataset, multiple rounds of discrete multiclass refinement with varying number of classes followed by human comparison of similar volumes were used to identify 4 major structural states of the LSU. We train cryoDRGN with a 1-D latent variable treating image pose as fixed to skip BNB pose inference. As a baseline, we reproduce the published structures originally obtained through multiclass refinement with cryoSPARC. Further baseline and training details are given in Appendix C. + +We find that CryoDRGN automatically identifies all 4 major states of the LSU (Figure 3a). Quantitative comparison with FSC curves3 and additional volumes along the latent space are shown in Figure S7. We compare the cryoDRGN latent encoding $\mu _ { z | X }$ for each image to the MAP cluster assignment in cryoSPARC and find that the learned latent manifold aligns with cryoSPARC clusters (Figure 3b). CryoDRGN identifies subpopulations in some of the cryoSPARC clusters (e.g. Class D), which is partitioned by a subsequent round of cryoSPARC multiclass refinement (Figure S8). Published structures A and F correspond to impurities in the sample. CryoDRGN correctly assigns images from these impurities to distinct clusters, but does not learn their correct structure since the poses inferred from aligning to the LSU template structure are incorrect. + +![](images/9ff987877cdff70d7819ffb68f08081f9e72f5fa05de0382ebf7da92f3f7385d.jpg) +Figure 3: a) Volumes generated at values of the latent (at dashed lines) match the published volumes of the 4 major states B-E of the LSU. b) Distribution of images in the latent space, colored by cluster assignment from a discrete multiclass reconstruction in cryoSPARC. + +![](images/717ead72ccbe90aeed1b057b1c308446d930544ca0fc4e8c2eef7119b099dec8.jpg) +Figure 4: Left: Ground truth volume containing a continuous circular 1D motion. Middle: Reconstructed structures from cryoDRGN match the ground truth volumes with the correct continuous deformation. We visualize 10 structures (superimposed) sampled at the depicted points in the latent space. The distribution of images in the latent space (visualized in 2D with PCA) matches the topology of the true data manifold. Right: Reconstructed volumes from discrete 3-class reconstruction in cryoSPARC and the distribution of images over the three reconstructed volumes. + +
DatasetcryoDRGNcryoDRGN+tiltcryoSPARC
Linear 1D motion2.50(0.62)2.35(0.36)3.60(2.27)
Linear 2D motion4.44(2.50)2.93(1.02)6.90(3.77)
Circular :1D motion4.05(2.40)2.63(0.74)4.87(2.17)
Discrete 10 class4.95(3.16)2.58(1.00)5.69(5.15)
+ +Table 2: Reconstruction accuracy quantified by an $\mathrm { F S C } { = } 0 . 5$ resolution metric between the reconstructed volumes corresponding to each image and its ground truth volume. We report the average and standard deviation across 100 images in the dataset (lower is better; best possible is 2 pixels). + +# 5.3 UNSUPERVISED HETEROGENEOUS RECONSTRUCTION + +We test the ability of cryoDRGN to perform fully unsupervised heterogeneous reconstruction from datasets with different latent structure. We generate four datasets (each $5 0 \mathrm { k }$ projections, $\scriptstyle \mathrm { D = 6 4 }$ ) from an atomic model of a protein complex, containing either a 1D continuous motion, 2D continuous motion, 1D continuous circular motion, or a mixture of 10 discrete conformations (Figure S7). We train cryoDRGN with a 1D latent variable for the linear 1D dataset and a 10D latent variable for the other 3 datasets. As a baseline, we perform multiclass reconstruction in cryoSPARC sweeping ${ \tt K } = 2 \cdot 5$ classes. We compare against ${ \mathrm { K } } { = } 3$ , which had the best qualitative results. + +We also propose a modification to cryoDRGN in order to train on tilt series pairs datasets. Tilt series pairs is a variant of cryo-EM in which, for each image $X _ { i }$ , a corresponding image $X _ { i } ^ { ' }$ is acquired after tilting the imaging stage by a known angle. This technique was originally employed to identify the chirality of molecules (Belnap et al. (1997)), which is lost in the projection from 3D to 2D. We propose using tilt series pairs to encourage invariance of $q _ { \xi }$ with respect to pose transformations for a given $\hat { V } _ { \mathbf { z } }$ (and incidentally to identify the chirality of $\hat { V } _ { \mathbf { z } }$ ). We make minor modifications to the architecture as described in Appendix D. + +In Figure 4, we show that cryoDRGN reconstructed volumes for the circular 1D dataset qualitatively match the ground truth structures. Note that while we only visualize 10 structures sampled along the latent space, the volume decoder can reconstruct the full continuum of states. In contrast, cryoSPARC multiclass reconstruction, a discrete mixture model of independent structures, is only able to reconstruct 2 (originally unaligned) structures which resemble the ground truth. Volumes contain blurring artifacts from clustering images from different conformations into the assumedhomogeneous clusters in the mixture model. Results for the remaining datasets are given in Figures S10-13. + +We quantitatively measure performance on this task with an FSC resolution metric computed between the MAP volume for each image $V _ { z _ { i } | \hat { X } _ { i } }$ and the ground truth volume which generated each image, averaged across images in the dataset (Table S4). We find that cryoDRGN reconstruction accuracy is much higher than state-of-the-art discrete multiclass reconstruction in cryoSPARC, with further improvement achieved by training on tilt series pairs. + +# 6 CONCLUSIONS + +We present a novel neural network-based reconstruction method for single particle cryo-EM that learns continuous variation in protein structure. We applied cryoDRGN on a real dataset of highly heterogeneous ribosome assembly intermediates and demonstrate automatic partitioning of structural states. In the presence of simulated continuous heterogeneity, we show that cryoDRGN learns a continuous representation of structure along the true reaction coordinate, effectively disentangling imaging orientation from intrinsic structural heterogeneity. The techniques described here may also have broader applicability to image and volume generative modelling in other domains of computer vision and 3D shape reconstruction. + +# ACKNOWLEDGMENTS + +We thank Ben Demeo, Ashwin Narayan, Adam Lerer, Roy Lederman, and Kotaro Kelley for helpful discussions and feedback. This work was funded by the National Science Foundation Graduate Research Fellowship Program, NIH grant R01-GM081871, NIH grant R00-AG050749, and the MIT J-Clinic for Machine Learning and Health. + +# REFERENCES + +Alex Barnett, Leslie Greengard, Andras Pataki, and Marina Spivak. 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Efros, and Jitendra Malik. Multi-view consistency as supervisory signal for learning shape and pose prediction. In The IEEE Conference on Computer Vision and Pattern Recognition (CVPR), June 2018. + +Karen Ullrich, Rianne van den Berg, Marcus Brubaker, David Fleet, and Max Welling. Differentiable probabilistic models of scientific imaging with the Fourier slice theorem. arXiv.org, June 2019. + +Nicholas Watters, Loic Matthey, Christopher P Burgess, and Alexander Lerchner. Spatial Broadcast Decoder: A Simple Architecture for Learning Disentangled Representations in VAEs. arXiv.org, January 2019. + +Wilson Wong, Xiao-Chen Bai, Alan Brown, Israel S Fernandez, Eric Hanssen, Melanie Condron, Yan Hong Tan, Jake Baum, and Sjors H W Scheres. Cryo-EM structure of the Plasmodium falciparum 80S ribosome bound to the anti-protozoan drug emetine. eLife, 3:e01963, June 2014. + +Xinchen Yan, Jimei Yang, Ersin Yumer, Yijie Guo, and Honglak Lee. Perspective Transformer Nets: Learning Single-View 3D Object Reconstruction without 3D Supervision. arXiv.org, December 2016. + +Anna Yershova, Swati Jain, Steven M LaValle, and Julie C Mitchell. Generating Uniform Incremental Grids on SO(3) Using the Hopf Fibration. The International Journal of Robotics Research, 29(7): 801–812, May 2010. + +# A APPENDIX - METHODS + +# A.1 BRANCH AND BOUND IMPLEMENTATION DETAILS + +We perform a global search over $S O ( 3 ) \times \mathbb { R } ^ { 2 }$ for the maximum-likelihood pose for each image given the current decoder MLP. Two techniques are used to improve the efficiency of the search over poses: (1) discretizing the search space on a uniform grid and sub-dividing grid points after pruning candidate poses with branch and bound, and (2) band pass limiting the objective to low frequency components and incrementally increasing the $\mathbf { k }$ -space limit at each iteration (frequency marching). + +Our branch and bound algorithm for pose optimization is given in Algorithm 1. Briefly, we discretize $S O ( 3 )$ uniformly using the Hopf fibration Yershova et al. (2010) at a predefined base resolution of the grid and incrementally increase the grid resolution by sub-dividing grid points. At each resolution of the grid, the set of candidate poses is pruned using a branch and bound (BNB) optimization scheme, which alternates between a computationally inexpensive lower bound on the objective function evaluated at all grid points and an upper bound consisting of the true objective evaluated on the best lower-bound candidate. Grid points whose lower bound is higher than this value are excluded for subsequent iterations. In our case, the loss is evaluated on low-frequency components of the image; specifically, Fourier components with $| \mathbf { k } | < k _ { m a x }$ is an effective lower bound, as it is both inexpensive to compute and captures most of the power (and thus the error). This bound encodes the intuition that low-frequency components dominate pose estimation. We concomitantly increase $k _ { m a x }$ at each iteration of grid subdivision. + +At each iteration, some poses are excluded by BNB, and the remaining poses are further discretized. Although BNB is risk-free in the sense that the optimal pose at a given resolution will not be pruned, our application of it is not risk-free as a candidate pose with high loss at a given resolution doesn’t guarantee that its neighbor in the next iteration will not have a lower loss. Irrespective, in practice, we find that at a sufficiently fine base resolution, we obtain good results on a tractable timescale (hours on a single GPU).4 + +We reimplement the uniform multiresolution grids on $S O ( 3 )$ based on Yershova et al. (2010), using the Healpix Gorski et al. (2005) grid for the sphere and the Hopf fibration to uniformly lift the grid to $S O ( 3 )$ . The base grid on $S O ( 3 )$ contains 576 orientations. We use the ordinary grid for translations containing $7 ^ { 2 }$ points with an extent of 20 pixels for $\scriptstyle \mathrm { D } = 1 2 8$ datasets. We subdivide the grid 5 times for a final resolution of 0.92 degrees for the orientation and 0.08 pixels for the translation. For $\scriptstyle \mathrm { D = 6 4 }$ datasets, we use a translational grid with extent of 10 pixels. + +# Algorithm 1 CryoDRGN branch and bound with frequency marching + +1: procedure $\mathrm { O P T P H I } ( \hat { X } , \hat { V } _ { \mathbf { z } } )$ . Find the optimal image pose given the current decoder +2: $k _ { m i n } \gets 1 2$ , $k _ { m a x } \gets D / 2$ , $N _ { i t e r } \gets 5$ +3: $\Phi S O ( 3 ) \times \mathbb { R } ^ { 2 }$ grid at base resolution +4: k ← kmin +5: for iter $= 1$ . . . $N _ { i t e r }$ do +6: for $\phi _ { i } \in \Phi$ do . Compute lower bound at all grid points +7: $l b ( \phi _ { i } ) \mathrm { l o s s }$ between $\hat { X }$ and SLICE $( \hat { V } _ { \mathbf { z } } , \phi _ { i } )$ at $\mathbf { k } < k$ +8: $\phi ^ { * } \gets \mathrm { a r g } \operatorname* { m i n } ( l b )$ +9: $u b \gets 1 0 \mathrm { s s }$ between $\hat { X }$ and SLICE $( \hat { V } _ { \mathbf { z } } , \phi ^ { * } )$ at $\mathbf { k } < k _ { m a x }$ . Compute upper bound +10: $\Phi _ { n e w } \{ \}$ +11: for $\phi _ { i } \in \Phi$ do $\triangleright$ Subdivide grid points below the upper bound +12: if $l b ( \phi _ { i } ) < u b$ then +13: $\begin{array} { c } { \Phi _ { n e w } \Phi _ { n e w } \cup et { } { : } \mathrm { S U B D I V I D E } ( \phi _ { i } ) } \\ { \Phi \Phi _ { n e w } } \\ { k k + ( k _ { m a x } - k _ { m i n } ) / ( N _ { i t e r } - 1 ) } \end{array}$ +14: +15: . Increase frequency band limit +16: return φ∗ + +# A.2 TRAINING DETAILS + +Given an imaging dataset, $\hat { X } _ { 1 } , . . . \hat { X } _ { N }$ , we summarize three training paradigms of cryoDRGN. 1) For homogeneous reconstruction, we only train the volume decoder $p _ { \theta }$ and perform BNB pose inference for the unknown $\phi _ { i }$ ’s for each image. 2) As an intermediate task, we can perform heterogeneous reconstruction training the image encoder $q _ { \xi }$ and the volume decoder $p _ { \theta }$ with known $\phi _ { i }$ ’s to skip BNB pose inference. 3) For fully unsupervised heterogeneous reconstruction, we jointly train $q _ { \xi }$ and $p _ { \theta }$ to learn a continuous latent representation, performing BNB pose inference for the unknown pose of each image. + +Unless otherwise specified, the encoder and decoder networks are both MLPs containing 10 hidden layers of dimension 128 with ReLU activations. A fully connected architecture is used instead of a convolutional architecture because the images are not represented in real space. + +Instead of representing both the real and imaginary components of each image, we use the closelyrelated Hartley space representation (Hartley (1942)). The Hartley transform of real-valued functions is equivalent to the real minus imaginary component of the FT, and thus is real valued. The Fourier slice theorem still holds and the error model is equivalent. + +In this work, we simplify the image generation model to Gaussian white noise. Therefore, for a given image, the negative log likelihood for a reconstructed slice from the decoder corresponds to the mean squared error between the phase-shifted image and the oriented slice from the volume decoder. We leave the implementation of a colored noise model to future work. + +We use the Adam optimizer (Kingma & Ba (2014)) with learning rate of 5e-4 for experiments involving noiseless, homogeneous datasets, and 1e-4 for all other experiments. All models are implemented in Pytorch (Paszke et al. (2017)). + +# B HOMOGENEOUS RECONSTRUCTION + +# B.1 DATASET PREPARATION + +Simulated datasets: From a ground truth 3D volume, we simulated datasets following the cryo-EM image formation model by 1) rotating the 3D volume in real space by $R$ , where $R \in S O ( 3 )$ is sampled uniformly, 2) projecting (integrating) the volume along the $\mathbf { Z }$ -axis, 3) shifting the resulting 2D image by $t$ , where $t$ is sampled uniformly from $[ - 1 0 , 1 0 ] ^ { 2 }$ pixels, and 4) optionally adding noise to an SNR of 0.1, a typical value for cryo-EM data (Baxter et al. (2009)). Following convention in the cryo-EM field, we define SNR as the ratio of the variance of the signal to the variance of the noise. We define the noise-free signal images to be the entire DxD image. $5 0 \mathrm { k }$ projections were generated for each dataset with image size of $\scriptstyle \mathrm { D } = 1 2 8$ . + +Real dataset: To generate the real cryo-EM dataset for homogeneous reconstruction, images from EMPIAR-10028 (Wong et al. (2014)) were downsampled by a factor of 4 by clipping in Fourier space. The images were then ’phase flipped’ in Fourier space by their contrast transfer function, a given real-valued function with range [-1,1] determined by the microscopy conditions, i.e. the Fourier components are negated where the CTF is negative. + +# B.2 TRAINING + +For each dataset, we train the volume decoder (10 hidden layers of dimension 128) in minibatches of 10 images with random orientations for the first epoch to learn a volume with roughly correct spatial extent, followed by 4 epochs with branch and bound (BNB) pose inference $3 0 \mathrm { m i n } ,$ /epoch noiseless, $8 0 \mathrm { m i n }$ /noisy datasets). Since BNB pose inference is the bottleneck during training, we employ a multiscale training protocol, where after 4 epochs with BNB pose inference, the latent pose is fixed, and we train a separate, larger volume decoder (10 hidden layers of dimension 500) for 15 epochs with fixed poses to "refine" the structure to high resolution (20 min/epoch). Training times are reported for 50k, $\scriptstyle \mathrm { D } = 1 2 8$ image datasets trained on a Nvidia Titan V GPU. + +![](images/bfa84434a3f3b877c46675ae633dfcbc4c6f9ef927b2783fb9d6b002298f904f.jpg) +Figure S5: Left: CryoDRGN unsupervised homogeneous reconstruction on 2 simulated datasets and 1 real cryoEM dataset matches state-of-the-art. Right: Fourier shell correlation (FSC) curves between the reconstructed volume and the ground truth volume for the synthetic ribosome datasets. + +# C HETEROGENEOUS RIBOSOME RECONSTRUCTION WITH POSE SUPERVISION + +Dataset preparation: We used the dataset from EMPIAR-10076 which contains 131,899 images of the $E$ . coli large ribosomal subunit (LSU) in various stages of assembly (Davis et al. (2016)). Images were downsampled to $\scriptstyle \mathrm { D } = 1 2 8$ by clipping in Fourier space. Poses were determined by aligning the images to a mature LSU structure obtained from a homogeneous reconstruction of the full resolution dataset in cryoSPARC, i.e. "a consensus reconstruction". + +Baseline: In the original analysis of this dataset, multiple rounds of multiclass refinement in sweeps of varying number of classes followed by expert manual alignment and clustering of similar volumes were used to identify 6 classes, labeled A-F consisting of 4 major structural states of the LSU (classes B-E) and 2 additional structures of the 70S and 30S ribosome, class A and F, respectively. + +Since the published dataset did not contain the corresponding image cluster assignments, we perform multiclass refinement in cryoSPARC using the published structures of the 6 major states, low pass filtered to $2 5 \mathring \mathrm { A }$ as initial models, to reproduce the results and obtain image cluster assignments. Aside from class A and F (low population impurities in the sample), the remaining structures correlate well with the published volumes (Figure S6). + +![](images/3f687d039cc73fe6742af66d3646b367103dab129e557c6ff2a5b749e0500292.jpg) +Figure S6: Reconstructed volumes from cryoSPARC multiclass refinement using the published structures of the 6 major states, low pass filtered to 25Åas initial models. Right: FSC curves between the cryoSPARC reconstructed and published volumes. + +cryoDRGN training: We train cryoDRGN with a 1-D latent variable in minibatches of 10 images for 200 epochs, treating image pose as fixed ( $1 1 \mathrm { m i n }$ /epoch on a Nvidia Titan V GPU). To simplify representation learning for $q _ { \xi }$ , we center and phase flip images before inputting to the encoder. We encode and decode a circle of pixels with diameter $\scriptstyle \mathrm { D } = 1 2 8$ instead of the full $1 2 8 \mathrm { x } 1 2 8$ image. + +# C.1 SUPPLEMENTARY RESULTS + +![](images/39fcc9d607945219c72a434c12d424ad7bd58ade4c7a5c24f53c7de28a5bfc17.jpg) +Figure S7: Left: Latent encoding for each image of the dataset from EMPIAR-10076. Bottom: Volumes from 12 sampled values along the latent space (dashed lines). Right: Fourier shell correlation (FSC) curves for 4 structures against the published volumes for classes B-E from corresponding to structural states of the large ribosomal subunit during assembly (Davis et al. (2016)). + +![](images/430252353fbea1b51151148074bd9391127e9da6c144c9c0d5bad670e01460c7.jpg) +Figure S8: The latent encoding aligns with cluster assignments from a successive round of multiclass refinement in cryoSPARC on the subset of images from class $\mathrm { D }$ and E. + +# D FULLY UNSUPERVISED HETEROGENEOUS RECONSTRUCTION + +# D.1 DATASET PREPARATION + +Linear 1D motion: We generated a dataset containing one continuous degree of freedom as follows: From an atomic model of a protein complex, a single bond in the atomic model was rotated while keeping the remaining structure fixed, and 50 atomic models were sampled along this reaction coordinate. 1000 projections with random rotations and in-plane translations were generated for each model, yielding a total of $5 0 \mathrm { k }$ images, approximating a uniform distribution along a continuous reaction coordinate. + +Linear $2 D$ motion: We extended the linear 1D motion dataset by introducing a second degree of freedom from rotating a bond in the atomic model that connected a different protein in the complex. Similar to the 1D motion dataset, from a starting configuration, the original bond was rotated $+ / -$ N degrees, and 50 models were sampled along this reaction coordinate. Then from the starting conformation, the second bond was rotated $+ / - 9 0$ degrees, and 50 additional models were sampled along the second reaction coordination. 500 projections were generated from each model, yielding a total of $5 0 \mathrm { k }$ images. + +Circular 1D motion: For this dataset, we rotated a bond a full 360 degrees and sample 100 models along this circular reaction coordinate. 500 projections were generated from each model, yielding a total of 50k images. + +Discrete 10 class: For this dataset, we sampled 10 random configurations for the proteins in the complex. 5000 projection images were generated from each model, yielding a dataset containing a mixture of 10 discrete states. + +For all four datasets, random rotations were generated uniformly from $S O ( 3 )$ , and translations were sampled uniformly from $[ - 5 , 5 ]$ pixels. The image size was $\scriptstyle \mathrm { D = 6 4 }$ with absolute spatial extent of 720Åand Nyquist limit of $2 2 . 5 \mathring \mathrm { A }$ . Schematics of the simulated motions are given in Figure S9. + +![](images/d161610d0c574cb5b109d8c5395d4597348858ae398bc7362ecbde6b6395e71e.jpg) +Figure S9: Ground truth atomic model and the heterogeneity introduced for different datasets. + +# D.2 TILT SERIES PAIRS + +Tilt series pairs is a variant of cryo-EM in which, for each image $X _ { i }$ , a corresponding image $X _ { i } ^ { ' }$ is acquired after tilting the imaging stage by a known angle. This technique was originally employed to identify the chirality of molecules (Belnap et al. (1997)), which is lost in the projection from 3D to 2D and therefore cannot be inferred from standard cryo-EM. Inferential procedures such as expectation maximization converge to one handedness or the other depending on their initialization. In multiclass reconstruction, different classes are not guaranteed to possess the same handedness even if there is a high relatedness between structures. We remark on this experimental technique as we propose using tilt series pairs to encourage invariance of $q _ { \xi }$ with respect to pose transformations for a given $\hat { V } _ { \mathbf { z } }$ (and incidentally also to identify the chirality of $\hat { V } _ { \mathbf { z } } ^ { \ \prime }$ ). To train on tilt series pairs, the encoder is split into two MLPs, the first learning an intermediate encoding of each image, and the second mapping the concatenation of the two encodings to the latent space. We use an 8 layer MLP with output dimension 128 for the former and a 2 layer MLP with input dimension 256 for the latter. All hidden layers have dimension 128. For branch and bound, the combined loss over both images is evaluated for each grid point of $S O ( 3 ) \times \mathbb { R } ^ { 2 }$ . To generate the image $X _ { t i l t , i }$ associated with $X _ { i }$ , prior to rotating the volume by $R _ { i }$ , we rotate the volume by a constant 45 degrees around the $\mathbf { X }$ -axis. + +# D.3 TRAINING + +We trained cryoDRGN in minibatches of 5 images for 40 epochs without tilt series pairs and 20 epochs with tilt series pairs. We trained a 1-D latent variable for the linear 1D motion dataset, and 10-D latent variables for the remaining datasets. Random angles were used for the first epoch of training to learn roughly the correct spatial extent of the volume and BNB pose inference was used for the remaining epochs. The runtime was $1 2 0 \mathrm { m i n }$ /epoch vs 2 min/epoch with and without BNB pose inference, respectively, on a Nvidia Titan V GPU. + +![](images/ecea187e63e2adc773ec2ad64fa26df6ab001cbe09b77bed4b3609e888caabfc.jpg) +Figure S10: Reconstruction results for the linear 1D dataset by cryoDRGN and by discrete multiclass reconstruction in cryoSPARC. Top: Reconstructed structures from cryoDRGN sampled along the latent space (at depicted points) matches the ground truth variation. The predicted latent encoding correlates with the ground truth latent degree of freedom. Middle: CryoDRGN results with tilt series Bottom: Reconstructed volumes and the distribution of images over clusters from discrete multiclass reconstruction in cryoSPARC. Volumes are visualized at high and low isosurface, showing artifacts in the cryoSPARC structures. + +![](images/08d8f5c9aefc7d63f161f3b6ac00ef2de672ef230673e0216f06fda2b971d43b.jpg) +Figure S11: Reconstruction results for the circular 1D dataset by cryoDRGN and by discrete multiclass reconstruction in cryoSPARC. Top: Reconstructed structures from cryoDRGN sampled along the latent space (at depicted points) matches the ground truth variation. The distribution of images in the latent space matches the ciruclar topology of the true data manifold. Middle: CryoDRGN results with tilt series Bottom: Reconstructed volumes and the distribution of images over clusters from discrete multiclass reconstruction in cryoSPARC. Volumes are visualized at high and low isosurface, showing artifacts in the cryoSPARC structures. + +![](images/b72b84a5ef29c3f14acaeeb8ff97a98c3bb83c2f05b6d3f6de0eca8bb3682f4c.jpg) +Figure S12: Reconstruction results for the linear 2D dataset by cryoDRGN and by discrete multiclass reconstruction in cryoSPARC. Top: Reconstructed structures from cryoDRGN sampled along the latent space (at depicted points) roughly matches the ground truth variation, however the distribution of images in the latent space does not recapitulate the true data manifold well. Middle: CryoDRGN results with tilt series reconstructs the true structural variation and the distribution of images in the latent space matches the topology of the true data manifold. Bottom: Reconstructed volumes and the distribution of images over clusters from discrete multiclass reconstruction in cryoSPARC. CryoSPARC volumes are visualized at high and low isosurface, showing artifacts at low isosurface + +![](images/2cea5c75726d20dea06cbe5df7f6155799f13068fcb4292a99d7fbd46f79c53b.jpg) +Figure S13: Reconstruction results for the dataset containing 10 discrete structures by cryoDRGN and by discrete multiclass reconstruction in cryoSPARC. Top: The majority of reconstructed structures from cryoDRGN sampled along the latent space (at depicted points) matches the ground truth structures, however some are incorrect (red boxes), and the learned data manifold is not well separated into clusters. Middle: CryoDRGN results with tilt series reconstructs the 10 structures and clusters the images in the latent space accordingly. Bottom: Reconstructed volumes from discrete multiclass reconstruction in cryoSPARC and the distribution of images over clusters. CryoSPARC learns 8 out of 10 structures correctly. + +Table S3: Relationship between number of classes in cryoSPARC and reconstruction accuracy quantified by an $\mathrm { F S C } { = } 0 . 5$ resolution metric between the reconstructed volumes corresponding to each image and its ground truth volume. We report the average and standard deviation across 100 images in the dataset (lower is better; best possible is 2 pixels). + +
cryoSPARC
DatasetK=2K=3K=4K=5
Linear 1D1 motion5.11(3.82)3.60(2.27)7.40(4.16)7.59(4.58)
Linear 2D motion6.89(2.21)6.90(3.77)5.98(2.10)6.76(4.47)
Circular 1D motion5.16(2.70)4.87(2.17)7.50(3.32)4.62(1.93)
+ +
DatasetcryoDRGNcryoDRGN+tilt
z-D=1z-D=2z-D=10z-D=1z-D=2z-D=10
Linear 1D motion2.50(0.62)2.34(0.12)12.35(0.36)2.43(0.26)1
Linear 2D motion7.16(4.69)4.38(3.15)4.44(2.50)3.38(1.18)2.97(1.24)2.93(1.02)
Circular 1D motion5.61(4.36)4.95(2.91)4.05(2.40)3.12(0.96)2.65(0.67)2.63(0.74)
+ +Table S4: Relationship between $z$ dimension in cryoDRGN and reconstruction accuracy quantified by an $\mathrm { F S C } { = } 0 . 5$ resolution metric between the reconstructed volumes corresponding to each image and its ground truth volume. We report the average and standard deviation across 100 images in the dataset (lower is better; best possible is 2 pixels). \ No newline at end of file diff --git a/parse/train/SJxUjlBtwB/SJxUjlBtwB_content_list.json b/parse/train/SJxUjlBtwB/SJxUjlBtwB_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..43a62a059083ddfe1b37e7c6fca995128dd350cf --- /dev/null +++ b/parse/train/SJxUjlBtwB/SJxUjlBtwB_content_list.json @@ -0,0 +1,1975 @@ +[ + { + "type": "text", + "text": "RECONSTRUCTING CONTINUOUS DISTRIBUTIONS OF 3D PROTEIN STRUCTURE FROM CRYO-EM IMAGES ", + "text_level": 1, + "bbox": [ + 176, + 101, + 823, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Ellen D. Zhong MIT zhonge@mit.edu ", + "bbox": [ + 183, + 170, + 323, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Tristan Bepler MIT tbepler@mit.edu ", + "bbox": [ + 348, + 170, + 496, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Joseph H. Davis∗ MIT jhdavis@mit.edu ", + "bbox": [ + 521, + 170, + 671, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Bonnie Berger∗ MIT bab@mit.edu ", + "bbox": [ + 694, + 170, + 805, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 452, + 250, + 544, + 263 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Cryo-electron microscopy (cryo-EM) is a powerful technique for determining the structure of proteins and other macromolecular complexes at near-atomic resolution. In single particle cryo-EM, the central problem is to reconstruct the 3D structure of a macromolecule from $1 0 ^ { 4 - 7 }$ noisy and randomly oriented 2D projection images. However, the imaged protein complexes may exhibit structural variability, which complicates reconstruction and is typically addressed using discrete clustering approaches that fail to capture the full range of protein dynamics. Here, we introduce a novel method for cryo-EM reconstruction that extends naturally to modeling continuous generative factors of structural heterogeneity. This method encodes structures in Fourier space using coordinate-based deep neural networks, and trains these networks from unlabeled 2D cryo-EM images by combining exact inference over image orientation with variational inference for structural heterogeneity. We demonstrate that the proposed method, termed cryoDRGN, can perform ab initio reconstruction of 3D protein complexes from simulated and real 2D cryo-EM image data. To our knowledge, cryoDRGN is the first neural networkbased approach for cryo-EM reconstruction and the first end-to-end method for directly reconstructing continuous ensembles of protein structures from cryo-EM images. ", + "bbox": [ + 233, + 281, + 766, + 530 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 556, + 336, + 573 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Cryo-electron microscopy (cryo-EM) is a Nobel Prize-winning technique capable of determining the structure of proteins and macromolecular complexes at near-atomic resolution. In a single particle cryo-EM experiment, a purified solution of the target protein or biomolecular complex is frozen in a thin layer of vitreous ice and imaged at sub-nanometer resolution using an electron microscope. After initial preprocessing and segmentation of the raw data, the dataset typically comprises $1 0 ^ { 4 ^ { 2 } - 7 }$ noisy projection images. Each image contains a separate instance of the molecule, recorded as the molecule’s electron density integrated along the imaging axis (Figure 1). A major bottleneck in cryo-EM structure determination is the computational task of 3D reconstruction, where the goal is to solve the inverse problem of learning the structure, i.e. the 3D electron density volume, which gave rise to the projection images. Unlike classic tomographic reconstruction (e.g. MRI), cryoEM reconstruction is complicated by the unknown orientation of each copy of the molecule in the ice. Furthermore, cryo-EM reconstruction algorithms must handle challenges such as an extremely low signal to noise ratio (SNR), unknown in-plane translations, imperfect signal transfer due to microscope optics, and discretization of the measurements. Despite these challenges, continuing advances in hardware and software have enabled structure determination at near-atomic resolution for rigid proteins (Kühlbrandt (2014); Scheres (2012b); Renaud et al. (2018); Li et al. (2013)). ", + "bbox": [ + 174, + 588, + 825, + 810 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Many proteins and other biomolecules are intrinsically flexible and undergo large conformational changes to perform their function. Since each cryo-EM image contains a unique instance of the molecule of interest, cryo-EM has the potential to resolve structural heterogeneity, which is experimentally infeasible with other structural biology techniques such as X-ray crystallography. However, this heterogeneity poses a substantial challenge for reconstruction as each image is no longer of the same structure. Traditional reconstruction algorithms address heterogeneity with discrete clustering approaches, however, protein conformations are continuous and may be poorly approximated with discrete clusters (Malhotra & Udgaonkar (2016); Nakane et al. (2018)). ", + "bbox": [ + 174, + 818, + 825, + 901 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 103, + 823, + 132 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Here, we introduce a neural network-based reconstruction algorithm that learns a continuous low-dimensional manifold over a protein’s conformational states from unlabeled 2D cryoEM images. We present an end-to-end learning framework for a generative model over 3D volumes using an image encoder-volume decoder neural network architecture. Extending spatialVAE, we formulate our decoder as a function of 3D Cartesian coordinates and unconstrained latent variables representing factors of image variation that we expect to result from protein structural heterogeneity (Bepler et al. (2019)). All inference is performed in Fourier space, which allows us to efficiently relate 2D projections to 3D volumes via the Fourier slice theorem. By ", + "bbox": [ + 174, + 140, + 485, + 359 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/0045f395a228725789bd5c4a7ea1b90d737e736f586b4cc2282dbeb4591c0ce0.jpg", + "image_caption": [ + "Figure 1: Cryo-EM reconstruction algorithms tackle the inverse problem of determining the 3D electron density volume from 104−7 noisy images. Each image is a noisy projection of a unique instance of the molecule suspended in ice at a random orientation. Algorithms must jointly learn the volume and the orientation of each particle image. Example image from Wong et al. (2014). " + ], + "image_footnote": [], + "bbox": [ + 537, + 148, + 776, + 251 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "formulating our decoder as a function of Cartesian coordinates, we can explicitly model the imaging operation to disentangle the orientation of the molecule during imaging from intrinsic protein structural heterogeneity. Our learning framework avoids errant local minima in image orientation by optimizing with exact inference over a discretization of $S O ( 3 ) \\times \\mathbb { R } ^ { 2 }$ using a branch and bound algorithm. The unconstrained latent variables are trained in the standard variational autoencoder approach. We present results on both real and simulated cryo-EM data. ", + "bbox": [ + 174, + 361, + 826, + 444 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 BACKGROUND AND NOTATION", + "text_level": 1, + "bbox": [ + 176, + 464, + 460, + 479 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 IMAGE FORMATION MODEL ", + "text_level": 1, + "bbox": [ + 176, + 496, + 408, + 510 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Cryo-EM aims to recover a structure of interest $V : \\mathbb { R } ^ { 3 } \\mathbb { R }$ consisting of an electron density at each point in space based on a collection of noisy images $X _ { 1 } , . . . , X _ { N }$ produced by projecting (i.e. integrating) the volume in an unknown orientation along the imaging axis. Formally, the generation of image $X$ can be modeled as: ", + "bbox": [ + 173, + 521, + 826, + 578 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/cab74d64567fdafc820f3ed37157638d9a739ffe4bd3c7e940ca7023a98d77c4.jpg", + "text": "$$\nX ( r _ { x } , r _ { y } ) = g * \\int _ { \\mathbb { R } } V ( R ^ { T } { \\mathbf { r } } + t ) d r _ { z } + n o i s e \\mathbf { r } \\qquad { \\mathbf { r } } = ( r _ { x } , r _ { y } , r _ { z } ) ^ { T }\n$$", + "text_format": "latex", + "bbox": [ + 267, + 593, + 730, + 627 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $V$ is the electron density (volume), $R \\in S O ( 3 )$ , the 3D rotation group, is an unknown orientation of the volume, and $t = ( t x , t y , 0 )$ is an unknown in-plane translation, corresponding to imperfect centering of the volume within the image. The image signal is convolved with $g$ , the point spread function for the microscope before being corrupted with frequency-dependent noise and registered on a discrete grid of size DxD, where $\\mathrm { D }$ is the size of the image along one dimension. ", + "bbox": [ + 173, + 636, + 825, + 708 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The reconstruction problem is simplified by the observation that the Fourier transform of a 2D projection of $V$ is a 2D slice through the origin of $V$ in the Fourier domain, where the slice is perpendicular to the projection direction. This correspondence is known as the Fourier slice theorem (Bracewell (1956)). In the Fourier domain, the generative process for image $\\hat { X }$ from volume $\\hat { V }$ can thus be written: ", + "bbox": [ + 173, + 713, + 825, + 786 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/9a8d8d256de1a14e5b0cdb50b95aee5377773f83e3a1b252678e6b3b12906756.jpg", + "text": "$$\n\\hat { X } ( k _ { x } , k _ { y } ) = \\hat { g } S ( t ) A ( R ) \\hat { V } ( k _ { x } , k _ { y } ) + \\epsilon\n$$", + "text_format": "latex", + "bbox": [ + 369, + 803, + 630, + 823 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $\\hat { g } = \\mathcal { F } g$ is the contrast transfer function (CTF) of the microscope, $S ( t )$ is a phase shift operator corresponding to image translation by $t$ in real space, and $A ( R ) \\hat { V } = \\hat { V } ( R ^ { T } ( \\cdot , \\cdot , 0 ) ^ { T } )$ is a linear slice operator corresponding to rotation by $R$ and linear projection along the $\\mathbf { Z }$ -axis in real space. The frequency-dependent noise $\\epsilon$ is typically modelled as independent, zero-centered Gaussian noise in Fourier space. Under this model, the probability of of observing an image $\\hat { X }$ with pose $\\phi = ( R , t )$ from volume $\\hat { V }$ is thus: ", + "bbox": [ + 173, + 832, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/a3c4a671634d47963cb45b814365cba4d64bceaf3b6a2ff8f46d199d3d89e4e1.jpg", + "text": "$$\np ( \\hat { X } | \\phi , \\hat { V } ) = p ( \\hat { X } | R , t , \\hat { V } ) = \\frac { 1 } { Z } \\exp \\Bigg ( \\sum _ { l } \\frac { - 1 } { 2 \\sigma _ { l } ^ { 2 } } \\left| \\hat { g } _ { l } A _ { l } ( R ) \\hat { V } - S _ { l } ( t ) \\hat { X } _ { l } \\right| ^ { 2 } \\Bigg )\n$$", + "text_format": "latex", + "bbox": [ + 250, + 113, + 746, + 152 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $l$ is a two-component index over Fourier coefficients for the image, $\\sigma _ { l }$ is the width of the Gaussian noise expected at each frequency, and $Z$ is a normalization constant. ", + "bbox": [ + 174, + 162, + 825, + 191 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 TRADITIONAL CRYO-EM RECONSTRUCTION ", + "text_level": 1, + "bbox": [ + 174, + 208, + 521, + 223 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To recover the desired structure, cryo-EM reconstruction methods must jointly solve for the unknown volume $V$ and image poses $\\phi _ { i } = ( R _ { i } , t _ { i } )$ . Expectation maximization (Scheres (2012a)) and simpler variants of coordinate ascent are typically employed to find a maximum a posteriori estimate of $V$ marginalizing over the posterior distribution of $\\phi _ { i }$ ’s, i.e.: ", + "bbox": [ + 174, + 234, + 825, + 291 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/e3b2dd0d0611d9d1d2e5c188995bb0fdff9c177837ce9d559c913e274f49c10a.jpg", + "text": "$$\nV ^ { \\mathrm { M A P } } = \\underset { V } { \\arg \\operatorname* { m a x } } \\sum _ { i = 1 } ^ { N } \\log \\int p ( X _ { i } | \\phi , V ) p ( \\phi ) d \\phi + \\log p ( V )\n$$", + "text_format": "latex", + "bbox": [ + 302, + 297, + 696, + 342 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Intuitively, given $V ^ { ( n ) }$ , the estimate of the volume at iteration $n$ , images are first aligned with $V ^ { ( n ) }$ (Estep), then with the updated alignments, the images are backprojected to yield $V ^ { ( n + 1 ) }$ (M-step). This iterative refinement procedure is sensitive to the initial estimate of $V$ as the optimization objective is highly nonconvex; stochastic gradient descent is commonly used for ab initio reconstruction1 to provide an initial estimate $V ^ { ( 0 ) }$ (Punjani et al. (2017)). ", + "bbox": [ + 174, + 356, + 825, + 431 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Given sample heterogeneity, the standard approach in the cryo-EM field is to simultaneously reconstruct $K$ independent volumes. Termed multiclass refinement, the image formation model is extended to assume images are generated from $V _ { 1 } , . . . , V _ { K }$ independent volumes, with inference now requiring marginalization over $\\phi _ { i }$ ’s and class assignment probabilities $\\pi _ { j }$ ’s: ", + "bbox": [ + 174, + 436, + 825, + 494 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/5ce7ab193f48e4491650da972a1dbb8498ef922040b8e39e2eb8bf0aa24532d4.jpg", + "text": "$$\n\\underset { V _ { 1 } , . . . , V _ { K } } { \\arg \\operatorname* { m a x } } \\ \\sum _ { i = 1 } ^ { N } \\log \\sum _ { j = 1 } ^ { K } \\left( \\pi _ { j } \\int p ( X _ { i } | \\phi , V _ { j } ) p ( \\phi ) d \\phi \\right) + \\sum _ { j = 1 } ^ { K } \\log p ( V _ { j } )\n$$", + "text_format": "latex", + "bbox": [ + 279, + 501, + 718, + 546 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "While this formulation is sufficiently descriptive when the structural heterogeneity consists of a small number of discrete conformations, it suffers when the heterogeneity is complex or when conformations lie along a continuum of states. In practice, resolving such heterogeneity is handled through a hierarchical approach refining subsets of the imaging dataset with manual choices for the number of classes and the initial models for refinement. Because the number and nature of the underlying structural states are unknown, multiclass refinement is error-prone, and in general, the identification and analysis of heterogeneity is an open problem in single particle cryo-EM. ", + "bbox": [ + 173, + 559, + 825, + 659 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 METHODS ", + "text_level": 1, + "bbox": [ + 174, + 678, + 290, + 694 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We propose a neural network-based reconstruction method, cryoDRGN (Deep Reconstructing Generative Networks), that can perform ab-initio unsupervised reconstruction of a continuous distribution over 3D volumes from unlabeled 2D images (Figure 2). We formulate an image encoder-volume decoder architecture based on the variational autoencoder (VAE) (Kingma & Welling (2013)), where protein structural heterogeneity is modeled in the latent variable. While a standard VAE assumes all sources of image heterogeneity are entangled in the latent variable, we propose an architecture that enables modelling the intrinsic heterogeneity of the volume separately from the extrinsic orientation of the volume during imaging. Our end-to-end training framework explicitly models the forward image formation process to relate 2D views to 3D volumes and employs two separate strategies for inference: a variational approach for the unconstrained latent variables and a global search over $S O ( 3 ) \\times \\mathbb { R } ^ { 2 }$ for the unknown pose of each image. These elements are described in further detail below. ", + "bbox": [ + 173, + 709, + 825, + 876 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 GENERATIVE MODEL ", + "text_level": 1, + "bbox": [ + 174, + 103, + 361, + 117 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We design a deep generative model to approximate a single function, $\\hat { V } : \\mathbb { R } ^ { 3 + n } \\mathbb { R }$ , representing a n-dimensional manifold of 3D electron densities in the Fourier domain. Specifically, the volume $\\hat { V }$ is modelled as a probabilistic decoder $p _ { \\theta } ( \\hat { V } | k , z )$ , where $\\theta$ are parameters of a multilayer perceptron (MLP). Given Cartesian coordinates $k \\in \\mathbb { R } ^ { 3 }$ and continuous latent variable $z$ , the decoder outputs distribution parameters for a Gaussian distribution over $\\hat { V } ( \\boldsymbol { k } , z )$ , i.e. the electron density of volume $\\hat { V } _ { z }$ at frequency $k$ in Fourier space. Unlike a standard deconvolutional decoder which produces a separate distribution for each voxel of a $D ^ { 3 }$ lattice given the latent variable, following spatial-VAE, we model a function over Cartesian coordinates (Bepler et al. (2019)). Here, these coordinates are explicitly treated as each pixel’s location in 3D Fourier space and thus enforce the topological constraints between 2D views in 3D via the Fourier slice theorem. ", + "bbox": [ + 173, + 127, + 825, + 277 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "By the image formation model, each image corresponds to an oriented central slice of the 3D volume in the Fourier domain (Section 2). During training, the 3D coordinates of an image’s pixels can be explicitly represented by the rotation of a $\\mathrm { D x D }$ lattice initially on the $\\mathbf { X }$ -y plane. Under this model, the log probability of an image, $\\hat { X }$ , represented as a vector of size DxD, given the current MLP, latent pose variables $\\bar { R ^ { \\prime } } \\in S O ( 3 )$ and $t \\in \\mathbb { R } ^ { 2 }$ , and unconstrained latent variable, $z$ , is: ", + "bbox": [ + 174, + 284, + 825, + 357 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/371f3123e06f3a0e802fde1ecb66fbb067a1b897de0ca11a43c08110befe846a.jpg", + "text": "$$\n\\log p ( \\hat { X } | R , t , z ) = \\log p ( \\hat { X } ^ { \\prime } | R , z ) = \\sum _ { i } \\log p _ { \\theta } ( \\hat { V } | R ^ { T } c _ { 0 } ^ { ( i ) } , z )\n$$", + "text_format": "latex", + "bbox": [ + 295, + 372, + 702, + 406 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $i$ indexes over the coordinates of a fixed lattice $c _ { 0 }$ . Note that ${ \\hat { X } } ^ { \\prime } = S ( - t ) { \\hat { X } }$ is the centered image, where $S$ is the phase shift operator corresponding to image translation in real space. We define $c _ { 0 }$ as a vector of 3D coordinates of a fixed lattice spanning $[ - 0 . { \\overset { - } { . } } , 0 . 5 ] ^ { 2 }$ on the x-y plane to represent the unoriented coordinates of an image’s pixels. ", + "bbox": [ + 174, + 417, + 825, + 476 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Instead of directly supplying $k$ , a fixed positional encoding of $k$ is supplied to the decoder, consisting of sine and cosine waves of varying frequency: ", + "bbox": [ + 171, + 481, + 823, + 511 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/3fe35adfc10b3441a8ca228a815b81b1fc3bf91da0ff6a0ac3b37b3f43bbe594.jpg", + "text": "$$\np e ^ { ( 2 i ) } ( k _ { j } ) = s i n ( k _ { j } D \\pi ( 2 / D ) ^ { 2 i / D } ) , i = 1 , . . . , D / 2 ; k _ { j } \\in k\n$$", + "text_format": "latex", + "bbox": [ + 299, + 516, + 697, + 536 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/275fd1138325b8297c96a4588e0311aed42f4f04d0749d12c87162e50589aaf8.jpg", + "text": "$$\np e ^ { ( 2 i + 1 ) } ( k _ { j } ) = c o s ( k _ { j } D \\pi ( 2 / D ) ^ { 2 i / D } ) , i = 1 , . . . , D / 2 ; k _ { j } \\in k\n$$", + "text_format": "latex", + "bbox": [ + 292, + 560, + 705, + 580 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Without loss of generality, we assume a length scale by our definition of $c _ { 0 }$ which restricts the support of the volume to a sphere of radius 0.5. The wavelengths of the positional encoding thus follow a geometric series spanning the Fourier basis from wavelength 1 to the Nyquist limit $( 2 / D )$ of the image data. While this encoding empirically works well for noiseless data, we obtain better results with a slightly modified featurization for noisy datasets consisting of a geometric series which excludes the top 10 percentile of highest frequency components of the noiseless positional encoding. ", + "bbox": [ + 173, + 590, + 825, + 675 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 INFERENCE ", + "text_level": 1, + "bbox": [ + 174, + 691, + 295, + 705 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We employ a standard VAE for approximate inference of the latent variable $z$ , but use a global search to infer the pose $\\phi = ( R , t )$ using a branch and bound algorithm. ", + "bbox": [ + 174, + 717, + 823, + 746 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Variational encoder: As each cryo-EM image is a noisy projection of an instance of the volume at a random, unknown pose (viewing direction), the image encoder aims to learn a pose-invariant representation of the protein’s structural heterogeneity. Following the standard VAE framework, the probabilistic encoder $q _ { \\xi } ( z | \\hat { X } )$ is a MLP with variational parameters $\\xi$ and Gaussian output with diagonal covariance. Given an input cryo-EM image $\\hat { X }$ , represented as a $\\mathrm { D x D }$ vector, the encoder MLP outputs $\\mu _ { z | \\hat { X } }$ and $\\Sigma _ { z | \\hat { X } }$ , statistics that parameterize an approximate posterior to the intractable true posterior $p ( z | \\hat { X } )$ . The prior on $z$ is a standard normal, $\\mathcal { N } ( 0 , \\bf { I } )$ . ", + "bbox": [ + 173, + 752, + 825, + 862 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Pose inference: We perform a global search over $S O ( 3 ) \\times \\mathbb { R } ^ { 2 }$ for the maximum-likelihood pose for each image given the current decoder MLP and a sampled value of $z$ from the approximate posterior. Two techniques are used to improve the efficiency of the search over poses: (1) discretizing the search space on a uniform grid and sub-dividing grid points after pruning candidate poses with branch and bound (BNB), and (2) band pass limiting the objective to low frequency components and incrementally increasing the $\\mathbf { k }$ -space limit at each iteration (frequency marching). The pose inference procedure encodes the intuition that low-frequency components dominate pose estimation, and is fully described in Appendix A. ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/64d07fd6dcfbb1d7fd5c33ee1818d48367f161219b241b40fe0dd316b5c883a7.jpg", + "image_caption": [ + "Figure 2: CryoDRGN model architecture. We use a VAE to perform approximate inference for latent variable $z$ denoting image heterogeneity. The decoder reconstructs an image pixel by pixel given $z$ and $p e ( k )$ , the positional encoding of 3D Cartesian coordinates. The 3D coordinates corresponding to each image pixel are obtained by rotating a DxD lattice on the x-y plane by $R$ , the image orientation. The latent orientation for each image is inferred through a branch and bound global optimization procedure (not shown). " + ], + "image_footnote": [], + "bbox": [ + 214, + 101, + 787, + 253 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 345, + 825, + 402 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In summary, for a given image ${ \\hat { X } } _ { i }$ , the image encoder produces $\\mu _ { z | \\hat { X _ { i } } }$ and $\\Sigma _ { z | \\hat { X } _ { i } }$ . A sampled value of the latent $z _ { i } \\sim \\mathcal N ( \\mu _ { z | \\hat { X } _ { i } } , \\Sigma _ { z | \\hat { X } _ { i } } )$ is broadcast to all pixels. Given $z _ { i }$ and the current decoder, BNB orientational search identifies the maximum likelihood rotation $R _ { i }$ and translation $t _ { i }$ for ${ \\hat { X } } _ { i }$ . The decoder $p _ { \\theta }$ then reconstructs the image pixel by pixel given the positional encoding of $R _ { i } ^ { T } c _ { 0 }$ and $z _ { i }$ . The phase shift corresponding to $t _ { i }$ and optionally the microscope CTF $\\hat { g } _ { i }$ is then applied on the reconstructed pixel intensities. Following the standard VAE framework, the optimization objective is the variational lower bound of the model evidence: ", + "bbox": [ + 173, + 409, + 825, + 517 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/1ee3f8e5f167b39b12ec03824854196da650e2e9dd3c9c2290188df9eda821bd.jpg", + "text": "$$\n\\mathcal { L } ( \\hat { X } _ { i } ; \\xi , \\theta ) = \\mathbb { E } _ { q _ { \\xi } ( z | \\hat { X } _ { i } ) } [ \\log p _ { \\theta } ( \\hat { X } _ { i } | z ) ] - K L ( q _ { \\xi } ( z | \\hat { X } _ { i } ) | | p ( z ) )\n$$", + "text_format": "latex", + "bbox": [ + 294, + 534, + 702, + 556 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where the expectation of the log likelihood is estimated with one Monte Carlo sample. By comparing many 2D slices from the imaging dataset, the volume can be learned through feedback from these single views. Furthermore, this learning process is denoising as overfitting to noise from a single image would lead to higher reconstruction error for other views. We note that the distribution of 3D volumes models heterogeneity within a single imaging dataset, capturing structural variation for a particular protein or biomolecular complex, and that a separate network is trained per experimental dataset. Unless otherwise specified, the encoder and decoder networks are both MLPs containing 10 hidden layers of dimension 128 with ReLU activations. Further architecture and implementation details are given in Appendix A. ", + "bbox": [ + 173, + 565, + 825, + 691 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 712, + 344, + 728 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Homogeneous cryo-EM reconstruction: Cryo-EM reconstruction is typically accomplished in two stages: 1) generation of an initial low-resolution model followed by 2) iterative refinement of the initial model with a coordinate ascent procedure alternating between projection matching and refinement of the structure. In practice, initial structures can be obtained experimentally (Leschziner & Nogales (2006)), inferred based on homology to complexes with known structure, or via ab-initio reconstruction with stochastic gradient descent (Punjani et al. (2017)). Once an initial model is generated, there are many tools for iterative refinement of the model (Scheres (2012b); Punjani et al. (2017); Hohn et al. (2007); Lyumkis, Dmitry et al. (2013); Tang et al. (2007)). For example, Scheres (2012a) presents a Bayesian approach based on a probabilistic model of the image formation process and refines the structure via Expectation Maximization. Frequency marching is used extensively in existing tools to speed up the search for the optimal pose for each image (Scheres (2012b); Barnett et al. (2016); Punjani et al. (2017)). CryoSPARC implements a branch and bound optimization scheme, where their bound is a probabilistic lower bound based on the noise characteristics from the image formation model (Punjani et al. (2017)). Ullrich et al. (2019) propose a differentiable voxelbased representation for the volume and introduce a variational inference algorithm for homogeneous reconstruction with known poses. ", + "bbox": [ + 173, + 742, + 825, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 103, + 823, + 145 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Heterogeneous cryo-EM reconstruction: In the cryo-EM literature, standard approaches for addressing structural heterogeneity use mixture models of discrete, independent volumes, termed multiclass refinement (Scheres (2010); Lyumkis, Dmitry et al. (2013)). These mixture models assume that the clusters are independent and homogeneous, and in practice require many rounds of expertguided hierarchical clustering from appropriate initial volumes and manual choices for number of clusters. More recently, Nakane et al. (2018) extend the image generative model to model the protein as a sum of rigid bodies (determined from a homogeneous reconstruction), thus imposing structural assumptions on the type of heterogeneity. Frank & Ourmazd (2016) aim to build a continuous manifold of the images, however their approach requires pose supervision and final structures are obtained by clustering the images along the manifold and reconstructing with traditional tools. Recent theoretical work for continuous heterogeneous reconstruction includes expansion of discrete 3D volumes in a basis of Laplacian eigenvectors (Moscovich et al. (2019)) and a general framework for modelling hyper-volumes (Lederman et al. (2019)) e.g. as a tensor product of spatial and temporal basis functions (Lederman & Singer (2017)). To our knowledge, our work is the first to apply deep neural networks to cryo-EM reconstruction, and in doing so, is the first that can learn a continually heterogeneous volume from real cryo-EM data. ", + "bbox": [ + 174, + 154, + 825, + 375 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Neural network 3D reconstruction in computer vision: There is a large body of work in computer vision on 3D object reconstruction from 2D viewpoints. While these general approaches have elements in common with single particle cryo-EM reconstruction, the problem in the context of computer vision differs substantially in that 2D viewpoints are not projections and viewing directions are typically known. For example, Yan et al. (2016) propose a neural network that can predict a 3D volume from a single 2D viewpoint using only 2D image supervision. Gadelha et al. (2017) learn a generative model over 3D object shapes based on 2D images of the objects thereby disentangling variation in shape and pose. Tulsiani et al. (2018) also reconstruct and disentangle the shape and pose of 3D objects from 2D images by enforcing geometric consistency. These works attempt to encode the viewpoint ‘projection’ operation 2 explicitly in the model in a manner similar to our use of the Fourier slice theorem. ", + "bbox": [ + 174, + 382, + 825, + 534 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Coordinate-based neural networks in computer vision: Using spatial (i.e. pixel) coordinates as features to a convolutional decoder to improve generative modeling has been proposed many times, with recent work computing each image as a function of a fixed coordinate lattice and latent variables (Watters et al. (2019)). However, directly modeling a function that maps spatial coordinates to values is less extensively explored. In CocoNet, the authors present a deep neural network that maps 2D pixel coordinates to RBG color values. CocoNet learns an image model for single images, using the capacity of the network to memorize the image, which can then be used for various tasks such as denoising and upsampling (Bricman & Ionescu (2018)). Similarly, Spatial-VAE proposes a similar coordinate-based image model to enforce geometric consistency between rotated 2D images in order to learn latent image factors and disentangle positional information from image content (Bepler et al. (2019)). Our method extends many of these ideas from simpler 2D image modelling to enable 3D cryo-EM reconstruction in the Fourier domain. ", + "bbox": [ + 174, + 541, + 825, + 708 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5 RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 741, + 281, + 757 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Here, we present both qualitative and quantitative results for 1) homogeneous cryo-EM reconstruction, validating that cryoDRGN reconstructed volumes match those from existing tools; 2) heterogeneous cryo-EM reconstruction with pose supervision, demonstrating automatic learning of the latent manifold that previously required many expert-guided rounds of multiclass refinement; and 3) fully unsupervised reconstruction of continuous distributions of 3D protein structures, a capability not provided by any existing tool. ", + "bbox": [ + 174, + 780, + 825, + 864 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5.1 UNSUPERVISED HOMOGENEOUS RECONSTRUCTION ", + "text_level": 1, + "bbox": [ + 176, + 104, + 565, + 117 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We first evaluate cryoDRGN on homogeneous datasets, where existing tools are capable of reconstruction. We create two synthetic datasets following the cryo-EM image formation model (image size $\\scriptstyle \\mathrm { D } = 1 2 8$ , 50k projections, with and without noise), and use one real dataset from EMPIAR-10028 consisting of 105,247 images of the 80S ribosome downsampled to image size $\\scriptstyle \\mathrm { D = } 9 0$ . The encoder network is not used in homogeneous reconstruction. As a baseline for comparison, we perform homogeneous $a b$ -initio reconstruction followed by iterative refinement in cryoSPARC (Punjani et al. (2017)). We compare against cryoSPARC as a representative of traditional state-of-the-art tools, which all implement variants of the same algorithm (Section 2). Further dataset preprocessing and training details are given in Appendix B. ", + "bbox": [ + 173, + 131, + 826, + 251 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 243, + 439, + 257 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We find that cryoDRGN inferred poses and reconstructed volumes match those from state ofthe-art tools. The similarity of the volumes to the ground truth can be quantified with the with the Fourier shell correlation (FSC) curve3. Reconstructed volumes and quantitative comparison with the FSC curve is given in Figure S5. Pose error to the ground truth image poses are ", + "bbox": [ + 174, + 263, + 482, + 375 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/540136f6168330869db0d194f99439c963e5b74a462217af4f3d2c4931b0a9c5.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
MethodDataset
cryoSPARCNo NoiseSNR=0.1 0.002/0.64
cryoDRGN0.0009/ /0.47
0.0004/0.270.003/0.38
", + "bbox": [ + 509, + 253, + 803, + 319 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 1: Homogeneous reconstruction pose accuracy quantified by median rotation/translation error to the ground truth image poses. Rotation/translation error is defined as the Frobenius/L2 norm after alignment. ", + "bbox": [ + 493, + 323, + 823, + 373 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "given in Table 1. For the real cryoEM dataset (no ground truth), the median pose difference between cryoDRGN and cryoSPARC reconstructions is 0.002 for rotations and 1.0 pixels for translations, and the resulting volumes are correlated above a FSC cutoff of 0.5 across all frequencies. ", + "bbox": [ + 176, + 376, + 825, + 416 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.2 HETEROGENEOUS RECONSTRUCTION WITH POSE SUPERVISION ", + "text_level": 1, + "bbox": [ + 176, + 440, + 648, + 454 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Next, we evaluate cryoDRGN for heterogeneous cryo-EM reconstruction on EMPIAR-10076, a real dataset of the $E$ . coli large ribosomal subunit (LSU) undergoing assembly (131,899 images, downsampled to ${ \\mathrm { D } } { = } 9 0 \\ \\mathrm { \\Omega }$ ) (Davis et al. (2016)). Here, poses are obtained through alignment to an existing structure of the LSU and treated as known during training. In the original analysis of this dataset, multiple rounds of discrete multiclass refinement with varying number of classes followed by human comparison of similar volumes were used to identify 4 major structural states of the LSU. We train cryoDRGN with a 1-D latent variable treating image pose as fixed to skip BNB pose inference. As a baseline, we reproduce the published structures originally obtained through multiclass refinement with cryoSPARC. Further baseline and training details are given in Appendix C. ", + "bbox": [ + 173, + 468, + 826, + 593 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We find that CryoDRGN automatically identifies all 4 major states of the LSU (Figure 3a). Quantitative comparison with FSC curves3 and additional volumes along the latent space are shown in Figure S7. We compare the cryoDRGN latent encoding $\\mu _ { z | X }$ for each image to the MAP cluster assignment in cryoSPARC and find that the learned latent manifold aligns with cryoSPARC clusters (Figure 3b). CryoDRGN identifies subpopulations in some of the cryoSPARC clusters (e.g. Class D), which is partitioned by a subsequent round of cryoSPARC multiclass refinement (Figure S8). Published structures A and F correspond to impurities in the sample. CryoDRGN correctly assigns images from these impurities to distinct clusters, but does not learn their correct structure since the poses inferred from aligning to the LSU template structure are incorrect. ", + "bbox": [ + 174, + 601, + 485, + 863 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/9ff987877cdff70d7819ffb68f08081f9e72f5fa05de0382ebf7da92f3f7385d.jpg", + "image_caption": [ + "Figure 3: a) Volumes generated at values of the latent (at dashed lines) match the published volumes of the 4 major states B-E of the LSU. b) Distribution of images in the latent space, colored by cluster assignment from a discrete multiclass reconstruction in cryoSPARC. " + ], + "image_footnote": [], + "bbox": [ + 524, + 601, + 807, + 810 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/717ead72ccbe90aeed1b057b1c308446d930544ca0fc4e8c2eef7119b099dec8.jpg", + "image_caption": [ + "Figure 4: Left: Ground truth volume containing a continuous circular 1D motion. Middle: Reconstructed structures from cryoDRGN match the ground truth volumes with the correct continuous deformation. We visualize 10 structures (superimposed) sampled at the depicted points in the latent space. The distribution of images in the latent space (visualized in 2D with PCA) matches the topology of the true data manifold. Right: Reconstructed volumes from discrete 3-class reconstruction in cryoSPARC and the distribution of images over the three reconstructed volumes. " + ], + "image_footnote": [], + "bbox": [ + 256, + 80, + 740, + 183 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/72f531af92a7e531a418039c261d0e443a19d5acea938954bcca75715698861f.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
DatasetcryoDRGNcryoDRGN+tiltcryoSPARC
Linear 1D motion2.50(0.62)2.35(0.36)3.60(2.27)
Linear 2D motion4.44(2.50)2.93(1.02)6.90(3.77)
Circular :1D motion4.05(2.40)2.63(0.74)4.87(2.17)
Discrete 10 class4.95(3.16)2.58(1.00)5.69(5.15)
", + "bbox": [ + 258, + 296, + 740, + 382 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Table 2: Reconstruction accuracy quantified by an $\\mathrm { F S C } { = } 0 . 5$ resolution metric between the reconstructed volumes corresponding to each image and its ground truth volume. We report the average and standard deviation across 100 images in the dataset (lower is better; best possible is 2 pixels). ", + "bbox": [ + 174, + 392, + 823, + 431 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.3 UNSUPERVISED HETEROGENEOUS RECONSTRUCTION ", + "text_level": 1, + "bbox": [ + 173, + 468, + 450, + 496 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We test the ability of cryoDRGN to perform fully unsupervised heterogeneous reconstruction from datasets with different latent structure. We generate four datasets (each $5 0 \\mathrm { k }$ projections, $\\scriptstyle \\mathrm { D = 6 4 }$ ) from an atomic model of a protein complex, containing either a 1D continuous motion, 2D continuous motion, 1D continuous circular motion, or a mixture of 10 discrete conformations (Figure S7). We train cryoDRGN with a 1D latent variable for the linear 1D dataset and a 10D latent variable for the other 3 datasets. As a baseline, we perform multiclass reconstruction in cryoSPARC sweeping ${ \\tt K } = 2 \\cdot 5$ classes. We compare against ${ \\mathrm { K } } { = } 3$ , which had the best qualitative results. ", + "bbox": [ + 174, + 520, + 825, + 617 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We also propose a modification to cryoDRGN in order to train on tilt series pairs datasets. Tilt series pairs is a variant of cryo-EM in which, for each image $X _ { i }$ , a corresponding image $X _ { i } ^ { ' }$ is acquired after tilting the imaging stage by a known angle. This technique was originally employed to identify the chirality of molecules (Belnap et al. (1997)), which is lost in the projection from 3D to 2D. We propose using tilt series pairs to encourage invariance of $q _ { \\xi }$ with respect to pose transformations for a given $\\hat { V } _ { \\mathbf { z } }$ (and incidentally to identify the chirality of $\\hat { V } _ { \\mathbf { z } }$ ). We make minor modifications to the architecture as described in Appendix D. ", + "bbox": [ + 173, + 623, + 825, + 727 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In Figure 4, we show that cryoDRGN reconstructed volumes for the circular 1D dataset qualitatively match the ground truth structures. Note that while we only visualize 10 structures sampled along the latent space, the volume decoder can reconstruct the full continuum of states. In contrast, cryoSPARC multiclass reconstruction, a discrete mixture model of independent structures, is only able to reconstruct 2 (originally unaligned) structures which resemble the ground truth. Volumes contain blurring artifacts from clustering images from different conformations into the assumedhomogeneous clusters in the mixture model. Results for the remaining datasets are given in Figures S10-13. ", + "bbox": [ + 173, + 733, + 825, + 844 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We quantitatively measure performance on this task with an FSC resolution metric computed between the MAP volume for each image $V _ { z _ { i } | \\hat { X } _ { i } }$ and the ground truth volume which generated each image, averaged across images in the dataset (Table S4). We find that cryoDRGN reconstruction accuracy is much higher than state-of-the-art discrete multiclass reconstruction in cryoSPARC, with further improvement achieved by training on tilt series pairs. ", + "bbox": [ + 174, + 852, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6 CONCLUSIONS ", + "text_level": 1, + "bbox": [ + 176, + 102, + 328, + 117 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We present a novel neural network-based reconstruction method for single particle cryo-EM that learns continuous variation in protein structure. We applied cryoDRGN on a real dataset of highly heterogeneous ribosome assembly intermediates and demonstrate automatic partitioning of structural states. In the presence of simulated continuous heterogeneity, we show that cryoDRGN learns a continuous representation of structure along the true reaction coordinate, effectively disentangling imaging orientation from intrinsic structural heterogeneity. The techniques described here may also have broader applicability to image and volume generative modelling in other domains of computer vision and 3D shape reconstruction. ", + "bbox": [ + 174, + 133, + 825, + 244 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 261, + 326, + 273 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We thank Ben Demeo, Ashwin Narayan, Adam Lerer, Roy Lederman, and Kotaro Kelley for helpful discussions and feedback. This work was funded by the National Science Foundation Graduate Research Fellowship Program, NIH grant R01-GM081871, NIH grant R00-AG050749, and the MIT J-Clinic for Machine Learning and Health. ", + "bbox": [ + 174, + 284, + 825, + 339 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 176, + 359, + 285, + 376 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Alex Barnett, Leslie Greengard, Andras Pataki, and Marina Spivak. Rapid solution of the cryo-EM reconstruction problem by frequency marching. arXiv.org, October 2016. 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", + "bbox": [ + 174, + 295, + 825, + 338 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "A APPENDIX - METHODS ", + "text_level": 1, + "bbox": [ + 176, + 102, + 401, + 117 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A.1 BRANCH AND BOUND IMPLEMENTATION DETAILS ", + "text_level": 1, + "bbox": [ + 174, + 136, + 562, + 148 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "We perform a global search over $S O ( 3 ) \\times \\mathbb { R } ^ { 2 }$ for the maximum-likelihood pose for each image given the current decoder MLP. Two techniques are used to improve the efficiency of the search over poses: (1) discretizing the search space on a uniform grid and sub-dividing grid points after pruning candidate poses with branch and bound, and (2) band pass limiting the objective to low frequency components and incrementally increasing the $\\mathbf { k }$ -space limit at each iteration (frequency marching). ", + "bbox": [ + 174, + 161, + 825, + 232 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Our branch and bound algorithm for pose optimization is given in Algorithm 1. Briefly, we discretize $S O ( 3 )$ uniformly using the Hopf fibration Yershova et al. (2010) at a predefined base resolution of the grid and incrementally increase the grid resolution by sub-dividing grid points. At each resolution of the grid, the set of candidate poses is pruned using a branch and bound (BNB) optimization scheme, which alternates between a computationally inexpensive lower bound on the objective function evaluated at all grid points and an upper bound consisting of the true objective evaluated on the best lower-bound candidate. Grid points whose lower bound is higher than this value are excluded for subsequent iterations. In our case, the loss is evaluated on low-frequency components of the image; specifically, Fourier components with $| \\mathbf { k } | < k _ { m a x }$ is an effective lower bound, as it is both inexpensive to compute and captures most of the power (and thus the error). This bound encodes the intuition that low-frequency components dominate pose estimation. We concomitantly increase $k _ { m a x }$ at each iteration of grid subdivision. ", + "bbox": [ + 174, + 239, + 825, + 405 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "At each iteration, some poses are excluded by BNB, and the remaining poses are further discretized. Although BNB is risk-free in the sense that the optimal pose at a given resolution will not be pruned, our application of it is not risk-free as a candidate pose with high loss at a given resolution doesn’t guarantee that its neighbor in the next iteration will not have a lower loss. Irrespective, in practice, we find that at a sufficiently fine base resolution, we obtain good results on a tractable timescale (hours on a single GPU).4 ", + "bbox": [ + 174, + 412, + 825, + 496 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "We reimplement the uniform multiresolution grids on $S O ( 3 )$ based on Yershova et al. (2010), using the Healpix Gorski et al. (2005) grid for the sphere and the Hopf fibration to uniformly lift the grid to $S O ( 3 )$ . The base grid on $S O ( 3 )$ contains 576 orientations. We use the ordinary grid for translations containing $7 ^ { 2 }$ points with an extent of 20 pixels for $\\scriptstyle \\mathrm { D } = 1 2 8$ datasets. We subdivide the grid 5 times for a final resolution of 0.92 degrees for the orientation and 0.08 pixels for the translation. For $\\scriptstyle \\mathrm { D = 6 4 }$ datasets, we use a translational grid with extent of 10 pixels. ", + "bbox": [ + 174, + 502, + 825, + 587 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Algorithm 1 CryoDRGN branch and bound with frequency marching ", + "text_level": 1, + "bbox": [ + 174, + 606, + 632, + 621 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "1: procedure $\\mathrm { O P T P H I } ( \\hat { X } , \\hat { V } _ { \\mathbf { z } } )$ . Find the optimal image pose given the current decoder \n2: $k _ { m i n } \\gets 1 2$ , $k _ { m a x } \\gets D / 2$ , $N _ { i t e r } \\gets 5$ \n3: $\\Phi S O ( 3 ) \\times \\mathbb { R } ^ { 2 }$ grid at base resolution \n4: k ← kmin \n5: for iter $= 1$ . . . $N _ { i t e r }$ do \n6: for $\\phi _ { i } \\in \\Phi$ do . Compute lower bound at all grid points \n7: $l b ( \\phi _ { i } ) \\mathrm { l o s s }$ between $\\hat { X }$ and SLICE $( \\hat { V } _ { \\mathbf { z } } , \\phi _ { i } )$ at $\\mathbf { k } < k$ \n8: $\\phi ^ { * } \\gets \\mathrm { a r g } \\operatorname* { m i n } ( l b )$ \n9: $u b \\gets 1 0 \\mathrm { s s }$ between $\\hat { X }$ and SLICE $( \\hat { V } _ { \\mathbf { z } } , \\phi ^ { * } )$ at $\\mathbf { k } < k _ { m a x }$ . Compute upper bound \n10: $\\Phi _ { n e w } \\{ \\}$ \n11: for $\\phi _ { i } \\in \\Phi$ do $\\triangleright$ Subdivide grid points below the upper bound \n12: if $l b ( \\phi _ { i } ) < u b$ then \n13: $\\begin{array} { c } { \\Phi _ { n e w } \\Phi _ { n e w } \\cup et { } { : } \\mathrm { S U B D I V I D E } ( \\phi _ { i } ) } \\\\ { \\Phi \\Phi _ { n e w } } \\\\ { k k + ( k _ { m a x } - k _ { m i n } ) / ( N _ { i t e r } - 1 ) } \\end{array}$ \n14: \n15: . Increase frequency band limit \n16: return φ∗ ", + "bbox": [ + 176, + 626, + 826, + 869 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A.2 TRAINING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 103, + 352, + 117 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Given an imaging dataset, $\\hat { X } _ { 1 } , . . . \\hat { X } _ { N }$ , we summarize three training paradigms of cryoDRGN. 1) For homogeneous reconstruction, we only train the volume decoder $p _ { \\theta }$ and perform BNB pose inference for the unknown $\\phi _ { i }$ ’s for each image. 2) As an intermediate task, we can perform heterogeneous reconstruction training the image encoder $q _ { \\xi }$ and the volume decoder $p _ { \\theta }$ with known $\\phi _ { i }$ ’s to skip BNB pose inference. 3) For fully unsupervised heterogeneous reconstruction, we jointly train $q _ { \\xi }$ and $p _ { \\theta }$ to learn a continuous latent representation, performing BNB pose inference for the unknown pose of each image. ", + "bbox": [ + 174, + 133, + 825, + 233 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Unless otherwise specified, the encoder and decoder networks are both MLPs containing 10 hidden layers of dimension 128 with ReLU activations. A fully connected architecture is used instead of a convolutional architecture because the images are not represented in real space. ", + "bbox": [ + 176, + 239, + 821, + 281 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Instead of representing both the real and imaginary components of each image, we use the closelyrelated Hartley space representation (Hartley (1942)). The Hartley transform of real-valued functions is equivalent to the real minus imaginary component of the FT, and thus is real valued. The Fourier slice theorem still holds and the error model is equivalent. ", + "bbox": [ + 174, + 289, + 825, + 344 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "In this work, we simplify the image generation model to Gaussian white noise. Therefore, for a given image, the negative log likelihood for a reconstructed slice from the decoder corresponds to the mean squared error between the phase-shifted image and the oriented slice from the volume decoder. We leave the implementation of a colored noise model to future work. ", + "bbox": [ + 174, + 351, + 825, + 407 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We use the Adam optimizer (Kingma & Ba (2014)) with learning rate of 5e-4 for experiments involving noiseless, homogeneous datasets, and 1e-4 for all other experiments. All models are implemented in Pytorch (Paszke et al. (2017)). ", + "bbox": [ + 176, + 414, + 821, + 457 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B HOMOGENEOUS RECONSTRUCTION ", + "text_level": 1, + "bbox": [ + 178, + 491, + 500, + 506 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B.1 DATASET PREPARATION ", + "text_level": 1, + "bbox": [ + 176, + 530, + 382, + 545 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Simulated datasets: From a ground truth 3D volume, we simulated datasets following the cryo-EM image formation model by 1) rotating the 3D volume in real space by $R$ , where $R \\in S O ( 3 )$ is sampled uniformly, 2) projecting (integrating) the volume along the $\\mathbf { Z }$ -axis, 3) shifting the resulting 2D image by $t$ , where $t$ is sampled uniformly from $[ - 1 0 , 1 0 ] ^ { 2 }$ pixels, and 4) optionally adding noise to an SNR of 0.1, a typical value for cryo-EM data (Baxter et al. (2009)). Following convention in the cryo-EM field, we define SNR as the ratio of the variance of the signal to the variance of the noise. We define the noise-free signal images to be the entire DxD image. $5 0 \\mathrm { k }$ projections were generated for each dataset with image size of $\\scriptstyle \\mathrm { D } = 1 2 8$ . ", + "bbox": [ + 174, + 561, + 825, + 672 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Real dataset: To generate the real cryo-EM dataset for homogeneous reconstruction, images from EMPIAR-10028 (Wong et al. (2014)) were downsampled by a factor of 4 by clipping in Fourier space. The images were then ’phase flipped’ in Fourier space by their contrast transfer function, a given real-valued function with range [-1,1] determined by the microscopy conditions, i.e. the Fourier components are negated where the CTF is negative. ", + "bbox": [ + 174, + 680, + 825, + 750 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B.2 TRAINING ", + "text_level": 1, + "bbox": [ + 174, + 780, + 289, + 795 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "For each dataset, we train the volume decoder (10 hidden layers of dimension 128) in minibatches of 10 images with random orientations for the first epoch to learn a volume with roughly correct spatial extent, followed by 4 epochs with branch and bound (BNB) pose inference $3 0 \\mathrm { m i n } ,$ /epoch noiseless, $8 0 \\mathrm { m i n }$ /noisy datasets). Since BNB pose inference is the bottleneck during training, we employ a multiscale training protocol, where after 4 epochs with BNB pose inference, the latent pose is fixed, and we train a separate, larger volume decoder (10 hidden layers of dimension 500) for 15 epochs with fixed poses to \"refine\" the structure to high resolution (20 min/epoch). Training times are reported for 50k, $\\scriptstyle \\mathrm { D } = 1 2 8$ image datasets trained on a Nvidia Titan V GPU. ", + "bbox": [ + 174, + 811, + 825, + 924 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/bfa84434a3f3b877c46675ae633dfcbc4c6f9ef927b2783fb9d6b002298f904f.jpg", + "image_caption": [ + "Figure S5: Left: CryoDRGN unsupervised homogeneous reconstruction on 2 simulated datasets and 1 real cryoEM dataset matches state-of-the-art. Right: Fourier shell correlation (FSC) curves between the reconstructed volume and the ground truth volume for the synthetic ribosome datasets. " + ], + "image_footnote": [], + "bbox": [ + 176, + 146, + 828, + 397 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "C HETEROGENEOUS RIBOSOME RECONSTRUCTION WITH POSE SUPERVISION ", + "text_level": 1, + "bbox": [ + 176, + 489, + 821, + 506 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Dataset preparation: We used the dataset from EMPIAR-10076 which contains 131,899 images of the $E$ . coli large ribosomal subunit (LSU) in various stages of assembly (Davis et al. (2016)). Images were downsampled to $\\scriptstyle \\mathrm { D } = 1 2 8$ by clipping in Fourier space. Poses were determined by aligning the images to a mature LSU structure obtained from a homogeneous reconstruction of the full resolution dataset in cryoSPARC, i.e. \"a consensus reconstruction\". ", + "bbox": [ + 173, + 523, + 825, + 594 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Baseline: In the original analysis of this dataset, multiple rounds of multiclass refinement in sweeps of varying number of classes followed by expert manual alignment and clustering of similar volumes were used to identify 6 classes, labeled A-F consisting of 4 major structural states of the LSU (classes B-E) and 2 additional structures of the 70S and 30S ribosome, class A and F, respectively. ", + "bbox": [ + 173, + 602, + 825, + 659 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Since the published dataset did not contain the corresponding image cluster assignments, we perform multiclass refinement in cryoSPARC using the published structures of the 6 major states, low pass filtered to $2 5 \\mathring \\mathrm { A }$ as initial models, to reproduce the results and obtain image cluster assignments. Aside from class A and F (low population impurities in the sample), the remaining structures correlate well with the published volumes (Figure S6). ", + "bbox": [ + 174, + 665, + 825, + 736 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/3f687d039cc73fe6742af66d3646b367103dab129e557c6ff2a5b749e0500292.jpg", + "image_caption": [ + "Figure S6: Reconstructed volumes from cryoSPARC multiclass refinement using the published structures of the 6 major states, low pass filtered to 25Åas initial models. Right: FSC curves between the cryoSPARC reconstructed and published volumes. " + ], + "image_footnote": [], + "bbox": [ + 223, + 758, + 784, + 868 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "cryoDRGN training: We train cryoDRGN with a 1-D latent variable in minibatches of 10 images for 200 epochs, treating image pose as fixed ( $1 1 \\mathrm { m i n }$ /epoch on a Nvidia Titan V GPU). To simplify representation learning for $q _ { \\xi }$ , we center and phase flip images before inputting to the encoder. We encode and decode a circle of pixels with diameter $\\scriptstyle \\mathrm { D } = 1 2 8$ instead of the full $1 2 8 \\mathrm { x } 1 2 8$ image. ", + "bbox": [ + 174, + 103, + 825, + 160 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C.1 SUPPLEMENTARY RESULTS ", + "text_level": 1, + "bbox": [ + 176, + 178, + 405, + 191 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/39fcc9d607945219c72a434c12d424ad7bd58ade4c7a5c24f53c7de28a5bfc17.jpg", + "image_caption": [ + "Figure S7: Left: Latent encoding for each image of the dataset from EMPIAR-10076. Bottom: Volumes from 12 sampled values along the latent space (dashed lines). Right: Fourier shell correlation (FSC) curves for 4 structures against the published volumes for classes B-E from corresponding to structural states of the large ribosomal subunit during assembly (Davis et al. (2016)). " + ], + "image_footnote": [], + "bbox": [ + 181, + 212, + 823, + 417 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/430252353fbea1b51151148074bd9391127e9da6c144c9c0d5bad670e01460c7.jpg", + "image_caption": [ + "Figure S8: The latent encoding aligns with cluster assignments from a successive round of multiclass refinement in cryoSPARC on the subset of images from class $\\mathrm { D }$ and E. " + ], + "image_footnote": [], + "bbox": [ + 261, + 522, + 740, + 651 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "D FULLY UNSUPERVISED HETEROGENEOUS RECONSTRUCTION ", + "text_level": 1, + "bbox": [ + 173, + 719, + 707, + 734 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "D.1 DATASET PREPARATION ", + "text_level": 1, + "bbox": [ + 174, + 751, + 382, + 765 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Linear 1D motion: We generated a dataset containing one continuous degree of freedom as follows: From an atomic model of a protein complex, a single bond in the atomic model was rotated while keeping the remaining structure fixed, and 50 atomic models were sampled along this reaction coordinate. 1000 projections with random rotations and in-plane translations were generated for each model, yielding a total of $5 0 \\mathrm { k }$ images, approximating a uniform distribution along a continuous reaction coordinate. ", + "bbox": [ + 174, + 776, + 825, + 861 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Linear $2 D$ motion: We extended the linear 1D motion dataset by introducing a second degree of freedom from rotating a bond in the atomic model that connected a different protein in the complex. Similar to the 1D motion dataset, from a starting configuration, the original bond was rotated $+ / -$ N degrees, and 50 models were sampled along this reaction coordinate. Then from the starting conformation, the second bond was rotated $+ / - 9 0$ degrees, and 50 additional models were sampled along the second reaction coordination. 500 projections were generated from each model, yielding a total of $5 0 \\mathrm { k }$ images. ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 103, + 823, + 146 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Circular 1D motion: For this dataset, we rotated a bond a full 360 degrees and sample 100 models along this circular reaction coordinate. 500 projections were generated from each model, yielding a total of 50k images. ", + "bbox": [ + 176, + 152, + 823, + 194 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Discrete 10 class: For this dataset, we sampled 10 random configurations for the proteins in the complex. 5000 projection images were generated from each model, yielding a dataset containing a mixture of 10 discrete states. ", + "bbox": [ + 176, + 202, + 823, + 243 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "For all four datasets, random rotations were generated uniformly from $S O ( 3 )$ , and translations were sampled uniformly from $[ - 5 , 5 ]$ pixels. The image size was $\\scriptstyle \\mathrm { D = 6 4 }$ with absolute spatial extent of 720Åand Nyquist limit of $2 2 . 5 \\mathring \\mathrm { A }$ . Schematics of the simulated motions are given in Figure S9. ", + "bbox": [ + 174, + 251, + 825, + 295 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/d161610d0c574cb5b109d8c5395d4597348858ae398bc7362ecbde6b6395e71e.jpg", + "image_caption": [ + "Figure S9: Ground truth atomic model and the heterogeneity introduced for different datasets. " + ], + "image_footnote": [], + "bbox": [ + 254, + 335, + 741, + 601 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D.2 TILT SERIES PAIRS ", + "text_level": 1, + "bbox": [ + 174, + 675, + 346, + 690 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Tilt series pairs is a variant of cryo-EM in which, for each image $X _ { i }$ , a corresponding image $X _ { i } ^ { ' }$ is acquired after tilting the imaging stage by a known angle. This technique was originally employed to identify the chirality of molecules (Belnap et al. (1997)), which is lost in the projection from 3D to 2D and therefore cannot be inferred from standard cryo-EM. Inferential procedures such as expectation maximization converge to one handedness or the other depending on their initialization. In multiclass reconstruction, different classes are not guaranteed to possess the same handedness even if there is a high relatedness between structures. We remark on this experimental technique as we propose using tilt series pairs to encourage invariance of $q _ { \\xi }$ with respect to pose transformations for a given $\\hat { V } _ { \\mathbf { z } }$ (and incidentally also to identify the chirality of $\\hat { V } _ { \\mathbf { z } } ^ { \\ \\prime }$ ). To train on tilt series pairs, the encoder is split into two MLPs, the first learning an intermediate encoding of each image, and the second mapping the concatenation of the two encodings to the latent space. We use an 8 layer MLP with output dimension 128 for the former and a 2 layer MLP with input dimension 256 for the latter. All hidden layers have dimension 128. For branch and bound, the combined loss over both images is evaluated for each grid point of $S O ( 3 ) \\times \\mathbb { R } ^ { 2 }$ . To generate the image $X _ { t i l t , i }$ associated with $X _ { i }$ , prior to rotating the volume by $R _ { i }$ , we rotate the volume by a constant 45 degrees around the $\\mathbf { X }$ -axis. ", + "bbox": [ + 173, + 712, + 826, + 924 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D.3 TRAINING ", + "text_level": 1, + "bbox": [ + 174, + 103, + 289, + 117 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "We trained cryoDRGN in minibatches of 5 images for 40 epochs without tilt series pairs and 20 epochs with tilt series pairs. We trained a 1-D latent variable for the linear 1D motion dataset, and 10-D latent variables for the remaining datasets. Random angles were used for the first epoch of training to learn roughly the correct spatial extent of the volume and BNB pose inference was used for the remaining epochs. The runtime was $1 2 0 \\mathrm { m i n }$ /epoch vs 2 min/epoch with and without BNB pose inference, respectively, on a Nvidia Titan V GPU. ", + "bbox": [ + 174, + 160, + 825, + 243 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/ecea187e63e2adc773ec2ad64fa26df6ab001cbe09b77bed4b3609e888caabfc.jpg", + "image_caption": [ + "Figure S10: Reconstruction results for the linear 1D dataset by cryoDRGN and by discrete multiclass reconstruction in cryoSPARC. Top: Reconstructed structures from cryoDRGN sampled along the latent space (at depicted points) matches the ground truth variation. The predicted latent encoding correlates with the ground truth latent degree of freedom. Middle: CryoDRGN results with tilt series Bottom: Reconstructed volumes and the distribution of images over clusters from discrete multiclass reconstruction in cryoSPARC. Volumes are visualized at high and low isosurface, showing artifacts in the cryoSPARC structures. " + ], + "image_footnote": [], + "bbox": [ + 264, + 473, + 736, + 827 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/08d8f5c9aefc7d63f161f3b6ac00ef2de672ef230673e0216f06fda2b971d43b.jpg", + "image_caption": [ + "Figure S11: Reconstruction results for the circular 1D dataset by cryoDRGN and by discrete multiclass reconstruction in cryoSPARC. Top: Reconstructed structures from cryoDRGN sampled along the latent space (at depicted points) matches the ground truth variation. The distribution of images in the latent space matches the ciruclar topology of the true data manifold. Middle: CryoDRGN results with tilt series Bottom: Reconstructed volumes and the distribution of images over clusters from discrete multiclass reconstruction in cryoSPARC. Volumes are visualized at high and low isosurface, showing artifacts in the cryoSPARC structures. " + ], + "image_footnote": [], + "bbox": [ + 263, + 107, + 738, + 474 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/b72b84a5ef29c3f14acaeeb8ff97a98c3bb83c2f05b6d3f6de0eca8bb3682f4c.jpg", + "image_caption": [ + "Figure S12: Reconstruction results for the linear 2D dataset by cryoDRGN and by discrete multiclass reconstruction in cryoSPARC. Top: Reconstructed structures from cryoDRGN sampled along the latent space (at depicted points) roughly matches the ground truth variation, however the distribution of images in the latent space does not recapitulate the true data manifold well. Middle: CryoDRGN results with tilt series reconstructs the true structural variation and the distribution of images in the latent space matches the topology of the true data manifold. Bottom: Reconstructed volumes and the distribution of images over clusters from discrete multiclass reconstruction in cryoSPARC. CryoSPARC volumes are visualized at high and low isosurface, showing artifacts at low isosurface " + ], + "image_footnote": [], + "bbox": [ + 256, + 104, + 740, + 444 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/2cea5c75726d20dea06cbe5df7f6155799f13068fcb4292a99d7fbd46f79c53b.jpg", + "image_caption": [ + "Figure S13: Reconstruction results for the dataset containing 10 discrete structures by cryoDRGN and by discrete multiclass reconstruction in cryoSPARC. Top: The majority of reconstructed structures from cryoDRGN sampled along the latent space (at depicted points) matches the ground truth structures, however some are incorrect (red boxes), and the learned data manifold is not well separated into clusters. Middle: CryoDRGN results with tilt series reconstructs the 10 structures and clusters the images in the latent space accordingly. Bottom: Reconstructed volumes from discrete multiclass reconstruction in cryoSPARC and the distribution of images over clusters. CryoSPARC learns 8 out of 10 structures correctly. " + ], + "image_footnote": [], + "bbox": [ + 264, + 103, + 741, + 376 + ], + "page_idx": 19 + }, + { + "type": "table", + "img_path": "images/3212506cd558aac6706b63c63f76e6ce0f92d7ab4090f1d79766192eff82aec9.jpg", + "table_caption": [ + "Table S3: Relationship between number of classes in cryoSPARC and reconstruction accuracy quantified by an $\\mathrm { F S C } { = } 0 . 5$ resolution metric between the reconstructed volumes corresponding to each image and its ground truth volume. We report the average and standard deviation across 100 images in the dataset (lower is better; best possible is 2 pixels). " + ], + "table_footnote": [], + "table_body": "
cryoSPARC
DatasetK=2K=3K=4K=5
Linear 1D1 motion5.11(3.82)3.60(2.27)7.40(4.16)7.59(4.58)
Linear 2D motion6.89(2.21)6.90(3.77)5.98(2.10)6.76(4.47)
Circular 1D motion5.16(2.70)4.87(2.17)7.50(3.32)4.62(1.93)
", + "bbox": [ + 248, + 511, + 750, + 595 + ], + "page_idx": 19 + }, + { + "type": "table", + "img_path": "images/883a46c5de93da2aa772a02fb4fdac3d2cd432a0b9e3fd715371277172e3e3cd.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
DatasetcryoDRGNcryoDRGN+tilt
z-D=1z-D=2z-D=10z-D=1z-D=2z-D=10
Linear 1D motion2.50(0.62)2.34(0.12)12.35(0.36)2.43(0.26)1
Linear 2D motion7.16(4.69)4.38(3.15)4.44(2.50)3.38(1.18)2.97(1.24)2.93(1.02)
Circular 1D motion5.61(4.36)4.95(2.91)4.05(2.40)3.12(0.96)2.65(0.67)2.63(0.74)
", + "bbox": [ + 173, + 689, + 848, + 773 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Table S4: Relationship between $z$ dimension in cryoDRGN and reconstruction accuracy quantified by an $\\mathrm { F S C } { = } 0 . 5$ resolution metric between the reconstructed volumes corresponding to each image and its ground truth volume. We report the average and standard deviation across 100 images in the dataset (lower is better; best possible is 2 pixels). 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This method", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "score": 1.0, + "content": "encodes structures in Fourier space using coordinate-based deep neural networks,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 330, + 470, + 346 + ], + "spans": [ + { + "bbox": [ + 141, + 330, + 470, + 346 + ], + "score": 1.0, + "content": "and trains these networks from unlabeled 2D cryo-EM images by combining", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 344, + 469, + 355 + ], + "spans": [ + { + "bbox": [ + 141, + 344, + 469, + 355 + ], + "score": 1.0, + "content": "exact inference over image orientation with variational inference for structural", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 141, + 354, + 469, + 366 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 469, + 366 + ], + "score": 1.0, + "content": "heterogeneity. 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A major bottleneck in", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 543, + 506, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 506, + 556 + ], + "score": 1.0, + "content": "cryo-EM structure determination is the computational task of 3D reconstruction, where the goal is", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 554, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 566 + ], + "score": 1.0, + "content": "to solve the inverse problem of learning the structure, i.e. the 3D electron density volume, which", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "score": 1.0, + "content": "gave rise to the projection images. 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We note that the distribution of 3D", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 506, + 506 + ], + "score": 1.0, + "content": "volumes models heterogeneity within a single imaging dataset, capturing structural variation for a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "particular protein or biomolecular complex, and that a separate network is trained per experimental", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 513, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 104, + 513, + 506, + 529 + ], + "score": 1.0, + "content": "dataset. 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Further architecture and implementation", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 536, + 238, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 238, + 550 + ], + "score": 1.0, + "content": "details are given in Appendix A.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24, + "bbox_fs": [ + 104, + 448, + 506, + 550 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 564, + 211, + 577 + ], + "lines": [ + { + "bbox": [ + 105, + 563, + 213, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 213, + 579 + ], + "score": 1.0, + "content": "4 RELATED WORK", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 106, + 588, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "Homogeneous cryo-EM reconstruction: Cryo-EM reconstruction is typically accomplished in", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 600, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 505, + 612 + ], + "score": 1.0, + "content": "two stages: 1) generation of an initial low-resolution model followed by 2) iterative refinement of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "score": 1.0, + "content": "the initial model with a coordinate ascent procedure alternating between projection matching and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 622, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 506, + 634 + ], + "score": 1.0, + "content": "refinement of the structure. In practice, initial structures can be obtained experimentally (Leschziner", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "& Nogales (2006)), inferred based on homology to complexes with known structure, or via ab-initio", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "reconstruction with stochastic gradient descent (Punjani et al. (2017)). Once an initial model is", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "generated, there are many tools for iterative refinement of the model (Scheres (2012b); Punjani et al.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "score": 1.0, + "content": "(2017); Hohn et al. (2007); Lyumkis, Dmitry et al. (2013); Tang et al. (2007)). For example, Scheres", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "(2012a) presents a Bayesian approach based on a probabilistic model of the image formation process", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 688, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 701 + ], + "score": 1.0, + "content": "and refines the structure via Expectation Maximization. Frequency marching is used extensively in", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "existing tools to speed up the search for the optimal pose for each image (Scheres (2012b); Barnett", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "et al. (2016); Punjani et al. (2017)). CryoSPARC implements a branch and bound optimization", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 721, + 505, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 505, + 732 + ], + "score": 1.0, + "content": "scheme, where their bound is a probabilistic lower bound based on the noise characteristics from the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "image formation model (Punjani et al. (2017)). Ullrich et al. (2019) propose a differentiable voxel-", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "based representation for the volume and introduce a variational inference algorithm for homogeneous", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 243, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 243, + 117 + ], + "score": 1.0, + "content": "reconstruction with known poses.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 588, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 108, + 82, + 504, + 115 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "image formation model (Punjani et al. (2017)). Ullrich et al. (2019) propose a differentiable voxel-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "based representation for the volume and introduce a variational inference algorithm for homogeneous", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 243, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 243, + 117 + ], + "score": 1.0, + "content": "reconstruction with known poses.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 122, + 505, + 297 + ], + "lines": [ + { + "bbox": [ + 105, + 122, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 506, + 134 + ], + "score": 1.0, + "content": "Heterogeneous cryo-EM reconstruction: In the cryo-EM literature, standard approaches for ad-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "dressing structural heterogeneity use mixture models of discrete, independent volumes, termed", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "multiclass refinement (Scheres (2010); Lyumkis, Dmitry et al. (2013)). These mixture models assume", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "that the clusters are independent and homogeneous, and in practice require many rounds of expert-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "guided hierarchical clustering from appropriate initial volumes and manual choices for number of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "clusters. More recently, Nakane et al. (2018) extend the image generative model to model the protein", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "score": 1.0, + "content": "as a sum of rigid bodies (determined from a homogeneous reconstruction), thus imposing structural", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "assumptions on the type of heterogeneity. Frank & Ourmazd (2016) aim to build a continuous", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "manifold of the images, however their approach requires pose supervision and final structures are", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "score": 1.0, + "content": "obtained by clustering the images along the manifold and reconstructing with traditional tools. Recent", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 230, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 505, + 244 + ], + "score": 1.0, + "content": "theoretical work for continuous heterogeneous reconstruction includes expansion of discrete 3D", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 242, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 505, + 254 + ], + "score": 1.0, + "content": "volumes in a basis of Laplacian eigenvectors (Moscovich et al. (2019)) and a general framework for", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 253, + 506, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 506, + 265 + ], + "score": 1.0, + "content": "modelling hyper-volumes (Lederman et al. (2019)) e.g. as a tensor product of spatial and temporal", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "score": 1.0, + "content": "basis functions (Lederman & Singer (2017)). To our knowledge, our work is the first to apply deep", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 275, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 505, + 287 + ], + "score": 1.0, + "content": "neural networks to cryo-EM reconstruction, and in doing so, is the first that can learn a continually", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 287, + 298, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 287, + 298, + 298 + ], + "score": 1.0, + "content": "heterogeneous volume from real cryo-EM data.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 107, + 303, + 505, + 423 + ], + "lines": [ + { + "bbox": [ + 105, + 302, + 506, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 316 + ], + "score": 1.0, + "content": "Neural network 3D reconstruction in computer vision: There is a large body of work in computer", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 314, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 505, + 326 + ], + "score": 1.0, + "content": "vision on 3D object reconstruction from 2D viewpoints. While these general approaches have", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 325, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 506, + 337 + ], + "score": 1.0, + "content": "elements in common with single particle cryo-EM reconstruction, the problem in the context of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 336, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 505, + 348 + ], + "score": 1.0, + "content": "computer vision differs substantially in that 2D viewpoints are not projections and viewing directions", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "score": 1.0, + "content": "are typically known. For example, Yan et al. (2016) propose a neural network that can predict a 3D", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 357, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 506, + 371 + ], + "score": 1.0, + "content": "volume from a single 2D viewpoint using only 2D image supervision. Gadelha et al. (2017) learn a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 368, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 104, + 368, + 505, + 383 + ], + "score": 1.0, + "content": "generative model over 3D object shapes based on 2D images of the objects thereby disentangling", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "score": 1.0, + "content": "variation in shape and pose. Tulsiani et al. (2018) also reconstruct and disentangle the shape and pose", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 390, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 404 + ], + "score": 1.0, + "content": "of 3D objects from 2D images by enforcing geometric consistency. These works attempt to encode", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 402, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 414 + ], + "score": 1.0, + "content": "the viewpoint ‘projection’ operation 2 explicitly in the model in a manner similar to our use of the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 412, + 196, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 196, + 424 + ], + "score": 1.0, + "content": "Fourier slice theorem.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 429, + 505, + 561 + ], + "lines": [ + { + "bbox": [ + 106, + 428, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 506, + 442 + ], + "score": 1.0, + "content": "Coordinate-based neural networks in computer vision: Using spatial (i.e. pixel) coordinates as", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "score": 1.0, + "content": "features to a convolutional decoder to improve generative modeling has been proposed many times,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "with recent work computing each image as a function of a fixed coordinate lattice and latent variables", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 462, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 505, + 474 + ], + "score": 1.0, + "content": "(Watters et al. (2019)). However, directly modeling a function that maps spatial coordinates to values", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 104, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "is less extensively explored. In CocoNet, the authors present a deep neural network that maps 2D", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "score": 1.0, + "content": "pixel coordinates to RBG color values. CocoNet learns an image model for single images, using the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 496, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 507 + ], + "score": 1.0, + "content": "capacity of the network to memorize the image, which can then be used for various tasks such as", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 506, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 505, + 518 + ], + "score": 1.0, + "content": "denoising and upsampling (Bricman & Ionescu (2018)). Similarly, Spatial-VAE proposes a similar", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "score": 1.0, + "content": "coordinate-based image model to enforce geometric consistency between rotated 2D images in order", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 528, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 506, + 540 + ], + "score": 1.0, + "content": "to learn latent image factors and disentangle positional information from image content (Bepler et al.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 538, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 505, + 551 + ], + "score": 1.0, + "content": "(2019)). Our method extends many of these ideas from simpler 2D image modelling to enable 3D", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 550, + 295, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 295, + 562 + ], + "score": 1.0, + "content": "cryo-EM reconstruction in the Fourier domain.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 35.5 + }, + { + "type": "title", + "bbox": [ + 107, + 587, + 172, + 600 + ], + "lines": [ + { + "bbox": [ + 104, + 586, + 174, + 603 + ], + "spans": [ + { + "bbox": [ + 104, + 586, + 174, + 603 + ], + "score": 1.0, + "content": "5 RESULTS", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 107, + 618, + 505, + 685 + ], + "lines": [ + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "Here, we present both qualitative and quantitative results for 1) homogeneous cryo-EM reconstruction,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "score": 1.0, + "content": "validating that cryoDRGN reconstructed volumes match those from existing tools; 2) heterogeneous", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "cryo-EM reconstruction with pose supervision, demonstrating automatic learning of the latent", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 651, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 505, + 665 + ], + "score": 1.0, + "content": "manifold that previously required many expert-guided rounds of multiclass refinement; and 3) fully", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 662, + 506, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 506, + 676 + ], + "score": 1.0, + "content": "unsupervised reconstruction of continuous distributions of 3D protein structures, a capability not", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 673, + 228, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 228, + 686 + ], + "score": 1.0, + "content": "provided by any existing tool.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 45.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 711, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 117, + 708, + 506, + 725 + ], + "spans": [ + { + "bbox": [ + 117, + 708, + 506, + 725 + ], + "score": 1.0, + "content": "2This is not the meaning of projection in the context of this work, where it refers to integration along the", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 719, + 159, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 159, + 734 + ], + "score": 1.0, + "content": "imaging axis.", + "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 2020", + "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": [ + 108, + 82, + 504, + 115 + ], + "lines": [], + "index": 1, + "bbox_fs": [ + 106, + 82, + 505, + 117 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 122, + 505, + 297 + ], + "lines": [ + { + "bbox": [ + 105, + 122, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 506, + 134 + ], + "score": 1.0, + "content": "Heterogeneous cryo-EM reconstruction: In the cryo-EM literature, standard approaches for ad-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "dressing structural heterogeneity use mixture models of discrete, independent volumes, termed", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "multiclass refinement (Scheres (2010); Lyumkis, Dmitry et al. (2013)). These mixture models assume", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "that the clusters are independent and homogeneous, and in practice require many rounds of expert-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "guided hierarchical clustering from appropriate initial volumes and manual choices for number of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "clusters. More recently, Nakane et al. (2018) extend the image generative model to model the protein", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "score": 1.0, + "content": "as a sum of rigid bodies (determined from a homogeneous reconstruction), thus imposing structural", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "assumptions on the type of heterogeneity. Frank & Ourmazd (2016) aim to build a continuous", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "manifold of the images, however their approach requires pose supervision and final structures are", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "score": 1.0, + "content": "obtained by clustering the images along the manifold and reconstructing with traditional tools. Recent", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 230, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 505, + 244 + ], + "score": 1.0, + "content": "theoretical work for continuous heterogeneous reconstruction includes expansion of discrete 3D", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 242, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 505, + 254 + ], + "score": 1.0, + "content": "volumes in a basis of Laplacian eigenvectors (Moscovich et al. (2019)) and a general framework for", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 253, + 506, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 506, + 265 + ], + "score": 1.0, + "content": "modelling hyper-volumes (Lederman et al. (2019)) e.g. as a tensor product of spatial and temporal", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "score": 1.0, + "content": "basis functions (Lederman & Singer (2017)). To our knowledge, our work is the first to apply deep", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 275, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 505, + 287 + ], + "score": 1.0, + "content": "neural networks to cryo-EM reconstruction, and in doing so, is the first that can learn a continually", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 287, + 298, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 287, + 298, + 298 + ], + "score": 1.0, + "content": "heterogeneous volume from real cryo-EM data.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 122, + 506, + 298 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 303, + 505, + 423 + ], + "lines": [ + { + "bbox": [ + 105, + 302, + 506, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 316 + ], + "score": 1.0, + "content": "Neural network 3D reconstruction in computer vision: There is a large body of work in computer", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 314, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 505, + 326 + ], + "score": 1.0, + "content": "vision on 3D object reconstruction from 2D viewpoints. While these general approaches have", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 325, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 506, + 337 + ], + "score": 1.0, + "content": "elements in common with single particle cryo-EM reconstruction, the problem in the context of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 336, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 505, + 348 + ], + "score": 1.0, + "content": "computer vision differs substantially in that 2D viewpoints are not projections and viewing directions", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 360 + ], + "score": 1.0, + "content": "are typically known. For example, Yan et al. (2016) propose a neural network that can predict a 3D", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 357, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 506, + 371 + ], + "score": 1.0, + "content": "volume from a single 2D viewpoint using only 2D image supervision. Gadelha et al. (2017) learn a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 368, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 104, + 368, + 505, + 383 + ], + "score": 1.0, + "content": "generative model over 3D object shapes based on 2D images of the objects thereby disentangling", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "score": 1.0, + "content": "variation in shape and pose. Tulsiani et al. (2018) also reconstruct and disentangle the shape and pose", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 390, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 404 + ], + "score": 1.0, + "content": "of 3D objects from 2D images by enforcing geometric consistency. These works attempt to encode", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 402, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 414 + ], + "score": 1.0, + "content": "the viewpoint ‘projection’ operation 2 explicitly in the model in a manner similar to our use of the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 412, + 196, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 196, + 424 + ], + "score": 1.0, + "content": "Fourier slice theorem.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24, + "bbox_fs": [ + 104, + 302, + 506, + 424 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 429, + 505, + 561 + ], + "lines": [ + { + "bbox": [ + 106, + 428, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 506, + 442 + ], + "score": 1.0, + "content": "Coordinate-based neural networks in computer vision: Using spatial (i.e. pixel) coordinates as", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "score": 1.0, + "content": "features to a convolutional decoder to improve generative modeling has been proposed many times,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "with recent work computing each image as a function of a fixed coordinate lattice and latent variables", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 462, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 505, + 474 + ], + "score": 1.0, + "content": "(Watters et al. (2019)). However, directly modeling a function that maps spatial coordinates to values", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 104, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "is less extensively explored. In CocoNet, the authors present a deep neural network that maps 2D", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "score": 1.0, + "content": "pixel coordinates to RBG color values. CocoNet learns an image model for single images, using the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 496, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 507 + ], + "score": 1.0, + "content": "capacity of the network to memorize the image, which can then be used for various tasks such as", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 506, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 505, + 518 + ], + "score": 1.0, + "content": "denoising and upsampling (Bricman & Ionescu (2018)). 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Our method extends many of these ideas from simpler 2D image modelling to enable 3D", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 550, + 295, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 295, + 562 + ], + "score": 1.0, + "content": "cryo-EM reconstruction in the Fourier domain.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 35.5, + "bbox_fs": [ + 104, + 428, + 506, + 562 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 587, + 172, + 600 + ], + "lines": [ + { + "bbox": [ + 104, + 586, + 174, + 603 + ], + "spans": [ + { + "bbox": [ + 104, + 586, + 174, + 603 + ], + "score": 1.0, + "content": "5 RESULTS", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 107, + 618, + 505, + 685 + ], + "lines": [ + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "Here, we present both qualitative and quantitative results for 1) homogeneous cryo-EM reconstruction,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "score": 1.0, + "content": "validating that cryoDRGN reconstructed volumes match those from existing tools; 2) heterogeneous", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "cryo-EM reconstruction with pose supervision, demonstrating automatic learning of the latent", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 651, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 505, + 665 + ], + "score": 1.0, + "content": "manifold that previously required many expert-guided rounds of multiclass refinement; and 3) fully", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 662, + 506, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 506, + 676 + ], + "score": 1.0, + "content": "unsupervised reconstruction of continuous distributions of 3D protein structures, a capability not", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 673, + 228, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 228, + 686 + ], + "score": 1.0, + "content": "provided by any existing tool.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 618, + 506, + 686 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 83, + 346, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 347, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 347, + 95 + ], + "score": 1.0, + "content": "5.1 UNSUPERVISED HOMOGENEOUS RECONSTRUCTION", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 104, + 506, + 199 + ], + "lines": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "We first evaluate cryoDRGN on homogeneous datasets, where existing tools are capable of recon-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "score": 1.0, + "content": "struction. We create two synthetic datasets following the cryo-EM image formation model (image", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 123, + 139 + ], + "score": 1.0, + "content": "size", + "type": "text" + }, + { + "bbox": [ + 124, + 127, + 153, + 137 + ], + "score": 0.73, + "content": "\\scriptstyle \\mathrm { D } = 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 126, + 505, + 139 + ], + "score": 1.0, + "content": ", 50k projections, with and without noise), and use one real dataset from EMPIAR-10028", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 423, + 151 + ], + "score": 1.0, + "content": "consisting of 105,247 images of the 80S ribosome downsampled to image size", + "type": "text" + }, + { + "bbox": [ + 424, + 138, + 448, + 149 + ], + "score": 0.84, + "content": "\\scriptstyle \\mathrm { D = } 9 0", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 137, + 506, + 151 + ], + "score": 1.0, + "content": ". The encoder", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 148, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 104, + 148, + 506, + 162 + ], + "score": 1.0, + "content": "network is not used in homogeneous reconstruction. As a baseline for comparison, we perform", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 159, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 164, + 174 + ], + "score": 1.0, + "content": "homogeneous", + "type": "text" + }, + { + "bbox": [ + 164, + 160, + 175, + 170 + ], + "score": 0.26, + "content": "a b", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 159, + 506, + 174 + ], + "score": 1.0, + "content": "-initio reconstruction followed by iterative refinement in cryoSPARC (Punjani et al.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "score": 1.0, + "content": "(2017)). We compare against cryoSPARC as a representative of traditional state-of-the-art tools,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "score": 1.0, + "content": "which all implement variants of the same algorithm (Section 2). Further dataset preprocessing and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 192, + 270, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 192, + 270, + 205 + ], + "score": 1.0, + "content": "training details are given in Appendix B.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 108, + 193, + 269, + 204 + ], + "lines": [ + { + "bbox": [ + 108, + 193, + 269, + 204 + ], + "spans": [], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 209, + 295, + 297 + ], + "lines": [ + { + "bbox": [ + 106, + 209, + 296, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 296, + 221 + ], + "score": 1.0, + "content": "We find that cryoDRGN inferred poses and re-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 221, + 296, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 296, + 231 + ], + "score": 1.0, + "content": "constructed volumes match those from state of-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 231, + 295, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 295, + 243 + ], + "score": 1.0, + "content": "the-art tools. The similarity of the volumes to", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 243, + 295, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 295, + 254 + ], + "score": 1.0, + "content": "the ground truth can be quantified with the with", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 253, + 296, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 296, + 265 + ], + "score": 1.0, + "content": "the Fourier shell correlation (FSC) curve3. Re-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 264, + 297, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 297, + 276 + ], + "score": 1.0, + "content": "constructed volumes and quantitative compar-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 275, + 297, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 297, + 288 + ], + "score": 1.0, + "content": "ison with the FSC curve is given in Figure S5.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 286, + 295, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 295, + 299 + ], + "score": 1.0, + "content": "Pose error to the ground truth image poses are", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14.5 + }, + { + "type": "table", + "bbox": [ + 312, + 201, + 492, + 253 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 312, + 201, + 492, + 253 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 312, + 201, + 492, + 253 + ], + "spans": [ + { + "bbox": [ + 312, + 201, + 492, + 253 + ], + "score": 0.975, + "html": "
MethodDataset
cryoSPARCNo NoiseSNR=0.1 0.002/0.64
cryoDRGN0.0009/ /0.47
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For the real cryoEM dataset (no ground truth), the median pose difference between", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 308, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 505, + 321 + ], + "score": 1.0, + "content": "cryoDRGN and cryoSPARC reconstructions is 0.002 for rotations and 1.0 pixels for translations, and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 319, + 446, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 446, + 331 + ], + "score": 1.0, + "content": "the resulting volumes are correlated above a FSC cutoff of 0.5 across all frequencies.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 108, + 349, + 397, + 360 + ], + "lines": [ + { + "bbox": [ + 105, + 349, + 398, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 398, + 361 + ], + "score": 1.0, + "content": "5.2 HETEROGENEOUS RECONSTRUCTION WITH POSE SUPERVISION", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 371, + 506, + 470 + ], + "lines": [ + { + "bbox": [ + 106, + 371, + 506, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 506, + 383 + ], + "score": 1.0, + "content": "Next, we evaluate cryoDRGN for heterogeneous cryo-EM reconstruction on EMPIAR-10076, a", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 380, + 507, + 397 + ], + "spans": [ + { + "bbox": [ + 104, + 380, + 183, + 397 + ], + "score": 1.0, + "content": "real dataset of the", + "type": "text" + }, + { + "bbox": [ + 183, + 383, + 191, + 392 + ], + "score": 0.32, + "content": "E", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 380, + 507, + 397 + ], + "score": 1.0, + "content": ". coli large ribosomal subunit (LSU) undergoing assembly (131,899 images,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 392, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 176, + 406 + ], + "score": 1.0, + "content": "downsampled to", + "type": "text" + }, + { + "bbox": [ + 177, + 393, + 202, + 404 + ], + "score": 0.78, + "content": "{ \\mathrm { D } } { = } 9 0 \\ \\mathrm { \\Omega }", + "type": "inline_equation" + }, + { + "bbox": [ + 202, + 392, + 506, + 406 + ], + "score": 1.0, + "content": ") (Davis et al. (2016)). Here, poses are obtained through alignment to an", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "existing structure of the LSU and treated as known during training. 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We compare the cryo-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 529, + 298, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 207, + 545 + ], + "score": 1.0, + "content": "DRGN latent encoding", + "type": "text" + }, + { + "bbox": [ + 207, + 532, + 228, + 543 + ], + "score": 0.89, + "content": "\\mu _ { z | X }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 529, + 298, + 545 + ], + "score": 1.0, + "content": "for each image", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 542, + 297, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 297, + 554 + ], + "score": 1.0, + "content": "to the MAP cluster assignment in cryoSPARC", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 552, + 297, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 297, + 564 + ], + "score": 1.0, + "content": "and find that the learned latent manifold aligns", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 563, + 298, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 298, + 576 + ], + "score": 1.0, + "content": "with cryoSPARC clusters (Figure 3b). Cryo-", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 574, + 297, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 297, + 586 + ], + "score": 1.0, + "content": "DRGN identifies subpopulations in some of the", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 586, + 299, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 299, + 598 + ], + "score": 1.0, + "content": "cryoSPARC clusters (e.g. Class D), which is par-", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 596, + 297, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 297, + 608 + ], + "score": 1.0, + "content": "titioned by a subsequent round of cryoSPARC", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 607, + 297, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 297, + 619 + ], + "score": 1.0, + "content": "multiclass refinement (Figure S8). Published", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 619, + 297, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 297, + 631 + ], + "score": 1.0, + "content": "structures A and F correspond to impurities in", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 629, + 298, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 298, + 642 + ], + "score": 1.0, + "content": "the sample. CryoDRGN correctly assigns im-", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 641, + 299, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 299, + 653 + ], + "score": 1.0, + "content": "ages from these impurities to distinct clusters,", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 651, + 297, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 297, + 663 + ], + "score": 1.0, + "content": "but does not learn their correct structure since", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 105, + 662, + 298, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 298, + 675 + ], + "score": 1.0, + "content": "the poses inferred from aligning to the LSU tem-", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 106, + 674, + 221, + 685 + ], + "spans": [ + { + "bbox": [ + 106, + 674, + 221, + 685 + ], + "score": 1.0, + "content": "plate structure are incorrect.", + "type": "text" + } + ], + "index": 58 + } + 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Middle: Reconstructed", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 159, + 505, + 169 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 505, + 169 + ], + "score": 1.0, + "content": "structures from cryoDRGN match the ground truth volumes with the correct continuous deformation. We", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 169, + 506, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 506, + 180 + ], + "score": 1.0, + "content": "visualize 10 structures (superimposed) sampled at the depicted points in the latent space. The distribution of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 180, + 505, + 190 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 505, + 190 + ], + "score": 1.0, + "content": "images in the latent space (visualized in 2D with PCA) matches the topology of the true data manifold. Right:", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 188, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 506, + 200 + ], + "score": 1.0, + "content": "Reconstructed volumes from discrete 3-class reconstruction in cryoSPARC and the distribution of images over", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 198, + 225, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 225, + 210 + ], + "score": 1.0, + "content": "the three reconstructed volumes.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "table", + "bbox": [ + 158, + 235, + 453, + 303 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 158, + 235, + 453, + 303 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 158, + 235, + 453, + 303 + ], + "spans": [ + { + "bbox": [ + 158, + 235, + 453, + 303 + ], + "score": 0.976, + "html": "
DatasetcryoDRGNcryoDRGN+tiltcryoSPARC
Linear 1D motion2.50(0.62)2.35(0.36)3.60(2.27)
Linear 2D motion4.44(2.50)2.93(1.02)6.90(3.77)
Circular :1D motion4.05(2.40)2.63(0.74)4.87(2.17)
Discrete 10 class4.95(3.16)2.58(1.00)5.69(5.15)
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We", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 455, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 505, + 468 + ], + "score": 1.0, + "content": "train cryoDRGN with a 1D latent variable for the linear 1D dataset and a 10D latent variable for the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 467, + 504, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 477, + 480 + ], + "score": 1.0, + "content": "other 3 datasets. As a baseline, we perform multiclass reconstruction in cryoSPARC sweeping", + "type": "text" + }, + { + "bbox": [ + 477, + 467, + 504, + 478 + ], + "score": 0.7, + "content": "{ \\tt K } = 2 \\cdot 5", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 478, + 397, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 222, + 490 + ], + "score": 1.0, + "content": "classes. We compare against", + "type": "text" + }, + { + "bbox": [ + 223, + 478, + 241, + 488 + ], + "score": 0.75, + "content": "{ \\mathrm { K } } { = } 3", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 479, + 397, + 490 + ], + "score": 1.0, + "content": ", which had the best qualitative results.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 494, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 495, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 506 + ], + "score": 1.0, + "content": "We also propose a modification to cryoDRGN in order to train on tilt series pairs datasets. Tilt series", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 506, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 104, + 506, + 330, + 520 + ], + "score": 1.0, + "content": "pairs is a variant of cryo-EM in which, for each image", + "type": "text" + }, + { + "bbox": [ + 331, + 507, + 343, + 518 + ], + "score": 0.87, + "content": "X _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 506, + 443, + 520 + ], + "score": 1.0, + "content": ", a corresponding image", + "type": "text" + }, + { + "bbox": [ + 443, + 506, + 456, + 519 + ], + "score": 0.91, + "content": "X _ { i } ^ { ' }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 506, + 505, + 520 + ], + "score": 1.0, + "content": "is acquired", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 518, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 505, + 531 + ], + "score": 1.0, + "content": "after tilting the imaging stage by a known angle. This technique was originally employed to identify", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "the chirality of molecules (Belnap et al. (1997)), which is lost in the projection from 3D to 2D. We", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 333, + 554 + ], + "score": 1.0, + "content": "propose using tilt series pairs to encourage invariance of", + "type": "text" + }, + { + "bbox": [ + 333, + 541, + 343, + 552 + ], + "score": 0.84, + "content": "q _ { \\xi }", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 540, + 506, + 554 + ], + "score": 1.0, + "content": "with respect to pose transformations for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 551, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 104, + 552, + 138, + 566 + ], + "score": 1.0, + "content": "a given", + "type": "text" + }, + { + "bbox": [ + 139, + 551, + 150, + 564 + ], + "score": 0.88, + "content": "\\hat { V } _ { \\mathbf { z } }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 552, + 332, + 566 + ], + "score": 1.0, + "content": "(and incidentally to identify the chirality of", + "type": "text" + }, + { + "bbox": [ + 332, + 552, + 344, + 564 + ], + "score": 0.86, + "content": "\\hat { V } _ { \\mathbf { z } }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 552, + 506, + 566 + ], + "score": 1.0, + "content": "). We make minor modifications to the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 565, + 271, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 271, + 576 + ], + "score": 1.0, + "content": "architecture as described in Appendix D.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 581, + 505, + 669 + ], + "lines": [ + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "score": 1.0, + "content": "In Figure 4, we show that cryoDRGN reconstructed volumes for the circular 1D dataset qualitatively", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 591, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 605 + ], + "score": 1.0, + "content": "match the ground truth structures. Note that while we only visualize 10 structures sampled along", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 603, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 616 + ], + "score": 1.0, + "content": "the latent space, the volume decoder can reconstruct the full continuum of states. In contrast,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 614, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 627 + ], + "score": 1.0, + "content": "cryoSPARC multiclass reconstruction, a discrete mixture model of independent structures, is only", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 626, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 505, + 638 + ], + "score": 1.0, + "content": "able to reconstruct 2 (originally unaligned) structures which resemble the ground truth. Volumes", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "score": 1.0, + "content": "contain blurring artifacts from clustering images from different conformations into the assumed-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "score": 1.0, + "content": "homogeneous clusters in the mixture model. Results for the remaining datasets are given in Figures", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 658, + 141, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 141, + 669 + ], + "score": 1.0, + "content": "S10-13.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 107, + 675, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 675, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 505, + 687 + ], + "score": 1.0, + "content": "We quantitatively measure performance on this task with an FSC resolution metric computed between", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 684, + 507, + 703 + ], + "spans": [ + { + "bbox": [ + 104, + 684, + 241, + 703 + ], + "score": 1.0, + "content": "the MAP volume for each image", + "type": "text" + }, + { + "bbox": [ + 241, + 686, + 267, + 700 + ], + "score": 0.92, + "content": "V _ { z _ { i } | \\hat { X } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 684, + 507, + 703 + ], + "score": 1.0, + "content": "and the ground truth volume which generated each image,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 697, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 505, + 713 + ], + "score": 1.0, + "content": "averaged across images in the dataset (Table S4). We find that cryoDRGN reconstruction accuracy", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "is much higher than state-of-the-art discrete multiclass reconstruction in cryoSPARC, with further", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 721, + 321, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 321, + 733 + ], + "score": 1.0, + "content": "improvement achieved by training on tilt series pairs.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "score": 1.0, + "content": "8", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 157, + 64, + 453, + 145 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 157, + 64, + 453, + 145 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 157, + 64, + 453, + 145 + ], + "spans": [ + { + "bbox": [ + 157, + 64, + 453, + 145 + ], + "score": 0.962, + "type": "image", + "image_path": "717ead72ccbe90aeed1b057b1c308446d930544ca0fc4e8c2eef7119b099dec8.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 157, + 64, + 453, + 91.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 157, + 91.0, + 453, + 118.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 157, + 118.0, + 453, + 145.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 149, + 506, + 209 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 149, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 505, + 160 + ], + "score": 1.0, + "content": "Figure 4: Left: Ground truth volume containing a continuous circular 1D motion. Middle: Reconstructed", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 159, + 505, + 169 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 505, + 169 + ], + "score": 1.0, + "content": "structures from cryoDRGN match the ground truth volumes with the correct continuous deformation. We", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 169, + 506, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 506, + 180 + ], + "score": 1.0, + "content": "visualize 10 structures (superimposed) sampled at the depicted points in the latent space. The distribution of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 180, + 505, + 190 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 505, + 190 + ], + "score": 1.0, + "content": "images in the latent space (visualized in 2D with PCA) matches the topology of the true data manifold. Right:", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 188, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 506, + 200 + ], + "score": 1.0, + "content": "Reconstructed volumes from discrete 3-class reconstruction in cryoSPARC and the distribution of images over", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 198, + 225, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 225, + 210 + ], + "score": 1.0, + "content": "the three reconstructed volumes.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "table", + "bbox": [ + 158, + 235, + 453, + 303 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 158, + 235, + 453, + 303 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 158, + 235, + 453, + 303 + ], + "spans": [ + { + "bbox": [ + 158, + 235, + 453, + 303 + ], + "score": 0.976, + "html": "
DatasetcryoDRGNcryoDRGN+tiltcryoSPARC
Linear 1D motion2.50(0.62)2.35(0.36)3.60(2.27)
Linear 2D motion4.44(2.50)2.93(1.02)6.90(3.77)
Circular :1D motion4.05(2.40)2.63(0.74)4.87(2.17)
Discrete 10 class4.95(3.16)2.58(1.00)5.69(5.15)
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We", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 455, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 505, + 468 + ], + "score": 1.0, + "content": "train cryoDRGN with a 1D latent variable for the linear 1D dataset and a 10D latent variable for the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 467, + 504, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 477, + 480 + ], + "score": 1.0, + "content": "other 3 datasets. As a baseline, we perform multiclass reconstruction in cryoSPARC sweeping", + "type": "text" + }, + { + "bbox": [ + 477, + 467, + 504, + 478 + ], + "score": 0.7, + "content": "{ \\tt K } = 2 \\cdot 5", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 478, + 397, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 222, + 490 + ], + "score": 1.0, + "content": "classes. We compare against", + "type": "text" + }, + { + "bbox": [ + 223, + 478, + 241, + 488 + ], + "score": 0.75, + "content": "{ \\mathrm { K } } { = } 3", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 479, + 397, + 490 + ], + "score": 1.0, + "content": ", which had the best qualitative results.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 411, + 506, + 490 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 494, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 495, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 506 + ], + "score": 1.0, + "content": "We also propose a modification to cryoDRGN in order to train on tilt series pairs datasets. Tilt series", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 506, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 104, + 506, + 330, + 520 + ], + "score": 1.0, + "content": "pairs is a variant of cryo-EM in which, for each image", + "type": "text" + }, + { + "bbox": [ + 331, + 507, + 343, + 518 + ], + "score": 0.87, + "content": "X _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 506, + 443, + 520 + ], + "score": 1.0, + "content": ", a corresponding image", + "type": "text" + }, + { + "bbox": [ + 443, + 506, + 456, + 519 + ], + "score": 0.91, + "content": "X _ { i } ^ { ' }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 506, + 505, + 520 + ], + "score": 1.0, + "content": "is acquired", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 518, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 505, + 531 + ], + "score": 1.0, + "content": "after tilting the imaging stage by a known angle. This technique was originally employed to identify", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "the chirality of molecules (Belnap et al. (1997)), which is lost in the projection from 3D to 2D. We", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 333, + 554 + ], + "score": 1.0, + "content": "propose using tilt series pairs to encourage invariance of", + "type": "text" + }, + { + "bbox": [ + 333, + 541, + 343, + 552 + ], + "score": 0.84, + "content": "q _ { \\xi }", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 540, + 506, + 554 + ], + "score": 1.0, + "content": "with respect to pose transformations for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 551, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 104, + 552, + 138, + 566 + ], + "score": 1.0, + "content": "a given", + "type": "text" + }, + { + "bbox": [ + 139, + 551, + 150, + 564 + ], + "score": 0.88, + "content": "\\hat { V } _ { \\mathbf { z } }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 552, + 332, + 566 + ], + "score": 1.0, + "content": "(and incidentally to identify the chirality of", + "type": "text" + }, + { + "bbox": [ + 332, + 552, + 344, + 564 + ], + "score": 0.86, + "content": "\\hat { V } _ { \\mathbf { z } }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 552, + 506, + 566 + ], + "score": 1.0, + "content": "). We make minor modifications to the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 565, + 271, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 271, + 576 + ], + "score": 1.0, + "content": "architecture as described in Appendix D.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 495, + 506, + 576 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 581, + 505, + 669 + ], + "lines": [ + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "score": 1.0, + "content": "In Figure 4, we show that cryoDRGN reconstructed volumes for the circular 1D dataset qualitatively", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 591, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 605 + ], + "score": 1.0, + "content": "match the ground truth structures. 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Results for the remaining datasets are given in Figures", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 658, + 141, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 141, + 669 + ], + "score": 1.0, + "content": "S10-13.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 581, + 506, + 669 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 675, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 675, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 505, + 687 + ], + "score": 1.0, + "content": "We quantitatively measure performance on this task with an FSC resolution metric computed between", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 684, + 507, + 703 + ], + "spans": [ + { + "bbox": [ + 104, + 684, + 241, + 703 + ], + "score": 1.0, + "content": "the MAP volume for each image", + "type": "text" + }, + { + "bbox": [ + 241, + 686, + 267, + 700 + ], + "score": 0.92, + "content": "V _ { z _ { i } | \\hat { X } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 684, + 507, + 703 + ], + "score": 1.0, + "content": "and the ground truth volume which generated each image,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 697, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 505, + 713 + ], + "score": 1.0, + "content": "averaged across images in the dataset (Table S4). We find that cryoDRGN reconstruction accuracy", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "is much higher than state-of-the-art discrete multiclass reconstruction in cryoSPARC, with further", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 721, + 321, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 321, + 733 + ], + "score": 1.0, + "content": "improvement achieved by training on tilt series pairs.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41, + "bbox_fs": [ + 104, + 675, + 507, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 81, + 201, + 93 + ], + "lines": [ + { + "bbox": [ + 104, + 79, + 203, + 97 + ], + "spans": [ + { + "bbox": [ + 104, + 79, + 203, + 97 + ], + "score": 1.0, + "content": "6 CONCLUSIONS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 106, + 505, + 194 + ], + "lines": [ + { + "bbox": [ + 105, + 106, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 506, + 118 + ], + "score": 1.0, + "content": "We present a novel neural network-based reconstruction method for single particle cryo-EM that", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "learns continuous variation in protein structure. 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The techniques described here may also", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 172, + 505, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 505, + 185 + ], + "score": 1.0, + "content": "have broader applicability to image and volume generative modelling in other domains of computer", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 183, + 251, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 251, + 194 + ], + "score": 1.0, + "content": "vision and 3D shape reconstruction.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4.5 + }, + { + "type": "title", + "bbox": [ + 108, + 207, + 200, + 217 + ], + "lines": [ + { + "bbox": [ + 107, + 207, + 200, + 217 + ], + "spans": [ + { + "bbox": [ + 107, + 207, + 200, + 217 + ], + "score": 1.0, + "content": "ACKNOWLEDGMENTS", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 225, + 505, + 269 + ], + "lines": [ + { + "bbox": [ + 105, + 225, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 237 + ], + "score": 1.0, + "content": "We thank Ben Demeo, Ashwin Narayan, Adam Lerer, Roy Lederman, and Kotaro Kelley for helpful", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 237, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 505, + 248 + ], + "score": 1.0, + "content": "discussions and feedback. This work was funded by the National Science Foundation Graduate", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "score": 1.0, + "content": "Research Fellowship Program, NIH grant R01-GM081871, NIH grant R00-AG050749, and the MIT", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 258, + 277, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 277, + 270 + ], + "score": 1.0, + "content": "J-Clinic for Machine Learning and Health.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "title", + "bbox": [ + 108, + 285, + 175, + 298 + ], + "lines": [ + { + "bbox": [ + 106, + 285, + 176, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 285, + 176, + 299 + ], + "score": 1.0, + "content": "REFERENCES", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 303, + 504, + 326 + ], + "lines": [ + { + "bbox": [ + 106, + 303, + 505, + 316 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 505, + 316 + ], + "score": 1.0, + "content": "Alex Barnett, Leslie Greengard, Andras Pataki, and Marina Spivak. 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In our case, the loss is evaluated on low-frequency components of the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 277, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 292, + 291 + ], + "score": 1.0, + "content": "image; specifically, Fourier components with", + "type": "text" + }, + { + "bbox": [ + 293, + 277, + 340, + 289 + ], + "score": 0.93, + "content": "| \\mathbf { k } | < k _ { m a x }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 277, + 506, + 291 + ], + "score": 1.0, + "content": "is an effective lower bound, as it is both", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 289, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 300 + ], + "score": 1.0, + "content": "inexpensive to compute and captures most of the power (and thus the error). This bound encodes the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 298, + 504, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 481, + 314 + ], + "score": 1.0, + "content": "intuition that low-frequency components dominate pose estimation. We concomitantly increase", + "type": "text" + }, + { + "bbox": [ + 481, + 299, + 504, + 310 + ], + "score": 0.9, + "content": "k _ { m a x }", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 311, + 253, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 253, + 322 + ], + "score": 1.0, + "content": "at each iteration of grid subdivision.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 326, + 506, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 506, + 339 + ], + "score": 1.0, + "content": "At each iteration, some poses are excluded by BNB, and the remaining poses are further discretized.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 338, + 506, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 506, + 351 + ], + "score": 1.0, + "content": "Although BNB is risk-free in the sense that the optimal pose at a given resolution will not be pruned,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 349, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 361 + ], + "score": 1.0, + "content": "our application of it is not risk-free as a candidate pose with high loss at a given resolution doesn’t", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "score": 1.0, + "content": "guarantee that its neighbor in the next iteration will not have a lower loss. Irrespective, in practice, we", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "score": 1.0, + "content": "find that at a sufficiently fine base resolution, we obtain good results on a tractable timescale (hours", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 382, + 185, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 185, + 394 + ], + "score": 1.0, + "content": "on a single GPU).4", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 398, + 505, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 321, + 412 + ], + "score": 1.0, + "content": "We reimplement the uniform multiresolution grids on", + "type": "text" + }, + { + "bbox": [ + 321, + 399, + 349, + 411 + ], + "score": 0.88, + "content": "S O ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 398, + 505, + 412 + ], + "score": 1.0, + "content": "based on Yershova et al. (2010), using", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "score": 1.0, + "content": "the Healpix Gorski et al. (2005) grid for the sphere and the Hopf fibration to uniformly lift the grid to", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 107, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 107, + 421, + 135, + 433 + ], + "score": 0.86, + "content": "S O ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 421, + 208, + 434 + ], + "score": 1.0, + "content": ". The base grid on", + "type": "text" + }, + { + "bbox": [ + 208, + 421, + 236, + 433 + ], + "score": 0.89, + "content": "S O ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "contains 576 orientations. We use the ordinary grid for translations", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 431, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 151, + 444 + ], + "score": 1.0, + "content": "containing", + "type": "text" + }, + { + "bbox": [ + 151, + 431, + 162, + 442 + ], + "score": 0.72, + "content": "7 ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 431, + 314, + 444 + ], + "score": 1.0, + "content": "points with an extent of 20 pixels for", + "type": "text" + }, + { + "bbox": [ + 314, + 432, + 344, + 442 + ], + "score": 0.85, + "content": "\\scriptstyle \\mathrm { D } = 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 431, + 505, + 444 + ], + "score": 1.0, + "content": "datasets. We subdivide the grid 5 times", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 442, + 504, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 479, + 455 + ], + "score": 1.0, + "content": "for a final resolution of 0.92 degrees for the orientation and 0.08 pixels for the translation. For", + "type": "text" + }, + { + "bbox": [ + 480, + 443, + 504, + 453 + ], + "score": 0.76, + "content": "\\scriptstyle \\mathrm { D = 6 4 }", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 453, + 349, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 349, + 466 + ], + "score": 1.0, + "content": "datasets, we use a translational grid with extent of 10 pixels.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27.5 + }, + { + "type": "title", + "bbox": [ + 107, + 480, + 387, + 492 + ], + "lines": [ + { + "bbox": [ + 105, + 477, + 389, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 389, + 496 + ], + "score": 1.0, + "content": "Algorithm 1 CryoDRGN branch and bound with frequency marching", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 108, + 496, + 506, + 689 + ], + "lines": [ + { + "bbox": [ + 109, + 496, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 109, + 497, + 170, + 510 + ], + "score": 1.0, + "content": "1: procedure", + "type": "text" + }, + { + "bbox": [ + 171, + 496, + 232, + 509 + ], + "score": 0.64, + "content": "\\mathrm { O P T P H I } ( \\hat { X } , \\hat { V } _ { \\mathbf { z } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 497, + 505, + 510 + ], + "score": 1.0, + "content": ". Find the optimal image pose given the current decoder", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 110, + 508, + 298, + 522 + ], + "spans": [ + { + "bbox": [ + 110, + 508, + 122, + 521 + ], + "score": 1.0, + "content": "2:", + "type": "text" + }, + { + "bbox": [ + 138, + 509, + 186, + 520 + ], + "score": 0.66, + "content": "k _ { m i n } \\gets 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 508, + 191, + 522 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 191, + 509, + 248, + 521 + ], + "score": 0.65, + "content": "k _ { m a x } \\gets D / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 508, + 253, + 522 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 254, + 509, + 298, + 520 + ], + "score": 0.76, + "content": "N _ { i t e r } \\gets 5", + "type": "inline_equation" + } + ], + "index": 33 + }, + { + "bbox": [ + 110, + 520, + 305, + 532 + ], + "spans": [ + { + "bbox": [ + 110, + 520, + 121, + 532 + ], + "score": 1.0, + "content": "3:", + "type": "text" + }, + { + "bbox": [ + 138, + 520, + 213, + 532 + ], + "score": 0.71, + "content": "\\Phi S O ( 3 ) \\times \\mathbb { R } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 520, + 305, + 532 + ], + "score": 1.0, + "content": "grid at base resolution", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 110, + 530, + 183, + 543 + ], + "spans": [ + { + "bbox": [ + 110, + 531, + 122, + 542 + ], + "score": 1.0, + "content": "4:", + "type": "text" + }, + { + "bbox": [ + 137, + 530, + 183, + 543 + ], + "score": 1.0, + "content": "k ← kmin", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 110, + 539, + 246, + 555 + ], + "spans": [ + { + "bbox": [ + 110, + 542, + 121, + 554 + ], + "score": 1.0, + "content": "5:", + "type": "text" + }, + { + "bbox": [ + 136, + 539, + 171, + 555 + ], + "score": 1.0, + "content": "for iter", + "type": "text" + }, + { + "bbox": [ + 171, + 543, + 190, + 552 + ], + "score": 0.36, + "content": "= 1", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 539, + 208, + 555 + ], + "score": 1.0, + "content": ". . .", + "type": "text" + }, + { + "bbox": [ + 208, + 542, + 231, + 553 + ], + "score": 0.65, + "content": "N _ { i t e r }", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 539, + 246, + 555 + ], + "score": 1.0, + "content": "do", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 110, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 110, + 553, + 122, + 565 + ], + "score": 1.0, + "content": "6:", + "type": "text" + }, + { + "bbox": [ + 153, + 553, + 168, + 564 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 168, + 553, + 198, + 564 + ], + "score": 0.71, + "content": "\\phi _ { i } \\in \\Phi", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 553, + 213, + 564 + ], + "score": 1.0, + "content": "do", + "type": "text" + }, + { + "bbox": [ + 337, + 552, + 505, + 565 + ], + "score": 1.0, + "content": ". Compute lower bound at all grid points", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 110, + 564, + 384, + 579 + ], + "spans": [ + { + "bbox": [ + 110, + 565, + 122, + 579 + ], + "score": 1.0, + "content": "7:", + "type": "text" + }, + { + "bbox": [ + 168, + 565, + 225, + 578 + ], + "score": 0.77, + "content": "l b ( \\phi _ { i } ) \\mathrm { l o s s }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 564, + 261, + 578 + ], + "score": 1.0, + "content": "between", + "type": "text" + }, + { + "bbox": [ + 262, + 564, + 272, + 576 + ], + "score": 0.75, + "content": "\\hat { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 564, + 316, + 578 + ], + "score": 1.0, + "content": "and SLICE", + "type": "text" + }, + { + "bbox": [ + 316, + 564, + 347, + 577 + ], + "score": 0.67, + "content": "( \\hat { V } _ { \\mathbf { z } } , \\phi _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 564, + 357, + 578 + ], + "score": 1.0, + "content": "at", + "type": "text" + }, + { + "bbox": [ + 357, + 565, + 384, + 576 + ], + "score": 0.87, + "content": "\\mathbf { k } < k", + "type": "inline_equation" + } + ], + "index": 38 + }, + { + "bbox": [ + 110, + 579, + 228, + 591 + ], + "spans": [ + { + "bbox": [ + 110, + 579, + 122, + 591 + ], + "score": 1.0, + "content": "8:", + "type": "text" + }, + { + "bbox": [ + 153, + 579, + 228, + 591 + ], + "score": 0.67, + "content": "\\phi ^ { * } \\gets \\mathrm { a r g } \\operatorname* { m i n } ( l b )", + "type": "inline_equation" + } + ], + "index": 39 + }, + { + "bbox": [ + 110, + 588, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 110, + 592, + 122, + 604 + ], + "score": 1.0, + "content": "9:", + "type": "text" + }, + { + "bbox": [ + 153, + 592, + 196, + 602 + ], + "score": 0.46, + "content": "u b \\gets 1 0 \\mathrm { s s }", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 588, + 232, + 606 + ], + "score": 1.0, + "content": "between", + "type": "text" + }, + { + "bbox": [ + 232, + 590, + 243, + 602 + ], + "score": 0.7, + "content": "\\hat { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 588, + 286, + 606 + ], + "score": 1.0, + "content": "and SLICE", + "type": "text" + }, + { + "bbox": [ + 286, + 590, + 318, + 604 + ], + "score": 0.71, + "content": "( \\hat { V } _ { \\mathbf { z } } , \\phi ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 588, + 329, + 606 + ], + "score": 1.0, + "content": "at", + "type": "text" + }, + { + "bbox": [ + 329, + 592, + 371, + 603 + ], + "score": 0.85, + "content": "\\mathbf { k } < k _ { m a x }", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 591, + 506, + 604 + ], + "score": 1.0, + "content": ". Compute upper bound", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 603, + 203, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 122, + 615 + ], + "score": 1.0, + "content": "10:", + "type": "text" + }, + { + "bbox": [ + 153, + 603, + 203, + 615 + ], + "score": 0.4, + "content": "\\Phi _ { n e w } \\{ \\}", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 613, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 122, + 626 + ], + "score": 1.0, + "content": "11:", + "type": "text" + }, + { + "bbox": [ + 152, + 613, + 168, + 626 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 168, + 615, + 198, + 625 + ], + "score": 0.48, + "content": "\\phi _ { i } \\in \\Phi", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 613, + 213, + 626 + ], + "score": 1.0, + "content": "do", + "type": "text" + }, + { + "bbox": [ + 315, + 615, + 322, + 624 + ], + "score": 0.4, + "content": "\\triangleright", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 613, + 505, + 626 + ], + "score": 1.0, + "content": "Subdivide grid points below the upper bound", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 623, + 250, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 122, + 637 + ], + "score": 1.0, + "content": "12:", + "type": "text" + }, + { + "bbox": [ + 166, + 623, + 177, + 638 + ], + "score": 1.0, + "content": "if", + "type": "text" + }, + { + "bbox": [ + 177, + 625, + 226, + 636 + ], + "score": 0.83, + "content": "l b ( \\phi _ { i } ) < u b", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 623, + 250, + 638 + ], + "score": 1.0, + "content": "then", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 633, + 322, + 674 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 122, + 648 + ], + "score": 1.0, + "content": "13:", + "type": "text" + }, + { + "bbox": [ + 151, + 633, + 322, + 674 + ], + "score": 0.39, + "content": "\\begin{array} { c } { \\Phi _ { n e w } \\Phi _ { n e w } \\cup et { } { : } \\mathrm { S U B D I V I D E } ( \\phi _ { i } ) } \\\\ { \\Phi \\Phi _ { n e w } } \\\\ { k k + ( k _ { m a x } - k _ { m i n } ) / ( N _ { i t e r } - 1 ) } \\end{array}", + "type": "inline_equation", + "image_path": "13a001f1019bb0236002716d4944aa78c05ebf9231af354200e514a724fd287b.jpg" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 649, + 122, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 122, + 660 + ], + "score": 1.0, + "content": "14:", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 660, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 122, + 673 + ], + "score": 1.0, + "content": "15:", + "type": "text" + }, + { + "bbox": [ + 375, + 660, + 505, + 672 + ], + "score": 1.0, + "content": ". Increase frequency band limit", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 673, + 181, + 686 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 122, + 686 + ], + "score": 1.0, + "content": "16:", + "type": "text" + }, + { + "bbox": [ + 137, + 673, + 181, + 686 + ], + "score": 1.0, + "content": "return φ∗", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 39.5 + } + ], + "page_idx": 11, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 701, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 117, + 698, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 117, + 698, + 506, + 714 + ], + "score": 1.0, + "content": "4The difference in loss between nearby poses could be incorporated into the BNB lower bound, but this", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "would require assumptions about the smoothness of the loss with respect to pose. We leave this detail for future", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 721, + 130, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 130, + 732 + ], + "score": 1.0, + "content": "work.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 294, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "12", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 81, + 246, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 80, + 247, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 247, + 96 + ], + "score": 1.0, + "content": "A APPENDIX - METHODS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 107, + 108, + 344, + 118 + ], + "lines": [ + { + "bbox": [ + 105, + 107, + 345, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 107, + 345, + 120 + ], + "score": 1.0, + "content": "A.1 BRANCH AND BOUND IMPLEMENTATION DETAILS", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 128, + 505, + 184 + ], + "lines": [ + { + "bbox": [ + 106, + 128, + 505, + 142 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 245, + 142 + ], + "score": 1.0, + "content": "We perform a global search over", + "type": "text" + }, + { + "bbox": [ + 245, + 128, + 298, + 141 + ], + "score": 0.93, + "content": "S O ( 3 ) \\times \\mathbb { R } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 128, + 505, + 142 + ], + "score": 1.0, + "content": "for the maximum-likelihood pose for each image", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 139, + 506, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 153 + ], + "score": 1.0, + "content": "given the current decoder MLP. Two techniques are used to improve the efficiency of the search over", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 150, + 505, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 505, + 165 + ], + "score": 1.0, + "content": "poses: (1) discretizing the search space on a uniform grid and sub-dividing grid points after pruning", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 160, + 505, + 176 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 505, + 176 + ], + "score": 1.0, + "content": "candidate poses with branch and bound, and (2) band pass limiting the objective to low frequency", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 173, + 501, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 289, + 186 + ], + "score": 1.0, + "content": "components and incrementally increasing the", + "type": "text" + }, + { + "bbox": [ + 289, + 173, + 296, + 182 + ], + "score": 0.35, + "content": "\\mathbf { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 173, + 501, + 186 + ], + "score": 1.0, + "content": "-space limit at each iteration (frequency marching).", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 128, + 506, + 186 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 190, + 505, + 321 + ], + "lines": [ + { + "bbox": [ + 105, + 189, + 505, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 505, + 203 + ], + "score": 1.0, + "content": "Our branch and bound algorithm for pose optimization is given in Algorithm 1. Briefly, we discretize", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 107, + 200, + 505, + 213 + ], + "spans": [ + { + "bbox": [ + 107, + 201, + 135, + 213 + ], + "score": 0.86, + "content": "S O ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 200, + 505, + 213 + ], + "score": 1.0, + "content": "uniformly using the Hopf fibration Yershova et al. (2010) at a predefined base resolution of the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "score": 1.0, + "content": "grid and incrementally increase the grid resolution by sub-dividing grid points. At each resolution of", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 222, + 507, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 507, + 236 + ], + "score": 1.0, + "content": "the grid, the set of candidate poses is pruned using a branch and bound (BNB) optimization scheme,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 233, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 506, + 246 + ], + "score": 1.0, + "content": "which alternates between a computationally inexpensive lower bound on the objective function", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 244, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 506, + 258 + ], + "score": 1.0, + "content": "evaluated at all grid points and an upper bound consisting of the true objective evaluated on the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "score": 1.0, + "content": "best lower-bound candidate. Grid points whose lower bound is higher than this value are excluded", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 267, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 505, + 279 + ], + "score": 1.0, + "content": "for subsequent iterations. In our case, the loss is evaluated on low-frequency components of the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 277, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 292, + 291 + ], + "score": 1.0, + "content": "image; specifically, Fourier components with", + "type": "text" + }, + { + "bbox": [ + 293, + 277, + 340, + 289 + ], + "score": 0.93, + "content": "| \\mathbf { k } | < k _ { m a x }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 277, + 506, + 291 + ], + "score": 1.0, + "content": "is an effective lower bound, as it is both", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 289, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 300 + ], + "score": 1.0, + "content": "inexpensive to compute and captures most of the power (and thus the error). This bound encodes the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 298, + 504, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 481, + 314 + ], + "score": 1.0, + "content": "intuition that low-frequency components dominate pose estimation. We concomitantly increase", + "type": "text" + }, + { + "bbox": [ + 481, + 299, + 504, + 310 + ], + "score": 0.9, + "content": "k _ { m a x }", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 311, + 253, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 253, + 322 + ], + "score": 1.0, + "content": "at each iteration of grid subdivision.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 189, + 507, + 322 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 326, + 506, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 506, + 339 + ], + "score": 1.0, + "content": "At each iteration, some poses are excluded by BNB, and the remaining poses are further discretized.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 338, + 506, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 506, + 351 + ], + "score": 1.0, + "content": "Although BNB is risk-free in the sense that the optimal pose at a given resolution will not be pruned,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 349, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 361 + ], + "score": 1.0, + "content": "our application of it is not risk-free as a candidate pose with high loss at a given resolution doesn’t", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "score": 1.0, + "content": "guarantee that its neighbor in the next iteration will not have a lower loss. Irrespective, in practice, we", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "score": 1.0, + "content": "find that at a sufficiently fine base resolution, we obtain good results on a tractable timescale (hours", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 382, + 185, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 185, + 394 + ], + "score": 1.0, + "content": "on a single GPU).4", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 326, + 506, + 394 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 398, + 505, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 321, + 412 + ], + "score": 1.0, + "content": "We reimplement the uniform multiresolution grids on", + "type": "text" + }, + { + "bbox": [ + 321, + 399, + 349, + 411 + ], + "score": 0.88, + "content": "S O ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 398, + 505, + 412 + ], + "score": 1.0, + "content": "based on Yershova et al. (2010), using", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "score": 1.0, + "content": "the Healpix Gorski et al. (2005) grid for the sphere and the Hopf fibration to uniformly lift the grid to", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 107, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 107, + 421, + 135, + 433 + ], + "score": 0.86, + "content": "S O ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 421, + 208, + 434 + ], + "score": 1.0, + "content": ". The base grid on", + "type": "text" + }, + { + "bbox": [ + 208, + 421, + 236, + 433 + ], + "score": 0.89, + "content": "S O ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "contains 576 orientations. We use the ordinary grid for translations", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 431, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 151, + 444 + ], + "score": 1.0, + "content": "containing", + "type": "text" + }, + { + "bbox": [ + 151, + 431, + 162, + 442 + ], + "score": 0.72, + "content": "7 ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 431, + 314, + 444 + ], + "score": 1.0, + "content": "points with an extent of 20 pixels for", + "type": "text" + }, + { + "bbox": [ + 314, + 432, + 344, + 442 + ], + "score": 0.85, + "content": "\\scriptstyle \\mathrm { D } = 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 431, + 505, + 444 + ], + "score": 1.0, + "content": "datasets. We subdivide the grid 5 times", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 442, + 504, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 479, + 455 + ], + "score": 1.0, + "content": "for a final resolution of 0.92 degrees for the orientation and 0.08 pixels for the translation. For", + "type": "text" + }, + { + "bbox": [ + 480, + 443, + 504, + 453 + ], + "score": 0.76, + "content": "\\scriptstyle \\mathrm { D = 6 4 }", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 453, + 349, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 349, + 466 + ], + "score": 1.0, + "content": "datasets, we use a translational grid with extent of 10 pixels.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 398, + 505, + 466 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 480, + 387, + 492 + ], + "lines": [ + { + "bbox": [ + 105, + 477, + 389, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 389, + 496 + ], + "score": 1.0, + "content": "Algorithm 1 CryoDRGN branch and bound with frequency marching", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "index", + "bbox": [ + 108, + 496, + 506, + 689 + ], + "lines": [ + { + "bbox": [ + 109, + 496, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 109, + 497, + 170, + 510 + ], + "score": 1.0, + "content": "1: procedure", + "type": "text" + }, + { + "bbox": [ + 171, + 496, + 232, + 509 + ], + "score": 0.64, + "content": "\\mathrm { O P T P H I } ( \\hat { X } , \\hat { V } _ { \\mathbf { z } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 497, + 505, + 510 + ], + "score": 1.0, + "content": ". 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(2009)). Following convention in the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 500, + 507, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 507, + 513 + ], + "score": 1.0, + "content": "cryo-EM field, we define SNR as the ratio of the variance of the signal to the variance of the noise.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 510, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 377, + 525 + ], + "score": 1.0, + "content": "We define the noise-free signal images to be the entire DxD image.", + "type": "text" + }, + { + "bbox": [ + 378, + 511, + 394, + 522 + ], + "score": 0.35, + "content": "5 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 510, + 506, + 525 + ], + "score": 1.0, + "content": "projections were generated", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 521, + 280, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 247, + 535 + ], + "score": 1.0, + "content": "for each dataset with image size of", + "type": "text" + }, + { + "bbox": [ + 247, + 522, + 276, + 533 + ], + "score": 0.84, + "content": "\\scriptstyle \\mathrm { D } = 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 521, + 280, + 535 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 594 + ], + "lines": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "score": 1.0, + "content": "Real dataset: To generate the real cryo-EM dataset for homogeneous reconstruction, images from", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "EMPIAR-10028 (Wong et al. 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The images were then ’phase flipped’ in Fourier space by their contrast transfer function, a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 571, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 586 + ], + "score": 1.0, + "content": "given real-valued function with range [-1,1] determined by the microscopy conditions, i.e. the Fourier", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 583, + 315, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 315, + 596 + ], + "score": 1.0, + "content": "components are negated where the CTF is negative.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34 + }, + { + "type": "title", + "bbox": [ + 107, + 618, + 177, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 617, + 178, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 178, + 632 + ], + "score": 1.0, + "content": "B.2 TRAINING", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 643, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "For each dataset, we train the volume decoder (10 hidden layers of dimension 128) in minibatches", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "of 10 images with random orientations for the first epoch to learn a volume with roughly correct", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 666, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 446, + 679 + ], + "score": 1.0, + "content": "spatial extent, followed by 4 epochs with branch and bound (BNB) pose inference", + "type": "text" + }, + { + "bbox": [ + 447, + 666, + 478, + 677 + ], + "score": 0.41, + "content": "3 0 \\mathrm { m i n } ,", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 666, + 505, + 679 + ], + "score": 1.0, + "content": "/epoch", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 148, + 690 + ], + "score": 1.0, + "content": "noiseless,", + "type": "text" + }, + { + "bbox": [ + 149, + 677, + 179, + 687 + ], + "score": 0.26, + "content": "8 0 \\mathrm { m i n }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "/noisy datasets). 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A fully connected architecture is used instead of a", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 212, + 425, + 225 + ], + "spans": [ + { + "bbox": [ + 106, + 212, + 425, + 225 + ], + "score": 1.0, + "content": "convolutional architecture because the images are not represented in real space.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9, + "bbox_fs": [ + 106, + 190, + 505, + 225 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 229, + 505, + 273 + ], + "lines": [ + { + "bbox": [ + 105, + 229, + 506, + 242 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 506, + 242 + ], + "score": 1.0, + "content": "Instead of representing both the real and imaginary components of each image, we use the closely-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 240, + 506, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 252 + ], + "score": 1.0, + "content": "related Hartley space representation (Hartley (1942)). The Hartley transform of real-valued functions", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 250, + 506, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 506, + 264 + ], + "score": 1.0, + "content": "is equivalent to the real minus imaginary component of the FT, and thus is real valued. The Fourier", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 262, + 339, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 339, + 274 + ], + "score": 1.0, + "content": "slice theorem still holds and the error model is equivalent.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 229, + 506, + 274 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 278, + 505, + 323 + ], + "lines": [ + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "score": 1.0, + "content": "In this work, we simplify the image generation model to Gaussian white noise. Therefore, for a given", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 290, + 506, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 506, + 302 + ], + "score": 1.0, + "content": "image, the negative log likelihood for a reconstructed slice from the decoder corresponds to the mean", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 301, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 312 + ], + "score": 1.0, + "content": "squared error between the phase-shifted image and the oriented slice from the volume decoder. We", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 313, + 372, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 372, + 323 + ], + "score": 1.0, + "content": "leave the implementation of a colored noise model to future work.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 278, + 506, + 323 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 328, + 503, + 362 + ], + "lines": [ + { + "bbox": [ + 106, + 328, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 505, + 342 + ], + "score": 1.0, + "content": "We use the Adam optimizer (Kingma & Ba (2014)) with learning rate of 5e-4 for experiments", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "involving noiseless, homogeneous datasets, and 1e-4 for all other experiments. All models are", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 351, + 294, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 294, + 363 + ], + "score": 1.0, + "content": "implemented in Pytorch (Paszke et al. 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(2009)). Following convention in the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 500, + 507, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 507, + 513 + ], + "score": 1.0, + "content": "cryo-EM field, we define SNR as the ratio of the variance of the signal to the variance of the noise.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 510, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 377, + 525 + ], + "score": 1.0, + "content": "We define the noise-free signal images to be the entire DxD image.", + "type": "text" + }, + { + "bbox": [ + 378, + 511, + 394, + 522 + ], + "score": 0.35, + "content": "5 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 510, + 506, + 525 + ], + "score": 1.0, + "content": "projections were generated", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 521, + 280, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 247, + 535 + ], + "score": 1.0, + "content": "for each dataset with image size of", + "type": "text" + }, + { + "bbox": [ + 247, + 522, + 276, + 533 + ], + "score": 0.84, + "content": "\\scriptstyle \\mathrm { D } = 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 521, + 280, + 535 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 445, + 507, + 535 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 594 + ], + "lines": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "score": 1.0, + "content": "Real dataset: To generate the real cryo-EM dataset for homogeneous reconstruction, images from", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "EMPIAR-10028 (Wong et al. (2014)) were downsampled by a factor of 4 by clipping in Fourier", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "score": 1.0, + "content": "space. The images were then ’phase flipped’ in Fourier space by their contrast transfer function, a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 571, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 586 + ], + "score": 1.0, + "content": "given real-valued function with range [-1,1] determined by the microscopy conditions, i.e. the Fourier", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 583, + 315, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 315, + 596 + ], + "score": 1.0, + "content": "components are negated where the CTF is negative.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 540, + 506, + 596 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 618, + 177, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 617, + 178, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 178, + 632 + ], + "score": 1.0, + "content": "B.2 TRAINING", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 643, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "For each dataset, we train the volume decoder (10 hidden layers of dimension 128) in minibatches", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "of 10 images with random orientations for the first epoch to learn a volume with roughly correct", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 666, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 446, + 679 + ], + "score": 1.0, + "content": "spatial extent, followed by 4 epochs with branch and bound (BNB) pose inference", + "type": "text" + }, + { + "bbox": [ + 447, + 666, + 478, + 677 + ], + "score": 0.41, + "content": "3 0 \\mathrm { m i n } ,", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 666, + 505, + 679 + ], + "score": 1.0, + "content": "/epoch", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 148, + 690 + ], + "score": 1.0, + "content": "noiseless,", + "type": "text" + }, + { + "bbox": [ + 149, + 677, + 179, + 687 + ], + "score": 0.26, + "content": "8 0 \\mathrm { m i n }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "/noisy datasets). Since BNB pose inference is the bottleneck during training, we", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "employ a multiscale training protocol, where after 4 epochs with BNB pose inference, the latent pose", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "is fixed, and we train a separate, larger volume decoder (10 hidden layers of dimension 500) for 15", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "epochs with fixed poses to \"refine\" the structure to high resolution (20 min/epoch). Training times", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 720, + 420, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 190, + 732 + ], + "score": 1.0, + "content": "are reported for 50k,", + "type": "text" + }, + { + "bbox": [ + 191, + 721, + 220, + 731 + ], + "score": 0.77, + "content": "\\scriptstyle \\mathrm { D } = 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 720, + 420, + 732 + ], + "score": 1.0, + "content": "image datasets trained on a Nvidia Titan V GPU.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 644, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 116, + 507, + 315 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 116, + 507, + 315 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 116, + 507, + 315 + ], + "spans": [ + { + "bbox": [ + 108, + 116, + 507, + 315 + ], + "score": 0.964, + "type": "image", + "image_path": "bfa84434a3f3b877c46675ae633dfcbc4c6f9ef927b2783fb9d6b002298f904f.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 116, + 507, + 182.33333333333331 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 182.33333333333331, + 507, + 248.66666666666663 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 248.66666666666663, + 507, + 314.99999999999994 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 329, + 504, + 360 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 330, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 505, + 340 + ], + "score": 1.0, + "content": "Figure S5: Left: CryoDRGN unsupervised homogeneous reconstruction on 2 simulated datasets and 1 real cryo-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 340, + 505, + 350 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 350 + ], + "score": 1.0, + "content": "EM dataset matches state-of-the-art. Right: Fourier shell correlation (FSC) curves between the reconstructed", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 350, + 368, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 368, + 361 + ], + "score": 1.0, + "content": "volume and the ground truth volume for the synthetic ribosome datasets.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 108, + 388, + 503, + 401 + ], + "lines": [ + { + "bbox": [ + 106, + 387, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 505, + 402 + ], + "score": 1.0, + "content": "C HETEROGENEOUS RIBOSOME RECONSTRUCTION WITH POSE SUPERVISION", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 415, + 505, + 471 + ], + "lines": [ + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "score": 1.0, + "content": "Dataset preparation: We used the dataset from EMPIAR-10076 which contains 131,899 images of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 120, + 441 + ], + "score": 1.0, + "content": "the", + "type": "text" + }, + { + "bbox": [ + 121, + 428, + 128, + 437 + ], + "score": 0.42, + "content": "E", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 426, + 506, + 441 + ], + "score": 1.0, + "content": ". coli large ribosomal subunit (LSU) in various stages of assembly (Davis et al. (2016)). Images", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 196, + 451 + ], + "score": 1.0, + "content": "were downsampled to", + "type": "text" + }, + { + "bbox": [ + 197, + 438, + 227, + 449 + ], + "score": 0.84, + "content": "\\scriptstyle \\mathrm { D } = 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "by clipping in Fourier space. 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Inferential procedures such as", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "score": 1.0, + "content": "expectation maximization converge to one handedness or the other depending on their initialization.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 619, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 506, + 633 + ], + "score": 1.0, + "content": "In multiclass reconstruction, different classes are not guaranteed to possess the same handedness", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 631, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 505, + 643 + ], + "score": 1.0, + "content": "even if there is a high relatedness between structures. 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To train on tilt series pairs, the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "encoder is split into two MLPs, the first learning an intermediate encoding of each image, and the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "second mapping the concatenation of the two encodings to the latent space. 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For branch and bound, the combined loss over both images is", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 232, + 722 + ], + "score": 1.0, + "content": "evaluated for each grid point of", + "type": "text" + }, + { + "bbox": [ + 232, + 711, + 284, + 722 + ], + "score": 0.92, + "content": "S O ( 3 ) \\times \\mathbb { R } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 710, + 377, + 722 + ], + "score": 1.0, + "content": ". 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This technique was originally employed", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 586, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 506, + 600 + ], + "score": 1.0, + "content": "to identify the chirality of molecules (Belnap et al. (1997)), which is lost in the projection from", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 505, + 610 + ], + "score": 1.0, + "content": "3D to 2D and therefore cannot be inferred from standard cryo-EM. Inferential procedures such as", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "score": 1.0, + "content": "expectation maximization converge to one handedness or the other depending on their initialization.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 619, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 506, + 633 + ], + "score": 1.0, + "content": "In multiclass reconstruction, different classes are not guaranteed to possess the same handedness", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 631, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 505, + 643 + ], + "score": 1.0, + "content": "even if there is a high relatedness between structures. We remark on this experimental technique as", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 641, + 506, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 347, + 655 + ], + "score": 1.0, + "content": "we propose using tilt series pairs to encourage invariance of", + "type": "text" + }, + { + "bbox": [ + 347, + 643, + 357, + 654 + ], + "score": 0.84, + "content": "q _ { \\xi }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 641, + 506, + 655 + ], + "score": 1.0, + "content": "with respect to pose transformations", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 653, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 152, + 667 + ], + "score": 1.0, + "content": "for a given", + "type": "text" + }, + { + "bbox": [ + 153, + 653, + 163, + 666 + ], + "score": 0.89, + "content": "\\hat { V } _ { \\mathbf { z } }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 655, + 360, + 667 + ], + "score": 1.0, + "content": "(and incidentally also to identify the chirality of", + "type": "text" + }, + { + "bbox": [ + 361, + 653, + 372, + 666 + ], + "score": 0.88, + "content": "\\hat { V } _ { \\mathbf { z } } ^ { \\ \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "). To train on tilt series pairs, the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "encoder is split into two MLPs, the first learning an intermediate encoding of each image, and the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "second mapping the concatenation of the two encodings to the latent space. We use an 8 layer MLP", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 687, + 507, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 507, + 700 + ], + "score": 1.0, + "content": "with output dimension 128 for the former and a 2 layer MLP with input dimension 256 for the latter.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "All hidden layers have dimension 128. For branch and bound, the combined loss over both images is", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 232, + 722 + ], + "score": 1.0, + "content": "evaluated for each grid point of", + "type": "text" + }, + { + "bbox": [ + 232, + 711, + 284, + 722 + ], + "score": 0.92, + "content": "S O ( 3 ) \\times \\mathbb { R } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 710, + 377, + 722 + ], + "score": 1.0, + "content": ". 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cryoSPARC
DatasetK=2K=3K=4K=5
Linear 1D1 motion5.11(3.82)3.60(2.27)7.40(4.16)7.59(4.58)
Linear 2D motion6.89(2.21)6.90(3.77)5.98(2.10)6.76(4.47)
Circular 1D motion5.16(2.70)4.87(2.17)7.50(3.32)4.62(1.93)
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DatasetcryoDRGNcryoDRGN+tilt
z-D=1z-D=2z-D=10z-D=1z-D=2z-D=10
Linear 1D motion2.50(0.62)2.34(0.12)12.35(0.36)2.43(0.26)1
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cryoSPARC
DatasetK=2K=3K=4K=5
Linear 1D1 motion5.11(3.82)3.60(2.27)7.40(4.16)7.59(4.58)
Linear 2D motion6.89(2.21)6.90(3.77)5.98(2.10)6.76(4.47)
Circular 1D motion5.16(2.70)4.87(2.17)7.50(3.32)4.62(1.93)
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DatasetcryoDRGNcryoDRGN+tilt
z-D=1z-D=2z-D=10z-D=1z-D=2z-D=10
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1419.0, + 504.0, + 1454.0, + 296.0, + 1454.0 + ], + "score": 1.0, + "text": "" + } + ], + "page_info": { + "page_no": 19, + "width": 1700, + "height": 2200 + } + } +] \ No newline at end of file diff --git a/parse/train/e_yvNqkJKAW/e_yvNqkJKAW.md b/parse/train/e_yvNqkJKAW/e_yvNqkJKAW.md new file mode 100644 index 0000000000000000000000000000000000000000..10aac52d236836e7dc4cf000a818492b25e1579d --- /dev/null +++ b/parse/train/e_yvNqkJKAW/e_yvNqkJKAW.md @@ -0,0 +1,271 @@ +# Test-Time Classifier Adjustment Module for Model-Agnostic Domain Generalization + +Yusuke Iwasawa + +The University of Tokyo iwasawa@weblab.t.u-tokyo.ac.jp + +Yutaka Matsuo The University of Tokyo matsuo@weblab.t.u-tokyo.ac.jp + +# Abstract + +This paper presents a new algorithm for domain generalization (DG), test-time template adjuster (T3A), aiming to robustify a model to unknown distribution shift. Unlike existing methods that focus on training phase, our method focuses test phase, i.e., correcting its prediction by itself during test time. Specifically, T3A adjusts a trained linear classifier (the last layer of deep neural networks) with the following procedure: (1) compute a pseudo-prototype representation for each class using online unlabeled data augmented by the base classifier trained in the source domains, (2) and then classify each sample based on its distance to the pseudoprototypes. T3A is back-propagation-free and modifies only the linear layer; therefore, the increase in computational cost during inference is negligible and avoids the catastrophic failure might caused by stochastic optimization. Despite its simplicity, T3A can leverage knowledge about the target domain by using off-the-shelf test-time data and improve performance. We tested our method on four domain generalization benchmarks, namely PACS, VLCS, OfficeHome, and TerraIncognita, along with various backbone networks including ResNet18, ResNet50, Big Transfer (BiT), Vision Transformers (ViT), and MLP-Mixer. The results show T3A stably improves performance on unseen domains across choices of backbone networks, and outperforms existing domain generalization methods. + +# 1 Introduction + +Deep neural networks often fail to generalize to out-of-distribution samples. Accuracy suffers when the model performs under conditions different to those of training, such as variations in light [8], weather [51], object poses [2], textures [16], or object backgrounds [5]. Nevertheless, the model may be deployed to different conditions in practical situations; thus, some countermeasures are needed. + +Over the past decade, various studies have focused on training a generalizable model to unseen domains given a dataset consisting of several source domains. This setting is usually denoted as domain generalization $( D G )$ [6, 61]. Domain generalization operates under the assumption that one can improve robustness to domain shift by incorporating the structure common to multiple domains. For example, domain-invariant feature learning constrains the representation to be invariant to domain shifts [14, 45, 29]. Other methods use meta-learning [19] to learn how to regularize the model to improve the robustness [28, 4, 31]. However, despite significant work on this front, machine learning systems are still vulnerable to domain shifts even after using the above methods during training. Notably, recent large-scale benchmarks [17] show that many approaches do not provide significant improvement compared to simple supervised learning, i.e., empirical risk minimization (ERM), with a proper and practical experimental setup. It suggests that the setup in its current state may be too difficult, and a different approach might be needed. + +This paper proposes a method of using additional off-the-shelf data in the DG setup, the unsupervised data available at the test-time. Since no data about the target domain is available during training in a DG setup, the existing domain generalization algorithms focus on how to use labeled data from multiple-source domains. However, at test-time the model always has access to test data from the target domain. Although the available data is constrained to be (1) unlabeled and (2) only available online (models can not know all test cases in advance), this data provides clue about the target distribution that is not available during training. It is natural to ask the question: How can we use the off-the-shelf unlabeled data available at test-time to increase performance on the target domain? + +It is worth emphasizing that our setting is different from the transductive setting [49, 22, 57] where all test cases are known in advance, even though we use test data for adjustment. When testing, the model is usually deployed in some environment, and must work well on various samples that will appear continuously. Similarly, the deployed model usually needs to make correct predictions at that moment; there is no point in going back in time and correcting the predictions. Therefore, it is desirable that adjustment and inference be performed at the same time, not offline after a large amount of data has been accumulated. Looking beyond domain generalization, some recent studies suggest optimizing the model during test time using objective function defined only by unsupervised data (e.g, prediction entropy) [34, 52]. However, updating parameters using stochastic gradient descent (SGD) increases computational costs and harm inference throughput. In addition, data available at test time is limited, and stochastic optimization can lead to catastrophic failure. + +To this end, we present test-time templates adjuster (T3A), which adjusts the linear classifier (the last layer of deep neural networks) at test-time. T3A adjusts the weights of the linear classifier as the following optimization-free procedure: (1) create a pseudo-prototype for each class using online unlabeled data and the classifier trained in the source domains, (2) and then classify each sample based on its distance to the pseudo-prototype. This procedure makes the adjusted decision boundary avoid the high-data density region on the target domain and reduce the ambiguity (entropy) of predictions, which is known to be connected to classification error [52]. Since T3A does not alter the training phase, it can be used together with existing DG algorithms. Moreover, it can be used together with any classification model since it only adjusts the linear classifier on top of the representations. Some readers may wonder how effective it is to modify only the linear classifier while freezing the representation itself. Later in this paper (Section 3.2), we empirically demonstrate that this modification is indeed beneficial. + +We evaluate our method on multiple standard domain generalization benchmarks, namely VLCS [12], PACS [27], OfficeHome [50], and TerraIncognita [5]. We compare our method with (1) various DG algorithms reported in [17] and (2) Tent [52] that minimizes the prediction entropy at test time using SGD. With the standard ResNet50 backbone [18], T3A improves ERM by 1.5 points on average accuracy over four dataset, and outperforms most existing DG algorithms. Furthermore, we evaluated our method with 10 different backbone networks, including residual networks (resnet18 and resnet50), big transfer (BiT-M-R50x3, BiT-M-R101x3, and BiT-M-R152x2 [24]), vision transformers (ViT-B16, ViT-L16, Hybrid ViT [9], DeiT [48]), and MLP-Mixer (Mixer-L16) [47]. The results show that T3A gives a statistically significant performance gain against ERM on all backbone networks. + +# 2 Preliminary and Related Work + +# 2.1 Domain Generalization + +Problem setup Following [6], we assume multiple datasets $D ^ { d } = \{ ( \boldsymbol { x } _ { i } ^ { d } , \boldsymbol { y } _ { i } ^ { d } ) \} _ { i = 1 } ^ { n _ { d } }$ collected from several different domains $d \in \{ 1 , \cdots , d _ { t r } \}$ . The dataset $D ^ { d }$ from domain $d$ contains identically and independently distributed samples characterized by some probability distribution $P ^ { d } ( X , Y )$ , where $X$ and $Y$ are random variables of input and target, respectively. Then, our goal is to develop a predictor $f ( X )$ that performs well on some unseen test domain, which is characterized by a different probability distribution $P ( X , Y ) \neq P ^ { d } ( X , Y )$ for all $d \in \{ 1 , \cdots , d _ { t r } \}$ . Note that one can not assume the target distribution during training, e.g., no data about the target distribution is available at the time. Therefore, the predictor is usually trained on datasets from several source domains. For example, the predictor can be trained by minimizing the empirical risk: + +$$ +\underset { \phi } { \arg \operatorname* { m i n } } \frac { 1 } { d } \sum _ { d = 1 } ^ { d _ { t r } } \frac { 1 } { n _ { d } } \sum _ { i = 1 } ^ { n _ { d } } \ell ( f ( \pmb { x } _ { i } ^ { d } ) , y _ { i } ^ { d } ) , +$$ + +where $\phi$ is the set of the parameters of the function, and $\ell$ is a loss function measuring prediction error. In the rest of this paper, optimizing the predictor with eq. 1 is called ERM. In a real application, the model will be deployed after training and expected to classify the data in an online manner. For benchmarking the algorithm, given a dataset containing $n _ { d }$ domains, we usually use the leaveone-domain-out procedure, which uses a single domain as a test domain and the others as training domains. The procedure is repeated $n _ { d }$ times, changing the test domain every time. + +Algorithms A central branch of DG algorithm is domain-invariant feature learning, which explicitly reduces the domain gaps on a space of latent representations. For example, [14] proposed domainadversarial networks (DANN) which measure the domain gaps via an external domain classifier. CORAL [45] align the second-order statistics of representations among different domains. [29] uses maximum mean discrepancy (MMD) to measure the domain gap. Many extension have been proposed [33, 1, 21], but they are all the same in that they enhance domain invariance. Another branch are meta-learning-based methods [28, 4, 31], which divide the available domains into meta-train-domains and meta-test-domain and regulate the model trained in meta-train-domains to be useful for the meta-test-domain. Invariant risks minimization [3] regularizes ERM with a gradient normalization penalty over a dummy classifier. Several studies propose to augment the data using mixup [59] between two source domains, which implicitly enhances invariance to domain shifts [56, 58, 53]. + +Key differences As briefly mentioned above, existing domain generalization algorithms focus on the training phase; how to regularize the predictor using the knowledge from multiple source domains. Our work focuses on the test phase; how to adjust the model using online and unlabeled data, which can characterize the target distribution. Note that proposed method works fully online; It does not require access to offline unlabeled data, and therefore can be compared fairly with existing DG methods + +# 2.2 Other Related Work + +Unsupervised domain adaptation. Our work is related to unsupervised domain adaptation (UDA) [37, 38, 55] as both methods aim to adapt a model given unsupervised data. However, our work primarily differs from UDA in that UDA focuses on adapting during training, while we focus on adapting during testing. In other words, UDA assumes we can access labeled data from the source domain and (unlabeled) data from the target domain at the same time, which is not always possible. + +Source-free domain adaptation. Among them, recent “source-free” setups are particularly similar to our setting [30, 25, 34]. In these setups, source data is not needed during the adaptation phase, and the model is adapted using the unlabeled data solely from the target domain. However, this adaptation is usually made in an offline manner, i.e., these source-free methods optimize offline with multiple losses for multiple epochs. Our method adjusts the classifier in an online-manner, and therefore is suitable for a domain generalization setup where the trained model is assumed to be deployed. + +Test-time adaptation. Regarding the problem setup, our work is most closely related to testtime adaptation [52] or test-time training [46]. Notably, [52] proposes fully test-time adaptation, which modulates the BN parameter by minimizing the prediction entropy using stochastic gradient descent. The concept of test-time adaptation is very similar to our work and can be used in domain generalization, however, it has not been fully investigated under the domain generalization setup. Moreover, recent architectures do not employ batch normalization either on pre-training (mainly to avoid the large memory usage required by BN) or fine-tuning phase (for improving performance). Besides, minimizing the prediction entropy using SGD could lead to trivial solutions, such as being biased to predict only a particular class. In comparison, (1) our method can be used together with any classification models since it only adjusts the linear classifier on the top of the representations, (2) our method alleviates catastrophic forgetting due to not using SGD during test-time. + +Prototypical networks. Before deep learning become popular, the prototype-based classifier is well-investigated in the context of semi-supervised learning [10], continual learning [35, 39], and few-shot learning [44]. Our work is most similar to prototypical networks [44], which combine prototypical classifier and deep neural networks as with our method. However, the use-cases mentioned above of prototypical networks assume access to a few labeled data from the same domain, which differs in our case. To handle the difference, we combine prototypical networks with pseudolabeling techniques, which are often used in domain transfer literature [42]. Besides, connection to entropy minimization is a new perspective introduced in this paper. + +Algorithm 1 Algorithm of T3A for prediction. + +Input: Feature extractor $f _ { \theta }$ , the batch of input $\mathbb { B }$ , and support sets $\mathbb { S } ^ { k }$ available at this point. +Output: Prediction for all $\pmb { x } \in \mathbb { B }$ , where $\mathbf { \boldsymbol { x } } \sim P ( \mathbf { \boldsymbol { X } } )$ . # Step1. Adjust the template for each class using the $\mathbb { B }$ . for $\pmb { x } \in \mathbb { B }$ do $\hat { y } = \arg \operatorname* { m a x } q _ { \omega } ( Y = y _ { k } | f _ { \pmb { \theta } } ( \pmb { x } ) ) ~ ( \mathbf { e }$ q. 2) $\begin{array} { r } { \mathbb { S } ^ { k } = \mathbb { S } ^ { k } \cup \{ \frac { f _ { \theta } ( \pmb { x } ) } { \lVert \pmb { f _ { \theta } ( \pmb { x } ) } \rVert } \} } \end{array}$ for $\boldsymbol { y } ^ { k } = \boldsymbol { \hat { y } }$ (eq. 3) end for Filter support sets with eq. 6 # Step2. Predict based on the distance between the adjusted template. return arg max $\gamma ( Y = y _ { k } | f _ { \pmb \theta } ( \pmb x ) )$ for all $\pmb { x } \in \mathbb { B }$ (eq. 4) + +# 3 Proposal: Optimization-Free Test-Time Classifier Adjustment Module + +We propose to replace the output layer of the predictor trained on source-domains (i.e., linear classifier) to a pseudo-prototypical classifier, whose prototype features are adjusted during test time while fixing the features already trained on the source domains. We call our method T3A, for Test-Time Templates Adjuster. We first explain the detailed algorithm (Section 3.1), and explain how and why it works (Section 3.2). Algorithm 1 outlines the procedure. + +# 3.1 Algorithm + +We assume the predictor is deep neural networks (DNN) obtained by some learning algorithm (e.g., ERM, DANN, CORAL, etc.) using data from source domains. For convenience, the entire DNN is divided into a linear classifier $q _ { \omega }$ for the last layer and a feature extractor $f _ { \theta }$ for the rest, where $\omega$ and $\pmb \theta$ are the parameters of neural networks. In usual domain generalization setup, $f _ { \theta }$ and $q _ { \omega }$ are used to predict data from the test domain. For new data $_ { \textbf { \em x } }$ , the prediction is given by taking the argmax over the following approximated probability distribution: + +$$ +\operatorname * { a r g m a x } _ { y _ { k } } q _ { \omega } ( Y = y _ { k } | f _ { \pmb \theta } ( \pmb x ) ) = \frac { \exp ( \pmb z \cdot \pmb \omega ^ { k } ) } { \sum _ { j } \exp ( \pmb z \cdot \pmb \omega ^ { j } ) } , +$$ + +where $z = f _ { \theta } ( \pmb { x } ) , \pmb { \omega } ^ { k } \in \mathbb { R } ^ { z _ { d i m } }$ is the $k$ -th element of the weights matrix in $\omega$ , and $z _ { d i m }$ is the dimension of $_ z$ , which depends on the feature extractor $f _ { \theta }$ . In this prediction, $\omega ^ { k }$ works as the template of representation for the class $k$ , and prediction is done by measuring the distance (dot product) between the template and the representation of the input data. Since this template was trained in the source domain, there is no guarantee that it will be a good template in the target domain. + +T3A adjusts the templates during test-time. Assume we have (batch of) test-data $_ { \textbf { \em x } }$ at time $t$ drawn from target distribution $P ( \boldsymbol { X } ) \doteq P ^ { d } ( \boldsymbol { X } )$ for all $d \in \{ 1 , \cdots , d _ { t r } \}$ . As each prototype should be related to some class, we first augment the input data $_ { \textbf { \em x } }$ via pseudo label $\hat { y }$ , which is obtained via eq. 2. Then, we update a support set $\mathrm { \bar { S } } _ { t } ^ { k }$ as follows: + +$$ +\mathbb { S } _ { t } ^ { k } = \left\{ \begin{array} { l l } { \mathbb { S } _ { t - 1 } ^ { k } \cup \big \{ \frac { f _ { \theta } ( x ) } { \| f _ { \theta } ( x ) \| } \big \} } & { \mathrm { i f } \hat { y } = y ^ { k } } \\ { \mathbb { S } _ { t - 1 } ^ { k } } & { \mathrm { e l s e } , } \end{array} \right. +$$ + +where kak represents the L2 norm of the vector a and Sk0 = { ωkkωkk }. If the input data contains sample in the batch. Then, prediction is done by taking the argmax over the following adjusted probability distribution: + +$$ +\underset { y _ { k } } { \arg \operatorname* { m a x } } \gamma _ { c } ( Y = y _ { k } | f _ { \pmb \theta } ( \pmb x ) ) = \frac { \exp ( z \cdot \pmb c ^ { k } ) } { \sum _ { j } \exp ( z \cdot \pmb c ^ { j } ) } , +$$ + +where $c ^ { k }$ are the centroids of $\mathbb { S } ^ { k }$ : + +$$ +c ^ { k } = \frac { 1 } { | \mathbb { S } ^ { k } | } \sum _ { z \in \mathbb { S } _ { t } ^ { k } } z . +$$ + +![](images/0465fa4fdb2608e788fd96252986156771204bfedcd475cb58cbc6cb7c533a27.jpg) +Figure 1: Pre-experimental results. (a) Comparing the entropy of predictions (with ResNet50) on the source domains and the target domain. The domain shift increases entropy. (b) T3A effectively reduces entropy. (c) Transferability of each components of the model trained by ERM in each dataset. + +Note that, this procedure will be repeated each time new data arrives, without discarding the support sets, which may make infeasible to retain all past data as in eq. 3. Also, some pseudo-labels are assigned to the wrong class, and using this data is not desirable as it adds noise to the templates and may deteriorate performance. To avoid this issue, we use the prediction entropy $H _ { \omega } ( \hat { Y } | z ) =$ $\begin{array} { r } { - \sum _ { k } q _ { \omega } ( \hat { Y } = y ^ { k } | z ) \log q _ { \omega } ( \hat { Y } = y ^ { k } | z ) } \end{array}$ to filter unreliable pseudo-labeled data. Specifically, before making a prediction using eq. 4, only a part of the support set is restored as follows: + +$$ +\mathbb { S } _ { t } ^ { k } = \{ z \mid z \in \mathbb { S } _ { t } ^ { k } , H _ { \omega } ( \hat { Y } | z ) \leq \alpha ^ { k } \} , +$$ + +where $\alpha ^ { k }$ is the $M$ -th largest entropy of the support set $\mathbb { S } _ { t } ^ { k }$ $M$ is a hyperparameter). + +# 3.2 Remarks + +Remark 1: T3A implicitly reduces prediction entropy. As prior works suggest [52], the prediction entropy is often related to an error, as more confident predictions tend to be more correct. Figure 1-a shows that the prediction entropy also characterizes the difficulty in DG setup; entropy in the unseen domain tends to be greater than entropy in the seen domains. To be more specific, we first trained ResNet50 on the source domain by ERM. The training was done in leave-one-domain-out manner, and we conducted three experiments with a different seed each time. We used four standard datasets in domain generalization (VLCS [12], PACS [27], OfficeHome [50], and TerraIncognita [5]). We used the implementation of DomainBed [17], and used the default hyper-parameters for pre-training on source-domains and fine-tuning on a target domain: namely, we use Adam [23] with a learning rate of 5e-5 for optimization and use a batch size of 32 with no dropout or weight decay. + +With this in mind, existing studies have modified the model parameters to explicitly reduce entropy. Although the proposed method does not explicitly reduce entropy, it has the effect of implicitly reducing it. This is because the proposed method uses a template updated with samples from the target distribution, which provides a decision boundary that avoids the dense parts of the target distribution. Figure 1-b compares the prediction entropy on the target domain among (a) ERM without test-time modulation, (b) T3A, (c) Tent-C, which updates the classifier to minimize entropy. The results show that T3A can effectively reduce entropy without using online optimization. Note that changing a hyper-parameter (such as learning rate) might change the results for Tent-C, but it may corrupt the entire classifier. See Section 4 for the hyperparameter selection. + +Remark 2: T3A is computationally light. Unlike Tent, our method does not use SGD. Besides, the representations are fixed, and it is not necessary to repeat the forward propagation of the feature extractor. The only computational overhead is the cost of one forward propagation of the last linear layer, which is usually negligible compared to the forward and back propagation of feature extractors. Since it is not desirable to reduce throughput when considering online prediction, the proposed method is suitable in this respect as well. + +Remark 3: Adjusting the linear classifier can significantly improve performance. Some readers may wonder how effective it is to modify only the linear classifier while freezing the representation. To answer this question, we compare the DG performance (None) before fine-tuning, (head) after fine-tuning only $q _ { \omega }$ , (body) after fine-tuning only $f _ { \theta }$ , and (all) after fine-tuning the entire network (Figure 1-c). Each block corresponds to a different dataset, and each color represents a different fine-tuning strategy. The results show that fine-tuning only the classifier often significantly improves performance. For example, in VLCS, the average performance score jumps from 72.5 to 82.9, which is close to the 84.7 obtained when the entire network is fine-tuned. The performance gain differs for each dataset, but the tendency is generally the same. In addition, this tendency was the same for other backbone networks including BiT, ViT, and Mixer (see Appendix B). These results indicate that adjusting only the linear classifier can significantly improve performance in various configurations. Note that the number of parameters of the linear layer is much smaller than those of the feature extractor in standard network architectures. + +# 4 Experiment + +We evaluate T3A on four standard domain generalization benchmarks, namely VLCS [12], PACS [27], OfficeHome [50], and TerraIncognita [5]. Our implementation uses the DomainBed library $[ 1 7 ] ^ { 1 }$ . We modify DomainBed (1) to use various backbone networks using the timm library $[ 5 4 ] ^ { \bar { 2 } }$ , and (2) to implement test-time adaptation algorithms (ours and Tent). For Tent, we used the original implementation3. We run our experiments mainly on cloud $\mathrm { V } 1 0 0 \mathrm { x } 4$ or $\mathbf { A } 1 0 0 \mathbf { x } 8$ instances, depending on the memory usage of the backbone networks. See Appendix A for more information, including licensing information and total amount of compute. + +Datasets. VLCS [12] comprises four photographic datasets $d \in$ {Caltech101[13], LabelMe[40], SUN09[7], VOC2007[11]}, containing 10, 729 examples of 5 classes. PCAS [27] comprises four domains $d \in \{ \mathrm { a r t } $ , cartoons, photos, sketche $\}$ , containing 9, 991 examples of 7 classes. OfficeHome [50] includes domains $d \in \{$ {art, clipart, product, real}, containing 15, 588 examples and 65 classes. TerraIncognita [5] includes photo of wild animals taken by camera at different locations. Following [17], we used datasets of $d \in \{ \mathrm { L 1 0 0 , L 3 8 , L 4 3 , L 4 6 } \}$ , containing 24, 788 examples and 10 classes. + +Backbone networks. For the main experiments, we use residual networks with 50 layers (ResNet50), which was the default setting of the prior studies. In addition, we tested our algorithms on 10 different pre-trained models: residual networks with different layers (ResNet18 and ResNet50), Big Transfer [24] with different layers (BiT-M-R50x3, BiT-M-R101x3, and BiT-M$\mathbf { R } 1 5 2 \mathbf { x } 2$ ), Vision Transformers [9] with variations (ViT-B16, ViT-L16, HViT, which uses ResNet50 as patch embedding of ViT, DeiT [48]), and MLP-Mixer (Mixer-L16) [47]. + +Baselines. We compare our method to domain generalization algorithms and test-time adaptation algorithms. For domain generalization algorithms, we mainly compared with the results reported in [17]. These results include the following algorithms: Empirical Risk Minimization (ERM), Group Distributionally Robust Optimization (GroupDRO) [41], Inter-domain Mixup (Mixup) [56, 58, 53], Meta-Learning for Domain Generalization (MLDG) [28], DomainAdversarial Neural Networks (DANN) [15], Class-conditional DANN (C-DANN) [32], Deep CORrelation ALignment (CORAL) [45], Maximum Mean Discrepancy (MMD) [29], Invariant Risk Minimization (IRM) [3], Adaptive Risk Minimization (ARM) [60], Marginal Transfer Learning (MTL) [6] Style-Agnostic Networks (SagNet) [36], and Representation Self Challenging (RSC) [20]. + +We also compared our method with existing test-time adaptation methods. Note that we can not simply use BN-based methods (including Tent [52], which is the most up-to-date method) on the DG setup because [17] omit the BN layer from pre-trained ResNet when fine-tuning on source domains. Besides, several backbone networks evaluated in our paper do not contain BN from the beginning. Therefore, we first tested two slightly modified versions of Tent on standard DG setup (Table 1, Table 2, and Figure 2). Specifically, Tent-C modulates the entire classifier to reduce prediction entropy. Tent-BN adds one BN layer just before the linear classifier and then modulates BN’s normalization and transformation parameters. We then compare T3A with other test-time adaptation methods (including SHOT [34], pseudo labeling (PL) [26], Tent-Full [52], BN-Norm [43]) using ResNet18 and ResNet50 without removing batch normalization layer (Table 3). + +Table 1: Domain generalization accuracy for all datasets and algorithms. Bold type indicates performance improvement from the base model, and $^ *$ indicates statistical significance in one-sided paired t-test $^ { \ast \ast }$ indicates $p \leq 0 . 0 1$ , \* indicates $p \leq 0 . 0 5 )$ . + +
AlgorithmVLCSPACSOfficeHomeTerraAvg
ERM77.5 ± 0.485.5 ± 0.266.5 ± 0.346.1 ± 1.869.0
IRM78.5 ± 0.583.5 ± 0.864.3 ± 2.247.6 ± 0.868.5
GroupDRO76.7 ± 0.684.4 ± 0.866.0 ± 0.743.2 ± 1.167.6
Mixup77.4 ± 0.684.6 ± 0.668.1 ± 0.347.9 ± 0.869.5
MLDG77.2 ± 0.484.9 ± 1.066.8 ± 0.647.7 ± 0.969.2
CORAL78.8 ± 0.686.2 ± 0.368.7 ± 0.347.6 ± 1.070.3
MMD77.5 ± 0.984.6 ± 0.566.3 ± 0.142.2 ± 1.667.7
DANN78.6 ± 0.483.6 ± 0.465.9 ± 0.646.7 ± 0.568.7
CDANN77.5 ± 0.182.6 ± 0.965.8 ± 1.345.8 ± 1.667.9
MTL77.2 ± 0.484.6 ± 0.566.4 ± 0.545.6 ± 1.268.5
SagNet77.8 ± 0.586.3 ± 0.268.1 ± 0.148.6 ±1.070.2
ARM77.6 ± 0.385.1 ± 0.464.8 ± 0.345.5 ± 0.368.3
VREx78.3 ± 0.284.9 ± 0.666.4 ± 0.646.4 ± 0.669.0
RSC77.1 ± 0.585.2 ± 0.965.5 ± 0.946.6 ± 1.068.6
ERM†77.7 ± 0.183.6 ± 0.966.4 ± 0.346.5 ± 0.368.6
+T3A (Ours)80.0 ± 0.285.3 ± 0.668.3 ± 0.147.0 ± 0.670.1**
+Tent-BN68.2 ± 0.284.8 ± 0.567.0 ± 0.444.7 ± 0.366.2
+Tent-C77.0 ± 0.482.3 ± 1.265.7 ± 0.245.5 ± 0.467.6
CORAL+78.6 ± 0.584.2 ± 0.368.3 ± 0.169.8
+T3A (Ours)79.5 ± 0.585.6 ± 0.269.2 ± 0.248.1 ± 1.3 47.3 ± 0.770.4*
+Tent-BN71.4 ± 0.785.6 ± 0.269.2 ± 0.246.5 ± 0.568.2
+Tent-C78.1 ± 0.583.7 ± 0.468.2 ± 0.147.8 ± 1.169.5
+ +Hyperparameters and model selection. As [17] claimed, model selection is not trivial in DG and significantly affects performance. We used standard training-domain validation for selecting hyperparameters, which uses the subset of each training domain to choose a model. As reported in [17], we split the data from each domain into $8 0 \%$ and $2 0 \%$ splits and use larger splits for training and smaller splits to select hyperparameters. Following [17], we conduct a random search of 20 trials over a joint distribution of all hyperparameters to train the base model (see Appendix A.4). + +In addition, T3A has one hyperparameter $M$ for deciding the number of supports to restore, and Tent has two primary hyperparameters: $\beta$ for multiplying the base learning rate (used for the base model) and $\gamma$ for the number of iterations per adaptation. It is worth emphasizing that these parameters should be selected before the deployment, i.e., before accessing the test data. We simply selected these hyperparameters by the average accuracy in the training-domain validation data when using these adjustment modules. Specifically, we tested $M \in \{ 1 , 5 , \bar { 2 0 } , 5 0 , 1 0 0 , \mathrm { N / A } \}$ for T3A, where N/A means restoring all samples, and combination of $\beta \in \{ 0 . 1 , 1 . 0 , 1 0 . 0 \}$ and $\gamma \in \{ 1 , 3 \}$ for Tent. + +# 4.1 Results + +Table 1 summarizes the results when ResNet50 is used as the backbone network. The first block (from ERM to RSC) is the value taken from [17]. The lines labeled ERM† and CORAL† are the scores reproduced in our environments. The proposed method and Tent are based on this reproduced model. Figure 2 shows the distribution of performance improvement by the proposed method for models trained with different hyperparameters $2 0 \times 3$ for each test environment). In addition, Table 2 show the DG accuracy with 10 different backbones. Note that this experiment is conducted only on the default hyperparameter of ERM. Every number we report is a mean and standard error over three repetitions with different weight initialization, and dataset splits. + +T3A stably improves the performance of the base model. The second block of Table 1 shows that T3A stably improves the performance of the ERM model. Specifically, the proposed method improves 2.3 points, 2.0 points, 1.9 points, and 0.5 points for each dataset respectively. The average improvement from ERM is 1.5 points. For clarification, paired t-test was performed using 48 paired data (4 datasets, 4 test domains, 3 different seeds). As a results, the difference is statistically significant $( p \leq 0 . 0 1 )$ . Note that, Tent-BN improves the performance in PACS and OfficeHome, but it is not stable may be due to the failure of the optimization. Tent-C never improve the performance. + +Table 2: Domain generalization accuracy with different backbone networks. T3A increases the performance agnostic to backbone networks. Note that, this experiments is conducted only on the default hyperparameters of ERM. Bold type indicates performance improvement, and \* indicates statistical significance in paired t-test ( $^ { \ast \ast }$ indicates $p \leq 0 . 0 1$ , \* indicates $p \leq 0 . 0 5 )$ . + +
ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 +T3A73.2 ± 0.9 76.5 ± 0.980.3 ± 0.4 81.7 ± 0.155.7±0.2 57.0 ± 0.440.7 ± 0.3 41.6 ± 0.562.5 64.2*
resnet50 +T3A75.5± 0.1 78.3 ± 0.783.9 ± 0.2 84.5 ± 0.364.4 ± 0.2 66.5 ± 0.245.4 ± 1.2 45.9 ± 0.567.3 68.8*
BiT-M-R50x3 +T3A76.7± 0.1 79.7 ± 0.384.4 ± 1.2 85.4 ± 0.969.2 ± 0.6 71.7 ± 0.652.5± 0.3 52.2 ± 0.670.7 72.3*
BiT-M-R101x3 +T3A75.0 ± 0.6 78.6 ± 0.484.0 ± 0.7 85.4 ± 0.567.7± 0.5 69.9 ± 0.447.8 ± 0.8 48.1 ± 0.868.6 70.5*
BiT-M-R152x2 +T3A76.7 ± 0.3 79.1 ± 0.485.2 ± 0.1 86.4 ± 0.171.3 ± 0.6 73.2 ± 0.551.4 ± 0.6 50.9 ± 0.771.1 72.4*
ViT-B16 +T3A79.2 ± 0.3 80.2 ± 0.485.7 ± 0.1 86.0 ± 0.178.4± 0.3 78.9 ± 0.341.8 ± 0.6 42.5 ± 0.771.3 71.9*
ViT-L16 +T3A DeiT78.2± 0.5 79.0 ± 0.684.6± 0.5 85.5 ± 0.678.0 ± 0.1 78.7 ± 0.242.7 ± 1.9 45.3 ± 0.470.9 72.1**
+ +![](images/28566b04ed1256bad280292bb376224b4862ea7d96e1b5d042890e71cff1a554.jpg) +Figure 2: Distribution of performance improvements by the proposed method for models trained with different hyperparameters $2 0 \times 3$ for each test environment). Dashed line in each violin plot represents the quartile of the distribution. + +In addition, Fig. 2 show that the third-quarter quantile of the improvement range is often more than 0, which means the proposed method is also robust to the hyperparameters of the base model. Furthermore, Table 2 shows that the proposed method can also improve the performance of more sophisticated backbone networks. For example, the proposed method improves performance by an average of 1.0 points for HViT, which achieved the best performance of all backbones. The improvement by the proposed method is statistically significant $( p \leq 0 . 0 5$ for ViT-L16, $p \leq 0 . 0 1$ for other backbones) with the one-side paired t-test. + +T3A outperforms most existing DG algorithms. For example, in VLCS, the proposed method achieves $8 0 . 0 \%$ , which is significantly better than the prior best-reported score, $7 8 . 8 \%$ . Similarly, it is $8 5 . 3 \%$ for PACS, $6 8 . 3 \%$ (best) for OfficeHome and $4 7 . 0 \%$ for TerraIncognita, and $7 0 . 1 \%$ in average (third best). Note that the scores we reproduce are much worse than the reported scores in PACS, which reduces the average performance. In PACS, the improvement from ERM by the proposed method is 1.7 points, which is the most significant improvement from any reported value. + +For a more accurate comparison, we also examined whether the proposed method would improve the performance of CORAL, which had achieved the best performance in existing reports. As shown in the third block of Table 1, the proposed method can also improve the performance of CORAL. The average improvement is 0.6 points. Average performance is $7 0 . 4 \%$ , which is the best among all algorithms. Note that, similar to ERM, the reproduced score and the reported score are slightly different (and the score in PACS is particularly low). + +T3A outperforms existing test-time adaptation methods. We further compare T3A with other test-time adaptation methods when backbone networks employ the BN layer so that we can make a fair comparison with the prior BN-based methods [43, 52]. We used ResNet18 w/BN and ResNet50 w/BN as backbone networks. Note that the results of ResNet in Table 1 and Table 2 do not use the BN layer since it is the default option in [17]. Therefore, the results below are not directly comparable to the DG method shown in Table 1 and Table 2 of the current manuscript. + +We tested the following six baselines in addition to T3A, Tent-BN, and Tent-C. (1) Tent-Full updates BN statistics and transformations, which is the same as the original proposal [52]. (2) BN-Norm update BN statistics but fixes transformations parameters [43]. (3) PL (Pseudo Label) [26] updates entire networks by minimizing the cross-entropy between prediction and the pseudo label. Following [52], we assign the pseudo label if the predictions are over a threshold (0.9 in our experiment). (4) PL-C updates the linear classifier by minimizing the above-mentioned pseudo-label loss. (5) SHOT [34] updates feature extractor to minimize entropy, diversity regularizer, and pseudo-label loss. While [34] originally proposed SHOT in the context of source-free domain adaptation (offline adaptation setup), the method itself can be transferred to our setup. Note that the original SHOT uses the label-smoothing when training on the source domain. However, we focus on the adaptation method, and therefore the source model is the same as the other baselines for the fair comparison. (6) SHOT-IM [34] updates the feature extractor to minimize entropy and the diversity regularizer. + +In summary, (1) all baseline except BN-Norm and T3A use stochastic optimization during test-time, which is not desirable since it may cause catastrophic failure and must increase computational costs. (2) Tent-Full and BN-Norm are powerful yet constrained to be applicable only if the architecture uses BN. + +Table 3 compares results under the training-domain model selection as with Table 1 and Table 2. For clarification, we also compare performance under the oracle model selection (28 in Appendix C ), where one can use the validation set on the target domain ( $20 \%$ of all data as described above). We can make the following observations. (1) The proposed method still outperformed all baselines in both backbone networks. Among baselines, only Tent-Full and PL-C perform better than None (w/o adaptation) on average. (2) When we select the hyper-parameters with a test-domain validation set, Tent-Full gives comparable performances with the proposed method. In addition, compared to T3A and PL-C, the T3A performs better under both model selection strategies. These results clarify the difficulty of model selection in optimization-based methods and the merit of the proposed optimization-free approach in this setup. (3) Updating feature extractor (or the large portion of the parameters) does not work well in general, while it is common in SFDA (offline) setup. The results suggest that we need different treatments on online and offline setup. + +# 5 Discussion and Conclusion + +This paper presents a new domain generalization algorithm, T3A, which adjusts its predictions during test-time by itself. We show that T3A reduces prediction entropy (Fig. 1-c), and more importantly, generalization error on unseen domain (Table 1). T3A can adapt different domain generalization algorithms for training-phase (the third block of Table 1), and different backbone networks (Table 2). Note that this property is important in practice because a better backbone network usually give significant performance gains. For example, Table 2 suggest a practitioner should try HViT, which outperforms ResNet50 by a large margin (7.8 points in average) if computational resources allow. T3A can boost HViT’s performance by 1.0 points. Unlike existing studies that update the model with SGD during testing, the proposed method is optimization-free. Therefore, the computational overhead is negligible, and the behavior is unlikely to become unstable, making T3A especially suitable for online settings where the model needs to (adapt and) predict online as with typical DG. + +Table 3: Comparison of our method and existing test-time adaptation methods. Unlike Table 1 and Table 2, we used ResNet18 and ResNet50 without removing batch normalization layer as backbone networks. As with Table 2, this experiments is conducted only on the default hyperparameters of ERM. Bold type indicates performance improvement, and \* indicates statistical significance in paired t-test $^ *$ indicates $p \leq 0 . 0 5 )$ . + +
ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 w/BN73.0± 0.679.5 ± 0.461.8 ± 0.341.7 ± 0.964.0
SHOT-IM61.6 ± 0.382.1 ± 0.362.5 ± 0.332.8 ± 0.459.8
SHOT61.8 ± 0.382.3 ± 0.262.8 ± 0.232.7 ± 0.459.9
PL67.0 ± 0.672.9 ± 1.056.3 ± 2.535.4 ± 1.757.9
PL-C71.8 ± 1.378.9 ± 0.461.7 ± 0.343.1 ± 0.963.9
Tent-Full72.3 ± 0.383.9 ± 0.362.7 ± 0.236.9 ± 0.364.0
BN-Norm70.4 ± 1.082.7 ± 0.162.0 ± 0.136.4 ± 0.262.9
Tent-C71.3 ± 1.574.6 ± 1.960.5 ± 0.440.9 ± 0.561.8
Tent-BN64.7 ± 0.781.1 ± 0.262.5 ± 0.336.4 ± 0.961.2
T3A (Ours)74.5 ± 0.981.4 ± 0.263.2 ± 0.439.5 ± 0.364.6*
resnet50 w/BN74.3 ± 0.584.1 ± 0.166.9 ± 0.245.8 ± 1.867.8
SHOT-IM61.5 ± 1.784.6 ± 0.368.0 ± 0.033.8 ± 0.362.0
SHOT61.6 ± 1.884.8 ± 0.568.0 ± 0.034.6 ± 0.362.3
PL63.4 ± 1.880.1 ± 3.561.3 ± 1.536.8 ± 4.460.4
PL-C73.3 ± 0.884.7 ± 0.366.4 ± 0.347.0 ± 1.767.9
Tent-Full75.4 ± 0.687.0 ± 0.266.9 ± 0.242.6 ± 0.868.0
BN-Norm71.3 ± 0.485.8 ± 0.166.4 ± 0.142.3 ± 0.466.5
Tent-C72.4 ± 1.584.4 ± 0.166.2 ± 0.242.4 ± 3.166.4
Tent-BN65.6 ± 1.484.9 ± 0.067.7 ± 0.242.7 ± 0.565.2
T3A (Ours)76.0 ± 0.385.1 ± 0.268.2 ± 0.144.6 ± 0.968.5*
+ +One of the limitations of T3A is how to extend it beyond the classification problem. Since the proposed method creates a template online for each prediction class, it is not trivial to adapt it for continuous prediction. Note that Tent have the same problem, as prediction entropy is hard to compute in the regression case. It is a future task to apply this idea to a broader range of problem settings. + +Another potential drawback of the proposed method is that the model can change at any time, making it difficult to thoroughly test its behavior in advance. This may raise ethical concerns in some sensitive applications, making it more difficult to sanitize the model and ensure it does not make unfair decisions. In such a situation, fully online adaptation might be difficult, and one may want to update the model offline. We encourage examination of each of these works on the frontier of test-time adaptation. + +Although accuracy was greatly improved, there is massive room for improvement as the performance in the unknown domain is still significantly worse than performance in the known domain. From a probabilistic viewpoint, the templates of each class can be regarded as the statistics of the $P ( Z | Y )$ and our method adjusts it. As it is connected to the prediction $\begin{array} { r } { P ( Y | Z ) = \frac { P ( Z | Y ) P ( Y ) } { P ( Z ) } } \end{array}$ , adjusting it can correlates the prediction. From this perspective, using the average templates might be too restrictive, and one can use higher-order statistics to improve performance. Alternatively, one can retain all reliable samples, approximating $P ( Z | Y )$ as empirical distribution. We hope that the findings of this paper will lead to a better test-time adaptation method and lead to the development of machine learning systems that work well in unknown environments. + +# Acknowledgements + +This work has been supported by JSPS Grant-in-Aid for Early-Career Scientists Number JP18K18101 and the Mohammed bin Salman Center for Future Science and Technology for Saudi-Japan Vision 2030 at The University of Tokyo (MbSC2030). Computational resource of AI Bridging Cloud Infrastructure (ABCI) provided by National Institute of Advanced Industrial Science and Technology (AIST) was used. + +# References + +[1] K. Akuzawa, Yusuke Iwasawa, and Y. Matsuo. Adversarial invariant feature learning with accuracy constraint for domain generalization. In ECML/PKDD, 2019. +[2] Michael A. Alcorn, Qi Li, Zhitao Gong, Chengfei Wang, Long Mai, Wei-Shinn Ku, and Anh M Nguyen. Strike (with) a pose: Neural networks are easily fooled by strange poses of familiar objects. 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For all authors... + +(a) Do the main claims made in the abstract and introduction accurately reflect the paper’s contributions and scope? [Yes] (b) Did you describe the limitations of your work? [Yes] See Section 5.1. (c) Did you discuss any potential negative societal impacts of your work? [Yes] See Section 5.1. (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] See supplemental materials. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] See Section 4 and Appendix A. +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] We repeated entire experiments three times as recommended by the prior works. +(d) Did you include the total amount of compute and the type of resources used (e.g., type of GPUs, internal cluster, or cloud provider)? [Yes] See Section 4 and 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] +(b) Did you mention the license of the assets? [Yes] See Appendix A. +(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? [Yes] +(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [Yes] + +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/train/e_yvNqkJKAW/e_yvNqkJKAW_content_list.json b/parse/train/e_yvNqkJKAW/e_yvNqkJKAW_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..6f1f71077a554ed2bdfc10384a748ef162da0b83 --- /dev/null +++ b/parse/train/e_yvNqkJKAW/e_yvNqkJKAW_content_list.json @@ -0,0 +1,1141 @@ +[ + { + "type": "text", + "text": "Test-Time Classifier Adjustment Module for Model-Agnostic Domain Generalization ", + "text_level": 1, + "bbox": [ + 233, + 122, + 766, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Yusuke Iwasawa ", + "bbox": [ + 284, + 227, + 400, + 239 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The University of Tokyo iwasawa@weblab.t.u-tokyo.ac.jp ", + "bbox": [ + 196, + 241, + 488, + 267 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Yutaka Matsuo The University of Tokyo matsuo@weblab.t.u-tokyo.ac.jp ", + "bbox": [ + 516, + 227, + 803, + 268 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 304, + 535, + 320 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "This paper presents a new algorithm for domain generalization (DG), test-time template adjuster (T3A), aiming to robustify a model to unknown distribution shift. Unlike existing methods that focus on training phase, our method focuses test phase, i.e., correcting its prediction by itself during test time. Specifically, T3A adjusts a trained linear classifier (the last layer of deep neural networks) with the following procedure: (1) compute a pseudo-prototype representation for each class using online unlabeled data augmented by the base classifier trained in the source domains, (2) and then classify each sample based on its distance to the pseudoprototypes. T3A is back-propagation-free and modifies only the linear layer; therefore, the increase in computational cost during inference is negligible and avoids the catastrophic failure might caused by stochastic optimization. Despite its simplicity, T3A can leverage knowledge about the target domain by using off-the-shelf test-time data and improve performance. We tested our method on four domain generalization benchmarks, namely PACS, VLCS, OfficeHome, and TerraIncognita, along with various backbone networks including ResNet18, ResNet50, Big Transfer (BiT), Vision Transformers (ViT), and MLP-Mixer. The results show T3A stably improves performance on unseen domains across choices of backbone networks, and outperforms existing domain generalization methods. ", + "bbox": [ + 233, + 334, + 766, + 583 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 608, + 310, + 625 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep neural networks often fail to generalize to out-of-distribution samples. Accuracy suffers when the model performs under conditions different to those of training, such as variations in light [8], weather [51], object poses [2], textures [16], or object backgrounds [5]. Nevertheless, the model may be deployed to different conditions in practical situations; thus, some countermeasures are needed. ", + "bbox": [ + 176, + 638, + 823, + 694 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Over the past decade, various studies have focused on training a generalizable model to unseen domains given a dataset consisting of several source domains. This setting is usually denoted as domain generalization $( D G )$ [6, 61]. Domain generalization operates under the assumption that one can improve robustness to domain shift by incorporating the structure common to multiple domains. For example, domain-invariant feature learning constrains the representation to be invariant to domain shifts [14, 45, 29]. Other methods use meta-learning [19] to learn how to regularize the model to improve the robustness [28, 4, 31]. However, despite significant work on this front, machine learning systems are still vulnerable to domain shifts even after using the above methods during training. Notably, recent large-scale benchmarks [17] show that many approaches do not provide significant improvement compared to simple supervised learning, i.e., empirical risk minimization (ERM), with a proper and practical experimental setup. It suggests that the setup in its current state may be too difficult, and a different approach might be needed. ", + "bbox": [ + 174, + 702, + 825, + 867 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "This paper proposes a method of using additional off-the-shelf data in the DG setup, the unsupervised data available at the test-time. Since no data about the target domain is available during training in a DG setup, the existing domain generalization algorithms focus on how to use labeled data from multiple-source domains. However, at test-time the model always has access to test data from the target domain. Although the available data is constrained to be (1) unlabeled and (2) only available online (models can not know all test cases in advance), this data provides clue about the target distribution that is not available during training. It is natural to ask the question: How can we use the off-the-shelf unlabeled data available at test-time to increase performance on the target domain? ", + "bbox": [ + 174, + 873, + 825, + 901 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 174 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "It is worth emphasizing that our setting is different from the transductive setting [49, 22, 57] where all test cases are known in advance, even though we use test data for adjustment. When testing, the model is usually deployed in some environment, and must work well on various samples that will appear continuously. Similarly, the deployed model usually needs to make correct predictions at that moment; there is no point in going back in time and correcting the predictions. Therefore, it is desirable that adjustment and inference be performed at the same time, not offline after a large amount of data has been accumulated. Looking beyond domain generalization, some recent studies suggest optimizing the model during test time using objective function defined only by unsupervised data (e.g, prediction entropy) [34, 52]. However, updating parameters using stochastic gradient descent (SGD) increases computational costs and harm inference throughput. In addition, data available at test time is limited, and stochastic optimization can lead to catastrophic failure. ", + "bbox": [ + 174, + 180, + 825, + 333 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To this end, we present test-time templates adjuster (T3A), which adjusts the linear classifier (the last layer of deep neural networks) at test-time. T3A adjusts the weights of the linear classifier as the following optimization-free procedure: (1) create a pseudo-prototype for each class using online unlabeled data and the classifier trained in the source domains, (2) and then classify each sample based on its distance to the pseudo-prototype. This procedure makes the adjusted decision boundary avoid the high-data density region on the target domain and reduce the ambiguity (entropy) of predictions, which is known to be connected to classification error [52]. Since T3A does not alter the training phase, it can be used together with existing DG algorithms. Moreover, it can be used together with any classification model since it only adjusts the linear classifier on top of the representations. Some readers may wonder how effective it is to modify only the linear classifier while freezing the representation itself. Later in this paper (Section 3.2), we empirically demonstrate that this modification is indeed beneficial. ", + "bbox": [ + 174, + 339, + 825, + 505 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We evaluate our method on multiple standard domain generalization benchmarks, namely VLCS [12], PACS [27], OfficeHome [50], and TerraIncognita [5]. We compare our method with (1) various DG algorithms reported in [17] and (2) Tent [52] that minimizes the prediction entropy at test time using SGD. With the standard ResNet50 backbone [18], T3A improves ERM by 1.5 points on average accuracy over four dataset, and outperforms most existing DG algorithms. Furthermore, we evaluated our method with 10 different backbone networks, including residual networks (resnet18 and resnet50), big transfer (BiT-M-R50x3, BiT-M-R101x3, and BiT-M-R152x2 [24]), vision transformers (ViT-B16, ViT-L16, Hybrid ViT [9], DeiT [48]), and MLP-Mixer (Mixer-L16) [47]. The results show that T3A gives a statistically significant performance gain against ERM on all backbone networks. ", + "bbox": [ + 174, + 511, + 826, + 637 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Preliminary and Related Work ", + "text_level": 1, + "bbox": [ + 176, + 654, + 462, + 671 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 Domain Generalization ", + "text_level": 1, + "bbox": [ + 174, + 684, + 375, + 699 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Problem setup Following [6], we assume multiple datasets $D ^ { d } = \\{ ( \\boldsymbol { x } _ { i } ^ { d } , \\boldsymbol { y } _ { i } ^ { d } ) \\} _ { i = 1 } ^ { n _ { d } }$ collected from several different domains $d \\in \\{ 1 , \\cdots , d _ { t r } \\}$ . The dataset $D ^ { d }$ from domain $d$ contains identically and independently distributed samples characterized by some probability distribution $P ^ { d } ( X , Y )$ , where $X$ and $Y$ are random variables of input and target, respectively. Then, our goal is to develop a predictor $f ( X )$ that performs well on some unseen test domain, which is characterized by a different probability distribution $P ( X , Y ) \\neq P ^ { d } ( X , Y )$ for all $d \\in \\{ 1 , \\cdots , d _ { t r } \\}$ . Note that one can not assume the target distribution during training, e.g., no data about the target distribution is available at the time. Therefore, the predictor is usually trained on datasets from several source domains. For example, the predictor can be trained by minimizing the empirical risk: ", + "bbox": [ + 173, + 708, + 825, + 839 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/7af8f3d2a3e61a66c5b39a699ccedef09f875065cb35f480b6fb88878e76cc15.jpg", + "text": "$$\n\\underset { \\phi } { \\arg \\operatorname* { m i n } } \\frac { 1 } { d } \\sum _ { d = 1 } ^ { d _ { t r } } \\frac { 1 } { n _ { d } } \\sum _ { i = 1 } ^ { n _ { d } } \\ell ( f ( \\pmb { x } _ { i } ^ { d } ) , y _ { i } ^ { d } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 380, + 840, + 619, + 882 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $\\phi$ is the set of the parameters of the function, and $\\ell$ is a loss function measuring prediction error. In the rest of this paper, optimizing the predictor with eq. 1 is called ERM. In a real application, the model will be deployed after training and expected to classify the data in an online manner. For benchmarking the algorithm, given a dataset containing $n _ { d }$ domains, we usually use the leaveone-domain-out procedure, which uses a single domain as a test domain and the others as training domains. The procedure is repeated $n _ { d }$ times, changing the test domain every time. ", + "bbox": [ + 171, + 883, + 828, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 92, + 825, + 147 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Algorithms A central branch of DG algorithm is domain-invariant feature learning, which explicitly reduces the domain gaps on a space of latent representations. For example, [14] proposed domainadversarial networks (DANN) which measure the domain gaps via an external domain classifier. CORAL [45] align the second-order statistics of representations among different domains. [29] uses maximum mean discrepancy (MMD) to measure the domain gap. Many extension have been proposed [33, 1, 21], but they are all the same in that they enhance domain invariance. Another branch are meta-learning-based methods [28, 4, 31], which divide the available domains into meta-train-domains and meta-test-domain and regulate the model trained in meta-train-domains to be useful for the meta-test-domain. Invariant risks minimization [3] regularizes ERM with a gradient normalization penalty over a dummy classifier. Several studies propose to augment the data using mixup [59] between two source domains, which implicitly enhances invariance to domain shifts [56, 58, 53]. ", + "bbox": [ + 174, + 161, + 825, + 313 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Key differences As briefly mentioned above, existing domain generalization algorithms focus on the training phase; how to regularize the predictor using the knowledge from multiple source domains. Our work focuses on the test phase; how to adjust the model using online and unlabeled data, which can characterize the target distribution. Note that proposed method works fully online; It does not require access to offline unlabeled data, and therefore can be compared fairly with existing DG methods ", + "bbox": [ + 174, + 328, + 825, + 411 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 Other Related Work ", + "text_level": 1, + "bbox": [ + 176, + 426, + 354, + 441 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Unsupervised domain adaptation. Our work is related to unsupervised domain adaptation (UDA) [37, 38, 55] as both methods aim to adapt a model given unsupervised data. However, our work primarily differs from UDA in that UDA focuses on adapting during training, while we focus on adapting during testing. In other words, UDA assumes we can access labeled data from the source domain and (unlabeled) data from the target domain at the same time, which is not always possible. ", + "bbox": [ + 174, + 452, + 825, + 522 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Source-free domain adaptation. Among them, recent “source-free” setups are particularly similar to our setting [30, 25, 34]. In these setups, source data is not needed during the adaptation phase, and the model is adapted using the unlabeled data solely from the target domain. However, this adaptation is usually made in an offline manner, i.e., these source-free methods optimize offline with multiple losses for multiple epochs. Our method adjusts the classifier in an online-manner, and therefore is suitable for a domain generalization setup where the trained model is assumed to be deployed. ", + "bbox": [ + 174, + 536, + 825, + 619 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Test-time adaptation. Regarding the problem setup, our work is most closely related to testtime adaptation [52] or test-time training [46]. Notably, [52] proposes fully test-time adaptation, which modulates the BN parameter by minimizing the prediction entropy using stochastic gradient descent. The concept of test-time adaptation is very similar to our work and can be used in domain generalization, however, it has not been fully investigated under the domain generalization setup. Moreover, recent architectures do not employ batch normalization either on pre-training (mainly to avoid the large memory usage required by BN) or fine-tuning phase (for improving performance). Besides, minimizing the prediction entropy using SGD could lead to trivial solutions, such as being biased to predict only a particular class. In comparison, (1) our method can be used together with any classification models since it only adjusts the linear classifier on the top of the representations, (2) our method alleviates catastrophic forgetting due to not using SGD during test-time. ", + "bbox": [ + 174, + 633, + 825, + 786 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Prototypical networks. Before deep learning become popular, the prototype-based classifier is well-investigated in the context of semi-supervised learning [10], continual learning [35, 39], and few-shot learning [44]. Our work is most similar to prototypical networks [44], which combine prototypical classifier and deep neural networks as with our method. However, the use-cases mentioned above of prototypical networks assume access to a few labeled data from the same domain, which differs in our case. To handle the difference, we combine prototypical networks with pseudolabeling techniques, which are often used in domain transfer literature [42]. Besides, connection to entropy minimization is a new perspective introduced in this paper. ", + "bbox": [ + 174, + 800, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Algorithm 1 Algorithm of T3A for prediction. ", + "bbox": [ + 174, + 90, + 480, + 106 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Input: Feature extractor $f _ { \\theta }$ , the batch of input $\\mathbb { B }$ , and support sets $\\mathbb { S } ^ { k }$ available at this point. \nOutput: Prediction for all $\\pmb { x } \\in \\mathbb { B }$ , where $\\mathbf { \\boldsymbol { x } } \\sim P ( \\mathbf { \\boldsymbol { X } } )$ . # Step1. Adjust the template for each class using the $\\mathbb { B }$ . for $\\pmb { x } \\in \\mathbb { B }$ do $\\hat { y } = \\arg \\operatorname* { m a x } q _ { \\omega } ( Y = y _ { k } | f _ { \\pmb { \\theta } } ( \\pmb { x } ) ) ~ ( \\mathbf { e }$ q. 2) $\\begin{array} { r } { \\mathbb { S } ^ { k } = \\mathbb { S } ^ { k } \\cup \\{ \\frac { f _ { \\theta } ( \\pmb { x } ) } { \\lVert \\pmb { f _ { \\theta } ( \\pmb { x } ) } \\rVert } \\} } \\end{array}$ for $\\boldsymbol { y } ^ { k } = \\boldsymbol { \\hat { y } }$ (eq. 3) end for Filter support sets with eq. 6 # Step2. Predict based on the distance between the adjusted template. return arg max $\\gamma ( Y = y _ { k } | f _ { \\pmb \\theta } ( \\pmb x ) )$ for all $\\pmb { x } \\in \\mathbb { B }$ (eq. 4) ", + "bbox": [ + 166, + 111, + 782, + 260 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 Proposal: Optimization-Free Test-Time Classifier Adjustment Module ", + "text_level": 1, + "bbox": [ + 168, + 285, + 789, + 304 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We propose to replace the output layer of the predictor trained on source-domains (i.e., linear classifier) to a pseudo-prototypical classifier, whose prototype features are adjusted during test time while fixing the features already trained on the source domains. We call our method T3A, for Test-Time Templates Adjuster. We first explain the detailed algorithm (Section 3.1), and explain how and why it works (Section 3.2). Algorithm 1 outlines the procedure. ", + "bbox": [ + 173, + 316, + 826, + 387 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 Algorithm ", + "text_level": 1, + "bbox": [ + 174, + 402, + 285, + 417 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We assume the predictor is deep neural networks (DNN) obtained by some learning algorithm (e.g., ERM, DANN, CORAL, etc.) using data from source domains. For convenience, the entire DNN is divided into a linear classifier $q _ { \\omega }$ for the last layer and a feature extractor $f _ { \\theta }$ for the rest, where $\\omega$ and $\\pmb \\theta$ are the parameters of neural networks. In usual domain generalization setup, $f _ { \\theta }$ and $q _ { \\omega }$ are used to predict data from the test domain. For new data $_ { \\textbf { \\em x } }$ , the prediction is given by taking the argmax over the following approximated probability distribution: ", + "bbox": [ + 173, + 428, + 825, + 512 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/c3012b5ac4ac67f558c522eb00bc9052555c5a935812e5e9cb06d00539cdeae9.jpg", + "text": "$$\n\\operatorname * { a r g m a x } _ { y _ { k } } q _ { \\omega } ( Y = y _ { k } | f _ { \\pmb \\theta } ( \\pmb x ) ) = \\frac { \\exp ( \\pmb z \\cdot \\pmb \\omega ^ { k } ) } { \\sum _ { j } \\exp ( \\pmb z \\cdot \\pmb \\omega ^ { j } ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 336, + 518, + 661, + 556 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $z = f _ { \\theta } ( \\pmb { x } ) , \\pmb { \\omega } ^ { k } \\in \\mathbb { R } ^ { z _ { d i m } }$ is the $k$ -th element of the weights matrix in $\\omega$ , and $z _ { d i m }$ is the dimension of $_ z$ , which depends on the feature extractor $f _ { \\theta }$ . In this prediction, $\\omega ^ { k }$ works as the template of representation for the class $k$ , and prediction is done by measuring the distance (dot product) between the template and the representation of the input data. Since this template was trained in the source domain, there is no guarantee that it will be a good template in the target domain. ", + "bbox": [ + 173, + 561, + 825, + 635 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "T3A adjusts the templates during test-time. Assume we have (batch of) test-data $_ { \\textbf { \\em x } }$ at time $t$ drawn from target distribution $P ( \\boldsymbol { X } ) \\doteq P ^ { d } ( \\boldsymbol { X } )$ for all $d \\in \\{ 1 , \\cdots , d _ { t r } \\}$ . As each prototype should be related to some class, we first augment the input data $_ { \\textbf { \\em x } }$ via pseudo label $\\hat { y }$ , which is obtained via eq. 2. Then, we update a support set $\\mathrm { \\bar { S } } _ { t } ^ { k }$ as follows: ", + "bbox": [ + 173, + 640, + 825, + 696 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/40fde471693045d29447585cc50b0301d73c06d06b983d9d01a27202c37fa651.jpg", + "text": "$$\n\\mathbb { S } _ { t } ^ { k } = \\left\\{ \\begin{array} { l l } { \\mathbb { S } _ { t - 1 } ^ { k } \\cup \\big \\{ \\frac { f _ { \\theta } ( x ) } { \\| f _ { \\theta } ( x ) \\| } \\big \\} } & { \\mathrm { i f } \\hat { y } = y ^ { k } } \\\\ { \\mathbb { S } _ { t - 1 } ^ { k } } & { \\mathrm { e l s e } , } \\end{array} \\right.\n$$", + "text_format": "latex", + "bbox": [ + 372, + 702, + 622, + 746 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where kak represents the L2 norm of the vector a and Sk0 = { ωkkωkk }. If the input data contains sample in the batch. Then, prediction is done by taking the argmax over the following adjusted probability distribution: ", + "bbox": [ + 174, + 752, + 825, + 814 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/afecdba0a9e5397a88feb3897c7271d050715f05878621718a2e3e63df41c7f9.jpg", + "text": "$$\n\\underset { y _ { k } } { \\arg \\operatorname* { m a x } } \\gamma _ { c } ( Y = y _ { k } | f _ { \\pmb \\theta } ( \\pmb x ) ) = \\frac { \\exp ( z \\cdot \\pmb c ^ { k } ) } { \\sum _ { j } \\exp ( z \\cdot \\pmb c ^ { j } ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 339, + 819, + 656, + 857 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $c ^ { k }$ are the centroids of $\\mathbb { S } ^ { k }$ : ", + "bbox": [ + 173, + 864, + 392, + 880 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/ec2553be3ac79e592da3aa44e14ed2b3c367b48f631aca454718c65d9f744a7e.jpg", + "text": "$$\nc ^ { k } = \\frac { 1 } { | \\mathbb { S } ^ { k } | } \\sum _ { z \\in \\mathbb { S } _ { t } ^ { k } } z .\n$$", + "text_format": "latex", + "bbox": [ + 437, + 875, + 560, + 915 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/0465fa4fdb2608e788fd96252986156771204bfedcd475cb58cbc6cb7c533a27.jpg", + "image_caption": [ + "Figure 1: Pre-experimental results. (a) Comparing the entropy of predictions (with ResNet50) on the source domains and the target domain. The domain shift increases entropy. (b) T3A effectively reduces entropy. (c) Transferability of each components of the model trained by ERM in each dataset. " + ], + "image_footnote": [], + "bbox": [ + 178, + 82, + 826, + 237 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Note that, this procedure will be repeated each time new data arrives, without discarding the support sets, which may make infeasible to retain all past data as in eq. 3. Also, some pseudo-labels are assigned to the wrong class, and using this data is not desirable as it adds noise to the templates and may deteriorate performance. To avoid this issue, we use the prediction entropy $H _ { \\omega } ( \\hat { Y } | z ) =$ $\\begin{array} { r } { - \\sum _ { k } q _ { \\omega } ( \\hat { Y } = y ^ { k } | z ) \\log q _ { \\omega } ( \\hat { Y } = y ^ { k } | z ) } \\end{array}$ to filter unreliable pseudo-labeled data. Specifically, before making a prediction using eq. 4, only a part of the support set is restored as follows: ", + "bbox": [ + 173, + 313, + 825, + 401 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/b9a2817f1956b2194d4b4c8d6069c3ce98b0e9fbd5c0973f9ff0494f3d04d196.jpg", + "text": "$$\n\\mathbb { S } _ { t } ^ { k } = \\{ z \\mid z \\in \\mathbb { S } _ { t } ^ { k } , H _ { \\omega } ( \\hat { Y } | z ) \\leq \\alpha ^ { k } \\} ,\n$$", + "text_format": "latex", + "bbox": [ + 377, + 406, + 619, + 426 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\alpha ^ { k }$ is the $M$ -th largest entropy of the support set $\\mathbb { S } _ { t } ^ { k }$ $M$ is a hyperparameter). ", + "bbox": [ + 174, + 431, + 723, + 446 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 Remarks ", + "text_level": 1, + "bbox": [ + 174, + 462, + 276, + 477 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Remark 1: T3A implicitly reduces prediction entropy. As prior works suggest [52], the prediction entropy is often related to an error, as more confident predictions tend to be more correct. Figure 1-a shows that the prediction entropy also characterizes the difficulty in DG setup; entropy in the unseen domain tends to be greater than entropy in the seen domains. To be more specific, we first trained ResNet50 on the source domain by ERM. The training was done in leave-one-domain-out manner, and we conducted three experiments with a different seed each time. We used four standard datasets in domain generalization (VLCS [12], PACS [27], OfficeHome [50], and TerraIncognita [5]). We used the implementation of DomainBed [17], and used the default hyper-parameters for pre-training on source-domains and fine-tuning on a target domain: namely, we use Adam [23] with a learning rate of 5e-5 for optimization and use a batch size of 32 with no dropout or weight decay. ", + "bbox": [ + 173, + 487, + 825, + 626 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "With this in mind, existing studies have modified the model parameters to explicitly reduce entropy. Although the proposed method does not explicitly reduce entropy, it has the effect of implicitly reducing it. This is because the proposed method uses a template updated with samples from the target distribution, which provides a decision boundary that avoids the dense parts of the target distribution. Figure 1-b compares the prediction entropy on the target domain among (a) ERM without test-time modulation, (b) T3A, (c) Tent-C, which updates the classifier to minimize entropy. The results show that T3A can effectively reduce entropy without using online optimization. Note that changing a hyper-parameter (such as learning rate) might change the results for Tent-C, but it may corrupt the entire classifier. See Section 4 for the hyperparameter selection. ", + "bbox": [ + 174, + 632, + 825, + 757 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Remark 2: T3A is computationally light. Unlike Tent, our method does not use SGD. Besides, the representations are fixed, and it is not necessary to repeat the forward propagation of the feature extractor. The only computational overhead is the cost of one forward propagation of the last linear layer, which is usually negligible compared to the forward and back propagation of feature extractors. Since it is not desirable to reduce throughput when considering online prediction, the proposed method is suitable in this respect as well. ", + "bbox": [ + 174, + 771, + 825, + 854 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Remark 3: Adjusting the linear classifier can significantly improve performance. Some readers may wonder how effective it is to modify only the linear classifier while freezing the representation. To answer this question, we compare the DG performance (None) before fine-tuning, (head) after fine-tuning only $q _ { \\omega }$ , (body) after fine-tuning only $f _ { \\theta }$ , and (all) after fine-tuning the entire network (Figure 1-c). Each block corresponds to a different dataset, and each color represents a different fine-tuning strategy. The results show that fine-tuning only the classifier often significantly improves performance. For example, in VLCS, the average performance score jumps from 72.5 to 82.9, which is close to the 84.7 obtained when the entire network is fine-tuned. The performance gain differs for each dataset, but the tendency is generally the same. In addition, this tendency was the same for other backbone networks including BiT, ViT, and Mixer (see Appendix B). These results indicate that adjusting only the linear classifier can significantly improve performance in various configurations. Note that the number of parameters of the linear layer is much smaller than those of the feature extractor in standard network architectures. ", + "bbox": [ + 174, + 869, + 825, + 911 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 90, + 825, + 229 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 Experiment ", + "text_level": 1, + "bbox": [ + 174, + 250, + 303, + 266 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We evaluate T3A on four standard domain generalization benchmarks, namely VLCS [12], PACS [27], OfficeHome [50], and TerraIncognita [5]. Our implementation uses the DomainBed library $[ 1 7 ] ^ { 1 }$ . We modify DomainBed (1) to use various backbone networks using the timm library $[ 5 4 ] ^ { \\bar { 2 } }$ , and (2) to implement test-time adaptation algorithms (ours and Tent). For Tent, we used the original implementation3. We run our experiments mainly on cloud $\\mathrm { V } 1 0 0 \\mathrm { x } 4$ or $\\mathbf { A } 1 0 0 \\mathbf { x } 8$ instances, depending on the memory usage of the backbone networks. See Appendix A for more information, including licensing information and total amount of compute. ", + "bbox": [ + 174, + 280, + 825, + 377 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Datasets. VLCS [12] comprises four photographic datasets $d \\in$ {Caltech101[13], LabelMe[40], SUN09[7], VOC2007[11]}, containing 10, 729 examples of 5 classes. PCAS [27] comprises four domains $d \\in \\{ \\mathrm { a r t } $ , cartoons, photos, sketche $\\}$ , containing 9, 991 examples of 7 classes. OfficeHome [50] includes domains $d \\in \\{$ {art, clipart, product, real}, containing 15, 588 examples and 65 classes. TerraIncognita [5] includes photo of wild animals taken by camera at different locations. Following [17], we used datasets of $d \\in \\{ \\mathrm { L 1 0 0 , L 3 8 , L 4 3 , L 4 6 } \\}$ , containing 24, 788 examples and 10 classes. ", + "bbox": [ + 174, + 393, + 825, + 477 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Backbone networks. For the main experiments, we use residual networks with 50 layers (ResNet50), which was the default setting of the prior studies. In addition, we tested our algorithms on 10 different pre-trained models: residual networks with different layers (ResNet18 and ResNet50), Big Transfer [24] with different layers (BiT-M-R50x3, BiT-M-R101x3, and BiT-M$\\mathbf { R } 1 5 2 \\mathbf { x } 2$ ), Vision Transformers [9] with variations (ViT-B16, ViT-L16, HViT, which uses ResNet50 as patch embedding of ViT, DeiT [48]), and MLP-Mixer (Mixer-L16) [47]. ", + "bbox": [ + 174, + 491, + 825, + 574 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Baselines. We compare our method to domain generalization algorithms and test-time adaptation algorithms. For domain generalization algorithms, we mainly compared with the results reported in [17]. These results include the following algorithms: Empirical Risk Minimization (ERM), Group Distributionally Robust Optimization (GroupDRO) [41], Inter-domain Mixup (Mixup) [56, 58, 53], Meta-Learning for Domain Generalization (MLDG) [28], DomainAdversarial Neural Networks (DANN) [15], Class-conditional DANN (C-DANN) [32], Deep CORrelation ALignment (CORAL) [45], Maximum Mean Discrepancy (MMD) [29], Invariant Risk Minimization (IRM) [3], Adaptive Risk Minimization (ARM) [60], Marginal Transfer Learning (MTL) [6] Style-Agnostic Networks (SagNet) [36], and Representation Self Challenging (RSC) [20]. ", + "bbox": [ + 173, + 589, + 825, + 715 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We also compared our method with existing test-time adaptation methods. Note that we can not simply use BN-based methods (including Tent [52], which is the most up-to-date method) on the DG setup because [17] omit the BN layer from pre-trained ResNet when fine-tuning on source domains. Besides, several backbone networks evaluated in our paper do not contain BN from the beginning. Therefore, we first tested two slightly modified versions of Tent on standard DG setup (Table 1, Table 2, and Figure 2). Specifically, Tent-C modulates the entire classifier to reduce prediction entropy. Tent-BN adds one BN layer just before the linear classifier and then modulates BN’s normalization and transformation parameters. We then compare T3A with other test-time adaptation methods (including SHOT [34], pseudo labeling (PL) [26], Tent-Full [52], BN-Norm [43]) using ResNet18 and ResNet50 without removing batch normalization layer (Table 3). ", + "bbox": [ + 174, + 720, + 826, + 859 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/18926f2b806792538f414e1487bcfae3998663e571cc9e369d0050bf82853614.jpg", + "table_caption": [ + "Table 1: Domain generalization accuracy for all datasets and algorithms. Bold type indicates performance improvement from the base model, and $^ *$ indicates statistical significance in one-sided paired t-test $^ { \\ast \\ast }$ indicates $p \\leq 0 . 0 1$ , \\* indicates $p \\leq 0 . 0 5 )$ . " + ], + "table_footnote": [], + "table_body": "
AlgorithmVLCSPACSOfficeHomeTerraAvg
ERM77.5 ± 0.485.5 ± 0.266.5 ± 0.346.1 ± 1.869.0
IRM78.5 ± 0.583.5 ± 0.864.3 ± 2.247.6 ± 0.868.5
GroupDRO76.7 ± 0.684.4 ± 0.866.0 ± 0.743.2 ± 1.167.6
Mixup77.4 ± 0.684.6 ± 0.668.1 ± 0.347.9 ± 0.869.5
MLDG77.2 ± 0.484.9 ± 1.066.8 ± 0.647.7 ± 0.969.2
CORAL78.8 ± 0.686.2 ± 0.368.7 ± 0.347.6 ± 1.070.3
MMD77.5 ± 0.984.6 ± 0.566.3 ± 0.142.2 ± 1.667.7
DANN78.6 ± 0.483.6 ± 0.465.9 ± 0.646.7 ± 0.568.7
CDANN77.5 ± 0.182.6 ± 0.965.8 ± 1.345.8 ± 1.667.9
MTL77.2 ± 0.484.6 ± 0.566.4 ± 0.545.6 ± 1.268.5
SagNet77.8 ± 0.586.3 ± 0.268.1 ± 0.148.6 ±1.070.2
ARM77.6 ± 0.385.1 ± 0.464.8 ± 0.345.5 ± 0.368.3
VREx78.3 ± 0.284.9 ± 0.666.4 ± 0.646.4 ± 0.669.0
RSC77.1 ± 0.585.2 ± 0.965.5 ± 0.946.6 ± 1.068.6
ERM†77.7 ± 0.183.6 ± 0.966.4 ± 0.346.5 ± 0.368.6
+T3A (Ours)80.0 ± 0.285.3 ± 0.668.3 ± 0.147.0 ± 0.670.1**
+Tent-BN68.2 ± 0.284.8 ± 0.567.0 ± 0.444.7 ± 0.366.2
+Tent-C77.0 ± 0.482.3 ± 1.265.7 ± 0.245.5 ± 0.467.6
CORAL+78.6 ± 0.584.2 ± 0.368.3 ± 0.169.8
+T3A (Ours)79.5 ± 0.585.6 ± 0.269.2 ± 0.248.1 ± 1.3 47.3 ± 0.770.4*
+Tent-BN71.4 ± 0.785.6 ± 0.269.2 ± 0.246.5 ± 0.568.2
+Tent-C78.1 ± 0.583.7 ± 0.468.2 ± 0.147.8 ± 1.169.5
", + "bbox": [ + 232, + 145, + 759, + 481 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Hyperparameters and model selection. As [17] claimed, model selection is not trivial in DG and significantly affects performance. We used standard training-domain validation for selecting hyperparameters, which uses the subset of each training domain to choose a model. As reported in [17], we split the data from each domain into $8 0 \\%$ and $2 0 \\%$ splits and use larger splits for training and smaller splits to select hyperparameters. Following [17], we conduct a random search of 20 trials over a joint distribution of all hyperparameters to train the base model (see Appendix A.4). ", + "bbox": [ + 173, + 517, + 825, + 601 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In addition, T3A has one hyperparameter $M$ for deciding the number of supports to restore, and Tent has two primary hyperparameters: $\\beta$ for multiplying the base learning rate (used for the base model) and $\\gamma$ for the number of iterations per adaptation. It is worth emphasizing that these parameters should be selected before the deployment, i.e., before accessing the test data. We simply selected these hyperparameters by the average accuracy in the training-domain validation data when using these adjustment modules. Specifically, we tested $M \\in \\{ 1 , 5 , \\bar { 2 0 } , 5 0 , 1 0 0 , \\mathrm { N / A } \\}$ for T3A, where N/A means restoring all samples, and combination of $\\beta \\in \\{ 0 . 1 , 1 . 0 , 1 0 . 0 \\}$ and $\\gamma \\in \\{ 1 , 3 \\}$ for Tent. ", + "bbox": [ + 174, + 606, + 825, + 704 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 Results ", + "text_level": 1, + "bbox": [ + 174, + 724, + 263, + 739 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 1 summarizes the results when ResNet50 is used as the backbone network. The first block (from ERM to RSC) is the value taken from [17]. The lines labeled ERM† and CORAL† are the scores reproduced in our environments. The proposed method and Tent are based on this reproduced model. Figure 2 shows the distribution of performance improvement by the proposed method for models trained with different hyperparameters $2 0 \\times 3$ for each test environment). In addition, Table 2 show the DG accuracy with 10 different backbones. Note that this experiment is conducted only on the default hyperparameter of ERM. Every number we report is a mean and standard error over three repetitions with different weight initialization, and dataset splits. ", + "bbox": [ + 174, + 752, + 825, + 863 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "T3A stably improves the performance of the base model. The second block of Table 1 shows that T3A stably improves the performance of the ERM model. Specifically, the proposed method improves 2.3 points, 2.0 points, 1.9 points, and 0.5 points for each dataset respectively. The average improvement from ERM is 1.5 points. For clarification, paired t-test was performed using 48 paired data (4 datasets, 4 test domains, 3 different seeds). As a results, the difference is statistically significant $( p \\leq 0 . 0 1 )$ . Note that, Tent-BN improves the performance in PACS and OfficeHome, but it is not stable may be due to the failure of the optimization. Tent-C never improve the performance. ", + "bbox": [ + 176, + 869, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/a83c988a54cd538265627bcf9d59f34c79467be512fdc47f7a9df594989787d1.jpg", + "table_caption": [ + "Table 2: Domain generalization accuracy with different backbone networks. T3A increases the performance agnostic to backbone networks. Note that, this experiments is conducted only on the default hyperparameters of ERM. Bold type indicates performance improvement, and \\* indicates statistical significance in paired t-test ( $^ { \\ast \\ast }$ indicates $p \\leq 0 . 0 1$ , \\* indicates $p \\leq 0 . 0 5 )$ . " + ], + "table_footnote": [], + "table_body": "
ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 +T3A73.2 ± 0.9 76.5 ± 0.980.3 ± 0.4 81.7 ± 0.155.7±0.2 57.0 ± 0.440.7 ± 0.3 41.6 ± 0.562.5 64.2*
resnet50 +T3A75.5± 0.1 78.3 ± 0.783.9 ± 0.2 84.5 ± 0.364.4 ± 0.2 66.5 ± 0.245.4 ± 1.2 45.9 ± 0.567.3 68.8*
BiT-M-R50x3 +T3A76.7± 0.1 79.7 ± 0.384.4 ± 1.2 85.4 ± 0.969.2 ± 0.6 71.7 ± 0.652.5± 0.3 52.2 ± 0.670.7 72.3*
BiT-M-R101x3 +T3A75.0 ± 0.6 78.6 ± 0.484.0 ± 0.7 85.4 ± 0.567.7± 0.5 69.9 ± 0.447.8 ± 0.8 48.1 ± 0.868.6 70.5*
BiT-M-R152x2 +T3A76.7 ± 0.3 79.1 ± 0.485.2 ± 0.1 86.4 ± 0.171.3 ± 0.6 73.2 ± 0.551.4 ± 0.6 50.9 ± 0.771.1 72.4*
ViT-B16 +T3A79.2 ± 0.3 80.2 ± 0.485.7 ± 0.1 86.0 ± 0.178.4± 0.3 78.9 ± 0.341.8 ± 0.6 42.5 ± 0.771.3 71.9*
ViT-L16 +T3A DeiT78.2± 0.5 79.0 ± 0.684.6± 0.5 85.5 ± 0.678.0 ± 0.1 78.7 ± 0.242.7 ± 1.9 45.3 ± 0.470.9 72.1**
", + "bbox": [ + 233, + 154, + 758, + 494 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/28566b04ed1256bad280292bb376224b4862ea7d96e1b5d042890e71cff1a554.jpg", + "image_caption": [ + "Figure 2: Distribution of performance improvements by the proposed method for models trained with different hyperparameters $2 0 \\times 3$ for each test environment). Dashed line in each violin plot represents the quartile of the distribution. " + ], + "image_footnote": [], + "bbox": [ + 179, + 534, + 828, + 695 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 779, + 825, + 835 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In addition, Fig. 2 show that the third-quarter quantile of the improvement range is often more than 0, which means the proposed method is also robust to the hyperparameters of the base model. Furthermore, Table 2 shows that the proposed method can also improve the performance of more sophisticated backbone networks. For example, the proposed method improves performance by an average of 1.0 points for HViT, which achieved the best performance of all backbones. The improvement by the proposed method is statistically significant $( p \\leq 0 . 0 5$ for ViT-L16, $p \\leq 0 . 0 1$ for other backbones) with the one-side paired t-test. ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 90, + 823, + 119 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "T3A outperforms most existing DG algorithms. For example, in VLCS, the proposed method achieves $8 0 . 0 \\%$ , which is significantly better than the prior best-reported score, $7 8 . 8 \\%$ . Similarly, it is $8 5 . 3 \\%$ for PACS, $6 8 . 3 \\%$ (best) for OfficeHome and $4 7 . 0 \\%$ for TerraIncognita, and $7 0 . 1 \\%$ in average (third best). Note that the scores we reproduce are much worse than the reported scores in PACS, which reduces the average performance. In PACS, the improvement from ERM by the proposed method is 1.7 points, which is the most significant improvement from any reported value. ", + "bbox": [ + 174, + 136, + 825, + 219 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "For a more accurate comparison, we also examined whether the proposed method would improve the performance of CORAL, which had achieved the best performance in existing reports. As shown in the third block of Table 1, the proposed method can also improve the performance of CORAL. The average improvement is 0.6 points. Average performance is $7 0 . 4 \\%$ , which is the best among all algorithms. Note that, similar to ERM, the reproduced score and the reported score are slightly different (and the score in PACS is particularly low). ", + "bbox": [ + 174, + 226, + 825, + 309 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "T3A outperforms existing test-time adaptation methods. We further compare T3A with other test-time adaptation methods when backbone networks employ the BN layer so that we can make a fair comparison with the prior BN-based methods [43, 52]. We used ResNet18 w/BN and ResNet50 w/BN as backbone networks. Note that the results of ResNet in Table 1 and Table 2 do not use the BN layer since it is the default option in [17]. Therefore, the results below are not directly comparable to the DG method shown in Table 1 and Table 2 of the current manuscript. ", + "bbox": [ + 174, + 327, + 825, + 409 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We tested the following six baselines in addition to T3A, Tent-BN, and Tent-C. (1) Tent-Full updates BN statistics and transformations, which is the same as the original proposal [52]. (2) BN-Norm update BN statistics but fixes transformations parameters [43]. (3) PL (Pseudo Label) [26] updates entire networks by minimizing the cross-entropy between prediction and the pseudo label. Following [52], we assign the pseudo label if the predictions are over a threshold (0.9 in our experiment). (4) PL-C updates the linear classifier by minimizing the above-mentioned pseudo-label loss. (5) SHOT [34] updates feature extractor to minimize entropy, diversity regularizer, and pseudo-label loss. While [34] originally proposed SHOT in the context of source-free domain adaptation (offline adaptation setup), the method itself can be transferred to our setup. Note that the original SHOT uses the label-smoothing when training on the source domain. However, we focus on the adaptation method, and therefore the source model is the same as the other baselines for the fair comparison. (6) SHOT-IM [34] updates the feature extractor to minimize entropy and the diversity regularizer. ", + "bbox": [ + 174, + 415, + 825, + 580 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In summary, (1) all baseline except BN-Norm and T3A use stochastic optimization during test-time, which is not desirable since it may cause catastrophic failure and must increase computational costs. (2) Tent-Full and BN-Norm are powerful yet constrained to be applicable only if the architecture uses BN. ", + "bbox": [ + 174, + 588, + 825, + 642 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Table 3 compares results under the training-domain model selection as with Table 1 and Table 2. For clarification, we also compare performance under the oracle model selection (28 in Appendix C ), where one can use the validation set on the target domain ( $20 \\%$ of all data as described above). We can make the following observations. (1) The proposed method still outperformed all baselines in both backbone networks. Among baselines, only Tent-Full and PL-C perform better than None (w/o adaptation) on average. (2) When we select the hyper-parameters with a test-domain validation set, Tent-Full gives comparable performances with the proposed method. In addition, compared to T3A and PL-C, the T3A performs better under both model selection strategies. These results clarify the difficulty of model selection in optimization-based methods and the merit of the proposed optimization-free approach in this setup. (3) Updating feature extractor (or the large portion of the parameters) does not work well in general, while it is common in SFDA (offline) setup. The results suggest that we need different treatments on online and offline setup. ", + "bbox": [ + 173, + 650, + 825, + 815 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 Discussion and Conclusion ", + "text_level": 1, + "bbox": [ + 176, + 837, + 426, + 854 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "This paper presents a new domain generalization algorithm, T3A, which adjusts its predictions during test-time by itself. We show that T3A reduces prediction entropy (Fig. 1-c), and more importantly, generalization error on unseen domain (Table 1). T3A can adapt different domain generalization algorithms for training-phase (the third block of Table 1), and different backbone networks (Table 2). Note that this property is important in practice because a better backbone network usually give significant performance gains. For example, Table 2 suggest a practitioner should try HViT, which outperforms ResNet50 by a large margin (7.8 points in average) if computational resources allow. T3A can boost HViT’s performance by 1.0 points. Unlike existing studies that update the model with SGD during testing, the proposed method is optimization-free. Therefore, the computational overhead is negligible, and the behavior is unlikely to become unstable, making T3A especially suitable for online settings where the model needs to (adapt and) predict online as with typical DG. ", + "bbox": [ + 176, + 869, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/d73dd5a27e4bb67bfba6d6ef6e020fe4057ef1b1af9191a590449cf0cf757485.jpg", + "table_caption": [ + "Table 3: Comparison of our method and existing test-time adaptation methods. Unlike Table 1 and Table 2, we used ResNet18 and ResNet50 without removing batch normalization layer as backbone networks. As with Table 2, this experiments is conducted only on the default hyperparameters of ERM. Bold type indicates performance improvement, and \\* indicates statistical significance in paired t-test $^ *$ indicates $p \\leq 0 . 0 5 )$ . " + ], + "table_footnote": [], + "table_body": "
ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 w/BN73.0± 0.679.5 ± 0.461.8 ± 0.341.7 ± 0.964.0
SHOT-IM61.6 ± 0.382.1 ± 0.362.5 ± 0.332.8 ± 0.459.8
SHOT61.8 ± 0.382.3 ± 0.262.8 ± 0.232.7 ± 0.459.9
PL67.0 ± 0.672.9 ± 1.056.3 ± 2.535.4 ± 1.757.9
PL-C71.8 ± 1.378.9 ± 0.461.7 ± 0.343.1 ± 0.963.9
Tent-Full72.3 ± 0.383.9 ± 0.362.7 ± 0.236.9 ± 0.364.0
BN-Norm70.4 ± 1.082.7 ± 0.162.0 ± 0.136.4 ± 0.262.9
Tent-C71.3 ± 1.574.6 ± 1.960.5 ± 0.440.9 ± 0.561.8
Tent-BN64.7 ± 0.781.1 ± 0.262.5 ± 0.336.4 ± 0.961.2
T3A (Ours)74.5 ± 0.981.4 ± 0.263.2 ± 0.439.5 ± 0.364.6*
resnet50 w/BN74.3 ± 0.584.1 ± 0.166.9 ± 0.245.8 ± 1.867.8
SHOT-IM61.5 ± 1.784.6 ± 0.368.0 ± 0.033.8 ± 0.362.0
SHOT61.6 ± 1.884.8 ± 0.568.0 ± 0.034.6 ± 0.362.3
PL63.4 ± 1.880.1 ± 3.561.3 ± 1.536.8 ± 4.460.4
PL-C73.3 ± 0.884.7 ± 0.366.4 ± 0.347.0 ± 1.767.9
Tent-Full75.4 ± 0.687.0 ± 0.266.9 ± 0.242.6 ± 0.868.0
BN-Norm71.3 ± 0.485.8 ± 0.166.4 ± 0.142.3 ± 0.466.5
Tent-C72.4 ± 1.584.4 ± 0.166.2 ± 0.242.4 ± 3.166.4
Tent-BN65.6 ± 1.484.9 ± 0.067.7 ± 0.242.7 ± 0.565.2
T3A (Ours)76.0 ± 0.385.1 ± 0.268.2 ± 0.144.6 ± 0.968.5*
", + "bbox": [ + 233, + 166, + 758, + 462 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 511, + 825, + 623 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "One of the limitations of T3A is how to extend it beyond the classification problem. Since the proposed method creates a template online for each prediction class, it is not trivial to adapt it for continuous prediction. Note that Tent have the same problem, as prediction entropy is hard to compute in the regression case. It is a future task to apply this idea to a broader range of problem settings. ", + "bbox": [ + 174, + 628, + 825, + 685 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Another potential drawback of the proposed method is that the model can change at any time, making it difficult to thoroughly test its behavior in advance. This may raise ethical concerns in some sensitive applications, making it more difficult to sanitize the model and ensure it does not make unfair decisions. In such a situation, fully online adaptation might be difficult, and one may want to update the model offline. We encourage examination of each of these works on the frontier of test-time adaptation. ", + "bbox": [ + 173, + 690, + 825, + 773 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Although accuracy was greatly improved, there is massive room for improvement as the performance in the unknown domain is still significantly worse than performance in the known domain. From a probabilistic viewpoint, the templates of each class can be regarded as the statistics of the $P ( Z | Y )$ and our method adjusts it. As it is connected to the prediction $\\begin{array} { r } { P ( Y | Z ) = \\frac { P ( Z | Y ) P ( Y ) } { P ( Z ) } } \\end{array}$ , adjusting it can correlates the prediction. From this perspective, using the average templates might be too restrictive, and one can use higher-order statistics to improve performance. Alternatively, one can retain all reliable samples, approximating $P ( Z | Y )$ as empirical distribution. We hope that the findings of this paper will lead to a better test-time adaptation method and lead to the development of machine learning systems that work well in unknown environments. ", + "bbox": [ + 173, + 781, + 825, + 911 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgements ", + "text_level": 1, + "bbox": [ + 176, + 89, + 338, + 106 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "This work has been supported by JSPS Grant-in-Aid for Early-Career Scientists Number JP18K18101 and the Mohammed bin Salman Center for Future Science and Technology for Saudi-Japan Vision 2030 at The University of Tokyo (MbSC2030). Computational resource of AI Bridging Cloud Infrastructure (ABCI) provided by National Institute of Advanced Industrial Science and Technology (AIST) was used. ", + "bbox": [ + 174, + 119, + 825, + 170 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "References ", + "text_level": 1, + "bbox": [ + 174, + 189, + 266, + 205 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "[1] K. Akuzawa, Yusuke Iwasawa, and Y. Matsuo. Adversarial invariant feature learning with accuracy constraint for domain generalization. In ECML/PKDD, 2019. \n[2] Michael A. Alcorn, Qi Li, Zhitao Gong, Chengfei Wang, Long Mai, Wei-Shinn Ku, and Anh M Nguyen. Strike (with) a pose: Neural networks are easily fooled by strange poses of familiar objects. CVPR, pages 4840–4849, 2019. \n[3] Martin Arjovsky, Léon Bottou, Ishaan Gulrajani, and David Lopez-Paz. Invariant risk minimization. arXiv preprint arXiv:1907.02893, 2019. \n[4] Y. Balaji, S. Sankaranarayanan, and R. Chellappa. 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ArXiv, abs/2103.02503, 2021. ", + "bbox": [ + 171, + 98, + 826, + 727 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Checklist ", + "text_level": 1, + "bbox": [ + 174, + 747, + 254, + 763 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "1. For all authors... ", + "bbox": [ + 214, + 773, + 330, + 786 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "(a) Do the main claims made in the abstract and introduction accurately reflect the paper’s contributions and scope? [Yes] (b) Did you describe the limitations of your work? [Yes] See Section 5.1. (c) Did you discuss any potential negative societal impacts of your work? [Yes] See Section 5.1. (d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 240, + 790, + 825, + 862 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... 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[Yes] We repeated entire experiments three times as recommended by the prior works. \n(d) Did you include the total amount of compute and the type of resources used (e.g., type of GPUs, internal cluster, or cloud provider)? [Yes] See Section 4 and Appendix A. ", + "bbox": [ + 240, + 109, + 825, + 232 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... ", + "bbox": [ + 214, + 236, + 769, + 250 + ], + "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] See Appendix A. \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? [Yes] \n(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [Yes] ", + "bbox": [ + 240, + 253, + 826, + 352 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "5. If you used crowdsourcing or conducted research with human subjects... ", + "bbox": [ + 212, + 357, + 658, + 369 + ], + "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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T3A is back-propagation-free and modifies only the linear layer;", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 364, + 470, + 377 + ], + "spans": [ + { + "bbox": [ + 141, + 364, + 470, + 377 + ], + "score": 1.0, + "content": "therefore, the increase in computational cost during inference is negligible and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 375, + 469, + 388 + ], + "spans": [ + { + "bbox": [ + 141, + 375, + 469, + 388 + ], + "score": 1.0, + "content": "avoids the catastrophic failure might caused by stochastic optimization. Despite", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 385, + 470, + 399 + ], + "spans": [ + { + "bbox": [ + 141, + 385, + 470, + 399 + ], + "score": 1.0, + "content": "its simplicity, T3A can leverage knowledge about the target domain by using", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 396, + 470, + 409 + ], + "spans": [ + { + "bbox": [ + 141, + 396, + 470, + 409 + ], + "score": 1.0, + "content": "off-the-shelf test-time data and improve performance. We tested our method", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 408, + 470, + 420 + ], + "spans": [ + { + "bbox": [ + 141, + 408, + 470, + 420 + ], + "score": 1.0, + "content": "on four domain generalization benchmarks, namely PACS, VLCS, OfficeHome,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 419, + 470, + 431 + ], + "spans": [ + { + "bbox": [ + 141, + 419, + 470, + 431 + ], + "score": 1.0, + "content": "and TerraIncognita, along with various backbone networks including ResNet18,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 429, + 469, + 441 + ], + "spans": [ + { + "bbox": [ + 141, + 429, + 469, + 441 + ], + "score": 1.0, + "content": "ResNet50, Big Transfer (BiT), Vision Transformers (ViT), and MLP-Mixer. The", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 440, + 469, + 452 + ], + "spans": [ + { + "bbox": [ + 141, + 440, + 469, + 452 + ], + "score": 1.0, + "content": "results show T3A stably improves performance on unseen domains across choices", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 142, + 451, + 468, + 463 + ], + "spans": [ + { + "bbox": [ + 142, + 451, + 468, + 463 + ], + "score": 1.0, + "content": "of backbone networks, and outperforms existing domain generalization methods.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 17.5, + "bbox_fs": [ + 141, + 266, + 471, + 463 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 482, + 190, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 192, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 192, + 498 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 108, + 506, + 504, + 550 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 505, + 518 + ], + "score": 1.0, + "content": "Deep neural networks often fail to generalize to out-of-distribution samples. Accuracy suffers when", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "score": 1.0, + "content": "the model performs under conditions different to those of training, such as variations in light [8],", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 528, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 542 + ], + "score": 1.0, + "content": "weather [51], object poses [2], textures [16], or object backgrounds [5]. 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However, at test-time the model always has access to test data from the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "target domain. Although the available data is constrained to be (1) unlabeled and (2) only available", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 104, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 118 + ], + "score": 1.0, + "content": "online (models can not know all test cases in advance), this data provides clue about the target", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 129 + ], + "score": 1.0, + "content": "distribution that is not available during training. It is natural to ask the question: How can we use the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 490, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 490, + 139 + ], + "score": 1.0, + "content": "off-the-shelf unlabeled data available at test-time to increase performance on the target domain?", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 107, + 143, + 505, + 264 + ], + "lines": [ + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "It is worth emphasizing that our setting is different from the transductive setting [49, 22, 57] where", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 168 + ], + "score": 1.0, + "content": "all test cases are known in advance, even though we use test data for adjustment. When testing, the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "model is usually deployed in some environment, and must work well on various samples that will", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "appear continuously. Similarly, the deployed model usually needs to make correct predictions at", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "that moment; there is no point in going back in time and correcting the predictions. Therefore, it is", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "desirable that adjustment and inference be performed at the same time, not offline after a large amount", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "of data has been accumulated. Looking beyond domain generalization, some recent studies suggest", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "optimizing the model during test time using objective function defined only by unsupervised data", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "score": 1.0, + "content": "(e.g, prediction entropy) [34, 52]. However, updating parameters using stochastic gradient descent", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "(SGD) increases computational costs and harm inference throughput. In addition, data available at", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 253, + 424, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 424, + 266 + ], + "score": 1.0, + "content": "test time is limited, and stochastic optimization can lead to catastrophic failure.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 269, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "To this end, we present test-time templates adjuster (T3A), which adjusts the linear classifier (the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "last layer of deep neural networks) at test-time. T3A adjusts the weights of the linear classifier", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "score": 1.0, + "content": "as the following optimization-free procedure: (1) create a pseudo-prototype for each class using", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 302, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 505, + 314 + ], + "score": 1.0, + "content": "online unlabeled data and the classifier trained in the source domains, (2) and then classify each", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "score": 1.0, + "content": "sample based on its distance to the pseudo-prototype. This procedure makes the adjusted decision", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 324, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 336 + ], + "score": 1.0, + "content": "boundary avoid the high-data density region on the target domain and reduce the ambiguity (entropy)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 335, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 506, + 346 + ], + "score": 1.0, + "content": "of predictions, which is known to be connected to classification error [52]. Since T3A does not", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "alter the training phase, it can be used together with existing DG algorithms. Moreover, it can be", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 357, + 504, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 504, + 369 + ], + "score": 1.0, + "content": "used together with any classification model since it only adjusts the linear classifier on top of the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "score": 1.0, + "content": "representations. Some readers may wonder how effective it is to modify only the linear classifier", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "score": 1.0, + "content": "while freezing the representation itself. Later in this paper (Section 3.2), we empirically demonstrate", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 389, + 276, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 276, + 401 + ], + "score": 1.0, + "content": "that this modification is indeed beneficial.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 405, + 506, + 505 + ], + "lines": [ + { + "bbox": [ + 105, + 404, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 419 + ], + "score": 1.0, + "content": "We evaluate our method on multiple standard domain generalization benchmarks, namely VLCS [12],", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "score": 1.0, + "content": "PACS [27], OfficeHome [50], and TerraIncognita [5]. We compare our method with (1) various DG", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 426, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 442 + ], + "score": 1.0, + "content": "algorithms reported in [17] and (2) Tent [52] that minimizes the prediction entropy at test time using", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 437, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 452 + ], + "score": 1.0, + "content": "SGD. With the standard ResNet50 backbone [18], T3A improves ERM by 1.5 points on average", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "accuracy over four dataset, and outperforms most existing DG algorithms. Furthermore, we evaluated", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "our method with 10 different backbone networks, including residual networks (resnet18 and resnet50),", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 471, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 506, + 483 + ], + "score": 1.0, + "content": "big transfer (BiT-M-R50x3, BiT-M-R101x3, and BiT-M-R152x2 [24]), vision transformers (ViT-B16,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "ViT-L16, Hybrid ViT [9], DeiT [48]), and MLP-Mixer (Mixer-L16) [47]. The results show that T3A", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 493, + 463, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 463, + 506 + ], + "score": 1.0, + "content": "gives a statistically significant performance gain against ERM on all backbone networks.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33 + }, + { + "type": "title", + "bbox": [ + 108, + 518, + 283, + 532 + ], + "lines": [ + { + "bbox": [ + 105, + 517, + 285, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 285, + 534 + ], + "score": 1.0, + "content": "2 Preliminary and Related Work", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "title", + "bbox": [ + 107, + 542, + 230, + 554 + ], + "lines": [ + { + "bbox": [ + 105, + 541, + 231, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 231, + 555 + ], + "score": 1.0, + "content": "2.1 Domain Generalization", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 106, + 561, + 505, + 665 + ], + "lines": [ + { + "bbox": [ + 104, + 559, + 507, + 577 + ], + "spans": [ + { + "bbox": [ + 104, + 559, + 357, + 577 + ], + "score": 1.0, + "content": "Problem setup Following [6], we assume multiple datasets", + "type": "text" + }, + { + "bbox": [ + 357, + 561, + 442, + 575 + ], + "score": 0.94, + "content": "D ^ { d } = \\{ ( \\boldsymbol { x } _ { i } ^ { d } , \\boldsymbol { y } _ { i } ^ { d } ) \\} _ { i = 1 } ^ { n _ { d } }", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 559, + 507, + 577 + ], + "score": 1.0, + "content": "collected from", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 573, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 213, + 587 + ], + "score": 1.0, + "content": "several different domains", + "type": "text" + }, + { + "bbox": [ + 214, + 574, + 285, + 587 + ], + "score": 0.93, + "content": "d \\in \\{ 1 , \\cdots , d _ { t r } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 573, + 342, + 587 + ], + "score": 1.0, + "content": ". 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Then, our goal is to develop a", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 608, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 144, + 621 + ], + "score": 1.0, + "content": "predictor", + "type": "text" + }, + { + "bbox": [ + 145, + 609, + 168, + 621 + ], + "score": 0.93, + "content": "f ( X )", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 608, + 506, + 621 + ], + "score": 1.0, + "content": "that performs well on some unseen test domain, which is characterized by a different", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 104, + 619, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 104, + 619, + 205, + 634 + ], + "score": 1.0, + "content": "probability distribution", + "type": "text" + }, + { + "bbox": [ + 205, + 619, + 300, + 632 + ], + "score": 0.93, + "content": "P ( X , Y ) \\neq P ^ { d } ( X , Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 619, + 331, + 634 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 332, + 620, + 404, + 632 + ], + "score": 0.93, + "content": "d \\in \\{ 1 , \\cdots , d _ { t r } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 619, + 506, + 634 + ], + "score": 1.0, + "content": ". Note that one can not", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 631, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 506, + 644 + ], + "score": 1.0, + "content": "assume the target distribution during training, e.g., no data about the target distribution is available at", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 642, + 506, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 506, + 655 + ], + "score": 1.0, + "content": "the time. Therefore, the predictor is usually trained on datasets from several source domains. For", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 654, + 392, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 392, + 665 + ], + "score": 1.0, + "content": "example, the predictor can be trained by minimizing the empirical risk:", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 44 + }, + { + "type": "interline_equation", + "bbox": [ + 233, + 666, + 379, + 699 + ], + "lines": [ + { + "bbox": [ + 233, + 666, + 379, + 699 + ], + "spans": [ + { + "bbox": [ + 233, + 666, + 379, + 699 + ], + "score": 0.95, + "content": "\\underset { \\phi } { \\arg \\operatorname* { m i n } } \\frac { 1 } { d } \\sum _ { d = 1 } ^ { d _ { t r } } \\frac { 1 } { n _ { d } } \\sum _ { i = 1 } ^ { n _ { d } } \\ell ( f ( \\pmb { x } _ { i } ^ { d } ) , y _ { i } ^ { d } ) ,", + "type": "interline_equation", + "image_path": "7af8f3d2a3e61a66c5b39a699ccedef09f875065cb35f480b6fb88878e76cc15.jpg" + } + ] + } + ], + "index": 49.5, + "virtual_lines": [ + { + "bbox": [ + 233, + 666, + 379, + 682.5 + ], + "spans": [], + "index": 49 + }, + { + "bbox": [ + 233, + 682.5, + 379, + 699.0 + ], + "spans": [], + "index": 50 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 700, + 507, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 133, + 712 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 700, + 142, + 712 + ], + "score": 0.86, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 699, + 338, + 712 + ], + "score": 1.0, + "content": "is the set of the parameters of the function, and", + "type": "text" + }, + { + "bbox": [ + 338, + 701, + 343, + 710 + ], + "score": 0.81, + "content": "\\ell", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "is a loss function measuring prediction", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 710, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 506, + 723 + ], + "score": 1.0, + "content": "error. In the rest of this paper, optimizing the predictor with eq. 1 is called ERM. In a real application,", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 51.5 + } + ], + "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": [ + 107, + 72, + 505, + 138 + ], + "lines": [], + "index": 2.5, + "bbox_fs": [ + 105, + 73, + 506, + 139 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 143, + 505, + 264 + ], + "lines": [ + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "It is worth emphasizing that our setting is different from the transductive setting [49, 22, 57] where", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 168 + ], + "score": 1.0, + "content": "all test cases are known in advance, even though we use test data for adjustment. When testing, the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "model is usually deployed in some environment, and must work well on various samples that will", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "appear continuously. Similarly, the deployed model usually needs to make correct predictions at", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "that moment; there is no point in going back in time and correcting the predictions. Therefore, it is", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "desirable that adjustment and inference be performed at the same time, not offline after a large amount", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "of data has been accumulated. Looking beyond domain generalization, some recent studies suggest", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "optimizing the model during test time using objective function defined only by unsupervised data", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "score": 1.0, + "content": "(e.g, prediction entropy) [34, 52]. However, updating parameters using stochastic gradient descent", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "(SGD) increases computational costs and harm inference throughput. In addition, data available at", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 253, + 424, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 424, + 266 + ], + "score": 1.0, + "content": "test time is limited, and stochastic optimization can lead to catastrophic failure.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 144, + 506, + 266 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 269, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "To this end, we present test-time templates adjuster (T3A), which adjusts the linear classifier (the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "last layer of deep neural networks) at test-time. T3A adjusts the weights of the linear classifier", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "score": 1.0, + "content": "as the following optimization-free procedure: (1) create a pseudo-prototype for each class using", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 302, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 505, + 314 + ], + "score": 1.0, + "content": "online unlabeled data and the classifier trained in the source domains, (2) and then classify each", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "score": 1.0, + "content": "sample based on its distance to the pseudo-prototype. This procedure makes the adjusted decision", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 324, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 336 + ], + "score": 1.0, + "content": "boundary avoid the high-data density region on the target domain and reduce the ambiguity (entropy)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 335, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 506, + 346 + ], + "score": 1.0, + "content": "of predictions, which is known to be connected to classification error [52]. Since T3A does not", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "alter the training phase, it can be used together with existing DG algorithms. Moreover, it can be", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 357, + 504, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 504, + 369 + ], + "score": 1.0, + "content": "used together with any classification model since it only adjusts the linear classifier on top of the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "score": 1.0, + "content": "representations. Some readers may wonder how effective it is to modify only the linear classifier", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "score": 1.0, + "content": "while freezing the representation itself. Later in this paper (Section 3.2), we empirically demonstrate", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 389, + 276, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 276, + 401 + ], + "score": 1.0, + "content": "that this modification is indeed beneficial.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 268, + 506, + 401 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 405, + 506, + 505 + ], + "lines": [ + { + "bbox": [ + 105, + 404, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 419 + ], + "score": 1.0, + "content": "We evaluate our method on multiple standard domain generalization benchmarks, namely VLCS [12],", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 428 + ], + "score": 1.0, + "content": "PACS [27], OfficeHome [50], and TerraIncognita [5]. We compare our method with (1) various DG", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 426, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 442 + ], + "score": 1.0, + "content": "algorithms reported in [17] and (2) Tent [52] that minimizes the prediction entropy at test time using", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 437, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 452 + ], + "score": 1.0, + "content": "SGD. With the standard ResNet50 backbone [18], T3A improves ERM by 1.5 points on average", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "accuracy over four dataset, and outperforms most existing DG algorithms. Furthermore, we evaluated", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "our method with 10 different backbone networks, including residual networks (resnet18 and resnet50),", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 471, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 506, + 483 + ], + "score": 1.0, + "content": "big transfer (BiT-M-R50x3, BiT-M-R101x3, and BiT-M-R152x2 [24]), vision transformers (ViT-B16,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "ViT-L16, Hybrid ViT [9], DeiT [48]), and MLP-Mixer (Mixer-L16) [47]. The results show that T3A", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 493, + 463, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 463, + 506 + ], + "score": 1.0, + "content": "gives a statistically significant performance gain against ERM on all backbone networks.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 404, + 506, + 506 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 518, + 283, + 532 + ], + "lines": [ + { + "bbox": [ + 105, + 517, + 285, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 285, + 534 + ], + "score": 1.0, + "content": "2 Preliminary and Related Work", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "title", + "bbox": [ + 107, + 542, + 230, + 554 + ], + "lines": [ + { + "bbox": [ + 105, + 541, + 231, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 231, + 555 + ], + "score": 1.0, + "content": "2.1 Domain Generalization", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 106, + 561, + 505, + 665 + ], + "lines": [ + { + "bbox": [ + 104, + 559, + 507, + 577 + ], + "spans": [ + { + "bbox": [ + 104, + 559, + 357, + 577 + ], + "score": 1.0, + "content": "Problem setup Following [6], we assume multiple datasets", + "type": "text" + }, + { + "bbox": [ + 357, + 561, + 442, + 575 + ], + "score": 0.94, + "content": "D ^ { d } = \\{ ( \\boldsymbol { x } _ { i } ^ { d } , \\boldsymbol { y } _ { i } ^ { d } ) \\} _ { i = 1 } ^ { n _ { d } }", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 559, + 507, + 577 + ], + "score": 1.0, + "content": "collected from", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 573, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 213, + 587 + ], + "score": 1.0, + "content": "several different domains", + "type": "text" + }, + { + "bbox": [ + 214, + 574, + 285, + 587 + ], + "score": 0.93, + "content": "d \\in \\{ 1 , \\cdots , d _ { t r } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 573, + 342, + 587 + ], + "score": 1.0, + "content": ". 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In the rest of this paper, optimizing the predictor with eq. 1 is called ERM. In a real application,", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 73, + 507, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 507, + 86 + ], + "score": 1.0, + "content": "the model will be deployed after training and expected to classify the data in an online manner.", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 507, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 350, + 96 + ], + "score": 1.0, + "content": "For benchmarking the algorithm, given a dataset containing", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 350, + 85, + 362, + 95 + ], + "score": 0.85, + "content": "n _ { d }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 363, + 83, + 507, + 96 + ], + "score": 1.0, + "content": "domains, we usually use the leave-", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 108 + ], + "score": 1.0, + "content": "one-domain-out procedure, which uses a single domain as a test domain and the others as training", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 105, + 440, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 251, + 118 + ], + "score": 1.0, + "content": "domains. The procedure is repeated", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 252, + 107, + 263, + 117 + ], + "score": 0.86, + "content": "n _ { d }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 264, + 105, + 440, + 118 + ], + "score": 1.0, + "content": "times, changing the test domain every time.", + "type": "text", + "cross_page": true + } + ], + "index": 3 + } + ], + "index": 51.5, + "bbox_fs": [ + 105, + 699, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 117 + ], + "lines": [ + { + "bbox": [ + 105, + 73, + 507, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 507, + 86 + ], + "score": 1.0, + "content": "the model will be deployed after training and expected to classify the data in an online manner.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 507, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 350, + 96 + ], + "score": 1.0, + "content": "For benchmarking the algorithm, given a dataset containing", + "type": "text" + }, + { + "bbox": [ + 350, + 85, + 362, + 95 + ], + "score": 0.85, + "content": "n _ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 83, + 507, + 96 + ], + "score": 1.0, + "content": "domains, we usually use the leave-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 108 + ], + "score": 1.0, + "content": "one-domain-out procedure, which uses a single domain as a test domain and the others as training", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 105, + 440, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 251, + 118 + ], + "score": 1.0, + "content": "domains. The procedure is repeated", + "type": "text" + }, + { + "bbox": [ + 252, + 107, + 263, + 117 + ], + "score": 0.86, + "content": "n _ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 105, + 440, + 118 + ], + "score": 1.0, + "content": "times, changing the test domain every time.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 107, + 128, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 106, + 128, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 505, + 141 + ], + "score": 1.0, + "content": "Algorithms A central branch of DG algorithm is domain-invariant feature learning, which explicitly", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 139, + 506, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 152 + ], + "score": 1.0, + "content": "reduces the domain gaps on a space of latent representations. For example, [14] proposed domain-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 150, + 507, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 507, + 162 + ], + "score": 1.0, + "content": "adversarial networks (DANN) which measure the domain gaps via an external domain classifier.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 161, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 506, + 173 + ], + "score": 1.0, + "content": "CORAL [45] align the second-order statistics of representations among different domains. [29] uses", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 505, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 505, + 184 + ], + "score": 1.0, + "content": "maximum mean discrepancy (MMD) to measure the domain gap. Many extension have been proposed", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 183, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 506, + 195 + ], + "score": 1.0, + "content": "[33, 1, 21], but they are all the same in that they enhance domain invariance. Another branch are", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 194, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 505, + 206 + ], + "score": 1.0, + "content": "meta-learning-based methods [28, 4, 31], which divide the available domains into meta-train-domains", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 205, + 504, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 504, + 216 + ], + "score": 1.0, + "content": "and meta-test-domain and regulate the model trained in meta-train-domains to be useful for the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 215, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 505, + 228 + ], + "score": 1.0, + "content": "meta-test-domain. Invariant risks minimization [3] regularizes ERM with a gradient normalization", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "score": 1.0, + "content": "penalty over a dummy classifier. Several studies propose to augment the data using mixup [59]", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 237, + 496, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 496, + 249 + ], + "score": 1.0, + "content": "between two source domains, which implicitly enhances invariance to domain shifts [56, 58, 53].", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 260, + 505, + 326 + ], + "lines": [ + { + "bbox": [ + 106, + 259, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 272 + ], + "score": 1.0, + "content": "Key differences As briefly mentioned above, existing domain generalization algorithms focus", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 272, + 505, + 283 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 505, + 283 + ], + "score": 1.0, + "content": "on the training phase; how to regularize the predictor using the knowledge from multiple source", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "domains. 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Note that proposed method works fully online; It", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 302, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 317 + ], + "score": 1.0, + "content": "does not require access to offline unlabeled data, and therefore can be compared fairly with existing", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 315, + 160, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 160, + 325 + ], + "score": 1.0, + "content": "DG methods", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5 + }, + { + "type": "title", + "bbox": [ + 108, + 338, + 217, + 350 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 218, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 218, + 352 + ], + "score": 1.0, + "content": "2.2 Other Related Work", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 358, + 505, + 414 + ], + "lines": [ + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "score": 1.0, + "content": "Unsupervised domain adaptation. Our work is related to unsupervised domain adaptation (UDA)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 369, + 506, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 506, + 383 + ], + "score": 1.0, + "content": "[37, 38, 55] as both methods aim to adapt a model given unsupervised data. However, our work", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 380, + 506, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 394 + ], + "score": 1.0, + "content": "primarily differs from UDA in that UDA focuses on adapting during training, while we focus on", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "score": 1.0, + "content": "adapting during testing. In other words, UDA assumes we can access labeled data from the source", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 402, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 505, + 414 + ], + "score": 1.0, + "content": "domain and (unlabeled) data from the target domain at the same time, which is not always possible.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 425, + 505, + 491 + ], + "lines": [ + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "score": 1.0, + "content": "Source-free domain adaptation. Among them, recent “source-free” setups are particularly similar", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "to our setting [30, 25, 34]. In these setups, source data is not needed during the adaptation phase, and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 447, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 505, + 459 + ], + "score": 1.0, + "content": "the model is adapted using the unlabeled data solely from the target domain. However, this adaptation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 458, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 505, + 470 + ], + "score": 1.0, + "content": "is usually made in an offline manner, i.e., these source-free methods optimize offline with multiple", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 469, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 469, + 505, + 480 + ], + "score": 1.0, + "content": "losses for multiple epochs. Our method adjusts the classifier in an online-manner, and therefore is", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 480, + 484, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 484, + 491 + ], + "score": 1.0, + "content": "suitable for a domain generalization setup where the trained model is assumed to be deployed.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 107, + 502, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "score": 1.0, + "content": "Test-time adaptation. Regarding the problem setup, our work is most closely related to test-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "score": 1.0, + "content": "time adaptation [52] or test-time training [46]. Notably, [52] proposes fully test-time adaptation,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 523, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 506, + 537 + ], + "score": 1.0, + "content": "which modulates the BN parameter by minimizing the prediction entropy using stochastic gradient", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "descent. The concept of test-time adaptation is very similar to our work and can be used in domain", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 545, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 506, + 560 + ], + "score": 1.0, + "content": "generalization, however, it has not been fully investigated under the domain generalization setup.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 558, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 506, + 570 + ], + "score": 1.0, + "content": "Moreover, recent architectures do not employ batch normalization either on pre-training (mainly to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "score": 1.0, + "content": "avoid the large memory usage required by BN) or fine-tuning phase (for improving performance).", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "Besides, minimizing the prediction entropy using SGD could lead to trivial solutions, such as being", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 590, + 505, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 590, + 505, + 602 + ], + "score": 1.0, + "content": "biased to predict only a particular class. In comparison, (1) our method can be used together with any", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "classification models since it only adjusts the linear classifier on the top of the representations, (2)", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 612, + 444, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 444, + 624 + ], + "score": 1.0, + "content": "our method alleviates catastrophic forgetting due to not using SGD during test-time.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 647 + ], + "score": 1.0, + "content": "Prototypical networks. Before deep learning become popular, the prototype-based classifier is", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "well-investigated in the context of semi-supervised learning [10], continual learning [35, 39], and", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "few-shot learning [44]. Our work is most similar to prototypical networks [44], which combine", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "prototypical classifier and deep neural networks as with our method. However, the use-cases", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "mentioned above of prototypical networks assume access to a few labeled data from the same domain,", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "which differs in our case. To handle the difference, we combine prototypical networks with pseudo-", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "labeling techniques, which are often used in domain transfer literature [42]. Besides, connection to", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 711, + 376, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 376, + 724 + ], + "score": 1.0, + "content": "entropy minimization is a new perspective introduced in this paper.", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 47.5 + } + ], + "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": [ + 107, + 73, + 505, + 117 + ], + "lines": [], + "index": 1.5, + "bbox_fs": [ + 105, + 73, + 507, + 118 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 128, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 106, + 128, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 505, + 141 + ], + "score": 1.0, + "content": "Algorithms A central branch of DG algorithm is domain-invariant feature learning, which explicitly", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 139, + 506, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 152 + ], + "score": 1.0, + "content": "reduces the domain gaps on a space of latent representations. For example, [14] proposed domain-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 150, + 507, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 507, + 162 + ], + "score": 1.0, + "content": "adversarial networks (DANN) which measure the domain gaps via an external domain classifier.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 161, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 506, + 173 + ], + "score": 1.0, + "content": "CORAL [45] align the second-order statistics of representations among different domains. [29] uses", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 505, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 505, + 184 + ], + "score": 1.0, + "content": "maximum mean discrepancy (MMD) to measure the domain gap. Many extension have been proposed", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 183, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 506, + 195 + ], + "score": 1.0, + "content": "[33, 1, 21], but they are all the same in that they enhance domain invariance. Another branch are", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 194, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 505, + 206 + ], + "score": 1.0, + "content": "meta-learning-based methods [28, 4, 31], which divide the available domains into meta-train-domains", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 205, + 504, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 504, + 216 + ], + "score": 1.0, + "content": "and meta-test-domain and regulate the model trained in meta-train-domains to be useful for the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 215, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 505, + 228 + ], + "score": 1.0, + "content": "meta-test-domain. Invariant risks minimization [3] regularizes ERM with a gradient normalization", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "score": 1.0, + "content": "penalty over a dummy classifier. Several studies propose to augment the data using mixup [59]", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 237, + 496, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 496, + 249 + ], + "score": 1.0, + "content": "between two source domains, which implicitly enhances invariance to domain shifts [56, 58, 53].", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 128, + 507, + 249 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 260, + 505, + 326 + ], + "lines": [ + { + "bbox": [ + 106, + 259, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 272 + ], + "score": 1.0, + "content": "Key differences As briefly mentioned above, existing domain generalization algorithms focus", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 272, + 505, + 283 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 505, + 283 + ], + "score": 1.0, + "content": "on the training phase; how to regularize the predictor using the knowledge from multiple source", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "domains. 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Note that proposed method works fully online; It", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 302, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 317 + ], + "score": 1.0, + "content": "does not require access to offline unlabeled data, and therefore can be compared fairly with existing", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 315, + 160, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 160, + 325 + ], + "score": 1.0, + "content": "DG methods", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 259, + 506, + 325 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 338, + 217, + 350 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 218, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 218, + 352 + ], + "score": 1.0, + "content": "2.2 Other Related Work", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 358, + 505, + 414 + ], + "lines": [ + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "score": 1.0, + "content": "Unsupervised domain adaptation. Our work is related to unsupervised domain adaptation (UDA)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 369, + 506, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 506, + 383 + ], + "score": 1.0, + "content": "[37, 38, 55] as both methods aim to adapt a model given unsupervised data. However, our work", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 380, + 506, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 394 + ], + "score": 1.0, + "content": "primarily differs from UDA in that UDA focuses on adapting during training, while we focus on", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "score": 1.0, + "content": "adapting during testing. 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Our method adjusts the classifier in an online-manner, and therefore is", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 480, + 484, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 484, + 491 + ], + "score": 1.0, + "content": "suitable for a domain generalization setup where the trained model is assumed to be deployed.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 425, + 506, + 491 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 502, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "score": 1.0, + "content": "Test-time adaptation. Regarding the problem setup, our work is most closely related to test-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "score": 1.0, + "content": "time adaptation [52] or test-time training [46]. Notably, [52] proposes fully test-time adaptation,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 523, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 506, + 537 + ], + "score": 1.0, + "content": "which modulates the BN parameter by minimizing the prediction entropy using stochastic gradient", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "descent. The concept of test-time adaptation is very similar to our work and can be used in domain", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 545, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 506, + 560 + ], + "score": 1.0, + "content": "generalization, however, it has not been fully investigated under the domain generalization setup.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 558, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 506, + 570 + ], + "score": 1.0, + "content": "Moreover, recent architectures do not employ batch normalization either on pre-training (mainly to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "score": 1.0, + "content": "avoid the large memory usage required by BN) or fine-tuning phase (for improving performance).", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "Besides, minimizing the prediction entropy using SGD could lead to trivial solutions, such as being", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 590, + 505, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 590, + 505, + 602 + ], + "score": 1.0, + "content": "biased to predict only a particular class. In comparison, (1) our method can be used together with any", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "classification models since it only adjusts the linear classifier on the top of the representations, (2)", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 612, + 444, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 444, + 624 + ], + "score": 1.0, + "content": "our method alleviates catastrophic forgetting due to not using SGD during test-time.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 503, + 506, + 624 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 647 + ], + "score": 1.0, + "content": "Prototypical networks. 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Predict based on the distance between the adjusted template.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 123, + 192, + 350, + 205 + ], + "spans": [ + { + "bbox": [ + 123, + 192, + 192, + 205 + ], + "score": 1.0, + "content": "return arg max", + "type": "text" + }, + { + "bbox": [ + 192, + 192, + 263, + 205 + ], + "score": 0.92, + "content": "\\gamma ( Y = y _ { k } | f _ { \\pmb \\theta } ( \\pmb x ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 192, + 292, + 205 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 293, + 192, + 319, + 203 + ], + "score": 0.89, + "content": "\\pmb { x } \\in \\mathbb { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 192, + 350, + 205 + ], + "score": 1.0, + "content": "(eq. 4)", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5.5 + }, + { + "type": "title", + "bbox": [ + 103, + 226, + 483, + 241 + ], + "lines": [ + { + "bbox": [ + 103, + 226, + 486, + 244 + ], + "spans": [ + { + "bbox": [ + 103, + 226, + 486, + 244 + ], + "score": 1.0, + "content": "3 Proposal: Optimization-Free Test-Time Classifier Adjustment Module", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 251, + 506, + 307 + ], + "lines": [ + { + "bbox": [ + 106, + 252, + 506, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 506, + 264 + ], + "score": 1.0, + "content": "We propose to replace the output layer of the predictor trained on source-domains (i.e., linear classifier)", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 262, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 104, + 262, + 506, + 277 + ], + "score": 1.0, + "content": "to a pseudo-prototypical classifier, whose prototype features are adjusted during test time while fixing", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 274, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 274, + 505, + 286 + ], + "score": 1.0, + "content": "the features already trained on the source domains. 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We call our method T3A, for Test-Time Templates", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 284, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 298 + ], + "score": 1.0, + "content": "Adjuster. We first explain the detailed algorithm (Section 3.1), and explain how and why it works", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 295, + 308, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 308, + 308 + ], + "score": 1.0, + "content": "(Section 3.2). Algorithm 1 outlines the procedure.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14, + "bbox_fs": [ + 104, + 252, + 506, + 308 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 319, + 175, + 331 + ], + "lines": [ + { + "bbox": [ + 105, + 318, + 176, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 176, + 334 + ], + "score": 1.0, + "content": "3.1 Algorithm", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 339, + 505, + 406 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 507, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 507, + 354 + ], + "score": 1.0, + "content": "We assume the predictor is deep neural networks (DNN) obtained by some learning algorithm (e.g.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "ERM, DANN, CORAL, etc.) using data from source domains. 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For new data", + "type": "text" + }, + { + "bbox": [ + 297, + 385, + 305, + 393 + ], + "score": 0.78, + "content": "_ { \\textbf { \\em x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 383, + 506, + 397 + ], + "score": 1.0, + "content": ", the prediction is given by taking the argmax over", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 395, + 316, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 316, + 406 + ], + "score": 1.0, + "content": "the following approximated probability distribution:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 338, + 507, + 406 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 206, + 411, + 405, + 441 + ], + "lines": [ + { + "bbox": [ + 206, + 411, + 405, + 441 + ], + "spans": [ + { + "bbox": [ + 206, + 411, + 405, + 441 + ], + "score": 0.93, + "content": "\\operatorname * { a r g m a x } _ { y _ { k } } q _ { \\omega } ( Y = y _ { k } | f _ { \\pmb \\theta } ( \\pmb x ) ) = \\frac { \\exp ( \\pmb z \\cdot \\pmb \\omega ^ { k } ) } { \\sum _ { j } \\exp ( \\pmb z \\cdot \\pmb \\omega ^ { j } ) } ,", + "type": "interline_equation", + "image_path": "c3012b5ac4ac67f558c522eb00bc9052555c5a935812e5e9cb06d00539cdeae9.jpg" + } + ] + } + ], + "index": 24.5, + "virtual_lines": [ + { + "bbox": [ + 206, + 411, + 405, + 426.0 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 206, + 426.0, + 405, + 441.0 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 445, + 505, + 503 + ], + "lines": [ + { + "bbox": [ + 105, + 445, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 134, + 459 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 446, + 239, + 459 + ], + "score": 0.36, + "content": "z = f _ { \\theta } ( \\pmb { x } ) , \\pmb { \\omega } ^ { k } \\in \\mathbb { R } ^ { z _ { d i m } }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 445, + 267, + 459 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 267, + 447, + 274, + 456 + ], + "score": 0.82, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 445, + 426, + 459 + ], + "score": 1.0, + "content": "-th element of the weights matrix in", + "type": "text" + }, + { + "bbox": [ + 426, + 448, + 435, + 457 + ], + "score": 0.76, + "content": "\\omega", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 445, + 457, + 459 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 458, + 448, + 478, + 458 + ], + "score": 0.89, + "content": "z _ { d i m }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 445, + 506, + 459 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 457, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 163, + 471 + ], + "score": 1.0, + "content": "dimension of", + "type": "text" + }, + { + "bbox": [ + 164, + 460, + 171, + 469 + ], + "score": 0.77, + "content": "_ z", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 457, + 340, + 471 + ], + "score": 1.0, + "content": ", which depends on the feature extractor", + "type": "text" + }, + { + "bbox": [ + 340, + 459, + 351, + 470 + ], + "score": 0.88, + "content": "f _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 457, + 434, + 471 + ], + "score": 1.0, + "content": ". 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(a) Comparing the entropy of predictions (with ResNet50) on", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 205, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 505, + 218 + ], + "score": 1.0, + "content": "the source domains and the target domain. The domain shift increases entropy. (b) T3A effectively", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 216, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 505, + 229 + ], + "score": 1.0, + "content": "reduces entropy. (c) Transferability of each components of the model trained by ERM in each dataset.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 248, + 505, + 318 + ], + "lines": [ + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "Note that, this procedure will be repeated each time new data arrives, without discarding the support", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 258, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 272 + ], + "score": 1.0, + "content": "sets, which may make infeasible to retain all past data as in eq. 3. Also, some pseudo-labels are", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "assigned to the wrong class, and using this data is not desirable as it adds noise to the templates", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 281, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 452, + 296 + ], + "score": 1.0, + "content": "and may deteriorate performance. To avoid this issue, we use the prediction entropy", + "type": "text" + }, + { + "bbox": [ + 453, + 281, + 505, + 295 + ], + "score": 0.93, + "content": "H _ { \\omega } ( \\hat { Y } | z ) =", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 294, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 268, + 308 + ], + "score": 0.91, + "content": "\\begin{array} { r } { - \\sum _ { k } q _ { \\omega } ( \\hat { Y } = y ^ { k } | z ) \\log q _ { \\omega } ( \\hat { Y } = y ^ { k } | z ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 294, + 506, + 309 + ], + "score": 1.0, + "content": "to filter unreliable pseudo-labeled data. 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As prior works suggest [52], the predic-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "score": 1.0, + "content": "tion entropy is often related to an error, as more confident predictions tend to be more correct. Figure", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "1-a shows that the prediction entropy also characterizes the difficulty in DG setup; entropy in the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 420, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 505, + 432 + ], + "score": 1.0, + "content": "unseen domain tends to be greater than entropy in the seen domains. To be more specific, we first", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "trained ResNet50 on the source domain by ERM. The training was done in leave-one-domain-out", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 442, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 453 + ], + "score": 1.0, + "content": "manner, and we conducted three experiments with a different seed each time. 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We used the implementation of DomainBed [17], and used the default hyper-parameters for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 487 + ], + "score": 1.0, + "content": "pre-training on source-domains and fine-tuning on a target domain: namely, we use Adam [23] with", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 484, + 504, + 499 + ], + "spans": [ + { + "bbox": [ + 104, + 484, + 504, + 499 + ], + "score": 1.0, + "content": "a learning rate of 5e-5 for optimization and use a batch size of 32 with no dropout or weight decay.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 505, + 600 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 507, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 507, + 515 + ], + "score": 1.0, + "content": "With this in mind, existing studies have modified the model parameters to explicitly reduce entropy.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 511, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 525 + ], + "score": 1.0, + "content": "Although the proposed method does not explicitly reduce entropy, it has the effect of implicitly", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "reducing it. This is because the proposed method uses a template updated with samples from the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 534, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 506, + 547 + ], + "score": 1.0, + "content": "target distribution, which provides a decision boundary that avoids the dense parts of the target", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "score": 1.0, + "content": "distribution. Figure 1-b compares the prediction entropy on the target domain among (a) ERM", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 553, + 507, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 507, + 570 + ], + "score": 1.0, + "content": "without test-time modulation, (b) T3A, (c) Tent-C, which updates the classifier to minimize entropy.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 565, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 580 + ], + "score": 1.0, + "content": "The results show that T3A can effectively reduce entropy without using online optimization. Note", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 576, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 506, + 591 + ], + "score": 1.0, + "content": "that changing a hyper-parameter (such as learning rate) might change the results for Tent-C, but it", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 589, + 428, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 428, + 601 + ], + "score": 1.0, + "content": "may corrupt the entire classifier. See Section 4 for the hyperparameter selection.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 611, + 505, + 677 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 507, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 507, + 624 + ], + "score": 1.0, + "content": "Remark 2: T3A is computationally light. Unlike Tent, our method does not use SGD. 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The only computational overhead is the cost of one forward propagation of the last linear", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 645, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 656 + ], + "score": 1.0, + "content": "layer, which is usually negligible compared to the forward and back propagation of feature extractors.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "Since it is not desirable to reduce throughput when considering online prediction, the proposed", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 667, + 272, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 272, + 678 + ], + "score": 1.0, + "content": "method is suitable in this respect as well.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 469, + 702 + ], + "score": 1.0, + "content": "Remark 3: Adjusting the linear classifier can significantly improve performance.", + "type": "text" + }, + { + "bbox": [ + 477, + 690, + 505, + 700 + ], + "score": 1.0, + "content": "Some", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "readers may wonder how effective it is to modify only the linear classifier while freezing the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 711, + 506, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 725 + ], + "score": 1.0, + "content": "representation. 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(a) Comparing the entropy of predictions (with ResNet50) on", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 205, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 505, + 218 + ], + "score": 1.0, + "content": "the source domains and the target domain. The domain shift increases entropy. (b) T3A effectively", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 216, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 505, + 229 + ], + "score": 1.0, + "content": "reduces entropy. (c) Transferability of each components of the model trained by ERM in each dataset.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 248, + 505, + 318 + ], + "lines": [ + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "Note that, this procedure will be repeated each time new data arrives, without discarding the support", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 258, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 272 + ], + "score": 1.0, + "content": "sets, which may make infeasible to retain all past data as in eq. 3. Also, some pseudo-labels are", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "assigned to the wrong class, and using this data is not desirable as it adds noise to the templates", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 281, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 452, + 296 + ], + "score": 1.0, + "content": "and may deteriorate performance. To avoid this issue, we use the prediction entropy", + "type": "text" + }, + { + "bbox": [ + 453, + 281, + 505, + 295 + ], + "score": 0.93, + "content": "H _ { \\omega } ( \\hat { Y } | z ) =", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 294, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 268, + 308 + ], + "score": 0.91, + "content": "\\begin{array} { r } { - \\sum _ { k } q _ { \\omega } ( \\hat { Y } = y ^ { k } | z ) \\log q _ { \\omega } ( \\hat { Y } = y ^ { k } | z ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 294, + 506, + 309 + ], + "score": 1.0, + "content": "to filter unreliable pseudo-labeled data. Specifically, before", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 306, + 444, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 306, + 444, + 320 + ], + "score": 1.0, + "content": "making a prediction using eq. 4, only a part of the support set is restored as follows:", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 248, + 506, + 320 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 231, + 322, + 379, + 338 + ], + "lines": [ + { + "bbox": [ + 231, + 322, + 379, + 338 + ], + "spans": [ + { + "bbox": [ + 231, + 322, + 379, + 338 + ], + "score": 0.93, + "content": "\\mathbb { S } _ { t } ^ { k } = \\{ z \\mid z \\in \\mathbb { S } _ { t } ^ { k } , H _ { \\omega } ( \\hat { Y } | z ) \\leq \\alpha ^ { k } \\} ,", + "type": "interline_equation", + "image_path": "b9a2817f1956b2194d4b4c8d6069c3ce98b0e9fbd5c0973f9ff0494f3d04d196.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 231, + 322, + 379, + 338 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 342, + 443, + 354 + ], + "lines": [ + { + "bbox": [ + 105, + 339, + 445, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 133, + 357 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 342, + 145, + 352 + ], + "score": 0.88, + "content": "\\alpha ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 339, + 170, + 357 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 171, + 343, + 182, + 352 + ], + "score": 0.83, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 339, + 327, + 357 + ], + "score": 1.0, + "content": "-th largest entropy of the support set", + "type": "text" + }, + { + "bbox": [ + 328, + 342, + 339, + 354 + ], + "score": 0.87, + "content": "\\mathbb { S } _ { t } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 339, + 344, + 357 + ], + "score": 0.0, + "content": "", + "type": "text" + }, + { + "bbox": [ + 345, + 342, + 356, + 352 + ], + "score": 0.77, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 339, + 445, + 357 + ], + "score": 1.0, + "content": "is a hyperparameter).", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 339, + 445, + 357 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 366, + 169, + 378 + ], + "lines": [ + { + "bbox": [ + 105, + 365, + 170, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 170, + 379 + ], + "score": 1.0, + "content": "3.2 Remarks", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 386, + 505, + 496 + ], + "lines": [ + { + "bbox": [ + 106, + 387, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 506, + 399 + ], + "score": 1.0, + "content": "Remark 1: T3A implicitly reduces prediction entropy. As prior works suggest [52], the predic-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "score": 1.0, + "content": "tion entropy is often related to an error, as more confident predictions tend to be more correct. Figure", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "1-a shows that the prediction entropy also characterizes the difficulty in DG setup; entropy in the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 420, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 505, + 432 + ], + "score": 1.0, + "content": "unseen domain tends to be greater than entropy in the seen domains. To be more specific, we first", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "trained ResNet50 on the source domain by ERM. The training was done in leave-one-domain-out", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 442, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 453 + ], + "score": 1.0, + "content": "manner, and we conducted three experiments with a different seed each time. We used four standard", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 451, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 506, + 465 + ], + "score": 1.0, + "content": "datasets in domain generalization (VLCS [12], PACS [27], OfficeHome [50], and TerraIncognita", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 464, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 505, + 475 + ], + "score": 1.0, + "content": "[5]). We used the implementation of DomainBed [17], and used the default hyper-parameters for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 487 + ], + "score": 1.0, + "content": "pre-training on source-domains and fine-tuning on a target domain: namely, we use Adam [23] with", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 484, + 504, + 499 + ], + "spans": [ + { + "bbox": [ + 104, + 484, + 504, + 499 + ], + "score": 1.0, + "content": "a learning rate of 5e-5 for optimization and use a batch size of 32 with no dropout or weight decay.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 19.5, + "bbox_fs": [ + 104, + 387, + 506, + 499 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 505, + 600 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 507, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 507, + 515 + ], + "score": 1.0, + "content": "With this in mind, existing studies have modified the model parameters to explicitly reduce entropy.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 511, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 525 + ], + "score": 1.0, + "content": "Although the proposed method does not explicitly reduce entropy, it has the effect of implicitly", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "reducing it. This is because the proposed method uses a template updated with samples from the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 534, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 506, + 547 + ], + "score": 1.0, + "content": "target distribution, which provides a decision boundary that avoids the dense parts of the target", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "score": 1.0, + "content": "distribution. Figure 1-b compares the prediction entropy on the target domain among (a) ERM", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 553, + 507, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 507, + 570 + ], + "score": 1.0, + "content": "without test-time modulation, (b) T3A, (c) Tent-C, which updates the classifier to minimize entropy.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 565, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 580 + ], + "score": 1.0, + "content": "The results show that T3A can effectively reduce entropy without using online optimization. Note", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 576, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 506, + 591 + ], + "score": 1.0, + "content": "that changing a hyper-parameter (such as learning rate) might change the results for Tent-C, but it", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 589, + 428, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 428, + 601 + ], + "score": 1.0, + "content": "may corrupt the entire classifier. See Section 4 for the hyperparameter selection.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 500, + 507, + 601 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 611, + 505, + 677 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 507, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 507, + 624 + ], + "score": 1.0, + "content": "Remark 2: T3A is computationally light. Unlike Tent, our method does not use SGD. Besides,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 623, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 505, + 635 + ], + "score": 1.0, + "content": "the representations are fixed, and it is not necessary to repeat the forward propagation of the feature", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "extractor. The only computational overhead is the cost of one forward propagation of the last linear", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 645, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 656 + ], + "score": 1.0, + "content": "layer, which is usually negligible compared to the forward and back propagation of feature extractors.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "Since it is not desirable to reduce throughput when considering online prediction, the proposed", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 667, + 272, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 272, + 678 + ], + "score": 1.0, + "content": "method is suitable in this respect as well.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 610, + 507, + 678 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 469, + 702 + ], + "score": 1.0, + "content": "Remark 3: Adjusting the linear classifier can significantly improve performance.", + "type": "text" + }, + { + "bbox": [ + 477, + 690, + 505, + 700 + ], + "score": 1.0, + "content": "Some", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "readers may wonder how effective it is to modify only the linear classifier while freezing the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 711, + 506, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 725 + ], + "score": 1.0, + "content": "representation. 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Each block corresponds to a different dataset, and each color represents a", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "different fine-tuning strategy. The results show that fine-tuning only the classifier often significantly", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "improves performance. For example, in VLCS, the average performance score jumps from 72.5 to", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "82.9, which is close to the 84.7 obtained when the entire network is fine-tuned. The performance", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 506, + 140 + ], + "score": 1.0, + "content": "gain differs for each dataset, but the tendency is generally the same. In addition, this tendency was", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 138, + 504, + 150 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 504, + 150 + ], + "score": 1.0, + "content": "the same for other backbone networks including BiT, ViT, and Mixer (see Appendix B). These results", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 148, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 506, + 162 + ], + "score": 1.0, + "content": "indicate that adjusting only the linear classifier can significantly improve performance in various", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "score": 1.0, + "content": "configurations. 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Each block corresponds to a different dataset, and each color represents a", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "different fine-tuning strategy. The results show that fine-tuning only the classifier often significantly", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "improves performance. For example, in VLCS, the average performance score jumps from 72.5 to", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "82.9, which is close to the 84.7 obtained when the entire network is fine-tuned. 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These results", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 148, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 506, + 162 + ], + "score": 1.0, + "content": "indicate that adjusting only the linear classifier can significantly improve performance in various", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 505, + 172 + ], + "score": 1.0, + "content": "configurations. Note that the number of parameters of the linear layer is much smaller than those of", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 170, + 326, + 183 + ], + "spans": [ + { + "bbox": [ + 106, + 170, + 326, + 183 + ], + "score": 1.0, + "content": "the feature extractor in standard network architectures.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 4.5 + }, + { + "type": "title", + "bbox": [ + 107, + 198, + 186, + 211 + ], + "lines": [ + { + "bbox": [ + 104, + 195, + 189, + 215 + ], + "spans": [ + { + "bbox": [ + 104, + 195, + 189, + 215 + ], + "score": 1.0, + "content": "4 Experiment", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 222, + 505, + 299 + ], + "lines": [ + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "score": 1.0, + "content": "We evaluate T3A on four standard domain generalization benchmarks, namely VLCS [12], PACS", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 234, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 505, + 246 + ], + "score": 1.0, + "content": "[27], OfficeHome [50], and TerraIncognita [5]. Our implementation uses the DomainBed library", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 243, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 244, + 128, + 256 + ], + "score": 0.29, + "content": "[ 1 7 ] ^ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 243, + 480, + 257 + ], + "score": 1.0, + "content": ". We modify DomainBed (1) to use various backbone networks using the timm library", + "type": "text" + }, + { + "bbox": [ + 481, + 244, + 502, + 256 + ], + "score": 0.29, + "content": "[ 5 4 ] ^ { \\bar { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 243, + 506, + 257 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "score": 1.0, + "content": "and (2) to implement test-time adaptation algorithms (ours and Tent). 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See Appendix A for more information, including", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 289, + 314, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 314, + 301 + ], + "score": 1.0, + "content": "licensing information and total amount of compute.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 107, + 312, + 505, + 378 + ], + "lines": [ + { + "bbox": [ + 106, + 311, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 357, + 324 + ], + "score": 1.0, + "content": "Datasets. VLCS [12] comprises four photographic datasets", + "type": "text" + }, + { + "bbox": [ + 357, + 312, + 374, + 323 + ], + "score": 0.57, + "content": "d \\in", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 311, + 506, + 324 + ], + "score": 1.0, + "content": "{Caltech101[13], LabelMe[40],", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 322, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 506, + 335 + ], + "score": 1.0, + "content": "SUN09[7], VOC2007[11]}, containing 10, 729 examples of 5 classes. PCAS [27] comprises four", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 333, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 142, + 346 + ], + "score": 1.0, + "content": "domains", + "type": "text" + }, + { + "bbox": [ + 142, + 334, + 177, + 345 + ], + "score": 0.74, + "content": "d \\in \\{ \\mathrm { a r t } ", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 333, + 282, + 346 + ], + "score": 1.0, + "content": ", cartoons, photos, sketche", + "type": "text" + }, + { + "bbox": [ + 283, + 334, + 289, + 345 + ], + "score": 0.27, + "content": "\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 333, + 505, + 346 + ], + "score": 1.0, + "content": ", containing 9, 991 examples of 7 classes. 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Following", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 366, + 501, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 208, + 379 + ], + "score": 1.0, + "content": "[17], we used datasets of", + "type": "text" + }, + { + "bbox": [ + 208, + 366, + 318, + 378 + ], + "score": 0.91, + "content": "d \\in \\{ \\mathrm { L 1 0 0 , L 3 8 , L 4 3 , L 4 6 } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 366, + 501, + 379 + ], + "score": 1.0, + "content": ", containing 24, 788 examples and 10 classes.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 389, + 505, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 198, + 401 + ], + "score": 1.0, + "content": "Backbone networks.", + "type": "text" + }, + { + "bbox": [ + 211, + 389, + 505, + 402 + ], + "score": 1.0, + "content": "For the main experiments, we use residual networks with 50 layers", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 400, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 505, + 414 + ], + "score": 1.0, + "content": "(ResNet50), which was the default setting of the prior studies. 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These results include the following algorithms: Empirical Risk Minimization (ERM), Group", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 500, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 506, + 514 + ], + "score": 1.0, + "content": "Distributionally Robust Optimization (GroupDRO) [41], Inter-domain Mixup (Mixup) [56, 58, 53],", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "Meta-Learning for Domain Generalization (MLDG) [28], DomainAdversarial Neural Networks", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "(DANN) [15], Class-conditional DANN (C-DANN) [32], Deep CORrelation ALignment (CORAL)", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "score": 1.0, + "content": "[45], Maximum Mean Discrepancy (MMD) [29], Invariant Risk Minimization (IRM) [3], Adaptive", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 543, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 104, + 543, + 506, + 558 + ], + "score": 1.0, + "content": "Risk Minimization (ARM) [60], Marginal Transfer Learning (MTL) [6] Style-Agnostic Networks", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 555, + 365, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 555, + 365, + 568 + ], + "score": 1.0, + "content": "(SagNet) [36], and Representation Self Challenging (RSC) [20].", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 571, + 506, + 681 + ], + "lines": [ + { + "bbox": [ + 105, + 570, + 506, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 506, + 584 + ], + "score": 1.0, + "content": "We also compared our method with existing test-time adaptation methods. Note that we can not", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 582, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 506, + 595 + ], + "score": 1.0, + "content": "simply use BN-based methods (including Tent [52], which is the most up-to-date method) on the DG", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 593, + 507, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 507, + 606 + ], + "score": 1.0, + "content": "setup because [17] omit the BN layer from pre-trained ResNet when fine-tuning on source domains.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 602, + 507, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 507, + 618 + ], + "score": 1.0, + "content": "Besides, several backbone networks evaluated in our paper do not contain BN from the beginning.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 614, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 627 + ], + "score": 1.0, + "content": "Therefore, we first tested two slightly modified versions of Tent on standard DG setup (Table 1, Table", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 624, + 507, + 640 + ], + "spans": [ + { + "bbox": [ + 104, + 624, + 507, + 640 + ], + "score": 1.0, + "content": "2, and Figure 2). Specifically, Tent-C modulates the entire classifier to reduce prediction entropy.", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 636, + 506, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 506, + 650 + ], + "score": 1.0, + "content": "Tent-BN adds one BN layer just before the linear classifier and then modulates BN’s normalization", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 648, + 505, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 505, + 659 + ], + "score": 1.0, + "content": "and transformation parameters. 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Our implementation uses the DomainBed library", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 243, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 244, + 128, + 256 + ], + "score": 0.29, + "content": "[ 1 7 ] ^ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 243, + 480, + 257 + ], + "score": 1.0, + "content": ". We modify DomainBed (1) to use various backbone networks using the timm library", + "type": "text" + }, + { + "bbox": [ + 481, + 244, + 502, + 256 + ], + "score": 0.29, + "content": "[ 5 4 ] ^ { \\bar { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 243, + 506, + 257 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "score": 1.0, + "content": "and (2) to implement test-time adaptation algorithms (ours and Tent). 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We run our experiments mainly on cloud", + "type": "text" + }, + { + "bbox": [ + 342, + 267, + 375, + 277 + ], + "score": 0.64, + "content": "\\mathrm { V } 1 0 0 \\mathrm { x } 4", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 265, + 386, + 280 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 386, + 267, + 420, + 277 + ], + "score": 0.51, + "content": "\\mathbf { A } 1 0 0 \\mathbf { x } 8", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 265, + 506, + 280 + ], + "score": 1.0, + "content": "instances, depending", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 276, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 290 + ], + "score": 1.0, + "content": "on the memory usage of the backbone networks. See Appendix A for more information, including", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 289, + 314, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 314, + 301 + ], + "score": 1.0, + "content": "licensing information and total amount of compute.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 222, + 506, + 301 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 312, + 505, + 378 + ], + "lines": [ + { + "bbox": [ + 106, + 311, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 357, + 324 + ], + "score": 1.0, + "content": "Datasets. VLCS [12] comprises four photographic datasets", + "type": "text" + }, + { + "bbox": [ + 357, + 312, + 374, + 323 + ], + "score": 0.57, + "content": "d \\in", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 311, + 506, + 324 + ], + "score": 1.0, + "content": "{Caltech101[13], LabelMe[40],", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 322, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 506, + 335 + ], + "score": 1.0, + "content": "SUN09[7], VOC2007[11]}, containing 10, 729 examples of 5 classes. PCAS [27] comprises four", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 333, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 142, + 346 + ], + "score": 1.0, + "content": "domains", + "type": "text" + }, + { + "bbox": [ + 142, + 334, + 177, + 345 + ], + "score": 0.74, + "content": "d \\in \\{ \\mathrm { a r t } ", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 333, + 282, + 346 + ], + "score": 1.0, + "content": ", cartoons, photos, sketche", + "type": "text" + }, + { + "bbox": [ + 283, + 334, + 289, + 345 + ], + "score": 0.27, + "content": "\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 333, + 505, + 346 + ], + "score": 1.0, + "content": ", containing 9, 991 examples of 7 classes. OfficeHome", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 345, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 199, + 357 + ], + "score": 1.0, + "content": "[50] includes domains", + "type": "text" + }, + { + "bbox": [ + 199, + 345, + 222, + 356 + ], + "score": 0.79, + "content": "d \\in \\{", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 345, + 506, + 357 + ], + "score": 1.0, + "content": "{art, clipart, product, real}, containing 15, 588 examples and 65 classes.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 353, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 370 + ], + "score": 1.0, + "content": "TerraIncognita [5] includes photo of wild animals taken by camera at different locations. Following", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 366, + 501, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 208, + 379 + ], + "score": 1.0, + "content": "[17], we used datasets of", + "type": "text" + }, + { + "bbox": [ + 208, + 366, + 318, + 378 + ], + "score": 0.91, + "content": "d \\in \\{ \\mathrm { L 1 0 0 , L 3 8 , L 4 3 , L 4 6 } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 366, + 501, + 379 + ], + "score": 1.0, + "content": ", containing 24, 788 examples and 10 classes.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 311, + 506, + 379 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 389, + 505, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 198, + 401 + ], + "score": 1.0, + "content": "Backbone networks.", + "type": "text" + }, + { + "bbox": [ + 211, + 389, + 505, + 402 + ], + "score": 1.0, + "content": "For the main experiments, we use residual networks with 50 layers", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 400, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 505, + 414 + ], + "score": 1.0, + "content": "(ResNet50), which was the default setting of the prior studies. In addition, we tested our algo-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 411, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 424 + ], + "score": 1.0, + "content": "rithms on 10 different pre-trained models: residual networks with different layers (ResNet18 and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 422, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 506, + 434 + ], + "score": 1.0, + "content": "ResNet50), Big Transfer [24] with different layers (BiT-M-R50x3, BiT-M-R101x3, and BiT-M-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 432, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 141, + 444 + ], + "score": 0.56, + "content": "\\mathbf { R } 1 5 2 \\mathbf { x } 2", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 432, + 506, + 446 + ], + "score": 1.0, + "content": "), Vision Transformers [9] with variations (ViT-B16, ViT-L16, HViT, which uses ResNet50", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 444, + 409, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 409, + 457 + ], + "score": 1.0, + "content": "as patch embedding of ViT, DeiT [48]), and MLP-Mixer (Mixer-L16) [47].", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 389, + 506, + 457 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 467, + 505, + 567 + ], + "lines": [ + { + "bbox": [ + 105, + 466, + 506, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 506, + 481 + ], + "score": 1.0, + "content": "Baselines. We compare our method to domain generalization algorithms and test-time adaptation", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 478, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 505, + 492 + ], + "score": 1.0, + "content": "algorithms. For domain generalization algorithms, we mainly compared with the results reported in", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 487, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 504 + ], + "score": 1.0, + "content": "[17]. These results include the following algorithms: Empirical Risk Minimization (ERM), Group", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 500, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 506, + 514 + ], + "score": 1.0, + "content": "Distributionally Robust Optimization (GroupDRO) [41], Inter-domain Mixup (Mixup) [56, 58, 53],", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "Meta-Learning for Domain Generalization (MLDG) [28], DomainAdversarial Neural Networks", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "(DANN) [15], Class-conditional DANN (C-DANN) [32], Deep CORrelation ALignment (CORAL)", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "score": 1.0, + "content": "[45], Maximum Mean Discrepancy (MMD) [29], Invariant Risk Minimization (IRM) [3], Adaptive", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 543, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 104, + 543, + 506, + 558 + ], + "score": 1.0, + "content": "Risk Minimization (ARM) [60], Marginal Transfer Learning (MTL) [6] Style-Agnostic Networks", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 555, + 365, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 555, + 365, + 568 + ], + "score": 1.0, + "content": "(SagNet) [36], and Representation Self Challenging (RSC) [20].", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34, + "bbox_fs": [ + 104, + 466, + 506, + 568 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 571, + 506, + 681 + ], + "lines": [ + { + "bbox": [ + 105, + 570, + 506, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 506, + 584 + ], + "score": 1.0, + "content": "We also compared our method with existing test-time adaptation methods. Note that we can not", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 582, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 506, + 595 + ], + "score": 1.0, + "content": "simply use BN-based methods (including Tent [52], which is the most up-to-date method) on the DG", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 593, + 507, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 507, + 606 + ], + "score": 1.0, + "content": "setup because [17] omit the BN layer from pre-trained ResNet when fine-tuning on source domains.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 602, + 507, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 507, + 618 + ], + "score": 1.0, + "content": "Besides, several backbone networks evaluated in our paper do not contain BN from the beginning.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 614, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 627 + ], + "score": 1.0, + "content": "Therefore, we first tested two slightly modified versions of Tent on standard DG setup (Table 1, Table", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 624, + 507, + 640 + ], + "spans": [ + { + "bbox": [ + 104, + 624, + 507, + 640 + ], + "score": 1.0, + "content": "2, and Figure 2). Specifically, Tent-C modulates the entire classifier to reduce prediction entropy.", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 636, + 506, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 506, + 650 + ], + "score": 1.0, + "content": "Tent-BN adds one BN layer just before the linear classifier and then modulates BN’s normalization", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 648, + 505, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 505, + 659 + ], + "score": 1.0, + "content": "and transformation parameters. We then compare T3A with other test-time adaptation methods", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 658, + 506, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 506, + 671 + ], + "score": 1.0, + "content": "(including SHOT [34], pseudo labeling (PL) [26], Tent-Full [52], BN-Norm [43]) using ResNet18", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 670, + 383, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 383, + 681 + ], + "score": 1.0, + "content": "and ResNet50 without removing batch normalization layer (Table 3).", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 43.5, + "bbox_fs": [ + 104, + 570, + 507, + 681 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 142, + 115, + 465, + 381 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 77, + 505, + 111 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 78, + 504, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 78, + 504, + 90 + ], + "score": 1.0, + "content": "Table 1: Domain generalization accuracy for all datasets and algorithms. Bold type indicates", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 505, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 318, + 101 + ], + "score": 1.0, + "content": "performance improvement from the base model, and", + "type": "text" + }, + { + "bbox": [ + 318, + 89, + 325, + 98 + ], + "score": 0.26, + "content": "^ *", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 88, + 505, + 101 + ], + "score": 1.0, + "content": "indicates statistical significance in one-sided", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 99, + 341, + 112 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 159, + 112 + ], + "score": 1.0, + "content": "paired t-test", + "type": "text" + }, + { + "bbox": [ + 160, + 100, + 171, + 109 + ], + "score": 0.68, + "content": "^ { \\ast \\ast }", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 99, + 209, + 112 + ], + "score": 1.0, + "content": "indicates", + "type": "text" + }, + { + "bbox": [ + 210, + 100, + 247, + 111 + ], + "score": 0.88, + "content": "p \\leq 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 99, + 296, + 112 + ], + "score": 1.0, + "content": ", * indicates", + "type": "text" + }, + { + "bbox": [ + 296, + 100, + 336, + 111 + ], + "score": 0.88, + "content": "p \\leq 0 . 0 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 99, + 341, + 112 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 142, + 115, + 465, + 381 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 142, + 115, + 465, + 381 + ], + "spans": [ + { + "bbox": [ + 142, + 115, + 465, + 381 + ], + "score": 0.983, + "html": "
AlgorithmVLCSPACSOfficeHomeTerraAvg
ERM77.5 ± 0.485.5 ± 0.266.5 ± 0.346.1 ± 1.869.0
IRM78.5 ± 0.583.5 ± 0.864.3 ± 2.247.6 ± 0.868.5
GroupDRO76.7 ± 0.684.4 ± 0.866.0 ± 0.743.2 ± 1.167.6
Mixup77.4 ± 0.684.6 ± 0.668.1 ± 0.347.9 ± 0.869.5
MLDG77.2 ± 0.484.9 ± 1.066.8 ± 0.647.7 ± 0.969.2
CORAL78.8 ± 0.686.2 ± 0.368.7 ± 0.347.6 ± 1.070.3
MMD77.5 ± 0.984.6 ± 0.566.3 ± 0.142.2 ± 1.667.7
DANN78.6 ± 0.483.6 ± 0.465.9 ± 0.646.7 ± 0.568.7
CDANN77.5 ± 0.182.6 ± 0.965.8 ± 1.345.8 ± 1.667.9
MTL77.2 ± 0.484.6 ± 0.566.4 ± 0.545.6 ± 1.268.5
SagNet77.8 ± 0.586.3 ± 0.268.1 ± 0.148.6 ±1.070.2
ARM77.6 ± 0.385.1 ± 0.464.8 ± 0.345.5 ± 0.368.3
VREx78.3 ± 0.284.9 ± 0.666.4 ± 0.646.4 ± 0.669.0
RSC77.1 ± 0.585.2 ± 0.965.5 ± 0.946.6 ± 1.068.6
ERM†77.7 ± 0.183.6 ± 0.966.4 ± 0.346.5 ± 0.368.6
+T3A (Ours)80.0 ± 0.285.3 ± 0.668.3 ± 0.147.0 ± 0.670.1**
+Tent-BN68.2 ± 0.284.8 ± 0.567.0 ± 0.444.7 ± 0.366.2
+Tent-C77.0 ± 0.482.3 ± 1.265.7 ± 0.245.5 ± 0.467.6
CORAL+78.6 ± 0.584.2 ± 0.368.3 ± 0.169.8
+T3A (Ours)79.5 ± 0.585.6 ± 0.269.2 ± 0.248.1 ± 1.3 47.3 ± 0.770.4*
+Tent-BN71.4 ± 0.785.6 ± 0.269.2 ± 0.246.5 ± 0.568.2
+Tent-C78.1 ± 0.583.7 ± 0.468.2 ± 0.147.8 ± 1.169.5
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It is worth emphasizing that these parameters", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "should be selected before the deployment, i.e., before accessing the test data. We simply selected", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 524, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 538 + ], + "score": 1.0, + "content": "these hyperparameters by the average accuracy in the training-domain validation data when using", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 303, + 549 + ], + "score": 1.0, + "content": "these adjustment modules. Specifically, we tested", + "type": "text" + }, + { + "bbox": [ + 303, + 535, + 421, + 547 + ], + "score": 0.89, + "content": "M \\in \\{ 1 , 5 , \\bar { 2 0 } , 5 0 , 1 0 0 , \\mathrm { N / A } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "for T3A, where N/A", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 546, + 483, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 302, + 559 + ], + "score": 1.0, + "content": "means restoring all samples, and combination of", + "type": "text" + }, + { + "bbox": [ + 302, + 547, + 383, + 558 + ], + "score": 0.9, + "content": "\\beta \\in \\{ 0 . 1 , 1 . 0 , 1 0 . 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 546, + 401, + 559 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 401, + 546, + 445, + 558 + ], + "score": 0.93, + "content": "\\gamma \\in \\{ 1 , 3 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 445, + 546, + 483, + 559 + ], + "score": 1.0, + "content": "for Tent.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 107, + 574, + 161, + 586 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 162, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 162, + 587 + ], + "score": 1.0, + "content": "4.1 Results", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 596, + 505, + 684 + ], + "lines": [ + { + "bbox": [ + 105, + 595, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 506, + 608 + ], + "score": 1.0, + "content": "Table 1 summarizes the results when ResNet50 is used as the backbone network. 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Figure 2 shows the distribution of performance improvement by the proposed method for", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 294, + 653 + ], + "score": 1.0, + "content": "models trained with different hyperparameters", + "type": "text" + }, + { + "bbox": [ + 295, + 640, + 323, + 650 + ], + "score": 0.89, + "content": "2 0 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "for each test environment). In addition, Table", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "score": 1.0, + "content": "2 show the DG accuracy with 10 different backbones. 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The second block of Table 1 shows", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "that T3A stably improves the performance of the ERM model. Specifically, the proposed method", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 710, + 505, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 725 + ], + "score": 1.0, + "content": "improves 2.3 points, 2.0 points, 1.9 points, and 0.5 points for each dataset respectively. 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AlgorithmVLCSPACSOfficeHomeTerraAvg
ERM77.5 ± 0.485.5 ± 0.266.5 ± 0.346.1 ± 1.869.0
IRM78.5 ± 0.583.5 ± 0.864.3 ± 2.247.6 ± 0.868.5
GroupDRO76.7 ± 0.684.4 ± 0.866.0 ± 0.743.2 ± 1.167.6
Mixup77.4 ± 0.684.6 ± 0.668.1 ± 0.347.9 ± 0.869.5
MLDG77.2 ± 0.484.9 ± 1.066.8 ± 0.647.7 ± 0.969.2
CORAL78.8 ± 0.686.2 ± 0.368.7 ± 0.347.6 ± 1.070.3
MMD77.5 ± 0.984.6 ± 0.566.3 ± 0.142.2 ± 1.667.7
DANN78.6 ± 0.483.6 ± 0.465.9 ± 0.646.7 ± 0.568.7
CDANN77.5 ± 0.182.6 ± 0.965.8 ± 1.345.8 ± 1.667.9
MTL77.2 ± 0.484.6 ± 0.566.4 ± 0.545.6 ± 1.268.5
SagNet77.8 ± 0.586.3 ± 0.268.1 ± 0.148.6 ±1.070.2
ARM77.6 ± 0.385.1 ± 0.464.8 ± 0.345.5 ± 0.368.3
VREx78.3 ± 0.284.9 ± 0.666.4 ± 0.646.4 ± 0.669.0
RSC77.1 ± 0.585.2 ± 0.965.5 ± 0.946.6 ± 1.068.6
ERM†77.7 ± 0.183.6 ± 0.966.4 ± 0.346.5 ± 0.368.6
+T3A (Ours)80.0 ± 0.285.3 ± 0.668.3 ± 0.147.0 ± 0.670.1**
+Tent-BN68.2 ± 0.284.8 ± 0.567.0 ± 0.444.7 ± 0.366.2
+Tent-C77.0 ± 0.482.3 ± 1.265.7 ± 0.245.5 ± 0.467.6
CORAL+78.6 ± 0.584.2 ± 0.368.3 ± 0.169.8
+T3A (Ours)79.5 ± 0.585.6 ± 0.269.2 ± 0.248.1 ± 1.3 47.3 ± 0.770.4*
+Tent-BN71.4 ± 0.785.6 ± 0.269.2 ± 0.246.5 ± 0.568.2
+Tent-C78.1 ± 0.583.7 ± 0.468.2 ± 0.147.8 ± 1.169.5
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As [17] claimed, model selection is not trivial in DG", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 420, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 434 + ], + "score": 1.0, + "content": "and significantly affects performance. We used standard training-domain validation for selecting", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 432, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 444 + ], + "score": 1.0, + "content": "hyperparameters, which uses the subset of each training domain to choose a model. 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Following [17], we conduct a random search of 20 trials", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 465, + 471, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 471, + 477 + ], + "score": 1.0, + "content": "over a joint distribution of all hyperparameters to train the base model (see Appendix A.4).", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 410, + 506, + 477 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 480, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 270, + 494 + ], + "score": 1.0, + "content": "In addition, T3A has one hyperparameter", + "type": "text" + }, + { + "bbox": [ + 271, + 482, + 283, + 491 + ], + "score": 0.76, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "for deciding the number of supports to restore, and Tent", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 244, + 505 + ], + "score": 1.0, + "content": "has two primary hyperparameters:", + "type": "text" + }, + { + "bbox": [ + 245, + 492, + 252, + 504 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "for multiplying the base learning rate (used for the base model)", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 123, + 515 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 504, + 132, + 514 + ], + "score": 0.82, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 503, + 506, + 515 + ], + "score": 1.0, + "content": "for the number of iterations per adaptation. It is worth emphasizing that these parameters", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "should be selected before the deployment, i.e., before accessing the test data. We simply selected", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 524, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 538 + ], + "score": 1.0, + "content": "these hyperparameters by the average accuracy in the training-domain validation data when using", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 303, + 549 + ], + "score": 1.0, + "content": "these adjustment modules. Specifically, we tested", + "type": "text" + }, + { + "bbox": [ + 303, + 535, + 421, + 547 + ], + "score": 0.89, + "content": "M \\in \\{ 1 , 5 , \\bar { 2 0 } , 5 0 , 1 0 0 , \\mathrm { N / A } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "for T3A, where N/A", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 546, + 483, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 302, + 559 + ], + "score": 1.0, + "content": "means restoring all samples, and combination of", + "type": "text" + }, + { + "bbox": [ + 302, + 547, + 383, + 558 + ], + "score": 0.9, + "content": "\\beta \\in \\{ 0 . 1 , 1 . 0 , 1 0 . 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 546, + 401, + 559 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 401, + 546, + 445, + 558 + ], + "score": 0.93, + "content": "\\gamma \\in \\{ 1 , 3 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 445, + 546, + 483, + 559 + ], + "score": 1.0, + "content": "for Tent.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 480, + 506, + 559 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 574, + 161, + 586 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 162, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 162, + 587 + ], + "score": 1.0, + "content": "4.1 Results", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 596, + 505, + 684 + ], + "lines": [ + { + "bbox": [ + 105, + 595, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 506, + 608 + ], + "score": 1.0, + "content": "Table 1 summarizes the results when ResNet50 is used as the backbone network. The first block", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 607, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 505, + 618 + ], + "score": 1.0, + "content": "(from ERM to RSC) is the value taken from [17]. The lines labeled ERM† and CORAL† are the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "scores reproduced in our environments. The proposed method and Tent are based on this reproduced", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "model. Figure 2 shows the distribution of performance improvement by the proposed method for", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 294, + 653 + ], + "score": 1.0, + "content": "models trained with different hyperparameters", + "type": "text" + }, + { + "bbox": [ + 295, + 640, + 323, + 650 + ], + "score": 0.89, + "content": "2 0 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "for each test environment). In addition, Table", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "score": 1.0, + "content": "2 show the DG accuracy with 10 different backbones. Note that this experiment is conducted only on", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 661, + 505, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 661, + 505, + 674 + ], + "score": 1.0, + "content": "the default hyperparameter of ERM. Every number we report is a mean and standard error over three", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 673, + 366, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 366, + 685 + ], + "score": 1.0, + "content": "repetitions with different weight initialization, and dataset splits.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 595, + 506, + 685 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "T3A stably improves the performance of the base model. The second block of Table 1 shows", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "that T3A stably improves the performance of the ERM model. Specifically, the proposed method", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 710, + 505, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 725 + ], + "score": 1.0, + "content": "improves 2.3 points, 2.0 points, 1.9 points, and 0.5 points for each dataset respectively. The average", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "improvement from ERM is 1.5 points. For clarification, paired t-test was performed using 48 paired", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "data (4 datasets, 4 test domains, 3 different seeds). As a results, the difference is statistically significant", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 108, + 640, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 108, + 640, + 150, + 651 + ], + "score": 0.87, + "content": "( p \\leq 0 . 0 1 )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 150, + 640, + 506, + 652 + ], + "score": 1.0, + "content": ". Note that, Tent-BN improves the performance in PACS and OfficeHome, but it is not", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 650, + 475, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 475, + 663 + ], + "score": 1.0, + "content": "stable may be due to the failure of the optimization. Tent-C never improve the performance.", + "type": "text", + "cross_page": true + } + ], + "index": 16 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 688, + 506, + 725 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 143, + 122, + 464, + 392 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 505, + 121 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 78, + 504, + 90 + ], + "spans": [ + { + "bbox": [ + 106, + 78, + 504, + 90 + ], + "score": 1.0, + "content": "Table 2: Domain generalization accuracy with different backbone networks. T3A increases the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 505, + 100 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 505, + 100 + ], + "score": 1.0, + "content": "performance agnostic to backbone networks. Note that, this experiments is conducted only on the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 100, + 505, + 111 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 505, + 111 + ], + "score": 1.0, + "content": "default hyperparameters of ERM. Bold type indicates performance improvement, and * indicates", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 441, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 260, + 123 + ], + "score": 1.0, + "content": "statistical significance in paired t-test (", + "type": "text" + }, + { + "bbox": [ + 260, + 110, + 271, + 119 + ], + "score": 0.64, + "content": "^ { \\ast \\ast }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 110, + 310, + 123 + ], + "score": 1.0, + "content": "indicates", + "type": "text" + }, + { + "bbox": [ + 310, + 110, + 347, + 122 + ], + "score": 0.89, + "content": "p \\leq 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 110, + 396, + 123 + ], + "score": 1.0, + "content": ", * indicates", + "type": "text" + }, + { + "bbox": [ + 397, + 110, + 436, + 122 + ], + "score": 0.86, + "content": "p \\leq 0 . 0 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 110, + 441, + 123 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "table_body", + "bbox": [ + 143, + 122, + 464, + 392 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 143, + 122, + 464, + 392 + ], + "spans": [ + { + "bbox": [ + 143, + 122, + 464, + 392 + ], + "score": 0.982, + "html": "
ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 +T3A73.2 ± 0.9 76.5 ± 0.980.3 ± 0.4 81.7 ± 0.155.7±0.2 57.0 ± 0.440.7 ± 0.3 41.6 ± 0.562.5 64.2*
resnet50 +T3A75.5± 0.1 78.3 ± 0.783.9 ± 0.2 84.5 ± 0.364.4 ± 0.2 66.5 ± 0.245.4 ± 1.2 45.9 ± 0.567.3 68.8*
BiT-M-R50x3 +T3A76.7± 0.1 79.7 ± 0.384.4 ± 1.2 85.4 ± 0.969.2 ± 0.6 71.7 ± 0.652.5± 0.3 52.2 ± 0.670.7 72.3*
BiT-M-R101x3 +T3A75.0 ± 0.6 78.6 ± 0.484.0 ± 0.7 85.4 ± 0.567.7± 0.5 69.9 ± 0.447.8 ± 0.8 48.1 ± 0.868.6 70.5*
BiT-M-R152x2 +T3A76.7 ± 0.3 79.1 ± 0.485.2 ± 0.1 86.4 ± 0.171.3 ± 0.6 73.2 ± 0.551.4 ± 0.6 50.9 ± 0.771.1 72.4*
ViT-B16 +T3A79.2 ± 0.3 80.2 ± 0.485.7 ± 0.1 86.0 ± 0.178.4± 0.3 78.9 ± 0.341.8 ± 0.6 42.5 ± 0.771.3 71.9*
ViT-L16 +T3A DeiT78.2± 0.5 79.0 ± 0.684.6± 0.5 85.5 ± 0.678.0 ± 0.1 78.7 ± 0.242.7 ± 1.9 45.3 ± 0.470.9 72.1**
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Dashed line in each violin plot", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 581, + 273, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 273, + 592 + ], + "score": 1.0, + "content": "represents the quartile of the distribution.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 107, + 617, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "improvement from ERM is 1.5 points. For clarification, paired t-test was performed using 48 paired", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "data (4 datasets, 4 test domains, 3 different seeds). As a results, the difference is statistically significant", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 108, + 640, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 108, + 640, + 150, + 651 + ], + "score": 0.87, + "content": "( p \\leq 0 . 0 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 640, + 506, + 652 + ], + "score": 1.0, + "content": ". Note that, Tent-BN improves the performance in PACS and OfficeHome, but it is not", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 650, + 475, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 475, + 663 + ], + "score": 1.0, + "content": "stable may be due to the failure of the optimization. Tent-C never improve the performance.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 681 + ], + "score": 1.0, + "content": "In addition, Fig. 2 show that the third-quarter quantile of the improvement range is often more", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "than 0, which means the proposed method is also robust to the hyperparameters of the base model.", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "Furthermore, Table 2 shows that the proposed method can also improve the performance of more", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "sophisticated backbone networks. For example, the proposed method improves performance by", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "an average of 1.0 points for HViT, which achieved the best performance of all backbones. The", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19 + } + ], + "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": [ + 143, + 122, + 464, + 392 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 505, + 121 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 78, + 504, + 90 + ], + "spans": [ + { + "bbox": [ + 106, + 78, + 504, + 90 + ], + "score": 1.0, + "content": "Table 2: Domain generalization accuracy with different backbone networks. T3A increases the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 505, + 100 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 505, + 100 + ], + "score": 1.0, + "content": "performance agnostic to backbone networks. Note that, this experiments is conducted only on the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 100, + 505, + 111 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 505, + 111 + ], + "score": 1.0, + "content": "default hyperparameters of ERM. Bold type indicates performance improvement, and * indicates", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 441, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 260, + 123 + ], + "score": 1.0, + "content": "statistical significance in paired t-test (", + "type": "text" + }, + { + "bbox": [ + 260, + 110, + 271, + 119 + ], + "score": 0.64, + "content": "^ { \\ast \\ast }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 110, + 310, + 123 + ], + "score": 1.0, + "content": "indicates", + "type": "text" + }, + { + "bbox": [ + 310, + 110, + 347, + 122 + ], + "score": 0.89, + "content": "p \\leq 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 110, + 396, + 123 + ], + "score": 1.0, + "content": ", * indicates", + "type": "text" + }, + { + "bbox": [ + 397, + 110, + 436, + 122 + ], + "score": 0.86, + "content": "p \\leq 0 . 0 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 110, + 441, + 123 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "table_body", + "bbox": [ + 143, + 122, + 464, + 392 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 143, + 122, + 464, + 392 + ], + "spans": [ + { + "bbox": [ + 143, + 122, + 464, + 392 + ], + "score": 0.982, + "html": "
ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 +T3A73.2 ± 0.9 76.5 ± 0.980.3 ± 0.4 81.7 ± 0.155.7±0.2 57.0 ± 0.440.7 ± 0.3 41.6 ± 0.562.5 64.2*
resnet50 +T3A75.5± 0.1 78.3 ± 0.783.9 ± 0.2 84.5 ± 0.364.4 ± 0.2 66.5 ± 0.245.4 ± 1.2 45.9 ± 0.567.3 68.8*
BiT-M-R50x3 +T3A76.7± 0.1 79.7 ± 0.384.4 ± 1.2 85.4 ± 0.969.2 ± 0.6 71.7 ± 0.652.5± 0.3 52.2 ± 0.670.7 72.3*
BiT-M-R101x3 +T3A75.0 ± 0.6 78.6 ± 0.484.0 ± 0.7 85.4 ± 0.567.7± 0.5 69.9 ± 0.447.8 ± 0.8 48.1 ± 0.868.6 70.5*
BiT-M-R152x2 +T3A76.7 ± 0.3 79.1 ± 0.485.2 ± 0.1 86.4 ± 0.171.3 ± 0.6 73.2 ± 0.551.4 ± 0.6 50.9 ± 0.771.1 72.4*
ViT-B16 +T3A79.2 ± 0.3 80.2 ± 0.485.7 ± 0.1 86.0 ± 0.178.4± 0.3 78.9 ± 0.341.8 ± 0.6 42.5 ± 0.771.3 71.9*
ViT-L16 +T3A DeiT78.2± 0.5 79.0 ± 0.684.6± 0.5 85.5 ± 0.678.0 ± 0.1 78.7 ± 0.242.7 ± 1.9 45.3 ± 0.470.9 72.1**
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For example, the proposed method improves performance by", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "an average of 1.0 points for HViT, which achieved the best performance of all backbones. 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For example, in VLCS, the proposed method", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 119, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 119, + 142, + 131 + ], + "score": 1.0, + "content": "achieves", + "type": "text" + }, + { + "bbox": [ + 142, + 119, + 169, + 130 + ], + "score": 0.86, + "content": "8 0 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 119, + 416, + 131 + ], + "score": 1.0, + "content": ", which is significantly better than the prior best-reported score,", + "type": "text" + }, + { + "bbox": [ + 417, + 119, + 443, + 130 + ], + "score": 0.85, + "content": "7 8 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 119, + 505, + 131 + ], + "score": 1.0, + "content": ". 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Note that the scores we reproduce are much worse than the reported scores in PACS,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 152, + 506, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 152, + 506, + 165 + ], + "score": 1.0, + "content": "which reduces the average performance. In PACS, the improvement from ERM by the proposed", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 163, + 465, + 175 + ], + "spans": [ + { + "bbox": [ + 106, + 163, + 465, + 175 + ], + "score": 1.0, + "content": "method is 1.7 points, which is the most significant improvement from any reported value.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 107, + 179, + 505, + 245 + ], + "lines": [ + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "score": 1.0, + "content": "For a more accurate comparison, we also examined whether the proposed method would improve the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 189, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 506, + 203 + ], + "score": 1.0, + "content": "performance of CORAL, which had achieved the best performance in existing reports. As shown", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 201, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 506, + 213 + ], + "score": 1.0, + "content": "in the third block of Table 1, the proposed method can also improve the performance of CORAL.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 210, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 372, + 226 + ], + "score": 1.0, + "content": "The average improvement is 0.6 points. Average performance is", + "type": "text" + }, + { + "bbox": [ + 372, + 212, + 399, + 223 + ], + "score": 0.88, + "content": "7 0 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 210, + 506, + 226 + ], + "score": 1.0, + "content": ", which is the best among", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 222, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 505, + 236 + ], + "score": 1.0, + "content": "all algorithms. Note that, similar to ERM, the reproduced score and the reported score are slightly", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 233, + 318, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 318, + 246 + ], + "score": 1.0, + "content": "different (and the score in PACS is particularly low).", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 107, + 259, + 505, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "score": 1.0, + "content": "T3A outperforms existing test-time adaptation methods. We further compare T3A with other", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "score": 1.0, + "content": "test-time adaptation methods when backbone networks employ the BN layer so that we can make a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "fair comparison with the prior BN-based methods [43, 52]. We used ResNet18 w/BN and ResNet50", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "score": 1.0, + "content": "w/BN as backbone networks. Note that the results of ResNet in Table 1 and Table 2 do not use the BN", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 303, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 505, + 314 + ], + "score": 1.0, + "content": "layer since it is the default option in [17]. Therefore, the results below are not directly comparable to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 312, + 395, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 395, + 325 + ], + "score": 1.0, + "content": "the DG method shown in Table 1 and Table 2 of the current manuscript.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 460 + ], + "lines": [ + { + "bbox": [ + 105, + 328, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 505, + 342 + ], + "score": 1.0, + "content": "We tested the following six baselines in addition to T3A, Tent-BN, and Tent-C. (1) Tent-Full updates", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "score": 1.0, + "content": "BN statistics and transformations, which is the same as the original proposal [52]. (2) BN-Norm", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "update BN statistics but fixes transformations parameters [43]. (3) PL (Pseudo Label) [26] updates", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 361, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 104, + 361, + 506, + 376 + ], + "score": 1.0, + "content": "entire networks by minimizing the cross-entropy between prediction and the pseudo label. Following", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 373, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 506, + 385 + ], + "score": 1.0, + "content": "[52], we assign the pseudo label if the predictions are over a threshold (0.9 in our experiment).", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "(4) PL-C updates the linear classifier by minimizing the above-mentioned pseudo-label loss. (5)", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "SHOT [34] updates feature extractor to minimize entropy, diversity regularizer, and pseudo-label", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "score": 1.0, + "content": "loss. While [34] originally proposed SHOT in the context of source-free domain adaptation (offline", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "adaptation setup), the method itself can be transferred to our setup. Note that the original SHOT", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 427, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 439 + ], + "score": 1.0, + "content": "uses the label-smoothing when training on the source domain. However, we focus on the adaptation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 437, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 452 + ], + "score": 1.0, + "content": "method, and therefore the source model is the same as the other baselines for the fair comparison. (6)", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 449, + 483, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 483, + 462 + ], + "score": 1.0, + "content": "SHOT-IM [34] updates the feature extractor to minimize entropy and the diversity regularizer.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 107, + 466, + 505, + 509 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 507, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 507, + 479 + ], + "score": 1.0, + "content": "In summary, (1) all baseline except BN-Norm and T3A use stochastic optimization during test-time,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 475, + 507, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 507, + 490 + ], + "score": 1.0, + "content": "which is not desirable since it may cause catastrophic failure and must increase computational costs.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 486, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 501 + ], + "score": 1.0, + "content": "(2) Tent-Full and BN-Norm are powerful yet constrained to be applicable only if the architecture uses", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 498, + 126, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 126, + 510 + ], + "score": 1.0, + "content": "BN.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 106, + 515, + 505, + 646 + ], + "lines": [ + { + "bbox": [ + 105, + 514, + 507, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 507, + 528 + ], + "score": 1.0, + "content": "Table 3 compares results under the training-domain model selection as with Table 1 and Table 2.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 526, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 505, + 538 + ], + "score": 1.0, + "content": "For clarification, we also compare performance under the oracle model selection (28 in Appendix", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 537, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 360, + 549 + ], + "score": 1.0, + "content": "C ), where one can use the validation set on the target domain (", + "type": "text" + }, + { + "bbox": [ + 360, + 537, + 379, + 547 + ], + "score": 0.84, + "content": "20 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 537, + 506, + 549 + ], + "score": 1.0, + "content": "of all data as described above).", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "We can make the following observations. (1) The proposed method still outperformed all baselines", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "in both backbone networks. Among baselines, only Tent-Full and PL-C perform better than None", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "score": 1.0, + "content": "(w/o adaptation) on average. (2) When we select the hyper-parameters with a test-domain validation", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "score": 1.0, + "content": "set, Tent-Full gives comparable performances with the proposed method. In addition, compared", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "score": 1.0, + "content": "to T3A and PL-C, the T3A performs better under both model selection strategies. These results", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 601, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 506, + 615 + ], + "score": 1.0, + "content": "clarify the difficulty of model selection in optimization-based methods and the merit of the proposed", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 613, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 626 + ], + "score": 1.0, + "content": "optimization-free approach in this setup. (3) Updating feature extractor (or the large portion of the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 624, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 505, + 636 + ], + "score": 1.0, + "content": "parameters) does not work well in general, while it is common in SFDA (offline) setup. The results", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 635, + 383, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 383, + 648 + ], + "score": 1.0, + "content": "suggest that we need different treatments on online and offline setup.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 41.5 + }, + { + "type": "title", + "bbox": [ + 108, + 663, + 261, + 677 + ], + "lines": [ + { + "bbox": [ + 105, + 663, + 263, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 263, + 678 + ], + "score": 1.0, + "content": "5 Discussion and Conclusion", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 48 + }, + { + "type": "text", + "bbox": [ + 108, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 702 + ], + "score": 1.0, + "content": "This paper presents a new domain generalization algorithm, T3A, which adjusts its predictions during", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "score": 1.0, + "content": "test-time by itself. We show that T3A reduces prediction entropy (Fig. 1-c), and more importantly,", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "generalization error on unseen domain (Table 1). T3A can adapt different domain generalization", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 50 + } + ], + "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": "text", + "bbox": [ + 106, + 72, + 504, + 95 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 105, + 73, + 505, + 96 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 108, + 505, + 174 + ], + "lines": [ + { + "bbox": [ + 106, + 109, + 505, + 120 + ], + "spans": [ + { + "bbox": [ + 106, + 109, + 505, + 120 + ], + "score": 1.0, + "content": "T3A outperforms most existing DG algorithms. For example, in VLCS, the proposed method", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 119, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 119, + 142, + 131 + ], + "score": 1.0, + "content": "achieves", + "type": "text" + }, + { + "bbox": [ + 142, + 119, + 169, + 130 + ], + "score": 0.86, + "content": "8 0 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 119, + 416, + 131 + ], + "score": 1.0, + "content": ", which is significantly better than the prior best-reported score,", + "type": "text" + }, + { + "bbox": [ + 417, + 119, + 443, + 130 + ], + "score": 0.85, + "content": "7 8 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 119, + 505, + 131 + ], + "score": 1.0, + "content": ". Similarly, it is", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 128, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 106, + 130, + 134, + 141 + ], + "score": 0.87, + "content": "8 5 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 128, + 177, + 144 + ], + "score": 1.0, + "content": "for PACS,", + "type": "text" + }, + { + "bbox": [ + 177, + 130, + 204, + 141 + ], + "score": 0.86, + "content": "6 8 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 128, + 312, + 144 + ], + "score": 1.0, + "content": "(best) for OfficeHome and", + "type": "text" + }, + { + "bbox": [ + 312, + 130, + 339, + 141 + ], + "score": 0.86, + "content": "4 7 . 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 128, + 434, + 144 + ], + "score": 1.0, + "content": "for TerraIncognita, and", + "type": "text" + }, + { + "bbox": [ + 434, + 130, + 461, + 141 + ], + "score": 0.87, + "content": "7 0 . 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 128, + 506, + 144 + ], + "score": 1.0, + "content": "in average", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 141, + 505, + 153 + ], + "spans": [ + { + "bbox": [ + 106, + 141, + 505, + 153 + ], + "score": 1.0, + "content": "(third best). Note that the scores we reproduce are much worse than the reported scores in PACS,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 152, + 506, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 152, + 506, + 165 + ], + "score": 1.0, + "content": "which reduces the average performance. In PACS, the improvement from ERM by the proposed", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 163, + 465, + 175 + ], + "spans": [ + { + "bbox": [ + 106, + 163, + 465, + 175 + ], + "score": 1.0, + "content": "method is 1.7 points, which is the most significant improvement from any reported value.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4.5, + "bbox_fs": [ + 105, + 109, + 506, + 175 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 179, + 505, + 245 + ], + "lines": [ + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "score": 1.0, + "content": "For a more accurate comparison, we also examined whether the proposed method would improve the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 189, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 506, + 203 + ], + "score": 1.0, + "content": "performance of CORAL, which had achieved the best performance in existing reports. As shown", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 201, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 506, + 213 + ], + "score": 1.0, + "content": "in the third block of Table 1, the proposed method can also improve the performance of CORAL.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 210, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 372, + 226 + ], + "score": 1.0, + "content": "The average improvement is 0.6 points. Average performance is", + "type": "text" + }, + { + "bbox": [ + 372, + 212, + 399, + 223 + ], + "score": 0.88, + "content": "7 0 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 210, + 506, + 226 + ], + "score": 1.0, + "content": ", which is the best among", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 222, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 505, + 236 + ], + "score": 1.0, + "content": "all algorithms. Note that, similar to ERM, the reproduced score and the reported score are slightly", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 233, + 318, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 318, + 246 + ], + "score": 1.0, + "content": "different (and the score in PACS is particularly low).", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 179, + 506, + 246 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 259, + 505, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "score": 1.0, + "content": "T3A outperforms existing test-time adaptation methods. We further compare T3A with other", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "score": 1.0, + "content": "test-time adaptation methods when backbone networks employ the BN layer so that we can make a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "fair comparison with the prior BN-based methods [43, 52]. We used ResNet18 w/BN and ResNet50", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "score": 1.0, + "content": "w/BN as backbone networks. Note that the results of ResNet in Table 1 and Table 2 do not use the BN", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 303, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 505, + 314 + ], + "score": 1.0, + "content": "layer since it is the default option in [17]. Therefore, the results below are not directly comparable to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 312, + 395, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 395, + 325 + ], + "score": 1.0, + "content": "the DG method shown in Table 1 and Table 2 of the current manuscript.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 258, + 506, + 325 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 460 + ], + "lines": [ + { + "bbox": [ + 105, + 328, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 505, + 342 + ], + "score": 1.0, + "content": "We tested the following six baselines in addition to T3A, Tent-BN, and Tent-C. (1) Tent-Full updates", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "score": 1.0, + "content": "BN statistics and transformations, which is the same as the original proposal [52]. (2) BN-Norm", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 364 + ], + "score": 1.0, + "content": "update BN statistics but fixes transformations parameters [43]. (3) PL (Pseudo Label) [26] updates", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 361, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 104, + 361, + 506, + 376 + ], + "score": 1.0, + "content": "entire networks by minimizing the cross-entropy between prediction and the pseudo label. Following", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 373, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 506, + 385 + ], + "score": 1.0, + "content": "[52], we assign the pseudo label if the predictions are over a threshold (0.9 in our experiment).", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "(4) PL-C updates the linear classifier by minimizing the above-mentioned pseudo-label loss. (5)", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "SHOT [34] updates feature extractor to minimize entropy, diversity regularizer, and pseudo-label", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "score": 1.0, + "content": "loss. While [34] originally proposed SHOT in the context of source-free domain adaptation (offline", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "adaptation setup), the method itself can be transferred to our setup. Note that the original SHOT", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 427, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 439 + ], + "score": 1.0, + "content": "uses the label-smoothing when training on the source domain. However, we focus on the adaptation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 437, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 452 + ], + "score": 1.0, + "content": "method, and therefore the source model is the same as the other baselines for the fair comparison. (6)", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 449, + 483, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 483, + 462 + ], + "score": 1.0, + "content": "SHOT-IM [34] updates the feature extractor to minimize entropy and the diversity regularizer.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 25.5, + "bbox_fs": [ + 104, + 328, + 506, + 462 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 466, + 505, + 509 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 507, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 507, + 479 + ], + "score": 1.0, + "content": "In summary, (1) all baseline except BN-Norm and T3A use stochastic optimization during test-time,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 475, + 507, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 507, + 490 + ], + "score": 1.0, + "content": "which is not desirable since it may cause catastrophic failure and must increase computational costs.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 486, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 501 + ], + "score": 1.0, + "content": "(2) Tent-Full and BN-Norm are powerful yet constrained to be applicable only if the architecture uses", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 498, + 126, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 126, + 510 + ], + "score": 1.0, + "content": "BN.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 465, + 507, + 510 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 515, + 505, + 646 + ], + "lines": [ + { + "bbox": [ + 105, + 514, + 507, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 507, + 528 + ], + "score": 1.0, + "content": "Table 3 compares results under the training-domain model selection as with Table 1 and Table 2.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 526, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 505, + 538 + ], + "score": 1.0, + "content": "For clarification, we also compare performance under the oracle model selection (28 in Appendix", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 537, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 360, + 549 + ], + "score": 1.0, + "content": "C ), where one can use the validation set on the target domain (", + "type": "text" + }, + { + "bbox": [ + 360, + 537, + 379, + 547 + ], + "score": 0.84, + "content": "20 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 537, + 506, + 549 + ], + "score": 1.0, + "content": "of all data as described above).", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "We can make the following observations. (1) The proposed method still outperformed all baselines", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "in both backbone networks. Among baselines, only Tent-Full and PL-C perform better than None", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "score": 1.0, + "content": "(w/o adaptation) on average. (2) When we select the hyper-parameters with a test-domain validation", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "score": 1.0, + "content": "set, Tent-Full gives comparable performances with the proposed method. In addition, compared", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "score": 1.0, + "content": "to T3A and PL-C, the T3A performs better under both model selection strategies. These results", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 601, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 506, + 615 + ], + "score": 1.0, + "content": "clarify the difficulty of model selection in optimization-based methods and the merit of the proposed", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 613, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 626 + ], + "score": 1.0, + "content": "optimization-free approach in this setup. (3) Updating feature extractor (or the large portion of the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 624, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 505, + 636 + ], + "score": 1.0, + "content": "parameters) does not work well in general, while it is common in SFDA (offline) setup. The results", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 635, + 383, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 383, + 648 + ], + "score": 1.0, + "content": "suggest that we need different treatments on online and offline setup.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 514, + 507, + 648 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 663, + 261, + 677 + ], + "lines": [ + { + "bbox": [ + 105, + 663, + 263, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 263, + 678 + ], + "score": 1.0, + "content": "5 Discussion and Conclusion", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 48 + }, + { + "type": "text", + "bbox": [ + 108, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 702 + ], + "score": 1.0, + "content": "This paper presents a new domain generalization algorithm, T3A, which adjusts its predictions during", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "score": 1.0, + "content": "test-time by itself. We show that T3A reduces prediction entropy (Fig. 1-c), and more importantly,", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "generalization error on unseen domain (Table 1). T3A can adapt different domain generalization", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 406, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 419 + ], + "score": 1.0, + "content": "algorithms for training-phase (the third block of Table 1), and different backbone networks (Table", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 417, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 505, + 429 + ], + "score": 1.0, + "content": "2). Note that this property is important in practice because a better backbone network usually give", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "score": 1.0, + "content": "significant performance gains. For example, Table 2 suggest a practitioner should try HViT, which", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 439, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 506, + 451 + ], + "score": 1.0, + "content": "outperforms ResNet50 by a large margin (7.8 points in average) if computational resources allow.", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 449, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 463 + ], + "score": 1.0, + "content": "T3A can boost HViT’s performance by 1.0 points. Unlike existing studies that update the model", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "score": 1.0, + "content": "with SGD during testing, the proposed method is optimization-free. Therefore, the computational", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "overhead is negligible, and the behavior is unlikely to become unstable, making T3A especially", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 483, + 504, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 504, + 495 + ], + "score": 1.0, + "content": "suitable for online settings where the model needs to (adapt and) predict online as with typical DG.", + "type": "text", + "cross_page": true + } + ], + "index": 15 + } + ], + "index": 50, + "bbox_fs": [ + 105, + 687, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 143, + 132, + 464, + 366 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 505, + 132 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 77, + 505, + 89 + ], + "spans": [ + { + "bbox": [ + 106, + 77, + 505, + 89 + ], + "score": 1.0, + "content": "Table 3: Comparison of our method and existing test-time adaptation methods. Unlike Table 1 and", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 87, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 87, + 506, + 101 + ], + "score": 1.0, + "content": "Table 2, we used ResNet18 and ResNet50 without removing batch normalization layer as backbone", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 99, + 506, + 112 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 506, + 112 + ], + "score": 1.0, + "content": "networks. As with Table 2, this experiments is conducted only on the default hyperparameters of", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 109, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 109, + 505, + 123 + ], + "score": 1.0, + "content": "ERM. 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ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 w/BN73.0± 0.679.5 ± 0.461.8 ± 0.341.7 ± 0.964.0
SHOT-IM61.6 ± 0.382.1 ± 0.362.5 ± 0.332.8 ± 0.459.8
SHOT61.8 ± 0.382.3 ± 0.262.8 ± 0.232.7 ± 0.459.9
PL67.0 ± 0.672.9 ± 1.056.3 ± 2.535.4 ± 1.757.9
PL-C71.8 ± 1.378.9 ± 0.461.7 ± 0.343.1 ± 0.963.9
Tent-Full72.3 ± 0.383.9 ± 0.362.7 ± 0.236.9 ± 0.364.0
BN-Norm70.4 ± 1.082.7 ± 0.162.0 ± 0.136.4 ± 0.262.9
Tent-C71.3 ± 1.574.6 ± 1.960.5 ± 0.440.9 ± 0.561.8
Tent-BN64.7 ± 0.781.1 ± 0.262.5 ± 0.336.4 ± 0.961.2
T3A (Ours)74.5 ± 0.981.4 ± 0.263.2 ± 0.439.5 ± 0.364.6*
resnet50 w/BN74.3 ± 0.584.1 ± 0.166.9 ± 0.245.8 ± 1.867.8
SHOT-IM61.5 ± 1.784.6 ± 0.368.0 ± 0.033.8 ± 0.362.0
SHOT61.6 ± 1.884.8 ± 0.568.0 ± 0.034.6 ± 0.362.3
PL63.4 ± 1.880.1 ± 3.561.3 ± 1.536.8 ± 4.460.4
PL-C73.3 ± 0.884.7 ± 0.366.4 ± 0.347.0 ± 1.767.9
Tent-Full75.4 ± 0.687.0 ± 0.266.9 ± 0.242.6 ± 0.868.0
BN-Norm71.3 ± 0.485.8 ± 0.166.4 ± 0.142.3 ± 0.466.5
Tent-C72.4 ± 1.584.4 ± 0.166.2 ± 0.242.4 ± 3.166.4
Tent-BN65.6 ± 1.484.9 ± 0.067.7 ± 0.242.7 ± 0.565.2
T3A (Ours)76.0 ± 0.385.1 ± 0.268.2 ± 0.144.6 ± 0.968.5*
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Note that this property is important in practice because a better backbone network usually give", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 440 + ], + "score": 1.0, + "content": "significant performance gains. For example, Table 2 suggest a practitioner should try HViT, which", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 439, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 506, + 451 + ], + "score": 1.0, + "content": "outperforms ResNet50 by a large margin (7.8 points in average) if computational resources allow.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 449, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 463 + ], + "score": 1.0, + "content": "T3A can boost HViT’s performance by 1.0 points. Unlike existing studies that update the model", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "score": 1.0, + "content": "with SGD during testing, the proposed method is optimization-free. Therefore, the computational", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "overhead is negligible, and the behavior is unlikely to become unstable, making T3A especially", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 483, + 504, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 504, + 495 + ], + "score": 1.0, + "content": "suitable for online settings where the model needs to (adapt and) predict online as with typical DG.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 498, + 505, + 543 + ], + "lines": [ + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "One of the limitations of T3A is how to extend it beyond the classification problem. Since the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 510, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 506, + 522 + ], + "score": 1.0, + "content": "proposed method creates a template online for each prediction class, it is not trivial to adapt it for", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "continuous prediction. Note that Tent have the same problem, as prediction entropy is hard to compute", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 531, + 495, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 495, + 545 + ], + "score": 1.0, + "content": "in the regression case. It is a future task to apply this idea to a broader range of problem settings.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 106, + 547, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 105, + 547, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 561 + ], + "score": 1.0, + "content": "Another potential drawback of the proposed method is that the model can change at any time, making", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 559, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 505, + 571 + ], + "score": 1.0, + "content": "it difficult to thoroughly test its behavior in advance. This may raise ethical concerns in some", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "score": 1.0, + "content": "sensitive applications, making it more difficult to sanitize the model and ensure it does not make", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 505, + 593 + ], + "score": 1.0, + "content": "unfair decisions. In such a situation, fully online adaptation might be difficult, and one may want", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "to update the model offline. We encourage examination of each of these works on the frontier of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 603, + 190, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 190, + 614 + ], + "score": 1.0, + "content": "test-time adaptation.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 106, + 619, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 619, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 505, + 631 + ], + "score": 1.0, + "content": "Although accuracy was greatly improved, there is massive room for improvement as the performance", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 630, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 506, + 642 + ], + "score": 1.0, + "content": "in the unknown domain is still significantly worse than performance in the known domain. From a", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 640, + 502, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 466, + 654 + ], + "score": 1.0, + "content": "probabilistic viewpoint, the templates of each class can be regarded as the statistics of the", + "type": "text" + }, + { + "bbox": [ + 467, + 640, + 502, + 653 + ], + "score": 0.92, + "content": "P ( Z | Y )", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 650, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 104, + 650, + 362, + 671 + ], + "score": 1.0, + "content": "and our method adjusts it. As it is connected to the prediction", + "type": "text" + }, + { + "bbox": [ + 362, + 651, + 461, + 669 + ], + "score": 0.93, + "content": "\\begin{array} { r } { P ( Y | Z ) = \\frac { P ( Z | Y ) P ( Y ) } { P ( Z ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 650, + 505, + 671 + ], + "score": 1.0, + "content": ", adjusting", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 668, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 505, + 680 + ], + "score": 1.0, + "content": "it can correlates the prediction. From this perspective, using the average templates might be too", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "restrictive, and one can use higher-order statistics to improve performance. Alternatively, one can", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 104, + 689, + 283, + 702 + ], + "score": 1.0, + "content": "retain all reliable samples, approximating", + "type": "text" + }, + { + "bbox": [ + 284, + 689, + 319, + 701 + ], + "score": 0.92, + "content": "P ( Z | Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "as empirical distribution. 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Unlike Table 1 and", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 87, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 87, + 506, + 101 + ], + "score": 1.0, + "content": "Table 2, we used ResNet18 and ResNet50 without removing batch normalization layer as backbone", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 99, + 506, + 112 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 506, + 112 + ], + "score": 1.0, + "content": "networks. As with Table 2, this experiments is conducted only on the default hyperparameters of", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 109, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 109, + 505, + 123 + ], + "score": 1.0, + "content": "ERM. 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ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 w/BN73.0± 0.679.5 ± 0.461.8 ± 0.341.7 ± 0.964.0
SHOT-IM61.6 ± 0.382.1 ± 0.362.5 ± 0.332.8 ± 0.459.8
SHOT61.8 ± 0.382.3 ± 0.262.8 ± 0.232.7 ± 0.459.9
PL67.0 ± 0.672.9 ± 1.056.3 ± 2.535.4 ± 1.757.9
PL-C71.8 ± 1.378.9 ± 0.461.7 ± 0.343.1 ± 0.963.9
Tent-Full72.3 ± 0.383.9 ± 0.362.7 ± 0.236.9 ± 0.364.0
BN-Norm70.4 ± 1.082.7 ± 0.162.0 ± 0.136.4 ± 0.262.9
Tent-C71.3 ± 1.574.6 ± 1.960.5 ± 0.440.9 ± 0.561.8
Tent-BN64.7 ± 0.781.1 ± 0.262.5 ± 0.336.4 ± 0.961.2
T3A (Ours)74.5 ± 0.981.4 ± 0.263.2 ± 0.439.5 ± 0.364.6*
resnet50 w/BN74.3 ± 0.584.1 ± 0.166.9 ± 0.245.8 ± 1.867.8
SHOT-IM61.5 ± 1.784.6 ± 0.368.0 ± 0.033.8 ± 0.362.0
SHOT61.6 ± 1.884.8 ± 0.568.0 ± 0.034.6 ± 0.362.3
PL63.4 ± 1.880.1 ± 3.561.3 ± 1.536.8 ± 4.460.4
PL-C73.3 ± 0.884.7 ± 0.366.4 ± 0.347.0 ± 1.767.9
Tent-Full75.4 ± 0.687.0 ± 0.266.9 ± 0.242.6 ± 0.868.0
BN-Norm71.3 ± 0.485.8 ± 0.166.4 ± 0.142.3 ± 0.466.5
Tent-C72.4 ± 1.584.4 ± 0.166.2 ± 0.242.4 ± 3.166.4
Tent-BN65.6 ± 1.484.9 ± 0.067.7 ± 0.242.7 ± 0.565.2
T3A (Ours)76.0 ± 0.385.1 ± 0.268.2 ± 0.144.6 ± 0.968.5*
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Since the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 510, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 506, + 522 + ], + "score": 1.0, + "content": "proposed method creates a template online for each prediction class, it is not trivial to adapt it for", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "continuous prediction. Note that Tent have the same problem, as prediction entropy is hard to compute", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 531, + 495, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 495, + 545 + ], + "score": 1.0, + "content": "in the regression case. It is a future task to apply this idea to a broader range of problem settings.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 498, + 506, + 545 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 547, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 105, + 547, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 561 + ], + "score": 1.0, + "content": "Another potential drawback of the proposed method is that the model can change at any time, making", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 559, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 505, + 571 + ], + "score": 1.0, + "content": "it difficult to thoroughly test its behavior in advance. This may raise ethical concerns in some", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "score": 1.0, + "content": "sensitive applications, making it more difficult to sanitize the model and ensure it does not make", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 505, + 593 + ], + "score": 1.0, + "content": "unfair decisions. In such a situation, fully online adaptation might be difficult, and one may want", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "to update the model offline. 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From a", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 640, + 502, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 466, + 654 + ], + "score": 1.0, + "content": "probabilistic viewpoint, the templates of each class can be regarded as the statistics of the", + "type": "text" + }, + { + "bbox": [ + 467, + 640, + 502, + 653 + ], + "score": 0.92, + "content": "P ( Z | Y )", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 650, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 104, + 650, + 362, + 671 + ], + "score": 1.0, + "content": "and our method adjusts it. As it is connected to the prediction", + "type": "text" + }, + { + "bbox": [ + 362, + 651, + 461, + 669 + ], + "score": 0.93, + "content": "\\begin{array} { r } { P ( Y | Z ) = \\frac { P ( Z | Y ) P ( Y ) } { P ( Z ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 650, + 505, + 671 + ], + "score": 1.0, + "content": ", adjusting", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 668, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 505, + 680 + ], + "score": 1.0, + "content": "it can correlates the prediction. From this perspective, using the average templates might be too", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "restrictive, and one can use higher-order statistics to improve performance. Alternatively, one can", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 104, + 689, + 283, + 702 + ], + "score": 1.0, + "content": "retain all reliable samples, approximating", + "type": "text" + }, + { + "bbox": [ + 284, + 689, + 319, + 701 + ], + "score": 0.92, + "content": "P ( Z | Y )", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "as empirical distribution. We hope that the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "findings of this paper will lead to a better test-time adaptation method and lead to the development of", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 711, + 381, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 381, + 723 + ], + "score": 1.0, + "content": "machine learning systems that work well in unknown environments.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30, + "bbox_fs": [ + 104, + 619, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 71, + 207, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 69, + 208, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 208, + 87 + ], + "score": 1.0, + "content": "Acknowledgements", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 95, + 505, + 135 + ], + "lines": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "This work has been supported by JSPS Grant-in-Aid for Early-Career Scientists Number JP18K18101 and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "score": 1.0, + "content": "the Mohammed bin Salman Center for Future Science and Technology for Saudi-Japan Vision 2030 at The", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "University of Tokyo (MbSC2030). 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AlgorithmVLCSPACSOfficeHomeTerraAvg
ERM77.5 ± 0.485.5 ± 0.266.5 ± 0.346.1 ± 1.869.0
IRM78.5 ± 0.583.5 ± 0.864.3 ± 2.247.6 ± 0.868.5
GroupDRO76.7 ± 0.684.4 ± 0.866.0 ± 0.743.2 ± 1.167.6
Mixup77.4 ± 0.684.6 ± 0.668.1 ± 0.347.9 ± 0.869.5
MLDG77.2 ± 0.484.9 ± 1.066.8 ± 0.647.7 ± 0.969.2
CORAL78.8 ± 0.686.2 ± 0.368.7 ± 0.347.6 ± 1.070.3
MMD77.5 ± 0.984.6 ± 0.566.3 ± 0.142.2 ± 1.667.7
DANN78.6 ± 0.483.6 ± 0.465.9 ± 0.646.7 ± 0.568.7
CDANN77.5 ± 0.182.6 ± 0.965.8 ± 1.345.8 ± 1.667.9
MTL77.2 ± 0.484.6 ± 0.566.4 ± 0.545.6 ± 1.268.5
SagNet77.8 ± 0.586.3 ± 0.268.1 ± 0.148.6 ±1.070.2
ARM77.6 ± 0.385.1 ± 0.464.8 ± 0.345.5 ± 0.368.3
VREx78.3 ± 0.284.9 ± 0.666.4 ± 0.646.4 ± 0.669.0
RSC77.1 ± 0.585.2 ± 0.965.5 ± 0.946.6 ± 1.068.6
ERM†77.7 ± 0.183.6 ± 0.966.4 ± 0.346.5 ± 0.368.6
+T3A (Ours)80.0 ± 0.285.3 ± 0.668.3 ± 0.147.0 ± 0.670.1**
+Tent-BN68.2 ± 0.284.8 ± 0.567.0 ± 0.444.7 ± 0.366.2
+Tent-C77.0 ± 0.482.3 ± 1.265.7 ± 0.245.5 ± 0.467.6
CORAL+78.6 ± 0.584.2 ± 0.368.3 ± 0.169.8
+T3A (Ours)79.5 ± 0.585.6 ± 0.269.2 ± 0.248.1 ± 1.3 47.3 ± 0.770.4*
+Tent-BN71.4 ± 0.785.6 ± 0.269.2 ± 0.246.5 ± 0.568.2
+Tent-C78.1 ± 0.583.7 ± 0.468.2 ± 0.147.8 ± 1.169.5
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ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 +T3A73.2 ± 0.9 76.5 ± 0.980.3 ± 0.4 81.7 ± 0.155.7±0.2 57.0 ± 0.440.7 ± 0.3 41.6 ± 0.562.5 64.2*
resnet50 +T3A75.5± 0.1 78.3 ± 0.783.9 ± 0.2 84.5 ± 0.364.4 ± 0.2 66.5 ± 0.245.4 ± 1.2 45.9 ± 0.567.3 68.8*
BiT-M-R50x3 +T3A76.7± 0.1 79.7 ± 0.384.4 ± 1.2 85.4 ± 0.969.2 ± 0.6 71.7 ± 0.652.5± 0.3 52.2 ± 0.670.7 72.3*
BiT-M-R101x3 +T3A75.0 ± 0.6 78.6 ± 0.484.0 ± 0.7 85.4 ± 0.567.7± 0.5 69.9 ± 0.447.8 ± 0.8 48.1 ± 0.868.6 70.5*
BiT-M-R152x2 +T3A76.7 ± 0.3 79.1 ± 0.485.2 ± 0.1 86.4 ± 0.171.3 ± 0.6 73.2 ± 0.551.4 ± 0.6 50.9 ± 0.771.1 72.4*
ViT-B16 +T3A79.2 ± 0.3 80.2 ± 0.485.7 ± 0.1 86.0 ± 0.178.4± 0.3 78.9 ± 0.341.8 ± 0.6 42.5 ± 0.771.3 71.9*
ViT-L16 +T3A DeiT78.2± 0.5 79.0 ± 0.684.6± 0.5 85.5 ± 0.678.0 ± 0.1 78.7 ± 0.242.7 ± 1.9 45.3 ± 0.470.9 72.1**
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ModelsVLCSPACSOfficeHomeTerraAvg
resnet18 w/BN73.0± 0.679.5 ± 0.461.8 ± 0.341.7 ± 0.964.0
SHOT-IM61.6 ± 0.382.1 ± 0.362.5 ± 0.332.8 ± 0.459.8
SHOT61.8 ± 0.382.3 ± 0.262.8 ± 0.232.7 ± 0.459.9
PL67.0 ± 0.672.9 ± 1.056.3 ± 2.535.4 ± 1.757.9
PL-C71.8 ± 1.378.9 ± 0.461.7 ± 0.343.1 ± 0.963.9
Tent-Full72.3 ± 0.383.9 ± 0.362.7 ± 0.236.9 ± 0.364.0
BN-Norm70.4 ± 1.082.7 ± 0.162.0 ± 0.136.4 ± 0.262.9
Tent-C71.3 ± 1.574.6 ± 1.960.5 ± 0.440.9 ± 0.561.8
Tent-BN64.7 ± 0.781.1 ± 0.262.5 ± 0.336.4 ± 0.961.2
T3A (Ours)74.5 ± 0.981.4 ± 0.263.2 ± 0.439.5 ± 0.364.6*
resnet50 w/BN74.3 ± 0.584.1 ± 0.166.9 ± 0.245.8 ± 1.867.8
SHOT-IM61.5 ± 1.784.6 ± 0.368.0 ± 0.033.8 ± 0.362.0
SHOT61.6 ± 1.884.8 ± 0.568.0 ± 0.034.6 ± 0.362.3
PL63.4 ± 1.880.1 ± 3.561.3 ± 1.536.8 ± 4.460.4
PL-C73.3 ± 0.884.7 ± 0.366.4 ± 0.347.0 ± 1.767.9
Tent-Full75.4 ± 0.687.0 ± 0.266.9 ± 0.242.6 ± 0.868.0
BN-Norm71.3 ± 0.485.8 ± 0.166.4 ± 0.142.3 ± 0.466.5
Tent-C72.4 ± 1.584.4 ± 0.166.2 ± 0.242.4 ± 3.166.4
Tent-BN65.6 ± 1.484.9 ± 0.067.7 ± 0.242.7 ± 0.565.2
T3A (Ours)76.0 ± 0.385.1 ± 0.268.2 ± 0.144.6 ± 0.968.5*
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+ } + } +] \ No newline at end of file diff --git a/parse/train/rkpdnIqlx/rkpdnIqlx.md b/parse/train/rkpdnIqlx/rkpdnIqlx.md new file mode 100644 index 0000000000000000000000000000000000000000..474db5eeb35ad68c5581119c045e2bdac32ca333 --- /dev/null +++ b/parse/train/rkpdnIqlx/rkpdnIqlx.md @@ -0,0 +1,319 @@ +# THE VARIATIONAL WALKBACK ALGORITHM + +Anirudh Goyal∗, Nan Rosemary Ke†, Alex Lamb‡, Yoshua Bengio§ + +# ABSTRACT + +A recognized obstacle to training undirected graphical models with latent variables such as Boltzmann machines is that the maximum likelihood training procedure requires sampling from Monte-Carlo Markov chains which may not mix well, in the inner loop of training, for each example. We first propose the idea that it is sufficient to locally carve the energy function everywhere so that its gradient points in the “right” direction (i.e., towards generating the data). Following on previous work on contrastive divergence, denoising autoencoders, generative stochastic networks and unsupervised learning using non-equilibrium dynamics, we propose a variational bound on the marginal log-likelihood of the data which corresponds to a new learning procedure that first walks away from data points by following the model transition operator and then trains that operator to walk backwards for each of these steps, back towards the training example. The tightness of the variational bound relies on gradually increasing temperature as we walk away from the data, at each step providing a gradient on the parameters to maximize the probability that the transition operator returns to its previous state. Interestingly, this algorithm admits a variant where there is no explicit energy function, i.e., the parameters are used to directly define the transition operator. This also eliminates the explicit need for symmetric weights which previous Boltzmann machine or Hopfield net models require, and which makes these models less biologically plausible. + +# 1 INTRODUCTION + +Although earlier research focused on generating data through Monte Carlo Markov chains (MCMCs), e.g. with various Boltzmann machines (Salakhutdinov & Hinton, 2009), most of the recent effort in designing deep generative models is based on single-step generation, e.g., with variational auto-encoders (VAEs) (Kingma & Welling, 2013; Rezende et al., 2014) and generative adversarial networks (GANs) (Goodfellow et al., 2014). However, generating a sample by going through a series of stochastic transformations that gradually improve the generated sample (or its latent representation) to make it more plausible could hold some advantages. A generative process can be seen as a mapping from simple noise variates (e.g., uniform, Gaussian) to samples from a very complicated distribution (maybe concentrated near a low-dimensional manifold) approximating the one which we are trying to learn from. If the data distribution is complex (e.g., the corresponding manifold is highly convoluted and non-linear), the generative process may involve a highly non-linear transformation which could be difficult to learn and optimize. Such highly non-linear transformations are probably best represented (and learned) by composing a large number of slightly non-linear transformations, either with a fixed-depth deep network, or with a variable depth recurrent computation, which is what the repeated application of a transition operator corresponds to. + +# 1.1 MOTIVATIONS + +The main motivation for the paper are the following. + +• The main difference between feedforward generation and recurrent generation is twofold:(1) in the recurrent case, the same parameters are used for each step of the transition operator, and (2) by providing an interpretation of each of these steps as the application of a transition operator, we can design training procedures which do not require backpropagating through all the steps of the unfolded computation (from the raw noise samples to the generated output). This is a potential that clearly deserves to be explored further and motivates the learning framework introduced here. + +• Another motivation for the Variational Walkback is the idea that we only need to carve the energy function in the right direction at each point in the space of the random variables of interest, which may sideskip the need to actually sample from the stationary distribution of a Markov chain in order to obtain the gradients of the training objective. The intuition is that if the model’s transition operator wants to move away from the data and into an area without data, this is a clue that the energy gradient is pointing in the wrong direction at that place. Consider a chain of samples following the model’s transition operator (or variants of it at different temperatures), starting at a data point. If the chain moves us away from data points, then we can use the previous state in the chain as a target for the operator when that operator is applied to the next next state, i.e., we want to teach the operator to walk back towards the data. This intuition was already exploited by Bengio et al. (2013c) but without a firm mathematical grounding. In Variational Walkback this is rigorously justified by a variational bound. + +• Yet another motivation for the particular approach presented here is that it innovates in the rarely explored direction of parametrizing directly the generative model via a transition operator, rather than via an explicit probability function or energy function. This idea has already been discussed in the context Generative Stochastic Networks (GSNs) (Bengio et al., 2013b), a generalization of denoising auto-encoders (DAEs) (Vincent et al., 2008) which interprets the auto-encoder as estimating the gradient of an energy function (Alain & Bengio, 2014) or as a transition operator (Bengio et al., 2013c). An advantage of being able to parametrize directly the generator is seen with GANs and DAEs: we directly parametrize and learn the function which will be used to perform the task of interest (e.g. generating answers to some questions). Instead, the traditional approach is to parametrize a probability function or energy function (e.g., with a Boltzmann machine) and then then use another procedure (the MCMC method of your choice) to sample from it and do inference. Another important reason for exploring algorithms for directly learning a transition operator is that they put less constraint on the form of the transition operator, compared with a transition operator derived from an energy function. More specifically, neural net implementations of transition operators derived from an MCMC typically require the presence of symmetric weights (due to the symmetry of the second derivative of the energy with respect to a pair of units in the neural network), as discussed by Bengio et al. (2015). When we consider a biologically plausible implementation of these learning algorithms, the weight symmetry constraint $( W _ { i j } = W _ { j i } )$ ) is not reasonable as a hard constraint. Instead, if the transition operator (rather than the energy function) is the object being parametrized and learned, then there is no such hard constraint. + +# 1.2 GENERAL THEORY + +We introduce a novel variational bound which is an alternative to and improves upon the traditional reconstruction error as a training objective for DAEs and GSNs. Similar variational bounds have been used for VAEs as well as for the non-equilibrium thermodynamics generative models (SohlDickstein et al., 2015). A distribution $P$ over a chain of samples is defined, which corresponds to iteratively applying transition operators with shared parameters, starting from a pure noise initial state. We would like this process to produce training examples. An inverting flow $Q$ is defined starting from a training example (the “walk-away” trajectory), and following the transition operator of the model, i.e., estimating the posterior distribution of the generative chain produced by $P$ , given that it were landing at a training example. If the model does not match the data distribution, that chain $Q$ will tend to walk away from the training samples, and we want to inhibit that by training $P$ to “walk back”. Instead of using a completely different parametrization for the variational approximation of the posterior (the $Q$ distribution), like in VAEs and non-equilibrium dynamics, we propose to exploit the decomposition of $P$ as a series of stochastic transformations in order to parametrize $Q$ with the same parameters as $P$ , with the step-wise estimated posterior matching the correct one (from $P$ ) for all but the last step of the walk-away trajectory. To make the approximation in the last step of the chain of walk-away steps better (and thus the variational bound tighter) we introduce the idea of gradually increasing temperature at each step of the walk-away $Q$ chain of transitions (or gradually reducing temperature, at each step of the corresponding walkback trajectory under $P$ ). This also has the advantage that the training procedure will more easily converge to and eliminate spurious modes (those modes of the model where there is no nearby training data). This is because the walk-away $Q$ chain will be making large steps towards the dominant and most attractive modes when the temperature becomes large enough. Unless those modes are near data points, the walkback algorithm will thus “seek and destroy” these modes, these spurious modes. + +We present a series of experimental results on several datasets illustrating the soundness of the proposed approach on the MNIST, CIFAR-10 and CelebA datasets. + +# 2 MIXING-FREE TRAINING FRAMEWORK BASED ON THE WALKBACK IDEA + +# 2.1 MAXIMUM LIKELIHOOD TRAINING OF UNDIRECTED GRAPHICAL MODELS + +Let $\pmb { v }$ denote the vector of visible units and $^ { h }$ denote the vector of hidden random variables, with the full state of the model being $\pmb { s } = ( \pmb { v } , \pmb { h } )$ . Let $p _ { \theta }$ denote the model distribution, with joint energy function $E _ { \theta }$ and parameter vector $\pmb { \theta }$ : + +$$ +p _ { \theta } ( s ) : = \frac { e ^ { - E _ { \theta } ( s ) } } { Z _ { \theta } } , +$$ + +where $Z _ { \theta }$ is the partition function + +$$ +Z _ { \theta } : = \int e ^ { - E _ { \theta } ( s ) } d s . +$$ + +Let $p _ { \mathcal { D } }$ be the training distribution, from which a sample $\mathcal { D }$ is typically drawn to obtain the training set. The maximum likelihood parameter gradient is + +$$ +\mathbb { E } _ { \boldsymbol { v } \sim p _ { \mathcal { D } } } \left[ - \frac { \partial \log p _ { \theta } ( \boldsymbol { v } ) } { \partial \theta } \right] = \mathbb { E } _ { \boldsymbol { v } \sim p _ { \mathcal { D } } , \boldsymbol { h } \sim p _ { \theta } ( \boldsymbol { h } \vert \boldsymbol { v } ) } \left[ \frac { \partial E _ { \theta } ( \boldsymbol { v } , \boldsymbol { h } ) } { \partial \theta } \right] - \mathbb { E } _ { \boldsymbol { s } \sim p _ { \theta } ( \boldsymbol { s } ) } \left[ \frac { \partial E _ { \theta } ( \boldsymbol { s } ) } { \partial \theta } \right] +$$ + +which is zero when training has converged, with expected energy gradients in the positive phase (under $p _ { \mathcal { D } } ( \pmb { v } ) p _ { \pmb { \theta } } ( \pmb { h } | \pmb { v } ) )$ matching those under the negative phase (under $p _ { \pmb { \theta } } ( \pmb { s } ) _ { . }$ ). Note that in the (common) case of a log-linear model, the energy gradient (with respect to parameters) corresponds to the sufficient statistics of the model. Training thus consists in matching the shape of two distributions, as captured by the sufficient statistics: the positive phase distribution (influenced by the data, via the visible) and the negative phase distribution (where the model is free-running and generating configurations by itself). + +# 2.2 MIXING-FREE TRAINING FRAMEWORK FOR UNDIRECTED GRAPHICAL MODELS + +The basic idea of the proposed mixing-free training framework for undirected graphical models is the following. Instead of trying to match the whole positive phase and negative phase distributions (each of which require a difficult sampling operation, generally with an MCMC that may take very long time to mix between well separated modes), we propose to only match the shape of the energy function locally, around well-chosen points $\mathbf { \boldsymbol { s } } _ { t }$ . Another way to think about this is that instead of trying to directly maximize the likelihood of $p _ { \theta }$ which requires expensive inference (ideally an MCMC) in the inner loop of training (for each example $v \sim p _ { D } ,$ ), we would like to learn a transition operator $p _ { T } ( s _ { t + 1 } | s _ { t } )$ such that following it at temperature $T = 1$ would gradually move the state $\mathbf { \boldsymbol { s } } _ { t }$ towards the data generating distribution. + +For this purpose, we propose to use a walkback strategy similar to the one introduced by Bengio et al. (2013c), illustrated in Algorithm 1. The idea is to start from a configuration of $\pmb { s }$ which is compatible with the observed data $_ { \textbf { \em x } }$ , let the state evolve according to our transition operator, and then punish it for these moves, making it more likely to make backwards transitions on this trajectory. If learning was completed, the only moves that would remain are those between highly probable configurations under the data generating distribution. The other ones would be “punished”, like a child walking away from its designated task and forced to walk back (towards the data)1. Following the model’s inclination in order to generate this random trajectory is more efficient than simply adding noise (like in the denoising auto-encoder (Vincent et al., 2008) or the non-equilibrium dynamics (Sohl-Dickstein et al., 2015) algorithms) because it makes the learning procedure focus its computation on state configurations corresponding to spurious modes to be eliminated. To make sure these spurious modes are approached efficiently, the proposed algorithm also includes the idea of gradually increasing temperature (i.e., the amount of noise) along this walk-away trajectory. At high temperature, the transition operator mixes very easily and quickly reaches the areas corresponding to large spurious modes. + +Interestingly, all this comes out naturally of the variational bound presented below, rather than as something imposed in addition to the training objective. + +# Algorithm 1 VariationalWalkback $( \pmb \theta )$ + +Train a generative model associated with a transition operator $p _ { T } ( s | s ^ { \prime } )$ at temperature $T$ (temperature 1 for sampling from the actual model). This transition operator injects noise of variance $T \sigma ^ { 2 }$ at each step, where $\bar { \sigma } ^ { 2 }$ is the noise level at temperature 1. + +Require: Transition operator $p _ { T } ( s | s ^ { \prime } )$ from which one can both sample and compute the gradient of $\log p _ { T } ( s | s ^ { \prime } )$ with respect to parameters $\theta$ , given $\pmb { s }$ and $s ^ { \prime }$ . + +Require: Precomputed $\sigma _ { \mathrm { d a t a } } ^ { \bar { 2 } }$ , the overall variance (or squared diameter) of the data. repeat + +$$ +\begin{array} { r l } & { \dot { T } _ { \mathrm { m a x } } \frac { \sigma _ { \mathrm { d a t a } } ^ { 2 } } { \sigma ^ { 2 } } } \\ & { K \log _ { 2 } T _ { \mathrm { m a x } } } \end{array} +$$ + +# 3 VARIATIONAL LOWER BOUND ON THE LOG-LIKELIHOOD + +Let us first consider a way in which our model could approximately generate samples according to our model and the associated transition operator $p _ { T } ( s | s ^ { \prime } )$ . That process would start by sampling a state $s _ { K }$ inside a volume that contains all the data, e.g., with a broad Gaussian $p ^ { * } ( s _ { K } )$ whose variances are set according to the training data. Then we would sample $s _ { K - 1 }$ from $p _ { T _ { \mathrm { m a x } } } ( s | s ^ { \prime } =$ $s _ { K } )$ ), where $T _ { \mathrm { m a x } }$ is a high enough temperature so that the noise dominates the signal and is strong enough to move the state across the whole domain of the data on the visible portion of the state. If $\sigma _ { \mathrm { { d a t a } } } ^ { 2 } $ is the maximum variance of the data (corresponding to the visible dimensions of the state) and $\sigma ^ { 2 }$ is the amount noise injected by the transition operator on the visible units at temperature 1, then we could pick + +$$ +T _ { \mathrm { m a x } } = { \frac { \sigma _ { \mathrm { d a t a } } ^ { 2 } } { \sigma ^ { 2 } } } +$$ + +to achieve that goal. From that point on we are going to continue sampling the “previous” state $s _ { t }$ according to $p _ { T } \mathbf { \bar { ( } } s | s ^ { \prime } = s _ { t + 1 } )$ while gradually cooling the temperature, e.g. by dividing it by 2 after each step. In that case we would need + +$$ +K = \log _ { 2 } T _ { \mathrm { m a x } } +$$ + +steps to reach a temperature of 1. Finally, we would look at the visible portion of $\scriptstyle { \pmb { s } } _ { 0 }$ to obtain the sampled $_ { \textbf { \em x } }$ . In practice, we would expect that a slower annealing schedule would yield samples more in agreement with the stationary distribution of $p _ { 1 } ( \pmb { s } | \pmb { s } ^ { \prime } )$ , but we explored this aggressive annealing schedule in order to obtain faster training. + +The marginal probability of ${ \pmb v } = { \pmb x }$ at the end of the above $K$ -step process is thus $\begin{array} { r } { \mathsf { p } ( { \pmb x } ) = \int _ { { \pmb x } _ { 1 } ^ { K } } p _ { T _ { 0 } } ( { \pmb s } _ { 0 } = { \pmb x } | { \pmb s } _ { 1 } ) \left( \prod _ { t = 2 } ^ { K } p _ { T _ { t } } \big ( { \pmb s } _ { t - 1 } | { \pmb s } _ { t } \big ) \right) p ^ { * } ( { \pmb s } _ { K } ) d { \pmb s } _ { 1 } ^ { K } ( 6 ) \mathrm { w h e r e } T _ { t } \mathrm { \ i } } \end{array}$ s an annealing schedvariance ule with $\sigma _ { \mathrm { d a t a } } ^ { 2 }$ $T _ { 0 } ~ = ~ 1$ K max . We can rewrite this as follows by taking the log and multiplying and dividing by an and $T _ { K } = \dot { T } _ { \mathrm { m a x } }$ and $p ^ { * }$ is the “starting distribution”, such as the Gaussian of arbitrary distribution $q ( s _ { 1 } , \ldots , s _ { K } )$ decomposed into conditionals $q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } )$ : + +$$ +\begin{array} { r l r } { \log p ( \pmb { x } ) = \log \displaystyle \int _ { s _ { 1 } ^ { K } } q _ { T _ { 0 } } ( \pmb { x } ) q _ { T _ { 1 } } \big ( \pmb { s } _ { 1 } | \pmb { s } _ { 0 } ( \pmb { x } , \pmb { \cdot } ) \big ) \left( \displaystyle \prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \pmb { s } _ { t } | \pmb { s } _ { t - 1 } ) \right) } & { } & \\ { \frac { p _ { T _ { 0 } } \big ( \pmb { s } _ { 0 } = \pmb { x } | \pmb { s } _ { 1 } \big ) \left( \displaystyle \prod _ { t = 2 } ^ { K } p _ { T _ { t } } \big ( \pmb { s } _ { t - 1 } | \pmb { s } _ { t } \big ) \right) p ^ { \ast } ( \pmb { s } _ { K } ) } { q _ { T _ { 0 } } ( \pmb { x } ) q _ { T _ { 1 } } \big ( \pmb { s } _ { 1 } | \pmb { s } _ { 0 } = \pmb { x } \big ) \left( \displaystyle \prod _ { t = 2 } ^ { K } q _ { T _ { t } } \big ( \pmb { s } _ { t } | \pmb { s } _ { t - 1 } \big ) \right) } d s _ { 1 } ^ { K } } \end{array} +$$ + +where we understand that $\scriptstyle { \pmb { s } } _ { 0 } \ = \ { \pmb { x } }$ . Now we can apply Jensen’s inequality as usual to obtain the variational bound + +$$ +\begin{array} { r l r } { \log p ( x ) \geq \mathcal { L } } \\ & { } & \\ & { \quad \quad = \int _ { s _ { 1 } ^ { K } } \qquad q _ { T _ { 0 } } ( x ) q _ { T _ { 1 } } ( s _ { 1 } | s _ { 0 } = x ) \left( \displaystyle \prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \right) } \\ & { } & { \log \frac { p _ { T _ { 0 } } ( s _ { 0 } = x | s _ { 1 } ) \left( \displaystyle \prod _ { t = 2 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | s _ { t } ) \right) p ^ { * } ( s _ { K } ) } { q _ { T _ { 0 } } x q _ { T _ { 1 } } ( s _ { 1 } | s _ { 0 } = x ) \left( \displaystyle \prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \right) } d s _ { 1 } ^ { K } . } \end{array} +$$ + +This bound is valid for any $q$ but will be tight when $\begin{array} { r l } { q ( s _ { K } , s _ { K - 1 } , \ldots , s _ { 1 } | s _ { 0 } ) } & { { } = } \end{array}$ $p ( s _ { K } , s _ { K - 1 } , \ldots , s _ { 1 } \vert s _ { 0 } )$ , and otherwise can be used to obtain a variational training objective. Note that both $q$ and $p$ can be decomposed as a product of one-step conditionals. Here, we can make most of the $q _ { T _ { t } }$ transition probabilities match their corresponding $p _ { T _ { t } }$ transition probabilities exactly, i.e., for $1 \leq t < K$ we use + +$$ +q _ { T _ { t } } ( s | s ^ { \prime } ) = p _ { T _ { t } } ( s | s ^ { \prime } ) . +$$ + +The only approximations will be on both ends of the sequence: + +• Sampling exactly from the model’s $p ( \pmb { v } = \pmb { x } )$ is typically not feasible exactly (it involves the usual posterior inference, e.g., as used in VAEs) but as explained below we will exploit properties of the algorithm to approximate this efficiently. We call the chosen approximation $q _ { 1 } ( \pmb { v } )$ . +At the last step, the optimal $q _ { T _ { K } } ( \pmb { s } _ { K } | \pmb { s } _ { K - 1 } )$ is not simply the model’s transition operator at temperature $T _ { K }$ , because this conditional also involves the marginal “starting distribution” $p ^ { * } ( s _ { K } )$ . However, because we have picked $T _ { K }$ large enough to make samples from $q _ { T _ { m a x } } \bigl ( \pmb { s } _ { K } \big | \pmb { s } _ { K - 1 } \bigr )$ dominated by noise of the same variance as that of $p ^ { * }$ , we expect the approximation to be good too. + +# 3.1 ESTIMATING THE LOG-LIKELIHOOD USING IMPORTANCE SAMPLING + +In practice we cannot compute $\mathcal { L }$ exactly (nor its gradient), but we can easily obtain an unbiased estimator of $\mathcal { L }$ (or of its gradient) by sampling $s _ { 1 } ^ { K }$ from the $q$ distributions, i.e., approximate the $\mathcal { L }$ integral by a single Monte-Carlo sample. This is what is done by the training procedure outlined in Algorithm 1, which thus performs stochastic gradient ascent on the variational bound $\mathcal { L }$ , and this will tend to also push up the log-likelihood $\log p ( { \pmb x } )$ of training examples $_ { \textbf { \em x } }$ . Note that such variational bounds have been used successfully in many learning algorithms in the past (Kingma & Welling, 2013; Lamb et al., 2016). + +We derive an estimate of the negative log-likelihood by the following procedure. For each training example $x$ , we sample a large number of diffusion paths. We then use the following formulation to estimate the negative log-likelihood. + +$$ +\begin{array} { r } { \log p ( \pmb { x } ) = \log \mathbb { E } _ { \pmb { x } \sim p _ { \mathcal { D } } , q _ { T _ { 0 } } ( \pmb { x } ) q _ { T _ { 1 } } ( \pmb { s } _ { 1 } | \pmb { s } _ { 0 } ( \pmb { x } , ) ) \left( \prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \pmb { s } _ { t } | \pmb { s } _ { t - 1 } ) \right) } } \\ { \left[ \frac { p _ { T _ { 0 } } ( \pmb { s } _ { 0 } = \pmb { x } | \pmb { s } _ { 1 } ) \left( \prod _ { t = 2 } ^ { K } p _ { T _ { t } } ( \pmb { s } _ { t - 1 } | \pmb { s } _ { t } ) \right) p ^ { \ast } ( \pmb { s } _ { K } ) } { q _ { T _ { 0 } } ( \pmb { x } ) q _ { T _ { 1 } } ( \pmb { s } _ { 1 } | \pmb { s } _ { 0 } = \pmb { x } ) \left( \prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \pmb { s } _ { t } | \pmb { s } _ { t - 1 } ) \right) } \right] } \end{array} +$$ + +# 4 TRANSITION OPERATORS FOR VARIATIONAL WALKBACK + +Up to now we have not specified what the form of the transition operators should be. Two main variants are possible here. Either we directly parametrize the transition operator, like with denoising auto-encoders or generative stochastic networks, or we obtain our transition operator implicitly from some energy function, for example by applying some form of Gibbs sampling or Langevin MCMC to derive a transition operator associated with the energy function. + +An advantage of the direct parametrization is that it eliminates the constraint to have symmetric weights, which is interesting from the point of view of biological plausibility of such algorithms. An advantage of the energy-based parametrization is that at the end of the day we get an energy function which could be used to compute the unnormalized joint probability of visible and latent variables. However, note that in both cases we can easily get an estimator of the log-likelihood by simply using our lower bound $\mathcal { L }$ , possibly improved by doing more expensive inference for $p _ { T _ { K } } ( \bar { s _ { K } } | s _ { K - 1 } )$ . + +# 4.1 PARAMETRIC TRANSITION OPERATOR + +In our experiments we considered Bernoulli and isotropic Gaussian transition operators for binary and real-valued data respectively. + +When we sample from the transition operator we do not attempt to pass gradients through the sampling operation. Accordingly, backpropagation is performed locally on each step of the walk-back, and there is no flow of gradient between multiple walk-back steps. + +Additionally, we use a “conservative” transition operator that averages its input image together with the sample from the learned distribution (or takes a weighted average with a fixed $\alpha$ weighting) for the transition operator. Just after parameter initialization, the distribution learned by the transition operator’s output is essentially random, so it is very difficult for the network to learn to reconstruct the value at the previous step. + +# Bernoulli Transition Operator + +$$ +\rho = s i g m o i d ( \frac { ( 1 - \alpha ) * x _ { t - 1 } + \alpha * F _ { \rho } ( x _ { t - 1 } ) } { T _ { t } } ) +$$ + +# Gaussian Transition Operator + +$$ +\begin{array} { r } { \mu = ( 1 - \alpha ) * x _ { t - 1 } + \alpha * F _ { \mu } ( x _ { t - 1 } ) } \\ { } \\ \\ { \sigma = s i g m o i d ( T _ { t } \log ( 1 + e ^ { F _ { \sigma } ( x _ { t - 1 } ) } ) ) } \end{array} +$$ + +$F _ { \rho } , F _ { \mu } , F _ { \sigma }$ are functions (in our case neural networks) which take the previous $\mathbf { X }$ value from the walkback chain and return estimates of the value of $\mu$ and $\sigma$ respectively. $T$ is the temperature which is dependent on the walkback step $t$ . $x _ { t - 1 }$ is the previous value in the walkback chain. + +# 5 RELATED WORK + +# Contrastive Divergence + +This algorithm is clearly related to the contrastive divergence algorithm with $k = T$ steps (CD$k$ ). The CD- $k$ algorithm approximates the log-likelihood gradient by trying to match the sufficient statistics with the data clamped to the sufficient statistics after $k$ steps of the transition operator. The parameter update is the difference of these sufficient statistics, which also corresponds to pushing down the energy of the data-clamped configuration while pushing up the energy of the random variables after $k$ steps of the transition operator. + +Two important differences are that, because the temperature is increasing in the variational walkback procedure, + +1. the energy gradients $\frac { \partial E ( s ) } { \partial s }$ do not cancel each other telescopically along the chain from $s _ { 0 }$ to $s _ { T }$ , 2. as $t$ increases we move more and more randomly rather than following the energy of the model, allowing to hunt more effectively the areas near spurious modes. + +A third difference is that the learning procedure is expressed in terms of the transition operator rather than directly in terms of the energy function. This allows one to thus train a transition operator directly, rather than indirectly via an energy function. + +# Generative Stochastic Networks + +The Generative Stochastic Networks (GSN) algorithm proposed by Bengio et al. (2013b) learns a transition operator by iteratively injecting noise and minimizing the reconstruction error after a number of transition operator steps starting at a data point, and back-propagating through all these steps. One thing in common is the idea of using the walkback intuition instead of isotropic noise in order to converge more efficiently. A major difference is that the algorithm proposed for GSNs involves the minimization of overall reconstruction error (from the input data point $x$ to the sampled reconstruction many steps later). This will tend to blur the learned distribution. Instead, the variational walk-back algorithm minimizes reconstruction error one step at a time along the walk-away trajectory. + +In addition, the variational walkback GSNs require back-propagating through all the iterated steps, like the DRAW algorithm (Gregor et al., 2015). Instead the variational walk-back algorithm only requires back-propagating through a single step at a time of the transition operator. This should make it easier to train because we avoid having to optimize a highly non-linear transformation obtained by the composition of many transition operator steps. + +# Non-Equilibrium Thermodynamics + +There are two main differences between the Variational Walkback algorithm and the NonEquilibrium Thermodynamics: + +1. Instead of isotropic noise to move away from the data manifold, we propose to use the model’s own transition operator, with the idea that it will “seek and destroy” the spurious modes much more efficiently than random moves. +2. Instead of injecting a fixed amount of noise per time step, we increase the noise as it moves away from the data manifold, and anneal the noise when we are close to the data manifold. This way, we can quickly reach the noise prior without loosing the details of the data. Our model takes significantly fewer steps to walk away and back to the manifold, as compared to the 1000 steps used for Non-Equilibrium Thermodynamics. + +# Annealed Importance Sampling (AIS) + +Annealed Importance Sampling is a sampling procedure. Like variational walkback, it uses an annealing schedule corresponding to a range of temperature from infinity to 1. It is used to estimate a partition function. Unlike Annealed Importance Sampling, variational walkback is meant to provide a good variational lower bound for training a transition operator. + +# Reverse Annealed Importance Sampling Estimator (RAISE) + +RAISE is a reverse AIS, as it starts from a data point and then increases the temperature. In this way it is similar to the Q-chain in variational walkback. The advantage of RAISE over AIS is that it yields an estimator of the log-likelihood that tends to be pessimistic rather than optimistic, which makes it better as an evaluation criteria. + +Like AIS, RAISE estimates the log-likelihood using a form of importance sampling, based on a product (over the chain) of the ratios of consecutive probabilities (not conditional probabilities from the model). Variational walkback does not work with estimates of the model’s unconditional probability, and instead works directly with a conditional probability defined by the transition operator. It is for this reason that variational walkback does not need to have an explicit energy function). + +# 6 EXPERIMENTS + +We evaluated the variational walkback on three datasets: MNIST, CIFAR (Krizhevsky & Hinton, 2009), and CelebA (Liu et al., 2015). The MNIST and CIFAR datasets were used as is, but the aligned and cropped version of the CelebA dataset was scaled from $2 1 8 \times 1 7 8$ pixels to $7 8 \mathrm { ~ x ~ } 6 4$ pixels and center-cropped at $6 4 \mathrm { ~ x ~ } 6 4$ pixels (Liu et al., 2015). For all of our experiments we used the Adam optimizer (Kingma & Ba, 2014) and the Theano framework (Al-Rfou et al., 2016). The training procedure and architecture are detailed in appendix A. + +![](images/ba16bc158d82e0c503d0f1ec037358b84099e62a4e7d622e797a59da97a9d00c.jpg) +Figure 1: Samples on MNIST using a Bernoulli likelihood in the transition operator, 8 walkback steps during training, and 13 walkback steps during sampling. On right. Diffusion process for sampling MNIST digits starting from bernoiulli noise. This shows how the variational walkback iteratively generates images starting from a noise prior. For intermediate steps we display samples and for the final step (right) we display the transition operator’s mean. + +![](images/dea4744dcdb800932d7dea3c040f624eff141df07c934d3a3bb36bbe190a718b.jpg) +Figure 2: Variational Walkback Inpainting MNIST the left half of digits conditioned on the right half. The goal is to fill in the left half of an MNIST digit given an observed right half of an image (drawn from validation set). + +![](images/cdf8b2793d08d8848fdaeec85912326d326291ef2b06176073f5a33878d7ffd8.jpg) +Figure 3: Original Images from CelebA (left), Variational Walkback Reconstructions (middle) and Samples (right). + +![](images/07c904627f0c1a6eae74891cff93e54de27a15379dfe326c6cec30f5163ec4f7.jpg) +Figure 4: Variational Walkback Samples on CIFAR10 (left and right). + +We reported samples on CIFAR, MNIST, CelebA and inpainting results on MNIST. Our inpainting results on MNIST are competitive with generative stochastic networks and show somewhat higher consistency between the given part of the image and the generated portion (Bengio et al., 2013c). However, we note that our samples on CIFAR and CelebA show the same “blurring effect” that has been observed with autoencoder-based generative models trained to minimize reconstruction loss (Lamb et al., 2016). + +# 7 CONCLUSION AND FUTURE WORK + +We have introduced a new form of walk-back and a new algorithm for learning transition operators or undirected graphical models. Our algorithm learns a transition operator by allowing the model to walk-away from the data towards the noise prior and then teaching it to actually to have its transitions trained to go backwards each of these walk-away steps, i.e., towards the data manifold. Variational walk-back increases the temperature along the chain as it is moving further away from the data manifold, and inversely, anneals the temperature at generation time, as it gets closer to the estimated manifold. This allows the training procedure to quickly find and remove dominant spurious modes. Learning a transition operator also allows our model to learn only a conditional distribution at each step. This is much easier to learn, since it only needs to capture a few modes per step. The model also only locally carves the energy function, which means that it does not have to learn the entire joint probability distribution, but rather steps towards the right direction, making sure that everywhere it puts probability mass as well as around the data, the energy gradient is pointing towards the data. + +Our experimental results have confirmed that the model can walk towards the data manifold in a few steps, even when the modes are sharp. + +Future work should extend this algorithm and experiments in order to incorporate latent variables. The state would now include both the visible $\vec { x }$ and some latent $\vec { h }$ . Essentially the same procedure can be run, except for the need to initialize the chain with a state $\vec { s } = ( \vec { x } , \vec { h } )$ where $\vec { h }$ would ideally be an estimate of the posterior distribution of $\vec { h }$ given the observed data point $\vec { x }$ . Another interesting direction to expand this work is to replace the log-likelihood objective at each step by a GANlike objective, thus avoiding the need to inject noise independently on each of the pixels, during one application of the transition operator, and allowing the latent variable sampling to inject all the required high-level decisions associated with the transition. Based on the earlier results from Bengio et al. (2013a), sampling in the latent space rather than in the pixel space should allow for better generative models and even better mixing between modes.Bengio et al. (2013b) + +# ACKNOWLEDGMENTS + +The authors would like to thank Benjamin Scellier and Aaron Courville for their helpful feedback and discussions, as well as NSERC, CIFAR, Google, Samsung, Nuance, IBM and Canada Research Chairs for funding, and Compute Canada for computing resources. + +# REFERENCES + +Rami Al-Rfou, Guillaume Alain, Amjad Almahairi, and et al. Theano: A python framework for fast computation of mathematical expressions. CoRR, abs/1605.02688, 2016. URL http:// arxiv.org/abs/1605.02688. + +Guillaume Alain and Yoshua Bengio. What regularized auto-encoders learn from the data-generating distribution. Journal of Machine Learning Research, 15(1):3563–3593, 2014. + +Yoshua Bengio, Gregoire Mesnil, Yann Dauphin, and Salah Rifai. Better mixing via deep represen- ´ tations. 2013a. + +Yoshua Bengio, Eric Thibodeau-Laufer, Guillaume Alain, and Jason Yosinski. Deep generative stochastic networks trainable by backprop. arXiv preprint arXiv:1306.1091, 2013b. + +Yoshua Bengio, Li Yao, Guillaume Alain, and Pascal Vincent. Generalized denoising auto-encoders as generative models. CoRR, abs/1305.6663, 2013c. URL http://arxiv.org/abs/1305. 6663. + +Yoshua Bengio, Dong-Hyun Lee, Jorg Bornschein, and Zhouhan Lin. Towards biologically plau- ¨ sible deep learning. CoRR, abs/1502.04156, 2015. URL http://arxiv.org/abs/1502. 04156. + +Ian Goodfellow, Jean Pouget-Abadie, Mehdi Mirza, Bing Xu, David Warde-Farley, Sherjil Ozair, Aaron Courville, and Yoshua Bengio. Generative adversarial nets. In Advances in Neural Information Processing Systems, pp. 2672–2680, 2014. + +Karol Gregor, Ivo Danihelka, Alex Graves, and Daan Wierstra. Draw: A recurrent neural network for image generation. arXiv preprint arXiv:1502.04623, 2015. + +Diederik P. Kingma and Jimmy Ba. Adam: A method for stochastic optimization. CoRR, abs/1412.6980, 2014. URL http://arxiv.org/abs/1412.6980. + +Diederik P Kingma and Max Welling. Auto-encoding variational bayes. arXiv preprint arXiv:1312.6114, 2013. + +Alex Krizhevsky and Geoffrey Hinton. Learning multiple layers of features from tiny images, 2009. + +Alex Lamb, Vincent Dumoulin, and Aaron Courville. Discriminative regularization for generative models. arXiv preprint arXiv:1602.03220, 2016. + +Ziwei Liu, Ping Luo, Xiaogang Wang, and Xiaoou Tang. Deep learning face attributes in the wild. In Proceedings of the IEEE International Conference on Computer Vision, pp. 3730–3738, 2015. + +Alec Radford, Luke Metz, and Soumith Chintala. Unsupervised representation learning with deep convolutional generative adversarial networks. arXiv preprint arXiv:1511.06434, 2015. + +Danilo Jimenez Rezende, Shakir Mohamed, and Daan Wierstra. Stochastic backpropagation and approximate inference in deep generative models. arXiv preprint arXiv:1401.4082, 2014. + +Ruslan Salakhutdinov and Geoffrey Hinton. Deep boltzmann machines. In Artificial Intelligence and Statistics, 2009. + +Jascha Sohl-Dickstein, Eric A. Weiss, Niru Maheswaranathan, and Surya Ganguli. Deep unsupervised learning using nonequilibrium thermodynamics. CoRR, abs/1503.03585, 2015. URL http://arxiv.org/abs/1503.03585. + +Pascal Vincent, Hugo Larochelle, Yoshua Bengio, and Pierre-Antoine Manzagol. Extracting and composing robust features with denoising autoencoders. In Proceedings of the 25th international conference on Machine learning, pp. 1096–1103. ACM, 2008. + +# A ARCHITECTURE DETAILS + +The architecture that was used for the CelebA and CIFAR dataset was similar to the architecture used by Lamb et al. (2016), with a convolutional encoder followed by two fully connected hidden layers, followed by a decoder with strided convolutions (Radford et al., 2015). Batch norm was applied in all layers except for the last layer. For all layers except for the last we used the tanh activation function. Surprisingly, we were unable to obtain good results using the RELU or Leaky RELU activation . + +On the binarized MNIST dataset we used a transition operator with Bernoulli outputs. A feedforward neural network was used to estimate the parameters (per-pixel probabilities) for the Bernoulli outputs. This neural network consisted of a single hidden layer with 4096 hidden units and the tanh activation function. + +# B WALKBACK PROCEDURE DETAILS + +The variational walkback algorithm has three unique hyperparameters. One is the number of walkback steps performed during training. Another is the number of walkback steps performed when sampling from the model. Still another is the temperature schedule used during training, reconstruction, or sampling. + +The most conservative hyperparameter setting would involve using a large number of walkback steps during training and slowly increasing the temperature. However, this could make training slow, and if too few steps are used, the end of the walkback chain will not match the noise prior, leading to low quality samples. + +A dynamic approach to setting the number of walkback steps and temperature schedule may be possible, but in this work we set these hyperparameters empirically. We found that during training√ using a temperature schedule of $T = T _ { 0 } { \sqrt { 2 ^ { t } } }$ produced good results, where $T _ { 0 } = 1 . 0$ is the initial temperature and $t$ is the step index. During sampling, we found good results using the reverse schedule: $\begin{array} { r } { T = \frac { \sqrt { 2 ^ { N } } } { \sqrt { 2 ^ { t } } } } \end{array}$ , where $t$ is the step index and $N$ is the total number of sampling steps. + +For MNIST, we achieved our results using 8 training steps of walkback. For CIFAR, we used 15 training steps and 20 sampling steps. For CelebA, we used 30 training steps and 35 sampling steps. In general, we found that we could achieve higher quality results by using more steps during sampling then we used during training. We found that more difficult datasets, like CIFAR and CelebA, required longer walkback chains. Finally, our model is able to achieve results competitive with Non-Equilibrium Thermodynamics (Sohl-Dickstein et al., 2015), despite that method requiring chains with far more steps (1000 steps for MNIST). + +# C ALTERNATIVE FORMULATION OF VARIATIONAL BOUND + +The marginal probability of ${ \pmb v } = { \pmb x }$ at the end of the above $K$ -step process is thus + +$$ +p ( \pmb { x } ) = \int _ { s _ { 1 } ^ { K } } \left( \prod _ { t = 1 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | \pmb { s } _ { t } ) \right) p ^ { * } ( \pmb { s } _ { K } ) d \pmb { s } _ { 1 } ^ { K } +$$ + +where tion”, $T _ { t }$ is an annealing schedule with as the Gaussian of variance $T _ { 0 } = 1$ and e ca $T _ { K } = T _ { \operatorname* { m a x } }$ and as fo $p ^ { * }$ is the “starting distribu-ws by taking the log and $\sigma _ { \mathrm { d a t a } } ^ { 2 }$ +multiplying and dividing by an arbitrary distribution $q ( s _ { 1 } , \ldots , s _ { K } )$ decomposed into conditionals +$q _ { T _ { t } } \bigl ( \pmb { s } _ { t } | \pmb { s } _ { t - 1 } \bigr )$ : + +$$ +q ( \pmb { s } _ { 0 } , \pmb { s } _ { 1 } , . . . , \pmb { s } _ { k } ) = \left( \prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( \pmb { s } _ { t } | \pmb { s } _ { t - 1 } ) \right) q ( \pmb { s } _ { K } ) +$$ + +giving us: + +$$ +\log p ( \pmb { x } ) = \log \int _ { s _ { 1 } ^ { K } } q _ { T _ { 0 } } ( \pmb { x } ) \left( \prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \right) \frac { \left( \prod _ { t = 1 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | s _ { t } ) \right) p ^ { * } ( s _ { K } ) } { q _ { T _ { 0 } } ( \pmb { x } ) \left( \prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \right) } d s _ { 1 } ^ { K } +$$ + +where we understand that $\scriptstyle { \pmb { s } } _ { 0 } \ = \ { \pmb { x } }$ . Now we can apply Jensen’s inequality as usual to obtain the variational bound + +$$ +\begin{array} { r l } { \log p ( x ) \ge \mathcal { L } } & { = \displaystyle \int _ { s _ { 1 } ^ { K } } q _ { T _ { 0 } } ( x ) \left( \prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \right) \log \frac { \left( \prod _ { t = 1 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | s _ { t } ) \right) p ^ { * } ( s _ { K } ) } { q _ { T _ { 0 } } ( x ) \left( \prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \right) } d s _ { 1 } ^ { K } . } \end{array} +$$ + +# D TIGHTNESS OF THE VARIATIONAL BOUND + +We present an argument that running the walkback chain for a sufficient number of steps will cause the variational bound to become tight. + +Consider a sequence $s _ { t } , ~ . . . , ~ s _ { 1 }$ generated in that order by our model p through a sequence of applications of the transition operator $\mathrm { T } ,$ i.e., $p ( s _ { 1 } , . . . , s _ { t } ) \ = \ p ( s _ { t } ) T ( s _ { t - 1 } | s _ { t } ) . . . T ( s _ { 1 } | s _ { 2 } )$ , i.e. $\bar { p ( s _ { n - 1 } | s _ { n } ) } = T ( s _ { n - 1 } | s _ { n } )$ , but note that $p ( s _ { n } | s _ { n - 1 } ) \neq p ( s _ { n - 1 } | s _ { n } )$ . + +Let $p _ { i } ( s )$ denote the stationary distribution associated with T. Note that $\mathrm { T }$ and $p _ { i }$ and related by the detailed balance equation, i.e., $T ( s | s ^ { \prime } ) p _ { i } ( s ^ { \prime } ) = T ( s ^ { \prime } | s ) p _ { i } ( s )$ . + +We want to approximate the posterior + +$$ +\begin{array} { r } { p ( s _ { t } , s _ { t - 1 } , . . . , s _ { 2 } | s _ { 1 } ) = \prod _ { n = 2 } ^ { t } p ( s _ { n } | s _ { n - 1 } ) } \end{array} +$$ + +now by Bayes rule + +So our approximation error in the posterior is the factor $\frac { p ( s _ { t } ) } { p _ { i } ( s _ { t } ) } \frac { p _ { i } ( s _ { 1 } ) } { p ( s _ { 1 } ) }$ . + +If t is large enough, then $s _ { 1 }$ (being at the end of the generative sequence) has pretty much converged, i.e., $p ( s _ { 1 } ) \approx p _ { i } ( \bar { s } _ { 1 } )$ . + +If we throw in temperature annealing along the way (now the notation would have to be changed to put an index n on both p and T), with the initial temperature being very high, then we can hope that the initial Gaussian $p ( s _ { t } )$ is very similar to the stationary distribution at high temperature $p _ { i } ( s _ { t } )$ . + +These arguments suggest that as we make t larger and the final (initial) temperature larger as well, the approximation becomes better. \ No newline at end of file diff --git a/parse/train/rkpdnIqlx/rkpdnIqlx_content_list.json b/parse/train/rkpdnIqlx/rkpdnIqlx_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..6d6dabd8a125dde964569f850abda351e8f08c37 --- /dev/null +++ b/parse/train/rkpdnIqlx/rkpdnIqlx_content_list.json @@ -0,0 +1,1665 @@ +[ + { + "type": "text", + "text": "THE VARIATIONAL WALKBACK ALGORITHM ", + "text_level": 1, + "bbox": [ + 176, + 99, + 709, + 121 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anirudh Goyal∗, Nan Rosemary Ke†, Alex Lamb‡, Yoshua Bengio§ ", + "bbox": [ + 184, + 143, + 643, + 160 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 195, + 544, + 210 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "A recognized obstacle to training undirected graphical models with latent variables such as Boltzmann machines is that the maximum likelihood training procedure requires sampling from Monte-Carlo Markov chains which may not mix well, in the inner loop of training, for each example. We first propose the idea that it is sufficient to locally carve the energy function everywhere so that its gradient points in the “right” direction (i.e., towards generating the data). Following on previous work on contrastive divergence, denoising autoencoders, generative stochastic networks and unsupervised learning using non-equilibrium dynamics, we propose a variational bound on the marginal log-likelihood of the data which corresponds to a new learning procedure that first walks away from data points by following the model transition operator and then trains that operator to walk backwards for each of these steps, back towards the training example. The tightness of the variational bound relies on gradually increasing temperature as we walk away from the data, at each step providing a gradient on the parameters to maximize the probability that the transition operator returns to its previous state. Interestingly, this algorithm admits a variant where there is no explicit energy function, i.e., the parameters are used to directly define the transition operator. This also eliminates the explicit need for symmetric weights which previous Boltzmann machine or Hopfield net models require, and which makes these models less biologically plausible. ", + "bbox": [ + 233, + 227, + 764, + 502 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 178, + 526, + 336, + 542 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Although earlier research focused on generating data through Monte Carlo Markov chains (MCMCs), e.g. with various Boltzmann machines (Salakhutdinov & Hinton, 2009), most of the recent effort in designing deep generative models is based on single-step generation, e.g., with variational auto-encoders (VAEs) (Kingma & Welling, 2013; Rezende et al., 2014) and generative adversarial networks (GANs) (Goodfellow et al., 2014). However, generating a sample by going through a series of stochastic transformations that gradually improve the generated sample (or its latent representation) to make it more plausible could hold some advantages. A generative process can be seen as a mapping from simple noise variates (e.g., uniform, Gaussian) to samples from a very complicated distribution (maybe concentrated near a low-dimensional manifold) approximating the one which we are trying to learn from. If the data distribution is complex (e.g., the corresponding manifold is highly convoluted and non-linear), the generative process may involve a highly non-linear transformation which could be difficult to learn and optimize. Such highly non-linear transformations are probably best represented (and learned) by composing a large number of slightly non-linear transformations, either with a fixed-depth deep network, or with a variable depth recurrent computation, which is what the repeated application of a transition operator corresponds to. ", + "bbox": [ + 174, + 558, + 825, + 765 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1.1 MOTIVATIONS ", + "text_level": 1, + "bbox": [ + 176, + 781, + 313, + 796 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The main motivation for the paper are the following. ", + "bbox": [ + 176, + 808, + 517, + 823 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "• The main difference between feedforward generation and recurrent generation is twofold:(1) in the recurrent case, the same parameters are used for each step of the transition operator, and (2) by providing an interpretation of each of these steps as the application of a transition operator, we can design training procedures which do not require backpropagating through all the steps of the unfolded computation (from the raw noise samples to the generated output). This is a potential that clearly deserves to be explored further and motivates the learning framework introduced here. ", + "bbox": [ + 217, + 833, + 823, + 861 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 230, + 103, + 825, + 172 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• Another motivation for the Variational Walkback is the idea that we only need to carve the energy function in the right direction at each point in the space of the random variables of interest, which may sideskip the need to actually sample from the stationary distribution of a Markov chain in order to obtain the gradients of the training objective. The intuition is that if the model’s transition operator wants to move away from the data and into an area without data, this is a clue that the energy gradient is pointing in the wrong direction at that place. Consider a chain of samples following the model’s transition operator (or variants of it at different temperatures), starting at a data point. If the chain moves us away from data points, then we can use the previous state in the chain as a target for the operator when that operator is applied to the next next state, i.e., we want to teach the operator to walk back towards the data. This intuition was already exploited by Bengio et al. (2013c) but without a firm mathematical grounding. In Variational Walkback this is rigorously justified by a variational bound. ", + "bbox": [ + 215, + 179, + 825, + 359 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• Yet another motivation for the particular approach presented here is that it innovates in the rarely explored direction of parametrizing directly the generative model via a transition operator, rather than via an explicit probability function or energy function. This idea has already been discussed in the context Generative Stochastic Networks (GSNs) (Bengio et al., 2013b), a generalization of denoising auto-encoders (DAEs) (Vincent et al., 2008) which interprets the auto-encoder as estimating the gradient of an energy function (Alain & Bengio, 2014) or as a transition operator (Bengio et al., 2013c). An advantage of being able to parametrize directly the generator is seen with GANs and DAEs: we directly parametrize and learn the function which will be used to perform the task of interest (e.g. generating answers to some questions). Instead, the traditional approach is to parametrize a probability function or energy function (e.g., with a Boltzmann machine) and then then use another procedure (the MCMC method of your choice) to sample from it and do inference. Another important reason for exploring algorithms for directly learning a transition operator is that they put less constraint on the form of the transition operator, compared with a transition operator derived from an energy function. More specifically, neural net implementations of transition operators derived from an MCMC typically require the presence of symmetric weights (due to the symmetry of the second derivative of the energy with respect to a pair of units in the neural network), as discussed by Bengio et al. (2015). When we consider a biologically plausible implementation of these learning algorithms, the weight symmetry constraint $( W _ { i j } = W _ { j i } )$ ) is not reasonable as a hard constraint. Instead, if the transition operator (rather than the energy function) is the object being parametrized and learned, then there is no such hard constraint. ", + "bbox": [ + 220, + 366, + 825, + 670 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "1.2 GENERAL THEORY ", + "text_level": 1, + "bbox": [ + 176, + 689, + 344, + 703 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We introduce a novel variational bound which is an alternative to and improves upon the traditional reconstruction error as a training objective for DAEs and GSNs. Similar variational bounds have been used for VAEs as well as for the non-equilibrium thermodynamics generative models (SohlDickstein et al., 2015). A distribution $P$ over a chain of samples is defined, which corresponds to iteratively applying transition operators with shared parameters, starting from a pure noise initial state. We would like this process to produce training examples. An inverting flow $Q$ is defined starting from a training example (the “walk-away” trajectory), and following the transition operator of the model, i.e., estimating the posterior distribution of the generative chain produced by $P$ , given that it were landing at a training example. If the model does not match the data distribution, that chain $Q$ will tend to walk away from the training samples, and we want to inhibit that by training $P$ to “walk back”. Instead of using a completely different parametrization for the variational approximation of the posterior (the $Q$ distribution), like in VAEs and non-equilibrium dynamics, we propose to exploit the decomposition of $P$ as a series of stochastic transformations in order to parametrize $Q$ with the same parameters as $P$ , with the step-wise estimated posterior matching the correct one (from $P$ ) for all but the last step of the walk-away trajectory. To make the approximation in the last step of the chain of walk-away steps better (and thus the variational bound tighter) we introduce the idea of gradually increasing temperature at each step of the walk-away $Q$ chain of transitions (or gradually reducing temperature, at each step of the corresponding walkback trajectory under $P$ ). This also has the advantage that the training procedure will more easily converge to and eliminate spurious modes (those modes of the model where there is no nearby training data). This is because the walk-away $Q$ chain will be making large steps towards the dominant and most attractive modes when the temperature becomes large enough. Unless those modes are near data points, the walkback algorithm will thus “seek and destroy” these modes, these spurious modes. ", + "bbox": [ + 174, + 715, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 215 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We present a series of experimental results on several datasets illustrating the soundness of the proposed approach on the MNIST, CIFAR-10 and CelebA datasets. ", + "bbox": [ + 174, + 222, + 821, + 251 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2 MIXING-FREE TRAINING FRAMEWORK BASED ON THE WALKBACK IDEA ", + "text_level": 1, + "bbox": [ + 174, + 272, + 812, + 289 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.1 MAXIMUM LIKELIHOOD TRAINING OF UNDIRECTED GRAPHICAL MODELS ", + "text_level": 1, + "bbox": [ + 178, + 304, + 733, + 320 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let $\\pmb { v }$ denote the vector of visible units and $^ { h }$ denote the vector of hidden random variables, with the full state of the model being $\\pmb { s } = ( \\pmb { v } , \\pmb { h } )$ . Let $p _ { \\theta }$ denote the model distribution, with joint energy function $E _ { \\theta }$ and parameter vector $\\pmb { \\theta }$ : ", + "bbox": [ + 174, + 330, + 823, + 373 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/2b7c4d4bf532b7894c25af8a957c51b6ec641c4c53db2ec0d44414e1d84386f4.jpg", + "text": "$$\np _ { \\theta } ( s ) : = \\frac { e ^ { - E _ { \\theta } ( s ) } } { Z _ { \\theta } } ,\n$$", + "text_format": "latex", + "bbox": [ + 434, + 381, + 562, + 416 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $Z _ { \\theta }$ is the partition function ", + "bbox": [ + 174, + 424, + 397, + 439 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/4f4dddfb98cd0ad6de925d09e52c27e956debaff93db88874cc73ff14bc8f07c.jpg", + "text": "$$\nZ _ { \\theta } : = \\int e ^ { - E _ { \\theta } ( s ) } d s .\n$$", + "text_format": "latex", + "bbox": [ + 428, + 445, + 570, + 479 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let $p _ { \\mathcal { D } }$ be the training distribution, from which a sample $\\mathcal { D }$ is typically drawn to obtain the training set. The maximum likelihood parameter gradient is ", + "bbox": [ + 171, + 486, + 825, + 515 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/db4e98c2e5ecbafa0da3f2075ecd64c5d9873346e6a2aeff395efd5dbaebce81.jpg", + "text": "$$\n\\mathbb { E } _ { \\boldsymbol { v } \\sim p _ { \\mathcal { D } } } \\left[ - \\frac { \\partial \\log p _ { \\theta } ( \\boldsymbol { v } ) } { \\partial \\theta } \\right] = \\mathbb { E } _ { \\boldsymbol { v } \\sim p _ { \\mathcal { D } } , \\boldsymbol { h } \\sim p _ { \\theta } ( \\boldsymbol { h } \\vert \\boldsymbol { v } ) } \\left[ \\frac { \\partial E _ { \\theta } ( \\boldsymbol { v } , \\boldsymbol { h } ) } { \\partial \\theta } \\right] - \\mathbb { E } _ { \\boldsymbol { s } \\sim p _ { \\theta } ( \\boldsymbol { s } ) } \\left[ \\frac { \\partial E _ { \\theta } ( \\boldsymbol { s } ) } { \\partial \\theta } \\right]\n$$", + "text_format": "latex", + "bbox": [ + 223, + 522, + 772, + 558 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "which is zero when training has converged, with expected energy gradients in the positive phase (under $p _ { \\mathcal { D } } ( \\pmb { v } ) p _ { \\pmb { \\theta } } ( \\pmb { h } | \\pmb { v } ) )$ matching those under the negative phase (under $p _ { \\pmb { \\theta } } ( \\pmb { s } ) _ { . }$ ). Note that in the (common) case of a log-linear model, the energy gradient (with respect to parameters) corresponds to the sufficient statistics of the model. Training thus consists in matching the shape of two distributions, as captured by the sufficient statistics: the positive phase distribution (influenced by the data, via the visible) and the negative phase distribution (where the model is free-running and generating configurations by itself). ", + "bbox": [ + 174, + 564, + 825, + 662 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 MIXING-FREE TRAINING FRAMEWORK FOR UNDIRECTED GRAPHICAL MODELS ", + "text_level": 1, + "bbox": [ + 174, + 681, + 754, + 695 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The basic idea of the proposed mixing-free training framework for undirected graphical models is the following. Instead of trying to match the whole positive phase and negative phase distributions (each of which require a difficult sampling operation, generally with an MCMC that may take very long time to mix between well separated modes), we propose to only match the shape of the energy function locally, around well-chosen points $\\mathbf { \\boldsymbol { s } } _ { t }$ . Another way to think about this is that instead of trying to directly maximize the likelihood of $p _ { \\theta }$ which requires expensive inference (ideally an MCMC) in the inner loop of training (for each example $v \\sim p _ { D } ,$ ), we would like to learn a transition operator $p _ { T } ( s _ { t + 1 } | s _ { t } )$ such that following it at temperature $T = 1$ would gradually move the state $\\mathbf { \\boldsymbol { s } } _ { t }$ towards the data generating distribution. ", + "bbox": [ + 174, + 707, + 825, + 833 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "For this purpose, we propose to use a walkback strategy similar to the one introduced by Bengio et al. (2013c), illustrated in Algorithm 1. The idea is to start from a configuration of $\\pmb { s }$ which is compatible with the observed data $_ { \\textbf { \\em x } }$ , let the state evolve according to our transition operator, and then punish it for these moves, making it more likely to make backwards transitions on this trajectory. If learning was completed, the only moves that would remain are those between highly probable configurations under the data generating distribution. The other ones would be “punished”, like a child walking away from its designated task and forced to walk back (towards the data)1. Following the model’s inclination in order to generate this random trajectory is more efficient than simply adding noise (like in the denoising auto-encoder (Vincent et al., 2008) or the non-equilibrium dynamics (Sohl-Dickstein et al., 2015) algorithms) because it makes the learning procedure focus its computation on state configurations corresponding to spurious modes to be eliminated. To make sure these spurious modes are approached efficiently, the proposed algorithm also includes the idea of gradually increasing temperature (i.e., the amount of noise) along this walk-away trajectory. At high temperature, the transition operator mixes very easily and quickly reaches the areas corresponding to large spurious modes. ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 229 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Interestingly, all this comes out naturally of the variational bound presented below, rather than as something imposed in addition to the training objective. ", + "bbox": [ + 174, + 236, + 823, + 265 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Algorithm 1 VariationalWalkback $( \\pmb \\theta )$ ", + "text_level": 1, + "bbox": [ + 176, + 282, + 433, + 296 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Train a generative model associated with a transition operator $p _ { T } ( s | s ^ { \\prime } )$ at temperature $T$ (temperature 1 for sampling from the actual model). This transition operator injects noise of variance $T \\sigma ^ { 2 }$ at each step, where $\\bar { \\sigma } ^ { 2 }$ is the noise level at temperature 1. ", + "bbox": [ + 174, + 296, + 825, + 338 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Require: Transition operator $p _ { T } ( s | s ^ { \\prime } )$ from which one can both sample and compute the gradient of $\\log p _ { T } ( s | s ^ { \\prime } )$ with respect to parameters $\\theta$ , given $\\pmb { s }$ and $s ^ { \\prime }$ . ", + "bbox": [ + 176, + 342, + 823, + 369 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Require: Precomputed $\\sigma _ { \\mathrm { d a t a } } ^ { \\bar { 2 } }$ , the overall variance (or squared diameter) of the data. repeat ", + "bbox": [ + 176, + 371, + 728, + 396 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/166cf376f79056161a40c9a7e2865ff3c73bb356c93fa5122abcf45d8a49bdcb.jpg", + "text": "$$\n\\begin{array} { r l } & { \\dot { T } _ { \\mathrm { m a x } } \\frac { \\sigma _ { \\mathrm { d a t a } } ^ { 2 } } { \\sigma ^ { 2 } } } \\\\ & { K \\log _ { 2 } T _ { \\mathrm { m a x } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 205, + 395, + 312, + 430 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 VARIATIONAL LOWER BOUND ON THE LOG-LIKELIHOOD ", + "text_level": 1, + "bbox": [ + 176, + 621, + 681, + 638 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Let us first consider a way in which our model could approximately generate samples according to our model and the associated transition operator $p _ { T } ( s | s ^ { \\prime } )$ . That process would start by sampling a state $s _ { K }$ inside a volume that contains all the data, e.g., with a broad Gaussian $p ^ { * } ( s _ { K } )$ whose variances are set according to the training data. Then we would sample $s _ { K - 1 }$ from $p _ { T _ { \\mathrm { m a x } } } ( s | s ^ { \\prime } =$ $s _ { K } )$ ), where $T _ { \\mathrm { m a x } }$ is a high enough temperature so that the noise dominates the signal and is strong enough to move the state across the whole domain of the data on the visible portion of the state. If $\\sigma _ { \\mathrm { { d a t a } } } ^ { 2 } $ is the maximum variance of the data (corresponding to the visible dimensions of the state) and $\\sigma ^ { 2 }$ is the amount noise injected by the transition operator on the visible units at temperature 1, then we could pick ", + "bbox": [ + 173, + 654, + 825, + 780 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/824e8052d8154e0dbfb33f9d2e0b6b630c938cbfa938a168f40183116027f106.jpg", + "text": "$$\nT _ { \\mathrm { m a x } } = { \\frac { \\sigma _ { \\mathrm { d a t a } } ^ { 2 } } { \\sigma ^ { 2 } } }\n$$", + "text_format": "latex", + "bbox": [ + 449, + 780, + 547, + 813 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "to achieve that goal. From that point on we are going to continue sampling the “previous” state $s _ { t }$ according to $p _ { T } \\mathbf { \\bar { ( } } s | s ^ { \\prime } = s _ { t + 1 } )$ while gradually cooling the temperature, e.g. by dividing it by 2 after each step. In that case we would need ", + "bbox": [ + 174, + 816, + 826, + 858 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/760fcfefcd7a3e5904d008bc3d4d76c5405e99d31696b69da31244242079f43f.jpg", + "text": "$$\nK = \\log _ { 2 } T _ { \\mathrm { m a x } }\n$$", + "text_format": "latex", + "bbox": [ + 446, + 867, + 552, + 885 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "steps to reach a temperature of 1. Finally, we would look at the visible portion of $\\scriptstyle { \\pmb { s } } _ { 0 }$ to obtain the sampled $_ { \\textbf { \\em x } }$ . In practice, we would expect that a slower annealing schedule would yield samples more in agreement with the stationary distribution of $p _ { 1 } ( \\pmb { s } | \\pmb { s } ^ { \\prime } )$ , but we explored this aggressive annealing schedule in order to obtain faster training. ", + "bbox": [ + 174, + 103, + 823, + 160 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The marginal probability of ${ \\pmb v } = { \\pmb x }$ at the end of the above $K$ -step process is thus $\\begin{array} { r } { \\mathsf { p } ( { \\pmb x } ) = \\int _ { { \\pmb x } _ { 1 } ^ { K } } p _ { T _ { 0 } } ( { \\pmb s } _ { 0 } = { \\pmb x } | { \\pmb s } _ { 1 } ) \\left( \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } \\big ( { \\pmb s } _ { t - 1 } | { \\pmb s } _ { t } \\big ) \\right) p ^ { * } ( { \\pmb s } _ { K } ) d { \\pmb s } _ { 1 } ^ { K } ( 6 ) \\mathrm { w h e r e } T _ { t } \\mathrm { \\ i } } \\end{array}$ s an annealing schedvariance ule with $\\sigma _ { \\mathrm { d a t a } } ^ { 2 }$ $T _ { 0 } ~ = ~ 1$ K max . We can rewrite this as follows by taking the log and multiplying and dividing by an and $T _ { K } = \\dot { T } _ { \\mathrm { m a x } }$ and $p ^ { * }$ is the “starting distribution”, such as the Gaussian of arbitrary distribution $q ( s _ { 1 } , \\ldots , s _ { K } )$ decomposed into conditionals $q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } )$ : ", + "bbox": [ + 173, + 166, + 707, + 181 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 217, + 825, + 282 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/312f6612315233f0333f8874364480c4e26ab4495436c1a274425c3807db5830.jpg", + "text": "$$\n\\begin{array} { r l r } { \\log p ( \\pmb { x } ) = \\log \\displaystyle \\int _ { s _ { 1 } ^ { K } } q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } \\big ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } ( \\pmb { x } , \\pmb { \\cdot } ) \\big ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) } & { } & \\\\ { \\frac { p _ { T _ { 0 } } \\big ( \\pmb { s } _ { 0 } = \\pmb { x } | \\pmb { s } _ { 1 } \\big ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } \\big ( \\pmb { s } _ { t - 1 } | \\pmb { s } _ { t } \\big ) \\right) p ^ { \\ast } ( \\pmb { s } _ { K } ) } { q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } \\big ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } = \\pmb { x } \\big ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } \\big ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } \\big ) \\right) } d s _ { 1 } ^ { K } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 261, + 289, + 733, + 387 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where we understand that $\\scriptstyle { \\pmb { s } } _ { 0 } \\ = \\ { \\pmb { x } }$ . Now we can apply Jensen’s inequality as usual to obtain the variational bound ", + "bbox": [ + 173, + 392, + 825, + 421 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/ee8c654539c1aff5f9d80afca5bebe6058cb368cbfbc91a268246659fb6d395e.jpg", + "text": "$$\n\\begin{array} { r l r } { \\log p ( x ) \\geq \\mathcal { L } } \\\\ & { } & \\\\ & { \\quad \\quad = \\int _ { s _ { 1 } ^ { K } } \\qquad q _ { T _ { 0 } } ( x ) q _ { T _ { 1 } } ( s _ { 1 } | s _ { 0 } = x ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) } \\\\ & { } & { \\log \\frac { p _ { T _ { 0 } } ( s _ { 0 } = x | s _ { 1 } ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | s _ { t } ) \\right) p ^ { * } ( s _ { K } ) } { q _ { T _ { 0 } } x q _ { T _ { 1 } } ( s _ { 1 } | s _ { 0 } = x ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) } d s _ { 1 } ^ { K } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 230, + 445, + 766, + 566 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "This bound is valid for any $q$ but will be tight when $\\begin{array} { r l } { q ( s _ { K } , s _ { K - 1 } , \\ldots , s _ { 1 } | s _ { 0 } ) } & { { } = } \\end{array}$ $p ( s _ { K } , s _ { K - 1 } , \\ldots , s _ { 1 } \\vert s _ { 0 } )$ , and otherwise can be used to obtain a variational training objective. Note that both $q$ and $p$ can be decomposed as a product of one-step conditionals. Here, we can make most of the $q _ { T _ { t } }$ transition probabilities match their corresponding $p _ { T _ { t } }$ transition probabilities exactly, i.e., for $1 \\leq t < K$ we use ", + "bbox": [ + 173, + 578, + 825, + 648 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/7f961b304697510fba69127a88d3c006f92e0e73349aa85134d7e05bfb731d74.jpg", + "text": "$$\nq _ { T _ { t } } ( s | s ^ { \\prime } ) = p _ { T _ { t } } ( s | s ^ { \\prime } ) .\n$$", + "text_format": "latex", + "bbox": [ + 423, + 647, + 573, + 665 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The only approximations will be on both ends of the sequence: ", + "bbox": [ + 173, + 667, + 586, + 683 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "• Sampling exactly from the model’s $p ( \\pmb { v } = \\pmb { x } )$ is typically not feasible exactly (it involves the usual posterior inference, e.g., as used in VAEs) but as explained below we will exploit properties of the algorithm to approximate this efficiently. We call the chosen approximation $q _ { 1 } ( \\pmb { v } )$ . \nAt the last step, the optimal $q _ { T _ { K } } ( \\pmb { s } _ { K } | \\pmb { s } _ { K - 1 } )$ is not simply the model’s transition operator at temperature $T _ { K }$ , because this conditional also involves the marginal “starting distribution” $p ^ { * } ( s _ { K } )$ . However, because we have picked $T _ { K }$ large enough to make samples from $q _ { T _ { m a x } } \\bigl ( \\pmb { s } _ { K } \\big | \\pmb { s } _ { K - 1 } \\bigr )$ dominated by noise of the same variance as that of $p ^ { * }$ , we expect the approximation to be good too. ", + "bbox": [ + 214, + 693, + 825, + 825 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.1 ESTIMATING THE LOG-LIKELIHOOD USING IMPORTANCE SAMPLING ", + "text_level": 1, + "bbox": [ + 176, + 840, + 689, + 857 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In practice we cannot compute $\\mathcal { L }$ exactly (nor its gradient), but we can easily obtain an unbiased estimator of $\\mathcal { L }$ (or of its gradient) by sampling $s _ { 1 } ^ { K }$ from the $q$ distributions, i.e., approximate the $\\mathcal { L }$ integral by a single Monte-Carlo sample. This is what is done by the training procedure outlined in Algorithm 1, which thus performs stochastic gradient ascent on the variational bound $\\mathcal { L }$ , and this will tend to also push up the log-likelihood $\\log p ( { \\pmb x } )$ of training examples $_ { \\textbf { \\em x } }$ . Note that such variational bounds have been used successfully in many learning algorithms in the past (Kingma & Welling, 2013; Lamb et al., 2016). ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 145 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We derive an estimate of the negative log-likelihood by the following procedure. For each training example $x$ , we sample a large number of diffusion paths. We then use the following formulation to estimate the negative log-likelihood. ", + "bbox": [ + 174, + 152, + 823, + 195 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/e98c2c0ccd495c3329ddf24c5b62fae8a5d04fa1c4a1cf7c23af48b3095c5ae5.jpg", + "text": "$$\n\\begin{array} { r } { \\log p ( \\pmb { x } ) = \\log \\mathbb { E } _ { \\pmb { x } \\sim p _ { \\mathcal { D } } , q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } ( \\pmb { x } , ) ) \\left( \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) } } \\\\ { \\left[ \\frac { p _ { T _ { 0 } } ( \\pmb { s } _ { 0 } = \\pmb { x } | \\pmb { s } _ { 1 } ) \\left( \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } ( \\pmb { s } _ { t - 1 } | \\pmb { s } _ { t } ) \\right) p ^ { \\ast } ( \\pmb { s } _ { K } ) } { q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } = \\pmb { x } ) \\left( \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) } \\right] } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 300, + 222, + 694, + 301 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 TRANSITION OPERATORS FOR VARIATIONAL WALKBACK", + "text_level": 1, + "bbox": [ + 174, + 315, + 679, + 332 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Up to now we have not specified what the form of the transition operators should be. Two main variants are possible here. Either we directly parametrize the transition operator, like with denoising auto-encoders or generative stochastic networks, or we obtain our transition operator implicitly from some energy function, for example by applying some form of Gibbs sampling or Langevin MCMC to derive a transition operator associated with the energy function. ", + "bbox": [ + 174, + 347, + 825, + 417 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "An advantage of the direct parametrization is that it eliminates the constraint to have symmetric weights, which is interesting from the point of view of biological plausibility of such algorithms. An advantage of the energy-based parametrization is that at the end of the day we get an energy function which could be used to compute the unnormalized joint probability of visible and latent variables. However, note that in both cases we can easily get an estimator of the log-likelihood by simply using our lower bound $\\mathcal { L }$ , possibly improved by doing more expensive inference for $p _ { T _ { K } } ( \\bar { s _ { K } } | s _ { K - 1 } )$ . ", + "bbox": [ + 174, + 424, + 825, + 508 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.1 PARAMETRIC TRANSITION OPERATOR", + "text_level": 1, + "bbox": [ + 176, + 525, + 478, + 539 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In our experiments we considered Bernoulli and isotropic Gaussian transition operators for binary and real-valued data respectively. ", + "bbox": [ + 173, + 550, + 823, + 579 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "When we sample from the transition operator we do not attempt to pass gradients through the sampling operation. Accordingly, backpropagation is performed locally on each step of the walk-back, and there is no flow of gradient between multiple walk-back steps. ", + "bbox": [ + 174, + 587, + 825, + 628 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Additionally, we use a “conservative” transition operator that averages its input image together with the sample from the learned distribution (or takes a weighted average with a fixed $\\alpha$ weighting) for the transition operator. Just after parameter initialization, the distribution learned by the transition operator’s output is essentially random, so it is very difficult for the network to learn to reconstruct the value at the previous step. ", + "bbox": [ + 173, + 635, + 825, + 705 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Bernoulli Transition Operator ", + "text_level": 1, + "bbox": [ + 174, + 712, + 387, + 727 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/1b36fe8fc935715b41691ed56ef24c7351be22e824092e691eb98a193548de6e.jpg", + "text": "$$\n\\rho = s i g m o i d ( \\frac { ( 1 - \\alpha ) * x _ { t - 1 } + \\alpha * F _ { \\rho } ( x _ { t - 1 } ) } { T _ { t } } )\n$$", + "text_format": "latex", + "bbox": [ + 341, + 743, + 656, + 776 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Gaussian Transition Operator ", + "text_level": 1, + "bbox": [ + 174, + 786, + 385, + 801 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/36177f8a5a60bcd0fde2ab3580585454f14015116f851266ca8c51c630153a99.jpg", + "text": "$$\n\\begin{array} { r } { \\mu = ( 1 - \\alpha ) * x _ { t - 1 } + \\alpha * F _ { \\mu } ( x _ { t - 1 } ) } \\\\ { } \\\\ \\\\ { \\sigma = s i g m o i d ( T _ { t } \\log ( 1 + e ^ { F _ { \\sigma } ( x _ { t - 1 } ) } ) ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 375, + 818, + 622, + 873 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$F _ { \\rho } , F _ { \\mu } , F _ { \\sigma }$ are functions (in our case neural networks) which take the previous $\\mathbf { X }$ value from the walkback chain and return estimates of the value of $\\mu$ and $\\sigma$ respectively. $T$ is the temperature which is dependent on the walkback step $t$ . $x _ { t - 1 }$ is the previous value in the walkback chain. ", + "bbox": [ + 176, + 881, + 825, + 924 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 102, + 344, + 118 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Contrastive Divergence ", + "text_level": 1, + "bbox": [ + 174, + 132, + 339, + 147 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "This algorithm is clearly related to the contrastive divergence algorithm with $k = T$ steps (CD$k$ ). The CD- $k$ algorithm approximates the log-likelihood gradient by trying to match the sufficient statistics with the data clamped to the sufficient statistics after $k$ steps of the transition operator. The parameter update is the difference of these sufficient statistics, which also corresponds to pushing down the energy of the data-clamped configuration while pushing up the energy of the random variables after $k$ steps of the transition operator. ", + "bbox": [ + 174, + 154, + 825, + 238 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Two important differences are that, because the temperature is increasing in the variational walkback procedure, ", + "bbox": [ + 176, + 244, + 821, + 273 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "1. the energy gradients $\\frac { \\partial E ( s ) } { \\partial s }$ do not cancel each other telescopically along the chain from $s _ { 0 }$ to $s _ { T }$ , 2. as $t$ increases we move more and more randomly rather than following the energy of the model, allowing to hunt more effectively the areas near spurious modes. ", + "bbox": [ + 212, + 284, + 825, + 347 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "A third difference is that the learning procedure is expressed in terms of the transition operator rather than directly in terms of the energy function. This allows one to thus train a transition operator directly, rather than indirectly via an energy function. ", + "bbox": [ + 176, + 357, + 825, + 400 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Generative Stochastic Networks ", + "text_level": 1, + "bbox": [ + 176, + 406, + 398, + 421 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The Generative Stochastic Networks (GSN) algorithm proposed by Bengio et al. (2013b) learns a transition operator by iteratively injecting noise and minimizing the reconstruction error after a number of transition operator steps starting at a data point, and back-propagating through all these steps. One thing in common is the idea of using the walkback intuition instead of isotropic noise in order to converge more efficiently. A major difference is that the algorithm proposed for GSNs involves the minimization of overall reconstruction error (from the input data point $x$ to the sampled reconstruction many steps later). This will tend to blur the learned distribution. Instead, the variational walk-back algorithm minimizes reconstruction error one step at a time along the walk-away trajectory. ", + "bbox": [ + 173, + 428, + 825, + 554 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In addition, the variational walkback GSNs require back-propagating through all the iterated steps, like the DRAW algorithm (Gregor et al., 2015). Instead the variational walk-back algorithm only requires back-propagating through a single step at a time of the transition operator. This should make it easier to train because we avoid having to optimize a highly non-linear transformation obtained by the composition of many transition operator steps. ", + "bbox": [ + 174, + 559, + 825, + 630 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Non-Equilibrium Thermodynamics ", + "text_level": 1, + "bbox": [ + 176, + 637, + 423, + 651 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "There are two main differences between the Variational Walkback algorithm and the NonEquilibrium Thermodynamics: ", + "bbox": [ + 174, + 659, + 821, + 686 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "1. Instead of isotropic noise to move away from the data manifold, we propose to use the model’s own transition operator, with the idea that it will “seek and destroy” the spurious modes much more efficiently than random moves. \n2. Instead of injecting a fixed amount of noise per time step, we increase the noise as it moves away from the data manifold, and anneal the noise when we are close to the data manifold. This way, we can quickly reach the noise prior without loosing the details of the data. Our model takes significantly fewer steps to walk away and back to the manifold, as compared to the 1000 steps used for Non-Equilibrium Thermodynamics. ", + "bbox": [ + 212, + 696, + 825, + 814 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Annealed Importance Sampling (AIS) ", + "text_level": 1, + "bbox": [ + 176, + 825, + 439, + 840 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Annealed Importance Sampling is a sampling procedure. Like variational walkback, it uses an annealing schedule corresponding to a range of temperature from infinity to 1. It is used to estimate a partition function. Unlike Annealed Importance Sampling, variational walkback is meant to provide a good variational lower bound for training a transition operator. ", + "bbox": [ + 174, + 847, + 825, + 902 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Reverse Annealed Importance Sampling Estimator (RAISE) ", + "text_level": 1, + "bbox": [ + 174, + 909, + 596, + 924 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "RAISE is a reverse AIS, as it starts from a data point and then increases the temperature. In this way it is similar to the Q-chain in variational walkback. The advantage of RAISE over AIS is that it yields an estimator of the log-likelihood that tends to be pessimistic rather than optimistic, which makes it better as an evaluation criteria. ", + "bbox": [ + 174, + 103, + 825, + 159 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Like AIS, RAISE estimates the log-likelihood using a form of importance sampling, based on a product (over the chain) of the ratios of consecutive probabilities (not conditional probabilities from the model). Variational walkback does not work with estimates of the model’s unconditional probability, and instead works directly with a conditional probability defined by the transition operator. It is for this reason that variational walkback does not need to have an explicit energy function). ", + "bbox": [ + 174, + 166, + 825, + 236 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 174, + 257, + 326, + 273 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We evaluated the variational walkback on three datasets: MNIST, CIFAR (Krizhevsky & Hinton, 2009), and CelebA (Liu et al., 2015). The MNIST and CIFAR datasets were used as is, but the aligned and cropped version of the CelebA dataset was scaled from $2 1 8 \\times 1 7 8$ pixels to $7 8 \\mathrm { ~ x ~ } 6 4$ pixels and center-cropped at $6 4 \\mathrm { ~ x ~ } 6 4$ pixels (Liu et al., 2015). For all of our experiments we used the Adam optimizer (Kingma & Ba, 2014) and the Theano framework (Al-Rfou et al., 2016). The training procedure and architecture are detailed in appendix A. ", + "bbox": [ + 173, + 290, + 826, + 375 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/ba16bc158d82e0c503d0f1ec037358b84099e62a4e7d622e797a59da97a9d00c.jpg", + "image_caption": [ + "Figure 1: Samples on MNIST using a Bernoulli likelihood in the transition operator, 8 walkback steps during training, and 13 walkback steps during sampling. On right. Diffusion process for sampling MNIST digits starting from bernoiulli noise. This shows how the variational walkback iteratively generates images starting from a noise prior. For intermediate steps we display samples and for the final step (right) we display the transition operator’s mean. " + ], + "image_footnote": [], + "bbox": [ + 225, + 387, + 766, + 544 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/dea4744dcdb800932d7dea3c040f624eff141df07c934d3a3bb36bbe190a718b.jpg", + "image_caption": [ + "Figure 2: Variational Walkback Inpainting MNIST the left half of digits conditioned on the right half. The goal is to fill in the left half of an MNIST digit given an observed right half of an image (drawn from validation set). " + ], + "image_footnote": [], + "bbox": [ + 184, + 672, + 810, + 833 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/cdf8b2793d08d8848fdaeec85912326d326291ef2b06176073f5a33878d7ffd8.jpg", + "image_caption": [ + "Figure 3: Original Images from CelebA (left), Variational Walkback Reconstructions (middle) and Samples (right). " + ], + "image_footnote": [], + "bbox": [ + 186, + 98, + 810, + 260 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/07c904627f0c1a6eae74891cff93e54de27a15379dfe326c6cec30f5163ec4f7.jpg", + "image_caption": [ + "Figure 4: Variational Walkback Samples on CIFAR10 (left and right). " + ], + "image_footnote": [], + "bbox": [ + 259, + 342, + 735, + 526 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We reported samples on CIFAR, MNIST, CelebA and inpainting results on MNIST. Our inpainting results on MNIST are competitive with generative stochastic networks and show somewhat higher consistency between the given part of the image and the generated portion (Bengio et al., 2013c). However, we note that our samples on CIFAR and CelebA show the same “blurring effect” that has been observed with autoencoder-based generative models trained to minimize reconstruction loss (Lamb et al., 2016). ", + "bbox": [ + 174, + 609, + 825, + 694 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "7 CONCLUSION AND FUTURE WORK ", + "text_level": 1, + "bbox": [ + 176, + 722, + 495, + 737 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We have introduced a new form of walk-back and a new algorithm for learning transition operators or undirected graphical models. Our algorithm learns a transition operator by allowing the model to walk-away from the data towards the noise prior and then teaching it to actually to have its transitions trained to go backwards each of these walk-away steps, i.e., towards the data manifold. Variational walk-back increases the temperature along the chain as it is moving further away from the data manifold, and inversely, anneals the temperature at generation time, as it gets closer to the estimated manifold. This allows the training procedure to quickly find and remove dominant spurious modes. Learning a transition operator also allows our model to learn only a conditional distribution at each step. This is much easier to learn, since it only needs to capture a few modes per step. The model also only locally carves the energy function, which means that it does not have to learn the entire joint probability distribution, but rather steps towards the right direction, making sure that everywhere it puts probability mass as well as around the data, the energy gradient is pointing towards the data. ", + "bbox": [ + 174, + 757, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Our experimental results have confirmed that the model can walk towards the data manifold in a few steps, even when the modes are sharp. ", + "bbox": [ + 174, + 103, + 821, + 132 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Future work should extend this algorithm and experiments in order to incorporate latent variables. The state would now include both the visible $\\vec { x }$ and some latent $\\vec { h }$ . Essentially the same procedure can be run, except for the need to initialize the chain with a state $\\vec { s } = ( \\vec { x } , \\vec { h } )$ where $\\vec { h }$ would ideally be an estimate of the posterior distribution of $\\vec { h }$ given the observed data point $\\vec { x }$ . Another interesting direction to expand this work is to replace the log-likelihood objective at each step by a GANlike objective, thus avoiding the need to inject noise independently on each of the pixels, during one application of the transition operator, and allowing the latent variable sampling to inject all the required high-level decisions associated with the transition. Based on the earlier results from Bengio et al. (2013a), sampling in the latent space rather than in the pixel space should allow for better generative models and even better mixing between modes.Bengio et al. (2013b) ", + "bbox": [ + 174, + 138, + 825, + 286 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 308, + 356, + 321 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "The authors would like to thank Benjamin Scellier and Aaron Courville for their helpful feedback and discussions, as well as NSERC, CIFAR, Google, Samsung, Nuance, IBM and Canada Research Chairs for funding, and Compute Canada for computing resources. ", + "bbox": [ + 176, + 338, + 823, + 380 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 174, + 102, + 287, + 118 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Rami Al-Rfou, Guillaume Alain, Amjad Almahairi, and et al. Theano: A python framework for fast computation of mathematical expressions. CoRR, abs/1605.02688, 2016. URL http:// arxiv.org/abs/1605.02688. 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Deep boltzmann machines. In Artificial Intelligence and Statistics, 2009. ", + "bbox": [ + 169, + 779, + 823, + 808 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Jascha Sohl-Dickstein, Eric A. Weiss, Niru Maheswaranathan, and Surya Ganguli. Deep unsupervised learning using nonequilibrium thermodynamics. CoRR, abs/1503.03585, 2015. URL http://arxiv.org/abs/1503.03585. ", + "bbox": [ + 173, + 819, + 823, + 862 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Pascal Vincent, Hugo Larochelle, Yoshua Bengio, and Pierre-Antoine Manzagol. Extracting and composing robust features with denoising autoencoders. In Proceedings of the 25th international conference on Machine learning, pp. 1096–1103. ACM, 2008. ", + "bbox": [ + 173, + 875, + 826, + 916 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "A ARCHITECTURE DETAILS ", + "text_level": 1, + "bbox": [ + 178, + 102, + 421, + 118 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The architecture that was used for the CelebA and CIFAR dataset was similar to the architecture used by Lamb et al. (2016), with a convolutional encoder followed by two fully connected hidden layers, followed by a decoder with strided convolutions (Radford et al., 2015). Batch norm was applied in all layers except for the last layer. For all layers except for the last we used the tanh activation function. Surprisingly, we were unable to obtain good results using the RELU or Leaky RELU activation . ", + "bbox": [ + 174, + 133, + 825, + 218 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "On the binarized MNIST dataset we used a transition operator with Bernoulli outputs. A feedforward neural network was used to estimate the parameters (per-pixel probabilities) for the Bernoulli outputs. This neural network consisted of a single hidden layer with 4096 hidden units and the tanh activation function. ", + "bbox": [ + 174, + 224, + 825, + 281 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B WALKBACK PROCEDURE DETAILS ", + "text_level": 1, + "bbox": [ + 174, + 304, + 493, + 320 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The variational walkback algorithm has three unique hyperparameters. One is the number of walkback steps performed during training. Another is the number of walkback steps performed when sampling from the model. Still another is the temperature schedule used during training, reconstruction, or sampling. ", + "bbox": [ + 174, + 337, + 825, + 393 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The most conservative hyperparameter setting would involve using a large number of walkback steps during training and slowly increasing the temperature. However, this could make training slow, and if too few steps are used, the end of the walkback chain will not match the noise prior, leading to low quality samples. ", + "bbox": [ + 174, + 400, + 825, + 457 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A dynamic approach to setting the number of walkback steps and temperature schedule may be possible, but in this work we set these hyperparameters empirically. We found that during training√ using a temperature schedule of $T = T _ { 0 } { \\sqrt { 2 ^ { t } } }$ produced good results, where $T _ { 0 } = 1 . 0$ is the initial temperature and $t$ is the step index. During sampling, we found good results using the reverse schedule: $\\begin{array} { r } { T = \\frac { \\sqrt { 2 ^ { N } } } { \\sqrt { 2 ^ { t } } } } \\end{array}$ , where $t$ is the step index and $N$ is the total number of sampling steps. ", + "bbox": [ + 174, + 463, + 825, + 541 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "For MNIST, we achieved our results using 8 training steps of walkback. For CIFAR, we used 15 training steps and 20 sampling steps. For CelebA, we used 30 training steps and 35 sampling steps. In general, we found that we could achieve higher quality results by using more steps during sampling then we used during training. We found that more difficult datasets, like CIFAR and CelebA, required longer walkback chains. Finally, our model is able to achieve results competitive with Non-Equilibrium Thermodynamics (Sohl-Dickstein et al., 2015), despite that method requiring chains with far more steps (1000 steps for MNIST). ", + "bbox": [ + 173, + 547, + 825, + 647 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "C ALTERNATIVE FORMULATION OF VARIATIONAL BOUND ", + "text_level": 1, + "bbox": [ + 176, + 669, + 673, + 685 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The marginal probability of ${ \\pmb v } = { \\pmb x }$ at the end of the above $K$ -step process is thus ", + "bbox": [ + 173, + 702, + 704, + 717 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/8c99903af50f97a26da9e1a6660bf1b7581bdaa23efbf03ce8ddc7fba8757794.jpg", + "text": "$$\np ( \\pmb { x } ) = \\int _ { s _ { 1 } ^ { K } } \\left( \\prod _ { t = 1 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | \\pmb { s } _ { t } ) \\right) p ^ { * } ( \\pmb { s } _ { K } ) d \\pmb { s } _ { 1 } ^ { K }\n$$", + "text_format": "latex", + "bbox": [ + 346, + 726, + 650, + 768 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "where tion”, $T _ { t }$ is an annealing schedule with as the Gaussian of variance $T _ { 0 } = 1$ and e ca $T _ { K } = T _ { \\operatorname* { m a x } }$ and as fo $p ^ { * }$ is the “starting distribu-ws by taking the log and $\\sigma _ { \\mathrm { d a t a } } ^ { 2 }$ \nmultiplying and dividing by an arbitrary distribution $q ( s _ { 1 } , \\ldots , s _ { K } )$ decomposed into conditionals \n$q _ { T _ { t } } \\bigl ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } \\bigr )$ : ", + "bbox": [ + 173, + 776, + 825, + 834 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/e00b51dcf856f4e46aa07ed677bf9d3ff482d77758d70c3ae31228f1e0c8d40a.jpg", + "text": "$$\nq ( \\pmb { s } _ { 0 } , \\pmb { s } _ { 1 } , . . . , \\pmb { s } _ { k } ) = \\left( \\prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) q ( \\pmb { s } _ { K } )\n$$", + "text_format": "latex", + "bbox": [ + 344, + 853, + 653, + 897 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "giving us: ", + "bbox": [ + 173, + 910, + 240, + 924 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/83e41c002cbe41f314b6138ef0e059940b68e17c74d76b3fc7e6c63df9b86a83.jpg", + "text": "$$\n\\log p ( \\pmb { x } ) = \\log \\int _ { s _ { 1 } ^ { K } } q _ { T _ { 0 } } ( \\pmb { x } ) \\left( \\prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) \\frac { \\left( \\prod _ { t = 1 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | s _ { t } ) \\right) p ^ { * } ( s _ { K } ) } { q _ { T _ { 0 } } ( \\pmb { x } ) \\left( \\prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) } d s _ { 1 } ^ { K }\n$$", + "text_format": "latex", + "bbox": [ + 210, + 121, + 759, + 176 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "where we understand that $\\scriptstyle { \\pmb { s } } _ { 0 } \\ = \\ { \\pmb { x } }$ . Now we can apply Jensen’s inequality as usual to obtain the variational bound ", + "bbox": [ + 176, + 181, + 825, + 210 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/089ff270e34320ab09f6e0edb2c54c2b64058b74491ec4ab13d1cf06fb93affe.jpg", + "text": "$$\n\\begin{array} { r l } { \\log p ( x ) \\ge \\mathcal { L } } & { = \\displaystyle \\int _ { s _ { 1 } ^ { K } } q _ { T _ { 0 } } ( x ) \\left( \\prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) \\log \\frac { \\left( \\prod _ { t = 1 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | s _ { t } ) \\right) p ^ { * } ( s _ { K } ) } { q _ { T _ { 0 } } ( x ) \\left( \\prod _ { t = 1 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) } d s _ { 1 } ^ { K } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 187, + 234, + 784, + 287 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "D TIGHTNESS OF THE VARIATIONAL BOUND ", + "text_level": 1, + "bbox": [ + 173, + 303, + 562, + 320 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We present an argument that running the walkback chain for a sufficient number of steps will cause the variational bound to become tight. ", + "bbox": [ + 174, + 334, + 823, + 364 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Consider a sequence $s _ { t } , ~ . . . , ~ s _ { 1 }$ generated in that order by our model p through a sequence of applications of the transition operator $\\mathrm { T } ,$ i.e., $p ( s _ { 1 } , . . . , s _ { t } ) \\ = \\ p ( s _ { t } ) T ( s _ { t - 1 } | s _ { t } ) . . . T ( s _ { 1 } | s _ { 2 } )$ , i.e. $\\bar { p ( s _ { n - 1 } | s _ { n } ) } = T ( s _ { n - 1 } | s _ { n } )$ , but note that $p ( s _ { n } | s _ { n - 1 } ) \\neq p ( s _ { n - 1 } | s _ { n } )$ . ", + "bbox": [ + 173, + 369, + 825, + 414 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Let $p _ { i } ( s )$ denote the stationary distribution associated with T. Note that $\\mathrm { T }$ and $p _ { i }$ and related by the detailed balance equation, i.e., $T ( s | s ^ { \\prime } ) p _ { i } ( s ^ { \\prime } ) = T ( s ^ { \\prime } | s ) p _ { i } ( s )$ . ", + "bbox": [ + 173, + 419, + 823, + 449 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We want to approximate the posterior ", + "bbox": [ + 176, + 455, + 421, + 469 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/b0788f92b14fe2fa4d2339d33fd7c255d221b4d24e283bda58aeedf3e3da8d11.jpg", + "text": "$$\n\\begin{array} { r } { p ( s _ { t } , s _ { t - 1 } , . . . , s _ { 2 } | s _ { 1 } ) = \\prod _ { n = 2 } ^ { t } p ( s _ { n } | s _ { n - 1 } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 171, + 474, + 450, + 494 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "now by Bayes rule ", + "bbox": [ + 173, + 500, + 299, + 513 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "So our approximation error in the posterior is the factor $\\frac { p ( s _ { t } ) } { p _ { i } ( s _ { t } ) } \\frac { p _ { i } ( s _ { 1 } ) } { p ( s _ { 1 } ) }$ . ", + "bbox": [ + 173, + 642, + 620, + 664 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "If t is large enough, then $s _ { 1 }$ (being at the end of the generative sequence) has pretty much converged, i.e., $p ( s _ { 1 } ) \\approx p _ { i } ( \\bar { s } _ { 1 } )$ . ", + "bbox": [ + 173, + 669, + 823, + 698 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "If we throw in temperature annealing along the way (now the notation would have to be changed to put an index n on both p and T), with the initial temperature being very high, then we can hope that the initial Gaussian $p ( s _ { t } )$ is very similar to the stationary distribution at high temperature $p _ { i } ( s _ { t } )$ . ", + "bbox": [ + 174, + 704, + 823, + 747 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "These arguments suggest that as we make t larger and the final (initial) temperature larger as well, the approximation becomes better. ", + "bbox": [ + 169, + 752, + 823, + 782 + ], + "page_idx": 12 + } +] \ No newline at end of file diff --git a/parse/train/rkpdnIqlx/rkpdnIqlx_middle.json b/parse/train/rkpdnIqlx/rkpdnIqlx_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..56d2cd9412a0a60c42e48296c61933eab3760f92 --- /dev/null +++ b/parse/train/rkpdnIqlx/rkpdnIqlx_middle.json @@ -0,0 +1,33359 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 79, + 434, + 96 + ], + "lines": [ + { + "bbox": [ + 106, + 77, + 436, + 100 + ], + "spans": [ + { + "bbox": [ + 106, + 77, + 436, + 100 + ], + "score": 1.0, + "content": "THE VARIATIONAL WALKBACK ALGORITHM", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 113, + 114, + 394, + 127 + ], + "lines": [ + { + "bbox": [ + 112, + 113, + 396, + 129 + ], + "spans": [ + { + "bbox": [ + 112, + 113, + 396, + 129 + ], + "score": 1.0, + "content": "Anirudh Goyal∗, Nan Rosemary Ke†, Alex Lamb‡, Yoshua Bengio§", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "title", + "bbox": [ + 278, + 155, + 333, + 167 + ], + "lines": [ + { + "bbox": [ + 276, + 155, + 335, + 169 + ], + "spans": [ + { + "bbox": [ + 276, + 155, + 335, + 169 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 143, + 180, + 468, + 398 + ], + "lines": [ + { + "bbox": [ + 141, + 180, + 469, + 191 + ], + "spans": [ + { + "bbox": [ + 141, + 180, + 469, + 191 + ], + "score": 1.0, + "content": "A recognized obstacle to training undirected graphical models with latent vari-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 141, + 190, + 469, + 203 + ], + "spans": [ + { + "bbox": [ + 141, + 190, + 469, + 203 + ], + "score": 1.0, + "content": "ables such as Boltzmann machines is that the maximum likelihood training pro-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 142, + 201, + 469, + 213 + ], + "spans": [ + { + "bbox": [ + 142, + 201, + 469, + 213 + ], + "score": 1.0, + "content": "cedure requires sampling from Monte-Carlo Markov chains which may not mix", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 212, + 469, + 225 + ], + "spans": [ + { + "bbox": [ + 141, + 212, + 469, + 225 + ], + "score": 1.0, + "content": "well, in the inner loop of training, for each example. 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Interestingly,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 343, + 469, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 469, + 356 + ], + "score": 1.0, + "content": "this algorithm admits a variant where there is no explicit energy function, i.e.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 355, + 469, + 367 + ], + "spans": [ + { + "bbox": [ + 141, + 355, + 469, + 367 + ], + "score": 1.0, + "content": "the parameters are used to directly define the transition operator. This also elimi-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 366, + 469, + 377 + ], + "spans": [ + { + "bbox": [ + 141, + 366, + 469, + 377 + ], + "score": 1.0, + "content": "nates the explicit need for symmetric weights which previous Boltzmann machine", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 375, + 469, + 389 + ], + "spans": [ + { + "bbox": [ + 141, + 375, + 469, + 389 + ], + "score": 1.0, + "content": "or Hopfield net models require, and which makes these models less biologically", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 387, + 183, + 399 + ], + "spans": [ + { + "bbox": [ + 141, + 387, + 183, + 399 + ], + "score": 1.0, + "content": "plausible.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 109, + 417, + 206, + 430 + ], + "lines": [ + { + "bbox": [ + 105, + 416, + 208, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 208, + 433 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 442, + 505, + 606 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 455 + ], + "score": 1.0, + "content": "Although earlier research focused on generating data through Monte Carlo Markov chains", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 453, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 466 + ], + "score": 1.0, + "content": "(MCMCs), e.g. with various Boltzmann machines (Salakhutdinov & Hinton, 2009), most of the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 464, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 505, + 477 + ], + "score": 1.0, + "content": "recent effort in designing deep generative models is based on single-step generation, e.g., with vari-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 474, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 488 + ], + "score": 1.0, + "content": "ational auto-encoders (VAEs) (Kingma & Welling, 2013; Rezende et al., 2014) and generative adver-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 485, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 500 + ], + "score": 1.0, + "content": "sarial networks (GANs) (Goodfellow et al., 2014). However, generating a sample by going through", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 497, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 505, + 511 + ], + "score": 1.0, + "content": "a series of stochastic transformations that gradually improve the generated sample (or its latent rep-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "resentation) to make it more plausible could hold some advantages. 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Following", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 142, + 246, + 469, + 257 + ], + "spans": [ + { + "bbox": [ + 142, + 246, + 469, + 257 + ], + "score": 1.0, + "content": "on previous work on contrastive divergence, denoising autoencoders, generative", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 142, + 257, + 469, + 268 + ], + "spans": [ + { + "bbox": [ + 142, + 257, + 469, + 268 + ], + "score": 1.0, + "content": "stochastic networks and unsupervised learning using non-equilibrium dynamics,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 268, + 469, + 279 + ], + "spans": [ + { + "bbox": [ + 141, + 268, + 469, + 279 + ], + "score": 1.0, + "content": "we propose a variational bound on the marginal log-likelihood of the data which", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 277, + 469, + 291 + ], + "spans": [ + { + "bbox": [ + 141, + 277, + 469, + 291 + ], + "score": 1.0, + "content": "corresponds to a new learning procedure that first walks away from data points by", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 289, + 469, + 301 + ], + "spans": [ + { + "bbox": [ + 141, + 289, + 469, + 301 + ], + "score": 1.0, + "content": "following the model transition operator and then trains that operator to walk back-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 299, + 470, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 299, + 470, + 312 + ], + "score": 1.0, + "content": "wards for each of these steps, back towards the training example. 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Interestingly,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 343, + 469, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 469, + 356 + ], + "score": 1.0, + "content": "this algorithm admits a variant where there is no explicit energy function, i.e.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 355, + 469, + 367 + ], + "spans": [ + { + "bbox": [ + 141, + 355, + 469, + 367 + ], + "score": 1.0, + "content": "the parameters are used to directly define the transition operator. This also elimi-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 366, + 469, + 377 + ], + "spans": [ + { + "bbox": [ + 141, + 366, + 469, + 377 + ], + "score": 1.0, + "content": "nates the explicit need for symmetric weights which previous Boltzmann machine", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 375, + 469, + 389 + ], + "spans": [ + { + "bbox": [ + 141, + 375, + 469, + 389 + ], + "score": 1.0, + "content": "or Hopfield net models require, and which makes these models less biologically", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 387, + 183, + 399 + ], + "spans": [ + { + "bbox": [ + 141, + 387, + 183, + 399 + ], + "score": 1.0, + "content": "plausible.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 12.5, + "bbox_fs": [ + 141, + 180, + 470, + 399 + ] + }, + { + "type": "title", + "bbox": [ + 109, + 417, + 206, + 430 + ], + "lines": [ + { + "bbox": [ + 105, + 416, + 208, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 208, + 433 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 442, + 505, + 606 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 455 + ], + "score": 1.0, + "content": "Although earlier research focused on generating data through Monte Carlo Markov chains", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 453, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 466 + ], + "score": 1.0, + "content": "(MCMCs), e.g. with various Boltzmann machines (Salakhutdinov & Hinton, 2009), most of the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 464, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 505, + 477 + ], + "score": 1.0, + "content": "recent effort in designing deep generative models is based on single-step generation, e.g., with vari-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 474, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 488 + ], + "score": 1.0, + "content": "ational auto-encoders (VAEs) (Kingma & Welling, 2013; Rezende et al., 2014) and generative adver-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 485, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 500 + ], + "score": 1.0, + "content": "sarial networks (GANs) (Goodfellow et al., 2014). However, generating a sample by going through", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 497, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 505, + 511 + ], + "score": 1.0, + "content": "a series of stochastic transformations that gradually improve the generated sample (or its latent rep-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "resentation) to make it more plausible could hold some advantages. 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Such highly non-linear transforma-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "tions are probably best represented (and learned) by composing a large number of slightly non-linear", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "transformations, either with a fixed-depth deep network, or with a variable depth recurrent compu-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 596, + 446, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 446, + 608 + ], + "score": 1.0, + "content": "tation, which is what the repeated application of a transition operator corresponds to.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 441, + 506, + 608 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 619, + 192, + 631 + ], + "lines": [ + { + "bbox": [ + 106, + 619, + 194, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 194, + 632 + ], + "score": 1.0, + "content": "1.1 MOTIVATIONS", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 108, + 640, + 317, + 652 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 318, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 318, + 655 + ], + "score": 1.0, + "content": "The main motivation for the paper are the following.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40, + "bbox_fs": [ + 106, + 637, + 318, + 655 + ] + }, + { + "type": "text", + "bbox": [ + 133, + 660, + 504, + 682 + ], + "lines": [ + { + "bbox": [ + 132, + 659, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 132, + 659, + 505, + 673 + ], + "score": 1.0, + "content": "• The main difference between feedforward generation and recurrent generation is two-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 141, + 670, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 141, + 670, + 505, + 683 + ], + "score": 1.0, + "content": "fold:(1) in the recurrent case, the same parameters are used for each step of the transition", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 141, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 141, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "operator, and (2) by providing an interpretation of each of these steps as the application", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 141, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 141, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "of a transition operator, we can design training procedures which do not require back-", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 141, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 141, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "propagating through all the steps of the unfolded computation (from the raw noise samples", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 141, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 141, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "to the generated output). This is a potential that clearly deserves to be explored further and", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 142, + 126, + 346, + 139 + ], + "spans": [ + { + "bbox": [ + 142, + 126, + 346, + 139 + ], + "score": 1.0, + "content": "motivates the learning framework introduced here.", + "type": "text", + "cross_page": true + } + ], + "index": 4 + } + ], + "index": 41.5, + "bbox_fs": [ + 132, + 659, + 505, + 683 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 141, + 82, + 505, + 137 + ], + "lines": [ + { + "bbox": [ + 141, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 141, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "operator, and (2) by providing an interpretation of each of these steps as the application", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 141, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 141, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "of a transition operator, we can design training procedures which do not require back-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 141, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 141, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "propagating through all the steps of the unfolded computation (from the raw noise samples", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 141, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 141, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "to the generated output). This is a potential that clearly deserves to be explored further and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 142, + 126, + 346, + 139 + ], + "spans": [ + { + "bbox": [ + 142, + 126, + 346, + 139 + ], + "score": 1.0, + "content": "motivates the learning framework introduced here.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 132, + 142, + 505, + 285 + ], + "lines": [ + { + "bbox": [ + 132, + 142, + 506, + 154 + ], + "spans": [ + { + "bbox": [ + 132, + 142, + 506, + 154 + ], + "score": 1.0, + "content": "• Another motivation for the Variational Walkback is the idea that we only need to carve the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 154, + 505, + 165 + ], + "spans": [ + { + "bbox": [ + 141, + 154, + 505, + 165 + ], + "score": 1.0, + "content": "energy function in the right direction at each point in the space of the random variables of", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 142, + 164, + 506, + 176 + ], + "spans": [ + { + "bbox": [ + 142, + 164, + 506, + 176 + ], + "score": 1.0, + "content": "interest, which may sideskip the need to actually sample from the stationary distribution of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 175, + 506, + 187 + ], + "spans": [ + { + "bbox": [ + 141, + 175, + 506, + 187 + ], + "score": 1.0, + "content": "a Markov chain in order to obtain the gradients of the training objective. The intuition is", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 186, + 506, + 199 + ], + "spans": [ + { + "bbox": [ + 141, + 186, + 506, + 199 + ], + "score": 1.0, + "content": "that if the model’s transition operator wants to move away from the data and into an area", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 142, + 196, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 142, + 196, + 506, + 210 + ], + "score": 1.0, + "content": "without data, this is a clue that the energy gradient is pointing in the wrong direction at that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 208, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 141, + 208, + 506, + 221 + ], + "score": 1.0, + "content": "place. Consider a chain of samples following the model’s transition operator (or variants of", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 219, + 506, + 231 + ], + "spans": [ + { + "bbox": [ + 141, + 219, + 506, + 231 + ], + "score": 1.0, + "content": "it at different temperatures), starting at a data point. If the chain moves us away from data", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 140, + 230, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 140, + 230, + 506, + 243 + ], + "score": 1.0, + "content": "points, then we can use the previous state in the chain as a target for the operator when that", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 241, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 141, + 241, + 505, + 253 + ], + "score": 1.0, + "content": "operator is applied to the next next state, i.e., we want to teach the operator to walk back", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 252, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 141, + 252, + 505, + 264 + ], + "score": 1.0, + "content": "towards the data. This intuition was already exploited by Bengio et al. (2013c) but without", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 262, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 141, + 262, + 506, + 276 + ], + "score": 1.0, + "content": "a firm mathematical grounding. In Variational Walkback this is rigorously justified by a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 275, + 217, + 285 + ], + "spans": [ + { + "bbox": [ + 141, + 275, + 217, + 285 + ], + "score": 1.0, + "content": "variational bound.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 135, + 290, + 505, + 531 + ], + "lines": [ + { + "bbox": [ + 132, + 289, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 132, + 289, + 506, + 303 + ], + "score": 1.0, + "content": "• Yet another motivation for the particular approach presented here is that it innovates in the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 301, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 141, + 301, + 506, + 314 + ], + "score": 1.0, + "content": "rarely explored direction of parametrizing directly the generative model via a transition", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 141, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "operator, rather than via an explicit probability function or energy function. This idea", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 321, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 506, + 336 + ], + "score": 1.0, + "content": "has already been discussed in the context Generative Stochastic Networks (GSNs) (Bengio", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 334, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 505, + 346 + ], + "score": 1.0, + "content": "et al., 2013b), a generalization of denoising auto-encoders (DAEs) (Vincent et al., 2008)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 344, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 141, + 344, + 506, + 358 + ], + "score": 1.0, + "content": "which interprets the auto-encoder as estimating the gradient of an energy function (Alain &", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 356, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 141, + 356, + 506, + 369 + ], + "score": 1.0, + "content": "Bengio, 2014) or as a transition operator (Bengio et al., 2013c). An advantage of being able", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 367, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 141, + 367, + 505, + 379 + ], + "score": 1.0, + "content": "to parametrize directly the generator is seen with GANs and DAEs: we directly parametrize", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 376, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 141, + 376, + 506, + 391 + ], + "score": 1.0, + "content": "and learn the function which will be used to perform the task of interest (e.g. generating", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 141, + 388, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 141, + 388, + 505, + 401 + ], + "score": 1.0, + "content": "answers to some questions). Instead, the traditional approach is to parametrize a probability", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 399, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 141, + 399, + 506, + 413 + ], + "score": 1.0, + "content": "function or energy function (e.g., with a Boltzmann machine) and then then use another", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 141, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "procedure (the MCMC method of your choice) to sample from it and do inference. Another", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 141, + 422, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 141, + 422, + 505, + 434 + ], + "score": 1.0, + "content": "important reason for exploring algorithms for directly learning a transition operator is that", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 142, + 433, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 142, + 433, + 505, + 445 + ], + "score": 1.0, + "content": "they put less constraint on the form of the transition operator, compared with a transition", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 141, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "operator derived from an energy function. More specifically, neural net implementations", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 454, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 141, + 454, + 505, + 467 + ], + "score": 1.0, + "content": "of transition operators derived from an MCMC typically require the presence of symmetric", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 142, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 142, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "weights (due to the symmetry of the second derivative of the energy with respect to a pair", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 141, + 476, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 141, + 476, + 506, + 488 + ], + "score": 1.0, + "content": "of units in the neural network), as discussed by Bengio et al. (2015). When we consider a", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 141, + 487, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 141, + 487, + 505, + 501 + ], + "score": 1.0, + "content": "biologically plausible implementation of these learning algorithms, the weight symmetry", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 141, + 497, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 141, + 497, + 186, + 512 + ], + "score": 1.0, + "content": "constraint", + "type": "text" + }, + { + "bbox": [ + 186, + 498, + 241, + 510 + ], + "score": 0.89, + "content": "( W _ { i j } = W _ { j i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 497, + 506, + 512 + ], + "score": 1.0, + "content": ") is not reasonable as a hard constraint. Instead, if the transition", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 142, + 510, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 142, + 510, + 505, + 522 + ], + "score": 1.0, + "content": "operator (rather than the energy function) is the object being parametrized and learned,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 142, + 520, + 291, + 532 + ], + "spans": [ + { + "bbox": [ + 142, + 520, + 291, + 532 + ], + "score": 1.0, + "content": "then there is no such hard constraint.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 108, + 546, + 211, + 557 + ], + "lines": [ + { + "bbox": [ + 106, + 545, + 213, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 213, + 558 + ], + "score": 1.0, + "content": "1.2 GENERAL THEORY", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 567, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "score": 1.0, + "content": "We introduce a novel variational bound which is an alternative to and improves upon the traditional", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "reconstruction error as a training objective for DAEs and GSNs. Similar variational bounds have", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "been used for VAEs as well as for the non-equilibrium thermodynamics generative models (Sohl-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 600, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 262, + 612 + ], + "score": 1.0, + "content": "Dickstein et al., 2015). A distribution", + "type": "text" + }, + { + "bbox": [ + 262, + 601, + 271, + 610 + ], + "score": 0.81, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 600, + 505, + 612 + ], + "score": 1.0, + "content": "over a chain of samples is defined, which corresponds to", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 611, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 506, + 624 + ], + "score": 1.0, + "content": "iteratively applying transition operators with shared parameters, starting from a pure noise initial", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 451, + 635 + ], + "score": 1.0, + "content": "state. We would like this process to produce training examples. An inverting flow", + "type": "text" + }, + { + "bbox": [ + 452, + 622, + 461, + 633 + ], + "score": 0.84, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 622, + 505, + 635 + ], + "score": 1.0, + "content": "is defined", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 632, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 647 + ], + "score": 1.0, + "content": "starting from a training example (the “walk-away” trajectory), and following the transition operator", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 642, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 468, + 657 + ], + "score": 1.0, + "content": "of the model, i.e., estimating the posterior distribution of the generative chain produced by", + "type": "text" + }, + { + "bbox": [ + 468, + 644, + 477, + 654 + ], + "score": 0.79, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 642, + 506, + 657 + ], + "score": 1.0, + "content": ", given", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "score": 1.0, + "content": "that it were landing at a training example. If the model does not match the data distribution, that", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 664, + 504, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 130, + 679 + ], + "score": 1.0, + "content": "chain", + "type": "text" + }, + { + "bbox": [ + 131, + 666, + 140, + 677 + ], + "score": 0.85, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 664, + 495, + 679 + ], + "score": 1.0, + "content": "will tend to walk away from the training samples, and we want to inhibit that by training", + "type": "text" + }, + { + "bbox": [ + 495, + 666, + 504, + 676 + ], + "score": 0.81, + "content": "P", + "type": "inline_equation" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 676, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 691 + ], + "score": 1.0, + "content": "to “walk back”. Instead of using a completely different parametrization for the variational approxi-", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 216, + 701 + ], + "score": 1.0, + "content": "mation of the posterior (the", + "type": "text" + }, + { + "bbox": [ + 216, + 688, + 225, + 699 + ], + "score": 0.85, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 687, + 505, + 701 + ], + "score": 1.0, + "content": "distribution), like in VAEs and non-equilibrium dynamics, we propose", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 236, + 712 + ], + "score": 1.0, + "content": "to exploit the decomposition of", + "type": "text" + }, + { + "bbox": [ + 236, + 700, + 245, + 708 + ], + "score": 0.86, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "as a series of stochastic transformations in order to parametrize", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 107, + 708, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 107, + 710, + 116, + 721 + ], + "score": 0.84, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 708, + 234, + 722 + ], + "score": 1.0, + "content": "with the same parameters as", + "type": "text" + }, + { + "bbox": [ + 234, + 712, + 243, + 720 + ], + "score": 0.85, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 708, + 506, + 722 + ], + "score": 1.0, + "content": ", with the step-wise estimated posterior matching the correct one", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 132, + 733 + ], + "score": 1.0, + "content": "(from", + "type": "text" + }, + { + "bbox": [ + 133, + 721, + 142, + 730 + ], + "score": 0.75, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 720, + 505, + 733 + ], + "score": 1.0, + "content": ") for all but the last step of the walk-away trajectory. To make the approximation in the", + "type": "text" + } + ], + "index": 55 + } + ], + "index": 48 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2017", + "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": [ + 141, + 82, + 505, + 137 + ], + "lines": [], + "index": 2, + "bbox_fs": [ + 141, + 83, + 506, + 139 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 132, + 142, + 505, + 285 + ], + "lines": [ + { + "bbox": [ + 132, + 142, + 506, + 154 + ], + "spans": [ + { + "bbox": [ + 132, + 142, + 506, + 154 + ], + "score": 1.0, + "content": "• Another motivation for the Variational Walkback is the idea that we only need to carve the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 154, + 505, + 165 + ], + "spans": [ + { + "bbox": [ + 141, + 154, + 505, + 165 + ], + "score": 1.0, + "content": "energy function in the right direction at each point in the space of the random variables of", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 142, + 164, + 506, + 176 + ], + "spans": [ + { + "bbox": [ + 142, + 164, + 506, + 176 + ], + "score": 1.0, + "content": "interest, which may sideskip the need to actually sample from the stationary distribution of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 175, + 506, + 187 + ], + "spans": [ + { + "bbox": [ + 141, + 175, + 506, + 187 + ], + "score": 1.0, + "content": "a Markov chain in order to obtain the gradients of the training objective. The intuition is", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 186, + 506, + 199 + ], + "spans": [ + { + "bbox": [ + 141, + 186, + 506, + 199 + ], + "score": 1.0, + "content": "that if the model’s transition operator wants to move away from the data and into an area", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 142, + 196, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 142, + 196, + 506, + 210 + ], + "score": 1.0, + "content": "without data, this is a clue that the energy gradient is pointing in the wrong direction at that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 208, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 141, + 208, + 506, + 221 + ], + "score": 1.0, + "content": "place. 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(2013c) but without", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 262, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 141, + 262, + 506, + 276 + ], + "score": 1.0, + "content": "a firm mathematical grounding. In Variational Walkback this is rigorously justified by a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 275, + 217, + 285 + ], + "spans": [ + { + "bbox": [ + 141, + 275, + 217, + 285 + ], + "score": 1.0, + "content": "variational bound.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 11, + "bbox_fs": [ + 132, + 142, + 506, + 285 + ] + }, + { + "type": "text", + "bbox": [ + 135, + 290, + 505, + 531 + ], + "lines": [ + { + "bbox": [ + 132, + 289, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 132, + 289, + 506, + 303 + ], + "score": 1.0, + "content": "• Yet another motivation for the particular approach presented here is that it innovates in the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 301, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 141, + 301, + 506, + 314 + ], + "score": 1.0, + "content": "rarely explored direction of parametrizing directly the generative model via a transition", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 141, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "operator, rather than via an explicit probability function or energy function. This idea", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 321, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 506, + 336 + ], + "score": 1.0, + "content": "has already been discussed in the context Generative Stochastic Networks (GSNs) (Bengio", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 334, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 505, + 346 + ], + "score": 1.0, + "content": "et al., 2013b), a generalization of denoising auto-encoders (DAEs) (Vincent et al., 2008)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 344, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 141, + 344, + 506, + 358 + ], + "score": 1.0, + "content": "which interprets the auto-encoder as estimating the gradient of an energy function (Alain &", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 356, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 141, + 356, + 506, + 369 + ], + "score": 1.0, + "content": "Bengio, 2014) or as a transition operator (Bengio et al., 2013c). An advantage of being able", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 367, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 141, + 367, + 505, + 379 + ], + "score": 1.0, + "content": "to parametrize directly the generator is seen with GANs and DAEs: we directly parametrize", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 376, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 141, + 376, + 506, + 391 + ], + "score": 1.0, + "content": "and learn the function which will be used to perform the task of interest (e.g. generating", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 141, + 388, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 141, + 388, + 505, + 401 + ], + "score": 1.0, + "content": "answers to some questions). Instead, the traditional approach is to parametrize a probability", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 399, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 141, + 399, + 506, + 413 + ], + "score": 1.0, + "content": "function or energy function (e.g., with a Boltzmann machine) and then then use another", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 141, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "procedure (the MCMC method of your choice) to sample from it and do inference. Another", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 141, + 422, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 141, + 422, + 505, + 434 + ], + "score": 1.0, + "content": "important reason for exploring algorithms for directly learning a transition operator is that", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 142, + 433, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 142, + 433, + 505, + 445 + ], + "score": 1.0, + "content": "they put less constraint on the form of the transition operator, compared with a transition", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 141, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "operator derived from an energy function. More specifically, neural net implementations", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 454, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 141, + 454, + 505, + 467 + ], + "score": 1.0, + "content": "of transition operators derived from an MCMC typically require the presence of symmetric", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 142, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 142, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "weights (due to the symmetry of the second derivative of the energy with respect to a pair", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 141, + 476, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 141, + 476, + 506, + 488 + ], + "score": 1.0, + "content": "of units in the neural network), as discussed by Bengio et al. (2015). When we consider a", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 141, + 487, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 141, + 487, + 505, + 501 + ], + "score": 1.0, + "content": "biologically plausible implementation of these learning algorithms, the weight symmetry", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 141, + 497, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 141, + 497, + 186, + 512 + ], + "score": 1.0, + "content": "constraint", + "type": "text" + }, + { + "bbox": [ + 186, + 498, + 241, + 510 + ], + "score": 0.89, + "content": "( W _ { i j } = W _ { j i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 497, + 506, + 512 + ], + "score": 1.0, + "content": ") is not reasonable as a hard constraint. Instead, if the transition", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 142, + 510, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 142, + 510, + 505, + 522 + ], + "score": 1.0, + "content": "operator (rather than the energy function) is the object being parametrized and learned,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 142, + 520, + 291, + 532 + ], + "spans": [ + { + "bbox": [ + 142, + 520, + 291, + 532 + ], + "score": 1.0, + "content": "then there is no such hard constraint.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 28.5, + "bbox_fs": [ + 132, + 289, + 506, + 532 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 546, + 211, + 557 + ], + "lines": [ + { + "bbox": [ + 106, + 545, + 213, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 213, + 558 + ], + "score": 1.0, + "content": "1.2 GENERAL THEORY", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 567, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "score": 1.0, + "content": "We introduce a novel variational bound which is an alternative to and improves upon the traditional", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "reconstruction error as a training objective for DAEs and GSNs. Similar variational bounds have", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "been used for VAEs as well as for the non-equilibrium thermodynamics generative models (Sohl-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 600, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 262, + 612 + ], + "score": 1.0, + "content": "Dickstein et al., 2015). A distribution", + "type": "text" + }, + { + "bbox": [ + 262, + 601, + 271, + 610 + ], + "score": 0.81, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 600, + 505, + 612 + ], + "score": 1.0, + "content": "over a chain of samples is defined, which corresponds to", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 611, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 506, + 624 + ], + "score": 1.0, + "content": "iteratively applying transition operators with shared parameters, starting from a pure noise initial", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 451, + 635 + ], + "score": 1.0, + "content": "state. We would like this process to produce training examples. An inverting flow", + "type": "text" + }, + { + "bbox": [ + 452, + 622, + 461, + 633 + ], + "score": 0.84, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 622, + 505, + 635 + ], + "score": 1.0, + "content": "is defined", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 632, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 647 + ], + "score": 1.0, + "content": "starting from a training example (the “walk-away” trajectory), and following the transition operator", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 642, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 468, + 657 + ], + "score": 1.0, + "content": "of the model, i.e., estimating the posterior distribution of the generative chain produced by", + "type": "text" + }, + { + "bbox": [ + 468, + 644, + 477, + 654 + ], + "score": 0.79, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 642, + 506, + 657 + ], + "score": 1.0, + "content": ", given", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "score": 1.0, + "content": "that it were landing at a training example. 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Instead of trying to match the whole positive phase and negative phase distributions", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 582, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 597 + ], + "score": 1.0, + "content": "(each of which require a difficult sampling operation, generally with an MCMC that may take very", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 593, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 608 + ], + "score": 1.0, + "content": "long time to mix between well separated modes), we propose to only match the shape of the energy", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 288, + 618 + ], + "score": 1.0, + "content": "function locally, around well-chosen points", + "type": "text" + }, + { + "bbox": [ + 289, + 606, + 299, + 616 + ], + "score": 0.86, + "content": "\\mathbf { \\boldsymbol { s } } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 605, + 505, + 618 + ], + "score": 1.0, + "content": ". 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(2013c), illustrated in Algorithm 1. 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To make sure", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "score": 1.0, + "content": "these spurious modes are approached efficiently, the proposed algorithm also includes the idea of", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 147, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 506, + 162 + ], + "score": 1.0, + "content": "gradually increasing temperature (i.e., the amount of noise) along this walk-away trajectory. 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If", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 584, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 106, + 584, + 129, + 597 + ], + "score": 0.88, + "content": "\\sigma _ { \\mathrm { { d a t a } } } ^ { 2 } ", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 584, + 505, + 597 + ], + "score": 1.0, + "content": "is the maximum variance of the data (corresponding to the visible dimensions of the state) and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 118, + 606 + ], + "score": 0.8, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "is the amount noise injected by the transition operator on the visible units at temperature 1, then", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 607, + 165, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 165, + 619 + ], + "score": 1.0, + "content": "we could pick", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26, + "bbox_fs": [ + 104, + 518, + 506, + 619 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 275, + 618, + 335, + 644 + ], + "lines": [ + { + "bbox": [ + 275, + 618, + 335, + 644 + ], + "spans": [ + { + "bbox": [ + 275, + 618, + 335, + 644 + ], + "score": 0.94, + "content": "T _ { \\mathrm { m a x } } = { \\frac { \\sigma _ { \\mathrm { d a t a } } ^ { 2 } } { \\sigma ^ { 2 } } }", + "type": "interline_equation", + "image_path": "824e8052d8154e0dbfb33f9d2e0b6b630c938cbfa938a168f40183116027f106.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 275, + 618, + 335, + 644 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 647, + 506, + 680 + ], + "lines": [ + { + "bbox": [ + 105, + 646, + 504, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 494, + 661 + ], + "score": 1.0, + "content": "to achieve that goal. From that point on we are going to continue sampling the “previous” state", + "type": "text" + }, + { + "bbox": [ + 495, + 650, + 504, + 658 + ], + "score": 0.82, + "content": "s _ { t }", + "type": "inline_equation" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 658, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 158, + 671 + ], + "score": 1.0, + "content": "according to", + "type": "text" + }, + { + "bbox": [ + 158, + 658, + 226, + 670 + ], + "score": 0.91, + "content": "p _ { T } \\mathbf { \\bar { ( } } s | s ^ { \\prime } = s _ { t + 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 658, + 505, + 671 + ], + "score": 1.0, + "content": "while gradually cooling the temperature, e.g. by dividing it by 2 after", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 669, + 260, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 260, + 681 + ], + "score": 1.0, + "content": "each step. In that case we would need", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 646, + 505, + 681 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 273, + 687, + 338, + 701 + ], + "lines": [ + { + "bbox": [ + 273, + 687, + 338, + 701 + ], + "spans": [ + { + "bbox": [ + 273, + 687, + 338, + 701 + ], + "score": 0.92, + "content": "K = \\log _ { 2 } T _ { \\mathrm { m a x } }", + "type": "interline_equation", + "image_path": "760fcfefcd7a3e5904d008bc3d4d76c5405e99d31696b69da31244242079f43f.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 273, + 687, + 338, + 701 + ], + "spans": [], + "index": 35 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 127 + ], + "lines": [ + { + "bbox": [ + 105, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 439, + 95 + ], + "score": 1.0, + "content": "steps to reach a temperature of 1. Finally, we would look at the visible portion of", + "type": "text" + }, + { + "bbox": [ + 439, + 84, + 450, + 93 + ], + "score": 0.85, + "content": "\\scriptstyle { \\pmb { s } } _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "to obtain the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 141, + 106 + ], + "score": 1.0, + "content": "sampled", + "type": "text" + }, + { + "bbox": [ + 142, + 95, + 150, + 104 + ], + "score": 0.69, + "content": "_ { \\textbf { \\em x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 93, + 506, + 106 + ], + "score": 1.0, + "content": ". In practice, we would expect that a slower annealing schedule would yield samples more", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 297, + 118 + ], + "score": 1.0, + "content": "in agreement with the stationary distribution of", + "type": "text" + }, + { + "bbox": [ + 297, + 104, + 331, + 117 + ], + "score": 0.93, + "content": "p _ { 1 } ( \\pmb { s } | \\pmb { s } ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 104, + 506, + 118 + ], + "score": 1.0, + "content": ", but we explored this aggressive annealing", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 275, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 275, + 128 + ], + "score": 1.0, + "content": "schedule in order to obtain faster training.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 106, + 132, + 433, + 144 + ], + "lines": [ + { + "bbox": [ + 105, + 130, + 433, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 130, + 219, + 146 + ], + "score": 1.0, + "content": "The marginal probability of", + "type": "text" + }, + { + "bbox": [ + 219, + 134, + 246, + 142 + ], + "score": 0.88, + "content": "{ \\pmb v } = { \\pmb x }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 130, + 340, + 146 + ], + "score": 1.0, + "content": "at the end of the above", + "type": "text" + }, + { + "bbox": [ + 340, + 133, + 351, + 142 + ], + "score": 0.84, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 130, + 433, + 146 + ], + "score": 1.0, + "content": "-step process is thus", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 172, + 505, + 224 + ], + "lines": [ + { + "bbox": [ + 106, + 171, + 507, + 192 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 416, + 192 + ], + "score": 0.7, + "content": "\\begin{array} { r } { \\mathsf { p } ( { \\pmb x } ) = \\int _ { { \\pmb x } _ { 1 } ^ { K } } p _ { T _ { 0 } } ( { \\pmb s } _ { 0 } = { \\pmb x } | { \\pmb s } _ { 1 } ) \\left( \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } \\big ( { \\pmb s } _ { t - 1 } | { \\pmb s } _ { t } \\big ) \\right) p ^ { * } ( { \\pmb s } _ { K } ) d { \\pmb s } _ { 1 } ^ { K } ( 6 ) \\mathrm { w h e r e } T _ { t } \\mathrm { \\ i } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 171, + 507, + 192 + ], + "score": 1.0, + "content": "s an annealing sched-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 103, + 188, + 509, + 218 + ], + "spans": [ + { + "bbox": [ + 103, + 195, + 142, + 218 + ], + "score": 1.0, + "content": "variance", + "type": "text" + }, + { + "bbox": [ + 105, + 188, + 144, + 203 + ], + "score": 1.0, + "content": "ule with", + "type": "text" + }, + { + "bbox": [ + 143, + 201, + 165, + 213 + ], + "score": 0.91, + "content": "\\sigma _ { \\mathrm { d a t a } } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 191, + 177, + 201 + ], + "score": 0.89, + "content": "T _ { 0 } ~ = ~ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 195, + 509, + 218 + ], + "score": 1.0, + "content": "K max . We can rewrite this as follows by taking the log and multiplying and dividing by an", + "type": "text" + }, + { + "bbox": [ + 178, + 188, + 198, + 203 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 198, + 191, + 251, + 201 + ], + "score": 0.89, + "content": "T _ { K } = \\dot { T } _ { \\mathrm { m a x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 188, + 271, + 203 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 271, + 191, + 282, + 202 + ], + "score": 0.84, + "content": "p ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 188, + 506, + 203 + ], + "score": 1.0, + "content": "is the “starting distribution”, such as the Gaussian of", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 210, + 430, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 192, + 226 + ], + "score": 1.0, + "content": "arbitrary distribution", + "type": "text" + }, + { + "bbox": [ + 192, + 212, + 250, + 224 + ], + "score": 0.92, + "content": "q ( s _ { 1 } , \\ldots , s _ { K } )", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 210, + 373, + 226 + ], + "score": 1.0, + "content": "decomposed into conditionals", + "type": "text" + }, + { + "bbox": [ + 373, + 212, + 425, + 225 + ], + "score": 0.92, + "content": "q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 210, + 430, + 226 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6 + }, + { + "type": "interline_equation", + "bbox": [ + 160, + 229, + 449, + 307 + ], + "lines": [ + { + "bbox": [ + 160, + 229, + 449, + 307 + ], + "spans": [ + { + "bbox": [ + 160, + 229, + 449, + 307 + ], + "score": 0.95, + "content": "\\begin{array} { r l r } { \\log p ( \\pmb { x } ) = \\log \\displaystyle \\int _ { s _ { 1 } ^ { K } } q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } \\big ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } ( \\pmb { x } , \\pmb { \\cdot } ) \\big ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) } & { } & \\\\ { \\frac { p _ { T _ { 0 } } \\big ( \\pmb { s } _ { 0 } = \\pmb { x } | \\pmb { s } _ { 1 } \\big ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } \\big ( \\pmb { s } _ { t - 1 } | \\pmb { s } _ { t } \\big ) \\right) p ^ { \\ast } ( \\pmb { s } _ { K } ) } { q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } \\big ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } = \\pmb { x } \\big ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } \\big ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } \\big ) \\right) } d s _ { 1 } ^ { K } } \\end{array}", + "type": "interline_equation", + "image_path": "312f6612315233f0333f8874364480c4e26ab4495436c1a274425c3807db5830.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 160, + 229, + 449, + 255.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 160, + 255.0, + 449, + 281.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 160, + 281.0, + 449, + 307.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 311, + 505, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 310, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 214, + 324 + ], + "score": 1.0, + "content": "where we understand that", + "type": "text" + }, + { + "bbox": [ + 215, + 313, + 248, + 322 + ], + "score": 0.89, + "content": "\\scriptstyle { \\pmb { s } } _ { 0 } \\ = \\ { \\pmb { x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 310, + 505, + 324 + ], + "score": 1.0, + "content": ". Now we can apply Jensen’s inequality as usual to obtain the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 322, + 179, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 179, + 333 + ], + "score": 1.0, + "content": "variational bound", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "interline_equation", + "bbox": [ + 141, + 353, + 469, + 449 + ], + "lines": [ + { + "bbox": [ + 141, + 353, + 469, + 449 + ], + "spans": [ + { + "bbox": [ + 141, + 353, + 469, + 449 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } { \\log p ( x ) \\geq \\mathcal { L } } \\\\ & { } & \\\\ & { \\quad \\quad = \\int _ { s _ { 1 } ^ { K } } \\qquad q _ { T _ { 0 } } ( x ) q _ { T _ { 1 } } ( s _ { 1 } | s _ { 0 } = x ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) } \\\\ & { } & { \\log \\frac { p _ { T _ { 0 } } ( s _ { 0 } = x | s _ { 1 } ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | s _ { t } ) \\right) p ^ { * } ( s _ { K } ) } { q _ { T _ { 0 } } x q _ { T _ { 1 } } ( s _ { 1 } | s _ { 0 } = x ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) } d s _ { 1 } ^ { K } . } \\end{array}", + "type": "interline_equation", + "image_path": "ee8c654539c1aff5f9d80afca5bebe6058cb368cbfbc91a268246659fb6d395e.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 141, + 353, + 469, + 385.0 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 141, + 385.0, + 469, + 417.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 141, + 417.0, + 469, + 449.0 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 458, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 105, + 457, + 504, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 252, + 472 + ], + "score": 1.0, + "content": "This bound is valid for any", + "type": "text" + }, + { + "bbox": [ + 252, + 461, + 259, + 471 + ], + "score": 0.75, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 457, + 385, + 472 + ], + "score": 1.0, + "content": "but will be tight when", + "type": "text" + }, + { + "bbox": [ + 386, + 459, + 504, + 471 + ], + "score": 0.88, + "content": "\\begin{array} { r l } { q ( s _ { K } , s _ { K - 1 } , \\ldots , s _ { 1 } | s _ { 0 } ) } & { { } = } \\end{array}", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 107, + 470, + 203, + 482 + ], + "score": 0.92, + "content": "p ( s _ { K } , s _ { K - 1 } , \\ldots , s _ { 1 } \\vert s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 470, + 505, + 483 + ], + "score": 1.0, + "content": ", and otherwise can be used to obtain a variational training objective. Note", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 481, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 143, + 493 + ], + "score": 1.0, + "content": "that both", + "type": "text" + }, + { + "bbox": [ + 144, + 483, + 150, + 492 + ], + "score": 0.83, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 481, + 167, + 493 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 167, + 483, + 174, + 492 + ], + "score": 0.81, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 481, + 505, + 493 + ], + "score": 1.0, + "content": "can be decomposed as a product of one-step conditionals. Here, we can make most", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 491, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 104, + 491, + 131, + 506 + ], + "score": 1.0, + "content": "of the", + "type": "text" + }, + { + "bbox": [ + 132, + 494, + 145, + 504 + ], + "score": 0.87, + "content": "q _ { T _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 491, + 346, + 506 + ], + "score": 1.0, + "content": "transition probabilities match their corresponding", + "type": "text" + }, + { + "bbox": [ + 347, + 494, + 361, + 504 + ], + "score": 0.88, + "content": "p _ { T _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 491, + 506, + 506 + ], + "score": 1.0, + "content": "transition probabilities exactly, i.e.,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 501, + 199, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 120, + 516 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 121, + 504, + 166, + 514 + ], + "score": 0.91, + "content": "1 \\leq t < K", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 501, + 199, + 516 + ], + "score": 1.0, + "content": "we use", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18 + }, + { + "type": "interline_equation", + "bbox": [ + 259, + 513, + 351, + 527 + ], + "lines": [ + { + "bbox": [ + 259, + 513, + 351, + 527 + ], + "spans": [ + { + "bbox": [ + 259, + 513, + 351, + 527 + ], + "score": 0.93, + "content": "q _ { T _ { t } } ( s | s ^ { \\prime } ) = p _ { T _ { t } } ( s | s ^ { \\prime } ) .", + "type": "interline_equation", + "image_path": "7f961b304697510fba69127a88d3c006f92e0e73349aa85134d7e05bfb731d74.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 259, + 513, + 351, + 527 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 529, + 359, + 541 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 360, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 360, + 543 + ], + "score": 1.0, + "content": "The only approximations will be on both ends of the sequence:", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 131, + 549, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 133, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 133, + 550, + 286, + 563 + ], + "score": 1.0, + "content": "• Sampling exactly from the model’s", + "type": "text" + }, + { + "bbox": [ + 287, + 550, + 327, + 562 + ], + "score": 0.94, + "content": "p ( \\pmb { v } = \\pmb { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "is typically not feasible exactly (it involves", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 141, + 561, + 505, + 575 + ], + "score": 1.0, + "content": "the usual posterior inference, e.g., as used in VAEs) but as explained below we will exploit", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 572, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 141, + 572, + 505, + 586 + ], + "score": 1.0, + "content": "properties of the algorithm to approximate this efficiently. We call the chosen approxima-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 583, + 188, + 596 + ], + "spans": [ + { + "bbox": [ + 141, + 583, + 160, + 596 + ], + "score": 1.0, + "content": "tion", + "type": "text" + }, + { + "bbox": [ + 160, + 583, + 184, + 595 + ], + "score": 0.92, + "content": "q _ { 1 } ( \\pmb { v } )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 583, + 188, + 596 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 137, + 597, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 137, + 597, + 258, + 611 + ], + "score": 1.0, + "content": "At the last step, the optimal", + "type": "text" + }, + { + "bbox": [ + 258, + 598, + 321, + 610 + ], + "score": 0.93, + "content": "q _ { T _ { K } } ( \\pmb { s } _ { K } | \\pmb { s } _ { K - 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 597, + 505, + 611 + ], + "score": 1.0, + "content": "is not simply the model’s transition operator", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 609, + 504, + 622 + ], + "spans": [ + { + "bbox": [ + 141, + 609, + 203, + 622 + ], + "score": 1.0, + "content": "at temperature", + "type": "text" + }, + { + "bbox": [ + 203, + 610, + 218, + 620 + ], + "score": 0.89, + "content": "T _ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 609, + 504, + 622 + ], + "score": 1.0, + "content": ", because this conditional also involves the marginal “starting distribu-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 619, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 141, + 619, + 164, + 633 + ], + "score": 1.0, + "content": "tion”", + "type": "text" + }, + { + "bbox": [ + 165, + 620, + 196, + 632 + ], + "score": 0.92, + "content": "p ^ { * } ( s _ { K } )", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 619, + 342, + 633 + ], + "score": 1.0, + "content": ". However, because we have picked", + "type": "text" + }, + { + "bbox": [ + 342, + 620, + 357, + 631 + ], + "score": 0.89, + "content": "T _ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 619, + 505, + 633 + ], + "score": 1.0, + "content": "large enough to make samples from", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 142, + 630, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 142, + 632, + 214, + 643 + ], + "score": 0.91, + "content": "q _ { T _ { m a x } } \\bigl ( \\pmb { s } _ { K } \\big | \\pmb { s } _ { K - 1 } \\bigr )", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 630, + 430, + 644 + ], + "score": 1.0, + "content": "dominated by noise of the same variance as that of", + "type": "text" + }, + { + "bbox": [ + 430, + 632, + 441, + 642 + ], + "score": 0.87, + "content": "p ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 630, + 506, + 644 + ], + "score": 1.0, + "content": ", we expect the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 142, + 643, + 265, + 654 + ], + "spans": [ + { + "bbox": [ + 142, + 643, + 265, + 654 + ], + "score": 1.0, + "content": "approximation to be good too.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 108, + 666, + 422, + 679 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 423, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 423, + 680 + ], + "score": 1.0, + "content": "3.1 ESTIMATING THE LOG-LIKELIHOOD USING IMPORTANCE SAMPLING", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 235, + 700 + ], + "score": 1.0, + "content": "In practice we cannot compute", + "type": "text" + }, + { + "bbox": [ + 235, + 688, + 244, + 698 + ], + "score": 0.81, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "exactly (nor its gradient), but we can easily obtain an unbiased", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 698, + 504, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 157, + 712 + ], + "score": 1.0, + "content": "estimator of", + "type": "text" + }, + { + "bbox": [ + 158, + 699, + 166, + 709 + ], + "score": 0.78, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 698, + 296, + 712 + ], + "score": 1.0, + "content": "(or of its gradient) by sampling", + "type": "text" + }, + { + "bbox": [ + 296, + 699, + 309, + 711 + ], + "score": 0.91, + "content": "s _ { 1 } ^ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 698, + 348, + 712 + ], + "score": 1.0, + "content": "from the", + "type": "text" + }, + { + "bbox": [ + 348, + 702, + 354, + 711 + ], + "score": 0.77, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 698, + 496, + 712 + ], + "score": 1.0, + "content": "distributions, i.e., approximate the", + "type": "text" + }, + { + "bbox": [ + 496, + 699, + 504, + 709 + ], + "score": 0.76, + "content": "\\mathcal { L }", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "integral by a single Monte-Carlo sample. 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Finally, we would look at the visible portion of", + "type": "text" + }, + { + "bbox": [ + 439, + 84, + 450, + 93 + ], + "score": 0.85, + "content": "\\scriptstyle { \\pmb { s } } _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "to obtain the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 141, + 106 + ], + "score": 1.0, + "content": "sampled", + "type": "text" + }, + { + "bbox": [ + 142, + 95, + 150, + 104 + ], + "score": 0.69, + "content": "_ { \\textbf { \\em x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 93, + 506, + 106 + ], + "score": 1.0, + "content": ". In practice, we would expect that a slower annealing schedule would yield samples more", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 297, + 118 + ], + "score": 1.0, + "content": "in agreement with the stationary distribution of", + "type": "text" + }, + { + "bbox": [ + 297, + 104, + 331, + 117 + ], + "score": 0.93, + "content": "p _ { 1 } ( \\pmb { s } | \\pmb { s } ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 104, + 506, + 118 + ], + "score": 1.0, + "content": ", but we explored this aggressive annealing", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 275, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 275, + 128 + ], + "score": 1.0, + "content": "schedule in order to obtain faster training.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5, + "bbox_fs": [ + 105, + 83, + 506, + 128 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 132, + 433, + 144 + ], + "lines": [ + { + "bbox": [ + 105, + 130, + 433, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 130, + 219, + 146 + ], + "score": 1.0, + "content": "The marginal probability of", + "type": "text" + }, + { + "bbox": [ + 219, + 134, + 246, + 142 + ], + "score": 0.88, + "content": "{ \\pmb v } = { \\pmb x }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 130, + 340, + 146 + ], + "score": 1.0, + "content": "at the end of the above", + "type": "text" + }, + { + "bbox": [ + 340, + 133, + 351, + 142 + ], + "score": 0.84, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 130, + 433, + 146 + ], + "score": 1.0, + "content": "-step process is thus", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 171, + 507, + 192 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 416, + 192 + ], + "score": 0.7, + "content": "\\begin{array} { r } { \\mathsf { p } ( { \\pmb x } ) = \\int _ { { \\pmb x } _ { 1 } ^ { K } } p _ { T _ { 0 } } ( { \\pmb s } _ { 0 } = { \\pmb x } | { \\pmb s } _ { 1 } ) \\left( \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } \\big ( { \\pmb s } _ { t - 1 } | { \\pmb s } _ { t } \\big ) \\right) p ^ { * } ( { \\pmb s } _ { K } ) d { \\pmb s } _ { 1 } ^ { K } ( 6 ) \\mathrm { w h e r e } T _ { t } \\mathrm { \\ i } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 171, + 507, + 192 + ], + "score": 1.0, + "content": "s an annealing sched-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 103, + 188, + 509, + 218 + ], + "spans": [ + { + "bbox": [ + 103, + 195, + 142, + 218 + ], + "score": 1.0, + "content": "variance", + "type": "text" + }, + { + "bbox": [ + 105, + 188, + 144, + 203 + ], + "score": 1.0, + "content": "ule with", + "type": "text" + }, + { + "bbox": [ + 143, + 201, + 165, + 213 + ], + "score": 0.91, + "content": "\\sigma _ { \\mathrm { d a t a } } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 191, + 177, + 201 + ], + "score": 0.89, + "content": "T _ { 0 } ~ = ~ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 195, + 509, + 218 + ], + "score": 1.0, + "content": "K max . We can rewrite this as follows by taking the log and multiplying and dividing by an", + "type": "text" + }, + { + "bbox": [ + 178, + 188, + 198, + 203 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 198, + 191, + 251, + 201 + ], + "score": 0.89, + "content": "T _ { K } = \\dot { T } _ { \\mathrm { m a x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 188, + 271, + 203 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 271, + 191, + 282, + 202 + ], + "score": 0.84, + "content": "p ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 188, + 506, + 203 + ], + "score": 1.0, + "content": "is the “starting distribution”, such as the Gaussian of", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 210, + 430, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 192, + 226 + ], + "score": 1.0, + "content": "arbitrary distribution", + "type": "text" + }, + { + "bbox": [ + 192, + 212, + 250, + 224 + ], + "score": 0.92, + "content": "q ( s _ { 1 } , \\ldots , s _ { K } )", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 210, + 373, + 226 + ], + "score": 1.0, + "content": "decomposed into conditionals", + "type": "text" + }, + { + "bbox": [ + 373, + 212, + 425, + 225 + ], + "score": 0.92, + "content": "q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 210, + 430, + 226 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 130, + 433, + 146 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 172, + 505, + 224 + ], + "lines": [], + "index": 6, + "bbox_fs": [ + 103, + 171, + 509, + 226 + ], + "lines_deleted": true + }, + { + "type": "interline_equation", + "bbox": [ + 160, + 229, + 449, + 307 + ], + "lines": [ + { + "bbox": [ + 160, + 229, + 449, + 307 + ], + "spans": [ + { + "bbox": [ + 160, + 229, + 449, + 307 + ], + "score": 0.95, + "content": "\\begin{array} { r l r } { \\log p ( \\pmb { x } ) = \\log \\displaystyle \\int _ { s _ { 1 } ^ { K } } q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } \\big ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } ( \\pmb { x } , \\pmb { \\cdot } ) \\big ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) } & { } & \\\\ { \\frac { p _ { T _ { 0 } } \\big ( \\pmb { s } _ { 0 } = \\pmb { x } | \\pmb { s } _ { 1 } \\big ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } \\big ( \\pmb { s } _ { t - 1 } | \\pmb { s } _ { t } \\big ) \\right) p ^ { \\ast } ( \\pmb { s } _ { K } ) } { q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } \\big ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } = \\pmb { x } \\big ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } \\big ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } \\big ) \\right) } d s _ { 1 } ^ { K } } \\end{array}", + "type": "interline_equation", + "image_path": "312f6612315233f0333f8874364480c4e26ab4495436c1a274425c3807db5830.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 160, + 229, + 449, + 255.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 160, + 255.0, + 449, + 281.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 160, + 281.0, + 449, + 307.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 311, + 505, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 310, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 214, + 324 + ], + "score": 1.0, + "content": "where we understand that", + "type": "text" + }, + { + "bbox": [ + 215, + 313, + 248, + 322 + ], + "score": 0.89, + "content": "\\scriptstyle { \\pmb { s } } _ { 0 } \\ = \\ { \\pmb { x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 310, + 505, + 324 + ], + "score": 1.0, + "content": ". Now we can apply Jensen’s inequality as usual to obtain the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 322, + 179, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 179, + 333 + ], + "score": 1.0, + "content": "variational bound", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 310, + 505, + 333 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 141, + 353, + 469, + 449 + ], + "lines": [ + { + "bbox": [ + 141, + 353, + 469, + 449 + ], + "spans": [ + { + "bbox": [ + 141, + 353, + 469, + 449 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } { \\log p ( x ) \\geq \\mathcal { L } } \\\\ & { } & \\\\ & { \\quad \\quad = \\int _ { s _ { 1 } ^ { K } } \\qquad q _ { T _ { 0 } } ( x ) q _ { T _ { 1 } } ( s _ { 1 } | s _ { 0 } = x ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) } \\\\ & { } & { \\log \\frac { p _ { T _ { 0 } } ( s _ { 0 } = x | s _ { 1 } ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } ( s _ { t - 1 } | s _ { t } ) \\right) p ^ { * } ( s _ { K } ) } { q _ { T _ { 0 } } x q _ { T _ { 1 } } ( s _ { 1 } | s _ { 0 } = x ) \\left( \\displaystyle \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( s _ { t } | s _ { t - 1 } ) \\right) } d s _ { 1 } ^ { K } . } \\end{array}", + "type": "interline_equation", + "image_path": "ee8c654539c1aff5f9d80afca5bebe6058cb368cbfbc91a268246659fb6d395e.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 141, + 353, + 469, + 385.0 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 141, + 385.0, + 469, + 417.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 141, + 417.0, + 469, + 449.0 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 458, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 105, + 457, + 504, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 252, + 472 + ], + "score": 1.0, + "content": "This bound is valid for any", + "type": "text" + }, + { + "bbox": [ + 252, + 461, + 259, + 471 + ], + "score": 0.75, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 457, + 385, + 472 + ], + "score": 1.0, + "content": "but will be tight when", + "type": "text" + }, + { + "bbox": [ + 386, + 459, + 504, + 471 + ], + "score": 0.88, + "content": "\\begin{array} { r l } { q ( s _ { K } , s _ { K - 1 } , \\ldots , s _ { 1 } | s _ { 0 } ) } & { { } = } \\end{array}", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 107, + 470, + 203, + 482 + ], + "score": 0.92, + "content": "p ( s _ { K } , s _ { K - 1 } , \\ldots , s _ { 1 } \\vert s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 470, + 505, + 483 + ], + "score": 1.0, + "content": ", and otherwise can be used to obtain a variational training objective. Note", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 481, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 143, + 493 + ], + "score": 1.0, + "content": "that both", + "type": "text" + }, + { + "bbox": [ + 144, + 483, + 150, + 492 + ], + "score": 0.83, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 481, + 167, + 493 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 167, + 483, + 174, + 492 + ], + "score": 0.81, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 481, + 505, + 493 + ], + "score": 1.0, + "content": "can be decomposed as a product of one-step conditionals. Here, we can make most", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 491, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 104, + 491, + 131, + 506 + ], + "score": 1.0, + "content": "of the", + "type": "text" + }, + { + "bbox": [ + 132, + 494, + 145, + 504 + ], + "score": 0.87, + "content": "q _ { T _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 491, + 346, + 506 + ], + "score": 1.0, + "content": "transition probabilities match their corresponding", + "type": "text" + }, + { + "bbox": [ + 347, + 494, + 361, + 504 + ], + "score": 0.88, + "content": "p _ { T _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 491, + 506, + 506 + ], + "score": 1.0, + "content": "transition probabilities exactly, i.e.,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 501, + 199, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 120, + 516 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 121, + 504, + 166, + 514 + ], + "score": 0.91, + "content": "1 \\leq t < K", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 501, + 199, + 516 + ], + "score": 1.0, + "content": "we use", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18, + "bbox_fs": [ + 104, + 457, + 506, + 516 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 259, + 513, + 351, + 527 + ], + "lines": [ + { + "bbox": [ + 259, + 513, + 351, + 527 + ], + "spans": [ + { + "bbox": [ + 259, + 513, + 351, + 527 + ], + "score": 0.93, + "content": "q _ { T _ { t } } ( s | s ^ { \\prime } ) = p _ { T _ { t } } ( s | s ^ { \\prime } ) .", + "type": "interline_equation", + "image_path": "7f961b304697510fba69127a88d3c006f92e0e73349aa85134d7e05bfb731d74.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 259, + 513, + 351, + 527 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 529, + 359, + 541 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 360, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 360, + 543 + ], + "score": 1.0, + "content": "The only approximations will be on both ends of the sequence:", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 527, + 360, + 543 + ] + }, + { + "type": "list", + "bbox": [ + 131, + 549, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 133, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 133, + 550, + 286, + 563 + ], + "score": 1.0, + "content": "• Sampling exactly from the model’s", + "type": "text" + }, + { + "bbox": [ + 287, + 550, + 327, + 562 + ], + "score": 0.94, + "content": "p ( \\pmb { v } = \\pmb { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "is typically not feasible exactly (it involves", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 141, + 561, + 505, + 575 + ], + "score": 1.0, + "content": "the usual posterior inference, e.g., as used in VAEs) but as explained below we will exploit", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 572, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 141, + 572, + 505, + 586 + ], + "score": 1.0, + "content": "properties of the algorithm to approximate this efficiently. We call the chosen approxima-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 583, + 188, + 596 + ], + "spans": [ + { + "bbox": [ + 141, + 583, + 160, + 596 + ], + "score": 1.0, + "content": "tion", + "type": "text" + }, + { + "bbox": [ + 160, + 583, + 184, + 595 + ], + "score": 0.92, + "content": "q _ { 1 } ( \\pmb { v } )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 583, + 188, + 596 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26, + "is_list_end_line": true + }, + { + "bbox": [ + 137, + 597, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 137, + 597, + 258, + 611 + ], + "score": 1.0, + "content": "At the last step, the optimal", + "type": "text" + }, + { + "bbox": [ + 258, + 598, + 321, + 610 + ], + "score": 0.93, + "content": "q _ { T _ { K } } ( \\pmb { s } _ { K } | \\pmb { s } _ { K - 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 597, + 505, + 611 + ], + "score": 1.0, + "content": "is not simply the model’s transition operator", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 609, + 504, + 622 + ], + "spans": [ + { + "bbox": [ + 141, + 609, + 203, + 622 + ], + "score": 1.0, + "content": "at temperature", + "type": "text" + }, + { + "bbox": [ + 203, + 610, + 218, + 620 + ], + "score": 0.89, + "content": "T _ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 609, + 504, + 622 + ], + "score": 1.0, + "content": ", because this conditional also involves the marginal “starting distribu-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 619, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 141, + 619, + 164, + 633 + ], + "score": 1.0, + "content": "tion”", + "type": "text" + }, + { + "bbox": [ + 165, + 620, + 196, + 632 + ], + "score": 0.92, + "content": "p ^ { * } ( s _ { K } )", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 619, + 342, + 633 + ], + "score": 1.0, + "content": ". However, because we have picked", + "type": "text" + }, + { + "bbox": [ + 342, + 620, + 357, + 631 + ], + "score": 0.89, + "content": "T _ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 619, + 505, + 633 + ], + "score": 1.0, + "content": "large enough to make samples from", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 142, + 630, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 142, + 632, + 214, + 643 + ], + "score": 0.91, + "content": "q _ { T _ { m a x } } \\bigl ( \\pmb { s } _ { K } \\big | \\pmb { s } _ { K - 1 } \\bigr )", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 630, + 430, + 644 + ], + "score": 1.0, + "content": "dominated by noise of the same variance as that of", + "type": "text" + }, + { + "bbox": [ + 430, + 632, + 441, + 642 + ], + "score": 0.87, + "content": "p ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 630, + 506, + 644 + ], + "score": 1.0, + "content": ", we expect the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 142, + 643, + 265, + 654 + ], + "spans": [ + { + "bbox": [ + 142, + 643, + 265, + 654 + ], + "score": 1.0, + "content": "approximation to be good too.", + "type": "text" + } + ], + "index": 31, + "is_list_end_line": true + } + ], + "index": 27, + "bbox_fs": [ + 133, + 550, + 506, + 654 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 666, + 422, + 679 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 423, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 423, + 680 + ], + "score": 1.0, + "content": "3.1 ESTIMATING THE LOG-LIKELIHOOD USING IMPORTANCE SAMPLING", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 235, + 700 + ], + "score": 1.0, + "content": "In practice we cannot compute", + "type": "text" + }, + { + "bbox": [ + 235, + 688, + 244, + 698 + ], + "score": 0.81, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "exactly (nor its gradient), but we can easily obtain an unbiased", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 698, + 504, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 157, + 712 + ], + "score": 1.0, + "content": "estimator of", + "type": "text" + }, + { + "bbox": [ + 158, + 699, + 166, + 709 + ], + "score": 0.78, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 698, + 296, + 712 + ], + "score": 1.0, + "content": "(or of its gradient) by sampling", + "type": "text" + }, + { + "bbox": [ + 296, + 699, + 309, + 711 + ], + "score": 0.91, + "content": "s _ { 1 } ^ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 698, + 348, + 712 + ], + "score": 1.0, + "content": "from the", + "type": "text" + }, + { + "bbox": [ + 348, + 702, + 354, + 711 + ], + "score": 0.77, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 698, + 496, + 712 + ], + "score": 1.0, + "content": "distributions, i.e., approximate the", + "type": "text" + }, + { + "bbox": [ + 496, + 699, + 504, + 709 + ], + "score": 0.76, + "content": "\\mathcal { L }", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "integral by a single Monte-Carlo sample. This is what is done by the training procedure outlined in", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 443, + 733 + ], + "score": 1.0, + "content": "Algorithm 1, which thus performs stochastic gradient ascent on the variational bound", + "type": "text" + }, + { + "bbox": [ + 443, + 721, + 451, + 730 + ], + "score": 0.78, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 720, + 505, + 733 + ], + "score": 1.0, + "content": ", and this will", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 264, + 96 + ], + "score": 1.0, + "content": "tend to also push up the log-likelihood", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 264, + 82, + 299, + 95 + ], + "score": 0.92, + "content": "\\log p ( { \\pmb x } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 300, + 82, + 386, + 96 + ], + "score": 1.0, + "content": "of training examples", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 386, + 84, + 394, + 92 + ], + "score": 0.5, + "content": "_ { \\textbf { \\em x } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 394, + 82, + 506, + 96 + ], + "score": 1.0, + "content": ". Note that such variational", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 92, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 506, + 107 + ], + "score": 1.0, + "content": "bounds have been used successfully in many learning algorithms in the past (Kingma & Welling,", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 209, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 209, + 117 + ], + "score": 1.0, + "content": "2013; Lamb et al., 2016).", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 687, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 115 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 264, + 96 + ], + "score": 1.0, + "content": "tend to also push up the log-likelihood", + "type": "text" + }, + { + "bbox": [ + 264, + 82, + 299, + 95 + ], + "score": 0.92, + "content": "\\log p ( { \\pmb x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 82, + 386, + 96 + ], + "score": 1.0, + "content": "of training examples", + "type": "text" + }, + { + "bbox": [ + 386, + 84, + 394, + 92 + ], + "score": 0.5, + "content": "_ { \\textbf { \\em x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 82, + 506, + 96 + ], + "score": 1.0, + "content": ". Note that such variational", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 92, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 506, + 107 + ], + "score": 1.0, + "content": "bounds have been used successfully in many learning algorithms in the past (Kingma & Welling,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 209, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 209, + 117 + ], + "score": 1.0, + "content": "2013; Lamb et al., 2016).", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 121, + 504, + 155 + ], + "lines": [ + { + "bbox": [ + 105, + 119, + 506, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 119, + 506, + 135 + ], + "score": 1.0, + "content": "We derive an estimate of the negative log-likelihood by the following procedure. For each training", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 142, + 145 + ], + "score": 1.0, + "content": "example", + "type": "text" + }, + { + "bbox": [ + 143, + 135, + 150, + 142 + ], + "score": 0.71, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 132, + 506, + 145 + ], + "score": 1.0, + "content": ", we sample a large number of diffusion paths. We then use the following formulation to", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 254, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 254, + 155 + ], + "score": 1.0, + "content": "estimate the negative log-likelihood.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + }, + { + "type": "interline_equation", + "bbox": [ + 184, + 176, + 425, + 239 + ], + "lines": [ + { + "bbox": [ + 184, + 176, + 425, + 239 + ], + "spans": [ + { + "bbox": [ + 184, + 176, + 425, + 239 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\log p ( \\pmb { x } ) = \\log \\mathbb { E } _ { \\pmb { x } \\sim p _ { \\mathcal { D } } , q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } ( \\pmb { x } , ) ) \\left( \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) } } \\\\ { \\left[ \\frac { p _ { T _ { 0 } } ( \\pmb { s } _ { 0 } = \\pmb { x } | \\pmb { s } _ { 1 } ) \\left( \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } ( \\pmb { s } _ { t - 1 } | \\pmb { s } _ { t } ) \\right) p ^ { \\ast } ( \\pmb { s } _ { K } ) } { q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } = \\pmb { x } ) \\left( \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) } \\right] } \\end{array}", + "type": "interline_equation", + "image_path": "e98c2c0ccd495c3329ddf24c5b62fae8a5d04fa1c4a1cf7c23af48b3095c5ae5.jpg" + } + ] + } + ], + "index": 7.5, + "virtual_lines": [ + { + "bbox": [ + 184, + 176, + 425, + 191.75 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 184, + 191.75, + 425, + 207.5 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 184, + 207.5, + 425, + 223.25 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 184, + 223.25, + 425, + 239.0 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "title", + "bbox": [ + 107, + 250, + 416, + 263 + ], + "lines": [ + { + "bbox": [ + 105, + 249, + 418, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 418, + 265 + ], + "score": 1.0, + "content": "4 TRANSITION OPERATORS FOR VARIATIONAL WALKBACK", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 275, + 505, + 331 + ], + "lines": [ + { + "bbox": [ + 106, + 276, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 276, + 505, + 288 + ], + "score": 1.0, + "content": "Up to now we have not specified what the form of the transition operators should be. Two main", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 284, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 300 + ], + "score": 1.0, + "content": "variants are possible here. Either we directly parametrize the transition operator, like with denoising", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "score": 1.0, + "content": "auto-encoders or generative stochastic networks, or we obtain our transition operator implicitly from", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 104, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "some energy function, for example by applying some form of Gibbs sampling or Langevin MCMC", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 320, + 372, + 332 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 372, + 332 + ], + "score": 1.0, + "content": "to derive a transition operator associated with the energy function.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 336, + 505, + 403 + ], + "lines": [ + { + "bbox": [ + 106, + 337, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 337, + 505, + 348 + ], + "score": 1.0, + "content": "An advantage of the direct parametrization is that it eliminates the constraint to have symmetric", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 347, + 504, + 359 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 504, + 359 + ], + "score": 1.0, + "content": "weights, which is interesting from the point of view of biological plausibility of such algorithms. An", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "advantage of the energy-based parametrization is that at the end of the day we get an energy function", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 370, + 504, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 504, + 381 + ], + "score": 1.0, + "content": "which could be used to compute the unnormalized joint probability of visible and latent variables.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 379, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 505, + 393 + ], + "score": 1.0, + "content": "However, note that in both cases we can easily get an estimator of the log-likelihood by simply using", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 390, + 487, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 174, + 404 + ], + "score": 1.0, + "content": "our lower bound", + "type": "text" + }, + { + "bbox": [ + 175, + 392, + 182, + 401 + ], + "score": 0.76, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 390, + 419, + 404 + ], + "score": 1.0, + "content": ", possibly improved by doing more expensive inference for", + "type": "text" + }, + { + "bbox": [ + 419, + 391, + 483, + 403 + ], + "score": 0.92, + "content": "p _ { T _ { K } } ( \\bar { s _ { K } } | s _ { K - 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 390, + 487, + 404 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 108, + 416, + 293, + 427 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 295, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 295, + 429 + ], + "score": 1.0, + "content": "4.1 PARAMETRIC TRANSITION OPERATOR", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 436, + 504, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 451 + ], + "score": 1.0, + "content": "In our experiments we considered Bernoulli and isotropic Gaussian transition operators for binary", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 447, + 241, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 241, + 461 + ], + "score": 1.0, + "content": "and real-valued data respectively.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 465, + 505, + 498 + ], + "lines": [ + { + "bbox": [ + 105, + 464, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 505, + 478 + ], + "score": 1.0, + "content": "When we sample from the transition operator we do not attempt to pass gradients through the sam-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 475, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 505, + 489 + ], + "score": 1.0, + "content": "pling operation. 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For each training", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 142, + 145 + ], + "score": 1.0, + "content": "example", + "type": "text" + }, + { + "bbox": [ + 143, + 135, + 150, + 142 + ], + "score": 0.71, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 132, + 506, + 145 + ], + "score": 1.0, + "content": ", we sample a large number of diffusion paths. We then use the following formulation to", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 254, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 254, + 155 + ], + "score": 1.0, + "content": "estimate the negative log-likelihood.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 119, + 506, + 155 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 184, + 176, + 425, + 239 + ], + "lines": [ + { + "bbox": [ + 184, + 176, + 425, + 239 + ], + "spans": [ + { + "bbox": [ + 184, + 176, + 425, + 239 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\log p ( \\pmb { x } ) = \\log \\mathbb { E } _ { \\pmb { x } \\sim p _ { \\mathcal { D } } , q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } ( \\pmb { x } , ) ) \\left( \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) } } \\\\ { \\left[ \\frac { p _ { T _ { 0 } } ( \\pmb { s } _ { 0 } = \\pmb { x } | \\pmb { s } _ { 1 } ) \\left( \\prod _ { t = 2 } ^ { K } p _ { T _ { t } } ( \\pmb { s } _ { t - 1 } | \\pmb { s } _ { t } ) \\right) p ^ { \\ast } ( \\pmb { s } _ { K } ) } { q _ { T _ { 0 } } ( \\pmb { x } ) q _ { T _ { 1 } } ( \\pmb { s } _ { 1 } | \\pmb { s } _ { 0 } = \\pmb { x } ) \\left( \\prod _ { t = 2 } ^ { K } q _ { T _ { t } } ( \\pmb { s } _ { t } | \\pmb { s } _ { t - 1 } ) \\right) } \\right] } \\end{array}", + "type": "interline_equation", + "image_path": "e98c2c0ccd495c3329ddf24c5b62fae8a5d04fa1c4a1cf7c23af48b3095c5ae5.jpg" + } + ] + } + ], + "index": 7.5, + "virtual_lines": [ + { + "bbox": [ + 184, + 176, + 425, + 191.75 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 184, + 191.75, + 425, + 207.5 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 184, + 207.5, + 425, + 223.25 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 184, + 223.25, + 425, + 239.0 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "title", + "bbox": [ + 107, + 250, + 416, + 263 + ], + "lines": [ + { + "bbox": [ + 105, + 249, + 418, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 418, + 265 + ], + "score": 1.0, + "content": "4 TRANSITION OPERATORS FOR VARIATIONAL WALKBACK", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 275, + 505, + 331 + ], + "lines": [ + { + "bbox": [ + 106, + 276, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 276, + 505, + 288 + ], + "score": 1.0, + "content": "Up to now we have not specified what the form of the transition operators should be. Two main", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 284, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 300 + ], + "score": 1.0, + "content": "variants are possible here. Either we directly parametrize the transition operator, like with denoising", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "score": 1.0, + "content": "auto-encoders or generative stochastic networks, or we obtain our transition operator implicitly from", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 104, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "some energy function, for example by applying some form of Gibbs sampling or Langevin MCMC", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 320, + 372, + 332 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 372, + 332 + ], + "score": 1.0, + "content": "to derive a transition operator associated with the energy function.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13, + "bbox_fs": [ + 104, + 276, + 506, + 332 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 336, + 505, + 403 + ], + "lines": [ + { + "bbox": [ + 106, + 337, + 505, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 337, + 505, + 348 + ], + "score": 1.0, + "content": "An advantage of the direct parametrization is that it eliminates the constraint to have symmetric", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 347, + 504, + 359 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 504, + 359 + ], + "score": 1.0, + "content": "weights, which is interesting from the point of view of biological plausibility of such algorithms. An", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "advantage of the energy-based parametrization is that at the end of the day we get an energy function", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 370, + 504, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 504, + 381 + ], + "score": 1.0, + "content": "which could be used to compute the unnormalized joint probability of visible and latent variables.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 379, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 505, + 393 + ], + "score": 1.0, + "content": "However, note that in both cases we can easily get an estimator of the log-likelihood by simply using", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 390, + 487, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 174, + 404 + ], + "score": 1.0, + "content": "our lower bound", + "type": "text" + }, + { + "bbox": [ + 175, + 392, + 182, + 401 + ], + "score": 0.76, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 390, + 419, + 404 + ], + "score": 1.0, + "content": ", possibly improved by doing more expensive inference for", + "type": "text" + }, + { + "bbox": [ + 419, + 391, + 483, + 403 + ], + "score": 0.92, + "content": "p _ { T _ { K } } ( \\bar { s _ { K } } | s _ { K - 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 390, + 487, + 404 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 337, + 505, + 404 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 416, + 293, + 427 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 295, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 295, + 429 + ], + "score": 1.0, + "content": "4.1 PARAMETRIC TRANSITION OPERATOR", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 436, + 504, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 451 + ], + "score": 1.0, + "content": "In our experiments we considered Bernoulli and isotropic Gaussian transition operators for binary", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 447, + 241, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 241, + 461 + ], + "score": 1.0, + "content": "and real-valued data respectively.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 435, + 505, + 461 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 465, + 505, + 498 + ], + "lines": [ + { + "bbox": [ + 105, + 464, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 505, + 478 + ], + "score": 1.0, + "content": "When we sample from the transition operator we do not attempt to pass gradients through the sam-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 475, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 505, + 489 + ], + "score": 1.0, + "content": "pling operation. 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The", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 154, + 505, + 170 + ], + "spans": [ + { + "bbox": [ + 104, + 154, + 505, + 170 + ], + "score": 1.0, + "content": "parameter update is the difference of these sufficient statistics, which also corresponds to pushing", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 166, + 505, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 166, + 505, + 179 + ], + "score": 1.0, + "content": "down the energy of the data-clamped configuration while pushing up the energy of the random", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 177, + 299, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 165, + 190 + ], + "score": 1.0, + "content": "variables after", + "type": "text" + }, + { + "bbox": [ + 165, + 178, + 172, + 187 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 177, + 299, + 190 + ], + "score": 1.0, + "content": "steps of the transition operator.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 108, + 194, + 503, + 217 + ], + "lines": [ + { + "bbox": [ + 106, + 193, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 505, + 207 + ], + "score": 1.0, + "content": "Two important differences are that, because the temperature is increasing in the variational walk-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 204, + 173, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 173, + 218 + ], + "score": 1.0, + "content": "back procedure,", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 130, + 225, + 505, + 275 + ], + "lines": [ + { + "bbox": [ + 129, + 223, + 504, + 243 + ], + "spans": [ + { + "bbox": [ + 129, + 223, + 226, + 243 + ], + "score": 1.0, + "content": "1. the energy gradients", + "type": "text" + }, + { + "bbox": [ + 226, + 225, + 250, + 240 + ], + "score": 0.95, + "content": "\\frac { \\partial E ( s ) } { \\partial s }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 223, + 493, + 243 + ], + "score": 1.0, + "content": "do not cancel each other telescopically along the chain from", + "type": "text" + }, + { + "bbox": [ + 493, + 230, + 504, + 239 + ], + "score": 0.81, + "content": "s _ { 0 }", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 239, + 170, + 252 + ], + "spans": [ + { + "bbox": [ + 141, + 239, + 153, + 252 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 153, + 241, + 165, + 250 + ], + "score": 0.83, + "content": "s _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 239, + 170, + 252 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 130, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 130, + 253, + 153, + 265 + ], + "score": 1.0, + "content": "2. as", + "type": "text" + }, + { + "bbox": [ + 154, + 254, + 159, + 263 + ], + "score": 0.76, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 253, + 505, + 265 + ], + "score": 1.0, + "content": "increases we move more and more randomly rather than following the energy of the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 263, + 432, + 277 + ], + "spans": [ + { + "bbox": [ + 141, + 263, + 432, + 277 + ], + "score": 1.0, + "content": "model, allowing to hunt more effectively the areas near spurious modes.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 108, + 283, + 505, + 317 + ], + "lines": [ + { + "bbox": [ + 106, + 284, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 106, + 284, + 505, + 295 + ], + "score": 1.0, + "content": "A third difference is that the learning procedure is expressed in terms of the transition operator rather", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 295, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 505, + 307 + ], + "score": 1.0, + "content": "than directly in terms of the energy function. 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A major difference is that the algorithm proposed for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 471, + 406 + ], + "score": 1.0, + "content": "GSNs involves the minimization of overall reconstruction error (from the input data point", + "type": "text" + }, + { + "bbox": [ + 471, + 396, + 478, + 404 + ], + "score": 0.72, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 394, + 505, + 406 + ], + "score": 1.0, + "content": "to the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "sampled reconstruction many steps later). This will tend to blur the learned distribution. Instead,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 415, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 506, + 429 + ], + "score": 1.0, + "content": "the variational walk-back algorithm minimizes reconstruction error one step at a time along the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 426, + 194, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 194, + 440 + ], + "score": 1.0, + "content": "walk-away trajectory.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 443, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 105, + 443, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 457 + ], + "score": 1.0, + "content": "In addition, the variational walkback GSNs require back-propagating through all the iterated steps,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 453, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 468 + ], + "score": 1.0, + "content": "like the DRAW algorithm (Gregor et al., 2015). Instead the variational walk-back algorithm only", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "requires back-propagating through a single step at a time of the transition operator. This should make", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "score": 1.0, + "content": "it easier to train because we avoid having to optimize a highly non-linear transformation obtained", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 488, + 321, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 321, + 501 + ], + "score": 1.0, + "content": "by the composition of many transition operator steps.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29 + }, + { + "type": "title", + "bbox": [ + 108, + 505, + 259, + 516 + ], + "lines": [ + { + "bbox": [ + 106, + 504, + 260, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 260, + 518 + ], + "score": 1.0, + "content": "Non-Equilibrium Thermodynamics", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 522, + 503, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 520, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 505, + 534 + ], + "score": 1.0, + "content": "There are two main differences between the Variational Walkback algorithm and the Non-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 532, + 232, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 232, + 545 + ], + "score": 1.0, + "content": "Equilibrium Thermodynamics:", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 130, + 552, + 505, + 645 + ], + "lines": [ + { + "bbox": [ + 130, + 553, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 130, + 553, + 505, + 566 + ], + "score": 1.0, + "content": "1. Instead of isotropic noise to move away from the data manifold, we propose to use the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 141, + 564, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 141, + 564, + 505, + 577 + ], + "score": 1.0, + "content": "model’s own transition operator, with the idea that it will “seek and destroy” the spurious", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 141, + 574, + 344, + 588 + ], + "spans": [ + { + "bbox": [ + 141, + 574, + 344, + 588 + ], + "score": 1.0, + "content": "modes much more efficiently than random moves.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 128, + 588, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 128, + 588, + 506, + 603 + ], + "score": 1.0, + "content": "2. 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Our", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 141, + 621, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 141, + 621, + 505, + 636 + ], + "score": 1.0, + "content": "model takes significantly fewer steps to walk away and back to the manifold, as compared", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 142, + 634, + 393, + 646 + ], + "spans": [ + { + "bbox": [ + 142, + 634, + 393, + 646 + ], + "score": 1.0, + "content": "to the 1000 steps used for Non-Equilibrium Thermodynamics.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 38.5 + }, + { + "type": "title", + "bbox": [ + 108, + 654, + 269, + 666 + ], + "lines": [ + { + "bbox": [ + 105, + 653, + 271, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 271, + 668 + ], + "score": 1.0, + "content": "Annealed Importance Sampling (AIS)", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 671, + 505, + 715 + ], + "lines": [ + { + "bbox": [ + 106, + 671, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 506, + 684 + ], + "score": 1.0, + "content": "Annealed Importance Sampling is a sampling procedure. 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A major difference is that the algorithm proposed for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 471, + 406 + ], + "score": 1.0, + "content": "GSNs involves the minimization of overall reconstruction error (from the input data point", + "type": "text" + }, + { + "bbox": [ + 471, + 396, + 478, + 404 + ], + "score": 0.72, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 394, + 505, + 406 + ], + "score": 1.0, + "content": "to the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "sampled reconstruction many steps later). This will tend to blur the learned distribution. Instead,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 415, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 506, + 429 + ], + "score": 1.0, + "content": "the variational walk-back algorithm minimizes reconstruction error one step at a time along the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 426, + 194, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 194, + 440 + ], + "score": 1.0, + "content": "walk-away trajectory.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22, + "bbox_fs": [ + 104, + 338, + 506, + 440 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 443, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 105, + 443, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 457 + ], + "score": 1.0, + "content": "In addition, the variational walkback GSNs require back-propagating through all the iterated steps,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 453, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 468 + ], + "score": 1.0, + "content": "like the DRAW algorithm (Gregor et al., 2015). Instead the variational walk-back algorithm only", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "requires back-propagating through a single step at a time of the transition operator. This should make", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "score": 1.0, + "content": "it easier to train because we avoid having to optimize a highly non-linear transformation obtained", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 488, + 321, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 321, + 501 + ], + "score": 1.0, + "content": "by the composition of many transition operator steps.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 443, + 505, + 501 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 505, + 259, + 516 + ], + "lines": [ + { + "bbox": [ + 106, + 504, + 260, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 260, + 518 + ], + "score": 1.0, + "content": "Non-Equilibrium Thermodynamics", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 522, + 503, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 520, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 505, + 534 + ], + "score": 1.0, + "content": "There are two main differences between the Variational Walkback algorithm and the Non-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 532, + 232, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 232, + 545 + ], + "score": 1.0, + "content": "Equilibrium Thermodynamics:", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 520, + 505, + 545 + ] + }, + { + "type": "list", + "bbox": [ + 130, + 552, + 505, + 645 + ], + "lines": [ + { + "bbox": [ + 130, + 553, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 130, + 553, + 505, + 566 + ], + "score": 1.0, + "content": "1. Instead of isotropic noise to move away from the data manifold, we propose to use the", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 564, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 141, + 564, + 505, + 577 + ], + "score": 1.0, + "content": "model’s own transition operator, with the idea that it will “seek and destroy” the spurious", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 141, + 574, + 344, + 588 + ], + "spans": [ + { + "bbox": [ + 141, + 574, + 344, + 588 + ], + "score": 1.0, + "content": "modes much more efficiently than random moves.", + "type": "text" + } + ], + "index": 37, + "is_list_end_line": true + }, + { + "bbox": [ + 128, + 588, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 128, + 588, + 506, + 603 + ], + "score": 1.0, + "content": "2. Instead of injecting a fixed amount of noise per time step, we increase the noise as it moves", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 601, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 141, + 601, + 505, + 612 + ], + "score": 1.0, + "content": "away from the data manifold, and anneal the noise when we are close to the data manifold.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 142, + 612, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 142, + 612, + 505, + 624 + ], + "score": 1.0, + "content": "This way, we can quickly reach the noise prior without loosing the details of the data. Our", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 141, + 621, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 141, + 621, + 505, + 636 + ], + "score": 1.0, + "content": "model takes significantly fewer steps to walk away and back to the manifold, as compared", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 142, + 634, + 393, + 646 + ], + "spans": [ + { + "bbox": [ + 142, + 634, + 393, + 646 + ], + "score": 1.0, + "content": "to the 1000 steps used for Non-Equilibrium Thermodynamics.", + "type": "text" + } + ], + "index": 42, + "is_list_end_line": true + } + ], + "index": 38.5, + "bbox_fs": [ + 128, + 553, + 506, + 646 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 654, + 269, + 666 + ], + "lines": [ + { + "bbox": [ + 105, + 653, + 271, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 271, + 668 + ], + "score": 1.0, + "content": "Annealed Importance Sampling (AIS)", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 671, + 505, + 715 + ], + "lines": [ + { + "bbox": [ + 106, + 671, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 506, + 684 + ], + "score": 1.0, + "content": "Annealed Importance Sampling is a sampling procedure. Like variational walkback, it uses an", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 682, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 506, + 694 + ], + "score": 1.0, + "content": "annealing schedule corresponding to a range of temperature from infinity to 1. It is used to estimate a", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 693, + 505, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 693, + 505, + 705 + ], + "score": 1.0, + "content": "partition function. Unlike Annealed Importance Sampling, variational walkback is meant to provide", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 704, + 366, + 717 + ], + "spans": [ + { + "bbox": [ + 105, + 704, + 366, + 717 + ], + "score": 1.0, + "content": "a good variational lower bound for training a transition operator.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 671, + 506, + 717 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 720, + 365, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 720, + 365, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 365, + 734 + ], + "score": 1.0, + "content": "Reverse Annealed Importance Sampling Estimator (RAISE)", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 48 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 126 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 94 + ], + "score": 1.0, + "content": "RAISE is a reverse AIS, as it starts from a data point and then increases the temperature. In this", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 105 + ], + "score": 1.0, + "content": "way it is similar to the Q-chain in variational walkback. The advantage of RAISE over AIS is that", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "it yields an estimator of the log-likelihood that tends to be pessimistic rather than optimistic, which", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 267, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 267, + 127 + ], + "score": 1.0, + "content": "makes it better as an evaluation criteria.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 107, + 132, + 505, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 132, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 144 + ], + "score": 1.0, + "content": "Like AIS, RAISE estimates the log-likelihood using a form of importance sampling, based on a", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 144, + 504, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 504, + 156 + ], + "score": 1.0, + "content": "product (over the chain) of the ratios of consecutive probabilities (not conditional probabilities from", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 154, + 505, + 166 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 505, + 166 + ], + "score": 1.0, + "content": "the model). 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It", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 480, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 480, + 189 + ], + "score": 1.0, + "content": "is for this reason that variational walkback does not need to have an explicit energy function).", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6 + }, + { + "type": "title", + "bbox": [ + 107, + 204, + 200, + 217 + ], + "lines": [ + { + "bbox": [ + 105, + 204, + 201, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 201, + 219 + ], + "score": 1.0, + "content": "6 EXPERIMENTS", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 230, + 506, + 297 + ], + "lines": [ + { + "bbox": [ + 106, + 229, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 229, + 506, + 243 + ], + "score": 1.0, + "content": "We evaluated the variational walkback on three datasets: MNIST, CIFAR (Krizhevsky & Hinton,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 241, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 505, + 253 + ], + "score": 1.0, + "content": "2009), and CelebA (Liu et al., 2015). The MNIST and CIFAR datasets were used as is, but the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 252, + 504, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 387, + 265 + ], + "score": 1.0, + "content": "aligned and cropped version of the CelebA dataset was scaled from", + "type": "text" + }, + { + "bbox": [ + 387, + 253, + 431, + 263 + ], + "score": 0.74, + "content": "2 1 8 \\times 1 7 8", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 252, + 470, + 265 + ], + "score": 1.0, + "content": "pixels to", + "type": "text" + }, + { + "bbox": [ + 470, + 252, + 504, + 263 + ], + "score": 0.83, + "content": "7 8 \\mathrm { ~ x ~ } 6 4", + "type": "inline_equation" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 104, + 263, + 223, + 276 + ], + "score": 1.0, + "content": "pixels and center-cropped at", + "type": "text" + }, + { + "bbox": [ + 223, + 263, + 256, + 274 + ], + "score": 0.72, + "content": "6 4 \\mathrm { ~ x ~ } 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "pixels (Liu et al., 2015). 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On right. Diffusion process for", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "sampling MNIST digits starting from bernoiulli noise. This shows how the variational walkback", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 484, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 505, + 498 + ], + "score": 1.0, + "content": "iteratively generates images starting from a noise prior. 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Variational walkback does not work with estimates of the model’s unconditional proba-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 164, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 506, + 178 + ], + "score": 1.0, + "content": "bility, and instead works directly with a conditional probability defined by the transition operator. It", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 480, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 480, + 189 + ], + "score": 1.0, + "content": "is for this reason that variational walkback does not need to have an explicit energy function).", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 132, + 506, + 189 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 204, + 200, + 217 + ], + "lines": [ + { + "bbox": [ + 105, + 204, + 201, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 201, + 219 + ], + "score": 1.0, + "content": "6 EXPERIMENTS", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 230, + 506, + 297 + ], + "lines": [ + { + "bbox": [ + 106, + 229, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 229, + 506, + 243 + ], + "score": 1.0, + "content": "We evaluated the variational walkback on three datasets: MNIST, CIFAR (Krizhevsky & Hinton,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 241, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 505, + 253 + ], + "score": 1.0, + "content": "2009), and CelebA (Liu et al., 2015). The MNIST and CIFAR datasets were used as is, but the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 252, + 504, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 387, + 265 + ], + "score": 1.0, + "content": "aligned and cropped version of the CelebA dataset was scaled from", + "type": "text" + }, + { + "bbox": [ + 387, + 253, + 431, + 263 + ], + "score": 0.74, + "content": "2 1 8 \\times 1 7 8", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 252, + 470, + 265 + ], + "score": 1.0, + "content": "pixels to", + "type": "text" + }, + { + "bbox": [ + 470, + 252, + 504, + 263 + ], + "score": 0.83, + "content": "7 8 \\mathrm { ~ x ~ } 6 4", + "type": "inline_equation" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 104, + 263, + 223, + 276 + ], + "score": 1.0, + "content": "pixels and center-cropped at", + "type": "text" + }, + { + "bbox": [ + 223, + 263, + 256, + 274 + ], + "score": 0.72, + "content": "6 4 \\mathrm { ~ x ~ } 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "pixels (Liu et al., 2015). For all of our experiments we used", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 275, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 505, + 286 + ], + "score": 1.0, + "content": "the Adam optimizer (Kingma & Ba, 2014) and the Theano framework (Al-Rfou et al., 2016). The", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 285, + 359, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 359, + 298 + ], + "score": 1.0, + "content": "training procedure and architecture are detailed in appendix A.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12.5, + "bbox_fs": [ + 104, + 229, + 506, + 298 + ] + }, + { + "type": "image", + "bbox": [ + 138, + 307, + 469, + 431 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 138, + 307, + 469, + 431 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 138, + 307, + 469, + 431 + ], + "spans": [ + { + "bbox": [ + 138, + 307, + 469, + 431 + ], + "score": 0.978, + "type": "image", + "image_path": "ba16bc158d82e0c503d0f1ec037358b84099e62a4e7d622e797a59da97a9d00c.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 138, + 307, + 469, + 348.3333333333333 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 138, + 348.3333333333333, + 469, + 389.66666666666663 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 138, + 389.66666666666663, + 469, + 430.99999999999994 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 452, + 505, + 507 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "Figure 1: Samples on MNIST using a Bernoulli likelihood in the transition operator, 8 walkback", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 463, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 506, + 475 + ], + "score": 1.0, + "content": "steps during training, and 13 walkback steps during sampling. On right. Diffusion process for", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "sampling MNIST digits starting from bernoiulli noise. This shows how the variational walkback", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 484, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 505, + 498 + ], + "score": 1.0, + "content": "iteratively generates images starting from a noise prior. 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Our inpainting", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 495, + 506, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 506, + 507 + ], + "score": 1.0, + "content": "results on MNIST are competitive with generative stochastic networks and show somewhat higher", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 507, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 505, + 518 + ], + "score": 1.0, + "content": "consistency between the given part of the image and the generated portion (Bengio et al., 2013c).", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 529 + ], + "score": 1.0, + "content": "However, we note that our samples on CIFAR and CelebA show the same “blurring effect” that has", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 527, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 506, + 541 + ], + "score": 1.0, + "content": "been observed with autoencoder-based generative models trained to minimize reconstruction loss", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 539, + 188, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 188, + 551 + ], + "score": 1.0, + "content": "(Lamb et al., 2016).", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5 + }, + { + "type": "title", + "bbox": [ + 108, + 572, + 303, + 584 + ], + "lines": [ + { + "bbox": [ + 105, + 570, + 304, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 304, + 587 + ], + "score": 1.0, + "content": "7 CONCLUSION AND FUTURE WORK", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 600, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "score": 1.0, + "content": "We have introduced a new form of walk-back and a new algorithm for learning transition operators", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 611, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 106, + 611, + 505, + 623 + ], + "score": 1.0, + "content": "or undirected graphical models. Our algorithm learns a transition operator by allowing the model to", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 621, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 505, + 635 + ], + "score": 1.0, + "content": "walk-away from the data towards the noise prior and then teaching it to actually to have its transitions", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "score": 1.0, + "content": "trained to go backwards each of these walk-away steps, i.e., towards the data manifold. Variational", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "walk-back increases the temperature along the chain as it is moving further away from the data", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "manifold, and inversely, anneals the temperature at generation time, as it gets closer to the estimated", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "manifold. 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However, this could make training slow, and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 339, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 104, + 339, + 506, + 352 + ], + "score": 1.0, + "content": "if too few steps are used, the end of the walkback chain will not match the noise prior, leading to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 349, + 191, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 191, + 364 + ], + "score": 1.0, + "content": "low quality samples.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5, + "bbox_fs": [ + 104, + 317, + 506, + 364 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 367, + 505, + 429 + ], + "lines": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "A dynamic approach to setting the number of walkback steps and temperature schedule may be", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 378, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 392 + ], + "score": 1.0, + "content": "possible, but in this work we set these hyperparameters empirically. We found that during training√", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 389, + 506, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 238, + 404 + ], + "score": 1.0, + "content": "using a temperature schedule of", + "type": "text" + }, + { + "bbox": [ + 239, + 389, + 289, + 402 + ], + "score": 0.93, + "content": "T = T _ { 0 } { \\sqrt { 2 ^ { t } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 390, + 413, + 404 + ], + "score": 1.0, + "content": "produced good results, where", + "type": "text" + }, + { + "bbox": [ + 413, + 391, + 453, + 402 + ], + "score": 0.91, + "content": "T _ { 0 } = 1 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 390, + 506, + 404 + ], + "score": 1.0, + "content": "is the initial", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 176, + 415 + ], + "score": 1.0, + "content": "temperature and", + "type": "text" + }, + { + "bbox": [ + 176, + 403, + 181, + 412 + ], + "score": 0.75, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "is the step index. 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then we can hope that", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 580, + 493, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 186, + 594 + ], + "score": 1.0, + "content": "the initial Gaussian", + "type": "text" + }, + { + "bbox": [ + 186, + 580, + 208, + 592 + ], + "score": 0.92, + "content": "p ( s _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 580, + 463, + 594 + ], + "score": 1.0, + "content": "is very similar to the stationary distribution at high temperature", + "type": "text" + }, + { + "bbox": [ + 464, + 580, + 489, + 592 + ], + "score": 0.93, + "content": "p _ { i } ( s _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 580, + 493, + 594 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 557, + 506, + 594 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 596, + 504, + 620 + ], + "lines": [ + { + "bbox": [ + 105, + 595, + 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2200 + } + } +] \ No newline at end of file diff --git a/parse/train/uUlGTEbBRL/uUlGTEbBRL.md b/parse/train/uUlGTEbBRL/uUlGTEbBRL.md new file mode 100644 index 0000000000000000000000000000000000000000..ddf61459b43850cfdc3a58acc7f58ee4a700d1c9 --- /dev/null +++ b/parse/train/uUlGTEbBRL/uUlGTEbBRL.md @@ -0,0 +1,1292 @@ +# RETHINKING COMPRESSED CONVOLUTIONAL NEURAL NETWORKS FROM A STATISTICAL PERSPECTIVE + +Anonymous authors Paper under double-blind review + +# ABSTRACT + +Many designs have recently been proposed to improve the model efficiency of convolutional neural networks (CNNs) at a fixed resource budget, while there is a lack of theoretical analysis to justify them. This paper first formulates CNNs with high-order inputs into statistical models, which have a special ”Tucker-like” formulation. This makes it possible to further conduct the sample complexity analysis to CNNs as well as compressed CNNs via tensor decomposition. Tucker and CP decompositions are commonly adopted to compress CNNs in the literature. The low rank assumption is usually imposed on the output channels, which according to our study, may not be beneficial to obtain a computationally efficient model while a similar accuracy can be maintained. Our finding is further supported by ablation studies on CIFAR10, SVNH and UCF101 datasets. + +# 1 INTRODUCTION + +The introduction of AlexNet (Krizhevsky et al., 2012) spurred a line of research in 2D CNNs, which progressively achieve high levels of accuracy in the domain of image recognition (Simonyan & Zisserman, 2015; Szegedy et al., 2015; He et al., 2016; Huang et al., 2017). The current stateof-the-art CNNs leave little room to achieve significant improvement on accuracy in learning stillimages, and attention has hence been diverted towards two directions. The first is to deploy deep CNNs on mobile devices by removing redundancy from the over-parametrized network, and some representative models include MobileNetV1 & V2 (Howard et al., 2017; Sandler et al., 2018). + +The second direction is to utilize CNNs to learn from higher-order inputs, for instance, video clips (Tran et al., 2018; Hara et al., 2017) or electronic health records (Cheng et al., 2016; Suo et al., 2017). This area has not yet seen a widely-accepted state-of-the-art network. High-order kernel tensors are usually required to account for the multiway dependence of the input. This notoriously leads to heavy computational burden, as the number of parameters to be trained grows exponentially with the dimension of inputs. Subsequently, model compression becomes the critical juncture to guarantee the successful training and deployment of tensor CNNs. + +Tensor methods for compressing CNNs. Denil et al. (2013) showed that there is huge redundancy in network weights such that the entire network can be approximately recovered with a small fraction of parameters. Tensor decomposition recently has been widely used to compress the weights in a CNN network (Lebedev et al., 2015; Kim et al., 2016; Kossaifi et al., 2020b; Hayashi et al., 2019). Specifically, the weights at each layer are first summarized into a tensor, and then tensor decomposition, CP or Tucker decomposition, can be applied to reduce the number of parameters. Different tensor decomposition to convolution layers will lead to a variety of compressed CNN block designs. For instance, the bottleneck block in ResNet (He et al., 2016) corresponds to the convolution kernel with a special Tucker low-rank structure, and the depthwise separable block in MobileNetV1 (Howard et al., 2017) and the inverted residual block in MobileNetV2 (Sandler et al., 2018) correspond to the convolution kernel with special CP forms. All the above are for 2D CNNs, and Kossaifi et al. (2020b) and Su et al. (2018) considered tensor decomposition to factorize convolution kernels for higher-order tensor inputs. + +Tensor decomposition can also be applied to fully-connected layers since they may introduce a large number of parameters (Kossaifi et al., 2017; 2020a); see also the discussions in Section 5. Moreover, Kossaifi et al. (2019) summarized all weights of a network into one single high-order tensor, and then directly imposed a low-rank structure to achieve full network compression. While the idea is highly motivating, the proposed structure of the high-order tensor is heuristic and can be further improved; see the discussions in Section 2.4. + +Parameter efficiency of the above proposed architectures was heuristically justified by methods, such as FLOPs counting, naive parameter counting and/or empirical running time. However, there is still lack of a theoretical study to understand the mechanism of how tensor decomposition can compress CNNs. This paper attempts to fill this gap from statistical perspectives. + +Sample Complexity Analysis. Du et al. (2018a) first characterized the statistical sample complexity of a CNN; see also Wang et al. (2019) for compact autoregressive nets. Specifically, consider a CNN model, $y = F _ { \mathrm { C N N } } ( \pmb { x } , \pmb { \mathcal { W } } ) + \xi$ , where $y$ and $_ { \textbf { \em x } }$ are output and input, respectively, $\boldsymbol { w }$ contains all weights and $\xi$ is an additive error. Given the trained and true underlying networks $F _ { \mathrm { C N N } } ( \pmb { x } , \widehat { \pmb { w } } )$ and $F _ { \mathrm { C N N } } ( \pmb { x } , \pmb { \mathcal { W } } ^ { * } )$ , the root-mean-square prediction error is defined as + +$$ +\begin{array} { r } { \pmb { \mathcal { E } } ( \widehat { \pmb { \mathcal { W } } } ) = \sqrt { E _ { \pmb { x } } | F _ { \mathrm { C N N } } ( \pmb { x } , \widehat { \pmb { \mathcal { W } } } ) - F _ { \mathrm { C N N } } ( \pmb { x } , \pmb { \mathcal { W } } ^ { * } ) | ^ { 2 } } , } \end{array} +$$ + +where $\widehat { \mathcal W }$ and $\boldsymbol { \mathsf { W } } ^ { * }$ are trained and true underlying weights, respectively, and $E _ { x }$ is the expectation on $_ { \textbf { \em x } }$ . The sample complexity analysis is to investigate how many samples are needed to guarantee a given tolerance on the prediction error. It can also be used to detect the model redundancy. Consider two nested CNNs, where $F _ { 1 }$ is more compressed than $F _ { 2 }$ . Given the same true underlying networks, when the prediction errors from trained $F _ { 1 }$ and $F _ { 2 }$ are comparable, we then can argue that $F _ { 2 }$ has redundant weights comparing with $F _ { 1 }$ . As a result, conducting sample complexity analysis to CNNs with higher order inputs will shed light on the compressing mechanism of popular compressed CNNs via tensor decomposition. + +The study in Du et al. (2018a) is limited to 1-dimensional convolution with a single kernel, followed by weighted summation, and its theoretical analysis cannot be generalized to CNNs with compressed layers. In comparison, our paper presents a more realistic modeling of CNN by introducing a general $N$ -dimensional convolution with multiple kernels, followed by an average pooling layer and a fully-connected layer. The convolution kernel and fully-connected weights are in tensor forms, and this allows us to explicitly model compressed CNNs via imposing low-rank assumption on weight tensors. Moreover, we used an alternative technical tool, and a sharper upper bound on the sample complexity can be obtained. + +Our paper makes three main contributions: + +1. We formulate CNNs with high-order inputs into statistical models, and show that they have an explicit “Tucker-like” form. 2. The sample complexity analysis can then be conducted to CNNs as well as compressed CNNs via tensor decomposition, with weak conditions allowing for time-dependent inputs like video data. 3. From theoretical analysis, we draw an interesting finding that forcing low dimensionality on output channels may introduce unnecessary parameter redundancy to a compressed network. + +# 1.1 COMPARISON WITH OTHER EXISTING WORKS + +Deep neural networks are usually over-parametrized, yet empirically, they can generalize well. It is an important topic in the literature to theoretically study the generalization ability of deep neural networks, including deep CNNs (Li et al., 2020; Arora et al., 2018). The generalization error, defined as the difference between test and training errors, is commonly used to evaluate such ability, and many techniques have been developed to control its bound; see, for example, the VC dimension (Vapnik, 2013), the Rademacher complexity & covering number (Bartlett & Mendelson, 2002), the norm-based capacity control (Neyshabur et al., 2017; Golowich et al., 2018; Bartlett et al., 2017; Neyshabur et al., 2015) and low-rank compression based methods (Li et al., 2020; Zhou & Feng, 2018; Arora et al., 2018). These works use a model-agnostic framework, and hence relies heavily on explicit regularization such as weight decay, dropout or data augumentation, as well as algorithmbased implicit regularization to remove the redundancy in the network. + +We, however, attempt to theoretically explain how much compressibility is achieved in a compressed network architecture. Specifically, we make a comparison between a CNN and its compressed version, and makes theoretically-supported modification to the latter to further increase efficiency. + +Subsequently, our analysis requires an explicit formulation for the network architecture, which is provided in Section 2, and the prediction error at (1) is adopted as our evaluation criteria. We notice that Li et al. (2020) also proposes to use the CP Layers to compress the weights in each convolution layer. But their study is still model-agnostic, since the ranks of the underlying CP Layers depend on the trained weights. In details, their proposed approach uses regularization assumptions on the weights and hence, their derived theoretical bound is influenced by training and not suitable to analyze the network design exclusively. + +Other existing works, that aim to provide theoretical understanding for the neural networks, include the understanding of parameter recovery with gradient-based algorithms for deep neural networks (Zhong et al., 2017b; Fu et al., 2020; Goel et al., 2018; Zhong et al., 2017a); the development of other provably efficient algorithms (Cao & Gu, 2019; Du & Goel, 2018); and the investigation of convergence in an over-parameterized regime (Allen-Zhu et al., 2019; Li & Liang, 2018; Du et al., 2018b). Our work differs greatly from these works in both target and methodology. We do not consider computational complexity or algorithm convergence. Instead, we focus on the statistical sample complexity to depict the mechanism of compressed block designs for CNNs. + +# 2 FORMULATING CNNS WITH HIGHER-ORDER INPUTS + +# 2.1 NOTATION + +Tensor notations. We follow the notations in Kolda & Bader (2009) to denote vectors by lowercase boldface letters, e.g. $\textbf { \em a }$ ; matrices by capital boldface letters, e.g. $\pmb { A }$ ; tensors of order 3 or higher by Euler script boldface letters, e.g. $\mathbfcal { A }$ . For an $N ^ { \mathrm { t h } }$ -order tensor $\pmb { \mathcal { A } } \in \mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } }$ , denote its elements by $\bar { \mathcal { A } } ( i _ { 1 } , i _ { 2 } , \ldots , i _ { N } )$ and the $n$ -mode unfolding by $\mathbf { \mathcal { A } } _ { ( n ) }$ , where the columns of $\mathbf { \mathcal { A } } _ { ( n ) }$ are the $n$ -mode vectors of $\mathbfcal { A }$ , for $1 ~ \leq ~ n ~ \leq ~ N$ . And $\mathcal { A } ( : , \cdot \cdot , i _ { n } , \cdot \cdot \cdot , : )$ denotes the subtensor of $\mathbfcal { A }$ , holding only the $n ^ { \mathrm { t h } }$ index fixed. The vectorization operation is denoted by $\mathrm { v e c } ( \cdot )$ . The inner product of two tensors $\mathbf { \mathcal { A } } , \mathbf { \mathcal { B } } \in \mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } }$ is defined as $\left. \mathbf { \mathcal { A } } , \mathbf { \mathcal { B } } \right. \ =$ $\begin{array} { r } { \sum _ { i _ { 1 } } \cdot \cdot \cdot \sum _ { i _ { N } } \pmb { \mathcal { A } } ( i _ { 1 } , \ldots , i _ { N } ) \pmb { \mathcal { B } } ( i _ { 1 } , \ldots , i _ { N } ) } \end{array}$ , and the Frobenius norm is $\| \mathbfcal { A } \| _ { \mathrm { F } } = \sqrt { \langle \mathbfcal { A } , \mathbfcal { A } \rangle }$ . The mode- $n$ multiplication $\times _ { n }$ of a tensor $\pmb { \mathcal { A } } \in \mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } }$ and a matrix $B \in \mathbb { R } ^ { p _ { n } \times l _ { n } }$ is defined as $\begin{array} { r } { ( \pmb { \mathscr { A } } \times _ { n } \pmb { B } ) ( i _ { 1 } , \ldots , j _ { n } , \ldots , i _ { N } ) = \sum _ { i _ { n } = 1 } ^ { l _ { n } } \pmb { \mathscr { A } } ( i _ { 1 } , \ldots , i _ { n } , \ldots , i _ { N } ) \pmb { B } ( j _ { n } , i _ { n } ) . } \end{array}$ , for $1 \leq n \leq N$ , respecas tively. The mode- $\begin{array} { r } { ( \pmb { \mathcal { A } } \breve { \times } _ { n } \pmb { b } ) ( i _ { 1 } , \dots , i _ { n - 1 } , i _ { n + 1 } , \dots , i _ { N } ) = \sum _ { i _ { n } = 1 } ^ { l _ { n } } \pmb { \mathcal { A } } ( i _ { 1 } , \dots , i _ { n } , \dots , i _ { N } ) \pmb { b } ( i _ { n } ) . } \end{array}$ $\boldsymbol { n }$ multiplication $\bar { \mathsf { x } } _ { N }$ of a tensor $\pmb { \mathcal { A } } \in \mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } }$ and a vector , for $\pmb { b } \in \mathbb { R } ^ { l _ { n } }$ $1 \leq n \leq N$ is defined . The symbol “ $\cdot _ { \otimes } { \bf : \sigma }$ ” is the Kronecker product and $^ { 7 6 } \mathrm { o } ^ { 9 }$ is the outer product. We extend the definition of Khatri-Rao product to tensors: given tensors $\pmb { \mathcal { A } } \in \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times \cdots \lambda _ { N } \times K }$ and $\mathbf { B } \in \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times \cdots p _ { N } \times K }$ , their Khatri-Rao product is a tensor of size $\mathbb { R } ^ { l _ { 1 } p _ { 1 } \times l _ { 2 } p _ { 2 } \times \dots l _ { N } p _ { N } \times K }$ , denoted by $\mathbf { \mathcal { C } } = \mathbf { \mathcal { A } } \odot \mathbf { \mathcal { B } }$ , where $\begin{array} { r } { \mathfrak { C } ( : , \cdot \cdot \cdot , k ) = \pmb { \mathscr { A } } ( : , \cdot \cdot \cdot , k ) \otimes \pmb { \mathscr { B } } ( : , \cdot \cdot \cdot , k ) , 1 \leq k \leq K } \end{array}$ . + +CP decomposition. The Canonical Polyadic (CP) decomposition (Kolda & Bader, 2009) factorizes the tensor $\mathcal { A } \in \mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } }$ into a sum of rank-1 tensors, i.e. $\begin{array} { r } { \pmb { \mathcal { A } } = \sum _ { r = 1 } ^ { R } \alpha _ { r } \pmb { h } _ { r } ^ { ( 1 ) } \circ \pmb { h } _ { r } ^ { ( 2 ) } \circ \cdot \cdot \cdot \circ \pmb { h } _ { r } ^ { ( N ) } } \end{array}$ where $\pmb { h } _ { r } ^ { ( j ) }$ is a unit norm vector of size $\mathbb { R } ^ { l _ { j } }$ for all $1 \leq j \leq N$ . The CP rank is the number of rank-1 tensors $R$ . + +Tucker decomposition. The Tucker ranks of an $N ^ { \mathrm { t h } }$ -order tensor $\pmb { \mathcal { A } } \in \mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } }$ are defined as the matrix ranks of the unfoldings of $\mathbfcal { A }$ along all modes. If the Tucker ranks of $\mathbfcal { A }$ are $( R _ { 1 } , \ldots , R _ { N } )$ , then there exist a core tensor $\mathfrak { G } \ \in \ \mathbb { R } ^ { R _ { 1 } \times \cdots \times R _ { N } }$ and matrices $\pmb { H } ^ { ( i ) } \in \mathbb { R } ^ { l _ { i } \times R _ { i } }$ , such that ${ \textbf { \mathcal { A } } } =$ $\pmb { \mathcal { G } } \times _ { 1 } \pmb { H } ^ { ( 1 ) } \times _ { 2 } \pmb { H } ^ { ( 2 ) } \cdots \times _ { N } \pmb { H } ^ { ( N ) }$ , known as Tucker decomposition (Tucker, 1966), + +![](images/49844fbc5f897096a62978c722f38504ca1dc95b607ecd97c28a6f92208c716e.jpg) +Figure 1: (1) 3-layer CNN for a 3D input ${ \boldsymbol x }$ with one kernel tensor $\mathbfcal { A }$ , average pooling, and fullyconnected weights $\mathfrak { B }$ . (2) $U _ { i _ { j } } ^ { ( j ) } \mathbf { s }$ act as positioning factors. The white spaces indicate zero entries. + +# 2.2 BASIC THREE-LAYER CNNS + +Consider a three-layer CNN with one convolution, one average pooling and one fully-connected layers, and we assume linear activations for simplicity. Specifically, for a general tensor-structured input $\begin{array} { r } { \mathbf { \mathcal { X } } \in \mathbb { R } ^ { d _ { 1 } \times d _ { 2 } \times \cdots \times d _ { N } } } \end{array}$ , we first perform its convolution with an $\bar { N } ^ { \mathrm { t h } }$ -order kernel tensor $\pmb { \mathcal { A } } \in \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times \cdots \times l _ { N } }$ to get an intermediate output $\mathfrak { X } _ { c } \in \mathbb { R } ^ { m _ { 1 } \times m _ { 2 } \times \dots \times m _ { N } }$ , and then use average pooling with pooling sizes $( q _ { 1 } , \cdots , q _ { N } )$ to derive another intermediate output $\mathbf { \mathcal { X } } _ { c p } \in \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times \cdots \times p _ { N } }$ . Finally, $\mathfrak { X } _ { c p }$ goes through a fully-connected layer, with weight tensor $\mathbf { \Delta B } \in \mathbb { R } ^ { \hat { p } _ { 1 } \times p _ { 2 } \times \dots \times p _ { N } }$ to produce a scalar output; see Figure 1(1). + +We consider the convolution layer with the stride size of $s _ { c }$ along each dimension. Assume that $m _ { j } = ( d _ { j } - l _ { j } ) / s _ { c } + 1$ are integers for $1 \leq j \leq N$ , otherwise zero-padding will be needed. Let + +$$ +\begin{array} { r } { U _ { i j } ^ { ( j ) } = \big [ \underbrace { 0 } _ { ( i _ { j } - 1 ) s _ { c } } \underbrace { I } _ { l _ { j } } \underbrace { 0 } _ { d _ { j } - ( i _ { j } - 1 ) s _ { c } - l _ { j } } \big ] ^ { \prime } \in \mathbb { R } ^ { d _ { j } \times l _ { j } } \mathrm { ~ f o r ~ } 1 \leq i _ { j } \leq m _ { j } , 1 \leq j \leq N , } \end{array} +$$ + +which act as positioning factors to stretch the kernel tensor $\mathbfcal { A }$ into a tensor of the same size as ${ \boldsymbol x }$ , while the rest of entries are filled with zeros; see Figure 1(2). As a result, $\mathfrak { X } _ { c }$ has entries + +$$ +\pmb { \mathcal { X } } _ { c } ( i _ { 1 } , i _ { 2 } , \ldots , i _ { N } ) = \langle \pmb { \mathcal { X } } , \pmb { \mathcal { A } } \times _ { 1 } \pmb { U } _ { i _ { 1 } } ^ { ( 1 ) } \times _ { 2 } \pmb { U } _ { i _ { 2 } } ^ { ( 2 ) } \times _ { 3 } \cdots \times _ { N } \pmb { U } _ { i _ { N } } ^ { ( N ) } \rangle . +$$ + +For the pooling layer with the stride size of $s _ { p }$ along each dimension, we assume the pooling sizes $\{ q _ { j } \} _ { j = 1 } ^ { N }$ satisfy the relationship of $m _ { j } ^ { - } ~ = ~ q _ { j } + ( p _ { j } - 1 ) s _ { p }$ , so the sliding windows can be overlapped. But for ease of notation, we can simply take $q _ { j } ~ = ~ m _ { j } / p _ { j }$ . The average pooling operation is equivalent to forming $p _ { 1 } p _ { 2 } p _ { 3 } \cdots p _ { N }$ consecutive blocks within $\mathfrak { X } _ { c }$ , each of size $\mathbb { R } ^ { \bar { q } _ { 1 } \times \bar { q } _ { 2 } \times \dots \times q _ { N } }$ , and then take the average per block. The resulting tensor $\boldsymbol { \mathfrak { X } } _ { c p }$ has entries $\begin{array} { r } { \mathfrak { X } _ { c p } ( i _ { 1 } , i _ { 2 } , \dots , i _ { N } ) = ( \prod _ { j } q _ { j } ) ^ { - 1 } \sum _ { j } \sum _ { k _ { j } = ( i _ { j } - 1 ) q _ { j } + 1 } ^ { i _ { j } q _ { j } } \mathfrak { X } _ { c } ( k _ { 1 } , k _ { 2 } , \dots , k _ { N } ) . } \end{array}$ Pj Pij qjkj =(ij −1)qj +1 Xc(k1, k2, . . . , kN ), for 1 ≤ ij ≤ pj and 1 ≤ j ≤ N . If we denote U (j)F,ij $\begin{array} { r } { U _ { \mathcal { F } , i _ { j } } ^ { ( j ) } = q _ { j } ^ { - 1 } \sum _ { k = ( i _ { j } - 1 ) q _ { j } + 1 } ^ { i _ { j } q _ { j } } U _ { k } ^ { ( j ) } } \end{array}$ U (j), t hen equivalently, + +$$ +\mathfrak { X } _ { c p } ( i _ { 1 } , i _ { 2 } , \ldots , i _ { N } ) = \langle \mathfrak { X } , \pmb { \mathscr { A } } \times _ { 1 } \pmb { U } _ { \mathcal { F } , i _ { 1 } } ^ { ( 1 ) } \times _ { 2 } \pmb { U } _ { \mathcal { F } , i _ { 2 } } ^ { ( 2 ) } \times _ { 3 } \cdots \times _ { N } \pmb { U } _ { \mathcal { F } , i _ { N } } ^ { ( N ) } \rangle . +$$ + +The fully-connected layer performs a weighted summation over $\boldsymbol { \mathfrak { X } } _ { c p }$ , with weights given by entries of the tensor B ∈ Rp1×p2×···×pN . Denote U (j)F $U _ { \mathcal { F } } ^ { ( j ) } = ( U _ { \mathcal { F } , 1 } ^ { ( j ) } , \cdot \cdot \cdot , \bar { U _ { \mathcal { F } , p _ { j } } ^ { ( j ) } } )$ for $1 \leq j \leq N$ , and the predicted output has the form of + +$$ +\widehat { \boldsymbol { y } } = \langle \mathbf { \mathcal { X } } _ { c p } , \mathbf { \mathcal { B } } \rangle = \langle \mathbf { \mathcal { X } } , ( \mathbf { \mathcal { B } } \otimes \mathbf { \mathcal { A } } ) \times _ { 1 } \boldsymbol { U } _ { \mathcal { F } } ^ { ( 1 ) } \times _ { 2 } \boldsymbol { U } _ { \mathcal { F } } ^ { ( 2 ) } \times _ { 3 } \cdots \times _ { N } \boldsymbol { U } _ { \mathcal { F } } ^ { ( N ) } \rangle . +$$ + +Similarly, for a CNN with $K$ kernels, denote $\{ \mathcal { A } _ { k } , \mathbf { \mathcal { B } } _ { k } \} _ { k = 1 } ^ { K }$ to be the set of kernels and fullyconnected weights, where $\mathbf { \mathcal { B } } _ { k } \in \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times \cdots \times p _ { N } }$ and $\mathcal { A } _ { k } \ \in \ \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times \dots \times l _ { N } }$ . The model can then be explicitly represented by + +$$ +y ^ { i } = \widehat { y } ^ { i } + \xi ^ { i } = \langle \mathfrak { X } ^ { i } , \mathfrak { W } _ { X } \rangle + \xi ^ { i } , 1 \leq i \leq n , +$$ + +where $\xi ^ { i }$ is the additive error, $\pmb { \mathcal { X } } ^ { i } \in \mathbb { R } ^ { d _ { 1 } \times d _ { 2 } \times \cdots \times d _ { N } }$ , and the composite weight tensor + +$$ +\pmb { \mathscr { W } } _ { X } = ( \sum _ { k = 1 } ^ { K } \pmb { \mathscr { B } } _ { k } \otimes \pmb { \mathscr { A } } _ { k } ) \times _ { 1 } \pmb { U } _ { \mathscr { F } } ^ { ( 1 ) } \times _ { 2 } \pmb { U } _ { \mathscr { F } } ^ { ( 2 ) } \times _ { 3 } \cdots \times _ { N } \pmb { U } _ { \mathscr { F } } ^ { ( N ) } . +$$ + +The innate weight-sharing compactness of CNN can be equivalently represented as a “Tucker-like” form at (4). The factor matrices $\{ U _ { \mathcal { F } } ^ { ( j ) } \in \mathbb { R } ^ { d _ { j } \times l _ { j } p _ { j } } \} _ { j = 1 } ^ { N }$ are fixed and solely determined by CNN operations on the inputs. They have full column ranks given that $p _ { j } l _ { j } \leq d _ { j }$ always holds. The core tensor is a special Kronecker product that depicts the layer-wise interaction between weights. + +# 2.3 SAMPLE COMPLEXITY ANALYSIS + +We can now derive the non-asymptotic error bound for the CNN model. Let $\mathfrak { Z } ^ { i } = \mathfrak { X } ^ { i } \times _ { 1 } U _ { \mathcal { F } } ^ { ( 1 ) \prime } \times _ { 2 }$ U (2)0F × $U _ { \mathcal { F } } ^ { ( 2 ) \prime } \times _ { 3 } \cdot \cdot \cdot \times _ { N } U _ { \mathcal { F } } ^ { ( N ) \prime } \in \mathbb { R } ^ { l _ { 1 } p _ { 1 } \times l _ { 2 } p _ { 2 } \times \cdots \times l _ { N } p _ { N } }$ . Model (3) is equivalent to + +$$ +y ^ { i } = \langle \mathfrak { Z } ^ { i } , \{ \pmb { \mathscr { W } } \} + \xi ^ { i } = \sum _ { k = 1 } ^ { K } \langle \mathfrak { T } ^ { i } , \mathbf { \mathcal { B } } _ { k } \otimes \mathbf { \mathcal { A } } _ { k } \rangle + \xi ^ { i } , +$$ + +where $\begin{array} { r } { \pmb { \mathcal { W } } = \sum _ { k = 1 } ^ { K } \pmb { \mathcal { B } } _ { k } \otimes \pmb { \mathcal { A } } _ { k } } \end{array}$ . The trained weights have the form of $\begin{array} { r } { \widehat { \mathbf { W } } = \sum _ { k = 1 } ^ { K } \widehat { \mathbf { B } } _ { k } \otimes \widehat { \mathbf { A } } _ { k } } \end{array}$ , where + +$$ +\{ \widehat { \pmb { \mathscr { B } } } _ { k } , \widehat { \pmb { \mathscr { A } } } _ { k } \} _ { 1 \leq k \leq K } = \operatorname * { a r g m i n } _ { { \pmb { \mathscr { B } } } _ { k } , { \pmb { \mathscr { A } } } _ { k } , 1 \leq k \leq K } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \left( y ^ { i } - \sum _ { k = 1 } ^ { K } \langle \Xi ^ { i } , { \pmb { \mathscr { B } } } _ { k } \otimes { \pmb { \mathscr { A } } } _ { k } \rangle \right) ^ { 2 } . +$$ + +Denote $\pmb { x } ^ { i } = \mathrm { v e c } ( \pmb { \mathcal X } ^ { i } )$ and $z ^ { i } = \mathrm { v e c } ( \mathfrak { T } ^ { i } )$ , and it can be verified that $\pmb { z } ^ { i } = \pmb { U } _ { G } ^ { \prime } \pmb { x } ^ { i }$ , where $U _ { G } =$ ${ \cal U } _ { \mathcal { F } } ^ { ( 1 ) } \otimes \{ { \cal U } _ { \mathcal { F } } ^ { ( N ) } \otimes [ { \cal U } _ { \mathcal { F } } ^ { ( N - 1 ) } \otimes \cdots \otimes ( { \cal U } _ { \mathcal { F } } ^ { ( 3 ) } \otimes { \cal U } _ { \mathcal { F } } ^ { ( 2 ) } ) ] \}$ represents the CNN operations on the inputs.ing technical assumptions. $\bar { \pmb x } = ( { \pmb x } ^ { 1 \prime } , { \pmb x } ^ { 2 \prime } , \ldots , { \pmb x } ^ { n \prime } ) ^ { \prime }$ , and we make the follow + +Assumption 1. (Time-dependent inputs) $\bar { \pmb x }$ is normally distributed with mean zero and variance $\pmb { \Sigma } = \mathbb { E } ( \bar { \pmb { x } } \bar { \pmb { x } } ^ { \prime } )$ , where $c _ { x } I \leq \Sigma \leq C _ { x } I$ for some $0 < c _ { x } < C _ { x }$ . + +Denote by $\lambda _ { \operatorname* { m a x } } ( A )$ and $\lambda _ { \mathrm { m i n } } ( A )$ the maximum and minimum eigenvalues of a symmetric matrix $\pmb { A }$ , respectively. When $\{ { \pmb x } ^ { i } \}$ is a stationary time series with spectral density function $f _ { X } ( \theta )$ , we can take $c _ { x } = \operatorname* { i n f } _ { - \pi \leq \theta \leq \pi } \lambda _ { \mathrm { m i n } } ( f _ { X } ( \theta ) )$ and $\begin{array} { r } { C _ { x } = \operatorname* { s u p } _ { - \pi \leq \theta \leq \pi } \lambda _ { \operatorname* { m a x } } ( f _ { X } ( \theta ) ) } \end{array}$ ; see Basu & Michailidis (2015). For independent inputs, $\pmb { \Sigma } = \mathrm { d i a g } \{ \pmb { \Sigma } _ { 1 1 } , \dots , \pmb { \Sigma } _ { n n } \}$ is block diagonal, and it holds that $c _ { x } = \mathrm { m i n } _ { 1 \leq j \leq n } \lambda _ { \mathrm { m i n } } ( \Sigma _ { j j } )$ and $C _ { x } = \operatorname* { m a x } _ { 1 \leq j \leq n } \lambda _ { \operatorname* { m a x } } \big ( \Sigma _ { j j } \big ) .$ , where $\Sigma _ { j j } = \breve { \mathbb { E } } ( { \pmb x } ^ { j } { \pmb x } ^ { j \prime } )$ . + +Assumption 2. (Sub-Gaussian errors) $\{ \xi ^ { i } \}$ are independent $\sigma ^ { 2 }$ -sub-Gaussian random variables with mean zero, and is independent of $\{ \boldsymbol { x } ^ { j } , 1 \le j \le i \}$ for all $1 \leq i \leq n$ . + +Assumption 3. (Restricted isometry property) $c _ { u } I \leq U _ { G } ^ { \prime } U _ { G } \leq C _ { u } I$ for some $0 < c _ { u } < C _ { u }$ . + +Denote comple $\kappa _ { U } = C _ { x } C _ { u }$ and at (5) $\kappa _ { L } = c _ { x } c _ { u }$ $\begin{array} { r } { \pmb { \mathcal { W } } ^ { * } = \sum _ { k = 1 } ^ { K } \pmb { \mathcal { B } } _ { k } ^ { * } \otimes \pmb { \mathcal { A } } _ { k } ^ { * } } \end{array}$ rue and del. $d _ { \mathcal { M } } = K ( P + L + 1 )$ $P = p _ { 1 } p _ { 2 } \cdot \cdot \cdot p _ { N }$ $L = l _ { 1 } l _ { 2 } \cdots l _ { N }$ + +Theorem 1 (CNN). Suppose that Assumptions 1-3 hold and $n \gtrsim ( \kappa _ { U } / \kappa _ { L } ) ^ { 2 } d _ { \mathcal { M } }$ . Then, + +$$ +\| \widehat { \pmb { w } } - \pmb { w } ^ { * } \| _ { \mathrm { F } } \leq \frac { 1 6 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) \ a n d , \quad \pmb { \mathcal { E } } ( \widehat { \pmb { w } } ) \leq \sqrt { \kappa _ { U } } \| \widehat { \pmb { w } } - \pmb { w } ^ { * } \| _ { \mathrm { F } } +$$ + +with probability $1 - 4 \exp \{ - [ c _ { \mathrm { H } } ( 0 . 2 5 \kappa _ { L } / \kappa _ { U } ) ^ { 2 } n - 9 d _ { \mathcal { M } } ] \} - \exp \{ - d _ { \mathcal { M } } - 8 \delta \} ,$ where $\delta = O _ { p } ( 1 )$ $c _ { \mathrm { H } }$ is a positive value, $\alpha _ { \mathrm { R S C } } = \kappa _ { L } / 2$ , and $\alpha _ { \mathrm { R S M } } = 3 \kappa _ { U } / 2$ . + +It can be seen that the prediction error $\varepsilon ( \widehat { \sf w } )$ , is $O _ { p } ( \sqrt { d _ { \mathcal { M } } / n } )$ , and hence the sample complexity is of order $O ( d _ { \mathcal { M } } / \varepsilon ^ { 2 } )$ , to achieve a prediction error $\varepsilon$ . Technical proofs of all theorems and corollary in the paper are deferred to Appendix A.3. + +Note that, for simplicity, we assume a simple regression model at (5). The theoretical analysis can indeed be established for classification problems as well. In details, we provide corresponding theorem and corollaries for both binary and multiclass classification problems in Appendix A.4. + +# 2.4 CNNS WITH MORE LAYERS + +Consider a 5-layer CNN with “convolution pooling convolution $ \mathrm { p o o l i n g }$ fully connected” layers, where the settings for the first “convolution pooling” layers are the same as those in Section 2.2. + +Denote the kernel for the second convolution by $\mathcal { \widetilde { A } } \in \mathbb { R } ^ { \tilde { l } _ { 1 } \times \tilde { l } _ { 2 } \times \cdots \times \tilde { l } _ { N } }$ , and the fully-connected weight tensor $\mathbf { \mathcal { B } }$ is of size $\mathbb { R } ^ { \tilde { p } _ { 1 } \times \tilde { p } _ { 2 } \times \dots \times \tilde { p } _ { N } }$ . We similarly define matrices $\widetilde { U } _ { i _ { j } } ^ { ( j ) }$ ) and U (j)F,i , which are both of size $\mathbb { R } ^ { p _ { j } \times \tilde { l } _ { j } }$ with $1 \leq i _ { j } \leq \tilde { p } _ { j }$ and $1 \leq j \leq N$ , and can be used to represent the second convolution and pooling operations, respectively. Note that the output from the first pooling layer, $\boldsymbol { \mathfrak { X } } _ { c p }$ , is the input to the second convolution layer, and hence the output from the second pooling layer has entries + +$$ +\widetilde { \mathfrak { X } } _ { c p } ( i _ { 1 } , i _ { 2 } , \ldots , i _ { N } ) = \langle \mathfrak { X } _ { c p } , \widetilde { \mathbf { \mathcal { A } } } \times _ { 1 } \widetilde { U } _ { \mathcal { F } , i _ { 1 } } ^ { ( 1 ) } \times _ { 2 } \widetilde { U } _ { \mathcal { F } , i _ { 2 } } ^ { ( 2 ) } \times _ { 3 } \cdot \cdot \cdot \times _ { N } \widetilde { U } _ { \mathcal { F } , i _ { N } } ^ { ( N ) } \rangle . +$$ + +Stack the matrices $\{ U _ { \mathcal { F } , i _ { j } } ^ { ( j ) } \in \mathbb { R } ^ { d _ { j } \times l _ { j } } \} _ { 1 \leq i _ { j } \leq p _ { j } }$ and $\{ \tilde { U } _ { \mathcal { F } , i _ { j } } ^ { ( j ) } \in \mathbb { R } ^ { p _ { j } \times \tilde { l } _ { j } } \} _ { 1 \leq i _ { j } \leq \tilde { p } _ { j } }$ into 3D tensors ${ \mathfrak { u } } ^ { ( j ) } \in$ $\mathbb { R } ^ { d _ { j } \times l _ { j } \times p _ { j } }$ and $\widetilde { \boldsymbol { \mathsf { u } } } ^ { ( j ) } \in \mathbb { R } ^ { p _ { j } \times \widetilde { l } _ { j } \times \widetilde { p } _ { j } }$ , respectively. Let $U _ { \mathcal { D F } } ^ { ( j ) } = ( \mathfrak { U } ^ { ( j ) } \times _ { 3 } \widetilde { \mathfrak { u } } ^ { ( j ) } ) _ { ( 1 ) }$ for $1 \leq j \leq N$ and, by some algebra in Appendix A.2, we can show that the predicted output has the form of + +$$ +\widehat { \boldsymbol { y } } = \langle \widetilde { \mathfrak { X } } _ { c p } , \mathbf { \mathcal { B } } \rangle = \langle \pmb { \mathcal { X } } , ( \mathbf { \mathcal { B } } \otimes \widetilde { \pmb { A } } \otimes \pmb { \mathcal { A } } ) \times _ { 1 } \pmb { U } _ { \mathcal { D F } } ^ { ( 1 ) } \times _ { 2 } \pmb { U } _ { \mathcal { D F } } ^ { ( 2 ) } \times _ { 3 } \dots \times _ { N } \pmb { U } _ { \mathcal { D F } } ^ { ( N ) } \rangle , +$$ + +where $\mathcal { U } ^ { ( j ) } \times _ { 3 } \widetilde { \mathcal { U } } ^ { ( j ) }$ yields a tensor of size $\mathbb { R } ^ { d _ { j } \times l _ { j } \times \widetilde { l } _ { j } \times \widetilde { p } _ { j } }$ , with $\begin{array} { r } { \sum _ { i = 1 } ^ { p _ { j } } \mathcal { \mathbf { U } } ^ { ( j ) } ( k _ { 1 } , k _ { 2 } , i ) \widetilde { \mathbf { U } } ^ { ( j ) } ( i , k _ { 3 } , k _ { 4 } ) } \end{array}$ as its $( k _ { 1 } , k _ { 2 } , k _ { 3 } , k _ { 4 } ) \cdot$ th entry. The case with multiple kernels will have a form similar to (4). Following the same logic, it can indeed be generalized to an even deeper CNN by adding more “convolutionpooling” layers. Since the composite weight tensor always has a “Tucker-like” form, techniques in proving Theorem 1 can be adopted to conduct the sample complexity analysis for deep CNNs. + +Note that, at model (7), the kernels at different convolution layers appear in the form of $\widetilde { \mathbfcal { A } } \otimes \mathcal { A }$ , which actually provides a theoretical justification for exploring the layer-wise low-dimensional structure in the literature. On the other hand, we summarize all weights of a network into one single tensor, akin to Kossaifi et al. (2019). But our summarized tensor has an explicit “nested doll” structure, where the weight structure of the previous layer is nested within that of the current layer. + +In practice, zero-padding can be used before each convolution layer to preserve the input size. This is compatible with our framework, since we can propagate the padding of zeros to previous layers and all the way back to the input tensor $\boldsymbol { x }$ . + +# 3 COMPRESSED CNNS + +For a high-order input, a deep CNN with a larger number of kernels may involve heavy computation, which renders its training difficult for portable devices with limited resources. In real applications, many compressed CNN block designs have been proposed to improve the efficiency, and most of them are based on either matrix factorization or tensor decomposition; see Lebedev et al. (2015); Kim et al. (2016); Astrid & Lee (2017); Kossaifi et al. (2020b). + +Tucker decomposition can be used to compress CNNs, which is same as introducing a multilayer CNN block; see Figure 3 in Kim et al. (2016). Specifically, we stack the kernels $\pmb { \mathcal { A } } _ { k } \in \mathbf { \mathbb { R } } ^ { l _ { 1 } \times l _ { 2 } \times \cdots \times l _ { N } }$ with $1 \leq k \leq K$ into a higher order tensor $\mathcal { A } _ { \mathrm { s t a c k } } ^ { \mathrm { ~ ~ } } \in \mathbb { R } ^ { l _ { 1 } ^ { \circ } \times l _ { 2 } \times \cdots \times l _ { N } \times K }$ , and assume that $\mathbf { \mathcal { A } } _ { \mathrm { s t a c k } }$ has Tucker ranks of $( R _ { 1 } , R _ { 2 } , \cdot \cdot \cdot , R _ { N } , R _ { N + 1 } )$ . As a result, + +$$ +\pmb { \mathcal { A } } _ { \mathrm { s t a c k } } = \pmb { \mathcal { G } } \times _ { 1 } \pmb { H } ^ { ( 1 ) } \times _ { 2 } \pmb { H } ^ { ( 2 ) } \cdots \times _ { N + 1 } \pmb { H } ^ { ( N + 1 ) } , +$$ + +where $\mathfrak { G } \in \mathbb { R } ^ { R _ { 1 } \times \cdots \times R _ { N } \times R _ { N + 1 } }$ is the core tensor, and $\pmb { H } ^ { ( j ) } \in \mathbb { R } ^ { l _ { j } \times R _ { j } }$ are factor matrices for $1 \leq$ $j \ \leq \ N + 1$ . From Section 2, to train such a compressed CNN block with linear activations is equivalent to search for the least-square estimators at (6) with $\mathbf { \mathcal { A } } _ { \mathrm { s t a c k } }$ being constrained to have the ators by , and the $\{ \widehat { \pmb { \mathscr { B } } } _ { k } ^ { \mathrm { T U } } , \widehat { \pmb { A } } _ { k } ^ { \mathrm { T U } } \} _ { 1 \leq k \leq K } .$ f. $\begin{array} { r } { \widehat { \pmb { \mathscr { W } } } _ { \mathrm { T U } } = \sum _ { k = 1 } ^ { K } \widehat { \pmb { \mathscr { B } } } _ { k } ^ { \mathrm { T U } } \otimes \widehat { \pmb { A } } _ { k } ^ { \mathrm { T U } } } \end{array}$ $\begin{array} { r } { d _ { \mathcal { M } } ^ { \mathrm { T U } } = \prod _ { j = 1 } ^ { N + 1 } R _ { j } + \sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P } \end{array}$ CP decomposition is more popular in compressing CNNs; see Kossaifi et al. (2020b); Lebedev et al. (2015); Astrid $\&$ Lee (2017). Let $\{ \hat { \mathfrak { B } } _ { k } ^ { \mathrm { \bar { C P } } } , \hat { \mathcal { A } } _ { k } ^ { \bar { \mathrm { C P } } } \} _ { 1 \leq k \leq K }$ be the least-square estimators at (6) with $\mathbf { \mathcal { A } } _ { \mathrm { s t a c k } }$ having a CP decomposition with a rank of $R$ . Then, the trained weights are $\widehat { \sf w } _ { \mathrm { C P } } =$ $\begin{array} { r } { \sum _ { k = 1 } ^ { K } \widehat { \mathbf { B } } _ { k } ^ { \mathrm { C P } } \otimes \widehat { \mathbf { A } } _ { k } ^ { \mathrm { C P } } } \end{array}$ , and the model complexity is $\begin{array} { r } { d _ { \mathcal { M } } ^ { \mathrm { C P } } = R ^ { N + 1 } + R ( \sum _ { i = 1 } ^ { N } l _ { i } + P ) } \end{array}$ . + +Theorem 2 (Compressed CNN). Let $( \widehat { \mathcal { W } } , d _ { \mathcal { M } } )$ be $( \widehat { \sf w } _ { \mathrm { T U } } , d _ { \mathcal { M } } ^ { \mathrm { T U } } )$ for Tucker decomposition, or $( \widehat { \sf w } _ { \mathrm { C P } } , d _ { \mathcal { M } } ^ { \mathrm { C P } } )$ for $C P$ decomposition. Suppose that Assumptions 1-3 hold and $n \gtrsim ( \kappa _ { U } / \kappa _ { L } ) ^ { 2 } c _ { N } d _ { \mathcal { M } }$ . Then, + +$$ +\| \widehat { \pmb { w } } - \pmb { w } ^ { * } \| _ { \mathrm { F } } \leq \frac { 1 6 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { c _ { N } d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) \ a n d , \quad \pmb { \mathcal { E } } ( \widehat { \pmb { w } } ) \leq \sqrt { \kappa _ { U } } \| \widehat { \pmb { w } } - \pmb { w } ^ { * } \| _ { \mathrm { F } } +$$ + +with probability $\begin{array} { r } { 1 - 4 \exp \{ - [ c _ { \mathrm { H } } ( 0 . 2 5 \kappa _ { L } / \kappa _ { U } ) ^ { 2 } n - 3 c _ { N } d _ { \mathcal { M } } ] \} - \exp \{ - d _ { \mathcal { M } } - 8 \delta \} , } \end{array}$ , where $\delta = O _ { p } ( 1 )$ , $c _ { N } = 2 ^ { N + 1 } \log ( N + 2 )$ , $c _ { \mathrm { H } }$ is a positive value and $\alpha _ { \mathrm { R S C } } , \alpha _ { \mathrm { R S M } }$ are defined in Theorem $^ { l }$ . + +Theorem 2 shows that, as expected, the sample complexity is proportional to the model complexity. Compared to Theorem 1, we see that the sample complexity of the compressed CNN depends on $\textstyle \sum _ { i = 1 } ^ { N } l _ { i }$ instead of large num $\textstyle \prod _ { i = 1 } ^ { N } l _ { i }$ . When the input dimension arameters. $N$ is large, compressed CNN can indeed + +However, we notice that the sample complexity of a compressed CNN depends on the rank $R _ { N + 1 }$ or $R$ , rather than the number of kernels $K$ . This differs from the naive parameter counting, and we hence provide the rationale behind this counter-intuitive observation in the corollary below. + +Corollary 1. (a) If $\mathbfcal { A }$ has a Tucker decomposition with the ranks of $( R _ { 1 } , R _ { 2 } , \cdot \cdot \cdot , R _ { N + 1 } )$ , the CNN is equivalent to one with $R _ { N + 1 }$ kernels, and each kernel $\mathbf { \mathcal { A } } _ { r }$ , where $1 \le r \le R _ { N + 1 }$ , has a Tucker decomposition with ranks of $( R _ { 1 } , R _ { 2 } , \cdots , R _ { N } )$ . Moreover, (b) if the stacked kernel tensor $\mathbfcal { A }$ has a CP decomposition with rank $R$ , the corresponding CNN can be reparameterized into one with $R$ kernels, and each kernel $\mathbf { \mathcal { A } } _ { r }$ , where $1 \leq r \leq R$ , has a $C P$ decomposition form with rank $R$ . + +Define the $K / R$ ratio to be the value of $K / R _ { N + 1 }$ for Tucker decomposition or $K / R$ for CP decomposition, and in practice, it always holds that $K \geq R$ . Corollary 1 essentially states that when $K / \bar { R } > 1$ , there exists model redundancy in the CNN model with linear activations. In other words, we can obtain a more compressed network by setting $K = R$ such that it has the same sample complexity as the previous one. The $K / R$ ratio appears in various block designs; see Figure 2. And we can use this finding to evaluate their model efficiency. + +(T1) Standard bottleneck block. The basic building block in ResNet (He et al., 2016) can be exactly replicated by a Tucker decomposition on $\mathbf { \mathcal { A } } _ { \mathrm { s t a c k } } \mathbf { \Psi } \in \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times C \times K }$ , with ranks of $( l _ { 1 } , l _ { 2 } , R , R )$ , where $C$ is the number of input channels (Kossaifi et al., 2020b). As shown by the ablation studies in Session 4, when $K \gg R$ , this design may not be the most parameter efficient. + +(T2) Funnel block. As a straightforward revision on a standard bottleneck block, the funnel block maintains an output channel size of $K = R$ . This is hence an efficient block design. Also, when $R = C$ , we obtain a normalized funnel block, with the same number of input and output channels. + +(C1) Depthwise separable block. This block is the basic module in MobileNetV1 (Howard et al., 2017) with a pair of depthwise and pointwise separable convolution layers. It is equivalent to assuming a CP decomposition on $\mathbf { \mathcal { A } } _ { \mathrm { s t a c k } } \in \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times C \times K }$ with the rank of $C$ (Kossaifi et al., 2020b). The $1 \times 1$ pointwise convolution expands the numbers of channels from $C$ to $K$ . When $K \gg C$ , this design is parameter inefficient from a computation viewpoint. + +(C2) Inverted residual block. Sandler et al. (2018) later proposed this design in MobileNetV2. It includes expansive layers between the input and output layers, with the channel size of $x \cdot C ( x \geq 1 )$ , where $x$ represents the expansion factor. As discussed by Kossaifi et al. (2020b), it can heuristically correspond to a CP decomposition on $\mathbf { \mathcal { A } } _ { s t a c k }$ , with CP rank equals to $x \cdot C$ . Since, the rank of output channel dimension can be at most $x \cdot C$ , as long as $K \leq x \cdot C$ holds, it is theoretically efficient and provides leeway for exploring thicker layers within blocks. + +With nonlinear activations, the model redundancy may bring some benefit. Such benefit is often not guaranteed. And when $K \gg R$ , it will, without a doubt, greatly hinder computational efficiency. We will show, in our ablation studies in the next section, that under realistic settings with nonlinear activations, our finding on the $K / R$ ratio still applies. Specifically, networks with $K / R = 1$ maintains comparable performance as networks with $K / R > 1$ , while using much less parameters. + +# 4 EXPERIMENTS + +This section first verifies the theoretical results with synthetic datasets, and then conducts ablation studies on the bottleneck blocks in ResNet (He et al., 2016) with different $K / R$ ratios. + +# 4.1 NUMERICAL ANALYSIS FOR THEORETICAL RESULTS + +We choose four settings to verify the sample complexity in Theorem 1; see Table 1. The parameter tensors $\{ \mathcal { A } _ { k } , \mathbf { \mathcal { B } } _ { k } \} _ { k = 1 } ^ { \tilde { K } }$ are generated to have standard normal entries. We consider two types of inputs: the independent inputs are generated with entries being standard normal random variables, and the time-dependent inputs $\{ \boldsymbol { x } ^ { i } \}$ are generated from a stationary VAR(1) process. The random additive noises are generated from the standard normal distribution. The number of training samples $n$ varies such that $\sqrt { d _ { \mathcal { M } } / n }$ is equally spaced in the interval [0.15, 0.60], with all other parameters fixed. For each $n$ , we generate 200 training sets to calculate the averaged estimation error in Frobenius norm. It can be seen that the estimation error increases linearly with the square root of $d _ { \mathcal { M } } / n$ , which is consistent with our finding in Theorem 1. + +![](images/a3768d1e3deaea4c8afa9ba74b299b3f820193c2a00cdcc9d4d2ecfc1c2dff3b.jpg) +Figure 2: We use thickness of each layer to indicate its relative number of channels. The last layer indicates the output of the block. The dashed layer represents the ”bottleneck” of the block. + +Table 1: Different settings for verifying Theorem 1 (left), and Theorem 2 (right). + +
Input sizesKernel sizesPooling sizes#KernelsInput sizesKernel sizesPooling sizesTucker ranks#Kernels
Setting 1 (S1)(7,5,7)(2,2,2)(3,2,3)1(10,10,8,3)(5,5,3)(3,3,3)(2,2,2,1)2
Setting 2(S2)(7,5,7)(2,2,2)(3,2,3)3(10,10,8,3)(5,5,3)(3,3,3)(2,2,2,1)3
Setting 3 (S3)(8,8,3)(3,3,3)(3,3,1)1(12,12,6,3)(7,7,3)(3,3,2)(2,3,2,1)2
Setting 4 (S4)(8,8,3)(3,3,3)(3,3,1)3(12,12,6,3)(7,7,3)(3,3,2)(2,3,2,1)3
+ +![](images/bb77514674586634a92f6ffaeb5c7d18e5053158467dbf188c98053da10f5579.jpg) +Figure 3: (1)-(2) are the experiment results for Theorem 1 with independent and dependent inputs, respectively. (3) is the experiment results for Tucker CNN in Theorem 2. + +For Theorem 2, we also adopt four different settings; see Table 1. Here, we consider 4D input tensors. The stacked kernel $\mathbf { \mathcal { A } } _ { \mathrm { s t a c k } }$ is generated by (8), where the core tensor has standard normal entries and the factor matrices are generated to have orthonormal columns. The number of training samples $n$ is similarly chosen such that $\sqrt { d _ { \mathcal { M } } ^ { \mathrm { T U } } / n }$ is equally spaced. A linear trend between the estimation error and the square root of $d _ { \mathcal { M } } ^ { \mathrm { T U } } / n$ can be observed, which verifies Theorem 2. + +For details of implementation, we employed the gradient descent method for the optimization with a learning rate of 0.01 and a momentum of 0.9. The procedure is deemed to have reached convergence if the target function drops by less than $1 0 ^ { - 8 }$ . + +# 4.2 ABLATION STUDIES ON COMPUTATIONALLY-EFFICIENT BLOCK DESIGNS + +Following the notation in Section 3, we denote by $K$ , the number of output channels of a bottleneck block, and by $R$ , the Tucker rank of $\mathbf { \mathcal { A } } _ { \mathrm { s t a c k } }$ along the output channels dimension. Since $K \geq R$ , we let $t = K / R$ be the expansive ratio of the block. As $t$ increases, the number of parameters within the block increases. Here, ablation studies are conducted to show that the increase in $t$ does not necessarily lead to the increase in test accuracy. We analyze two image recognition datasets, CIFAR10 (Krizhevsky et al., 2009) and Street View House Numbers (SVHN) (BNetzer et al., 2011), and an action recognition dataset, UCF101 (Soomro et al., 2012). Standard data pre-processing and augmentation techniques are adopted to all three datasets (He et al., 2016; Hara et al., 2017). + +Network architecture. Two network architectures are considered in our study; as shown in Figure 4. For image recognition datasets, we adopt a 41-layer Residual Network: it consists of a $3 \times 3$ convolution layer, a max pooling layer, followed by 3 groups of $A + x \times B$ residual blocks with different $R$ , and ends with an average pooling and fully-connected layer. Block B represents the bottleneck structure that we are interested in. The standard bottleneck block corresponds to $t =$ 4. When $t \ = \ 1$ , it corresponds to the normalized funnel block in Section 3 (T2). For sake of comparison, we also take $t = 8$ or 16. When $t > 1$ , Block A is the standard downsampling block that contains convolution with the stride size of 2. It is inefficient according to our study. So when $t = 1$ , we propose minor revisions to simultaneously increase the channels while performing the stride-2 $3 \times 3$ convolution. For UCF101 dataset, we use 3D ResNet-18 as the basic framework and insert 4 stacks of Block B with $R = 2 5 6$ before the average pooling and fully-connected layer. + +Table 2: Test accuracy $( \% )$ on CIFAR-10, SVHN and UCF101. For UCF101, we only count the number of parameters and FLOPs for the added blocks. + +
tCIFAR-10SVHN#FLOPs#ParamsUCF101#Added FLOPs#Added Params
193.5396.300.17GMac5.56M79.310.125GMac6.97M
493.1096.090.26GMac8.55M79.360.145GMac9.16M
893.5996.320.43GMac14.15M79.250.175GMac11.11M
1694.0396.310.87GMac29.28M79.520.235GMac15.00M
+ +![](images/8bc56d9574903ac62a265cf1407947d70929a72df2a03472b08907531a8f49a8.jpg) +Figure 4: (1) 41-layer Residual Network for CIFAR-10&SVNH. (2) 30-layer 3D Residual Network for UCF101. Here, $t = K / R$ represents the expansion ratio, and takes values of 1,4,8,16. + +Results. The results in Table 2 provide empirical support for our theoretical finding. Though the number of parameters in the network increases with larger $t$ , the overall test accuracy remains roughly comparable. For CIFAR-10, it may appear that the test accuracy for $t \ = \ 1 6$ is slightly better than $t = 1$ but it uses 5 times as many parameters. + +Implementation details. All experiments are conducted in PyTorch and on Tesla V100-DGXS. Following the practice in He et al. (2016), we adopt batch normalization(BN) (Ioffe & Szegedy, 2015) right after each convolution and before the ReLU activation. For network (1), we initialize the weights as in He et al. (2015). We use stochastic gradient descent with weight decay $1 0 ^ { - 4 }$ , momentum 0.9 and mini-batch size 128. The learning rate starts from 0.1 and is divided by 10 for every 100 epochs. We stop training after 300 epochs, since the training accuracy hardly changes. The training accuracy is approximately $93 \%$ for CIFAR-10 and $96 \%$ for SVHN. We set seeds 1-5 and report the worst case scenario of the test accuracy in Table 2. For network (2), we follow Hara et al. (2018) and use the Kinetics pretrained 3D ResNet-18. The weights are fixed for the first few layers, and backward propagation is only applied to the added Block B layers and the fully-connected layer. We use stochastic gradient descent with weight decay $1 0 ^ { - 5 }$ , momentum 0.9 and mini-batch size 64 with 16 frames per clip. The learning rate starts from 0.001 and divided by 10 for every 30 epochs. Training is stopped after 80 epochs and top-1 clip accuracy is around $79 \%$ for UCF101. + +# 5 CONCLUSION AND DISCUSSION + +Our paper proposes a unified theoretical framework that can adopt sample complexity analysis as a tool to study the effective number of parameter in a tensor decomposed CNN block. The main practical takeaways are: (i) For a large kernel tensor $\mathbfcal { A }$ (Peng et al., 2017), it is always effective to impose low-rank structure on its input dimensions, such as height, width or time-length, etc; and (ii) It is essential to maintain $K / R = 1$ for a CNN block in order to increase accuracy in a more parameter efficient way. In this regard, one can either choose a small $R$ with deeper networks or a larger $R$ with shallower networks. In fact, when $K / R = 1$ , the block corresponds exactly to the “straightened” bottleneck in Zagoruyko & Komodakis (2016), who showed in their empirical study that by increasing $R$ in shallow networks, the test accuracy can indeed improve quite significantly. + +Since the low-dimensional structure at convolution layers is our focus, tensor decomposition has been applied to the kernel weights $\mathbf { \mathcal { A } } _ { \mathrm { s t a c k } }$ only in Section 3. Kossaifi et al. (2017) applied tensor decomposition to fully-connected layers since they may contain a large number of parameters as well. 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More implementation details and results for additional experiments are presented in the last section. + +# A.1 CNN FORMULATION + +For a tensor input $\pmb { \chi } \in \mathbb { R } ^ { d _ { 1 } \times \cdots \times d _ { N } }$ , it first convolutes with an $N$ -dimensional kernel tensor $\textbf { \mathcal { A } } \in$ $\mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } }$ with stride sizes equal to $s _ { c }$ , and then performs an average pooling with pooling sizes equal to $( q _ { 1 } , \cdots , q _ { N } )$ . It ends with a fully-connected layer with the weight tensor $\mathfrak { B }$ and produces a scalar output. We assume that $m _ { j } = ( d _ { j } - l _ { j } ) / s _ { c } + \bar { 1 }$ are integers for $1 \leq j \leq N$ , otherwise zero-padding will be needed. For ease of notation, we take the pooling sizes $\{ q _ { j } \} _ { j = 1 } ^ { N }$ to satisfy the relationship mj = pj qj . + +To duplicate the operation of the convolution layer using a simple mathematical expression, we first need to define a set of matrices $\{ U _ { i _ { j } } ^ { ( j ) } \in \mathbb { R } ^ { d _ { j } \times l _ { j } } \}$ , where + +$$ +U _ { i j } ^ { ( j ) } = \big [ \underbrace { \mathbf { 0 } } _ { ( i _ { j } - 1 ) s _ { c } } \underbrace { I } _ { l _ { j } } \underbrace { \mathbf { 0 } } _ { d _ { j } - ( i _ { j } - 1 ) s _ { c } - l _ { j } } \big ] ^ { \prime } \in \mathbb { R } ^ { d _ { j } \times l _ { j } } \mathrm { f o r } 1 \leq i _ { j } \leq m _ { j } , 1 \leq j \leq N . +$$ + +$U _ { i _ { j } } ^ { ( j ) }$ acts as a positioning factor to transform the kernel tensor $\mathbfcal { A }$ into a tensor of same size as the input $\boldsymbol { x }$ , with the rest of the entries equal to zero. + +We are ready to construct our main formulation for a 3-layer tensor CNN. To begin with, we first illustrate the process using a vector input $\pmb { x } \in \mathbb { R } ^ { d }$ , with a kernel vector $\mathbf { \Delta } _ { \mathbf { \pmb { a } } } \in \mathbb { R } ^ { l }$ ; see Fig 5. Using the $i ^ { \mathrm { { t h } } }$ positioning matrix $U _ { i } ^ { ( 1 ) }$ , we can propagate the small kernel vector $\textbf { \em a }$ , into a vector $U _ { i } ^ { ( 1 ) } { \pmb a }$ of size $\mathbb { R } ^ { d }$ , by filling the rest of the entries with zeros. The intermediate output vector has entries given by $\pmb { x } _ { c } ( i ) = \langle \pmb { x } , \pmb { U } _ { i } ^ { ( 1 ) } \pmb { a } \rangle$ , for $1 \leq i \leq m$ . The average pooling operation is equivalent to forming $p$ consecusize e vecto, with s within th entry $\mathbf { \delta _ { x } } _ { c }$ , eachal to $\mathbb { R } ^ { q }$ $\pmb { x } _ { c p }$ f. $\mathbb { R } ^ { p }$ $i$ $\begin{array} { r } { \pmb { x } _ { c p } ( i ) = q ^ { - 1 } \sum _ { k = ( i - 1 ) q + 1 } ^ { i q } \pmb { x } _ { c } ( i ) = \langle \pmb { x } , q ^ { - 1 } \sum _ { k = ( i - 1 ) q + 1 } ^ { i q } \pmb { U } _ { k } ^ { ( 1 ) } \pmb { a } \rangle } \end{array}$ The fully-connected layer performs a weighted summation over the $p$ vectors, with weights given by entries of the vector $\ b { b } \in \mathbb { R } ^ { p }$ . This gives us the predicted output $\widehat { \boldsymbol y } = \langle \boldsymbol b , \boldsymbol x _ { c p } \rangle = \langle \boldsymbol x , \boldsymbol w _ { X } \rangle$ , where + +$$ +{ \pmb w } _ { X } = \sum _ { i = 1 } ^ { p } b _ { i } \frac { 1 } { q } \sum _ { k = ( i - 1 ) q + 1 } ^ { i q } U _ { k } ^ { ( 1 ) } { \pmb a } = U _ { { \mathcal { F } } } ^ { ( 1 ) } ( { \pmb b } \otimes { \pmb a } ) = ( { \pmb b } \otimes { \pmb a } ) \times _ { 1 } U _ { { \mathcal { F } } } ^ { ( 1 ) } , +$$ + +and $\begin{array} { r } { \pmb { U } _ { \mathcal { F } } ^ { ( 1 ) } = q ^ { - 1 } ( \sum _ { k = 1 } ^ { q } \pmb { U } _ { k } ^ { ( 1 ) } , \cdots , \sum _ { k = m - q + 1 } ^ { m } \pmb { U } _ { k } ^ { ( 1 ) } ) } \end{array}$ , and ” $\times _ { 1 }$ ” represents the mode-1 product. + +For matrix input $\boldsymbol { X }$ with matrix kernel $\pmb { A }$ , however, we need 2 sets of positioning matrices, $\{ U _ { i _ { 1 } } ^ { ( 1 ) } \} _ { i _ { 1 } = 1 } ^ { m _ { 1 } }$ and $\{ U _ { i _ { 2 } } ^ { ( 2 ) } \} _ { i _ { 2 } = 1 } ^ { m _ { 2 } }$ , one for the height dimension and the other for width. Then, the intermediate output from convolution has entries given by $X _ { c } ( i _ { 1 } , i _ { 2 } ) = \langle X , U _ { i _ { 1 } } ^ { ( 1 ) } A U _ { i _ { 2 } } ^ { ( 2 ) \prime } \rangle$ , for $1 \leq i _ { 1 } \leq p _ { 1 } , 1 \leq i _ { 2 } \leq p _ { 2 }$ . For the average pooling, we form $p _ { 1 } p _ { 2 }$ consecutive matrices from $X _ { c }$ , each of size $\mathbb { R } ^ { q _ { 1 } \times q _ { 2 } }$ and take the average. This results in $X _ { c p } \ \in \ \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } }$ , with $X _ { c p } ( i _ { 1 } , i _ { 2 } ) ~ =$ $\begin{array} { r } { \langle \pmb { X } , ( q _ { 1 } ^ { - 1 } \sum _ { k _ { 1 } = ( i _ { 1 } - 1 ) q _ { 1 } + 1 } ^ { i _ { 1 } q _ { 1 } } U _ { k _ { 1 } } ^ { ( 1 ) } ) \pmb { A } ( q _ { 2 } ^ { - 1 } \sum _ { k _ { 2 } = ( i _ { 2 } - 1 ) q _ { 2 } + 1 } ^ { i _ { 2 } q _ { 2 } } U _ { k _ { 2 } } ^ { ( 2 ) } ) ^ { \prime } \rangle } \end{array}$ . The output $X _ { c p }$ goes through fully-connected layer with weight matrix $\textbf { { B } }$ and gives the predicted output ${ \widehat { y } } = \langle X , W _ { X } \rangle$ , where + +$$ +W _ { X } = \sum _ { i _ { 2 } = 1 } ^ { p _ { 2 } } \sum _ { i _ { 1 } = 1 } ^ { p _ { 1 } } b _ { i _ { 1 } } b _ { i _ { 2 } } \frac { 1 } { q _ { 1 } q _ { 2 } } ( \sum _ { k _ { 1 } = ( i _ { 1 } - 1 ) q _ { 1 } + 1 } ^ { i _ { 1 } q _ { 1 } } U _ { k _ { 1 } } ^ { ( 1 ) } ) A ( \sum _ { k _ { 2 } = ( i _ { 2 } - 1 ) q _ { 2 } + 1 } ^ { i _ { 2 } q _ { 2 } } U _ { k _ { 2 } } ^ { ( 2 ) \prime } ) = ( B \otimes A ) \times _ { 1 } U _ { \mathcal { F } } ^ { ( 1 ) } \times _ { 2 } U _ { \mathcal { F } } ^ { ( 2 ) } , +$$ + +with $\begin{array} { r } { \pmb { U } _ { \mathcal { F } } ^ { ( j ) } = q _ { j } ^ { - 1 } ( \sum _ { k = 1 } ^ { q _ { j } } \pmb { U } _ { k } ^ { ( j ) } , \cdots , \sum _ { k = m _ { j } - q _ { j } + 1 } ^ { m _ { j } } \pmb { U } _ { k } ^ { ( j ) } ) } \end{array}$ for $j = 1$ or 2. And ” $\times _ { 1 }$ ”, ” $\mathrm { \tilde { \times } _ { 2 } }$ ” represent the mode-1 and mode-2 product. + +![](images/7a7275fb1397cd3f51518cde467c76dca280364c7007dd239250eeffb7ca0717.jpg) +Figure 5: Formulating the process with an input vector $_ { \textbf { \em x } }$ . Note that we combine the convolution, pooling and fully connected layers into the composite weight vector ${ \pmb w } _ { X }$ , where $\begin{array} { r l } { { \pmb w } _ { X } } & { { } = } \end{array}$ $q ^ { - 1 } \textstyle \sum _ { i = 1 } ^ { \bar { q } } U _ { i } ^ { ( \bar { 1 } ) } { \pmb a } + \cdots + q ^ { - 1 } \textstyle \sum _ { i = m - q + 1 } ^ { q } U _ { i } ^ { ( 1 ) } { \pmb a } .$ . The $\circledast$ represents the convolution operation. + +From here, together with the case of high-order tensor input discussed in Session 2.2, we can then derive the form of predicted outcome as $\widehat { y } = \langle \mathbf { x } , \mathbf { w } _ { X } ^ { \mathrm { s i n g l e } } \rangle$ , where + +$$ +{ \pmb w } _ { X } ^ { \mathrm { s i n g l e } } = ( { \pmb { \mathscr { B } } } \otimes { \pmb { A } } ) \times _ { 1 } { \pmb U } _ { \mathcal { F } } ^ { ( 1 ) } \times _ { 2 } { \pmb U } _ { \mathcal { F } } ^ { ( 2 ) } \times \dots \times { \pmb U } _ { \mathcal { F } } ^ { ( N ) } , +$$ + +with $\begin{array} { r } { \boldsymbol { U } _ { \mathcal { F } } ^ { ( j ) } = q _ { j } ^ { - 1 } ( \sum _ { k = 1 } ^ { q _ { j } } \boldsymbol { U } _ { k } ^ { ( j ) } , \cdots , \sum _ { k = m _ { j } - q _ { j } + 1 } ^ { m _ { j } } \boldsymbol { U } _ { k } ^ { ( j ) } ) } \end{array}$ , and ” $\ " \times _ { j } \ "$ represents the mode- $j$ product for $1 \leq j \leq N$ . + +With $K$ kernels, we denote the set of kernels and the corresponding fully-connected weight tensors as $\{ \mathcal { A } _ { k } , \mathbf { \mathcal { B } } _ { k } \} _ { k = 1 } ^ { K }$ . Since the convolution and pooling operations are identical across kernels, we can use a summation over kernels to derive the weight tensor for multiple kernels, which is + +$$ +\pmb { \mathscr { W } } _ { X } = ( \sum _ { k = 1 } ^ { K } \pmb { \mathscr { B } } _ { k } \otimes \pmb { \mathscr { A } } _ { k } ) \times _ { 1 } \pmb { U } _ { \mathscr { F } } ^ { ( 1 ) } \times _ { 2 } \pmb { U } _ { \mathscr { F } } ^ { ( 2 ) } \times \cdots \times \pmb { U } _ { \mathscr { F } } ^ { ( N ) } , +$$ + +and we arrive at the formulation for 3-layer tensor CNN. + +# A.2 FIVE-LAYER CNN FORMULATION + +Consider a 5-layer CNN with ”convolution pooling convolution pooling fully connected” layers and a 3D tensor input $\boldsymbol { \mathcal { X } } \in \mathbb { R } ^ { d _ { 1 } \times d _ { 2 } \times d _ { 3 } }$ . Here, we denote the intermediate output from the first convolution by $\mathbf { \mathcal { X } } _ { c } ~ \in ~ \mathbb { R } ^ { m _ { 1 } \times m _ { 2 } \times m _ { 3 } }$ , from the second convolution by $\tilde { \mathbf { \mathcal { X } } } _ { c } ~ \in ~ \bar { \mathbb { R } ^ { m _ { 1 } \times \tilde { m } _ { 2 } \times \tilde { m } _ { 3 } } }$ , and the output from the first pooling by $\mathbf { \boldsymbol { X } } _ { c p } ~ \in ~ \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times p _ { 3 } }$ e and from the second pooling by $\widetilde { \mathbf { \boldsymbol { x } } } _ { c p } \in \mathbb { R } ^ { \tilde { p } _ { 1 } \times \tilde { p } _ { 2 } \times \tilde { p } _ { 3 } }$ . We can first see that the predicted output from the 5-layer CNN is the same as directly feeding $\boldsymbol { \mathbf { \mathit { X } } } _ { c p }$ to the second convolution layer, followed by an average pooling layer and a fully-connected layer. + +Denote the first convolution kernel tensor by $\pmb { \mathcal { A } } \in \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times l _ { 3 } }$ , the second convolution kernel tensor by $\mathcal { A } \in \mathbb { R } ^ { \tilde { l } _ { 1 } \times \tilde { l } _ { 2 } \times \tilde { l } _ { 3 } }$ , and the fully-connected weight tensor by $\mathbf { B } \in \mathbb { R } ^ { \tilde { p } _ { 1 } \times \tilde { p } _ { 2 } \times \tilde { p } _ { 3 } }$ . Define the set of matrices $\{ U _ { i _ { j } } ^ { ( j ) } \in \mathbb { R } ^ { d _ { j } \times l _ { j } } \}$ , for $1 \leq i _ { j } \leq m _ { j } , 1 \leq j \leq N$ as in (2). And similarly, define $\{ \widetilde { U } _ { i _ { j } } ^ { ( j ) } \in \mathbb { R } ^ { p _ { j } \times \tilde { l } _ { j } } \}$ , with + +$$ +\widetilde { U } _ { i _ { j } } ^ { ( j ) } = \bigl [ \underbrace { \textbf { 0 } } _ { ( i _ { j } - 1 ) \tilde { s } _ { c } } \underbrace { I } _ { \tilde { l } _ { j } } \underbrace { \textbf { 0 } } _ { p _ { j } - ( i _ { j } - 1 ) \tilde { s } _ { c } - \tilde { l } _ { j } } \bigr ] ^ { \prime } , +$$ + +where $\tilde { s } _ { c }$ is the stride size for the second convolution. Let $\widetilde { U } _ { \mathcal { F } } ^ { ( j ) } ~ = ~ ( \widetilde { U } _ { \mathcal { F , 1 } } ^ { ( j ) } , \cdot \cdot \cdot , \widetilde { U } _ { \mathcal { F , p } _ { j } } ^ { ( j ) } ) ~ =$ $( \tilde { q } _ { j } ^ { - 1 } \sum _ { k = 1 } ^ { \tilde { q } _ { j } } \widetilde { U } _ { k } ^ { ( j ) } , \cdot \cdot \cdot , \tilde { q } _ { j } ^ { - 1 } \sum _ { k = \tilde { m } _ { j } - \tilde { q } _ { j } + 1 } ^ { \tilde { m } _ { j } } \widetilde { U } _ { k } ^ { ( j ) } )$ $\mathbb { R } ^ { d _ { j } \times l _ { j } } \} _ { 1 \leq i _ { j } \leq p _ { j } }$ and $\{ \widetilde { U } _ { \mathcal { F } , i _ { j } } ^ { ( j ) } \ \in \ \mathbb { R } ^ { p _ { j } \times \tilde { l } _ { j } } \} _ { 1 \leq i _ { j } \leq \tilde { p } _ { j } }$ . We further stack the matrices into 3D tensors $\mathcal { \mathbf { U } } ^ { ( j ) } \in \mathbb { R } ^ { d _ { j } \times l _ { j } \times p _ { j } }$ and $\arg \{ U _ { \mathcal { F } , i _ { j } } ^ { ( j ) } \in$ $\boldsymbol { \widetilde { \mathfrak { U } } } ^ { ( j ) } \in$ $\mathbb { R } ^ { p _ { j } \times \tilde { l } _ { j } \times \tilde { p } _ { j } }$ . + +We have that the predicted output + +$$ +\begin{array} { r l } & { \widehat { \vartheta } = \langle \mathbf { B } \otimes \widehat { A } , \boldsymbol { \mathfrak { X } } _ { \mathrm { e } } , \boldsymbol { \mathbf { x } } _ { N } , \boldsymbol { \widetilde { U } } _ { \mathrm { e } } ^ { [ 1 ] ^ { \prime } } , \boldsymbol { \times } _ { 2 } \widetilde { U } _ { \mathrm { e } } ^ { [ 2 ] ^ { \prime } } \times _ { 3 } \widetilde { U } _ { \mathrm { e } } ^ { [ 3 ] ^ { \prime } } \rangle } \\ & { \quad = \mathbf { B } \otimes \widehat { A } \displaystyle \sum _ { i = 1 } ^ { n } \sum _ { 1 \leq i = 1 } ^ { n } \sum _ { 1 } ^ { n } \langle A , \boldsymbol { \cdot } \boldsymbol { \times } _ { 1 } \boldsymbol { U } _ { \mathrm { e } , i } ^ { [ 1 ] ^ { \prime } } \times _ { 2 } U _ { \mathrm { e } , i } ^ { [ 2 ] ^ { \prime } } \times _ { 3 } U _ { \mathrm { e } , i } ^ { [ 3 ] ^ { \prime } } \rangle \widetilde { u } _ { 1 } \circ \widetilde { u } _ { i , 2 } \otimes \widetilde { u } _ { i , 3 } } \\ & { \quad = \mathbf { B } \otimes \widehat { A } \otimes A \sum _ { 1 , i = 1 } ^ { n } \sum _ { 2 } ^ { n } \sum _ { 1 } ^ { n } \sum _ { 1 } ^ { n } \sum _ { 1 } ^ { n } ( \widetilde { u } _ { 1 } \otimes U _ { \mathrm { e } , i } ^ { [ 1 ] ^ { \prime } } ) \times _ { 2 } ( \widetilde { u } _ { i , 2 } \otimes U _ { \mathrm { e } , i } ^ { [ 2 ] ^ { \prime } } ) \times _ { 3 } ( \widetilde { u } _ { i , 3 } \otimes U _ { \mathrm { e } , i } ^ { [ 3 ] ^ { \prime } } ) } \\ & { \quad = \mathbf { B } \otimes \widetilde { A } \otimes A , \boldsymbol { \times } _ { 1 } ( u ^ { [ 1 ] } \times _ { 3 } \widetilde { u } ^ { [ 1 ] } ) _ { ( 1 ) } \times _ { 2 } ( u ^ { [ 2 ] ^ { \prime } } \times _ { 3 } \widetilde { u } ^ { [ 2 ] ^ { \prime } } ) _ { ( 1 ) } \times _ { 3 } ( u ^ { ( 3 ) } \times _ { 3 } \widetilde { u } ^ { ( 3 ) } ) _ { ( 1 ) } } \\ & \quad = \mathbf { X } , ( \mathbf { B } \otimes \widetilde { A } \otimes A ) \times _ \end{array} +$$ + +where $\widetilde { \pmb u } _ { i _ { j } } = \mathrm { v e c } ( \widetilde { \pmb u } ^ { ( 1 ) } ( i _ { j } , : , : ) ) \in \mathbb { R } ^ { \widetilde { l } _ { j } \widetilde { p } _ { j } }$ and $U _ { \mathcal { D F } } ^ { ( j ) } = ( \mathfrak { U } ^ { ( j ) } \times _ { 3 } \widetilde { \mathfrak { u } } ^ { ( j ) } ) _ { ( 1 ) }$ , for $1 \leq i _ { j } \leq p _ { j }$ and $1 \leq j \leq 3$ . + +# A.3 THEORETICAL RESULTS AND TECHNICAL PROOFS + +Let $\mathfrak { Z } ^ { i } = \mathfrak { X } ^ { i } \times _ { 1 } U _ { \mathcal { F } } ^ { ( 1 ) \prime } \times _ { 2 } U _ { \mathcal { F } } ^ { ( 2 ) \prime } \times _ { 3 } \cdot \cdot \cdot \times _ { N } U _ { \mathcal { F } } ^ { ( N ) \prime } \in \mathbb { R } ^ { l _ { 1 } p _ { 1 } \times l _ { 2 } p _ { 2 } \times \cdot \cdot \cdot \times l _ { N } p _ { N } }$ )0 ×2 U (2)0F × . The trained weights have the form of $\begin{array} { r } { \widehat { \mathbf { W } } = \sum _ { k = 1 } ^ { K } \widehat { \mathbf { B } } _ { k } \otimes \widehat { \mathbf { A } } _ { k } } \end{array}$ , where + +$$ +\{ \widehat { \pmb { \mathscr { B } } } _ { k } , \widehat { \pmb { \mathscr { A } } } _ { k } \} _ { 1 \leq k \leq K } = \operatorname* { a r g m i n } _ { { \pmb { \mathscr { B } } } _ { k } , { \pmb { \mathscr { A } } } _ { k } , 1 \leq k \leq K } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \left( y ^ { i } - \sum _ { k = 1 } ^ { K } \langle { \pmb { \mathscr { Z } } } ^ { i } , { \pmb { \mathscr { B } } } _ { k } \otimes { \pmb { \mathscr { A } } } _ { k } \rangle \right) ^ { 2 } . +$$ + +Given a test sample $( \boldsymbol { \mathfrak { X } } , \boldsymbol { y } )$ , where $y = \langle { \bf { { x } } } , { \bf { { w } } } _ { X } \rangle + \xi$ , and $( { \mathfrak { X } } , \xi )$ satisfies Assumptions 1 and 2. The mean-square training and test error are defined as + +$$ +\operatorname { e r r } _ { \tan ( \mathbf { \widehat { W } } ) } ( \widehat { \boldsymbol { w } } ) = \sqrt { \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \left( y ^ { i } - \langle \mathcal { X } ^ { i } , \widehat { \boldsymbol { w } } _ { X } \rangle \right) ^ { 2 } } \operatorname { a n d } \operatorname { e r r } ( \widehat { \boldsymbol { w } } ) = \sqrt { \mathbb { E } _ { ( \mathcal { X } , y ) } \left( y - \langle \mathcal { X } , \widehat { \boldsymbol { w } } _ { X } \rangle \right) ^ { 2 } } . +$$ + +Denote $\kappa _ { U } ~ = ~ C _ { x } C _ { u }$ and $\kappa _ { L } ~ = ~ c _ { x } c _ { u }$ . Let $\begin{array} { r } { \boldsymbol { \mathcal { W } } ^ { * } = \sum _ { k = 1 } ^ { K } \mathbf { \mathcal { B } } _ { k } ^ { * } \otimes \boldsymbol { \mathcal { A } } _ { k } ^ { * } } \end{array}$ be the true weights, and $\begin{array} { r } { \left\| \mathbfcal { W } \right\| _ { n } ^ { 2 } : = n ^ { - 1 } \sum _ { i = 1 } ^ { n } ( \langle \mathfrak { T } ^ { i } , \mathfrak { W } \rangle ) ^ { 2 } } \end{array}$ m with respect to . $\boldsymbol { w }$ . The model complexity $d _ { \mathcal { M } } = K ( \bar { P } + L + 1 )$ + +Theorem 1 (Complete Version). Suppose that Assumptions 1-3 hold and $n \gtrsim ( \kappa _ { U } / \kappa _ { L } ) ^ { 2 } d _ { \mathcal { M } }$ . Then, for some $\delta > 0$ , + +$$ +\begin{array} { r l } { ( a ) \ } & { \| \widehat { \mathcal { W } } - \mathcal { W } ^ { * } \| _ { \mathrm { F } } \leq \frac { 1 6 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) } \\ { ( b ) \ } & { \| \widehat { \mathcal { W } } - \mathcal { W } ^ { * } \| _ { n } \leq \frac { 1 6 \sigma \alpha _ { \mathrm { R S M } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) } \\ { ( c ) \ } & { e r r ^ { 2 } ( \widehat { \mathcal { W } } ) \leq \left( \frac { 1 6 \sigma \alpha _ { \mathrm { R S M } } } { \alpha _ { \mathrm { R S C } } } \right) ^ { 2 } \left( \frac { d _ { \mathcal { M } } } { n } + \frac { \delta } { n } \right) + \sigma ^ { 2 } , } \end{array} +$$ + +with probability $1 - 4 \exp \{ - [ c _ { \mathrm { H } } ( 0 . 2 5 \kappa _ { L } / \kappa _ { U } ) ^ { 2 } n - 9 d _ { \mathcal { M } } ] \} - \exp \{ - d _ { \mathcal { M } } - 8 \delta \}$ , where $c _ { \mathrm { H } }$ is a positive value, $\alpha _ { \mathrm { R S C } } = \kappa _ { L } / 2$ , and $\alpha _ { \mathrm { R S M } } = 3 \kappa _ { U } / 2$ . + +It can be seen that the estimation error, $\| \widehat { \boldsymbol { w } } - \boldsymbol { w } ^ { * } \| _ { \mathrm { F } }$ , is $O _ { p } ( \sqrt { d _ { \mathcal { M } } / n } )$ , and hence the sample complexity is of order $O ( d _ { \mathcal { M } } / \varepsilon ^ { 2 } )$ , to achieve a training error $\varepsilon$ . The empirical norm is equivalent to the training error minus the sample standard deviation of noise. And we can see that the training error $\mathrm { e r r } _ { \mathrm { t r a i n } } ( \widehat { \pmb { \mathscr { W } } } ) = O _ { p } ( \sqrt { d _ { \mathscr { M } } / n } ) + \widehat { \sigma }$ and test error $\mathrm { e r r } ( \widehat { \mathbf { W } } ) = O _ { p } ( \sqrt { d _ { \mathcal { M } } / n } ) + \sigma$ , where $\widehat { \sigma }$ and $\sigma$ brepresent the sample and population standard deviation of noise, respectively. + +Now we proceed to provide a complete version of the sample complexity of compressed CNNs. Let $\begin{array} { r } { d _ { \mathcal { M } } ^ { \mathrm { T U } } = \bar { \prod } _ { j = 1 } ^ { N + 1 } R _ { j } + \bar { \sum } _ { i = 1 } ^ { N } l _ { i } R _ { i } + \bar { R } _ { N + 1 } P } \end{array}$ and $\begin{array} { r } { d _ { \mathcal { M } } ^ { \mathrm { C P } } = R ^ { N + 1 } + R ( \sum _ { i = 1 } ^ { N } l _ { i } + P ) } \end{array}$ . + +Theorem 2 (Complete Version). Let $( \widehat { \mathcal { W } } , d _ { \mathcal { M } } )$ be $( \widehat { \sf w } _ { \mathrm { T U } } , d _ { \mathcal { M } } ^ { \mathrm { T U } } )$ for Tucker decomposition, or $( \widehat { \sf w } _ { \mathrm { C P } } , d _ { \mathcal { M } } ^ { \mathrm { C P } } )$ for $C P$ decomposition. Suppose that Assumptions 1-3 hold and $n \gtrsim ( \kappa _ { U } / \kappa _ { L } ) ^ { 2 } c _ { N } d _ { \mathcal { M } }$ . Then, for some $\delta > 0$ , + +$$ +\begin{array} { l } { ( a ) \| \widehat { \pmb { \mathscr { W } } } - \pmb { \mathscr { W } } ^ { * } \| _ { \mathrm { F } } \leq \frac { 1 6 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { c _ { N } d _ { M } } { n } } + \sqrt { \frac { \delta } { n } } \right) , } \\ { ( b ) \| \widehat { \pmb { \mathscr { W } } } - \pmb { \mathscr { W } } ^ { * } \| _ { n } \leq \frac { 1 6 \sigma \alpha _ { \mathrm { R S M } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { c _ { N } d _ { M } } { n } } + \sqrt { \frac { \delta } { n } } \right) , } \\ { ( c ) e r r ^ { 2 } ( \widehat { \pmb { \mathscr { W } } } ) \leq \left( \frac { 1 6 \sigma \alpha _ { \mathrm { R S M } } } { \alpha _ { \mathrm { R S C } } } \right) ^ { 2 } \left( \frac { c _ { N } d _ { M } } { n } + \frac { \delta } { n } \right) + \sigma ^ { 2 } , } \end{array} +$$ + +with probability $\begin{array} { r } { 1 - 4 \exp \{ - [ c _ { \mathrm { H } } ( 0 . 2 5 \kappa _ { L } / \kappa _ { U } ) ^ { 2 } n - 3 c _ { N } d _ { \mathcal { M } } ] \} - \exp \{ - d _ { \mathcal { M } } - 8 \delta \} } \end{array}$ , where $c _ { N } =$ $2 ^ { N + \bar { 1 } } \log ( N + \bar { 2 } )$ , $c _ { \mathrm { H } }$ is a positive value and $\alpha _ { \mathrm { R S C } } , \alpha _ { \mathrm { R S M } }$ are defined in Theorem $^ { l }$ . + +Because CP decomposition can be considered as a special case of Tucker decomposition where $R _ { j } = R$ , for $1 \leq j \leq N + 1$ . We only provide the proof for Tucker CNN. + +# A.3.1 PROOF OF THEOREM 1 + +Denote the sets $\widehat { S } _ { K } = \{ \sum _ { k = 1 } ^ { K } \mathbf { \mathcal { B } } _ { k } \otimes \mathbf { \mathcal { A } } _ { k } : \mathbf { \mathcal { A } } _ { k } \in \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times \cdots \times l _ { N } }$ and $\mathfrak { B } _ { k } \in \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times \dots \times p _ { N } } \}$ and $S _ { K } = \{ \pmb { \mathscr { W } } \in \widehat { S } _ { K } : \| \pmb { \mathscr { W } } \| _ { \mathrm { F } } = 1 \}$ . Let $\widehat { \Delta } = \widehat { \mathcal { W } } - \mathcal { W } ^ { * }$ , and then + +$$ +\frac { 1 } { n } \sum _ { i = 1 } ^ { n } ( y ^ { i } - \langle \mathfrak { T } ^ { i } , \widehat { \mathcal { W } } \rangle ) ^ { 2 } \leq \frac { 1 } { n } \sum _ { i = 1 } ^ { n } ( y ^ { i } - \langle \mathfrak { T } ^ { i } , \mathcal { W } ^ { * } \rangle ) ^ { 2 } , +$$ + +which implies that + +$$ +\| \widehat { \pmb { \Delta } } \| _ { n } ^ { 2 } \leq \frac { 2 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \widehat { \pmb { \Delta } } \rangle \leq 2 \| \widehat { \pmb { \Delta } } \| _ { \mathrm { F } } \operatorname* { s u p } _ { { \pmb { \Delta } } \in S _ { 2 K } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , { \pmb { \Delta } } \rangle , +$$ + +where $\begin{array} { r } { \| \pmb { \Delta } \| _ { n } ^ { 2 } : = n ^ { - 1 } \sum _ { i = 1 } ^ { n } ( \langle \pmb { \Sigma } ^ { i } , \pmb { \Delta } \rangle ) ^ { 2 } } \end{array}$ is the empirical norm with respect to $\pmb { \Delta }$ , and $\widehat { \Delta } \in \widehat { S } _ { 2 K }$ . + +Consider a $\varepsilon$ -net $\bar { S } _ { 2 K }$ , with the cardinality of $\mathcal { N } ( 2 K , \varepsilon )$ , for the set $S _ { 2 K }$ . For any $\Delta \in { \cal S } _ { 2 K }$ , there exists a $\bar { \Delta } _ { j } \in \bar { \mathcal { S } } _ { 2 K }$ such that $\| \pmb { \Delta } - \bar { \pmb { \Delta } } _ { j } \| _ { \mathrm { F } } \leq \varepsilon$ . Note that $\Delta - \bar { \Delta } _ { j } \in \widehat { S } _ { 4 K }$ and, from Lemma 1(a), we can further find $\Delta _ { 1 } , \Delta _ { 2 } \in \widehat { S } _ { 2 K }$ such that $\langle \pmb { \Delta } _ { 1 } , \pmb { \Delta } _ { 2 } \rangle = 0$ and $\Delta - \bar { \Delta } _ { j } = \Delta _ { 1 } + \Delta _ { 2 }$ . It then holds that $\| \pmb { \Delta } _ { 1 } \| _ { \mathrm { F } } + \| \pmb { \Delta } _ { 2 } \| _ { \mathrm { F } } \leq \sqrt { 2 } \| \pmb { \Delta } - \pmb { \bar { \Delta } } _ { j } \| _ { \mathrm { F } } \leq \sqrt { 2 } \varepsilon$ since $\| \pmb { \Delta } - \bar { \pmb { \Delta } } _ { j } \| _ { \mathrm { F } } ^ { 2 } = \| \pmb { \Delta } _ { 1 } \| _ { \mathrm { F } } ^ { 2 } + \| \pmb { \Delta } _ { 2 } \| _ { \mathrm { F } } ^ { 2 }$ . As a result, + +$$ +\begin{array} { r } { \displaystyle \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \Delta \rangle = \displaystyle \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \bar { \Delta } _ { j } \rangle + \displaystyle \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \Delta _ { 1 } \rangle + \displaystyle \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \Delta _ { 2 } \rangle \medskip } \\ { \displaystyle \qquad \le \operatorname* { m a x } _ { 1 \le j \le N ( 2 K , \varepsilon ) } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \bar { \Delta } _ { j } \rangle + \sqrt { 2 } \varepsilon \displaystyle \operatorname* { s u p } _ { \Delta \in \mathcal { S } _ { 2 \kappa } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \Delta \rangle , } \end{array} +$$ + +which leads to + +$$ +\operatorname* { s u p } _ { \Delta \in \mathcal { S } _ { 2 K } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \Delta \rangle \leq ( 1 - \sqrt { 2 } \varepsilon ) ^ { - 1 } \operatorname* { m a x } _ { 1 \leq j \leq N ( 2 K , \varepsilon ) } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \bar { \Delta } _ { j } \rangle . +$$ + +Note that, from Lemma 1(b), √ $\log \mathcal { N } ( 2 K , \varepsilon ) \leq 2 d _ { \mathcal { M } } \log ( 9 / \varepsilon )$ , where $d _ { \mathcal { M } } = K ( P + L + 1 )$ . Let $\varepsilon = ( 2 \sqrt { 2 } ) ^ { - 1 }$ , and then $8 - 2 \log ( 9 / \varepsilon ) > 1$ . As a result, by (12) and Lemma 3, + +$$ +\begin{array} { r l } & { \mathbb { P } \left[ \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \Delta \rangle \geq 8 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { d _ { M } } { n } } + \sqrt { \frac { \delta } { n } } \right) , \quad \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } \| \Delta \| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S M } } \right] } \\ & { \leq \mathbb { P } \left[ \underset { 1 \leq j \leq \mathrm { S } ( 2 K , \varepsilon ) } { \operatorname* { m a x } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \bar { \Delta } _ { j } \rangle \geq 4 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { d _ { M } } { n } } + \sqrt { \frac { \delta } { n } } \right) , \quad \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } \| \Delta \| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S M } } \right] } \\ & { \leq \displaystyle \sum _ { j = 1 } ^ { N ( 2 K , \varepsilon ) } \mathbb { P } \left( \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \bar { \Delta } _ { j } \rangle \geq 4 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { d _ { M } } { n } } + \sqrt { \frac { \delta } { n } } \right) , \ \| \bar { \Delta } _ { j } \| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S M } } \right) } \\ & { \leq \exp \{ - d _ { M } - 8 \delta \} . } \end{array} +$$ + +Note that + +$$ +\begin{array} { r l } & { \mathbb { P } \left[ \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } \frac { 1 } { n } \underset { i = 1 } { \overset { n } { \sum } } \xi ^ { i } \langle \Xi ^ { i } , \Delta \rangle \geq 8 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) \right] } \\ & { \leq \mathbb { P } \left[ \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } \frac { 1 } { n } \underset { i = 1 } { \overset { n } { \sum } } \xi ^ { i } \langle \Xi ^ { i } , \Delta \rangle \geq 8 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , \quad \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } \| \Delta \| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S M } } \right] } \\ & { \quad + \mathbb { P } \left( \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } \| \Delta \| _ { n } ^ { 2 } \geq \alpha _ { \mathrm { R S M } } \right) . } \end{array} +$$ + +From (13) and Lemma 2, we then have that, with probability $1 - 4 \exp \{ - [ c _ { \mathrm { H } } ( 0 . 2 5 \kappa _ { L } / \kappa _ { U } ) ^ { 2 } n -$ $9 d _ { \mathcal { M } } ] \} - \exp \{ - d _ { \mathcal { M } } - 8 \delta \}$ , + +$$ +\operatorname* { s u p } _ { \Delta \in { \mathcal { S } _ { 2 K } } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \mathcal { Z } ^ { i } , \Delta \rangle \leq 8 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { d _ { M } } { n } } + \sqrt { \frac { \delta } { n } } \right) \qquad \mathrm { a n d } \qquad \| \Delta \| _ { n } ^ { 2 } \geq \alpha _ { \mathrm { R S C } } \| \Delta \| _ { \mathrm { F } } ^ { 2 } , +$$ + +which, together with (11), leads to + +$$ +\| \widehat { \boldsymbol { \Delta } } \| _ { \mathrm { F } } \leq \frac { 1 6 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) \quad \mathrm { ~ a n d ~ } \quad \| \widehat { \boldsymbol { \Delta } } \| _ { n } \leq 1 6 \sigma \frac { \alpha _ { \mathrm { R S M } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) . +$$ + +Finally we prove (c). Given a test sample $( \boldsymbol { \mathfrak { X } } , \boldsymbol { y } )$ , and let $\mathfrak { L } = \mathfrak { X } \times _ { 1 } U _ { \mathcal { F } } ^ { ( 1 ) \prime } \times _ { 2 } U _ { \mathcal { F } } ^ { ( 2 ) \prime } \times _ { 3 } \cdot \cdot \cdot \times _ { N } U _ { \mathcal { F } } ^ { ( N ) \prime } .$ It holds that + +$$ +\begin{array} { r } { \mathbb { E } ( y - \langle \mathfrak { X } , \pmb { \mathscr { W } } _ { X } \rangle ) ^ { 2 } = \mathbb { E } ( y - \langle \mathfrak { Z } , \pmb { \mathscr { W } } \rangle ) ^ { 2 } = \mathbb { E } ( \langle \mathfrak { Z } , \pmb { \mathscr { W } } \rangle ) ^ { 2 } + \sigma ^ { 2 } , } \end{array} +$$ + +and + +$$ +\begin{array} { r } { \mathbb { E } ( \langle \Xi , \Delta \rangle ) ^ { 2 } = \Delta ^ { \prime } \mathbb { E } ( \bar { z } \bar { z } ^ { \prime } ) \Delta = \Delta ^ { \prime } U _ { G } \mathbb { E } ( \bar { x } \bar { x } ^ { \prime } ) U _ { G } ^ { \prime } \Delta \leq \kappa _ { U } \| \Delta \| _ { 2 } ^ { 2 } . } \end{array} +$$ + +As a result, from (a) of this theorem, we have + +$$ +\operatorname { e r r } ^ { 2 } ( \widehat { \mathcal { W } } ) \leq \left( \frac { 1 6 \sigma \alpha _ { \mathrm { R S M } } } { \alpha _ { \mathrm { R S C } } } \right) ^ { 2 } \left( \frac { d _ { \mathcal { M } } } { n } + \frac { \delta } { n } \right) + \sigma ^ { 2 } . +$$ + +This accomplishes the proof. + +# A.3.2 PROOF OF THEOREM 2 + +Denote the sets $\begin{array} { r c l } { \widehat { S } ^ { \mathrm { T U } } ( R _ { 1 } , \cdots , R _ { N + 1 } ) } & { = } & { \{ \sum _ { k = 1 } ^ { K } \mathbf { \mathcal { B } } _ { k } \otimes \mathbf { \mathcal { A } } _ { k } } \end{array}$ : the stacked kernel $\pmb { \mathcal { A } } _ { \mathrm { s t a c k } } \in$ $\mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times \dots \times l _ { N } \times K }$ bhas the ranks of $( R _ { 1 } , . . . , R _ { N } , R _ { N + 1 } )$ and $\mathfrak { B } _ { k } \ \in \ \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times \dots \times p _ { N } } \Big \}$ , $\widehat { S } _ { 2 K } ^ { \mathrm { T U } } ~ =$ $\{ \mathcal { W } _ { 1 } + \mathcal { W } _ { 2 } : \mathcal { W } _ { 1 } , \mathcal { W } _ { 2 } \in \widehat { { S } } ^ { \mathrm { T U } } ( R _ { 1 } , \cdot \cdot \cdot , R _ { N + 1 } ) \} ,$ , and $S _ { 2 K } ^ { \mathrm { T U } } = \{ \mathcal { W } \in \widehat { S } _ { 2 K } ^ { \mathrm { T U } } : \| \mathcal { W } \| _ { \mathrm { F } } = 1 \}$ . Note that $\widehat { \boldsymbol { w } } _ { \mathrm { r U } } , \boldsymbol { w } ^ { * } \in \widehat { S } ^ { \mathrm { T U } } ( R _ { 1 } , \cdot \cdot \cdot , R _ { N + 1 } )$ , and $\widehat { \mathbf { \Delta } } = \widehat { \mathbf { w } } _ { \mathrm { T U } } - \mathbf { w } ^ { * } \in \widehat { \mathcal { S } } _ { 2 K } ^ { \mathrm { T U } }$ b. + +We first consider a $\varepsilon$ -net for $S _ { 2 K } ^ { \mathrm { T U } }$ . For each $1 \leq k \leq K$ , Let $\begin{array} { r } { \pmb { b } _ { k } = ( b _ { k 1 } , \dots , b _ { k P } ) ^ { \prime } = \mathrm { v e c } ( \pmb { \mathscr { B } } _ { k } ) } \end{array}$ , and we can rearrange Bk ⊗ Ak into the form of Ak ◦ bk, which is a tensor of size Rl1×l2×···×lN ×P , where $P = p _ { 1 } p _ { 2 } \cdot \cdot \cdot p _ { N }$ . Denote $B = ( b _ { k j } ) \in \mathbb { R } ^ { P \times K }$ , and it holds that + +$$ +\sum _ { k = 1 } ^ { K } \pmb { \mathcal { A } } _ { k } \circ \pmb { b } _ { k } = \pmb { \mathcal { A } } \times _ { N + 1 } \pmb { B } = \pmb { \mathcal { G } } \times _ { 1 } \pmb { H } ^ { ( 1 ) } \times _ { 2 } \pmb { H } ^ { ( 2 ) } \cdots \times _ { N + 1 } \widetilde { \pmb { B } } , +$$ + +which is a tensor with the size of $\mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times \dots \times l _ { N } \times P }$ and the ranks of $( R _ { 1 } , . . . , R _ { N } , R _ { N + 1 } )$ where $\widetilde { \pmb { B } } = \pmb { B } \pmb { H } ^ { ( N + 1 ) } \in \mathbb { R } ^ { P \times R _ { N + 1 } }$ . Essentially, in this step, we rewrite the model into one with $R _ { k + 1 }$ ekernels instead. Specifically, we now have $\begin{array} { r } { \pmb { \mathcal { W } } = \sum _ { r = 1 } ^ { R _ { N + 1 } } \tilde { \pmb { \mathcal { A } } } _ { r } \otimes \tilde { \pmb { \mathcal { B } } } _ { r } } \end{array}$ , where $\widetilde { \pmb { A } } _ { r } = \pmb { \mathcal { G } } _ { r } \times _ { 1 } \pmb { H } ^ { ( 1 ) } \times _ { 2 }$ ${ \pmb H } ^ { ( 2 ) } \dots \times _ { N } { \pmb H } ^ { ( N ) }$ with $\pmb { \mathcal { G } } _ { r } = \pmb { \mathcal { G } } ( : , : , \cdots , r )$ and the $r$ -th column of $\widetilde { B }$ is the vectorization of $\widetilde { \mathbf { \mathcal { B } } } _ { r }$ for $1 \le r \le R _ { N + 1 }$ . + +As a result, $\widehat { S } _ { 2 K } ^ { \mathrm { T U } }$ consists of tensors with the ranks of $( 2 R _ { 1 } , . . . , 2 R _ { N } , 2 R _ { N + 1 } )$ at most. + +Denote $\begin{array} { r } { \mathcal { S } _ { \mathrm { T u c k e r } } ( \boldsymbol { r } _ { 1 } , \cdots , \boldsymbol { r } _ { N } , \boldsymbol { r } _ { N + 1 } ) = \{ \mathfrak { T } \in \mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } \times l _ { N + 1 } } : \| \mathfrak { T } \| _ { \mathrm { F } } = 1 , } \end{array}$ $\Im$ has the Tucker ranks of sat $\left( r _ { 1 } , \cdot \cdot \cdot , r _ { N } , r _ { N + 1 } \right) \Biggr \}$ , where $l _ { N + 1 } = P = p _ { 1 } p _ { 2 } \cdot \cdot \cdot p _ { N }$ . Then the $\varepsilon$ -covering number for $S _ { 2 K } ^ { \mathrm { T U } }$ + +$$ +| S _ { 2 K } ^ { \mathrm { T U } } | \leq | S _ { \mathrm { T u c k e r } } ( 2 R _ { 1 } , \cdot \cdot \cdot , 2 R _ { N } , 2 R _ { N + 1 } ) | . +$$ + +For each $\mathbf { \mathcal { T } } \in S _ { \mathrm { T u c k e r } } ( r _ { 1 } , \cdot \cdot \cdot , r _ { N } , r _ { N + 1 } )$ , we have + +$$ +\Im = \pmb { \mathcal { G } } \times _ { 1 } \pmb { U } ^ { ( 1 ) } \times _ { 2 } \dots \times _ { N + 1 } \pmb { U } ^ { ( N + 1 ) } , +$$ + +where $\mathfrak { S } \in \mathbb { R } ^ { r _ { 1 } \times \dots \times r _ { N } \times r _ { N + 1 } }$ with $\| \mathbf { S } \| _ { \mathrm { F } } ~ = ~ 1$ , and $U ^ { ( i ) } \in \mathbb { R } ^ { l _ { i } \times r _ { i } }$ with $1 \leq i \leq N + 1$ are orthonormal matrices. We now construct an $\varepsilon$ -net for $\boldsymbol { S } _ { \mathrm { T u c k e r } } ( \boldsymbol { r } _ { 1 } , \cdot \cdot \cdot , \boldsymbol { r } _ { N } , \boldsymbol { r } _ { N + 1 } )$ by covering the sets of $\mathcal { G }$ and all $U ^ { ( i ) } \mathrm { s }$ , and the proof hinges on the covering number of low-multilinear-rank tensors in Wang et al. (2019). Treating $\mathcal { G }$ as $\textstyle \prod _ { j = 1 } ^ { \bar { N } + 1 } r _ { j }$ -dimensional vector with $\| \mathbf { S } \| _ { \mathrm { F } } = 1$ , we can find an ε/(N + 2)-net for it, denoted by G¯, with the cardinality of |G¯| ≤ (3(N + 2)/ε)QN+1j=1 rj . + +Next, let $O _ { n , r } = \{ U \in \mathbb { R } ^ { n \times r } : U ^ { \top } U = I _ { r } \}$ . To cover $O _ { n , r }$ , it is beneficial to use the $\Vert \cdot \Vert _ { 1 , 2 }$ norm, defined as + +$$ +\| X \| _ { 1 , 2 } = \operatorname* { m a x } _ { i } \| X _ { i } \| _ { 2 } , +$$ + +where $X _ { i }$ denotes the $i ^ { \mathrm { t h } }$ column of $\boldsymbol { X }$ . Let $Q _ { n , r } = \{ X \in \mathbb { R } ^ { n \times r } : \| X \| _ { 1 , 2 } \leq 1 \}$ . One can easily check that $O _ { n , r } ~ \subset ~ Q _ { n , r }$ , and then an $\varepsilon / ( N + 2 )$ -net $\bar { O } _ { n , r }$ for $O _ { n , r }$ has the cardinality of $| \bar { O } _ { n , r } | \leq ( 3 ( N + 2 ) / \varepsilon ) ^ { n r }$ . Denote $\bar { \cal S } _ { \mathrm { T u c k e r } } ( r _ { 1 } , \cdot \cdot \cdot , r _ { N } , r _ { N + 1 } ) = \{ \ P \times _ { 1 } U ^ { ( 1 ) } \times _ { 2 } \cdot \cdot \cdot \times _ { N + 1 }$ $U ^ { ( N + 1 ) } : \mathcal { G } \in \bar { G }$ , $\pmb { U } ^ { ( i ) } \in \bar { O } _ { l _ { i } , r _ { i } }$ , $1 \leq i \leq N + 1 \}$ . By a similar argument presented in Lemma A.1 of Wang et al. (2019), we can show that $\bar { S } _ { \mathrm { T u c k e r } } ( r _ { 1 } , \cdot \cdot \cdot , r _ { N } , r _ { N + 1 } )$ is a $\varepsilon$ -net for the set $\boldsymbol { S } _ { \mathrm { T u c k e r } } ( \boldsymbol { r } _ { 1 } , \cdot \cdot \cdot , \boldsymbol { r } _ { N } , \boldsymbol { r } _ { N + 1 } )$ with the cardinality of + +$$ +\left( \frac { 3 N + 6 } { \varepsilon } \right) ^ { \prod _ { j = 1 } ^ { N + 1 } r _ { j } + \sum _ { j = 1 } ^ { N + 1 } l _ { j } r _ { j } } . +$$ + +$l _ { N + 1 } = P$ . Thus, the $\varepsilon$ -covering number of $S _ { 2 K } ^ { \mathrm { T U } }$ is + +$$ +\mathcal { N } ^ { \mathrm { T U } } ( \varepsilon ) = | \mathcal { S } _ { \mathrm { T u c k e r } } ( 2 R _ { 1 } , \cdot \cdot \cdot , 2 R _ { N } , 2 R _ { N + 1 } ) | \le \left( \frac { 3 N + 6 } { \varepsilon } \right) ^ { 2 ^ { N + 1 } \prod _ { j = 1 } ^ { N + 1 } R _ { j } + 2 \sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + 2 R _ { N + 1 } P _ { i } } . +$$ + +Let $2 ^ { N + 1 } d _ { \mathcal { M } } ^ { \mathrm { T U } } \log [ ( 3 N + 6 ) / \varepsilon ]$ $\varepsilon ~ = ~ 1 / 2$ . It then holds that , where $\begin{array} { r } { d _ { \mathcal { M } } ^ { \mathrm { T U } } = \prod _ { j = 1 } ^ { N + 1 } R _ { j } + \sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P } \end{array}$ $\log ( 3 ( N + 2 ) / \varepsilon ) ~ < ~ 3 \log ( N + 2 )$ and . By a method similar $\log \mathcal { N } ^ { \mathrm { T U } } ( \varepsilon ) ~ \leq$ to the proof of Lemma 2, we can show that + +$$ +\mathbb { P } \left\{ \underset { \Delta \in S _ { 2 K } ^ { \mathrm { T U } } } { \operatorname* { s u p } } \left. \Delta \right. _ { n } ^ { 2 } \geq \alpha _ { \mathrm { R S M } } \right\} \leq 2 \exp \left\{ - c _ { \mathrm { H } } n \left( \frac { \kappa _ { L } } { 4 \kappa _ { U } } \right) ^ { 2 } + 3 c _ { N } d _ { \mathcal { M } } ^ { \mathrm { T U } } \right\} , +$$ + +and + +$$ +\mathbb { P } \left\{ \operatorname* { i n f } _ { \Delta \in S _ { 2 K } ^ { \mathrm { T U } } } \left\| \Delta \right\| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S C } } \right\} \leq 2 \exp \left\{ - c _ { \mathrm { H } } n \left( \frac { \kappa _ { L } } { 4 \kappa _ { U } } \right) ^ { 2 } + 3 c _ { N } d _ { \mathcal { M } } ^ { \mathrm { T U } } \right\} . +$$ + +where $c _ { N } = 2 ^ { N + 1 } \log ( N + 2 )$ . Moreover, similar to equation 13, by applying Lemma 3, we can show that + +$$ +\begin{array} { r l } & { \mathbb { P } \left[ \underset { \Delta \in S _ { 2 K } ^ { \operatorname { T W } } } { \operatorname* { s u p } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \Delta \rangle \geq 8 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { c _ { N } d _ { M } ^ { \operatorname { T W } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , \quad \underset { \Delta \in S _ { 2 K } ^ { \operatorname { T W } } } { \operatorname* { s u p } } \| \Delta \| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S M } } \right] } \\ & { \leq \mathbb { P } \left[ \underset { 1 \leq j \leq N ^ { \operatorname { T W } } ( \varepsilon ) } { \operatorname* { s u p } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \bar { \Delta } _ { j } \rangle \geq 4 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { c _ { N } d _ { M } ^ { \operatorname { T W } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , \quad \underset { \Delta \in S _ { 2 K } ^ { \operatorname { T W } } } { \operatorname* { s u p } } \| \Delta \| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S M } } \right] } \\ & { \leq \displaystyle \sum _ { j = 1 } ^ { N ^ { \operatorname { T W } } ( \varepsilon ) } \mathbb { P } \left( \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \bar { \Delta } _ { j } \rangle \geq 4 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { c _ { N } d _ { M } ^ { \operatorname { T W } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , \ \| \bar { \Delta } _ { j } \| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S M } } \right) } \\ & { \leq \exp \{ - d _ { M } ^ { \operatorname { T W } } - 8 \delta \} , } \end{array} +$$ + +where $\varepsilon = ( 2 \sqrt { 2 } ) ^ { - 1 }$ and ${ } ^ { 2 ^ { N + 4 } } \log ( N + 2 ) - 2 ^ { N + 1 } \log ( 3 ( N + 1 ) / \varepsilon ) > 1$ . By a method similar to the proof of Theorem 1, we can show that, with probability $1 - \mathrm { ~ \ r ~ { 4 e x p \{ - [ \bar { c } _ { H } ( 0 . 2 5 \kappa _ { L } / \kappa _ { U } ) ^ { 2 } n - } } $ $3 c _ { N } \mathrm { l o g } ( N + 2 ) d _ { \mathcal { M } } ^ { \mathrm { T U } } ] \} - \mathrm { e x p } \{ - d _ { \mathcal { M } } ^ { \mathrm { T U } } - 8 \delta \}$ , + +$$ +\operatorname* { s u p } _ { \Delta \in S _ { 2 K } ^ { \mathrm { T U } } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } \langle \Xi ^ { i } , \Delta \rangle \leq 8 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } \left( \sqrt { \frac { c _ { N } d _ { \mathcal { M } } ^ { \mathrm { T U } } } { n } } + \sqrt { \frac { \delta } { n } } \right) \qquad \mathrm { a n d } \qquad \| \Delta \| _ { n } ^ { 2 } \geq \alpha _ { \mathrm { R S C } } \| \Delta \| _ { \mathrm { F } } ^ { 2 } , +$$ + +which, together with equation 11, leads to + +$$ +\begin{array} { r l } & { \| \widehat { \pmb { \Delta } } \| _ { \mathrm { F } } \leq \frac { 1 6 \sigma \sqrt { \alpha _ { \mathrm { R S M } } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { c _ { N } d _ { M } ^ { \mathrm { T U } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , } \\ & { \| \widehat { \pmb { \Delta } } \| _ { n } \leq 1 6 \sigma \frac { \alpha _ { \mathrm { R S M } } } { \alpha _ { \mathrm { R S C } } } \left( \sqrt { \frac { c _ { N } d _ { M } ^ { \mathrm { T U } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , } \\ & { \ \mathrm { e r r } ^ { 2 } ( \widehat { \pmb { \mathscr { W } } } _ { \mathrm { T U } } ) \leq \left( \frac { 1 6 \sigma \alpha _ { \mathrm { R S M } } } { \alpha _ { \mathrm { R S C } } } \right) ^ { 2 } \left( \frac { c _ { N } d _ { M } ^ { \mathrm { T U } } } { n } + \frac { \delta } { n } \right) + \sigma ^ { 2 } . } \end{array} +$$ + +We accomplished the proof. + +# A.3.3 PROOFS OF COROLLARY 1 + +When the kernel tensor $\mathbfcal { A }$ has a Tucker decomposition form of $\pmb { \mathcal { A } } = \pmb { \mathcal { G } } \times _ { 1 } \pmb { H } ^ { ( 1 ) } \times _ { 2 } \pmb { H } ^ { ( 2 ) } \times _ { 3 } \cdot \cdot \cdot \times _ { N + 1 }$ ${ \cal H } ^ { ( N + 1 ) }$ , and the multilinear rank is $( R _ { 1 } , R _ { 2 } , \cdot \cdot \cdot , R _ { N + 1 } )$ . Let $\pmb { \mathcal { H } } = \pmb { \mathcal { G } } \times _ { 1 } \pmb { H } ^ { ( 1 ) } \times _ { 2 } \pmb { H } ^ { ( 2 ) } \times _ { 3 } \cdot \cdot \cdot \times _ { N }$ ${ \pmb { H } } ^ { ( N ) }$ , which is a tensor of size $\mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } \times R _ { N + 1 } }$ . The mode- $( N + 1 )$ unfolding of $\mathbf { \mathcal { H } }$ is a matrix with $R _ { N + 1 }$ row vectors, each of size $\mathbb { R } ^ { L }$ , and we denote them by $g _ { 1 } , \cdots , g _ { R _ { N + 1 } }$ . Fold ${ \pmb g } _ { r }$ s back into tensors, i.e. $\begin{array} { r } { \pmb { g } _ { r } = \mathrm { v e c } ( \widetilde { \pmb { \mathcal { H } } } _ { r } ) } \end{array}$ , where $\mathcal { \tilde { H } } _ { r } \in \mathbb { R } ^ { l _ { 1 } \times \cdots \times l _ { N } }$ and $1 \le r \le R _ { N + 1 }$ . Moreover, let ${ \pmb { H } } ^ { ( N + 1 ) } = ( { \pmb { h } } _ { 1 } ^ { ( N + 1 ) } , \cdot \cdot \cdot , { \pmb { h } } _ { K } ^ { ( N + 1 ) } ) ^ { \prime }$ h(N+1)K )0, where h(Nk $\boldsymbol { h } _ { k } ^ { ( N + 1 ) }$ is a vector of size $\mathbb { R } ^ { R _ { N + 1 } }$ and we denote its $r ^ { \mathrm { t h } }$ entry as h(N+1)k,r , for 1 ≤ r ≤ RN+1. It can be verified that, for each 1 ≤ k ≤ K, + +$$ +\mathbf { \mathcal { A } } _ { k } = \mathbb { 9 } \times _ { 1 } \mathbf { { \cal { H } } } ^ { ( 1 ) } \times _ { 2 } \mathbf { { \cal { H } } } ^ { ( 2 ) } \cdots \times _ { N } \mathbf { { \cal { H } } } ^ { ( N ) } \bar { \times } _ { N + 1 } \pmb { { h } } _ { k } ^ { ( N + 1 ) } = \mathbf { \mathcal { H } } \bar { \times } _ { N + 1 } \pmb { { h } } _ { k } ^ { ( N + 1 ) } , +$$ + +and hence, + +$$ +\sum _ { k = 1 } ^ { K } \mathbf { \mathcal { B } } _ { k } \otimes \mathcal { A } _ { k } = \sum _ { r = 1 } ^ { R _ { N + 1 } } \sum _ { k = 1 } ^ { K } \mathbf { \mathcal { B } } _ { k } \otimes \left( \mathbf { \widetilde { H } } _ { r } \cdot h _ { k , r } ^ { ( N + 1 ) } \right) = \sum _ { r = 1 } ^ { R _ { N + 1 } } \left( \sum _ { k = 1 } ^ { K } h _ { k , r } ^ { ( N + 1 ) } \mathbf { \mathcal { B } } _ { k } \right) \otimes \mathbf { \widetilde { H } } _ { r } . +$$ + +By letting $\begin{array} { r } { \mathbf { \widetilde { B } } _ { r } = \sum _ { k = 1 } ^ { K } h _ { k , r } ^ { ( N + 1 ) } \mathbf { \widetilde { B } } _ { k } } \end{array}$ and $\widetilde { \pmb { A } } _ { r } = \widetilde { \pmb { \mathscr { H } } } _ { r }$ for $1 \le r \le R _ { N + 1 }$ , we can reformulate the + +$$ +y ^ { i } = \langle \sum _ { r = 1 } ^ { R _ { N + 1 } } \widetilde { \mathbf { \mathcal { B } } } _ { r } \otimes \widetilde { \mathbf { \mathcal { A } } } _ { r } , \mathbf { \mathcal { Z } } ^ { i } \rangle + \xi ^ { i } , +$$ + +and the proof of (a) is then accomplished. + +the ker, where $\mathbfcal { A }$ hasand positionfor all $\begin{array} { r } { \pmb { \mathcal { A } } = \sum _ { r = 1 } ^ { R } \alpha _ { r } \pmb { h } _ { r } ^ { ( 1 ) } \circ \pmb { h } _ { r } ^ { ( 2 ) } } \end{array}$ $\cdots \circ h _ { r } ^ { ( N + 1 ) }$ $\pmb { h } _ { r } ^ { ( j ) } \in \mathbb { R } ^ { l _ { j } }$ $\| h _ { r } ^ { ( j ) } \| = 1$ $1 \leq j \leq N$ $h _ { r } ^ { ( N + 1 ) } \ =$ $( h _ { r , 1 } ^ { ( N + 1 ) } , . . . , h _ { r , K } ^ { ( N + 1 ) } ) ^ { \prime } \in \mathbb { R } ^ { K }$ h(N+1)r,K )0 ∈ RK and kh(N+1)r k = 1. Note that + +$$ +\pmb { \mathcal { A } } _ { k } = \sum _ { r = 1 } ^ { R } \alpha _ { r } h _ { r , k } ^ { ( N + 1 ) } \pmb { h } _ { r } ^ { ( 1 ) } \circ \pmb { h } _ { r } ^ { ( 2 ) } \circ \cdots \circ \pmb { h } _ { r } ^ { ( N ) } , +$$ + +for all $1 \leq k \leq K$ , and hence + +$$ +\begin{array} { r } { \displaystyle \sum _ { k = 1 } ^ { K } \mathbf { \mathcal { B } } _ { k } \otimes \mathbf { \mathcal { A } } _ { k } = \displaystyle \sum _ { r = 1 } ^ { R } \sum _ { k = 1 } ^ { K } \mathbf { \mathcal { B } } _ { k } \otimes \left( \alpha _ { r } h _ { r , k } ^ { ( N + 1 ) } h _ { r } ^ { ( 1 ) } \circ h _ { r } ^ { ( 2 ) } \circ \cdot \cdot \cdot \circ h _ { r } ^ { ( N ) } \right) } \\ { = \displaystyle \sum _ { r = 1 } ^ { R } \left( h _ { r , k } ^ { ( N + 1 ) } \mathbf { \mathcal { B } } _ { k } \right) \otimes \left( \alpha _ { r } h _ { r } ^ { ( 1 ) } \circ h _ { r } ^ { ( 2 ) } \circ \cdot \cdot \cdot \circ h _ { r } ^ { ( N ) } \right) . } \end{array} +$$ + +By letting $\widetilde { \mathbf B } _ { r } = h _ { r , k } ^ { ( N + 1 ) } \mathbf B _ { k }$ and $\widetilde { \mathbfcal { A } } _ { r } = \alpha _ { r } \pmb { h } _ { r } ^ { ( 1 ) } \circ \pmb { h } _ { r } ^ { ( 2 ) } \circ \cdot \cdot \cdot \circ \pmb { h } _ { r } ^ { ( N ) }$ for all $1 \leq r \leq R$ , we can + +$$ +y ^ { i } = \langle \sum _ { r = 1 } ^ { R } \widetilde { \mathbf { \mathcal { B } } } _ { r } \otimes \widetilde { \mathbf { \mathcal { A } } } _ { r } , { \mathfrak { Z } } ^ { i } \rangle + \xi ^ { i } , +$$ + +and the proof of (b) is then accomplished. + +A.3.4 LEMMAS USED IN THE PROOFS OF THEOREMS + +Lemma 1. (Partition and covering number of restricted spaces) Consider $\begin{array} { r } { \widehat { \mathcal { S } } _ { K } = \{ \sum _ { k = 1 } ^ { K } \mathbf { \mathcal { B } } _ { k } \otimes \mathbf { \mathcal { A } } _ { k } : } \end{array}$ $\mathcal { A } _ { k } \in \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times \cdots \times l _ { N } }$ and $\mathfrak { B } _ { k } \in \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times \dots \times p _ { N } } \}$ and $S _ { K } = \{ \pmb { \mathscr { W } } \in \widehat { S } _ { K } : \| \pmb { \mathscr { W } } \| _ { \mathrm { F } } = 1 \}$ . + +(a) For any $\Delta \in \widehat { S } _ { 2 K }$ , there exist $w _ { 1 } , w _ { 2 } \in \widehat { S } _ { K }$ such that $\Delta = \mathcal { W } _ { 1 } + \mathcal { W } _ { 2 }$ and $\langle { \pmb w } _ { 1 } , { \pmb w } _ { 2 } \rangle =$ 0. + +(b) The $\varepsilon$ -covering number of the set $\boldsymbol { \mathcal { S } } _ { K }$ is + +$$ +\begin{array} { r } { \mathcal { N } ( K , \varepsilon ) \leq ( 9 / \varepsilon ) ^ { K ( L + P + 1 ) } , } \end{array} +$$ + +where $L = l _ { 1 } l _ { 2 } \cdot \cdot \cdot l _ { N }$ and $P = p _ { 1 } p _ { 2 } \cdot \cdot \cdot p _ { N }$ . + +Proof. For each $K$ , we first define a map $T _ { K } : \widehat { \mathcal { S } } _ { K } \mathbb { R } ^ { P \times L }$ . For any $\begin{array} { r } { \pmb { \mathscr { W } } = \sum _ { k = 1 } ^ { K } \pmb { \mathscr { B } } _ { k } \otimes \pmb { \mathscr { A } } _ { k } \in \widehat { \mathscr { S } } _ { K } } \end{array}$ we define that $\begin{array} { r } { T _ { K } ( \pmb { \mathcal { W } } ) = \sum _ { k = 1 } ^ { K } \mathrm { v e c } \left( \pmb { \mathcal { B } } _ { k } \right) \mathrm { v e c } ( \pmb { \mathcal { A } } _ { k } ) ^ { \prime } \in \mathbb { R } ^ { P \times L } } \end{array}$ , which has the rank of at most $K$ b. + +For any $\Delta \in \widehat { S } _ { 2 K }$ , the rank of matrix $T _ { K } ( \Delta )$ is at most $2 K$ . As shown in Figure 6, we can split the ositioand $T _ { K } ( \Delta )$ parts, and. Denote $T _ { K } ( \Delta ) =$ $U _ { 1 } \pmb { \Lambda } _ { 1 } \pmb { V } _ { 1 } ^ { \prime } + \pmb { U } _ { 2 } \pmb { \Lambda } _ { 2 } \pmb { V } _ { 2 } ^ { \prime }$ $\langle U _ { 1 } \pmb { \Lambda } _ { 1 } \pmb { V } _ { 1 } ^ { \prime } , U _ { 2 } \pmb { \Lambda } _ { 2 } \pmb { V } _ { 2 } ^ { \prime } \rangle = 0$ $U _ { i } = ( { \pmb u } _ { 1 } ^ { ( i ) } , { \pmb u } _ { 2 } ^ { ( i ) } , \dots , { \pmb u } _ { K } ^ { ( i ) } )$ and $V _ { i } \mathbf { \Lambda } \Lambda _ { i } ^ { \prime } \mathbf { \Lambda } = ( \pmb { v } _ { 1 } ^ { ( i ) } , \pmb { v } _ { 2 } ^ { ( i ) } , \dots , \pmb { v } _ { K } ^ { ( i ) } )$ for $i \ = \ 1$ and 2. We then fold $\pmb { u } _ { j } ^ { ( i ) } \mathbf { s }$ and ${ \pmb v } _ { j } ^ { ( i ) } { \bf s }$ into tensors, i.e. $\begin{array} { r } { \pmb { u } _ { k } ^ { ( i ) } = \mathrm { v e c } ( \mathbf { \mathcal { B } } _ { k } ^ { ( i ) } ) } \end{array}$ and $\pmb { v } _ { k } ^ { ( i ) } = \mathrm { v e c } ( \mathcal { A } _ { k } ^ { ( i ) } )$ with $1 \leq k \leq K$ . Let $\begin{array} { r } { \mathbf { \hat { w } } _ { 1 } = \sum _ { k = 1 } ^ { \tilde { K } } \mathbf { \mathcal { B } } _ { k } ^ { ( 1 ) } \otimes \mathbf { \mathcal { A } } _ { k } ^ { ( 1 ) } } \end{array}$ and $\begin{array} { r } { \pmb { \mathcal { W } } _ { 2 } = \sum _ { k = 1 } ^ { K } \pmb { \mathcal { B } } _ { k } ^ { ( 2 ) } \otimes \pmb { \mathcal { A } } _ { k } ^ { ( 2 ) } } \end{array}$ . It then can be verified tccomplish the proof of (a). $w _ { 1 } , w _ { 2 } \in \widehat { S } _ { K }$ , $\pmb { \Delta } = \pmb { { \mathcal { W } } } _ { 1 } + \pmb { { \mathcal { W } } } _ { 2 }$ and $\langle \mathfrak { W } _ { 1 } , \mathfrak { W } _ { 2 } \rangle = 0$ + +Denote by $S _ { \mathrm { m a t r i x } } \subset \mathbb { R } ^ { P \times L }$ the set of matrices with unit Frobenius norm and rank at most $K$ . Note that $T ( S _ { K } ) \subset S _ { \mathrm { m a t r i x } }$ , while the $\varepsilon$ -covering number for $S _ { \mathrm { m a t r i x } }$ is + +$$ +| S _ { \mathrm { m a t r i x } } | \leq ( 9 / \varepsilon ) ^ { K ( L + P + 1 ) } ; +$$ + +see Candes & Plan (2011). This accomplishes the proof of (b). + +![](images/d872114addaacf385f065fabeeb14b525891df649d581b3e5c879e08b1d0d776.jpg) +Figure 6: Splitting matrix $T ( \Delta )$ based on its singular value decomposition. + +Lemma 2. (Restricted strong convexity and smoothness) Suppose that $n \gtrsim ( \kappa _ { U } / \kappa _ { L } ) ^ { 2 } d _ { \mathcal { M } }$ . It holds that, with probability at least $1 - 4 \exp \{ - [ c _ { \mathrm { H } } ( 0 . 2 5 \kappa _ { L } / \kappa _ { U } ) ^ { \bar { 2 } } \bar { n } - 9 d _ { \mathcal { M } } ] \}$ , + +$$ +\alpha _ { \mathrm { R S C } } \left\| \pmb { \Delta } \right\| _ { \mathrm { F } } ^ { 2 } \leq \frac { 1 } { n } \sum _ { i = 1 } ^ { n } ( \langle \Im ^ { i } , \pmb { \Delta } \rangle ) ^ { 2 } \leq \alpha _ { \mathrm { R S M } } \left\| \pmb { \Delta } \right\| _ { \mathrm { F } } ^ { 2 } , +$$ + +for all $\Delta \in \widehat { S } _ { 2 K }$ , where $\widehat { S } _ { 2 K }$ is defined in Lemma $^ { l }$ , $c _ { \mathrm { H } }$ is a positive constant from the HansonWright inequality, $\alpha _ { \mathrm { R S C } } = \kappa _ { L } / 2$ and $\alpha _ { \mathrm { R S M } } = 3 \kappa _ { U } / 2$ . + +Proof. It is sufficient to show that $\begin{array} { r } { \operatorname* { s u p } _ { \pmb { \Delta } \in S _ { 2 K } } \| \pmb { \Delta } \| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S M } } } \end{array}$ and $\begin{array} { r } { \operatorname* { i n f } _ { \pmb { \Delta } \in S _ { 2 K } } \| \pmb { \Delta } \| _ { n } ^ { 2 } \geq \alpha _ { \mathrm { R S C } } } \end{array}$ hold with a high probability, where $\begin{array} { r } { \| \pmb { \Delta } \| _ { n } ^ { 2 } : = n ^ { - 1 } \sum _ { i = 1 } ^ { n } ( \langle \pmb { \Sigma } ^ { i } , \pmb { \Delta } \rangle ) ^ { 2 } } \end{array}$ is the empirical norm, and $S _ { 2 K }$ is defined in Lemma 1. Without confusion, in this proof, we will also use the notation of $\pmb { \Delta }$ for its vectorized version, $\mathrm { v e c } ( { \Delta } )$ . Note that + +$$ +\begin{array} { l } { { \displaystyle \| { \pmb \Delta } \| _ { n } ^ { 2 } = \frac { 1 } { n } \sum _ { i = 1 } ^ { n } ( \langle { \Xi ^ { i } } , { \pmb \Delta } \rangle ) ^ { 2 } = \frac { 1 } { n } \sum _ { i = 1 } ^ { n } z ^ { i \prime } { \pmb \Delta } { \pmb \Delta } ^ { \prime } z ^ { i } = \frac { 1 } { n } \sum _ { i = 1 } ^ { n } { \pmb x } ^ { i \prime } U _ { G } { \pmb \Delta } { \pmb \Delta } ^ { \prime } U _ { G } ^ { \prime } { \pmb x } ^ { i } } } \\ { { \displaystyle ~ = \frac { 1 } { n } \bar { \pmb x } ^ { \prime } \Big [ { \pmb I _ { n } } \otimes ( U _ { G } { \pmb \Delta } { \pmb \Delta } ^ { \prime } U _ { G } ^ { \prime } ) \Big ] \bar { \pmb x } = \bar { \pmb w } ^ { \prime } Q \bar { \pmb w } , } } \end{array} +$$ + +where $Q = n ^ { - 1 } \Sigma ^ { \frac { 1 } { 2 } } [ I _ { n } \otimes ( U _ { G } { \bf \underline { { { A } } } } \Delta { \bf \underline { { { \prime } } } } U _ { G } ^ { \prime } ) ] { \Sigma ^ { \frac { 1 } { 2 } } }$ , $\bar { \pmb w } \in \mathbb { R } ^ { n D }$ is a random vector with i.i.d. standard normal entries, $z ^ { i } = U _ { G } ^ { \prime } \mathbf { x } ^ { i }$ , $\pmb { x } ^ { i } = \mathrm { v e c } ( \pmb { \mathcal { X } } ^ { i } ) , \bar { \pmb { x } } = ( \pmb { x } ^ { 1 \prime } , \pmb { x } ^ { 2 \prime } , \dots , \pmb { x } ^ { n \prime } ) ^ { \prime }$ , and $\pmb { \Sigma } = \mathbb { E } ( \bar { \pmb { x } } \bar { \pmb { x } } ^ { \prime } ) \in \mathbb { R } ^ { n D \times n D }$ . + +Denote $\pmb { w } _ { G } = \pmb { U } _ { G } \pmb { \Delta } \in \mathbb { R } ^ { D }$ and $S ^ { n - 1 } = \{ \pmb { v } \in \mathbb { R } ^ { n } : \| \pmb { v } \| _ { 2 } = 1 \}$ . Let $\lambda _ { \operatorname* { m a x } } ( \pmb { \Sigma } _ { i i } )$ be the maximum eigenvalue of $\Sigma _ { i i } = \mathbb { E } ( \mathrm { v e c } ( \mathbf { \mathcal { X } } ^ { i } ) \mathrm { v e c } ( \mathbf { \mathcal { X } } ^ { i } ) ^ { \prime } )$ for $1 \leq i \leq n$ , and it holds that $\lambda _ { \operatorname* { m a x } } ( \Sigma _ { i i } ) \leq C _ { x }$ for all $1 \leq i \leq n$ . For matrix $Q$ , we have + +$$ +\begin{array} { r } { \mathrm { r } ( Q ) = \displaystyle \frac { 1 } { n } \mathrm { t r } \left( \Sigma ^ { \frac { 1 } { 2 } } [ I _ { n } \otimes w _ { G } ] [ I _ { n } \otimes w _ { G } ^ { \prime } ] \Sigma ^ { \frac { 1 } { 2 } } \right) = \displaystyle \frac { 1 } { n } \mathrm { t r } \left( [ I _ { n } \otimes w _ { G } ^ { \prime } ] \Sigma [ I _ { n } \otimes w _ { G } ] \right) = \displaystyle \frac { 1 } { n } \sum _ { i = 1 } ^ { n } ( w _ { G } ^ { \prime } \Sigma _ { i i } w _ { G } ) } \\ { \leq \displaystyle \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \left( \operatorname* { s u p } _ { w _ { G } \in S ^ { P L - 1 } } \frac { w _ { G } ^ { \prime } \Sigma _ { i i } w _ { G } } { w _ { G } ^ { \prime } w _ { G } } \right) \left( \operatorname* { s u p } _ { \Delta \in S ^ { P L - 1 } } \Delta ^ { \prime } U _ { G } ^ { \prime } U _ { G } \Delta \right) \leq \displaystyle \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \lambda _ { \operatorname* { m a x } } ( \Sigma _ { i j } ) C _ { u } \leq \kappa _ { U } , } \end{array} +$$ + +and similarly, we can show that $\mathrm { t r } ( { \cal Q } ) \ge \kappa _ { \cal L }$ , where $\kappa _ { L } = c _ { x } c _ { u }$ , $\kappa _ { U } = C _ { x } C _ { u }$ and $\kappa _ { L } \leq \kappa _ { U }$ . Thus, + +$$ +\kappa _ { L } \leq \operatorname { \mathbb { E } } \left\| \Delta \right\| _ { n } ^ { 2 } = \operatorname { t r } ( { \boldsymbol { Q } } ) \leq \kappa _ { U } . +$$ + +Moreover, denote $Q _ { 1 } = n ^ { - \frac { 1 } { 2 } } \Sigma ^ { \frac { 1 } { 2 } } [ I _ { n } \otimes { \pmb w } _ { G } ]$ and note that $Q = Q _ { 1 } Q _ { 1 } ^ { \prime }$ . To bound the operator norm of $Q$ , we have + +$$ +\begin{array} { r l } & { \| Q \| _ { \mathrm { o p } } \leq \| Q _ { 1 } \| _ { \mathrm { o p } } ^ { 2 } = \displaystyle \operatorname* { s u p } _ { u \in \mathbb { S } ^ { n - 1 } } u ^ { \prime } Q _ { 1 } ^ { \prime } Q _ { 1 } u = \displaystyle \frac { 1 } { n } \displaystyle \operatorname* { s u p } _ { u \in \mathbb { S } ^ { n - 1 } } u ^ { \prime } [ I _ { n } \otimes w _ { G } ^ { \prime } ] \Sigma [ I _ { n } \otimes w _ { G } ] u } \\ & { \qquad \leq \displaystyle \frac { 1 } { n } \left( \displaystyle \operatorname* { s u p } _ { u \in \mathbb { S } ^ { n - 1 } } \frac { u ^ { \prime } [ I _ { n } \otimes w _ { G } ^ { \prime } ] \Sigma [ I _ { n } \otimes w _ { G } ] u } { u ^ { \prime } [ I _ { n } \otimes w _ { G } ^ { \prime } ] [ I _ { n } \otimes w _ { G } ] u } \right) \left( \displaystyle \operatorname* { s u p } _ { u \in \mathbb { S } ^ { n - 1 } } u ^ { \prime } [ I _ { n } \otimes w _ { G } ^ { \prime } w _ { G } ] u \right) } \\ & { \qquad \leq \displaystyle \frac { C _ { x } } { n } \| w _ { G } \| _ { 2 } ^ { 2 } \leq \displaystyle \frac { C _ { x } } { n } \| U _ { G } \| _ { \mathrm { o p } } ^ { 2 } \| \Delta \| _ { 2 } ^ { 2 } \leq \displaystyle \frac { \kappa _ { U } } { n } . } \end{array} +$$ + +Finally we can use (18) and (20) to bound the Frobenius norm of $Q$ . By some algebra, for any square matrices $\pmb { A } , \pmb { B } \in \mathbb { R } ^ { n \times n }$ , $\left. A B \right. _ { \mathrm { F } } ^ { 2 } \leq \left. A \right. _ { \mathrm { o p } } ^ { 2 } \left. B \right. _ { \mathrm { F } } ^ { 2 }$ holds. Hence, + +$$ +\left\| Q \right\| _ { \mathrm { F } } ^ { 2 } = \left\| Q _ { 1 } Q _ { 1 } ^ { \prime } \right\| _ { \mathrm { F } } ^ { 2 } \leq \left\| Q _ { 1 } \right\| _ { \mathrm { o p } } ^ { 2 } \left\| Q _ { 1 } \right\| _ { \mathrm { F } } ^ { 2 } = \left\| Q _ { 1 } \right\| _ { \mathrm { o p } } ^ { 2 } \operatorname { t r } ( Q ) \leq \frac { \kappa _ { U } ^ { 2 } } { n } . +$$ + +This, together with (17), (20) and the Hanson-Wright inequality (Vershynin, 2018, Chapter 6), leads to + +$$ +\begin{array} { r l r } & { } & { \mathbb { P } \left\{ \left| \left\| \Delta \right\| _ { n } ^ { 2 } - \mathbb { E } \left\| \Delta \right\| _ { n } ^ { 2 } \right| \geq t \right\} \leq 2 \exp \left\{ - c _ { \mathrm { H } } \operatorname* { m i n } \left( \frac { t } { \left\| Q \right\| _ { \mathrm { o p } } } , \frac { t ^ { 2 } } { \left\| Q \right\| _ { \mathrm { F } } ^ { 2 } } \right) \right\} } \\ & { } & { \leq 2 \exp \left\{ - c _ { \mathrm { H } } n \operatorname* { m i n } \left( t / \kappa _ { U } , ( t / \kappa _ { U } ) ^ { 2 } \right) \right\} , } \end{array} +$$ + +where $c _ { \mathrm { H } }$ is a positive constant. + +On the other hand, + +$$ +\left\| \pmb { \Delta } \right\| _ { n } ^ { 2 } - \mathbb { E } \left\| \pmb { \Delta } \right\| _ { n } ^ { 2 } = \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \pmb { \Delta } ^ { \prime } z ^ { i } z ^ { i ^ { \prime } } \pmb { \Delta } - \mathbb { E } ( \pmb { \Delta } ^ { \prime } z ^ { i } z ^ { i ^ { \prime } } \pmb { \Delta } ) = \pmb { \Delta } ^ { \prime } \widehat { \pmb { \Gamma } } \pmb { \Delta } , +$$ + +where $\begin{array} { r } { \widehat { \bf r } = n ^ { - 1 } \sum _ { i = 1 } ^ { n } [ z ^ { i } z ^ { i \prime } - E ( z ^ { i } z ^ { i \prime } ) ] } \end{array}$ is a symmetric matrix. Consider a $\varepsilon$ -net $\bar { S } _ { 2 K }$ , with the cardinality of $\mathcal { N } ( 2 K , \varepsilon )$ , for the set $S _ { 2 K }$ . For any $\Delta \in { \mathcal { S } } _ { 2 K }$ , there exists a $\bar { \Delta } _ { j } \in \bar { \mathcal { S } } _ { 2 K }$ such that $\| \Delta - \bar { \Delta } _ { j } \| _ { \mathrm { F } } \leq \varepsilon$ . Note that $\Delta - \bar { \Delta } _ { j } \in \widehat { S } _ { 4 K }$ and, from Lemma 1, we can further find $\Delta _ { 1 } , \Delta _ { 2 } \in \widehat { S } _ { 2 K }$ such that $\langle \pmb { \Delta } _ { 1 } , \pmb { \Delta } _ { 2 } \rangle = 0$ and $\Delta - \bar { \Delta } _ { j } = \Delta _ { 1 } + \Delta _ { 2 }$ , and it then holds that $\| \pmb { \Delta } _ { 1 } \| _ { \mathrm { F } } + \| \pmb { \Delta } _ { 2 } \| _ { \mathrm { F } } \leq$ $\sqrt { 2 } \| \pmb { \Delta } - \pmb { \bar { \Delta } } _ { j } \| _ { \mathrm { F } } \leq \sqrt { 2 } \varepsilon$ . Moreover, for a general real symmetric matrix $\pmb { A } \in \mathbb { R } ^ { d \times d }$ , $\pmb { u } \in \mathbb { R } ^ { d }$ and $\pmb { v } \in \mathbb { R } ^ { d }$ , $\begin{array} { r } { \operatorname* { s u p } _ { \| \pmb { u } \| _ { 2 } = \| \pmb { v } \| _ { 2 } = 1 } \pmb { u } ^ { \prime } \pmb { A } \pmb { v } = \operatorname* { s u p } _ { \| \pmb { u } \| _ { 2 } = 1 } \pmb { u } ^ { \prime } \pmb { A } \pmb { u } } \end{array}$ . As a result, + +$$ +\begin{array} { r l } & { \Delta ^ { \prime } \widehat \Gamma \Delta = \bar { \Delta } _ { j } ^ { \prime } \widehat \Gamma \bar { \Delta } _ { j } + ( \Delta _ { 1 } + \Delta _ { 2 } ) ^ { \prime } \widehat \Gamma ( \Delta _ { 1 } + \Delta _ { 2 } + 2 \bar { \Delta } _ { j } ) } \\ & { \qquad \leq \underset { 1 \leq j \leq N ( 2 K , \varepsilon ) } { \operatorname* { m a x } } \bar { \Delta } _ { j } ^ { \prime } \widehat \Gamma \bar { \Delta } _ { j } + 5 \varepsilon \underset { \Delta \in S _ { 2 K } } { \operatorname* { s u p } } \Delta ^ { \prime } \widehat \Gamma \Delta , } \end{array} +$$ + +where $( \Vert \pmb { \Delta } _ { 1 } \Vert _ { \mathrm { F } } + \Vert \pmb { \Delta } _ { 2 } \Vert _ { \mathrm { F } } ) ^ { 2 } + 2 ( \Vert \pmb { \Delta } _ { 1 } \Vert _ { \mathrm { F } } + \Vert \pmb { \Delta } _ { 2 } \Vert _ { \mathrm { F } } ) \Vert \bar { \pmb { \Delta } } _ { j } \Vert _ { \mathrm { F } } \leq 2 ( \varepsilon + \sqrt { 2 } ) \varepsilon \leq 5 \varepsilon$ as $\varepsilon \leq 1$ , and this leads to + +$$ +\operatorname* { s u p } _ { \Delta \in S _ { 2 K } } \Delta ^ { \prime } \widehat \Gamma \Delta \leq ( 1 - 5 \varepsilon ) ^ { - 1 } \operatorname* { m a x } _ { 1 \leq j \leq \mathcal { N } ( 2 K , \varepsilon ) } \bar { \Delta } _ { j } ^ { \prime } \widehat \Gamma \bar { \Delta } _ { j } . +$$ + +Note that, from Lemma 1(b), $\log \mathcal { N } ( 2 K , \varepsilon ) \leq 2 d _ { \mathcal { M } } \log ( 9 / \varepsilon )$ , where $d _ { \mathcal { M } } = K ( L + P + 1 )$ . Let $\varepsilon = 1 / 1 0$ , and then $2 \log ( 9 / \varepsilon ) < 9$ . Combining (21) and (22) and letting $t = \kappa _ { L } / 2$ , we have + +$$ +\mathbb { P } \left\{ \operatorname* { s u p } _ { \Delta \in S _ { 2 K } } \left\| \Delta \right\| _ { n } ^ { 2 } - \mathbb { E } \left\| \Delta \right\| _ { n } ^ { 2 } \geq \frac { \kappa _ { L } } { 2 } \right\} \leq 2 \exp \left\{ - c _ { \mathrm { H } } n \left( \frac { \kappa _ { L } } { 4 \kappa _ { U } } \right) ^ { 2 } + 9 d _ { \mathcal { M } } \right\} , +$$ + +which, together with (19) and the fact that $\kappa _ { L } \leq \kappa _ { U }$ , implies that + +$$ +\mathbb { P } \left\{ \operatorname* { s u p } _ { \Delta \in S _ { 2 K } } \left\| \Delta \right\| _ { n } ^ { 2 } \geq \alpha _ { \mathrm { R S M } } \right\} \leq 2 \exp \left\{ - c _ { \mathrm { H } } n \left( \frac { \kappa _ { L } } { 4 \kappa _ { U } } \right) ^ { 2 } + 9 d _ { \mathcal { M } } \right\} , +$$ + +where $\alpha _ { \mathrm { R S M } } = 1 . 5 \kappa _ { U } \geq \kappa _ { U } + \kappa _ { L } / 2$ + +By a method similar to (22), we can also show that + +$$ +\operatorname* { s u p } _ { \Delta \in \mathcal { S } _ { 2 K } } \mathbb { E } \left\| \Delta \right\| _ { n } ^ { 2 } - \left\| \Delta \right\| _ { n } ^ { 2 } \leq ( 1 - 5 \varepsilon ) ^ { - 1 } \operatorname* { m a x } _ { 1 \leq j \leq N ( 2 K , \varepsilon ) } \mathbb { E } \left\| \bar { \Delta } _ { j } \right\| _ { n } ^ { 2 } - \left\| \bar { \Delta } _ { j } \right\| _ { n } ^ { 2 } , +$$ + +which, together with (21), leads to + +$$ +\mathbb { P } \left\{ \operatorname* { s u p } _ { \Delta \in { \mathcal S } _ { 2 K } } \mathbb { E } \left\| \Delta \right\| _ { n } ^ { 2 } - \left\| \Delta \right\| _ { n } ^ { 2 } \geq \frac { \kappa _ { L } } { 2 } \right\} \leq 2 \exp \left\{ - c _ { \mathrm { H } } n \left( \frac { \kappa _ { L } } { 4 \kappa _ { U } } \right) ^ { 2 } + 9 d _ { \mathcal { M } } \right\} , +$$ + +where $t = \kappa _ { L } / 2$ and $\varepsilon = 1 / 1 0$ . As a result, + +$$ +\mathbb { P } \left\{ \operatorname* { i n f } _ { \Delta \in \mathcal { S } _ { 2 K } } \| \Delta \| _ { n } ^ { 2 } \leq \alpha _ { \mathrm { R S C } } \right\} \leq 2 \exp \left\{ - c _ { \mathrm { H } } n \left( \frac { \kappa _ { L } } { 4 \kappa _ { U } } \right) ^ { 2 } + 9 d _ { \mathcal { M } } \right\} , +$$ + +where $\alpha _ { \mathrm { R S C } } = \kappa _ { L } - \kappa _ { L } / 2$ . This, together with (23), accomplishes the proof. + +Lemma 3. (Concentration bound for martingale) Let $\{ \xi ^ { i } , 1 \le i \le n \}$ be independent $\sigma ^ { 2 }$ -subGaussian random variables with mean zero, and $\{ z ^ { i } , 1 \leq i \leq n \}$ is another sequence of random variables. Suppose that $\xi ^ { i }$ is independent of $\{ z ^ { i } , z ^ { i - 1 } , \ldots , z ^ { 1 } \}$ for all $1 \leq i \leq n$ . It then holds that, for any real numbers $\alpha , \beta > 0$ , + +$$ +\mathbb { P } \left[ \left\{ \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \xi ^ { i } z ^ { i } \geq \alpha \right\} \cap \left\{ \frac { 1 } { n } \sum _ { i = 1 } ^ { n } ( z ^ { i } ) ^ { 2 } \leq \beta \right\} \right] \leq \exp \left( { - \frac { n \alpha ^ { 2 } } { 2 \sigma ^ { 2 } \beta } } \right) . +$$ + +Proof. We can prove the lemma by a method similar to Lemma 4.2 in Simchowitz et al. (2018). + +# A.4 CLASSIFICATION PROBLEMS + +Starting from Section 2.2, we know that, for each input tensor ${ \boldsymbol x }$ , the intermediate scalar output after convolution and pooling has the following form + +$$ +\mathrm { o u t p u t } = \langle \mathcal { X } , \sum _ { k = 1 } ^ { K } ( \mathfrak { B } _ { k } \otimes \mathcal { A } _ { k } ) \times _ { 1 } U _ { \mathcal { F } } ^ { ( 1 ) } \times _ { 2 } U _ { \mathcal { F } } ^ { ( 2 ) } \times _ { 3 } \cdots \times _ { N } U _ { \mathcal { F } } ^ { ( N ) } \rangle = \langle \mathfrak { Z } , \mathcal { W } \rangle , +$$ + +wheris the $\begin{array} { r } { \mathbf { \mathcal { W } } = \sum _ { k = 1 } ^ { K } \mathbf { \mathcal { B } } _ { k } \otimes \mathbf { \mathcal { A } } _ { k } } \end{array}$ $\mathfrak { Z } = \mathfrak { X } \times _ { 1 } U _ { \mathcal { F } } ^ { ( 1 ) \prime } \times _ { 2 } U _ { \mathcal { F } } ^ { ( 2 ) \prime } \times _ { 3 } \cdot \cdot \cdot \times _ { N } U _ { \mathcal { F } } ^ { ( N ) \prime }$ )0 ×3 · · · ×N U (N )0F , Ak ∈ Rl1×l2×···×lN $k$ $\mathbf { \mathcal { B } } _ { k } \in \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times \cdots \times p _ { N } }$ + +Consider a binary classification problem. We have the binary label output $y \in \{ 0 , 1 \}$ with + +$$ +\rho ( y | \mathfrak { L } ) = \left( \frac { 1 } { 1 + \exp ( \langle \mathfrak { L } , \mathscr { W } \rangle ) } \right) ^ { 1 - y } \left( \frac { \exp ( \langle \mathfrak { L } , \mathscr { W } \rangle ) } { 1 + \exp ( \langle \mathfrak { L } , \mathscr { W } \rangle ) } \right) ^ { y } = \exp \left\{ y ( \mathfrak { L } , \mathscr { W } ) - \log \left[ 1 + \exp ( \langle \mathfrak { L } , \mathscr { W } \rangle ) \right] ^ { y } \right\} , +$$ + +Suppose we have samples $\{ \mathfrak { Z } ^ { i } , \boldsymbol { y } ^ { i } \} _ { i = 1 } ^ { n }$ 1 , we use the negative log-likelihood function as our loss function. It is given, up to a scaling of $n ^ { - 1 }$ by + +$$ +\mathcal { L } _ { n } ( \pmb { \mathscr { W } } ) = - \frac { 1 } { n } \sum _ { i = 1 } ^ { n } y ^ { i } \langle \pmb { \mathscr { Z } } ^ { i } , \pmb { \mathscr { W } } \rangle + \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \phi ( \langle \pmb { \mathscr { Z } } ^ { i } , \pmb { \mathscr { W } } \rangle ) , +$$ + +where $\phi ( z ) = \log ( 1 + e ^ { z } )$ and its gradient and Hessian matrix is + +$$ +\begin{array} { r l } & { \displaystyle \nabla \mathcal { L } _ { n } ( \mathcal { W } ) = \frac { \partial \mathcal { L } _ { n } ( \mathcal { W } ) } { \partial \mathrm { v e c } ( \mathcal { W } ) } = - \frac { 1 } { n } \displaystyle \sum _ { i = 1 } ^ { n } y ^ { i } \mathrm { v e c } ( \Xi ^ { i } ) + \frac { 1 } { n } \displaystyle \sum _ { i = 1 } ^ { n } \phi ^ { \prime } ( \langle \Xi ^ { i } , \mathcal { W } \rangle ) \mathrm { v e c } ( \Xi ^ { i } ) \mathrm { a n d } , } \\ & { \displaystyle H _ { n } ( \mathcal { W } ) = \frac { \partial ^ { 2 } \mathcal { L } _ { n } ( \mathcal { W } ) } { \partial ^ { 2 } \mathrm { v e c } ( \mathcal { W } ) } = \frac { 1 } { n } \displaystyle \sum _ { i = 1 } ^ { n } \phi ^ { \prime \prime } ( \langle \Xi ^ { i } , \mathcal { W } \rangle ) \mathrm { v e c } ( \Xi ^ { i } ) \mathrm { v e c } ( \Xi ^ { i } ) ^ { \prime } , } \end{array} +$$ + +with $\phi ^ { \prime } ( z ) = 1 / ( 1 + e ^ { - z } ) \in ( 0 , 1 )$ and $\phi ^ { \prime \prime } ( z ) = e ^ { z } / ( 1 + e ^ { z } ) ^ { 2 } = 1 / ( e ^ { - z } + 2 + e ^ { z } ) \in ( 0 , 0 . 2 5 )$ [because $e ^ { - z } + e ^ { z } \geq 2 ]$ . Since $H _ { n } ( \aleph )$ is a positive semi-definite matrix, our loss function in (24) is convex. + +Suppose $\widehat { \mathcal W }$ is the minimizer to the loss function + +$$ +\widehat { \pmb { w } } \in \underset { \pmb { w } \in \widehat { S } _ { K } \cap \mathbb { B } ( R ) } { \arg \operatorname* { m i n } } \mathcal { L } _ { \boldsymbol { n } } ( \pmb { w } ) , +$$ + +where Frobe $\begin{array} { r } { \widehat { \mathcal { S } } _ { K } = \{ \sum _ { k = 1 } ^ { K } \mathbf { 1 } _ { k } \otimes \pmb { \mathscr { A } } _ { k } : \pmb { \mathscr { A } } _ { k } \in \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times \cdots \times l _ { N } } } \end{array}$ and nderl $\mathfrak { B } _ { k } \in \mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times \dots \times p _ { N } } \}$ , and $\mathbb { B } ( R )$ is a $R$ + +Similar to Fan et al. (2019), we need to make two additional assumptions to guarantee the locally strong convexity condition. + +Assumption 4 (Classification). Apart from Assumptions 2-3, we additionally assume that + +$( C l ) \{ \mathrm { v e c } ( \mathbf { X } ^ { i } ) \} _ { i = 1 } ^ { n }$ are i.i.d gaussian vectors with mean zero and variance $\pmb { \Sigma }$ , where $\Sigma \leq C _ { x } I$ + +$( C 2 )$ the Hessian matrix at the underlying true parameter $\boldsymbol { w ^ { * } }$ is positive definite and there exists some $\kappa _ { 0 } > \kappa _ { U } > 0$ , such that $H ( \mathcal { W } ^ { * } ) = \mathbb { E } ( H _ { n } ( \mathcal { W } ^ { * } ) ) \geq \kappa _ { 0 } \cdot I$ , where $\kappa _ { U } = C _ { x } C _ { u }$ ; + +(C3) $\lVert \boldsymbol { \mathcal { W } } ^ { * } \rVert _ { \mathrm { F } } \geq \alpha \sqrt { d _ { \boldsymbol { \mathcal { M } } } }$ for some constant $\alpha$ , where $d _ { \mathcal { M } } = K ( P + L + 1 )$ . + +Notice that we can relax (C1) into Assumption 1, but it will require more techincal details. Also, $\{ \mathrm { v e c } ( \mathbf { \mathcal { X } } ^ { i } ) \} _ { i = 1 } ^ { n }$ can be sub-gaussian random vectors instead of gaussian random vectors. + +Denote $d _ { \mathcal { M } } = K ( P + L + 1 )$ . + +Theorem 3 (Classification: CNN). Suppose that Assumptions 2&3 and Assumption $^ { 4 }$ hold and $n \gtrsim d _ { \mathcal { M } }$ . Then, for some $\delta > 0$ , + +$$ +\Vert \widehat { \mathcal { W } } - \mathcal { W ^ { * } } \Vert _ { \mathrm { F } } \leq \frac { 2 \sqrt { \kappa _ { U } } } { \kappa _ { 1 } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , +$$ + +with probability $1 - 4 \exp \left\{ - 0 . 2 5 c n + 9 d _ { \mathcal { M } } \right\} - 2 \exp \left\{ - c _ { \gamma } d _ { \mathcal { M } } - c \delta \right\}$ , where $\delta = O _ { p } ( 1 )$ , c and $c _ { \gamma }$ are some positive constants. + +$$ +\begin{array} { r } { d _ { \mathcal { M } } ^ { \mathrm { T U } } = \prod _ { j = 1 } ^ { N + 1 } R _ { j } + \sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P \mathrm { ~ a n d } d _ { \mathcal { M } } ^ { \mathrm { C P } } = R ^ { N + 1 } + R ( \sum _ { i = 1 } ^ { N } l _ { i } + P ) . } \end{array} +$$ + +Corollary 2 (Classification: Compressed CNN). Let $( \widehat { \mathcal { W } } , d _ { \mathcal { M } } )$ be $( \widehat { \sf w } _ { \mathrm { T U } } , d _ { \mathcal { M } } ^ { \mathrm { T U } } )$ for Tucker decomposition, or $( \widehat { \sf w } _ { \mathrm { C P } } , d _ { \mathcal { M } } ^ { \mathrm { C P } } )$ for $C P$ decomposition. Suppose that Assumptions in Theorem 3 hold and $n \gtrsim c _ { N } d _ { \mathcal { M } }$ . Then, for some $\delta > 0$ , + +$$ +\| \widehat { \mathcal { W } } - \mathcal { W } ^ { * } \| _ { \mathrm { F } } \leq \frac { 2 \sqrt { \kappa _ { U } } } { \kappa _ { 1 } } \left( \sqrt { \frac { 3 c _ { N } d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , +$$ + +with probability $1 - 4 \exp \left\{ - 0 . 2 5 c n + 3 c _ { N } d _ { \mathcal { M } } \right\} - 2 \exp \left\{ - c _ { \gamma } d _ { \mathcal { M } } - c \delta \right\}$ , where $\delta = O _ { p } ( 1 )$ , c and $c _ { \gamma }$ are some positive constants, and $c _ { N }$ is defined as in Theorem 2. + +We consider a binary classification problem as a simple illustration. In fact, the analysis framework can be easily extended to a multiclass classification problem. Here, we consider a $M$ -class classification problem. + +Because we need our intermediate output after convolution and pooling to be a vector of length $M$ , instead of a scalar, we need to introduce one additional dimension to the fully-connected weight tensor. Hence, we introduce another subscript $m$ to represent the class label. And the set of fullyconnected weights is represented as $\{ \mathbf { \mathcal { B } } _ { k , m } \} _ { 1 \leq k \leq K , 1 \leq m \leq M }$ where each $\boldsymbol { \mathcal { B } } _ { k , m }$ is of size $p _ { 1 } \times p _ { 2 } \times$ $\cdots \times p _ { N }$ . + +Then, for each input tensor ${ \boldsymbol x }$ , our intermediate output is a vector of size $M$ , where the $m$ th entry is represented by + +$$ +\begin{array} { r } { \operatorname * { o u t p u t } _ { m } = \langle \Xi , \mathcal { W } _ { m } \rangle , } \end{array} +$$ + +where $\begin{array} { r } { \pmb { \mathscr { W } } _ { m } = \sum _ { k = 1 } ^ { K } ( \pmb { \mathscr { B } } _ { k , m } \otimes \pmb { \mathscr { A } } _ { k } ) } \end{array}$ is an $N$ -th order tensor of size $l _ { 1 } p _ { 1 } \times l _ { 2 } p _ { 2 } \times \cdot \cdot \cdot \times l _ { N } p _ { N } .$ + +For a $M$ -class classification problem, we have the vector label output $\pmb { y } \in ( 0 , 1 ) ^ { M }$ . Essentially, each entry of $\textbf { { y } }$ comes from a different binary classification problem, with $M$ problems in total. We can model it as + +$$ +\begin{array} { r l r } { { p ( y _ { m } | \mathfrak { Z } ) = ( \frac { 1 } { 1 + \exp ( \langle \mathfrak { Z } , \mathcal { W } _ { m } \rangle ) } ) ^ { 1 - y _ { m } } ( \frac { \exp ( \langle \mathfrak { Z } , \mathcal { W } _ { m } \rangle ) } { 1 + \exp ( \langle \mathfrak { Z } , \mathcal { W } _ { m } \rangle ) } ) ^ { y _ { m } } } } \\ & { } & { = \exp \{ y _ { m } \langle \mathfrak { Z } , \mathcal { W } _ { m } \rangle - \log [ 1 + \exp ( \langle \mathfrak { Z } , \mathcal { W } _ { m } \rangle ) ] \} } \end{array} +$$ + +If we stack $\{ \aleph _ { m } \} _ { m = 1 } ^ { M }$ into a tensor ${ \boldsymbol { \mathsf { W } } } _ { \mathrm { s t a c k } }$ , which is an $N + 1$ -order tensor of size $l _ { 1 } p _ { 1 } \times l _ { 2 } p _ { 2 } \times$ $\dots \times l _ { N } p _ { N } \times M$ . And we further introduce some natural basis vectors $\{ e _ { m } \in \mathbb { R } ^ { M } \} _ { m = 1 } ^ { M ^ { \setminus } }$ M }Mm=1. It can be shown that + +$$ +\langle \Xi ^ { i } , \mathcal { W } _ { m } \rangle = \langle \underbrace { \mathfrak { T } ^ { i } \circ e _ { m } } _ { \mathfrak { Z } _ { m } ^ { i } } , \mathcal { W } _ { \mathrm { s t a c k } } \rangle , +$$ + +where $\circ$ is the outer product. + +We can then recast this model into one with $n M$ samples $\{ \mathfrak { Z } _ { m } ^ { i } , y _ { m } ^ { i } : 1 \leq k \leq K , 1 \leq m \leq M \}$ . The corresponding loss function is + +$$ +\mathcal { L } _ { n } ( \mathcal { W } _ { \mathrm { s t a c k } } ) = - \frac { 1 } { n M } \sum _ { m = 1 } ^ { M } \sum _ { i = 1 } ^ { n } y ^ { i } \langle \Xi _ { m } ^ { i } , \mathcal { W } _ { \mathrm { s t a c k } } \rangle + \frac { 1 } { n M } \sum _ { m = 1 } ^ { M } \sum _ { i = 1 } ^ { n } \phi ( \langle \Xi _ { m } ^ { i } , \mathcal { W } _ { \mathrm { s t a c k } } \rangle ) . +$$ + +We can now use the techniques in Theorem 3 to show the following corollaries for multiclass classification problem. + +Denote $d _ { \mathcal { M } } ^ { \mathrm { M C } } = K ( M P + L + 1 )$ + +Corollary 3 (Multiclass Classification: CNN). Under similar assumptions as in Theorem 3, suppose that $n \gtrsim \bar { d } _ { \mathcal { M } } ^ { \mathrm { M C } }$ . Then, for some $\delta > 0$ , + +$$ +\Vert \widehat { \mathcal { W } } _ { \mathrm { s t a c k } } - \mathcal { W } _ { \mathrm { s t a c k } } ^ { * } \Vert _ { \mathrm { F } } \leq \frac { 2 \sqrt { \kappa _ { U } } } { \kappa _ { 1 } } \left( \sqrt { \frac { d _ { M } ^ { \mathrm { M C } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , +$$ + +with probability $1 - 4 \exp \big \{ - 0 . 2 5 c n + 9 d _ { \mathcal { M } } ^ { \mathrm { M C } } \big \} - 2 \exp \big \{ - c _ { \gamma } d _ { \mathcal { M } } ^ { \mathrm { M C } } - c \delta \big \} ,$ where $\delta = O _ { p } ( 1 )$ , c and $c _ { \gamma }$ are some positive constants. + +Denote $\begin{array} { r } { d _ { \mathcal { M } } ^ { \mathrm { M C - T U } } = \prod _ { j = 1 } ^ { N + 1 } R _ { j } + \sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P M } \end{array}$ and $d _ { \mathcal { M } } ^ { \mathrm { M C - C P } } = R ^ { N + 1 } + R ( \sum _ { i = 1 } ^ { N } l _ { i } +$ $P M )$ . + +Corollary 4 (Multiclass Classification: Compressed CNN). Let $( \widehat { \pmb { \mathscr { W } } } _ { \mathbf { s t a c k } } , d _ { \mathcal { M } } ^ { \mathrm { M C } } )$ be $( \widehat { \mathcal { W } } _ { \mathrm { s t a c k , T U } } , d _ { \mathcal { M } } ^ { \mathrm { M C - T U } } )$ for Tucker decomposition, or $( \widehat { \pmb { \mathscr { W } } } _ { \mathrm { s t a c k , C P } } , d _ { \mathcal { M } } ^ { \mathrm { M C - C P } } )$ c for $C P$ M decomposition. Suppose that Assumptions in Theorem hold and $n ~ \stackrel { > } { \sim } ~ c _ { N } d _ { \mathcal { M } } ^ { \mathrm { m u l t i } }$ . Then, for some $\delta > 0$ , + +$$ +\| \widehat { \mathcal { W } } _ { \mathrm { s t a c k } } - \mathcal { W } _ { \mathrm { s t a c k } } ^ { * } \| _ { \mathrm { F } } \leq \frac { 2 \sqrt { \kappa _ { U } } } { \kappa _ { 1 } } \left( \sqrt { \frac { 3 c _ { N } d _ { \mathcal { M } } ^ { \mathrm { M C } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , +$$ + +with probability $1 - 4 \exp \left\{ - 0 . 2 5 c n + 3 c _ { N } d _ { \mathcal { M } } ^ { \mathrm { M C } } \right\} - 2 \exp \left\{ - c _ { \gamma } d _ { \mathcal { M } } ^ { \mathrm { M C } } - c \delta \right\} ,$ , where $\delta = O _ { p } ( 1 )$ , $c$ and $c _ { \gamma }$ are some positive constants, and $c _ { N }$ is defined as in Theorem 2. + +Proof of Theorem 3. Denote the sets $\begin{array} { r } { \widehat { \mathcal { S } } _ { K } = \{ \sum _ { k = 1 } ^ { K } \mathbf { 1 } _ { k } \otimes \mathbf { 1 } _ { k } : \mathbf { 1 } _ { k } \in \mathbb { R } ^ { l _ { 1 } \times l _ { 2 } \times \cdots \times l _ { N } } } \end{array}$ and $\mathbf { \mathcal { B } } _ { k } \ \in$ $\mathbb { R } ^ { p _ { 1 } \times p _ { 2 } \times \dots \times p _ { N } } \}$ and $S _ { K } = \{ \pmb { \mathscr { W } } \in \widehat { S } _ { K } : \| \pmb { \mathscr { W } } \| _ { \mathrm { F } } = 1 \}$ . We further denote $\Delta = \operatorname { v e c } ( \boldsymbol { \mathsf { W } } - \boldsymbol { \mathsf { W } } ^ { * } )$ , where $\boldsymbol { w ^ { * } }$ is the underlying true parameter and $w , \dot { w } ^ { \ast } \in \widehat { S } _ { K }$ , and define the first-order Taylor error + +$$ +\pmb { \mathcal { E } } _ { n } ( \pmb { \Delta } ) = \mathcal { L } _ { n } ( \pmb { \mathcal { W } } ) - \mathcal { L } _ { n } ( \pmb { \mathcal { W } } ^ { * } ) - \langle \nabla \mathcal { L } _ { n } ( \pmb { \mathcal { W } } ^ { * } ) , \pmb { \Delta } \rangle . +$$ + +Suppose $\widehat { \mathcal W }$ is the minimizer for the loss function, i.e., + +$$ +\widehat { \pmb { \mathscr { W } } } = \underset { \pmb { \mathscr { W } } \in \widehat { S } _ { K } } { \arg \operatorname* { m i n } } \mathcal { L } _ { n } ( \pmb { \mathscr { W } } ) . +$$ + +Denote $\widehat { \Delta } = \mathrm { v e c } ( \widehat { \mathcal { W } } - \mathcal { W } ^ { * } )$ . We then have + +$\mathcal { L } _ { n } ( \widehat { \mathbb { W } } ) - \mathcal { L } _ { n } ( \mathbb { W } ^ { * } ) \leq 0$ , which can be rearranged into $\begin{array} { r } { \pmb { \mathcal { E } } _ { n } ( \widehat { \Delta } ) \leq - \left. \nabla \mathcal { L } _ { n } ( \pmb { \mathcal { W } } ^ { * } ) , \widehat { \Delta } \right. } \end{array}$ + +Then, for some $\widetilde { w }$ between $\widehat { \mathcal W }$ and $\boldsymbol { w ^ { * } }$ , + +$$ +\frac { 1 } { 2 } \widehat { \Delta } ^ { \prime } H _ { n } ( \widetilde { \pmb { \mathscr { W } } } ) \widehat { \Delta } \leq \left| \left. \nabla \mathcal { L } _ { n } ( \pmb { \mathscr { W } } ^ { * } ) , \widehat { \Delta } \right. \right| , +$$ + +which leads to + +$$ +\| \widehat { \boldsymbol { \Delta } } \| _ { \mathrm { F } } ^ { 2 } \operatorname* { s u p } _ { { \boldsymbol { \Delta } } \in S _ { 2 K } } { \boldsymbol { \Delta } } ^ { \prime } H _ { n } ( \widetilde { \mathcal { W } } ) { \boldsymbol { \Delta } } \leq 2 \| \widehat { \boldsymbol { \Delta } } \| _ { \mathrm { F } } \operatorname* { s u p } _ { { \boldsymbol { \Delta } } \in S _ { 2 K } } | \langle \nabla { \mathcal { L } } _ { n } ( \mathcal { W } ^ { * } ) , { \boldsymbol { \Delta } } \rangle | . +$$ + +From Lemma 4 and Lemma 5, when $n \gtrsim d _ { \mathcal { M } }$ , we obtain that, for some $\delta > 0$ , + +$$ +\Vert \widehat { \mathcal { W } } - \mathcal { W } ^ { * } \Vert _ { \mathrm { F } } \leq \frac { 2 \sqrt { \kappa _ { U } } } { \kappa _ { 1 } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) , +$$ + +with probability $1 - 4 \exp \left\{ - 0 . 2 5 c n + 9 d _ { \mathcal { M } } \right\} - 2 \exp \left\{ - c _ { \gamma } d _ { \mathcal { M } } - c \delta \right\} .$ + +Now we proof several lemmas to be used in Theorem 3. For simplicity of notation, denote $\mathbf { \delta } _ { \mathbf { \mathcal { X } } ^ { i } } = \mathbf { \delta } _ { }$ $\mathrm { v e c } ( \mathbf { \mathcal { X } } ^ { i } )$ and $z ^ { i } = \mathrm { v e c } ( \mathfrak { Z } ^ { i } )$ . It holds that $\pmb { z } ^ { i } = \pmb { U } _ { G } \pmb { x } ^ { i }$ , for $1 \leq i \leq n$ . + +Lemma 4 (Deviation bound). Under Assumption $4 ( C 3 )$ , suppose that $n \gtrsim d _ { { \mathcal { M } } }$ , then, for some $\delta > 0$ , + +$$ +\mathbb { P } \left\{ \underset { \Delta \in S _ { 2 K } } { \operatorname* { s u p } } \left| \langle \nabla \mathcal { L } _ { n } ( \mathcal { W } ^ { * } ) , \Delta \rangle \right| \geq 0 . 5 \sqrt { \kappa _ { U } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) \right\} \leq 2 \exp \left\{ - c _ { \gamma } d _ { \mathcal { M } } \right\} , +$$ + +where $\delta = O _ { p } ( 1 )$ , $d _ { \mathcal { M } } = K ( P + L + 1 )$ , $\kappa _ { U } = C _ { x } C _ { u }$ and $c _ { \gamma }$ is some positive constant. + +Proof. Let $\eta ^ { i } = \langle \Xi ^ { i } , { \mathcal { W } } ^ { * } \rangle$ , and from (25), + +$$ +\langle \nabla \mathcal { L } _ { n } ( \pmb { \mathcal { W } } ^ { * } ) , \pmb { \Delta } \rangle = \frac { 1 } { n } \sum _ { i = 1 } ^ { n } [ \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } ] \langle z ^ { i } , \pmb { \Delta } \rangle , +$$ + +and we can observe that + +$$ +\mathbb { E } \{ [ \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } ] \langle z ^ { i } , \Delta \rangle \} = \mathbb { E } \{ \mathbb { E } [ \phi ^ { \prime } ( \eta ^ { i } ) - y | z ] \langle z ^ { i } , \Delta \rangle \} = 0 = \mathbb { E } [ \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } ] \mathbb { E } [ \langle z ^ { i } , \Delta \rangle ] . +$$ + +It implies (i) $\mathbb { E } \langle \nabla \mathcal { L } _ { n } ( \boldsymbol { \mathsf { W } } ^ { * } ) , \boldsymbol { \Delta } \rangle = 0$ , (ii) the independence between $\phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i }$ and $\langle z ^ { i } , \Delta \rangle$ . And from Lemma 6, the independence leads to $\| [ \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } ] \langle z ^ { i } , \Delta \rangle \| _ { \psi _ { 1 } } \leq \| \dot { \phi ^ { \prime } } ( \eta ^ { i } ) - y ^ { i } \| _ { \psi _ { 2 } } \| \langle z ^ { i } , \dot { \Delta } \rangle \| _ { \psi _ { 2 } }$ . Denote $\kappa _ { U } = C _ { x } C _ { u }$ . For any fixed $\pmb { \Delta }$ such that $\| \Delta \| _ { 2 } = 1$ , + +$$ +\begin{array} { r } { \| \langle z ^ { i } , \Delta \rangle \| _ { \psi _ { 2 } } = \| \langle { \pmb w } ^ { i } , { \pmb \Sigma } ^ { 1 / 2 } U _ { G } { \pmb \Delta } \rangle \| _ { \psi _ { 2 } } \leq \sqrt { \kappa _ { U } } . } \end{array} +$$ + +This, together with $\| \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } \| _ { \psi _ { 2 } } \leq 0 . 2 5$ in Lemma 7, gives us + +$$ +\| [ \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } ] \langle z ^ { i } , \Delta \rangle \| _ { \psi _ { 1 } } \leq 0 . 2 5 \sqrt { \kappa _ { U } } . +$$ + +Then, we can use the Beinstein-type inequality, namely Corollary 5.17 in (Vershynin, 2010) to derive that, for any fixed $\pmb { \Delta }$ with unit $l _ { 2 }$ -norm, + +$$ +\begin{array} { r l } & { \mathbb { P } \left\{ | \langle \nabla { \mathcal L } _ { n } ( \pmb { \mathcal W } ^ { * } ) , \pmb { \Delta } \rangle | \geq t \right\} = \mathbb { P } \left\{ \frac { 1 } { n } \left| \displaystyle \sum _ { i = 1 } ^ { n } [ \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } ] \langle z ^ { i } , \pmb { \Delta } \rangle \right| \geq t \right\} } \\ & { \qquad \leq 2 \exp \left\{ - c n \operatorname* { m i n } \left( \frac { 4 t } { \sqrt { \kappa _ { U } } } , \frac { 1 6 t ^ { 2 } } { \kappa _ { U } } \right) \right\} . } \end{array} +$$ + +Consider a $\varepsilon$ -net $\bar { S } _ { 2 K }$ , with the cardinality of $\mathcal { N } ( 2 K , \varepsilon )$ , for the set $S _ { 2 K }$ . For any $\Delta \in { \cal S } _ { 2 K }$ , there exists a $\bar { \Delta } _ { j } \in \bar { \mathcal { S } } _ { 2 K }$ such that $\| \pmb { \Delta } - \bar { \pmb { \Delta } } _ { j } \| _ { \mathrm { F } } \leq \varepsilon$ . Note that $\Delta - \bar { \Delta } _ { j } \in \widehat { S } _ { 4 K }$ and, from Lemma 1(a), we can further find $\Delta _ { 1 } , \Delta _ { 2 } \in \widehat { S } _ { 2 K }$ such that $\langle \pmb { \Delta } _ { 1 } , \pmb { \Delta } _ { 2 } \rangle = 0$ and $\Delta - \bar { \Delta } _ { j } = \Delta _ { 1 } + \Delta _ { 2 }$ . It then holds that $\| \pmb { \Delta } _ { 1 } \| _ { \mathrm { F } } + \| \pmb { \Delta } _ { 2 } \| _ { \mathrm { F } } \leq \sqrt { 2 } \| \pmb { \Delta } - \pmb { \bar { \Delta } } _ { j } \| _ { \mathrm { F } } \leq \sqrt { 2 } \varepsilon$ since $\| \pmb { \Delta } - \bar { \pmb { \Delta } } _ { j } \| _ { \mathrm { F } } ^ { 2 } = \| \pmb { \Delta } _ { 1 } \| _ { \mathrm { F } } ^ { 2 } + \| \pmb { \Delta } _ { 2 } \| _ { \mathrm { F } } ^ { 2 }$ . As a result, + +$$ +\begin{array} { r l } & { | \langle \nabla { \mathcal { L } } _ { n } ( { \mathcal { W } } ^ { * } ) , \Delta \rangle | = \left| \langle \nabla { \mathcal { L } } _ { n } ( { \mathcal { W } } ^ { * } ) , \bar { \Delta } _ { j } \rangle \right| + \left| \langle \nabla { \mathcal { L } } _ { n } ( { \mathcal { W } } ^ { * } ) , \Delta _ { 1 } \rangle \right| + | \langle \nabla { \mathcal { L } } _ { n } ( { \mathcal { W } } ^ { * } ) , \Delta _ { 2 } \rangle | } \\ & { \qquad \leq \underset { 1 \leq j \leq N ( 2 K , \varepsilon ) } { \operatorname* { m a x } } \left| \langle \nabla { \mathcal { L } } _ { n } ( { \mathcal { W } } ^ { * } ) , \bar { \Delta } _ { j } \rangle \right| + \sqrt { 2 } \varepsilon \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } \left| \langle \nabla { \mathcal { L } } _ { n } ( { \mathcal { W } } ^ { * } ) , \Delta \rangle \right| , } \end{array} +$$ + +which leads to + +$$ +\operatorname* { s u p } _ { \Delta \in \mathcal { S } _ { 2 K } } | \langle \nabla { \mathcal { L } } _ { n } ( \mathcal { W } ^ { * } ) , \Delta \rangle | \leq ( 1 - \sqrt { 2 } \varepsilon ) ^ { - 1 } \operatorname* { m a x } _ { 1 \leq j \leq \mathcal { N } ( 2 K , \varepsilon ) } \left| \langle \nabla { \mathcal { L } } _ { n } ( \mathcal { W } ^ { * } ) , { \bar { \Delta } } _ { j } \rangle \right| . +$$ + +Note that, from Lemma 1(b), $\log \mathcal { N } ( 2 K , \varepsilon ) \leq 2 d _ { \mathcal { M } } \log ( 9 / \varepsilon )$ , where $d _ { \mathcal { M } } = K ( P + L + 1 )$ . Let $\varepsilon = ( 2 \sqrt { 2 } ) ^ { - 1 }$ and then $2 \log ( 9 / \varepsilon ) < 7$ . With (28), we can show that + +$$ +\mathbb { P } \left\{ \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } | \langle \nabla \mathcal { L } _ { n } ( \mathcal { W } ^ { * } ) , \Delta \rangle | \geq 2 t \right\} \leq 2 \exp \left\{ - c n \operatorname* { m i n } \left( \frac { 4 t } { \sqrt { \kappa _ { U } } } , \frac { 1 6 t ^ { 2 } } { \kappa _ { U } } \right) + 7 d _ { \mathcal { M } } \right\} . +$$ + +Take $t = 0 . 2 5 \sqrt { \kappa _ { U } } ( \sqrt { d _ { \mathscr { M } } / n } + \sqrt { \delta / n } )$ where $\delta \ = \ O _ { p } ( 1 )$ , and there exists some $\gamma$ such that $\sqrt { d _ { \mathcal { M } } / n } \le \gamma$ holds. We can finally show that + +$$ +\mathbb { P } \left\{ \operatorname* { s u p } _ { \Delta \in { \mathcal { S } _ { 2 K } } } | \langle \nabla { \mathcal { L } } _ { n } ( \mathcal { W } ^ { * } ) , \Delta \rangle | \geq 0 . 5 \sqrt { \kappa _ { U } } \left( \sqrt { \frac { d _ { \mathcal { M } } } { n } } + \sqrt { \frac { \delta } { n } } \right) \right\} \leq 2 \exp \left\{ - c _ { \gamma } d _ { \mathcal { M } } - c \delta \right\} , +$$ + +where $c _ { \gamma }$ is some positive constant related to $\gamma$ . + +Lemma 5 (LRSC). Suppose that $n \gtrsim d _ { { \mathcal { M } } }$ , under Assumptions 4, there exists some constant $R > 0$ , such that for any $\boldsymbol { w } \in \widehat { \mathcal { S } } _ { 2 K }$ satisfying $\| \boldsymbol { \mathsf { W } } - \boldsymbol { \mathsf { W } } ^ { * } \| _ { \mathrm { F } } \leq R ,$ , + +$$ +\operatorname* { i n f } _ { \pmb { \Delta } \in S _ { 2 K } } \pmb { \Delta } ^ { \prime } \pmb { H } _ { n } ( \pmb { \mathcal { W } } ) \pmb { \Delta } \geq \frac { \widetilde { \kappa } _ { 1 } } { 2 } +$$ + +holds with probability + +$$ +1 - 4 \exp \left\{ - 0 . 2 5 c n + 9 d _ { \cal M } \right\} , +$$ + +where $\widetilde { \kappa } _ { 1 } = \kappa _ { 1 } - \kappa _ { U }$ . And $\kappa _ { 1 }$ is defined in Lemma 8. + +Proof. We divide this proof into two parts. + +1. RSC of ${ \mathcal { L } } _ { n } ( \aleph )$ at $\boldsymbol { \mathsf { W } } = \boldsymbol { \mathsf { W } } ^ { * }$ . + +We first show that, for all $\Delta \mathrm { ~ \bf ~ \underline { ~ } { ~ \in ~ } ~ } { \cal S } _ { 2 K }$ , the following holds with probability at least 1 − $2 \exp \left\{ - 0 . 2 5 c ( \kappa _ { L } / \kappa _ { U } ) ^ { 2 } n + 9 d _ { \mathcal { M } } \right\}$ , + +$$ +\Delta ^ { \prime } H _ { n } ( \mathbb { W } ^ { * } ) \Delta \geq \widetilde { \kappa } , +$$ + +where $\widetilde { \kappa } = \kappa _ { 0 } - \kappa _ { L } > 0$ . + +Let $\eta ^ { i } = \langle \Xi ^ { i } , { \mathcal { W } } ^ { * } \rangle$ and denote $\widetilde { z } ^ { i } = \sqrt { \phi ^ { \prime \prime } ( \eta ^ { i } ) } z ^ { i }$ and we can see that + +$$ +\pmb { H } _ { n } ( \pmb { \mathcal { W } } ^ { * } ) = \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \widetilde { z } ^ { i } \widetilde { z } ^ { i \prime } \mathrm { a n d } , \quad \pmb { H } ( \pmb { \mathcal { W } } ^ { * } ) = \mathbb { E } \pmb { H } _ { n } ( \pmb { \mathcal { W } } ^ { * } ) . +$$ + +Denote $\pmb { x } ^ { i } = \mathrm { v e c } ( \pmb { \mathcal X } ^ { i } )$ . Here, for simplicity, we assume $\{ { \pmb x } ^ { i } \} _ { i = 1 } ^ { n }$ to be independent gaussian vectors with mean zero and covariance matrix $\pmb { \Sigma }$ , where $c _ { x } I \leq \Sigma \leq C _ { x } I$ for some $0 < c _ { x } < C _ { x }$ . We will also use the notation of $\pmb { \Delta }$ for its vectorized version, $\mathrm { v e c } ( \Delta )$ , and we consider $\pmb { \Delta }$ with unit $l _ { 2 }$ -norm. + +Since $\| \langle \pmb { \Delta } , \widetilde { \pmb { z } } ^ { i } \rangle \| _ { \psi _ { 2 } } = \| \langle \pmb { \Delta } , \sqrt { \phi ^ { \prime \prime } ( \eta ^ { i } ) } U _ { G } ^ { \prime } \pmb { \Sigma } ^ { 1 / 2 } \pmb { w } ^ { i } \rangle \| _ { \psi _ { 2 } } \le 0 . 2 5 \sqrt { \kappa _ { U } }$ , where $\mathbf { \Delta } w ^ { i }$ is a standard gaussian vector and $\kappa _ { U } = C _ { x } C _ { u }$ , we can show that + +$$ +\| \langle \pmb { \Delta } , \widetilde { z } ^ { i } \rangle ^ { 2 } - \mathbb { E } \left[ \langle \pmb { \Delta } , \widetilde { z } \rangle ^ { 2 } \right] \| _ { \psi _ { 1 } } \leq 2 \| \langle \pmb { \Delta } , \widetilde { z } ^ { i } \rangle ^ { 2 } \| _ { \psi _ { 1 } } \leq 4 \| \langle \pmb { \Delta } , \widetilde { z } ^ { i } \rangle \| _ { \psi _ { 2 } } ^ { 2 } \leq \kappa _ { U } , +$$ + +where the first inequality comes from Remark 5.18 in (Vershynin, 2010) and second inequality comes from Lemma 5.14 in (Vershynin, 2010). + +And hence, by the Beinstein-type inequality in Corollary 5.17 in (Vershynin, 2010), for any fixed $\pmb { \Delta }$ such that $\lVert \Delta \rVert _ { 2 } = 1$ , we have + +$$ +\begin{array} { r l } & { \mathbb { P } \left\{ \displaystyle \big | \Delta ^ { \prime } \big ( H _ { n } ( \mathcal { W } ^ { * } ) - H ( \mathcal { W } ^ { * } ) \big ) \Delta \big | \geq t \right\} = \mathbb { P } \left\{ \displaystyle \frac { 1 } { n } \left| \displaystyle \sum _ { i = 1 } ^ { n } \left\{ \langle \Delta , \tilde { z } ^ { i } \rangle ^ { 2 } - \mathbb { E } \left[ \langle \Delta , \tilde { z } \rangle ^ { 2 } \right] \right\} \right| \geq t \right\} } \\ & { \qquad \leq 2 \exp \left\{ - c n \operatorname* { m i n } \left( \frac { t } { \kappa _ { U } } , \frac { t ^ { 2 } } { \kappa _ { U } ^ { 2 } } \right) \right\} . } \end{array} +$$ + +With similar covering number argument as presented in Lemma 2 in our paper, we can show that, + +$$ +\mathbb P \left\{ \underset { \Delta \in S _ { 2 K } } { \operatorname* { s u p } } \left| \Delta ^ { \prime } ( H _ { n } ( \mathcal { W } ^ { * } ) - H ( \mathcal { W } ^ { * } ) ) \Delta \right| \geq 2 t \right\} \leq 2 \exp \left\{ - c n \operatorname* { m i n } \left( \frac { t } { \kappa _ { U } } , \frac { t ^ { 2 } } { \kappa _ { U } ^ { 2 } } \right) + 9 d _ { \mathcal { M } } \right\} , +$$ + +where $d _ { \mathcal { M } } = K ( P + L + 1 )$ . + +Llet $t = 0 . 5 \kappa _ { U }$ . By Assumption 4(C1), we can obtain that, when $n \gtrsim d _ { \mathcal { M } }$ + +$$ +\mathbb { P } \left\{ \operatorname* { i n f } _ { \Delta \in { \mathcal { S } } _ { 2 K } } \Delta ^ { \prime } H _ { n } ( \mathcal { W } ^ { * } ) \Delta \leq { \widetilde { \kappa } } \right\} \leq 2 \exp \left\{ - 0 . 2 5 c n + 9 d _ { \mathcal { M } } \right\} , +$$ + +where $\widetilde { \kappa } = \kappa _ { 0 } - \kappa _ { U } > 0$ . + +2. LRSC of ${ \mathcal { L } } _ { n } ( \aleph )$ around $\boldsymbol { \mathsf { W } } ^ { * }$ . + +Define the event $\begin{array} { r } { A = \{ | \langle \mathcal { W } ^ { * } , \Xi ^ { i } \rangle | > \tau \operatorname* { s u p } _ { \Delta \in S _ { 2 K } } | \langle \Delta , z ^ { i } \rangle | \} } \end{array}$ and construct the functions + +$$ +\pmb { h } _ { n } ( \pmb { \mathscr { W } } ) = \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \phi ^ { \prime \prime } ( \langle \pmb { \mathscr { G } } ^ { i } , \pmb { \mathscr { W } } \rangle ) \mathbb { I } _ { A } z ^ { i } z ^ { i \prime } \mathrm { a n d } , \quad \pmb { h } ( \pmb { \mathscr { W } } ) = \mathbb { E } \pmb { h } _ { n } ( \pmb { \mathscr { W } } ) , +$$ + +where $\tau$ is some positive constant to be selected according to Lemma 8. Since the difference between $h _ { n } ( \cdot )$ and $H _ { n } ( \cdot )$ is the indicator function, it holds that $H _ { n } ( \cdot ) \geq h _ { n } ( \cdot )$ . + +We will finish the proof of LRSC in two steps. Firstly, we show that, with high probability, $\boldsymbol { h } _ { n } ( \boldsymbol { w } ^ { * } )$ is positive definite on the restricted set $S _ { 2 K }$ . Secondly, we bound the difference between $\Delta ^ { \prime } h _ { n } ( \aleph ) \Delta$ and $\Delta ^ { \prime } h _ { n } ( \mathcal { W } ^ { \ast } ) \Delta$ , and hence show that $h _ { n } ( \aleph )$ is locally positive definite around $\boldsymbol { \mathsf { W } } ^ { * }$ . This naturally leads to the LRSC of ${ \mathcal { L } } _ { n } ( \aleph )$ around $\boldsymbol { \mathsf { W } } ^ { * }$ . + +From Lemma 8, we can select $\tau$ , such that $h ( \boldsymbol { \mathcal { W } } ^ { * } ) \geq \kappa _ { 1 } I$ . Following similar arguments as in the first part, we can show that for all $\Delta \in { \mathcal { S } } _ { 2 K }$ , the following holds with probability at least $1 - 2 \exp \left\{ - 0 . 2 5 c n + 9 d _ { \cal M } \right\}$ , + +$$ +\Delta ^ { \prime } h _ { n } ( \mathcal { W } ^ { * } ) \Delta \geq \widetilde { \kappa } _ { 1 } , +$$ + +where $\widetilde { \kappa } _ { 1 } = \kappa _ { 1 } - \kappa _ { U } > 0$ + +In the meanwhile, for any $\boldsymbol { w } \in \widehat { \boldsymbol { S } } _ { K }$ such that $\| \boldsymbol { \mathsf { W } } - \boldsymbol { \mathsf { W } } ^ { * } \| _ { \mathrm { F } } \leq R$ , where $R$ can be specified later to satisfy some conditions, + +$$ +\begin{array} { r l } { \displaystyle | h _ { n } ( \mathcal { W } ) - h _ { n } ( \mathcal { W } ^ { * } ) | = \left| \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \phi ^ { \prime \prime } ( \langle \Xi ^ { i } , \mathcal { W } \rangle ) \mathbb { I } _ { A } z ^ { i } z ^ { i \prime } - \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \phi ^ { \prime \prime } ( \langle \Xi ^ { i } , \mathcal { W } ^ { * } \rangle ) \mathbb { I } _ { A } z ^ { i } z ^ { i \prime } \right| } & { } \\ { \displaystyle \leq \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \left| \phi ^ { \prime \prime } ( \langle \Xi ^ { i } , \mathcal { W } \rangle ) - \phi ^ { \prime \prime } ( \langle \Xi ^ { i } , \mathcal { W } ^ { * } \rangle ) \right| \mathbb { I } _ { A } z ^ { i } z ^ { i \prime } } & { } \\ { \displaystyle = \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \left| \phi ^ { \prime \prime \prime } ( \langle \Xi ^ { i } , \bar { \mathcal { W } } \rangle ) \langle \Xi ^ { i } , \mathcal { W } - \mathcal { W } ^ { * } \rangle \right| \mathbb { I } _ { A } z ^ { i } z ^ { i \prime } , } & { } \end{array} +$$ + +where $\bar { \bf w }$ lies between $\boldsymbol { w }$ and $\boldsymbol { \mathsf { W } } ^ { * }$ , and $\phi ^ { \prime \prime \prime } ( z ) = e ^ { z } ( 1 - e ^ { z } ) / ( 1 + e ^ { z } ) ^ { 3 }$ . Given the event $A$ holds, choose $R < \tau$ , we can lower bound the term, + +$$ +| \langle \Xi ^ { i } , \bar { \pmb { w } } \rangle | \geq | \langle \Xi ^ { i } , \pmb { w } ^ { * } \rangle | - \operatorname* { s u p } _ { \substack { \Delta \in \hat { \cal S } _ { 2 K } , \| \Delta \| _ { \mathrm { F } } \leq R } } | \langle \Xi ^ { i } , \pmb { \Delta } \rangle | \leq ( \tau - R ) \operatorname* { s u p } _ { \substack { \Delta \in \hat { \cal S } _ { 2 K } } } | \langle \Xi ^ { i } , \pmb { \Delta } \rangle | . +$$ + +Notice that, for all $z ~ \in ~ \mathbb { R }$ , the third order derivative of the function $\phi ( z )$ is upper bounded as $| \phi ^ { \prime \prime \prime } ( z ) | \le 1 / | z |$ . This relationship helps us further bound the term, + +$$ +\begin{array} { r l } { \left| \phi ^ { \prime \prime \prime } ( \langle \mathfrak { Z } ^ { i } , \bar { \mathcal { W } } \rangle ) \langle \mathfrak { Z } ^ { i } , \mathcal { W } - \mathcal { W } ^ { * } \rangle \right| \leq \displaystyle \frac { | \langle \mathfrak { Z } ^ { i } , \mathcal { W } - \mathcal { W } ^ { * } \rangle | } { | \langle \mathfrak { Z } ^ { i } , \bar { \mathcal { W } } \rangle | } \leq \displaystyle \frac { \operatorname* { s u p } _ { \Delta \in \widehat { \mathcal { S } } _ { 2 K } , \| \Delta \| _ { \mathbb { P } \leq R } } | \langle \mathfrak { Z } ^ { i } , \Delta \rangle | } { ( \tau - R ) \operatorname* { s u p } _ { \Delta \in \mathcal { S } _ { 2 K } } | \langle \mathfrak { Z } ^ { i } , \Delta \rangle | } } & { } \\ { \leq \displaystyle \frac { R \operatorname* { s u p } _ { \Delta \in \mathcal { S } _ { 2 K } } | \langle \mathfrak { Z } ^ { i } , \Delta \rangle | } { ( \tau - R ) \operatorname* { s u p } _ { \Delta \in \mathcal { S } _ { 2 K } } | \langle \mathfrak { Z } ^ { i } , \Delta \rangle | } = \displaystyle \frac { R } { \tau - R } . } & { } \end{array} +$$ + +Hence, we can show that + +$$ +\mathbb { P } \left\{ \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } | \Delta ^ { \prime } [ h _ { n } ( \boldsymbol { \mathcal { W } } ) - h _ { n } ( \boldsymbol { \mathcal { W } } ^ { * } ) ] \Delta | \ge t \right\} \le \mathbb { P } \left\{ \frac { R } { \tau - R } \underset { \Delta \in \mathcal { S } _ { 2 K } } { \operatorname* { s u p } } \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \Delta ^ { \prime } z ^ { i } z ^ { i \prime } \Delta \ge t \right\} . +$$ + +By setting $t = \alpha _ { \mathrm { R S M } } R / ( \tau - R )$ , where $\alpha _ { \mathrm { R S M } } = 3 \kappa _ { U } / 2$ , we can use the equation (16) in Lemma 2 to obtain, as long as $n \gtrsim d _ { \mathcal { M } }$ , + +$$ +\mathbb { P } \left\{ \operatorname* { s u p } _ { \Delta \in \mathcal { S } _ { 2 K } } \left| \Delta ^ { \prime } [ h _ { n } ( \boldsymbol { \mathcal { W } } ) - h _ { n } ( \boldsymbol { \mathcal { W } } ^ { * } ) ] \Delta \right| \geq \frac { \alpha _ { \mathrm { R S M } } R } { \tau - R } \right\} \leq 2 \exp \left\{ - c _ { H } n + 9 d _ { \mathcal { M } } \right\} . +$$ + +By rearranging terms, this is equivalent to + +$$ +\mathbb P \left\{ \underbrace { \operatorname* { i n f } _ { \Delta \in S _ { 2 \kappa } } \Delta ^ { \prime } h _ { n } ( \mathcal W ) \Delta \leq \operatorname* { s u p } _ { \Delta \in S _ { 2 \kappa } } \Delta ^ { \prime } h _ { n } ( \mathcal W ^ { * } ) \Delta - \frac { \alpha _ { \mathrm { R S M } } R } { \tau - R } } _ { \mathrm { d e n o t e d a s t h e ~ e v e n t } B _ { 1 } } \right\} \leq 2 \exp \left\{ - c _ { H } n + 9 d _ { \mathcal M } \right\} . +$$ + +If we define the event $\begin{array} { r } { B _ { 2 } = \left\{ \operatorname* { i n f } _ { \Delta \in \mathcal { S } _ { 2 K } } { \Delta ^ { \prime } h _ { n } ( \mathcal { W } ^ { * } ) } \Delta \leq \widetilde { \kappa } _ { 1 } \right\} } \end{array}$ and denote its complementary event by $B _ { 2 } ^ { c }$ , and from (29), we know that $\mathbb { P } ( B _ { 2 } ) \le 2 \exp \left\{ - 0 . 2 5 c n + 9 d _ { \mathcal { M } } \right\}$ . It can be seen that + +$$ +\mathbb P \left( \left\{ \operatorname* { i n f } _ { \Delta \in \mathcal S _ { 2 K } } \Delta ^ { \prime } h _ { n } ( \pmb { \mathcal W } ) \Delta \leq \widetilde { \kappa } _ { 1 } - \frac { \alpha _ { \mathrm { R S M } } R } { \tau - R } \right\} \cap B _ { 2 } ^ { c } \right) \leq \mathbb P ( B _ { 1 } \cap B _ { 2 } ^ { c } ) \leq \mathbb P ( B _ { 1 } ) +$$ + +So, if we choose $R$ to be sufficiently small, such that $\alpha _ { \mathrm { R S M } } R / ( \tau - R ) \leq \widetilde { \kappa } _ { 1 } / 2$ , it holds that, + +$$ +\begin{array} { r } { \mathrm { \mathbb { P } } \left\{ \underset { \Delta \in S _ { 2 K } } { \operatorname* { i n f } } \Delta ^ { \prime } h _ { n } ( \mathcal { W } ) \Delta \leq \frac { \widetilde { \mathcal { R } } _ { 1 } } { 2 } \right\} \leq \mathbb { P } \left( \left\{ \underset { \Delta \in S _ { 2 K } } { \operatorname* { i n f } } \Delta ^ { \prime } h _ { n } ( \mathcal { W } ) \Delta \leq \widetilde { \kappa } _ { 1 } - \frac { \alpha _ { \mathrm { R S M } } R } { \tau - R } \right\} \cap B _ { 2 } ^ { c } \right) + \mathbb { P } ( B _ { 2 } ) . } \end{array} +$$ + +This, together with $H _ { n } ( \cdot ) \geq h _ { n } ( \cdot )$ , leads us to conclude that, when $n \gtrsim d _ { \mathcal { M } }$ , there exists some $R > 0$ , such that for any $\boldsymbol { w } \in \widehat { \mathcal { S } } _ { 2 K }$ satisfying $\| \boldsymbol { \mathsf { W } } - \boldsymbol { \mathsf { W } } ^ { * } \| _ { \mathrm { F } } \leq R$ , + +$$ +\operatorname* { i n f } _ { \Delta \in S _ { 2 K } } \Delta ^ { \prime } H _ { n } ( \mathcal { W } ) \Delta \geq \frac { \widetilde { \kappa } _ { 1 } } { 2 } , +$$ + +holds with probability + +$$ +1 - 2 \exp \left\{ - 0 . 2 5 c _ { H } n + 9 d _ { \mathcal { M } } \right\} - 2 \exp \left\{ - 0 . 2 5 c n + 9 d _ { \mathcal { M } } \right\} . +$$ + +We accomplished our proof of the LRSC of ${ \mathcal { L } } _ { n } ( \aleph )$ around $\boldsymbol { w ^ { * } }$ . + +Lemma 6. For two sub-gaussian random variables, $X$ and $Y$ , when $\mathbb { E } ( X Y ) = \mathbb { E } X \mathbb { E } Y$ , i.e. $X$ is independent to $Y$ , it holds that + +Lemma 7. + +$$ +\begin{array} { r } { \| X Y \| _ { \psi _ { 1 } } \leq \| X \| _ { \psi _ { 2 } } \| Y \| _ { \psi _ { 2 } } . } \\ { \| \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } \| _ { \psi _ { 2 } } \leq 0 . 2 5 . } \end{array} +$$ + +Proof. Firstly, we observe that + +$$ +\begin{array} { r l } & { \mathsf { E } \left( \exp \{ \lambda \left[ \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } \right] \} | z ^ { i } \right) = \exp \{ \lambda \phi ^ { \prime } ( \eta ^ { i } ) \} \exp \{ - \phi ( \eta ^ { i } ) \} + \{ \lambda \left[ \phi ^ { \prime } ( \eta ^ { i } ) - 1 \right] \} \exp \{ \eta ^ { i } - \phi ( \eta ^ { i } ) \} } \\ & { \phantom { \sum } = \exp \{ \lambda \phi ^ { \prime } ( \eta ^ { i } ) - \phi ( \eta ^ { i } ) \} [ 1 + \exp \{ \eta ^ { i } - \lambda \} ] } \\ & { \phantom { \sum } = \exp \{ \phi ( \eta ^ { i } - \lambda ) - \phi ( \eta ^ { i } ) + \lambda \phi ^ { \prime } ( \eta ^ { i } ) \} } \\ & { \phantom { \sum } = \exp \{ 0 . 5 \lambda ^ { 2 } \phi ^ { \prime \prime } ( \eta ^ { i } ) \} \le \exp \{ 0 . 1 2 5 \lambda ^ { 2 } \} . } \end{array} +$$ + +It then holds that $\begin{array} { r } { \mathbb { E } \left( \exp \{ \lambda \left[ \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } \right] \} \right) = \mathbb { E } \{ \mathbb { E } \left( \exp \{ \lambda \left[ \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } \right] \} | z ^ { i } \right) \} \le \exp \{ 0 . 1 2 5 \lambda ^ { 2 } \} , } \end{array}$ and this implies that $\| \phi ^ { \prime } ( \eta ^ { i } ) - y ^ { i } \| _ { \psi _ { 2 } } \leq 0 . 2 5$ . + +Lemma 8. Under Assumption 4, there exists a universal constant $\tau > 0$ such that $h ( \boldsymbol { \mathsf { W } } ^ { * } ) \geq \kappa _ { 1 } I$ , where $\kappa _ { 1 }$ is a positive constant. + +Proof. We first show that for any $p _ { 0 } \in ( 0 , 1 )$ , there exists a constant $\tau$ such that + +$$ +\mathbb { P } ( | \langle \pmb { \mathscr { W } } ^ { * } , \pmb { \mathscr { Z } } ^ { i } \rangle | > \tau \operatorname* { s u p } _ { \pmb { \Delta } \in S _ { 2 K } } | \langle \pmb { \Delta } , \pmb { z } ^ { i } \rangle | ) \geq p _ { 0 } . +$$ + +We would separately show that + +$$ +\mathbb { P } \big ( \underbrace { | \langle \mathcal { W } ^ { * } , \mathfrak { L } ^ { i } \rangle | > c _ { 1 } \sqrt { d _ { \mathcal { M } } } } _ { \mathrm { d e n o t e d b y ~ e v e n t } D _ { 1 } } \big ) \ge \frac { p _ { 0 } + 1 } { 2 } \mathrm { ~ a n d , } \mathbb { P } \big ( \underbrace { \operatorname* { s u p } _ { \Delta \in \mathcal { S } _ { 2 K } } | \langle \Delta , z ^ { i } \rangle | \le c _ { 2 } \sqrt { d _ { \mathcal { M } } } } _ { \Delta \in \mathcal { S } _ { 2 K } } \big ) \ge \frac { p _ { 0 } + 1 } { 2 } , +$$ + +for some positive constants $c _ { 1 }$ and $c _ { 2 }$ . Using the relationship $\mathbb { P } ( D _ { 1 } \cap D _ { 2 } ) = P ( D _ { 1 } ) + P ( D _ { 2 } ) -$ $P ( D _ { 1 } ^ { c } \cup \bar { D } _ { 2 } ^ { c } ) \geq P ( D _ { 1 } ) + P ( D _ { 2 } ) - 1$ , it follows naturally that + +$$ +\mathbb { P } \big ( | \langle \mathcal { W } ^ { * } , \mathfrak { Z } ^ { i } \rangle | > \tau \operatorname* { s u p } _ { \Delta \in S _ { 2 K } } | \langle \Delta , z ^ { i } \rangle | \big ) \geq \frac { p _ { 0 } + 1 } { 2 } + \frac { p _ { 0 } + 1 } { 2 } - 1 = p _ { 0 } , +$$ + +where $\tau = c _ { 1 } / c _ { 2 }$ + +Since $\mathbf { x } ^ { i }$ is a gaussian vector with mean zero and covariance $\pmb { \Sigma }$ $, z ^ { i } = U _ { G } ^ { \prime } { \pmb { x } } ^ { i }$ is a zero-mean gaussian vector with covariance given by $U _ { G } ^ { \prime } \Sigma U _ { G }$ , and $\langle \boldsymbol { \mathcal { W } } ^ { * } , \boldsymbol { \mathfrak { L } } ^ { i } \rangle = \langle \mathrm { v e c } ( \boldsymbol { \mathcal { W } } ^ { * } ) , \boldsymbol { z } ^ { i } \rangle$ also follows a normal distribution with mean zero and variance (also its sub-Gaussian norm) upper bounded by $\kappa _ { U } \| \boldsymbol { \mathsf { W } } ^ { * } \| _ { \mathrm { F } } ^ { 2 }$ , where $\kappa _ { U } = C _ { x } C _ { u }$ . + +Since from Assumption 4(C2), $\Vert \mathbf { \mathcal { W } } ^ { * } \Vert _ { \mathrm { F } } ^ { 2 } \geq \alpha \sqrt { d _ { \mathcal { M } } }$ , we can take $c _ { 1 }$ to be sufficiently small such that + +$$ +\mathbb { P } ( D _ { 1 } ) = \mathbb { P } \left( \frac { | \langle \mathcal { W } ^ { * } , \Xi ^ { i } \rangle | } { \kappa _ { U } \| \mathcal { W } ^ { * } \| _ { \mathrm { F } } } > \frac { c _ { 1 } } { \kappa _ { U } \alpha } \right) \geq \mathbb { P } ( | x | > \frac { c _ { 1 } } { \kappa _ { U } \alpha } ) \geq \frac { p _ { 0 } + 1 } { 2 } , +$$ + +where $x$ is a gaussian variable with variance upper bounded by 1. + +Then, we can also observe that, for any fixed $\Delta \in { \cal S } _ { 2 K }$ , $\langle \Delta , z ^ { i } \rangle$ is a gaussian variable with zero mean and variance upper bounded by $\kappa _ { U }$ . We can use the concentration inequality for gaussian random variable to establish that + +$$ +\mathbb { P } \left( | \langle \Delta , z ^ { i } \rangle | \geq t \right) \leq 2 \exp ( - \frac { t ^ { 2 } } { \kappa _ { U } } ) , +$$ + +for all $t \in \mathbb { R }$ . We can further use the union bound to show that + +$$ +\mathbb { P } \left( \operatorname* { s u p } _ { \pmb { \Delta \in S } _ { 2 K } } | \langle \pmb { \Delta } , \pmb { z } ^ { i } \rangle | \geq t \right) \leq 2 \exp ( - \frac { t ^ { 2 } } { \kappa _ { U } } + 7 d _ { \mathcal { M } } ) . +$$ + +Let $t = c _ { 2 } \sqrt { d _ { \mathcal { M } } }$ for some positive constant $c _ { 2 } > \sqrt { 7 \kappa _ { U } }$ . We can choose $c _ { 2 }$ large enough such that + +$$ +\mathbb { P } \left( \operatorname* { s u p } _ { \Delta \in { \mathcal { S } _ { 2 K } } } | \langle \Delta , z ^ { i } \rangle | \geq c _ { 2 } \sqrt { d _ { \mathcal { M } } } \right) \leq \frac { 1 - p _ { 0 } } { 2 } . +$$ + +The probability at (30) is hence shown. + +Now, we will take a look at the matrix $h ( \boldsymbol { \mathsf { W } } ^ { * } )$ and show that it is positive definite. Same as in Lemma 5, we denote the event $\begin{array} { r } { A = \{ | \langle \mathcal { W } ^ { * } , \Xi ^ { i } \rangle | > \tau \operatorname* { s u p } _ { \Delta \in S _ { 2 K } } | \langle \Delta , z ^ { i } \rangle | \} } \end{array}$ , and its complement by $A ^ { c }$ , then + +$$ +\begin{array} { r l } & { \Delta ^ { \prime } h ( \mathbb { W } ^ { * } ) \Delta = \displaystyle \frac { 1 } { n } E \left\{ \displaystyle \sum _ { i = 1 } ^ { n } \phi ^ { \mu } ( \{ \xi \xi ^ { i } , \mathbb { W } \} ) \mathbb { I } _ { \Delta } \Delta ^ { \prime } z ^ { i } z ^ { i } \Delta \right\} } \\ & { \quad = \displaystyle \frac { 1 } { n } E \left\{ \displaystyle \sum _ { i = 1 } ^ { n } \phi ^ { \mu } ( \{ \xi \xi ^ { i } , \mathbb { W } \} ) \Delta ^ { \prime } z ^ { i } z ^ { i } z ^ { i } \Delta \right\} - \displaystyle \frac { 1 } { n } E \left\{ \displaystyle \sum _ { i = 1 } ^ { n } \phi ^ { \mu } ( \langle \xi ^ { i } , \mathbb { W } \rangle ) \mathbb { I } _ { \Delta ^ { \prime } } \Delta ^ { \prime } z ^ { i } z ^ { i } z ^ { i } \Delta \right\} } \\ & { \quad = \Delta ^ { \prime } H ( \mathbb { W } ^ { * } ) \Delta - \displaystyle \frac { 1 } { n } \mathbb { E } \left\{ \displaystyle \sum _ { i = 1 } ^ { n } \phi ^ { \mu } ( \{ \xi \xi ^ { i } , \mathbb { W } \} ) \mathbb { I } _ { \Delta ^ { \prime } } \Delta ^ { \prime } z ^ { i } z ^ { i } z ^ { i } z ^ { i } \Delta \right\} } \\ & \quad \stackrel { \mathrm { G } } { \geq } \kappa _ { 0 } - \displaystyle \frac { 1 } { n } \sqrt { \mathbb { E } \left\{ \displaystyle \sum _ { i = 1 } ^ { n } \phi ^ { \mu } ( \{ z \} ^ { i } , \mathbb { W } \} ) \mathbb { I } ^ { 2 } ( \Delta , z ^ { i } ) \right\} \sqrt { \mathbb { E } \left\{ \displaystyle \sum _ { i = 1 } ^ { n } \mathbb { I } _ { \Delta ^ { \prime } } \right\} } } \\ & { \quad \stackrel { \mathrm { G } } { \geq } \kappa _ { 0 } - \displaystyle \frac { \sqrt { 3 \kappa \xi } } { 4 } ( 1 - p _ { 0 } ) , } \end{array} +$$ + +where (i) follows from Assumption 4(C1), And since $\langle \Delta , z ^ { i } \rangle$ is a gaussian variable with mean zero and variance bounded by $\kappa _ { U }$ , its fourth moment is bounded by $3 \kappa _ { U }$ . Also, by $\phi ^ { \prime \prime } ( z ) \in ( 0 , 0 . 2 5 )$ for all $z \in \mathbb { R }$ , (ii) can be shown. + +Here, we can take $p _ { 0 }$ to be small enough such that $0 . 2 5 \sqrt { 3 \kappa _ { U } } ( 1 - p _ { 0 } ) \leq 0 . 5 \kappa _ { 0 }$ holds. It follows that + +$$ +\Delta ^ { \prime } h ( \boldsymbol { \mathsf { W } } ^ { * } ) \Delta \geq \kappa _ { 1 } , +$$ + +with $\kappa _ { 1 } = 0 . 5 \kappa _ { 0 }$ . We hence accomplished the proof of the lemma. + +# A.5 ADDITIONAL EXPERIMENTS + +# A.5.1 MORE EXPERIMENTS FOR THEORETICAL RESULTS + +We first provide some additional implementation details for Section 4.1 in the paper. We consider two types of inputs for verification of the sample complexity in Theorem 1. For the time-dependent inputs, we generate a sequence of vectors $\{ \dot { \mathbf { } } \mathbf { } x ^ { i } \}$ with size $\mathbb { R } ^ { d }$ from a stationary VAR(1) process, where $d = 2 4 5$ or 192. The VAR(1) process has a transition matrix with spectral norm less than + +![](images/b58a2c0f81ca7a92056b45c91ab77578160589cd9fdeea3f345595cfb2d8fba9.jpg) +Figure 7: Additional experiments for efficient number of kernels. + +1 to ensure stationarity, and a white noise sequence which follows multivariate standard normal distribution. The first 50 simulated data points in the sequence are discarded to alleviate the influence of initialization, and the length of the resulting sequence is equal to the training sample size plus the testing sample size, i.e. $n + 2 0 0$ . We then reshape $\{ { \pmb x } ^ { i } \}$ into a sequence of tensors of shape (7, 5, 7) or (8, 8, 3), which are the time-dependent inputs for experiments under S1/S2 or S3/S4. + +Next, we conduct extra experiments for efficient number of kernels for a CP block design. This study uses $3 2 \times 3 2$ inputs with 16 channels, and we set stride to 1 and pooling sizes to $( 5 , 5 )$ . We generate the orthonormal factor matrices $\{ \pmb { H } ^ { ( j ) } , 1 \le j \le 4 \}$ , where $H ^ { ( 1 ) }$ is of size $\mathbb { R } ^ { 8 \times R }$ , $\dot { \pmb { H } } ^ { ( 2 ) }$ is of size $\mathbb { R } ^ { 8 \times R }$ , $\pmb { H } ^ { ( 3 ) }$ is of size $\mathbb { R } ^ { 1 6 \times R }$ and $H ^ { ( 4 ) }$ is of size $\mathbb { R } ^ { K \times R }$ where $R = 8$ and $K \in \{ 8 , 1 6 , 2 4 , 3 2 \}$ . If we denote the orthonormal column vectors of $\pmb { H } ^ { ( j ) }$ by $\boldsymbol { h } _ { r } ^ { ( j ) }$ where $1 \leq r \leq R$ and $1 \le j \le 4$ , the stacked kerncan be seen that tensor has a $\mathbfcal { A }$ can thenP rank of erated as . We spli $\begin{array} { r } { \pmb { \mathcal { A } } = \sum _ { r = 1 } ^ { R } \pmb { h } _ { r } ^ { ( 1 ) } \circ \pmb { h } _ { r } ^ { ( 2 ) } \circ \pmb { h } _ { r } ^ { ( 3 ) } \circ \pmb { h } _ { r } ^ { ( 4 ) } } \end{array}$ . And ite kernel $\mathbfcal { A }$ $R = 8$ $\mathbfcal { A }$ dimension to obtain $\{ \mathcal { A } _ { k } , 1 \le k \le K \}$ and generate the corresponding fully-connected weight tensors $\{ \mathbf { { \mathcal { B } } } _ { k } , 1 \leq k \leq K \}$ with standard normal entries. The parameter tensor $\boldsymbol { w }$ is hence obtained, and we further normalize it to have unit Frobenius norm to ensure the comparability of estimation errors between different $K \mathrm { s }$ . The block structure in Figure 7(1) is employed to train the network, and it is equivalent to the bottleneck structure with a CP decomposition on $\mathbfcal { A }$ ; see Kossaifi et al. (2020b). We can see that as $K$ increases, there is more redundancy in the network parameters. Fifty training sets are generated for each training size, and we stop training when the target function drops by less than $1 0 ^ { - 5 }$ . From Figure 7(2), the estimation error increases as $K$ is larger, and the difference is more pronounced when training size is small. + +# A.5.2 ABLATION STUDIES ON MORE BLOCK DESIGNS + +In this section, we present the results from the studies of $K / R$ ratios on two popular networks structures, namely, ResNeXt (Xie et al., 2017) and Shufflenet v2 (Ma et al., 2018). To start with, we will show the bottleneck block structure and its respective $K / R$ ratio in ResNeXt and Shufflenet. + +In Figure 8, we represent the bottleneck block structure of ResNeXt consisting of 3 layers: a $1 \times 1$ convolution layer, a $3 \times 3$ group convolution layer followed by another $1 \times 1$ convolution layer. During group convolution phase, there are $g$ parallel paths, each has a bottleneck size of $r$ , which is also the rank of the output channel in each individual path; see also Figure 1 in Xie et al. (2017). Since the output from each path is aggregated via summation, the rank of the output channel of the entire bottleneck block is equal to $R = r \cdot g$ . Subsequently, we can define the expansion ratio of this block to be $t = K / R$ . + +![](images/fe0b0502d876f66c8b6462a1d0456344337361c76ff72b9b7852bc41c593c3ad.jpg) +Figure 8: Equivalent ResNext building blocks. Both (1) and (2) represent a block of ResNeXt with cardinality $g$ , with $R = r \cdot g$ . Here, the expansion ratio $t = K / R$ , and takes values of 1,2 and 4. + +![](images/fcd1f861ced7ea4129578e3cd9296f574bc08e9694134fc166b2927938614e6b.jpg) +Figure 9: A basic block of Shufflenet v2, with its bottleneck structure depict explicitly. Here, the expansion ratio $t = K / R$ , and takes values of 1,2 and 4. + +Table 3: Test accuracy $( \% )$ of ResNeXt and Shufflenet on SVNH. + +
tResNeXt#FLOPs#ParamsShufflenet#FLOPs#Params
196.200.05GMac1.45M95.930.05GMac1.33M
296.250.07GMac2.13M96.080.08GMac1.67M
496.200.14GMac4.44M96.030.16GMac3.84M
+ +In Figure 9, we represent the bottleneck block structure of Shufflenet. It consists of 3 layers: a $1 \times 1$ convolution layer, a $3 \times 3$ depthwise convolution layer followed by another $1 \times 1$ convolution layer. So, the only difference between this block structure and that in ResNet (He et al., 2016) is that the full $3 \times 3$ convolution is replaced by the depthwise separable convolution. It follows that the expansion ratio is $t = K / R$ . + +We conducted the experiments on the SVNH dataset and take $t = 1 , 2 , 4$ , since $t = 2$ or $t = 4$ in particular, is commonly used in practice. We followed the design of ResNeXt-50 (see Table 1 in Xie et al. (2017)) and Shufflenet v2-50 (see Appendix Table 2 in Ma et al. (2018)), only be removing the three convolution block in ”conv5” to avoid overfitting. And we set $R = 2 4$ , 58, 116, 232 as the bottleneck rank for ”conv1”-”conv4”, respectively. And $K = t \cdot R$ is taken according to different values of $t$ . The implementations are similar to before. Following the practice in He et al. (2016), we adopt batch normalization(BN) (Ioffe & Szegedy, 2015) right after each convolution and before the ReLU activation. For ResNeXt, the cardinality of the group convolution is set to be 32, and we initialize the weights as in He et al. (2015). We use stochastic gradient descent with weight decay $1 0 ^ { - 4 }$ , momentum 0.9 and mini-batch size 128. The learning rate starts from 0.1 and is divided by 10 for every 100 epochs. We stop training after 350 epochs, since the training accuracy hardly changes. The training accuracy is approximately $96 \%$ . We set seeds 1-5 and report the worst case scenario of the test accuracy in Table 3. + +We can see that, when $t = 1$ , the test accuracy is comparable to when $t = 2$ or 4, and the number of parameters are reduced by a lot. In fact, the ratio of number of parameters at a single bottleneck block for $t = 1 , 2$ and 4 is roughly $1 : 2 : 4$ , for both networks. This implies that the number of parameters will increase dramatically when we have a deeper CNN, for instance, ResNeXt-101. Hence, it is always recommended to keep $t \ = \ 1$ to achieve more parameter efficiency without sacrificing the test accuracy. \ No newline at end of file diff --git a/parse/train/uUlGTEbBRL/uUlGTEbBRL_content_list.json b/parse/train/uUlGTEbBRL/uUlGTEbBRL_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..b6adf0b4236ce76e7c4bdee3990247031b6921a8 --- /dev/null +++ b/parse/train/uUlGTEbBRL/uUlGTEbBRL_content_list.json @@ -0,0 +1,5973 @@ +[ + { + "type": "text", + "text": "RETHINKING COMPRESSED CONVOLUTIONAL NEURAL NETWORKS FROM A STATISTICAL PERSPECTIVE ", + "text_level": 1, + "bbox": [ + 176, + 98, + 821, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 171, + 398, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Many designs have recently been proposed to improve the model efficiency of convolutional neural networks (CNNs) at a fixed resource budget, while there is a lack of theoretical analysis to justify them. This paper first formulates CNNs with high-order inputs into statistical models, which have a special ”Tucker-like” formulation. This makes it possible to further conduct the sample complexity analysis to CNNs as well as compressed CNNs via tensor decomposition. Tucker and CP decompositions are commonly adopted to compress CNNs in the literature. The low rank assumption is usually imposed on the output channels, which according to our study, may not be beneficial to obtain a computationally efficient model while a similar accuracy can be maintained. Our finding is further supported by ablation studies on CIFAR10, SVNH and UCF101 datasets. ", + "bbox": [ + 233, + 265, + 764, + 416 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 440, + 336, + 457 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The introduction of AlexNet (Krizhevsky et al., 2012) spurred a line of research in 2D CNNs, which progressively achieve high levels of accuracy in the domain of image recognition (Simonyan & Zisserman, 2015; Szegedy et al., 2015; He et al., 2016; Huang et al., 2017). The current stateof-the-art CNNs leave little room to achieve significant improvement on accuracy in learning stillimages, and attention has hence been diverted towards two directions. The first is to deploy deep CNNs on mobile devices by removing redundancy from the over-parametrized network, and some representative models include MobileNetV1 & V2 (Howard et al., 2017; Sandler et al., 2018). ", + "bbox": [ + 174, + 470, + 825, + 569 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The second direction is to utilize CNNs to learn from higher-order inputs, for instance, video clips (Tran et al., 2018; Hara et al., 2017) or electronic health records (Cheng et al., 2016; Suo et al., 2017). This area has not yet seen a widely-accepted state-of-the-art network. High-order kernel tensors are usually required to account for the multiway dependence of the input. This notoriously leads to heavy computational burden, as the number of parameters to be trained grows exponentially with the dimension of inputs. Subsequently, model compression becomes the critical juncture to guarantee the successful training and deployment of tensor CNNs. ", + "bbox": [ + 174, + 575, + 823, + 672 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Tensor methods for compressing CNNs. Denil et al. (2013) showed that there is huge redundancy in network weights such that the entire network can be approximately recovered with a small fraction of parameters. Tensor decomposition recently has been widely used to compress the weights in a CNN network (Lebedev et al., 2015; Kim et al., 2016; Kossaifi et al., 2020b; Hayashi et al., 2019). Specifically, the weights at each layer are first summarized into a tensor, and then tensor decomposition, CP or Tucker decomposition, can be applied to reduce the number of parameters. Different tensor decomposition to convolution layers will lead to a variety of compressed CNN block designs. For instance, the bottleneck block in ResNet (He et al., 2016) corresponds to the convolution kernel with a special Tucker low-rank structure, and the depthwise separable block in MobileNetV1 (Howard et al., 2017) and the inverted residual block in MobileNetV2 (Sandler et al., 2018) correspond to the convolution kernel with special CP forms. All the above are for 2D CNNs, and Kossaifi et al. (2020b) and Su et al. (2018) considered tensor decomposition to factorize convolution kernels for higher-order tensor inputs. ", + "bbox": [ + 174, + 680, + 825, + 861 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Tensor decomposition can also be applied to fully-connected layers since they may introduce a large number of parameters (Kossaifi et al., 2017; 2020a); see also the discussions in Section 5. Moreover, Kossaifi et al. (2019) summarized all weights of a network into one single high-order tensor, and then directly imposed a low-rank structure to achieve full network compression. While the idea is highly motivating, the proposed structure of the high-order tensor is heuristic and can be further improved; see the discussions in Section 2.4. ", + "bbox": [ + 176, + 867, + 823, + 922 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Parameter efficiency of the above proposed architectures was heuristically justified by methods, such as FLOPs counting, naive parameter counting and/or empirical running time. However, there is still lack of a theoretical study to understand the mechanism of how tensor decomposition can compress CNNs. This paper attempts to fill this gap from statistical perspectives. ", + "bbox": [ + 174, + 138, + 825, + 195 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Sample Complexity Analysis. Du et al. (2018a) first characterized the statistical sample complexity of a CNN; see also Wang et al. (2019) for compact autoregressive nets. Specifically, consider a CNN model, $y = F _ { \\mathrm { C N N } } ( \\pmb { x } , \\pmb { \\mathcal { W } } ) + \\xi$ , where $y$ and $_ { \\textbf { \\em x } }$ are output and input, respectively, $\\boldsymbol { w }$ contains all weights and $\\xi$ is an additive error. Given the trained and true underlying networks $F _ { \\mathrm { C N N } } ( \\pmb { x } , \\widehat { \\pmb { w } } )$ and $F _ { \\mathrm { C N N } } ( \\pmb { x } , \\pmb { \\mathcal { W } } ^ { * } )$ , the root-mean-square prediction error is defined as ", + "bbox": [ + 174, + 202, + 825, + 275 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/8e0dc2f89d01c02304faa2e90324bd13b626f52ee6d88e668c6e582d78f0c5a4.jpg", + "text": "$$\n\\begin{array} { r } { \\pmb { \\mathcal { E } } ( \\widehat { \\pmb { \\mathcal { W } } } ) = \\sqrt { E _ { \\pmb { x } } | F _ { \\mathrm { C N N } } ( \\pmb { x } , \\widehat { \\pmb { \\mathcal { W } } } ) - F _ { \\mathrm { C N N } } ( \\pmb { x } , \\pmb { \\mathcal { W } } ^ { * } ) | ^ { 2 } } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 336, + 282, + 658, + 310 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $\\widehat { \\mathcal W }$ and $\\boldsymbol { \\mathsf { W } } ^ { * }$ are trained and true underlying weights, respectively, and $E _ { x }$ is the expectation on $_ { \\textbf { \\em x } }$ . The sample complexity analysis is to investigate how many samples are needed to guarantee a given tolerance on the prediction error. It can also be used to detect the model redundancy. Consider two nested CNNs, where $F _ { 1 }$ is more compressed than $F _ { 2 }$ . Given the same true underlying networks, when the prediction errors from trained $F _ { 1 }$ and $F _ { 2 }$ are comparable, we then can argue that $F _ { 2 }$ has redundant weights comparing with $F _ { 1 }$ . As a result, conducting sample complexity analysis to CNNs with higher order inputs will shed light on the compressing mechanism of popular compressed CNNs via tensor decomposition. ", + "bbox": [ + 174, + 319, + 825, + 433 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The study in Du et al. (2018a) is limited to 1-dimensional convolution with a single kernel, followed by weighted summation, and its theoretical analysis cannot be generalized to CNNs with compressed layers. In comparison, our paper presents a more realistic modeling of CNN by introducing a general $N$ -dimensional convolution with multiple kernels, followed by an average pooling layer and a fully-connected layer. The convolution kernel and fully-connected weights are in tensor forms, and this allows us to explicitly model compressed CNNs via imposing low-rank assumption on weight tensors. Moreover, we used an alternative technical tool, and a sharper upper bound on the sample complexity can be obtained. ", + "bbox": [ + 174, + 439, + 825, + 551 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our paper makes three main contributions: ", + "bbox": [ + 176, + 558, + 454, + 571 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "1. We formulate CNNs with high-order inputs into statistical models, and show that they have an explicit “Tucker-like” form. 2. The sample complexity analysis can then be conducted to CNNs as well as compressed CNNs via tensor decomposition, with weak conditions allowing for time-dependent inputs like video data. 3. From theoretical analysis, we draw an interesting finding that forcing low dimensionality on output channels may introduce unnecessary parameter redundancy to a compressed network. ", + "bbox": [ + 173, + 579, + 825, + 678 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "1.1 COMPARISON WITH OTHER EXISTING WORKS ", + "text_level": 1, + "bbox": [ + 176, + 695, + 527, + 709 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Deep neural networks are usually over-parametrized, yet empirically, they can generalize well. It is an important topic in the literature to theoretically study the generalization ability of deep neural networks, including deep CNNs (Li et al., 2020; Arora et al., 2018). The generalization error, defined as the difference between test and training errors, is commonly used to evaluate such ability, and many techniques have been developed to control its bound; see, for example, the VC dimension (Vapnik, 2013), the Rademacher complexity & covering number (Bartlett & Mendelson, 2002), the norm-based capacity control (Neyshabur et al., 2017; Golowich et al., 2018; Bartlett et al., 2017; Neyshabur et al., 2015) and low-rank compression based methods (Li et al., 2020; Zhou & Feng, 2018; Arora et al., 2018). These works use a model-agnostic framework, and hence relies heavily on explicit regularization such as weight decay, dropout or data augumentation, as well as algorithmbased implicit regularization to remove the redundancy in the network. ", + "bbox": [ + 174, + 722, + 825, + 875 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We, however, attempt to theoretically explain how much compressibility is achieved in a compressed network architecture. Specifically, we make a comparison between a CNN and its compressed version, and makes theoretically-supported modification to the latter to further increase efficiency. ", + "bbox": [ + 176, + 882, + 823, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Subsequently, our analysis requires an explicit formulation for the network architecture, which is provided in Section 2, and the prediction error at (1) is adopted as our evaluation criteria. We notice that Li et al. (2020) also proposes to use the CP Layers to compress the weights in each convolution layer. But their study is still model-agnostic, since the ranks of the underlying CP Layers depend on the trained weights. In details, their proposed approach uses regularization assumptions on the weights and hence, their derived theoretical bound is influenced by training and not suitable to analyze the network design exclusively. ", + "bbox": [ + 174, + 103, + 825, + 202 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Other existing works, that aim to provide theoretical understanding for the neural networks, include the understanding of parameter recovery with gradient-based algorithms for deep neural networks (Zhong et al., 2017b; Fu et al., 2020; Goel et al., 2018; Zhong et al., 2017a); the development of other provably efficient algorithms (Cao & Gu, 2019; Du & Goel, 2018); and the investigation of convergence in an over-parameterized regime (Allen-Zhu et al., 2019; Li & Liang, 2018; Du et al., 2018b). Our work differs greatly from these works in both target and methodology. We do not consider computational complexity or algorithm convergence. Instead, we focus on the statistical sample complexity to depict the mechanism of compressed block designs for CNNs. ", + "bbox": [ + 174, + 208, + 825, + 319 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2 FORMULATING CNNS WITH HIGHER-ORDER INPUTS", + "text_level": 1, + "bbox": [ + 176, + 342, + 638, + 358 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.1 NOTATION ", + "text_level": 1, + "bbox": [ + 174, + 375, + 287, + 388 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Tensor notations. We follow the notations in Kolda & Bader (2009) to denote vectors by lowercase boldface letters, e.g. $\\textbf { \\em a }$ ; matrices by capital boldface letters, e.g. $\\pmb { A }$ ; tensors of order 3 or higher by Euler script boldface letters, e.g. $\\mathbfcal { A }$ . For an $N ^ { \\mathrm { t h } }$ -order tensor $\\pmb { \\mathcal { A } } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }$ , denote its elements by $\\bar { \\mathcal { A } } ( i _ { 1 } , i _ { 2 } , \\ldots , i _ { N } )$ and the $n$ -mode unfolding by $\\mathbf { \\mathcal { A } } _ { ( n ) }$ , where the columns of $\\mathbf { \\mathcal { A } } _ { ( n ) }$ are the $n$ -mode vectors of $\\mathbfcal { A }$ , for $1 ~ \\leq ~ n ~ \\leq ~ N$ . And $\\mathcal { A } ( : , \\cdot \\cdot , i _ { n } , \\cdot \\cdot \\cdot , : )$ denotes the subtensor of $\\mathbfcal { A }$ , holding only the $n ^ { \\mathrm { t h } }$ index fixed. The vectorization operation is denoted by $\\mathrm { v e c } ( \\cdot )$ . The inner product of two tensors $\\mathbf { \\mathcal { A } } , \\mathbf { \\mathcal { B } } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }$ is defined as $\\left. \\mathbf { \\mathcal { A } } , \\mathbf { \\mathcal { B } } \\right. \\ =$ $\\begin{array} { r } { \\sum _ { i _ { 1 } } \\cdot \\cdot \\cdot \\sum _ { i _ { N } } \\pmb { \\mathcal { A } } ( i _ { 1 } , \\ldots , i _ { N } ) \\pmb { \\mathcal { B } } ( i _ { 1 } , \\ldots , i _ { N } ) } \\end{array}$ , and the Frobenius norm is $\\| \\mathbfcal { A } \\| _ { \\mathrm { F } } = \\sqrt { \\langle \\mathbfcal { A } , \\mathbfcal { A } \\rangle }$ . The mode- $n$ multiplication $\\times _ { n }$ of a tensor $\\pmb { \\mathcal { A } } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }$ and a matrix $B \\in \\mathbb { R } ^ { p _ { n } \\times l _ { n } }$ is defined as $\\begin{array} { r } { ( \\pmb { \\mathscr { A } } \\times _ { n } \\pmb { B } ) ( i _ { 1 } , \\ldots , j _ { n } , \\ldots , i _ { N } ) = \\sum _ { i _ { n } = 1 } ^ { l _ { n } } \\pmb { \\mathscr { A } } ( i _ { 1 } , \\ldots , i _ { n } , \\ldots , i _ { N } ) \\pmb { B } ( j _ { n } , i _ { n } ) . } \\end{array}$ , for $1 \\leq n \\leq N$ , respecas tively. The mode- $\\begin{array} { r } { ( \\pmb { \\mathcal { A } } \\breve { \\times } _ { n } \\pmb { b } ) ( i _ { 1 } , \\dots , i _ { n - 1 } , i _ { n + 1 } , \\dots , i _ { N } ) = \\sum _ { i _ { n } = 1 } ^ { l _ { n } } \\pmb { \\mathcal { A } } ( i _ { 1 } , \\dots , i _ { n } , \\dots , i _ { N } ) \\pmb { b } ( i _ { n } ) . } \\end{array}$ $\\boldsymbol { n }$ multiplication $\\bar { \\mathsf { x } } _ { N }$ of a tensor $\\pmb { \\mathcal { A } } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }$ and a vector , for $\\pmb { b } \\in \\mathbb { R } ^ { l _ { n } }$ $1 \\leq n \\leq N$ is defined . The symbol “ $\\cdot _ { \\otimes } { \\bf : \\sigma }$ ” is the Kronecker product and $^ { 7 6 } \\mathrm { o } ^ { 9 }$ is the outer product. We extend the definition of Khatri-Rao product to tensors: given tensors $\\pmb { \\mathcal { A } } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\lambda _ { N } \\times K }$ and $\\mathbf { B } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\cdots p _ { N } \\times K }$ , their Khatri-Rao product is a tensor of size $\\mathbb { R } ^ { l _ { 1 } p _ { 1 } \\times l _ { 2 } p _ { 2 } \\times \\dots l _ { N } p _ { N } \\times K }$ , denoted by $\\mathbf { \\mathcal { C } } = \\mathbf { \\mathcal { A } } \\odot \\mathbf { \\mathcal { B } }$ , where $\\begin{array} { r } { \\mathfrak { C } ( : , \\cdot \\cdot \\cdot , k ) = \\pmb { \\mathscr { A } } ( : , \\cdot \\cdot \\cdot , k ) \\otimes \\pmb { \\mathscr { B } } ( : , \\cdot \\cdot \\cdot , k ) , 1 \\leq k \\leq K } \\end{array}$ . ", + "bbox": [ + 173, + 401, + 825, + 642 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "CP decomposition. The Canonical Polyadic (CP) decomposition (Kolda & Bader, 2009) factorizes the tensor $\\mathcal { A } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }$ into a sum of rank-1 tensors, i.e. $\\begin{array} { r } { \\pmb { \\mathcal { A } } = \\sum _ { r = 1 } ^ { R } \\alpha _ { r } \\pmb { h } _ { r } ^ { ( 1 ) } \\circ \\pmb { h } _ { r } ^ { ( 2 ) } \\circ \\cdot \\cdot \\cdot \\circ \\pmb { h } _ { r } ^ { ( N ) } } \\end{array}$ where $\\pmb { h } _ { r } ^ { ( j ) }$ is a unit norm vector of size $\\mathbb { R } ^ { l _ { j } }$ for all $1 \\leq j \\leq N$ . The CP rank is the number of rank-1 tensors $R$ . ", + "bbox": [ + 173, + 647, + 825, + 712 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Tucker decomposition. The Tucker ranks of an $N ^ { \\mathrm { t h } }$ -order tensor $\\pmb { \\mathcal { A } } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }$ are defined as the matrix ranks of the unfoldings of $\\mathbfcal { A }$ along all modes. If the Tucker ranks of $\\mathbfcal { A }$ are $( R _ { 1 } , \\ldots , R _ { N } )$ , then there exist a core tensor $\\mathfrak { G } \\ \\in \\ \\mathbb { R } ^ { R _ { 1 } \\times \\cdots \\times R _ { N } }$ and matrices $\\pmb { H } ^ { ( i ) } \\in \\mathbb { R } ^ { l _ { i } \\times R _ { i } }$ , such that ${ \\textbf { \\mathcal { A } } } =$ $\\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\cdots \\times _ { N } \\pmb { H } ^ { ( N ) }$ , known as Tucker decomposition (Tucker, 1966), ", + "bbox": [ + 173, + 718, + 825, + 776 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/49844fbc5f897096a62978c722f38504ca1dc95b607ecd97c28a6f92208c716e.jpg", + "image_caption": [ + "Figure 1: (1) 3-layer CNN for a 3D input ${ \\boldsymbol x }$ with one kernel tensor $\\mathbfcal { A }$ , average pooling, and fullyconnected weights $\\mathfrak { B }$ . (2) $U _ { i _ { j } } ^ { ( j ) } \\mathbf { s }$ act as positioning factors. The white spaces indicate zero entries. " + ], + "image_footnote": [], + "bbox": [ + 178, + 800, + 821, + 872 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 BASIC THREE-LAYER CNNS ", + "text_level": 1, + "bbox": [ + 176, + 103, + 411, + 118 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Consider a three-layer CNN with one convolution, one average pooling and one fully-connected layers, and we assume linear activations for simplicity. Specifically, for a general tensor-structured input $\\begin{array} { r } { \\mathbf { \\mathcal { X } } \\in \\mathbb { R } ^ { d _ { 1 } \\times d _ { 2 } \\times \\cdots \\times d _ { N } } } \\end{array}$ , we first perform its convolution with an $\\bar { N } ^ { \\mathrm { t h } }$ -order kernel tensor $\\pmb { \\mathcal { A } } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } }$ to get an intermediate output $\\mathfrak { X } _ { c } \\in \\mathbb { R } ^ { m _ { 1 } \\times m _ { 2 } \\times \\dots \\times m _ { N } }$ , and then use average pooling with pooling sizes $( q _ { 1 } , \\cdots , q _ { N } )$ to derive another intermediate output $\\mathbf { \\mathcal { X } } _ { c p } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\cdots \\times p _ { N } }$ . Finally, $\\mathfrak { X } _ { c p }$ goes through a fully-connected layer, with weight tensor $\\mathbf { \\Delta B } \\in \\mathbb { R } ^ { \\hat { p } _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } }$ to produce a scalar output; see Figure 1(1). ", + "bbox": [ + 173, + 128, + 825, + 228 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We consider the convolution layer with the stride size of $s _ { c }$ along each dimension. Assume that $m _ { j } = ( d _ { j } - l _ { j } ) / s _ { c } + 1$ are integers for $1 \\leq j \\leq N$ , otherwise zero-padding will be needed. Let ", + "bbox": [ + 171, + 233, + 825, + 263 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/cbe768d978a2ade3ddc9ac98e45470e4d285b807b0f78564a973f80b60bfed11.jpg", + "text": "$$\n\\begin{array} { r } { U _ { i j } ^ { ( j ) } = \\big [ \\underbrace { 0 } _ { ( i _ { j } - 1 ) s _ { c } } \\underbrace { I } _ { l _ { j } } \\underbrace { 0 } _ { d _ { j } - ( i _ { j } - 1 ) s _ { c } - l _ { j } } \\big ] ^ { \\prime } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } } \\mathrm { ~ f o r ~ } 1 \\leq i _ { j } \\leq m _ { j } , 1 \\leq j \\leq N , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 240, + 267, + 758, + 304 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "which act as positioning factors to stretch the kernel tensor $\\mathbfcal { A }$ into a tensor of the same size as ${ \\boldsymbol x }$ , while the rest of entries are filled with zeros; see Figure 1(2). As a result, $\\mathfrak { X } _ { c }$ has entries ", + "bbox": [ + 171, + 306, + 823, + 335 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/013be854a9532dabb1fa6665db380c28ec3b3f8805bf479b05c8e8dd4f098e89.jpg", + "text": "$$\n\\pmb { \\mathcal { X } } _ { c } ( i _ { 1 } , i _ { 2 } , \\ldots , i _ { N } ) = \\langle \\pmb { \\mathcal { X } } , \\pmb { \\mathcal { A } } \\times _ { 1 } \\pmb { U } _ { i _ { 1 } } ^ { ( 1 ) } \\times _ { 2 } \\pmb { U } _ { i _ { 2 } } ^ { ( 2 ) } \\times _ { 3 } \\cdots \\times _ { N } \\pmb { U } _ { i _ { N } } ^ { ( N ) } \\rangle .\n$$", + "text_format": "latex", + "bbox": [ + 282, + 337, + 714, + 359 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "For the pooling layer with the stride size of $s _ { p }$ along each dimension, we assume the pooling sizes $\\{ q _ { j } \\} _ { j = 1 } ^ { N }$ satisfy the relationship of $m _ { j } ^ { - } ~ = ~ q _ { j } + ( p _ { j } - 1 ) s _ { p }$ , so the sliding windows can be overlapped. But for ease of notation, we can simply take $q _ { j } ~ = ~ m _ { j } / p _ { j }$ . The average pooling operation is equivalent to forming $p _ { 1 } p _ { 2 } p _ { 3 } \\cdots p _ { N }$ consecutive blocks within $\\mathfrak { X } _ { c }$ , each of size $\\mathbb { R } ^ { \\bar { q } _ { 1 } \\times \\bar { q } _ { 2 } \\times \\dots \\times q _ { N } }$ , and then take the average per block. The resulting tensor $\\boldsymbol { \\mathfrak { X } } _ { c p }$ has entries $\\begin{array} { r } { \\mathfrak { X } _ { c p } ( i _ { 1 } , i _ { 2 } , \\dots , i _ { N } ) = ( \\prod _ { j } q _ { j } ) ^ { - 1 } \\sum _ { j } \\sum _ { k _ { j } = ( i _ { j } - 1 ) q _ { j } + 1 } ^ { i _ { j } q _ { j } } \\mathfrak { X } _ { c } ( k _ { 1 } , k _ { 2 } , \\dots , k _ { N } ) . } \\end{array}$ Pj Pij qjkj =(ij −1)qj +1 Xc(k1, k2, . . . , kN ), for 1 ≤ ij ≤ pj and 1 ≤ j ≤ N . If we denote U (j)F,ij $\\begin{array} { r } { U _ { \\mathcal { F } , i _ { j } } ^ { ( j ) } = q _ { j } ^ { - 1 } \\sum _ { k = ( i _ { j } - 1 ) q _ { j } + 1 } ^ { i _ { j } q _ { j } } U _ { k } ^ { ( j ) } } \\end{array}$ U (j), t hen equivalently, ", + "bbox": [ + 173, + 367, + 826, + 484 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/15f779171785da579853aec883c6111961c7476c7fd86f40da83a54ac3582a6e.jpg", + "text": "$$\n\\mathfrak { X } _ { c p } ( i _ { 1 } , i _ { 2 } , \\ldots , i _ { N } ) = \\langle \\mathfrak { X } , \\pmb { \\mathscr { A } } \\times _ { 1 } \\pmb { U } _ { \\mathcal { F } , i _ { 1 } } ^ { ( 1 ) } \\times _ { 2 } \\pmb { U } _ { \\mathcal { F } , i _ { 2 } } ^ { ( 2 ) } \\times _ { 3 } \\cdots \\times _ { N } \\pmb { U } _ { \\mathcal { F } , i _ { N } } ^ { ( N ) } \\rangle .\n$$", + "text_format": "latex", + "bbox": [ + 267, + 488, + 727, + 511 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The fully-connected layer performs a weighted summation over $\\boldsymbol { \\mathfrak { X } } _ { c p }$ , with weights given by entries of the tensor B ∈ Rp1×p2×···×pN . Denote U (j)F $U _ { \\mathcal { F } } ^ { ( j ) } = ( U _ { \\mathcal { F } , 1 } ^ { ( j ) } , \\cdot \\cdot \\cdot , \\bar { U _ { \\mathcal { F } , p _ { j } } ^ { ( j ) } } )$ for $1 \\leq j \\leq N$ , and the predicted output has the form of ", + "bbox": [ + 173, + 520, + 826, + 569 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/3988f215085a5c86b45d0c1b8d0ca3f12d3e932feb649fe04b6d5920fb0bf540.jpg", + "text": "$$\n\\widehat { \\boldsymbol { y } } = \\langle \\mathbf { \\mathcal { X } } _ { c p } , \\mathbf { \\mathcal { B } } \\rangle = \\langle \\mathbf { \\mathcal { X } } , ( \\mathbf { \\mathcal { B } } \\otimes \\mathbf { \\mathcal { A } } ) \\times _ { 1 } \\boldsymbol { U } _ { \\mathcal { F } } ^ { ( 1 ) } \\times _ { 2 } \\boldsymbol { U } _ { \\mathcal { F } } ^ { ( 2 ) } \\times _ { 3 } \\cdots \\times _ { N } \\boldsymbol { U } _ { \\mathcal { F } } ^ { ( N ) } \\rangle .\n$$", + "text_format": "latex", + "bbox": [ + 272, + 571, + 723, + 593 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Similarly, for a CNN with $K$ kernels, denote $\\{ \\mathcal { A } _ { k } , \\mathbf { \\mathcal { B } } _ { k } \\} _ { k = 1 } ^ { K }$ to be the set of kernels and fullyconnected weights, where $\\mathbf { \\mathcal { B } } _ { k } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\cdots \\times p _ { N } }$ and $\\mathcal { A } _ { k } \\ \\in \\ \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\dots \\times l _ { N } }$ . The model can then be explicitly represented by ", + "bbox": [ + 173, + 603, + 825, + 648 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/3686833003de23b2568d89c33119dc4994be57d2487f87de5956aa3d6204cba0.jpg", + "text": "$$\ny ^ { i } = \\widehat { y } ^ { i } + \\xi ^ { i } = \\langle \\mathfrak { X } ^ { i } , \\mathfrak { W } _ { X } \\rangle + \\xi ^ { i } , 1 \\leq i \\leq n ,\n$$", + "text_format": "latex", + "bbox": [ + 348, + 651, + 647, + 670 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\xi ^ { i }$ is the additive error, $\\pmb { \\mathcal { X } } ^ { i } \\in \\mathbb { R } ^ { d _ { 1 } \\times d _ { 2 } \\times \\cdots \\times d _ { N } }$ , and the composite weight tensor ", + "bbox": [ + 174, + 674, + 727, + 690 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/c6800fd8d878a5a6877a9478581e1f08ed8438b293e9adec4075dae548d9543a.jpg", + "text": "$$\n\\pmb { \\mathscr { W } } _ { X } = ( \\sum _ { k = 1 } ^ { K } \\pmb { \\mathscr { B } } _ { k } \\otimes \\pmb { \\mathscr { A } } _ { k } ) \\times _ { 1 } \\pmb { U } _ { \\mathscr { F } } ^ { ( 1 ) } \\times _ { 2 } \\pmb { U } _ { \\mathscr { F } } ^ { ( 2 ) } \\times _ { 3 } \\cdots \\times _ { N } \\pmb { U } _ { \\mathscr { F } } ^ { ( N ) } .\n$$", + "text_format": "latex", + "bbox": [ + 299, + 694, + 699, + 737 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The innate weight-sharing compactness of CNN can be equivalently represented as a “Tucker-like” form at (4). The factor matrices $\\{ U _ { \\mathcal { F } } ^ { ( j ) } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } p _ { j } } \\} _ { j = 1 } ^ { N }$ are fixed and solely determined by CNN operations on the inputs. They have full column ranks given that $p _ { j } l _ { j } \\leq d _ { j }$ always holds. The core tensor is a special Kronecker product that depicts the layer-wise interaction between weights. ", + "bbox": [ + 173, + 746, + 826, + 806 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.3 SAMPLE COMPLEXITY ANALYSIS ", + "text_level": 1, + "bbox": [ + 174, + 821, + 442, + 837 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We can now derive the non-asymptotic error bound for the CNN model. Let $\\mathfrak { Z } ^ { i } = \\mathfrak { X } ^ { i } \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) \\prime } \\times _ { 2 }$ U (2)0F × $U _ { \\mathcal { F } } ^ { ( 2 ) \\prime } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N } U _ { \\mathcal { F } } ^ { ( N ) \\prime } \\in \\mathbb { R } ^ { l _ { 1 } p _ { 1 } \\times l _ { 2 } p _ { 2 } \\times \\cdots \\times l _ { N } p _ { N } }$ . Model (3) is equivalent to ", + "bbox": [ + 173, + 845, + 825, + 882 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/829e4b05cc4e8f37c4fcec1f0a4d4619ab7186e02f85d51224f0f884d29851f9.jpg", + "text": "$$\ny ^ { i } = \\langle \\mathfrak { Z } ^ { i } , \\{ \\pmb { \\mathscr { W } } \\} + \\xi ^ { i } = \\sum _ { k = 1 } ^ { K } \\langle \\mathfrak { T } ^ { i } , \\mathbf { \\mathcal { B } } _ { k } \\otimes \\mathbf { \\mathcal { A } } _ { k } \\rangle + \\xi ^ { i } ,\n$$", + "text_format": "latex", + "bbox": [ + 341, + 885, + 655, + 928 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { \\pmb { \\mathcal { W } } = \\sum _ { k = 1 } ^ { K } \\pmb { \\mathcal { B } } _ { k } \\otimes \\pmb { \\mathcal { A } } _ { k } } \\end{array}$ . The trained weights have the form of $\\begin{array} { r } { \\widehat { \\mathbf { W } } = \\sum _ { k = 1 } ^ { K } \\widehat { \\mathbf { B } } _ { k } \\otimes \\widehat { \\mathbf { A } } _ { k } } \\end{array}$ , where ", + "bbox": [ + 169, + 99, + 820, + 121 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/c43fb3d5e7ff74bc816f950c50665f974cd6118ef94c190d4381d22f84e100eb.jpg", + "text": "$$\n\\{ \\widehat { \\pmb { \\mathscr { B } } } _ { k } , \\widehat { \\pmb { \\mathscr { A } } } _ { k } \\} _ { 1 \\leq k \\leq K } = \\operatorname * { a r g m i n } _ { { \\pmb { \\mathscr { B } } } _ { k } , { \\pmb { \\mathscr { A } } } _ { k } , 1 \\leq k \\leq K } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left( y ^ { i } - \\sum _ { k = 1 } ^ { K } \\langle \\Xi ^ { i } , { \\pmb { \\mathscr { B } } } _ { k } \\otimes { \\pmb { \\mathscr { A } } } _ { k } \\rangle \\right) ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 256, + 125, + 738, + 170 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Denote $\\pmb { x } ^ { i } = \\mathrm { v e c } ( \\pmb { \\mathcal X } ^ { i } )$ and $z ^ { i } = \\mathrm { v e c } ( \\mathfrak { T } ^ { i } )$ , and it can be verified that $\\pmb { z } ^ { i } = \\pmb { U } _ { G } ^ { \\prime } \\pmb { x } ^ { i }$ , where $U _ { G } =$ ${ \\cal U } _ { \\mathcal { F } } ^ { ( 1 ) } \\otimes \\{ { \\cal U } _ { \\mathcal { F } } ^ { ( N ) } \\otimes [ { \\cal U } _ { \\mathcal { F } } ^ { ( N - 1 ) } \\otimes \\cdots \\otimes ( { \\cal U } _ { \\mathcal { F } } ^ { ( 3 ) } \\otimes { \\cal U } _ { \\mathcal { F } } ^ { ( 2 ) } ) ] \\}$ represents the CNN operations on the inputs.ing technical assumptions. $\\bar { \\pmb x } = ( { \\pmb x } ^ { 1 \\prime } , { \\pmb x } ^ { 2 \\prime } , \\ldots , { \\pmb x } ^ { n \\prime } ) ^ { \\prime }$ , and we make the follow ", + "bbox": [ + 173, + 179, + 825, + 229 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Assumption 1. (Time-dependent inputs) $\\bar { \\pmb x }$ is normally distributed with mean zero and variance $\\pmb { \\Sigma } = \\mathbb { E } ( \\bar { \\pmb { x } } \\bar { \\pmb { x } } ^ { \\prime } )$ , where $c _ { x } I \\leq \\Sigma \\leq C _ { x } I$ for some $0 < c _ { x } < C _ { x }$ . ", + "bbox": [ + 173, + 232, + 821, + 262 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Denote by $\\lambda _ { \\operatorname* { m a x } } ( A )$ and $\\lambda _ { \\mathrm { m i n } } ( A )$ the maximum and minimum eigenvalues of a symmetric matrix $\\pmb { A }$ , respectively. When $\\{ { \\pmb x } ^ { i } \\}$ is a stationary time series with spectral density function $f _ { X } ( \\theta )$ , we can take $c _ { x } = \\operatorname* { i n f } _ { - \\pi \\leq \\theta \\leq \\pi } \\lambda _ { \\mathrm { m i n } } ( f _ { X } ( \\theta ) )$ and $\\begin{array} { r } { C _ { x } = \\operatorname* { s u p } _ { - \\pi \\leq \\theta \\leq \\pi } \\lambda _ { \\operatorname* { m a x } } ( f _ { X } ( \\theta ) ) } \\end{array}$ ; see Basu & Michailidis (2015). For independent inputs, $\\pmb { \\Sigma } = \\mathrm { d i a g } \\{ \\pmb { \\Sigma } _ { 1 1 } , \\dots , \\pmb { \\Sigma } _ { n n } \\}$ is block diagonal, and it holds that $c _ { x } = \\mathrm { m i n } _ { 1 \\leq j \\leq n } \\lambda _ { \\mathrm { m i n } } ( \\Sigma _ { j j } )$ and $C _ { x } = \\operatorname* { m a x } _ { 1 \\leq j \\leq n } \\lambda _ { \\operatorname* { m a x } } \\big ( \\Sigma _ { j j } \\big ) .$ , where $\\Sigma _ { j j } = \\breve { \\mathbb { E } } ( { \\pmb x } ^ { j } { \\pmb x } ^ { j \\prime } )$ . ", + "bbox": [ + 173, + 270, + 825, + 344 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Assumption 2. (Sub-Gaussian errors) $\\{ \\xi ^ { i } \\}$ are independent $\\sigma ^ { 2 }$ -sub-Gaussian random variables with mean zero, and is independent of $\\{ \\boldsymbol { x } ^ { j } , 1 \\le j \\le i \\}$ for all $1 \\leq i \\leq n$ . ", + "bbox": [ + 173, + 345, + 826, + 378 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Assumption 3. (Restricted isometry property) $c _ { u } I \\leq U _ { G } ^ { \\prime } U _ { G } \\leq C _ { u } I$ for some $0 < c _ { u } < C _ { u }$ . ", + "bbox": [ + 174, + 380, + 785, + 396 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Denote comple $\\kappa _ { U } = C _ { x } C _ { u }$ and at (5) $\\kappa _ { L } = c _ { x } c _ { u }$ $\\begin{array} { r } { \\pmb { \\mathcal { W } } ^ { * } = \\sum _ { k = 1 } ^ { K } \\pmb { \\mathcal { B } } _ { k } ^ { * } \\otimes \\pmb { \\mathcal { A } } _ { k } ^ { * } } \\end{array}$ rue and del. $d _ { \\mathcal { M } } = K ( P + L + 1 )$ $P = p _ { 1 } p _ { 2 } \\cdot \\cdot \\cdot p _ { N }$ $L = l _ { 1 } l _ { 2 } \\cdots l _ { N }$ ", + "bbox": [ + 173, + 405, + 825, + 438 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Theorem 1 (CNN). Suppose that Assumptions 1-3 hold and $n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } d _ { \\mathcal { M } }$ . Then, ", + "bbox": [ + 176, + 439, + 745, + 455 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/bd9a88abfaea97a48dd179d6ac8ec329617eaf557b6683e276489500d50afd6d.jpg", + "text": "$$\n\\| \\widehat { \\pmb { w } } - \\pmb { w } ^ { * } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\ a n d , \\quad \\pmb { \\mathcal { E } } ( \\widehat { \\pmb { w } } ) \\leq \\sqrt { \\kappa _ { U } } \\| \\widehat { \\pmb { w } } - \\pmb { w } ^ { * } \\| _ { \\mathrm { F } }\n$$", + "text_format": "latex", + "bbox": [ + 217, + 457, + 781, + 500 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "with probability $1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n - 9 d _ { \\mathcal { M } } ] \\} - \\exp \\{ - d _ { \\mathcal { M } } - 8 \\delta \\} ,$ where $\\delta = O _ { p } ( 1 )$ $c _ { \\mathrm { H } }$ is a positive value, $\\alpha _ { \\mathrm { R S C } } = \\kappa _ { L } / 2$ , and $\\alpha _ { \\mathrm { R S M } } = 3 \\kappa _ { U } / 2$ . ", + "bbox": [ + 169, + 502, + 821, + 534 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "It can be seen that the prediction error $\\varepsilon ( \\widehat { \\sf w } )$ , is $O _ { p } ( \\sqrt { d _ { \\mathcal { M } } / n } )$ , and hence the sample complexity is of order $O ( d _ { \\mathcal { M } } / \\varepsilon ^ { 2 } )$ , to achieve a prediction error $\\varepsilon$ . Technical proofs of all theorems and corollary in the paper are deferred to Appendix A.3. ", + "bbox": [ + 173, + 542, + 825, + 590 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Note that, for simplicity, we assume a simple regression model at (5). The theoretical analysis can indeed be established for classification problems as well. In details, we provide corresponding theorem and corollaries for both binary and multiclass classification problems in Appendix A.4. ", + "bbox": [ + 173, + 595, + 825, + 638 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "2.4 CNNS WITH MORE LAYERS ", + "text_level": 1, + "bbox": [ + 176, + 655, + 405, + 669 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Consider a 5-layer CNN with “convolution pooling convolution $ \\mathrm { p o o l i n g }$ fully connected” layers, where the settings for the first “convolution pooling” layers are the same as those in Section 2.2. ", + "bbox": [ + 173, + 680, + 825, + 723 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Denote the kernel for the second convolution by $\\mathcal { \\widetilde { A } } \\in \\mathbb { R } ^ { \\tilde { l } _ { 1 } \\times \\tilde { l } _ { 2 } \\times \\cdots \\times \\tilde { l } _ { N } }$ , and the fully-connected weight tensor $\\mathbf { \\mathcal { B } }$ is of size $\\mathbb { R } ^ { \\tilde { p } _ { 1 } \\times \\tilde { p } _ { 2 } \\times \\dots \\times \\tilde { p } _ { N } }$ . We similarly define matrices $\\widetilde { U } _ { i _ { j } } ^ { ( j ) }$ ) and U (j)F,i , which are both of size $\\mathbb { R } ^ { p _ { j } \\times \\tilde { l } _ { j } }$ with $1 \\leq i _ { j } \\leq \\tilde { p } _ { j }$ and $1 \\leq j \\leq N$ , and can be used to represent the second convolution and pooling operations, respectively. Note that the output from the first pooling layer, $\\boldsymbol { \\mathfrak { X } } _ { c p }$ , is the input to the second convolution layer, and hence the output from the second pooling layer has entries ", + "bbox": [ + 173, + 727, + 825, + 810 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/efd8929346e4ce9ab0c926368e2b4fbf271e269d0dc218d7b8f59cafd5bd2314.jpg", + "text": "$$\n\\widetilde { \\mathfrak { X } } _ { c p } ( i _ { 1 } , i _ { 2 } , \\ldots , i _ { N } ) = \\langle \\mathfrak { X } _ { c p } , \\widetilde { \\mathbf { \\mathcal { A } } } \\times _ { 1 } \\widetilde { U } _ { \\mathcal { F } , i _ { 1 } } ^ { ( 1 ) } \\times _ { 2 } \\widetilde { U } _ { \\mathcal { F } , i _ { 2 } } ^ { ( 2 ) } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N } \\widetilde { U } _ { \\mathcal { F } , i _ { N } } ^ { ( N ) } \\rangle .\n$$", + "text_format": "latex", + "bbox": [ + 261, + 813, + 733, + 835 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Stack the matrices $\\{ U _ { \\mathcal { F } , i _ { j } } ^ { ( j ) } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } } \\} _ { 1 \\leq i _ { j } \\leq p _ { j } }$ and $\\{ \\tilde { U } _ { \\mathcal { F } , i _ { j } } ^ { ( j ) } \\in \\mathbb { R } ^ { p _ { j } \\times \\tilde { l } _ { j } } \\} _ { 1 \\leq i _ { j } \\leq \\tilde { p } _ { j } }$ into 3D tensors ${ \\mathfrak { u } } ^ { ( j ) } \\in$ $\\mathbb { R } ^ { d _ { j } \\times l _ { j } \\times p _ { j } }$ and $\\widetilde { \\boldsymbol { \\mathsf { u } } } ^ { ( j ) } \\in \\mathbb { R } ^ { p _ { j } \\times \\widetilde { l } _ { j } \\times \\widetilde { p } _ { j } }$ , respectively. Let $U _ { \\mathcal { D F } } ^ { ( j ) } = ( \\mathfrak { U } ^ { ( j ) } \\times _ { 3 } \\widetilde { \\mathfrak { u } } ^ { ( j ) } ) _ { ( 1 ) }$ for $1 \\leq j \\leq N$ and, by some algebra in Appendix A.2, we can show that the predicted output has the form of ", + "bbox": [ + 173, + 845, + 825, + 902 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/12a818b5f9190782365307e4b46e8c15a070524bc5a01b7d21cb66a7c7d5528d.jpg", + "text": "$$\n\\widehat { \\boldsymbol { y } } = \\langle \\widetilde { \\mathfrak { X } } _ { c p } , \\mathbf { \\mathcal { B } } \\rangle = \\langle \\pmb { \\mathcal { X } } , ( \\mathbf { \\mathcal { B } } \\otimes \\widetilde { \\pmb { A } } \\otimes \\pmb { \\mathcal { A } } ) \\times _ { 1 } \\pmb { U } _ { \\mathcal { D F } } ^ { ( 1 ) } \\times _ { 2 } \\pmb { U } _ { \\mathcal { D F } } ^ { ( 2 ) } \\times _ { 3 } \\dots \\times _ { N } \\pmb { U } _ { \\mathcal { D F } } ^ { ( N ) } \\rangle ,\n$$", + "text_format": "latex", + "bbox": [ + 253, + 905, + 741, + 926 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\mathcal { U } ^ { ( j ) } \\times _ { 3 } \\widetilde { \\mathcal { U } } ^ { ( j ) }$ yields a tensor of size $\\mathbb { R } ^ { d _ { j } \\times l _ { j } \\times \\widetilde { l } _ { j } \\times \\widetilde { p } _ { j } }$ , with $\\begin{array} { r } { \\sum _ { i = 1 } ^ { p _ { j } } \\mathcal { \\mathbf { U } } ^ { ( j ) } ( k _ { 1 } , k _ { 2 } , i ) \\widetilde { \\mathbf { U } } ^ { ( j ) } ( i , k _ { 3 } , k _ { 4 } ) } \\end{array}$ as its $( k _ { 1 } , k _ { 2 } , k _ { 3 } , k _ { 4 } ) \\cdot$ th entry. The case with multiple kernels will have a form similar to (4). Following the same logic, it can indeed be generalized to an even deeper CNN by adding more “convolutionpooling” layers. Since the composite weight tensor always has a “Tucker-like” form, techniques in proving Theorem 1 can be adopted to conduct the sample complexity analysis for deep CNNs. ", + "bbox": [ + 173, + 102, + 825, + 178 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Note that, at model (7), the kernels at different convolution layers appear in the form of $\\widetilde { \\mathbfcal { A } } \\otimes \\mathcal { A }$ , which actually provides a theoretical justification for exploring the layer-wise low-dimensional structure in the literature. On the other hand, we summarize all weights of a network into one single tensor, akin to Kossaifi et al. (2019). But our summarized tensor has an explicit “nested doll” structure, where the weight structure of the previous layer is nested within that of the current layer. ", + "bbox": [ + 174, + 185, + 825, + 257 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In practice, zero-padding can be used before each convolution layer to preserve the input size. This is compatible with our framework, since we can propagate the padding of zeros to previous layers and all the way back to the input tensor $\\boldsymbol { x }$ . ", + "bbox": [ + 174, + 262, + 825, + 306 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3 COMPRESSED CNNS ", + "text_level": 1, + "bbox": [ + 176, + 324, + 380, + 340 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "For a high-order input, a deep CNN with a larger number of kernels may involve heavy computation, which renders its training difficult for portable devices with limited resources. In real applications, many compressed CNN block designs have been proposed to improve the efficiency, and most of them are based on either matrix factorization or tensor decomposition; see Lebedev et al. (2015); Kim et al. (2016); Astrid & Lee (2017); Kossaifi et al. (2020b). ", + "bbox": [ + 174, + 354, + 825, + 426 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Tucker decomposition can be used to compress CNNs, which is same as introducing a multilayer CNN block; see Figure 3 in Kim et al. (2016). Specifically, we stack the kernels $\\pmb { \\mathcal { A } } _ { k } \\in \\mathbf { \\mathbb { R } } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } }$ with $1 \\leq k \\leq K$ into a higher order tensor $\\mathcal { A } _ { \\mathrm { s t a c k } } ^ { \\mathrm { ~ ~ } } \\in \\mathbb { R } ^ { l _ { 1 } ^ { \\circ } \\times l _ { 2 } \\times \\cdots \\times l _ { N } \\times K }$ , and assume that $\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }$ has Tucker ranks of $( R _ { 1 } , R _ { 2 } , \\cdot \\cdot \\cdot , R _ { N } , R _ { N + 1 } )$ . As a result, ", + "bbox": [ + 174, + 431, + 825, + 489 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/2e4449a335278e7ddf4c328be2cf8c44a46f529e48bd778b2d9f274a08039cd7.jpg", + "text": "$$\n\\pmb { \\mathcal { A } } _ { \\mathrm { s t a c k } } = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\cdots \\times _ { N + 1 } \\pmb { H } ^ { ( N + 1 ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 330, + 492, + 666, + 511 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\mathfrak { G } \\in \\mathbb { R } ^ { R _ { 1 } \\times \\cdots \\times R _ { N } \\times R _ { N + 1 } }$ is the core tensor, and $\\pmb { H } ^ { ( j ) } \\in \\mathbb { R } ^ { l _ { j } \\times R _ { j } }$ are factor matrices for $1 \\leq$ $j \\ \\leq \\ N + 1$ . From Section 2, to train such a compressed CNN block with linear activations is equivalent to search for the least-square estimators at (6) with $\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }$ being constrained to have the ators by , and the $\\{ \\widehat { \\pmb { \\mathscr { B } } } _ { k } ^ { \\mathrm { T U } } , \\widehat { \\pmb { A } } _ { k } ^ { \\mathrm { T U } } \\} _ { 1 \\leq k \\leq K } .$ f. $\\begin{array} { r } { \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathrm { T U } } = \\sum _ { k = 1 } ^ { K } \\widehat { \\pmb { \\mathscr { B } } } _ { k } ^ { \\mathrm { T U } } \\otimes \\widehat { \\pmb { A } } _ { k } ^ { \\mathrm { T U } } } \\end{array}$ $\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { T U } } = \\prod _ { j = 1 } ^ { N + 1 } R _ { j } + \\sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P } \\end{array}$ CP decomposition is more popular in compressing CNNs; see Kossaifi et al. (2020b); Lebedev et al. (2015); Astrid $\\&$ Lee (2017). Let $\\{ \\hat { \\mathfrak { B } } _ { k } ^ { \\mathrm { \\bar { C P } } } , \\hat { \\mathcal { A } } _ { k } ^ { \\bar { \\mathrm { C P } } } \\} _ { 1 \\leq k \\leq K }$ be the least-square estimators at (6) with $\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }$ having a CP decomposition with a rank of $R$ . Then, the trained weights are $\\widehat { \\sf w } _ { \\mathrm { C P } } =$ $\\begin{array} { r } { \\sum _ { k = 1 } ^ { K } \\widehat { \\mathbf { B } } _ { k } ^ { \\mathrm { C P } } \\otimes \\widehat { \\mathbf { A } } _ { k } ^ { \\mathrm { C P } } } \\end{array}$ , and the model complexity is $\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { C P } } = R ^ { N + 1 } + R ( \\sum _ { i = 1 } ^ { N } l _ { i } + P ) } \\end{array}$ . ", + "bbox": [ + 173, + 512, + 826, + 678 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Theorem 2 (Compressed CNN). Let $( \\widehat { \\mathcal { W } } , d _ { \\mathcal { M } } )$ be $( \\widehat { \\sf w } _ { \\mathrm { T U } } , d _ { \\mathcal { M } } ^ { \\mathrm { T U } } )$ for Tucker decomposition, or $( \\widehat { \\sf w } _ { \\mathrm { C P } } , d _ { \\mathcal { M } } ^ { \\mathrm { C P } } )$ for $C P$ decomposition. Suppose that Assumptions 1-3 hold and $n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } c _ { N } d _ { \\mathcal { M } }$ . Then, ", + "bbox": [ + 174, + 680, + 825, + 729 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/fb187e2961257565548b057427fa52ba9f26b8b37704d0800ef004da904400fd.jpg", + "text": "$$\n\\| \\widehat { \\pmb { w } } - \\pmb { w } ^ { * } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\ a n d , \\quad \\pmb { \\mathcal { E } } ( \\widehat { \\pmb { w } } ) \\leq \\sqrt { \\kappa _ { U } } \\| \\widehat { \\pmb { w } } - \\pmb { w } ^ { * } \\| _ { \\mathrm { F } }\n$$", + "text_format": "latex", + "bbox": [ + 207, + 729, + 787, + 772 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "with probability $\\begin{array} { r } { 1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n - 3 c _ { N } d _ { \\mathcal { M } } ] \\} - \\exp \\{ - d _ { \\mathcal { M } } - 8 \\delta \\} , } \\end{array}$ , where $\\delta = O _ { p } ( 1 )$ , $c _ { N } = 2 ^ { N + 1 } \\log ( N + 2 )$ , $c _ { \\mathrm { H } }$ is a positive value and $\\alpha _ { \\mathrm { R S C } } , \\alpha _ { \\mathrm { R S M } }$ are defined in Theorem $^ { l }$ . ", + "bbox": [ + 171, + 775, + 823, + 808 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Theorem 2 shows that, as expected, the sample complexity is proportional to the model complexity. Compared to Theorem 1, we see that the sample complexity of the compressed CNN depends on $\\textstyle \\sum _ { i = 1 } ^ { N } l _ { i }$ instead of large num $\\textstyle \\prod _ { i = 1 } ^ { N } l _ { i }$ . When the input dimension arameters. $N$ is large, compressed CNN can indeed ", + "bbox": [ + 174, + 815, + 825, + 875 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "However, we notice that the sample complexity of a compressed CNN depends on the rank $R _ { N + 1 }$ or $R$ , rather than the number of kernels $K$ . This differs from the naive parameter counting, and we hence provide the rationale behind this counter-intuitive observation in the corollary below. ", + "bbox": [ + 174, + 881, + 823, + 924 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Corollary 1. (a) If $\\mathbfcal { A }$ has a Tucker decomposition with the ranks of $( R _ { 1 } , R _ { 2 } , \\cdot \\cdot \\cdot , R _ { N + 1 } )$ , the CNN is equivalent to one with $R _ { N + 1 }$ kernels, and each kernel $\\mathbf { \\mathcal { A } } _ { r }$ , where $1 \\le r \\le R _ { N + 1 }$ , has a Tucker decomposition with ranks of $( R _ { 1 } , R _ { 2 } , \\cdots , R _ { N } )$ . Moreover, (b) if the stacked kernel tensor $\\mathbfcal { A }$ has a CP decomposition with rank $R$ , the corresponding CNN can be reparameterized into one with $R$ kernels, and each kernel $\\mathbf { \\mathcal { A } } _ { r }$ , where $1 \\leq r \\leq R$ , has a $C P$ decomposition form with rank $R$ . ", + "bbox": [ + 173, + 103, + 825, + 174 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Define the $K / R$ ratio to be the value of $K / R _ { N + 1 }$ for Tucker decomposition or $K / R$ for CP decomposition, and in practice, it always holds that $K \\geq R$ . Corollary 1 essentially states that when $K / \\bar { R } > 1$ , there exists model redundancy in the CNN model with linear activations. In other words, we can obtain a more compressed network by setting $K = R$ such that it has the same sample complexity as the previous one. The $K / R$ ratio appears in various block designs; see Figure 2. And we can use this finding to evaluate their model efficiency. ", + "bbox": [ + 174, + 185, + 825, + 268 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "(T1) Standard bottleneck block. The basic building block in ResNet (He et al., 2016) can be exactly replicated by a Tucker decomposition on $\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } } \\mathbf { \\Psi } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times C \\times K }$ , with ranks of $( l _ { 1 } , l _ { 2 } , R , R )$ , where $C$ is the number of input channels (Kossaifi et al., 2020b). As shown by the ablation studies in Session 4, when $K \\gg R$ , this design may not be the most parameter efficient. ", + "bbox": [ + 174, + 275, + 825, + 332 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "(T2) Funnel block. As a straightforward revision on a standard bottleneck block, the funnel block maintains an output channel size of $K = R$ . This is hence an efficient block design. Also, when $R = C$ , we obtain a normalized funnel block, with the same number of input and output channels. ", + "bbox": [ + 174, + 339, + 823, + 381 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "(C1) Depthwise separable block. This block is the basic module in MobileNetV1 (Howard et al., 2017) with a pair of depthwise and pointwise separable convolution layers. It is equivalent to assuming a CP decomposition on $\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times C \\times K }$ with the rank of $C$ (Kossaifi et al., 2020b). The $1 \\times 1$ pointwise convolution expands the numbers of channels from $C$ to $K$ . When $K \\gg C$ , this design is parameter inefficient from a computation viewpoint. ", + "bbox": [ + 174, + 387, + 825, + 458 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "(C2) Inverted residual block. Sandler et al. (2018) later proposed this design in MobileNetV2. It includes expansive layers between the input and output layers, with the channel size of $x \\cdot C ( x \\geq 1 )$ , where $x$ represents the expansion factor. As discussed by Kossaifi et al. (2020b), it can heuristically correspond to a CP decomposition on $\\mathbf { \\mathcal { A } } _ { s t a c k }$ , with CP rank equals to $x \\cdot C$ . Since, the rank of output channel dimension can be at most $x \\cdot C$ , as long as $K \\leq x \\cdot C$ holds, it is theoretically efficient and provides leeway for exploring thicker layers within blocks. ", + "bbox": [ + 174, + 464, + 825, + 549 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "With nonlinear activations, the model redundancy may bring some benefit. Such benefit is often not guaranteed. And when $K \\gg R$ , it will, without a doubt, greatly hinder computational efficiency. We will show, in our ablation studies in the next section, that under realistic settings with nonlinear activations, our finding on the $K / R$ ratio still applies. Specifically, networks with $K / R = 1$ maintains comparable performance as networks with $K / R > 1$ , while using much less parameters. ", + "bbox": [ + 174, + 555, + 825, + 626 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 645, + 326, + 661 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "This section first verifies the theoretical results with synthetic datasets, and then conducts ablation studies on the bottleneck blocks in ResNet (He et al., 2016) with different $K / R$ ratios. ", + "bbox": [ + 173, + 678, + 823, + 705 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 NUMERICAL ANALYSIS FOR THEORETICAL RESULTS ", + "text_level": 1, + "bbox": [ + 173, + 723, + 575, + 737 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We choose four settings to verify the sample complexity in Theorem 1; see Table 1. The parameter tensors $\\{ \\mathcal { A } _ { k } , \\mathbf { \\mathcal { B } } _ { k } \\} _ { k = 1 } ^ { \\tilde { K } }$ are generated to have standard normal entries. We consider two types of inputs: the independent inputs are generated with entries being standard normal random variables, and the time-dependent inputs $\\{ \\boldsymbol { x } ^ { i } \\}$ are generated from a stationary VAR(1) process. The random additive noises are generated from the standard normal distribution. The number of training samples $n$ varies such that $\\sqrt { d _ { \\mathcal { M } } / n }$ is equally spaced in the interval [0.15, 0.60], with all other parameters fixed. For each $n$ , we generate 200 training sets to calculate the averaged estimation error in Frobenius norm. It can be seen that the estimation error increases linearly with the square root of $d _ { \\mathcal { M } } / n$ , which is consistent with our finding in Theorem 1. ", + "bbox": [ + 173, + 748, + 825, + 777 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/a3768d1e3deaea4c8afa9ba74b299b3f820193c2a00cdcc9d4d2ecfc1c2dff3b.jpg", + "image_caption": [ + "Figure 2: We use thickness of each layer to indicate its relative number of channels. The last layer indicates the output of the block. The dashed layer represents the ”bottleneck” of the block. " + ], + "image_footnote": [], + "bbox": [ + 214, + 804, + 787, + 876 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/66fd98e1453d10e0a32835a55059ac12caf848771f33080757dee7ab134e626e.jpg", + "table_caption": [ + "Table 1: Different settings for verifying Theorem 1 (left), and Theorem 2 (right). " + ], + "table_footnote": [], + "table_body": "
Input sizesKernel sizesPooling sizes#KernelsInput sizesKernel sizesPooling sizesTucker ranks#Kernels
Setting 1 (S1)(7,5,7)(2,2,2)(3,2,3)1(10,10,8,3)(5,5,3)(3,3,3)(2,2,2,1)2
Setting 2(S2)(7,5,7)(2,2,2)(3,2,3)3(10,10,8,3)(5,5,3)(3,3,3)(2,2,2,1)3
Setting 3 (S3)(8,8,3)(3,3,3)(3,3,1)1(12,12,6,3)(7,7,3)(3,3,2)(2,3,2,1)2
Setting 4 (S4)(8,8,3)(3,3,3)(3,3,1)3(12,12,6,3)(7,7,3)(3,3,2)(2,3,2,1)3
", + "bbox": [ + 178, + 127, + 823, + 183 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/bb77514674586634a92f6ffaeb5c7d18e5053158467dbf188c98053da10f5579.jpg", + "image_caption": [ + "Figure 3: (1)-(2) are the experiment results for Theorem 1 with independent and dependent inputs, respectively. (3) is the experiment results for Tucker CNN in Theorem 2. " + ], + "image_footnote": [], + "bbox": [ + 181, + 195, + 797, + 250 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 318, + 825, + 417 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For Theorem 2, we also adopt four different settings; see Table 1. Here, we consider 4D input tensors. The stacked kernel $\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }$ is generated by (8), where the core tensor has standard normal entries and the factor matrices are generated to have orthonormal columns. The number of training samples $n$ is similarly chosen such that $\\sqrt { d _ { \\mathcal { M } } ^ { \\mathrm { T U } } / n }$ is equally spaced. A linear trend between the estimation error and the square root of $d _ { \\mathcal { M } } ^ { \\mathrm { T U } } / n$ can be observed, which verifies Theorem 2. ", + "bbox": [ + 173, + 424, + 825, + 507 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For details of implementation, we employed the gradient descent method for the optimization with a learning rate of 0.01 and a momentum of 0.9. The procedure is deemed to have reached convergence if the target function drops by less than $1 0 ^ { - 8 }$ . ", + "bbox": [ + 174, + 512, + 825, + 554 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.2 ABLATION STUDIES ON COMPUTATIONALLY-EFFICIENT BLOCK DESIGNS ", + "text_level": 1, + "bbox": [ + 174, + 573, + 710, + 587 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Following the notation in Section 3, we denote by $K$ , the number of output channels of a bottleneck block, and by $R$ , the Tucker rank of $\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }$ along the output channels dimension. Since $K \\geq R$ , we let $t = K / R$ be the expansive ratio of the block. As $t$ increases, the number of parameters within the block increases. Here, ablation studies are conducted to show that the increase in $t$ does not necessarily lead to the increase in test accuracy. We analyze two image recognition datasets, CIFAR10 (Krizhevsky et al., 2009) and Street View House Numbers (SVHN) (BNetzer et al., 2011), and an action recognition dataset, UCF101 (Soomro et al., 2012). Standard data pre-processing and augmentation techniques are adopted to all three datasets (He et al., 2016; Hara et al., 2017). ", + "bbox": [ + 173, + 598, + 825, + 710 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Network architecture. Two network architectures are considered in our study; as shown in Figure 4. For image recognition datasets, we adopt a 41-layer Residual Network: it consists of a $3 \\times 3$ convolution layer, a max pooling layer, followed by 3 groups of $A + x \\times B$ residual blocks with different $R$ , and ends with an average pooling and fully-connected layer. Block B represents the bottleneck structure that we are interested in. The standard bottleneck block corresponds to $t =$ 4. When $t \\ = \\ 1$ , it corresponds to the normalized funnel block in Section 3 (T2). For sake of comparison, we also take $t = 8$ or 16. When $t > 1$ , Block A is the standard downsampling block that contains convolution with the stride size of 2. It is inefficient according to our study. So when $t = 1$ , we propose minor revisions to simultaneously increase the channels while performing the stride-2 $3 \\times 3$ convolution. For UCF101 dataset, we use 3D ResNet-18 as the basic framework and insert 4 stacks of Block B with $R = 2 5 6$ before the average pooling and fully-connected layer. ", + "bbox": [ + 173, + 717, + 825, + 801 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/88819a912ea86fb006f1f8938ade5e1bc8b1133d18fdcdf2721b1b628a4ff882.jpg", + "table_caption": [ + "Table 2: Test accuracy $( \\% )$ on CIFAR-10, SVHN and UCF101. For UCF101, we only count the number of parameters and FLOPs for the added blocks. " + ], + "table_footnote": [], + "table_body": "
tCIFAR-10SVHN#FLOPs#ParamsUCF101#Added FLOPs#Added Params
193.5396.300.17GMac5.56M79.310.125GMac6.97M
493.1096.090.26GMac8.55M79.360.145GMac9.16M
893.5996.320.43GMac14.15M79.250.175GMac11.11M
1694.0396.310.87GMac29.28M79.520.235GMac15.00M
", + "bbox": [ + 274, + 864, + 725, + 921 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/8bc56d9574903ac62a265cf1407947d70929a72df2a03472b08907531a8f49a8.jpg", + "image_caption": [ + "Figure 4: (1) 41-layer Residual Network for CIFAR-10&SVNH. (2) 30-layer 3D Residual Network for UCF101. Here, $t = K / R$ represents the expansion ratio, and takes values of 1,4,8,16. " + ], + "image_footnote": [], + "bbox": [ + 178, + 98, + 826, + 227 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 305, + 825, + 376 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Results. The results in Table 2 provide empirical support for our theoretical finding. Though the number of parameters in the network increases with larger $t$ , the overall test accuracy remains roughly comparable. For CIFAR-10, it may appear that the test accuracy for $t \\ = \\ 1 6$ is slightly better than $t = 1$ but it uses 5 times as many parameters. ", + "bbox": [ + 174, + 382, + 823, + 438 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Implementation details. All experiments are conducted in PyTorch and on Tesla V100-DGXS. Following the practice in He et al. (2016), we adopt batch normalization(BN) (Ioffe & Szegedy, 2015) right after each convolution and before the ReLU activation. For network (1), we initialize the weights as in He et al. (2015). We use stochastic gradient descent with weight decay $1 0 ^ { - 4 }$ , momentum 0.9 and mini-batch size 128. The learning rate starts from 0.1 and is divided by 10 for every 100 epochs. We stop training after 300 epochs, since the training accuracy hardly changes. The training accuracy is approximately $93 \\%$ for CIFAR-10 and $96 \\%$ for SVHN. We set seeds 1-5 and report the worst case scenario of the test accuracy in Table 2. For network (2), we follow Hara et al. (2018) and use the Kinetics pretrained 3D ResNet-18. The weights are fixed for the first few layers, and backward propagation is only applied to the added Block B layers and the fully-connected layer. We use stochastic gradient descent with weight decay $1 0 ^ { - 5 }$ , momentum 0.9 and mini-batch size 64 with 16 frames per clip. The learning rate starts from 0.001 and divided by 10 for every 30 epochs. Training is stopped after 80 epochs and top-1 clip accuracy is around $79 \\%$ for UCF101. ", + "bbox": [ + 173, + 445, + 825, + 625 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 CONCLUSION AND DISCUSSION ", + "text_level": 1, + "bbox": [ + 176, + 656, + 465, + 672 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Our paper proposes a unified theoretical framework that can adopt sample complexity analysis as a tool to study the effective number of parameter in a tensor decomposed CNN block. The main practical takeaways are: (i) For a large kernel tensor $\\mathbfcal { A }$ (Peng et al., 2017), it is always effective to impose low-rank structure on its input dimensions, such as height, width or time-length, etc; and (ii) It is essential to maintain $K / R = 1$ for a CNN block in order to increase accuracy in a more parameter efficient way. In this regard, one can either choose a small $R$ with deeper networks or a larger $R$ with shallower networks. In fact, when $K / R = 1$ , the block corresponds exactly to the “straightened” bottleneck in Zagoruyko & Komodakis (2016), who showed in their empirical study that by increasing $R$ in shallow networks, the test accuracy can indeed improve quite significantly. ", + "bbox": [ + 173, + 694, + 825, + 819 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Since the low-dimensional structure at convolution layers is our focus, tensor decomposition has been applied to the kernel weights $\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }$ only in Section 3. Kossaifi et al. (2017) applied tensor decomposition to fully-connected layers since they may contain a large number of parameters as well. Along the line, we can stack the fully-connected weights $\\mathbf { \\mathcal { B } } _ { k } \\in \\bar { \\mathbb { R } } ^ { p _ { 1 } \\times p _ { 2 } \\times \\cdots \\times p _ { N } }$ with $1 \\leq k \\leq$ $K$ into a higher order tensor $\\mathfrak { B } _ { \\mathrm { s t a c k } } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } \\times K }$ , and further consider a Tensor Contraction Layer (TCL) or Tensor Regression Layer (TRL) as in (Kossaifi et al., 2020a). 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More implementation details and results for additional experiments are presented in the last section. ", + "bbox": [ + 174, + 132, + 825, + 231 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.1 CNN FORMULATION ", + "text_level": 1, + "bbox": [ + 176, + 247, + 362, + 262 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "For a tensor input $\\pmb { \\chi } \\in \\mathbb { R } ^ { d _ { 1 } \\times \\cdots \\times d _ { N } }$ , it first convolutes with an $N$ -dimensional kernel tensor $\\textbf { \\mathcal { A } } \\in$ $\\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }$ with stride sizes equal to $s _ { c }$ , and then performs an average pooling with pooling sizes equal to $( q _ { 1 } , \\cdots , q _ { N } )$ . It ends with a fully-connected layer with the weight tensor $\\mathfrak { B }$ and produces a scalar output. We assume that $m _ { j } = ( d _ { j } - l _ { j } ) / s _ { c } + \\bar { 1 }$ are integers for $1 \\leq j \\leq N$ , otherwise zero-padding will be needed. For ease of notation, we take the pooling sizes $\\{ q _ { j } \\} _ { j = 1 } ^ { N }$ to satisfy the relationship mj = pj qj . ", + "bbox": [ + 173, + 272, + 825, + 361 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "To duplicate the operation of the convolution layer using a simple mathematical expression, we first need to define a set of matrices $\\{ U _ { i _ { j } } ^ { ( j ) } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } } \\}$ , where ", + "bbox": [ + 174, + 366, + 823, + 400 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/81b26ebfa2964e44c0508244663254d96ead51e53c1d30b5f9fd56900918300e.jpg", + "text": "$$\nU _ { i j } ^ { ( j ) } = \\big [ \\underbrace { \\mathbf { 0 } } _ { ( i _ { j } - 1 ) s _ { c } } \\underbrace { I } _ { l _ { j } } \\underbrace { \\mathbf { 0 } } _ { d _ { j } - ( i _ { j } - 1 ) s _ { c } - l _ { j } } \\big ] ^ { \\prime } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } } \\mathrm { f o r } 1 \\leq i _ { j } \\leq m _ { j } , 1 \\leq j \\leq N .\n$$", + "text_format": "latex", + "bbox": [ + 240, + 406, + 758, + 444 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "$U _ { i _ { j } } ^ { ( j ) }$ acts as a positioning factor to transform the kernel tensor $\\mathbfcal { A }$ into a tensor of same size as the input $\\boldsymbol { x }$ , with the rest of the entries equal to zero. ", + "bbox": [ + 171, + 453, + 823, + 484 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We are ready to construct our main formulation for a 3-layer tensor CNN. To begin with, we first illustrate the process using a vector input $\\pmb { x } \\in \\mathbb { R } ^ { d }$ , with a kernel vector $\\mathbf { \\Delta } _ { \\mathbf { \\pmb { a } } } \\in \\mathbb { R } ^ { l }$ ; see Fig 5. Using the $i ^ { \\mathrm { { t h } } }$ positioning matrix $U _ { i } ^ { ( 1 ) }$ , we can propagate the small kernel vector $\\textbf { \\em a }$ , into a vector $U _ { i } ^ { ( 1 ) } { \\pmb a }$ of size $\\mathbb { R } ^ { d }$ , by filling the rest of the entries with zeros. The intermediate output vector has entries given by $\\pmb { x } _ { c } ( i ) = \\langle \\pmb { x } , \\pmb { U } _ { i } ^ { ( 1 ) } \\pmb { a } \\rangle$ , for $1 \\leq i \\leq m$ . The average pooling operation is equivalent to forming $p$ consecusize e vecto, with s within th entry $\\mathbf { \\delta _ { x } } _ { c }$ , eachal to $\\mathbb { R } ^ { q }$ $\\pmb { x } _ { c p }$ f. $\\mathbb { R } ^ { p }$ $i$ $\\begin{array} { r } { \\pmb { x } _ { c p } ( i ) = q ^ { - 1 } \\sum _ { k = ( i - 1 ) q + 1 } ^ { i q } \\pmb { x } _ { c } ( i ) = \\langle \\pmb { x } , q ^ { - 1 } \\sum _ { k = ( i - 1 ) q + 1 } ^ { i q } \\pmb { U } _ { k } ^ { ( 1 ) } \\pmb { a } \\rangle } \\end{array}$ The fully-connected layer performs a weighted summation over the $p$ vectors, with weights given by entries of the vector $\\ b { b } \\in \\mathbb { R } ^ { p }$ . This gives us the predicted output $\\widehat { \\boldsymbol y } = \\langle \\boldsymbol b , \\boldsymbol x _ { c p } \\rangle = \\langle \\boldsymbol x , \\boldsymbol w _ { X } \\rangle$ , where ", + "bbox": [ + 173, + 491, + 826, + 633 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/e1061440fd4cae3ee15c20392c4c1ab9325cc59c7b659a2fb39f099d03a1ad15.jpg", + "text": "$$\n{ \\pmb w } _ { X } = \\sum _ { i = 1 } ^ { p } b _ { i } \\frac { 1 } { q } \\sum _ { k = ( i - 1 ) q + 1 } ^ { i q } U _ { k } ^ { ( 1 ) } { \\pmb a } = U _ { { \\mathcal { F } } } ^ { ( 1 ) } ( { \\pmb b } \\otimes { \\pmb a } ) = ( { \\pmb b } \\otimes { \\pmb a } ) \\times _ { 1 } U _ { { \\mathcal { F } } } ^ { ( 1 ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 266, + 637, + 728, + 684 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "and $\\begin{array} { r } { \\pmb { U } _ { \\mathcal { F } } ^ { ( 1 ) } = q ^ { - 1 } ( \\sum _ { k = 1 } ^ { q } \\pmb { U } _ { k } ^ { ( 1 ) } , \\cdots , \\sum _ { k = m - q + 1 } ^ { m } \\pmb { U } _ { k } ^ { ( 1 ) } ) } \\end{array}$ , and ” $\\times _ { 1 }$ ” represents the mode-1 product. ", + "bbox": [ + 169, + 690, + 803, + 712 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "For matrix input $\\boldsymbol { X }$ with matrix kernel $\\pmb { A }$ , however, we need 2 sets of positioning matrices, $\\{ U _ { i _ { 1 } } ^ { ( 1 ) } \\} _ { i _ { 1 } = 1 } ^ { m _ { 1 } }$ and $\\{ U _ { i _ { 2 } } ^ { ( 2 ) } \\} _ { i _ { 2 } = 1 } ^ { m _ { 2 } }$ , one for the height dimension and the other for width. Then, the intermediate output from convolution has entries given by $X _ { c } ( i _ { 1 } , i _ { 2 } ) = \\langle X , U _ { i _ { 1 } } ^ { ( 1 ) } A U _ { i _ { 2 } } ^ { ( 2 ) \\prime } \\rangle$ , for $1 \\leq i _ { 1 } \\leq p _ { 1 } , 1 \\leq i _ { 2 } \\leq p _ { 2 }$ . For the average pooling, we form $p _ { 1 } p _ { 2 }$ consecutive matrices from $X _ { c }$ , each of size $\\mathbb { R } ^ { q _ { 1 } \\times q _ { 2 } }$ and take the average. This results in $X _ { c p } \\ \\in \\ \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } }$ , with $X _ { c p } ( i _ { 1 } , i _ { 2 } ) ~ =$ $\\begin{array} { r } { \\langle \\pmb { X } , ( q _ { 1 } ^ { - 1 } \\sum _ { k _ { 1 } = ( i _ { 1 } - 1 ) q _ { 1 } + 1 } ^ { i _ { 1 } q _ { 1 } } U _ { k _ { 1 } } ^ { ( 1 ) } ) \\pmb { A } ( q _ { 2 } ^ { - 1 } \\sum _ { k _ { 2 } = ( i _ { 2 } - 1 ) q _ { 2 } + 1 } ^ { i _ { 2 } q _ { 2 } } U _ { k _ { 2 } } ^ { ( 2 ) } ) ^ { \\prime } \\rangle } \\end{array}$ . The output $X _ { c p }$ goes through fully-connected layer with weight matrix $\\textbf { { B } }$ and gives the predicted output ${ \\widehat { y } } = \\langle X , W _ { X } \\rangle$ , where ", + "bbox": [ + 173, + 715, + 828, + 832 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/b9eb598b1c9d043b301fc0122b403f73f199309d00094bdf7c0888300ed5e4b6.jpg", + "text": "$$\nW _ { X } = \\sum _ { i _ { 2 } = 1 } ^ { p _ { 2 } } \\sum _ { i _ { 1 } = 1 } ^ { p _ { 1 } } b _ { i _ { 1 } } b _ { i _ { 2 } } \\frac { 1 } { q _ { 1 } q _ { 2 } } ( \\sum _ { k _ { 1 } = ( i _ { 1 } - 1 ) q _ { 1 } + 1 } ^ { i _ { 1 } q _ { 1 } } U _ { k _ { 1 } } ^ { ( 1 ) } ) A ( \\sum _ { k _ { 2 } = ( i _ { 2 } - 1 ) q _ { 2 } + 1 } ^ { i _ { 2 } q _ { 2 } } U _ { k _ { 2 } } ^ { ( 2 ) \\prime } ) = ( B \\otimes A ) \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) } \\times _ { 2 } U _ { \\mathcal { F } } ^ { ( 2 ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 181, + 837, + 836, + 883 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "with $\\begin{array} { r } { \\pmb { U } _ { \\mathcal { F } } ^ { ( j ) } = q _ { j } ^ { - 1 } ( \\sum _ { k = 1 } ^ { q _ { j } } \\pmb { U } _ { k } ^ { ( j ) } , \\cdots , \\sum _ { k = m _ { j } - q _ { j } + 1 } ^ { m _ { j } } \\pmb { U } _ { k } ^ { ( j ) } ) } \\end{array}$ for $j = 1$ or 2. And ” $\\times _ { 1 }$ ”, ” $\\mathrm { \\tilde { \\times } _ { 2 } }$ ” represent the mode-1 and mode-2 product. ", + "bbox": [ + 174, + 890, + 823, + 924 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/7a7275fb1397cd3f51518cde467c76dca280364c7007dd239250eeffb7ca0717.jpg", + "image_caption": [ + "Figure 5: Formulating the process with an input vector $_ { \\textbf { \\em x } }$ . Note that we combine the convolution, pooling and fully connected layers into the composite weight vector ${ \\pmb w } _ { X }$ , where $\\begin{array} { r l } { { \\pmb w } _ { X } } & { { } = } \\end{array}$ $q ^ { - 1 } \\textstyle \\sum _ { i = 1 } ^ { \\bar { q } } U _ { i } ^ { ( \\bar { 1 } ) } { \\pmb a } + \\cdots + q ^ { - 1 } \\textstyle \\sum _ { i = m - q + 1 } ^ { q } U _ { i } ^ { ( 1 ) } { \\pmb a } .$ . The $\\circledast$ represents the convolution operation. " + ], + "image_footnote": [], + "bbox": [ + 173, + 103, + 816, + 219 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "From here, together with the case of high-order tensor input discussed in Session 2.2, we can then derive the form of predicted outcome as $\\widehat { y } = \\langle \\mathbf { x } , \\mathbf { w } _ { X } ^ { \\mathrm { s i n g l e } } \\rangle$ , where ", + "bbox": [ + 173, + 354, + 823, + 387 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/be77b9ea1f89aad6785abbb636e001ee2b57fb8abc2af6fa71874cfa2251ed54.jpg", + "text": "$$\n{ \\pmb w } _ { X } ^ { \\mathrm { s i n g l e } } = ( { \\pmb { \\mathscr { B } } } \\otimes { \\pmb { A } } ) \\times _ { 1 } { \\pmb U } _ { \\mathcal { F } } ^ { ( 1 ) } \\times _ { 2 } { \\pmb U } _ { \\mathcal { F } } ^ { ( 2 ) } \\times \\dots \\times { \\pmb U } _ { \\mathcal { F } } ^ { ( N ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 318, + 393, + 676, + 415 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "with $\\begin{array} { r } { \\boldsymbol { U } _ { \\mathcal { F } } ^ { ( j ) } = q _ { j } ^ { - 1 } ( \\sum _ { k = 1 } ^ { q _ { j } } \\boldsymbol { U } _ { k } ^ { ( j ) } , \\cdots , \\sum _ { k = m _ { j } - q _ { j } + 1 } ^ { m _ { j } } \\boldsymbol { U } _ { k } ^ { ( j ) } ) } \\end{array}$ , and ” $\\ \" \\times _ { j } \\ \"$ represents the mode- $j$ product for $1 \\leq j \\leq N$ . ", + "bbox": [ + 174, + 421, + 825, + 457 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "With $K$ kernels, we denote the set of kernels and the corresponding fully-connected weight tensors as $\\{ \\mathcal { A } _ { k } , \\mathbf { \\mathcal { B } } _ { k } \\} _ { k = 1 } ^ { K }$ . Since the convolution and pooling operations are identical across kernels, we can use a summation over kernels to derive the weight tensor for multiple kernels, which is ", + "bbox": [ + 174, + 462, + 825, + 506 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/86bc27bf0cf714ac7d5540ddd650e1a2ab6e7bff634cad4cd8ad3f50db3d1cbe.jpg", + "text": "$$\n\\pmb { \\mathscr { W } } _ { X } = ( \\sum _ { k = 1 } ^ { K } \\pmb { \\mathscr { B } } _ { k } \\otimes \\pmb { \\mathscr { A } } _ { k } ) \\times _ { 1 } \\pmb { U } _ { \\mathscr { F } } ^ { ( 1 ) } \\times _ { 2 } \\pmb { U } _ { \\mathscr { F } } ^ { ( 2 ) } \\times \\cdots \\times \\pmb { U } _ { \\mathscr { F } } ^ { ( N ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 308, + 511, + 687, + 555 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "and we arrive at the formulation for 3-layer tensor CNN. ", + "bbox": [ + 174, + 560, + 545, + 575 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "A.2 FIVE-LAYER CNN FORMULATION ", + "text_level": 1, + "bbox": [ + 176, + 592, + 452, + 607 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Consider a 5-layer CNN with ”convolution pooling convolution pooling fully connected” layers and a 3D tensor input $\\boldsymbol { \\mathcal { X } } \\in \\mathbb { R } ^ { d _ { 1 } \\times d _ { 2 } \\times d _ { 3 } }$ . Here, we denote the intermediate output from the first convolution by $\\mathbf { \\mathcal { X } } _ { c } ~ \\in ~ \\mathbb { R } ^ { m _ { 1 } \\times m _ { 2 } \\times m _ { 3 } }$ , from the second convolution by $\\tilde { \\mathbf { \\mathcal { X } } } _ { c } ~ \\in ~ \\bar { \\mathbb { R } ^ { m _ { 1 } \\times \\tilde { m } _ { 2 } \\times \\tilde { m } _ { 3 } } }$ , and the output from the first pooling by $\\mathbf { \\boldsymbol { X } } _ { c p } ~ \\in ~ \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times p _ { 3 } }$ e and from the second pooling by $\\widetilde { \\mathbf { \\boldsymbol { x } } } _ { c p } \\in \\mathbb { R } ^ { \\tilde { p } _ { 1 } \\times \\tilde { p } _ { 2 } \\times \\tilde { p } _ { 3 } }$ . We can first see that the predicted output from the 5-layer CNN is the same as directly feeding $\\boldsymbol { \\mathbf { \\mathit { X } } } _ { c p }$ to the second convolution layer, followed by an average pooling layer and a fully-connected layer. ", + "bbox": [ + 173, + 617, + 826, + 723 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Denote the first convolution kernel tensor by $\\pmb { \\mathcal { A } } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times l _ { 3 } }$ , the second convolution kernel tensor by $\\mathcal { A } \\in \\mathbb { R } ^ { \\tilde { l } _ { 1 } \\times \\tilde { l } _ { 2 } \\times \\tilde { l } _ { 3 } }$ , and the fully-connected weight tensor by $\\mathbf { B } \\in \\mathbb { R } ^ { \\tilde { p } _ { 1 } \\times \\tilde { p } _ { 2 } \\times \\tilde { p } _ { 3 } }$ . Define the set of matrices $\\{ U _ { i _ { j } } ^ { ( j ) } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } } \\}$ , for $1 \\leq i _ { j } \\leq m _ { j } , 1 \\leq j \\leq N$ as in (2). And similarly, define $\\{ \\widetilde { U } _ { i _ { j } } ^ { ( j ) } \\in \\mathbb { R } ^ { p _ { j } \\times \\tilde { l } _ { j } } \\}$ , with ", + "bbox": [ + 173, + 727, + 826, + 797 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/2806ffefc914922a5e232882c2d0a3528c042483379e0ed461c63ba1e6783a55.jpg", + "text": "$$\n\\widetilde { U } _ { i _ { j } } ^ { ( j ) } = \\bigl [ \\underbrace { \\textbf { 0 } } _ { ( i _ { j } - 1 ) \\tilde { s } _ { c } } \\underbrace { I } _ { \\tilde { l } _ { j } } \\underbrace { \\textbf { 0 } } _ { p _ { j } - ( i _ { j } - 1 ) \\tilde { s } _ { c } - \\tilde { l } _ { j } } \\bigr ] ^ { \\prime } ,\n$$", + "text_format": "latex", + "bbox": [ + 370, + 797, + 625, + 838 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "where $\\tilde { s } _ { c }$ is the stride size for the second convolution. Let $\\widetilde { U } _ { \\mathcal { F } } ^ { ( j ) } ~ = ~ ( \\widetilde { U } _ { \\mathcal { F , 1 } } ^ { ( j ) } , \\cdot \\cdot \\cdot , \\widetilde { U } _ { \\mathcal { F , p } _ { j } } ^ { ( j ) } ) ~ =$ $( \\tilde { q } _ { j } ^ { - 1 } \\sum _ { k = 1 } ^ { \\tilde { q } _ { j } } \\widetilde { U } _ { k } ^ { ( j ) } , \\cdot \\cdot \\cdot , \\tilde { q } _ { j } ^ { - 1 } \\sum _ { k = \\tilde { m } _ { j } - \\tilde { q } _ { j } + 1 } ^ { \\tilde { m } _ { j } } \\widetilde { U } _ { k } ^ { ( j ) } )$ $\\mathbb { R } ^ { d _ { j } \\times l _ { j } } \\} _ { 1 \\leq i _ { j } \\leq p _ { j } }$ and $\\{ \\widetilde { U } _ { \\mathcal { F } , i _ { j } } ^ { ( j ) } \\ \\in \\ \\mathbb { R } ^ { p _ { j } \\times \\tilde { l } _ { j } } \\} _ { 1 \\leq i _ { j } \\leq \\tilde { p } _ { j } }$ . We further stack the matrices into 3D tensors $\\mathcal { \\mathbf { U } } ^ { ( j ) } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } \\times p _ { j } }$ and $\\arg \\{ U _ { \\mathcal { F } , i _ { j } } ^ { ( j ) } \\in$ $\\boldsymbol { \\widetilde { \\mathfrak { U } } } ^ { ( j ) } \\in$ $\\mathbb { R } ^ { p _ { j } \\times \\tilde { l } _ { j } \\times \\tilde { p } _ { j } }$ . ", + "bbox": [ + 173, + 842, + 826, + 922 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "We have that the predicted output ", + "bbox": [ + 174, + 103, + 397, + 118 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/718e7716c287690b01bb01e5e67ca9b16db7068f79d56acc2d785b3c80121533.jpg", + "text": "$$\n\\begin{array} { r l } & { \\widehat { \\vartheta } = \\langle \\mathbf { B } \\otimes \\widehat { A } , \\boldsymbol { \\mathfrak { X } } _ { \\mathrm { e } } , \\boldsymbol { \\mathbf { x } } _ { N } , \\boldsymbol { \\widetilde { U } } _ { \\mathrm { e } } ^ { [ 1 ] ^ { \\prime } } , \\boldsymbol { \\times } _ { 2 } \\widetilde { U } _ { \\mathrm { e } } ^ { [ 2 ] ^ { \\prime } } \\times _ { 3 } \\widetilde { U } _ { \\mathrm { e } } ^ { [ 3 ] ^ { \\prime } } \\rangle } \\\\ & { \\quad = \\mathbf { B } \\otimes \\widehat { A } \\displaystyle \\sum _ { i = 1 } ^ { n } \\sum _ { 1 \\leq i = 1 } ^ { n } \\sum _ { 1 } ^ { n } \\langle A , \\boldsymbol { \\cdot } \\boldsymbol { \\times } _ { 1 } \\boldsymbol { U } _ { \\mathrm { e } , i } ^ { [ 1 ] ^ { \\prime } } \\times _ { 2 } U _ { \\mathrm { e } , i } ^ { [ 2 ] ^ { \\prime } } \\times _ { 3 } U _ { \\mathrm { e } , i } ^ { [ 3 ] ^ { \\prime } } \\rangle \\widetilde { u } _ { 1 } \\circ \\widetilde { u } _ { i , 2 } \\otimes \\widetilde { u } _ { i , 3 } } \\\\ & { \\quad = \\mathbf { B } \\otimes \\widehat { A } \\otimes A \\sum _ { 1 , i = 1 } ^ { n } \\sum _ { 2 } ^ { n } \\sum _ { 1 } ^ { n } \\sum _ { 1 } ^ { n } \\sum _ { 1 } ^ { n } ( \\widetilde { u } _ { 1 } \\otimes U _ { \\mathrm { e } , i } ^ { [ 1 ] ^ { \\prime } } ) \\times _ { 2 } ( \\widetilde { u } _ { i , 2 } \\otimes U _ { \\mathrm { e } , i } ^ { [ 2 ] ^ { \\prime } } ) \\times _ { 3 } ( \\widetilde { u } _ { i , 3 } \\otimes U _ { \\mathrm { e } , i } ^ { [ 3 ] ^ { \\prime } } ) } \\\\ & { \\quad = \\mathbf { B } \\otimes \\widetilde { A } \\otimes A , \\boldsymbol { \\times } _ { 1 } ( u ^ { [ 1 ] } \\times _ { 3 } \\widetilde { u } ^ { [ 1 ] } ) _ { ( 1 ) } \\times _ { 2 } ( u ^ { [ 2 ] ^ { \\prime } } \\times _ { 3 } \\widetilde { u } ^ { [ 2 ] ^ { \\prime } } ) _ { ( 1 ) } \\times _ { 3 } ( u ^ { ( 3 ) } \\times _ { 3 } \\widetilde { u } ^ { ( 3 ) } ) _ { ( 1 ) } } \\\\ & \\quad = \\mathbf { X } , ( \\mathbf { B } \\otimes \\widetilde { A } \\otimes A ) \\times _ \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 189, + 123, + 810, + 332 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "where $\\widetilde { \\pmb u } _ { i _ { j } } = \\mathrm { v e c } ( \\widetilde { \\pmb u } ^ { ( 1 ) } ( i _ { j } , : , : ) ) \\in \\mathbb { R } ^ { \\widetilde { l } _ { j } \\widetilde { p } _ { j } }$ and $U _ { \\mathcal { D F } } ^ { ( j ) } = ( \\mathfrak { U } ^ { ( j ) } \\times _ { 3 } \\widetilde { \\mathfrak { u } } ^ { ( j ) } ) _ { ( 1 ) }$ , for $1 \\leq i _ { j } \\leq p _ { j }$ and $1 \\leq j \\leq 3$ . ", + "bbox": [ + 173, + 337, + 826, + 373 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "A.3 THEORETICAL RESULTS AND TECHNICAL PROOFS ", + "text_level": 1, + "bbox": [ + 174, + 388, + 563, + 404 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Let $\\mathfrak { Z } ^ { i } = \\mathfrak { X } ^ { i } \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) \\prime } \\times _ { 2 } U _ { \\mathcal { F } } ^ { ( 2 ) \\prime } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N } U _ { \\mathcal { F } } ^ { ( N ) \\prime } \\in \\mathbb { R } ^ { l _ { 1 } p _ { 1 } \\times l _ { 2 } p _ { 2 } \\times \\cdot \\cdot \\cdot \\times l _ { N } p _ { N } }$ )0 ×2 U (2)0F × . The trained weights have the form of $\\begin{array} { r } { \\widehat { \\mathbf { W } } = \\sum _ { k = 1 } ^ { K } \\widehat { \\mathbf { B } } _ { k } \\otimes \\widehat { \\mathbf { A } } _ { k } } \\end{array}$ , where ", + "bbox": [ + 173, + 410, + 826, + 449 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/b9a1aeab6221a673a194994ca7b70345c6470cc05b25b6ecfb9b8f7b44115085.jpg", + "text": "$$\n\\{ \\widehat { \\pmb { \\mathscr { B } } } _ { k } , \\widehat { \\pmb { \\mathscr { A } } } _ { k } \\} _ { 1 \\leq k \\leq K } = \\operatorname* { a r g m i n } _ { { \\pmb { \\mathscr { B } } } _ { k } , { \\pmb { \\mathscr { A } } } _ { k } , 1 \\leq k \\leq K } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left( y ^ { i } - \\sum _ { k = 1 } ^ { K } \\langle { \\pmb { \\mathscr { Z } } } ^ { i } , { \\pmb { \\mathscr { B } } } _ { k } \\otimes { \\pmb { \\mathscr { A } } } _ { k } \\rangle \\right) ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 258, + 453, + 740, + 500 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Given a test sample $( \\boldsymbol { \\mathfrak { X } } , \\boldsymbol { y } )$ , where $y = \\langle { \\bf { { x } } } , { \\bf { { w } } } _ { X } \\rangle + \\xi$ , and $( { \\mathfrak { X } } , \\xi )$ satisfies Assumptions 1 and 2. The mean-square training and test error are defined as ", + "bbox": [ + 171, + 503, + 825, + 534 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/09ad1e400f46352b2838056c4aeb559b608c95dbd1610ff399b44579bcb75cd3.jpg", + "text": "$$\n\\operatorname { e r r } _ { \\tan ( \\mathbf { \\widehat { W } } ) } ( \\widehat { \\boldsymbol { w } } ) = \\sqrt { \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left( y ^ { i } - \\langle \\mathcal { X } ^ { i } , \\widehat { \\boldsymbol { w } } _ { X } \\rangle \\right) ^ { 2 } } \\operatorname { a n d } \\operatorname { e r r } ( \\widehat { \\boldsymbol { w } } ) = \\sqrt { \\mathbb { E } _ { ( \\mathcal { X } , y ) } \\left( y - \\langle \\mathcal { X } , \\widehat { \\boldsymbol { w } } _ { X } \\rangle \\right) ^ { 2 } } .\n$$", + "text_format": "latex", + "bbox": [ + 205, + 537, + 790, + 588 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Denote $\\kappa _ { U } ~ = ~ C _ { x } C _ { u }$ and $\\kappa _ { L } ~ = ~ c _ { x } c _ { u }$ . Let $\\begin{array} { r } { \\boldsymbol { \\mathcal { W } } ^ { * } = \\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } ^ { * } \\otimes \\boldsymbol { \\mathcal { A } } _ { k } ^ { * } } \\end{array}$ be the true weights, and $\\begin{array} { r } { \\left\\| \\mathbfcal { W } \\right\\| _ { n } ^ { 2 } : = n ^ { - 1 } \\sum _ { i = 1 } ^ { n } ( \\langle \\mathfrak { T } ^ { i } , \\mathfrak { W } \\rangle ) ^ { 2 } } \\end{array}$ m with respect to . $\\boldsymbol { w }$ . The model complexity $d _ { \\mathcal { M } } = K ( \\bar { P } + L + 1 )$ ", + "bbox": [ + 174, + 593, + 825, + 641 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Theorem 1 (Complete Version). Suppose that Assumptions 1-3 hold and $n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } d _ { \\mathcal { M } }$ . Then, for some $\\delta > 0$ , ", + "bbox": [ + 173, + 643, + 825, + 674 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/d1b34372ca3e239fa1e5dfbe0765d61b963b1bfc939d197eecbffd7287aa7edf.jpg", + "text": "$$\n\\begin{array} { r l } { ( a ) \\ } & { \\| \\widehat { \\mathcal { W } } - \\mathcal { W } ^ { * } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) } \\\\ { ( b ) \\ } & { \\| \\widehat { \\mathcal { W } } - \\mathcal { W } ^ { * } \\| _ { n } \\leq \\frac { 1 6 \\sigma \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) } \\\\ { ( c ) \\ } & { e r r ^ { 2 } ( \\widehat { \\mathcal { W } } ) \\leq \\left( \\frac { 1 6 \\sigma \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\right) ^ { 2 } \\left( \\frac { d _ { \\mathcal { M } } } { n } + \\frac { \\delta } { n } \\right) + \\sigma ^ { 2 } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 313, + 676, + 681, + 800 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "with probability $1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n - 9 d _ { \\mathcal { M } } ] \\} - \\exp \\{ - d _ { \\mathcal { M } } - 8 \\delta \\}$ , where $c _ { \\mathrm { H } }$ is a positive value, $\\alpha _ { \\mathrm { R S C } } = \\kappa _ { L } / 2$ , and $\\alpha _ { \\mathrm { R S M } } = 3 \\kappa _ { U } / 2$ . ", + "bbox": [ + 174, + 805, + 821, + 837 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "It can be seen that the estimation error, $\\| \\widehat { \\boldsymbol { w } } - \\boldsymbol { w } ^ { * } \\| _ { \\mathrm { F } }$ , is $O _ { p } ( \\sqrt { d _ { \\mathcal { M } } / n } )$ , and hence the sample complexity is of order $O ( d _ { \\mathcal { M } } / \\varepsilon ^ { 2 } )$ , to achieve a training error $\\varepsilon$ . The empirical norm is equivalent to the training error minus the sample standard deviation of noise. And we can see that the training error $\\mathrm { e r r } _ { \\mathrm { t r a i n } } ( \\widehat { \\pmb { \\mathscr { W } } } ) = O _ { p } ( \\sqrt { d _ { \\mathscr { M } } / n } ) + \\widehat { \\sigma }$ and test error $\\mathrm { e r r } ( \\widehat { \\mathbf { W } } ) = O _ { p } ( \\sqrt { d _ { \\mathcal { M } } / n } ) + \\sigma$ , where $\\widehat { \\sigma }$ and $\\sigma$ brepresent the sample and population standard deviation of noise, respectively. ", + "bbox": [ + 173, + 845, + 825, + 925 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Now we proceed to provide a complete version of the sample complexity of compressed CNNs. Let $\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { T U } } = \\bar { \\prod } _ { j = 1 } ^ { N + 1 } R _ { j } + \\bar { \\sum } _ { i = 1 } ^ { N } l _ { i } R _ { i } + \\bar { R } _ { N + 1 } P } \\end{array}$ and $\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { C P } } = R ^ { N + 1 } + R ( \\sum _ { i = 1 } ^ { N } l _ { i } + P ) } \\end{array}$ . ", + "bbox": [ + 173, + 103, + 823, + 137 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Theorem 2 (Complete Version). Let $( \\widehat { \\mathcal { W } } , d _ { \\mathcal { M } } )$ be $( \\widehat { \\sf w } _ { \\mathrm { T U } } , d _ { \\mathcal { M } } ^ { \\mathrm { T U } } )$ for Tucker decomposition, or $( \\widehat { \\sf w } _ { \\mathrm { C P } } , d _ { \\mathcal { M } } ^ { \\mathrm { C P } } )$ for $C P$ decomposition. Suppose that Assumptions 1-3 hold and $n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } c _ { N } d _ { \\mathcal { M } }$ . Then, for some $\\delta > 0$ , ", + "bbox": [ + 174, + 143, + 825, + 195 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/69f562ddbbae73d1829776d43ded2135ed26f26253d7c5bb5a59c9be6e1c203d.jpg", + "text": "$$\n\\begin{array} { l } { ( a ) \\| \\widehat { \\pmb { \\mathscr { W } } } - \\pmb { \\mathscr { W } } ^ { * } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , } \\\\ { ( b ) \\| \\widehat { \\pmb { \\mathscr { W } } } - \\pmb { \\mathscr { W } } ^ { * } \\| _ { n } \\leq \\frac { 1 6 \\sigma \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , } \\\\ { ( c ) e r r ^ { 2 } ( \\widehat { \\pmb { \\mathscr { W } } } ) \\leq \\left( \\frac { 1 6 \\sigma \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\right) ^ { 2 } \\left( \\frac { c _ { N } d _ { M } } { n } + \\frac { \\delta } { n } \\right) + \\sigma ^ { 2 } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 313, + 207, + 681, + 333 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "with probability $\\begin{array} { r } { 1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n - 3 c _ { N } d _ { \\mathcal { M } } ] \\} - \\exp \\{ - d _ { \\mathcal { M } } - 8 \\delta \\} } \\end{array}$ , where $c _ { N } =$ $2 ^ { N + \\bar { 1 } } \\log ( N + \\bar { 2 } )$ , $c _ { \\mathrm { H } }$ is a positive value and $\\alpha _ { \\mathrm { R S C } } , \\alpha _ { \\mathrm { R S M } }$ are defined in Theorem $^ { l }$ . ", + "bbox": [ + 173, + 343, + 821, + 375 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Because CP decomposition can be considered as a special case of Tucker decomposition where $R _ { j } = R$ , for $1 \\leq j \\leq N + 1$ . We only provide the proof for Tucker CNN. ", + "bbox": [ + 173, + 387, + 825, + 417 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "A.3.1 PROOF OF THEOREM 1 ", + "text_level": 1, + "bbox": [ + 174, + 438, + 390, + 454 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Denote the sets $\\widehat { S } _ { K } = \\{ \\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } \\otimes \\mathbf { \\mathcal { A } } _ { k } : \\mathbf { \\mathcal { A } } _ { k } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } }$ and $\\mathfrak { B } _ { k } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } } \\}$ and $S _ { K } = \\{ \\pmb { \\mathscr { W } } \\in \\widehat { S } _ { K } : \\| \\pmb { \\mathscr { W } } \\| _ { \\mathrm { F } } = 1 \\}$ . Let $\\widehat { \\Delta } = \\widehat { \\mathcal { W } } - \\mathcal { W } ^ { * }$ , and then ", + "bbox": [ + 173, + 463, + 825, + 500 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/b7585189fedb41b63328016534464932305c42dea0b44422eba806566f209fc6.jpg", + "text": "$$\n\\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( y ^ { i } - \\langle \\mathfrak { T } ^ { i } , \\widehat { \\mathcal { W } } \\rangle ) ^ { 2 } \\leq \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( y ^ { i } - \\langle \\mathfrak { T } ^ { i } , \\mathcal { W } ^ { * } \\rangle ) ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 328, + 512, + 666, + 554 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "which implies that ", + "bbox": [ + 173, + 566, + 297, + 580 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/efe94d6ffa400cbb62271c79e3725e0124f987a42c3a0a0ad6a52573a39fe217.jpg", + "text": "$$\n\\| \\widehat { \\pmb { \\Delta } } \\| _ { n } ^ { 2 } \\leq \\frac { 2 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\widehat { \\pmb { \\Delta } } \\rangle \\leq 2 \\| \\widehat { \\pmb { \\Delta } } \\| _ { \\mathrm { F } } \\operatorname* { s u p } _ { { \\pmb { \\Delta } } \\in S _ { 2 K } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , { \\pmb { \\Delta } } \\rangle ,\n$$", + "text_format": "latex", + "bbox": [ + 294, + 594, + 702, + 636 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } : = n ^ { - 1 } \\sum _ { i = 1 } ^ { n } ( \\langle \\pmb { \\Sigma } ^ { i } , \\pmb { \\Delta } \\rangle ) ^ { 2 } } \\end{array}$ is the empirical norm with respect to $\\pmb { \\Delta }$ , and $\\widehat { \\Delta } \\in \\widehat { S } _ { 2 K }$ . ", + "bbox": [ + 171, + 648, + 795, + 669 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Consider a $\\varepsilon$ -net $\\bar { S } _ { 2 K }$ , with the cardinality of $\\mathcal { N } ( 2 K , \\varepsilon )$ , for the set $S _ { 2 K }$ . For any $\\Delta \\in { \\cal S } _ { 2 K }$ , there exists a $\\bar { \\Delta } _ { j } \\in \\bar { \\mathcal { S } } _ { 2 K }$ such that $\\| \\pmb { \\Delta } - \\bar { \\pmb { \\Delta } } _ { j } \\| _ { \\mathrm { F } } \\leq \\varepsilon$ . Note that $\\Delta - \\bar { \\Delta } _ { j } \\in \\widehat { S } _ { 4 K }$ and, from Lemma 1(a), we can further find $\\Delta _ { 1 } , \\Delta _ { 2 } \\in \\widehat { S } _ { 2 K }$ such that $\\langle \\pmb { \\Delta } _ { 1 } , \\pmb { \\Delta } _ { 2 } \\rangle = 0$ and $\\Delta - \\bar { \\Delta } _ { j } = \\Delta _ { 1 } + \\Delta _ { 2 }$ . It then holds that $\\| \\pmb { \\Delta } _ { 1 } \\| _ { \\mathrm { F } } + \\| \\pmb { \\Delta } _ { 2 } \\| _ { \\mathrm { F } } \\leq \\sqrt { 2 } \\| \\pmb { \\Delta } - \\pmb { \\bar { \\Delta } } _ { j } \\| _ { \\mathrm { F } } \\leq \\sqrt { 2 } \\varepsilon$ since $\\| \\pmb { \\Delta } - \\bar { \\pmb { \\Delta } } _ { j } \\| _ { \\mathrm { F } } ^ { 2 } = \\| \\pmb { \\Delta } _ { 1 } \\| _ { \\mathrm { F } } ^ { 2 } + \\| \\pmb { \\Delta } _ { 2 } \\| _ { \\mathrm { F } } ^ { 2 }$ . As a result, ", + "bbox": [ + 171, + 674, + 826, + 755 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/3c093108835e11d77825187a5beec4053ba8b4466c32fd81bb70ba2977d73f68.jpg", + "text": "$$\n\\begin{array} { r } { \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle = \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle + \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta _ { 1 } \\rangle + \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta _ { 2 } \\rangle \\medskip } \\\\ { \\displaystyle \\qquad \\le \\operatorname* { m a x } _ { 1 \\le j \\le N ( 2 K , \\varepsilon ) } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle + \\sqrt { 2 } \\varepsilon \\displaystyle \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 \\kappa } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 223, + 766, + 772, + 851 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "which leads to ", + "bbox": [ + 173, + 862, + 271, + 876 + ], + "page_idx": 16 + }, + { + "type": "equation", + "img_path": "images/70cd0102e11493be82553db188f710fdc7673f908f90fd5e8b675f79bb2b2f42.jpg", + "text": "$$\n\\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\leq ( 1 - \\sqrt { 2 } \\varepsilon ) ^ { - 1 } \\operatorname* { m a x } _ { 1 \\leq j \\leq N ( 2 K , \\varepsilon ) } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle .\n$$", + "text_format": "latex", + "bbox": [ + 259, + 887, + 740, + 928 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Note that, from Lemma 1(b), √ $\\log \\mathcal { N } ( 2 K , \\varepsilon ) \\leq 2 d _ { \\mathcal { M } } \\log ( 9 / \\varepsilon )$ , where $d _ { \\mathcal { M } } = K ( P + L + 1 )$ . Let $\\varepsilon = ( 2 \\sqrt { 2 } ) ^ { - 1 }$ , and then $8 - 2 \\log ( 9 / \\varepsilon ) > 1$ . As a result, by (12) and Lemma 3, ", + "bbox": [ + 169, + 102, + 825, + 135 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/c8e9a6233d2e01611f9fe7ba1294342a78f67093c6ab425dfff0537ecd7b5cc9.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { P } \\left[ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { M } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\leq \\mathbb { P } \\left[ \\underset { 1 \\leq j \\leq \\mathrm { S } ( 2 K , \\varepsilon ) } { \\operatorname* { m a x } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle \\geq 4 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { M } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\leq \\displaystyle \\sum _ { j = 1 } ^ { N ( 2 K , \\varepsilon ) } \\mathbb { P } \\left( \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle \\geq 4 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { M } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\ \\| \\bar { \\Delta } _ { j } \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right) } \\\\ & { \\leq \\exp \\{ - d _ { M } - 8 \\delta \\} . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 168, + 142, + 816, + 299 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Note that ", + "bbox": [ + 173, + 318, + 238, + 332 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/838cd2986018eea31a5124a3243774537fd9ab9c6779fe5df214e8d8e9ca89b2.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { P } \\left[ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\underset { i = 1 } { \\overset { n } { \\sum } } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\right] } \\\\ & { \\leq \\mathbb { P } \\left[ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\underset { i = 1 } { \\overset { n } { \\sum } } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\quad + \\mathbb { P } \\left( \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S M } } \\right) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 192, + 338, + 807, + 462 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "From (13) and Lemma 2, we then have that, with probability $1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n -$ $9 d _ { \\mathcal { M } } ] \\} - \\exp \\{ - d _ { \\mathcal { M } } - 8 \\delta \\}$ , ", + "bbox": [ + 173, + 468, + 823, + 500 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/48cfb9dd953f41ecf35f7664534ff58d3686a6c217718f52b620ae753c3e3b29.jpg", + "text": "$$\n\\operatorname* { s u p } _ { \\Delta \\in { \\mathcal { S } _ { 2 K } } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\mathcal { Z } ^ { i } , \\Delta \\rangle \\leq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { M } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\qquad \\mathrm { a n d } \\qquad \\| \\Delta \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S C } } \\| \\Delta \\| _ { \\mathrm { F } } ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 196, + 506, + 800, + 549 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "which, together with (11), leads to ", + "bbox": [ + 173, + 558, + 401, + 571 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/aab4d002872e37113f19d6933f7fd6f8f3e07108ad8783caeac3e21eb484acfd.jpg", + "text": "$$\n\\| \\widehat { \\boldsymbol { \\Delta } } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\quad \\mathrm { ~ a n d ~ } \\quad \\| \\widehat { \\boldsymbol { \\Delta } } \\| _ { n } \\leq 1 6 \\sigma \\frac { \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 194, + 579, + 803, + 622 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Finally we prove (c). Given a test sample $( \\boldsymbol { \\mathfrak { X } } , \\boldsymbol { y } )$ , and let $\\mathfrak { L } = \\mathfrak { X } \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) \\prime } \\times _ { 2 } U _ { \\mathcal { F } } ^ { ( 2 ) \\prime } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N } U _ { \\mathcal { F } } ^ { ( N ) \\prime } .$ It holds that ", + "bbox": [ + 173, + 638, + 820, + 670 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/9f9521ee3f57d4c55c377f7e4552f3258f936ab79a4f935253a2e6d6e137d8ef.jpg", + "text": "$$\n\\begin{array} { r } { \\mathbb { E } ( y - \\langle \\mathfrak { X } , \\pmb { \\mathscr { W } } _ { X } \\rangle ) ^ { 2 } = \\mathbb { E } ( y - \\langle \\mathfrak { Z } , \\pmb { \\mathscr { W } } \\rangle ) ^ { 2 } = \\mathbb { E } ( \\langle \\mathfrak { Z } , \\pmb { \\mathscr { W } } \\rangle ) ^ { 2 } + \\sigma ^ { 2 } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 297, + 670, + 696, + 689 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "and ", + "bbox": [ + 173, + 695, + 200, + 708 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/4431197e232f78efbd1ddb002a278a979df3e3ca0baaf1f06df1fbcf51121ef2.jpg", + "text": "$$\n\\begin{array} { r } { \\mathbb { E } ( \\langle \\Xi , \\Delta \\rangle ) ^ { 2 } = \\Delta ^ { \\prime } \\mathbb { E } ( \\bar { z } \\bar { z } ^ { \\prime } ) \\Delta = \\Delta ^ { \\prime } U _ { G } \\mathbb { E } ( \\bar { x } \\bar { x } ^ { \\prime } ) U _ { G } ^ { \\prime } \\Delta \\leq \\kappa _ { U } \\| \\Delta \\| _ { 2 } ^ { 2 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 282, + 708, + 710, + 728 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "As a result, from (a) of this theorem, we have ", + "bbox": [ + 173, + 732, + 472, + 747 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/eb68a652ddfee826949898d072000d081c73521e6ecdff8667f3531278ca4307.jpg", + "text": "$$\n\\operatorname { e r r } ^ { 2 } ( \\widehat { \\mathcal { W } } ) \\leq \\left( \\frac { 1 6 \\sigma \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\right) ^ { 2 } \\left( \\frac { d _ { \\mathcal { M } } } { n } + \\frac { \\delta } { n } \\right) + \\sigma ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 341, + 755, + 655, + 792 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "This accomplishes the proof. ", + "bbox": [ + 174, + 800, + 364, + 815 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.3.2 PROOF OF THEOREM 2 ", + "text_level": 1, + "bbox": [ + 176, + 832, + 390, + 847 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Denote the sets $\\begin{array} { r c l } { \\widehat { S } ^ { \\mathrm { T U } } ( R _ { 1 } , \\cdots , R _ { N + 1 } ) } & { = } & { \\{ \\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } \\otimes \\mathbf { \\mathcal { A } } _ { k } } \\end{array}$ : the stacked kernel $\\pmb { \\mathcal { A } } _ { \\mathrm { s t a c k } } \\in$ $\\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\dots \\times l _ { N } \\times K }$ bhas the ranks of $( R _ { 1 } , . . . , R _ { N } , R _ { N + 1 } )$ and $\\mathfrak { B } _ { k } \\ \\in \\ \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } } \\Big \\}$ , $\\widehat { S } _ { 2 K } ^ { \\mathrm { T U } } ~ =$ $\\{ \\mathcal { W } _ { 1 } + \\mathcal { W } _ { 2 } : \\mathcal { W } _ { 1 } , \\mathcal { W } _ { 2 } \\in \\widehat { { S } } ^ { \\mathrm { T U } } ( R _ { 1 } , \\cdot \\cdot \\cdot , R _ { N + 1 } ) \\} ,$ , and $S _ { 2 K } ^ { \\mathrm { T U } } = \\{ \\mathcal { W } \\in \\widehat { S } _ { 2 K } ^ { \\mathrm { T U } } : \\| \\mathcal { W } \\| _ { \\mathrm { F } } = 1 \\}$ . Note that $\\widehat { \\boldsymbol { w } } _ { \\mathrm { r U } } , \\boldsymbol { w } ^ { * } \\in \\widehat { S } ^ { \\mathrm { T U } } ( R _ { 1 } , \\cdot \\cdot \\cdot , R _ { N + 1 } )$ , and $\\widehat { \\mathbf { \\Delta } } = \\widehat { \\mathbf { w } } _ { \\mathrm { T U } } - \\mathbf { w } ^ { * } \\in \\widehat { \\mathcal { S } } _ { 2 K } ^ { \\mathrm { T U } }$ b. ", + "bbox": [ + 173, + 853, + 826, + 926 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "We first consider a $\\varepsilon$ -net for $S _ { 2 K } ^ { \\mathrm { T U } }$ . For each $1 \\leq k \\leq K$ , Let $\\begin{array} { r } { \\pmb { b } _ { k } = ( b _ { k 1 } , \\dots , b _ { k P } ) ^ { \\prime } = \\mathrm { v e c } ( \\pmb { \\mathscr { B } } _ { k } ) } \\end{array}$ , and we can rearrange Bk ⊗ Ak into the form of Ak ◦ bk, which is a tensor of size Rl1×l2×···×lN ×P , where $P = p _ { 1 } p _ { 2 } \\cdot \\cdot \\cdot p _ { N }$ . Denote $B = ( b _ { k j } ) \\in \\mathbb { R } ^ { P \\times K }$ , and it holds that ", + "bbox": [ + 174, + 102, + 826, + 148 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/ca10b5fbc839a959865f8461b0066e1e41183d24d8fd501771b963c9958eb184.jpg", + "text": "$$\n\\sum _ { k = 1 } ^ { K } \\pmb { \\mathcal { A } } _ { k } \\circ \\pmb { b } _ { k } = \\pmb { \\mathcal { A } } \\times _ { N + 1 } \\pmb { B } = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\cdots \\times _ { N + 1 } \\widetilde { \\pmb { B } } ,\n$$", + "text_format": "latex", + "bbox": [ + 279, + 152, + 715, + 196 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "which is a tensor with the size of $\\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\dots \\times l _ { N } \\times P }$ and the ranks of $( R _ { 1 } , . . . , R _ { N } , R _ { N + 1 } )$ where $\\widetilde { \\pmb { B } } = \\pmb { B } \\pmb { H } ^ { ( N + 1 ) } \\in \\mathbb { R } ^ { P \\times R _ { N + 1 } }$ . Essentially, in this step, we rewrite the model into one with $R _ { k + 1 }$ ekernels instead. Specifically, we now have $\\begin{array} { r } { \\pmb { \\mathcal { W } } = \\sum _ { r = 1 } ^ { R _ { N + 1 } } \\tilde { \\pmb { \\mathcal { A } } } _ { r } \\otimes \\tilde { \\pmb { \\mathcal { B } } } _ { r } } \\end{array}$ , where $\\widetilde { \\pmb { A } } _ { r } = \\pmb { \\mathcal { G } } _ { r } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 }$ ${ \\pmb H } ^ { ( 2 ) } \\dots \\times _ { N } { \\pmb H } ^ { ( N ) }$ with $\\pmb { \\mathcal { G } } _ { r } = \\pmb { \\mathcal { G } } ( : , : , \\cdots , r )$ and the $r$ -th column of $\\widetilde { B }$ is the vectorization of $\\widetilde { \\mathbf { \\mathcal { B } } } _ { r }$ for $1 \\le r \\le R _ { N + 1 }$ . ", + "bbox": [ + 173, + 200, + 825, + 284 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "As a result, $\\widehat { S } _ { 2 K } ^ { \\mathrm { T U } }$ consists of tensors with the ranks of $( 2 R _ { 1 } , . . . , 2 R _ { N } , 2 R _ { N + 1 } )$ at most. ", + "bbox": [ + 173, + 290, + 740, + 308 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Denote $\\begin{array} { r } { \\mathcal { S } _ { \\mathrm { T u c k e r } } ( \\boldsymbol { r } _ { 1 } , \\cdots , \\boldsymbol { r } _ { N } , \\boldsymbol { r } _ { N + 1 } ) = \\{ \\mathfrak { T } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } \\times l _ { N + 1 } } : \\| \\mathfrak { T } \\| _ { \\mathrm { F } } = 1 , } \\end{array}$ $\\Im$ has the Tucker ranks of sat $\\left( r _ { 1 } , \\cdot \\cdot \\cdot , r _ { N } , r _ { N + 1 } \\right) \\Biggr \\}$ , where $l _ { N + 1 } = P = p _ { 1 } p _ { 2 } \\cdot \\cdot \\cdot p _ { N }$ . Then the $\\varepsilon$ -covering number for $S _ { 2 K } ^ { \\mathrm { T U } }$ ", + "bbox": [ + 173, + 311, + 825, + 354 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/241d5fc94057aa7ea1736940cea59749b65223a11014856006323c61759bd9d1.jpg", + "text": "$$\n| S _ { 2 K } ^ { \\mathrm { T U } } | \\leq | S _ { \\mathrm { T u c k e r } } ( 2 R _ { 1 } , \\cdot \\cdot \\cdot , 2 R _ { N } , 2 R _ { N + 1 } ) | .\n$$", + "text_format": "latex", + "bbox": [ + 349, + 353, + 647, + 372 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "For each $\\mathbf { \\mathcal { T } } \\in S _ { \\mathrm { T u c k e r } } ( r _ { 1 } , \\cdot \\cdot \\cdot , r _ { N } , r _ { N + 1 } )$ , we have ", + "bbox": [ + 173, + 380, + 509, + 396 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/fcb4589e5bba3a70b58158fc896a2a7cb7e0a9c8a1269f074d7460b250fa3673.jpg", + "text": "$$\n\\Im = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { U } ^ { ( 1 ) } \\times _ { 2 } \\dots \\times _ { N + 1 } \\pmb { U } ^ { ( N + 1 ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 367, + 400, + 627, + 419 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "where $\\mathfrak { S } \\in \\mathbb { R } ^ { r _ { 1 } \\times \\dots \\times r _ { N } \\times r _ { N + 1 } }$ with $\\| \\mathbf { S } \\| _ { \\mathrm { F } } ~ = ~ 1$ , and $U ^ { ( i ) } \\in \\mathbb { R } ^ { l _ { i } \\times r _ { i } }$ with $1 \\leq i \\leq N + 1$ are orthonormal matrices. We now construct an $\\varepsilon$ -net for $\\boldsymbol { S } _ { \\mathrm { T u c k e r } } ( \\boldsymbol { r } _ { 1 } , \\cdot \\cdot \\cdot , \\boldsymbol { r } _ { N } , \\boldsymbol { r } _ { N + 1 } )$ by covering the sets of $\\mathcal { G }$ and all $U ^ { ( i ) } \\mathrm { s }$ , and the proof hinges on the covering number of low-multilinear-rank tensors in Wang et al. (2019). Treating $\\mathcal { G }$ as $\\textstyle \\prod _ { j = 1 } ^ { \\bar { N } + 1 } r _ { j }$ -dimensional vector with $\\| \\mathbf { S } \\| _ { \\mathrm { F } } = 1$ , we can find an ε/(N + 2)-net for it, denoted by G¯, with the cardinality of |G¯| ≤ (3(N + 2)/ε)QN+1j=1 rj . ", + "bbox": [ + 173, + 422, + 826, + 507 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Next, let $O _ { n , r } = \\{ U \\in \\mathbb { R } ^ { n \\times r } : U ^ { \\top } U = I _ { r } \\}$ . To cover $O _ { n , r }$ , it is beneficial to use the $\\Vert \\cdot \\Vert _ { 1 , 2 }$ norm, defined as ", + "bbox": [ + 173, + 511, + 825, + 540 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/f3c1ecb26110430d7c15b0af8bad6d43ae6acae1492c99e7912b4a07ad59f341.jpg", + "text": "$$\n\\| X \\| _ { 1 , 2 } = \\operatorname* { m a x } _ { i } \\| X _ { i } \\| _ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 419, + 539, + 576, + 560 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "where $X _ { i }$ denotes the $i ^ { \\mathrm { t h } }$ column of $\\boldsymbol { X }$ . Let $Q _ { n , r } = \\{ X \\in \\mathbb { R } ^ { n \\times r } : \\| X \\| _ { 1 , 2 } \\leq 1 \\}$ . One can easily check that $O _ { n , r } ~ \\subset ~ Q _ { n , r }$ , and then an $\\varepsilon / ( N + 2 )$ -net $\\bar { O } _ { n , r }$ for $O _ { n , r }$ has the cardinality of $| \\bar { O } _ { n , r } | \\leq ( 3 ( N + 2 ) / \\varepsilon ) ^ { n r }$ . Denote $\\bar { \\cal S } _ { \\mathrm { T u c k e r } } ( r _ { 1 } , \\cdot \\cdot \\cdot , r _ { N } , r _ { N + 1 } ) = \\{ \\ P \\times _ { 1 } U ^ { ( 1 ) } \\times _ { 2 } \\cdot \\cdot \\cdot \\times _ { N + 1 }$ $U ^ { ( N + 1 ) } : \\mathcal { G } \\in \\bar { G }$ , $\\pmb { U } ^ { ( i ) } \\in \\bar { O } _ { l _ { i } , r _ { i } }$ , $1 \\leq i \\leq N + 1 \\}$ . By a similar argument presented in Lemma A.1 of Wang et al. (2019), we can show that $\\bar { S } _ { \\mathrm { T u c k e r } } ( r _ { 1 } , \\cdot \\cdot \\cdot , r _ { N } , r _ { N + 1 } )$ is a $\\varepsilon$ -net for the set $\\boldsymbol { S } _ { \\mathrm { T u c k e r } } ( \\boldsymbol { r } _ { 1 } , \\cdot \\cdot \\cdot , \\boldsymbol { r } _ { N } , \\boldsymbol { r } _ { N + 1 } )$ with the cardinality of ", + "bbox": [ + 173, + 564, + 825, + 657 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/58778cfe711d2412014ef7d3f84b46bb7c128d95efd55abc140bc630ab4b1d0c.jpg", + "text": "$$\n\\left( \\frac { 3 N + 6 } { \\varepsilon } \\right) ^ { \\prod _ { j = 1 } ^ { N + 1 } r _ { j } + \\sum _ { j = 1 } ^ { N + 1 } l _ { j } r _ { j } } .\n$$", + "text_format": "latex", + "bbox": [ + 392, + 661, + 606, + 702 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "$l _ { N + 1 } = P$ . Thus, the $\\varepsilon$ -covering number of $S _ { 2 K } ^ { \\mathrm { T U } }$ is ", + "bbox": [ + 173, + 705, + 555, + 723 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/dc8ddca8d33b6164106e36e4c8278c47ad9407a5a15eee5b9e0e4be4badc87cd.jpg", + "text": "$$\n\\mathcal { N } ^ { \\mathrm { T U } } ( \\varepsilon ) = | \\mathcal { S } _ { \\mathrm { T u c k e r } } ( 2 R _ { 1 } , \\cdot \\cdot \\cdot , 2 R _ { N } , 2 R _ { N + 1 } ) | \\le \\left( \\frac { 3 N + 6 } { \\varepsilon } \\right) ^ { 2 ^ { N + 1 } \\prod _ { j = 1 } ^ { N + 1 } R _ { j } + 2 \\sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + 2 R _ { N + 1 } P _ { i } } .\n$$", + "text_format": "latex", + "bbox": [ + 176, + 727, + 813, + 767 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Let $2 ^ { N + 1 } d _ { \\mathcal { M } } ^ { \\mathrm { T U } } \\log [ ( 3 N + 6 ) / \\varepsilon ]$ $\\varepsilon ~ = ~ 1 / 2$ . It then holds that , where $\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { T U } } = \\prod _ { j = 1 } ^ { N + 1 } R _ { j } + \\sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P } \\end{array}$ $\\log ( 3 ( N + 2 ) / \\varepsilon ) ~ < ~ 3 \\log ( N + 2 )$ and . By a method similar $\\log \\mathcal { N } ^ { \\mathrm { T U } } ( \\varepsilon ) ~ \\leq$ to the proof of Lemma 2, we can show that ", + "bbox": [ + 174, + 777, + 823, + 827 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/1a287e1a96daf2c8fca264ccf6bb597f6db91324f826d785e1a17905eca4e341.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\underset { \\Delta \\in S _ { 2 K } ^ { \\mathrm { T U } } } { \\operatorname* { s u p } } \\left. \\Delta \\right. _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S M } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 3 c _ { N } d _ { \\mathcal { M } } ^ { \\mathrm { T U } } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 261, + 829, + 733, + 872 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "and ", + "bbox": [ + 173, + 877, + 202, + 890 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/12987e6447ff35cac62675f211dfda8ea0cc38d948b8687603790ce172dff6de.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in S _ { 2 K } ^ { \\mathrm { T U } } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S C } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 3 c _ { N } d _ { \\mathcal { M } } ^ { \\mathrm { T U } } \\right\\} .\n$$", + "text_format": "latex", + "bbox": [ + 264, + 886, + 732, + 929 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "where $c _ { N } = 2 ^ { N + 1 } \\log ( N + 2 )$ . Moreover, similar to equation 13, by applying Lemma 3, we can show that ", + "bbox": [ + 169, + 102, + 823, + 132 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/33851c132c1fca7b2f332eee5c92fc7cd0d58a13ed7cd674c348b705807af1d9.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { P } \\left[ \\underset { \\Delta \\in S _ { 2 K } ^ { \\operatorname { T W } } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\operatorname { T W } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in S _ { 2 K } ^ { \\operatorname { T W } } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\leq \\mathbb { P } \\left[ \\underset { 1 \\leq j \\leq N ^ { \\operatorname { T W } } ( \\varepsilon ) } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle \\geq 4 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\operatorname { T W } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in S _ { 2 K } ^ { \\operatorname { T W } } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\leq \\displaystyle \\sum _ { j = 1 } ^ { N ^ { \\operatorname { T W } } ( \\varepsilon ) } \\mathbb { P } \\left( \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle \\geq 4 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\operatorname { T W } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\ \\| \\bar { \\Delta } _ { j } \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right) } \\\\ & { \\leq \\exp \\{ - d _ { M } ^ { \\operatorname { T W } } - 8 \\delta \\} , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 133, + 839, + 291 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "where $\\varepsilon = ( 2 \\sqrt { 2 } ) ^ { - 1 }$ and ${ } ^ { 2 ^ { N + 4 } } \\log ( N + 2 ) - 2 ^ { N + 1 } \\log ( 3 ( N + 1 ) / \\varepsilon ) > 1$ . By a method similar to the proof of Theorem 1, we can show that, with probability $1 - \\mathrm { ~ \\ r ~ { 4 e x p \\{ - [ \\bar { c } _ { H } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n - } } $ $3 c _ { N } \\mathrm { l o g } ( N + 2 ) d _ { \\mathcal { M } } ^ { \\mathrm { T U } } ] \\} - \\mathrm { e x p } \\{ - d _ { \\mathcal { M } } ^ { \\mathrm { T U } } - 8 \\delta \\}$ , ", + "bbox": [ + 174, + 310, + 825, + 357 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/443f023c687b810faef6541832be196fcdc6d0d89ede8abd58558376bfa1f598.jpg", + "text": "$$\n\\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } ^ { \\mathrm { T U } } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\leq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { \\mathcal { M } } ^ { \\mathrm { T U } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\qquad \\mathrm { a n d } \\qquad \\| \\Delta \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S C } } \\| \\Delta \\| _ { \\mathrm { F } } ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 183, + 361, + 812, + 404 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "which, together with equation 11, leads to ", + "bbox": [ + 174, + 409, + 450, + 422 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/be7ed59b1f8936fb8e7856542fd4533e6afe561cc70155708dd87cb646bc226c.jpg", + "text": "$$\n\\begin{array} { r l } & { \\| \\widehat { \\pmb { \\Delta } } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\mathrm { T U } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , } \\\\ & { \\| \\widehat { \\pmb { \\Delta } } \\| _ { n } \\leq 1 6 \\sigma \\frac { \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\mathrm { T U } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , } \\\\ & { \\ \\mathrm { e r r } ^ { 2 } ( \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathrm { T U } } ) \\leq \\left( \\frac { 1 6 \\sigma \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\right) ^ { 2 } \\left( \\frac { c _ { N } d _ { M } ^ { \\mathrm { T U } } } { n } + \\frac { \\delta } { n } \\right) + \\sigma ^ { 2 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 320, + 428, + 676, + 553 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "We accomplished the proof. ", + "bbox": [ + 174, + 555, + 357, + 570 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "A.3.3 PROOFS OF COROLLARY 1 ", + "text_level": 1, + "bbox": [ + 176, + 584, + 413, + 599 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "When the kernel tensor $\\mathbfcal { A }$ has a Tucker decomposition form of $\\pmb { \\mathcal { A } } = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N + 1 }$ ${ \\cal H } ^ { ( N + 1 ) }$ , and the multilinear rank is $( R _ { 1 } , R _ { 2 } , \\cdot \\cdot \\cdot , R _ { N + 1 } )$ . Let $\\pmb { \\mathcal { H } } = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N }$ ${ \\pmb { H } } ^ { ( N ) }$ , which is a tensor of size $\\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } \\times R _ { N + 1 } }$ . The mode- $( N + 1 )$ unfolding of $\\mathbf { \\mathcal { H } }$ is a matrix with $R _ { N + 1 }$ row vectors, each of size $\\mathbb { R } ^ { L }$ , and we denote them by $g _ { 1 } , \\cdots , g _ { R _ { N + 1 } }$ . Fold ${ \\pmb g } _ { r }$ s back into tensors, i.e. $\\begin{array} { r } { \\pmb { g } _ { r } = \\mathrm { v e c } ( \\widetilde { \\pmb { \\mathcal { H } } } _ { r } ) } \\end{array}$ , where $\\mathcal { \\tilde { H } } _ { r } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }$ and $1 \\le r \\le R _ { N + 1 }$ . Moreover, let ${ \\pmb { H } } ^ { ( N + 1 ) } = ( { \\pmb { h } } _ { 1 } ^ { ( N + 1 ) } , \\cdot \\cdot \\cdot , { \\pmb { h } } _ { K } ^ { ( N + 1 ) } ) ^ { \\prime }$ h(N+1)K )0, where h(Nk $\\boldsymbol { h } _ { k } ^ { ( N + 1 ) }$ is a vector of size $\\mathbb { R } ^ { R _ { N + 1 } }$ and we denote its $r ^ { \\mathrm { t h } }$ entry as h(N+1)k,r , for 1 ≤ r ≤ RN+1. It can be verified that, for each 1 ≤ k ≤ K, ", + "bbox": [ + 173, + 608, + 825, + 724 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/7173d303efb71985c71809a165b62ee81d7a13cef4f38191448c73225cd3b8eb.jpg", + "text": "$$\n\\mathbf { \\mathcal { A } } _ { k } = \\mathbb { 9 } \\times _ { 1 } \\mathbf { { \\cal { H } } } ^ { ( 1 ) } \\times _ { 2 } \\mathbf { { \\cal { H } } } ^ { ( 2 ) } \\cdots \\times _ { N } \\mathbf { { \\cal { H } } } ^ { ( N ) } \\bar { \\times } _ { N + 1 } \\pmb { { h } } _ { k } ^ { ( N + 1 ) } = \\mathbf { \\mathcal { H } } \\bar { \\times } _ { N + 1 } \\pmb { { h } } _ { k } ^ { ( N + 1 ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 246, + 731, + 748, + 752 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "and hence, ", + "bbox": [ + 173, + 757, + 246, + 771 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/eaac70f3a24076fe904257008d04c614fafe050ccb08ea6127544d3f4d427fd2.jpg", + "text": "$$\n\\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } \\otimes \\mathcal { A } _ { k } = \\sum _ { r = 1 } ^ { R _ { N + 1 } } \\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } \\otimes \\left( \\mathbf { \\widetilde { H } } _ { r } \\cdot h _ { k , r } ^ { ( N + 1 ) } \\right) = \\sum _ { r = 1 } ^ { R _ { N + 1 } } \\left( \\sum _ { k = 1 } ^ { K } h _ { k , r } ^ { ( N + 1 ) } \\mathbf { \\mathcal { B } } _ { k } \\right) \\otimes \\mathbf { \\widetilde { H } } _ { r } .\n$$", + "text_format": "latex", + "bbox": [ + 218, + 776, + 779, + 821 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "By letting $\\begin{array} { r } { \\mathbf { \\widetilde { B } } _ { r } = \\sum _ { k = 1 } ^ { K } h _ { k , r } ^ { ( N + 1 ) } \\mathbf { \\widetilde { B } } _ { k } } \\end{array}$ and $\\widetilde { \\pmb { A } } _ { r } = \\widetilde { \\pmb { \\mathscr { H } } } _ { r }$ for $1 \\le r \\le R _ { N + 1 }$ , we can reformulate the ", + "bbox": [ + 173, + 827, + 823, + 858 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/6068bd3f2b4e52dac5b250947cf8c8dd14d12f517e02aed93627ba6e47fb3909.jpg", + "text": "$$\ny ^ { i } = \\langle \\sum _ { r = 1 } ^ { R _ { N + 1 } } \\widetilde { \\mathbf { \\mathcal { B } } } _ { r } \\otimes \\widetilde { \\mathbf { \\mathcal { A } } } _ { r } , \\mathbf { \\mathcal { Z } } ^ { i } \\rangle + \\xi ^ { i } ,\n$$", + "text_format": "latex", + "bbox": [ + 392, + 856, + 604, + 900 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "and the proof of (a) is then accomplished. ", + "bbox": [ + 174, + 909, + 447, + 924 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "the ker, where $\\mathbfcal { A }$ hasand positionfor all $\\begin{array} { r } { \\pmb { \\mathcal { A } } = \\sum _ { r = 1 } ^ { R } \\alpha _ { r } \\pmb { h } _ { r } ^ { ( 1 ) } \\circ \\pmb { h } _ { r } ^ { ( 2 ) } } \\end{array}$ $\\cdots \\circ h _ { r } ^ { ( N + 1 ) }$ $\\pmb { h } _ { r } ^ { ( j ) } \\in \\mathbb { R } ^ { l _ { j } }$ $\\| h _ { r } ^ { ( j ) } \\| = 1$ $1 \\leq j \\leq N$ $h _ { r } ^ { ( N + 1 ) } \\ =$ $( h _ { r , 1 } ^ { ( N + 1 ) } , . . . , h _ { r , K } ^ { ( N + 1 ) } ) ^ { \\prime } \\in \\mathbb { R } ^ { K }$ h(N+1)r,K )0 ∈ RK and kh(N+1)r k = 1. Note that ", + "bbox": [ + 173, + 101, + 825, + 156 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/e0b6eb3d7d632ba1926ed093b10bd0bab5a62349eb188fff01a143e23c92ccb5.jpg", + "text": "$$\n\\pmb { \\mathcal { A } } _ { k } = \\sum _ { r = 1 } ^ { R } \\alpha _ { r } h _ { r , k } ^ { ( N + 1 ) } \\pmb { h } _ { r } ^ { ( 1 ) } \\circ \\pmb { h } _ { r } ^ { ( 2 ) } \\circ \\cdots \\circ \\pmb { h } _ { r } ^ { ( N ) } ,\n$$", + "text_format": "latex", + "bbox": [ + 348, + 165, + 647, + 209 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "for all $1 \\leq k \\leq K$ , and hence ", + "bbox": [ + 173, + 215, + 370, + 231 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/5a6158e621bb15070b745c20cd1bacf53a6708873739350c4f6bc9b5b588f79c.jpg", + "text": "$$\n\\begin{array} { r } { \\displaystyle \\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } \\otimes \\mathbf { \\mathcal { A } } _ { k } = \\displaystyle \\sum _ { r = 1 } ^ { R } \\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } \\otimes \\left( \\alpha _ { r } h _ { r , k } ^ { ( N + 1 ) } h _ { r } ^ { ( 1 ) } \\circ h _ { r } ^ { ( 2 ) } \\circ \\cdot \\cdot \\cdot \\circ h _ { r } ^ { ( N ) } \\right) } \\\\ { = \\displaystyle \\sum _ { r = 1 } ^ { R } \\left( h _ { r , k } ^ { ( N + 1 ) } \\mathbf { \\mathcal { B } } _ { k } \\right) \\otimes \\left( \\alpha _ { r } h _ { r } ^ { ( 1 ) } \\circ h _ { r } ^ { ( 2 ) } \\circ \\cdot \\cdot \\cdot \\circ h _ { r } ^ { ( N ) } \\right) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 269, + 238, + 725, + 328 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "By letting $\\widetilde { \\mathbf B } _ { r } = h _ { r , k } ^ { ( N + 1 ) } \\mathbf B _ { k }$ and $\\widetilde { \\mathbfcal { A } } _ { r } = \\alpha _ { r } \\pmb { h } _ { r } ^ { ( 1 ) } \\circ \\pmb { h } _ { r } ^ { ( 2 ) } \\circ \\cdot \\cdot \\cdot \\circ \\pmb { h } _ { r } ^ { ( N ) }$ for all $1 \\leq r \\leq R$ , we can ", + "bbox": [ + 173, + 333, + 823, + 368 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/a32b04724d913d9992bb9e715033735b032216016667a4b40d4a3dd8de545bfd.jpg", + "text": "$$\ny ^ { i } = \\langle \\sum _ { r = 1 } ^ { R } \\widetilde { \\mathbf { \\mathcal { B } } } _ { r } \\otimes \\widetilde { \\mathbf { \\mathcal { A } } } _ { r } , { \\mathfrak { Z } } ^ { i } \\rangle + \\xi ^ { i } ,\n$$", + "text_format": "latex", + "bbox": [ + 397, + 377, + 599, + 420 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "and the proof of (b) is then accomplished. ", + "bbox": [ + 174, + 426, + 449, + 443 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "A.3.4 LEMMAS USED IN THE PROOFS OF THEOREMS ", + "bbox": [ + 173, + 458, + 557, + 474 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Lemma 1. (Partition and covering number of restricted spaces) Consider $\\begin{array} { r } { \\widehat { \\mathcal { S } } _ { K } = \\{ \\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } \\otimes \\mathbf { \\mathcal { A } } _ { k } : } \\end{array}$ $\\mathcal { A } _ { k } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } }$ and $\\mathfrak { B } _ { k } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } } \\}$ and $S _ { K } = \\{ \\pmb { \\mathscr { W } } \\in \\widehat { S } _ { K } : \\| \\pmb { \\mathscr { W } } \\| _ { \\mathrm { F } } = 1 \\}$ . ", + "bbox": [ + 173, + 481, + 823, + 518 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "(a) For any $\\Delta \\in \\widehat { S } _ { 2 K }$ , there exist $w _ { 1 } , w _ { 2 } \\in \\widehat { S } _ { K }$ such that $\\Delta = \\mathcal { W } _ { 1 } + \\mathcal { W } _ { 2 }$ and $\\langle { \\pmb w } _ { 1 } , { \\pmb w } _ { 2 } \\rangle =$ 0. ", + "bbox": [ + 200, + 529, + 825, + 561 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "(b) The $\\varepsilon$ -covering number of the set $\\boldsymbol { \\mathcal { S } } _ { K }$ is ", + "bbox": [ + 205, + 569, + 493, + 585 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/1c062f0b5b9ce210dd755e53e11b7ee54048ed333ba125be158584cc448e0077.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { N } ( K , \\varepsilon ) \\leq ( 9 / \\varepsilon ) ^ { K ( L + P + 1 ) } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 431, + 592, + 622, + 613 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "where $L = l _ { 1 } l _ { 2 } \\cdot \\cdot \\cdot l _ { N }$ and $P = p _ { 1 } p _ { 2 } \\cdot \\cdot \\cdot p _ { N }$ . ", + "bbox": [ + 233, + 619, + 524, + 637 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Proof. For each $K$ , we first define a map $T _ { K } : \\widehat { \\mathcal { S } } _ { K } \\mathbb { R } ^ { P \\times L }$ . For any $\\begin{array} { r } { \\pmb { \\mathscr { W } } = \\sum _ { k = 1 } ^ { K } \\pmb { \\mathscr { B } } _ { k } \\otimes \\pmb { \\mathscr { A } } _ { k } \\in \\widehat { \\mathscr { S } } _ { K } } \\end{array}$ we define that $\\begin{array} { r } { T _ { K } ( \\pmb { \\mathcal { W } } ) = \\sum _ { k = 1 } ^ { K } \\mathrm { v e c } \\left( \\pmb { \\mathcal { B } } _ { k } \\right) \\mathrm { v e c } ( \\pmb { \\mathcal { A } } _ { k } ) ^ { \\prime } \\in \\mathbb { R } ^ { P \\times L } } \\end{array}$ , which has the rank of at most $K$ b. ", + "bbox": [ + 173, + 655, + 825, + 693 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "For any $\\Delta \\in \\widehat { S } _ { 2 K }$ , the rank of matrix $T _ { K } ( \\Delta )$ is at most $2 K$ . As shown in Figure 6, we can split the ositioand $T _ { K } ( \\Delta )$ parts, and. Denote $T _ { K } ( \\Delta ) =$ $U _ { 1 } \\pmb { \\Lambda } _ { 1 } \\pmb { V } _ { 1 } ^ { \\prime } + \\pmb { U } _ { 2 } \\pmb { \\Lambda } _ { 2 } \\pmb { V } _ { 2 } ^ { \\prime }$ $\\langle U _ { 1 } \\pmb { \\Lambda } _ { 1 } \\pmb { V } _ { 1 } ^ { \\prime } , U _ { 2 } \\pmb { \\Lambda } _ { 2 } \\pmb { V } _ { 2 } ^ { \\prime } \\rangle = 0$ $U _ { i } = ( { \\pmb u } _ { 1 } ^ { ( i ) } , { \\pmb u } _ { 2 } ^ { ( i ) } , \\dots , { \\pmb u } _ { K } ^ { ( i ) } )$ and $V _ { i } \\mathbf { \\Lambda } \\Lambda _ { i } ^ { \\prime } \\mathbf { \\Lambda } = ( \\pmb { v } _ { 1 } ^ { ( i ) } , \\pmb { v } _ { 2 } ^ { ( i ) } , \\dots , \\pmb { v } _ { K } ^ { ( i ) } )$ for $i \\ = \\ 1$ and 2. We then fold $\\pmb { u } _ { j } ^ { ( i ) } \\mathbf { s }$ and ${ \\pmb v } _ { j } ^ { ( i ) } { \\bf s }$ into tensors, i.e. $\\begin{array} { r } { \\pmb { u } _ { k } ^ { ( i ) } = \\mathrm { v e c } ( \\mathbf { \\mathcal { B } } _ { k } ^ { ( i ) } ) } \\end{array}$ and $\\pmb { v } _ { k } ^ { ( i ) } = \\mathrm { v e c } ( \\mathcal { A } _ { k } ^ { ( i ) } )$ with $1 \\leq k \\leq K$ . Let $\\begin{array} { r } { \\mathbf { \\hat { w } } _ { 1 } = \\sum _ { k = 1 } ^ { \\tilde { K } } \\mathbf { \\mathcal { B } } _ { k } ^ { ( 1 ) } \\otimes \\mathbf { \\mathcal { A } } _ { k } ^ { ( 1 ) } } \\end{array}$ and $\\begin{array} { r } { \\pmb { \\mathcal { W } } _ { 2 } = \\sum _ { k = 1 } ^ { K } \\pmb { \\mathcal { B } } _ { k } ^ { ( 2 ) } \\otimes \\pmb { \\mathcal { A } } _ { k } ^ { ( 2 ) } } \\end{array}$ . It then can be verified tccomplish the proof of (a). $w _ { 1 } , w _ { 2 } \\in \\widehat { S } _ { K }$ , $\\pmb { \\Delta } = \\pmb { { \\mathcal { W } } } _ { 1 } + \\pmb { { \\mathcal { W } } } _ { 2 }$ and $\\langle \\mathfrak { W } _ { 1 } , \\mathfrak { W } _ { 2 } \\rangle = 0$ ", + "bbox": [ + 173, + 696, + 826, + 818 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Denote by $S _ { \\mathrm { m a t r i x } } \\subset \\mathbb { R } ^ { P \\times L }$ the set of matrices with unit Frobenius norm and rank at most $K$ . Note that $T ( S _ { K } ) \\subset S _ { \\mathrm { m a t r i x } }$ , while the $\\varepsilon$ -covering number for $S _ { \\mathrm { m a t r i x } }$ is ", + "bbox": [ + 173, + 821, + 823, + 853 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/6cf851aefa7ed183c90c2e8a4def5db36cd7312ae2549064be84940bfaa1e626.jpg", + "text": "$$\n| S _ { \\mathrm { m a t r i x } } | \\leq ( 9 / \\varepsilon ) ^ { K ( L + P + 1 ) } ;\n$$", + "text_format": "latex", + "bbox": [ + 401, + 859, + 594, + 880 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "see Candes & Plan (2011). This accomplishes the proof of (b). ", + "bbox": [ + 173, + 887, + 583, + 904 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/d872114addaacf385f065fabeeb14b525891df649d581b3e5c879e08b1d0d776.jpg", + "image_caption": [ + "Figure 6: Splitting matrix $T ( \\Delta )$ based on its singular value decomposition. " + ], + "image_footnote": [], + "bbox": [ + 388, + 99, + 616, + 214 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Lemma 2. (Restricted strong convexity and smoothness) Suppose that $n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } d _ { \\mathcal { M } }$ . It holds that, with probability at least $1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { \\bar { 2 } } \\bar { n } - 9 d _ { \\mathcal { M } } ] \\}$ , ", + "bbox": [ + 171, + 270, + 825, + 301 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/05f8fc60fb98de8a8aa4e8b57e9a7048fa4ed22202a4a93c2b2f714d3fe7d35d.jpg", + "text": "$$\n\\alpha _ { \\mathrm { R S C } } \\left\\| \\pmb { \\Delta } \\right\\| _ { \\mathrm { F } } ^ { 2 } \\leq \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( \\langle \\Im ^ { i } , \\pmb { \\Delta } \\rangle ) ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\left\\| \\pmb { \\Delta } \\right\\| _ { \\mathrm { F } } ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 331, + 306, + 665, + 347 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "for all $\\Delta \\in \\widehat { S } _ { 2 K }$ , where $\\widehat { S } _ { 2 K }$ is defined in Lemma $^ { l }$ , $c _ { \\mathrm { H } }$ is a positive constant from the HansonWright inequality, $\\alpha _ { \\mathrm { R S C } } = \\kappa _ { L } / 2$ and $\\alpha _ { \\mathrm { R S M } } = 3 \\kappa _ { U } / 2$ . ", + "bbox": [ + 169, + 353, + 821, + 386 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Proof. It is sufficient to show that $\\begin{array} { r } { \\operatorname* { s u p } _ { \\pmb { \\Delta } \\in S _ { 2 K } } \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } } \\end{array}$ and $\\begin{array} { r } { \\operatorname* { i n f } _ { \\pmb { \\Delta } \\in S _ { 2 K } } \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S C } } } \\end{array}$ hold with a high probability, where $\\begin{array} { r } { \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } : = n ^ { - 1 } \\sum _ { i = 1 } ^ { n } ( \\langle \\pmb { \\Sigma } ^ { i } , \\pmb { \\Delta } \\rangle ) ^ { 2 } } \\end{array}$ is the empirical norm, and $S _ { 2 K }$ is defined in Lemma 1. Without confusion, in this proof, we will also use the notation of $\\pmb { \\Delta }$ for its vectorized version, $\\mathrm { v e c } ( { \\Delta } )$ . Note that ", + "bbox": [ + 174, + 398, + 825, + 462 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/97ebd44ca0851a42264ce0c1d42e12d26d488109ba7f65eab10daea00fd0fe31.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle \\| { \\pmb \\Delta } \\| _ { n } ^ { 2 } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( \\langle { \\Xi ^ { i } } , { \\pmb \\Delta } \\rangle ) ^ { 2 } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } z ^ { i \\prime } { \\pmb \\Delta } { \\pmb \\Delta } ^ { \\prime } z ^ { i } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } { \\pmb x } ^ { i \\prime } U _ { G } { \\pmb \\Delta } { \\pmb \\Delta } ^ { \\prime } U _ { G } ^ { \\prime } { \\pmb x } ^ { i } } } \\\\ { { \\displaystyle ~ = \\frac { 1 } { n } \\bar { \\pmb x } ^ { \\prime } \\Big [ { \\pmb I _ { n } } \\otimes ( U _ { G } { \\pmb \\Delta } { \\pmb \\Delta } ^ { \\prime } U _ { G } ^ { \\prime } ) \\Big ] \\bar { \\pmb x } = \\bar { \\pmb w } ^ { \\prime } Q \\bar { \\pmb w } , } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 250, + 467, + 746, + 540 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "where $Q = n ^ { - 1 } \\Sigma ^ { \\frac { 1 } { 2 } } [ I _ { n } \\otimes ( U _ { G } { \\bf \\underline { { { A } } } } \\Delta { \\bf \\underline { { { \\prime } } } } U _ { G } ^ { \\prime } ) ] { \\Sigma ^ { \\frac { 1 } { 2 } } }$ , $\\bar { \\pmb w } \\in \\mathbb { R } ^ { n D }$ is a random vector with i.i.d. standard normal entries, $z ^ { i } = U _ { G } ^ { \\prime } \\mathbf { x } ^ { i }$ , $\\pmb { x } ^ { i } = \\mathrm { v e c } ( \\pmb { \\mathcal { X } } ^ { i } ) , \\bar { \\pmb { x } } = ( \\pmb { x } ^ { 1 \\prime } , \\pmb { x } ^ { 2 \\prime } , \\dots , \\pmb { x } ^ { n \\prime } ) ^ { \\prime }$ , and $\\pmb { \\Sigma } = \\mathbb { E } ( \\bar { \\pmb { x } } \\bar { \\pmb { x } } ^ { \\prime } ) \\in \\mathbb { R } ^ { n D \\times n D }$ . ", + "bbox": [ + 174, + 545, + 825, + 580 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Denote $\\pmb { w } _ { G } = \\pmb { U } _ { G } \\pmb { \\Delta } \\in \\mathbb { R } ^ { D }$ and $S ^ { n - 1 } = \\{ \\pmb { v } \\in \\mathbb { R } ^ { n } : \\| \\pmb { v } \\| _ { 2 } = 1 \\}$ . Let $\\lambda _ { \\operatorname* { m a x } } ( \\pmb { \\Sigma } _ { i i } )$ be the maximum eigenvalue of $\\Sigma _ { i i } = \\mathbb { E } ( \\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } ) \\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } ) ^ { \\prime } )$ for $1 \\leq i \\leq n$ , and it holds that $\\lambda _ { \\operatorname* { m a x } } ( \\Sigma _ { i i } ) \\leq C _ { x }$ for all $1 \\leq i \\leq n$ . For matrix $Q$ , we have ", + "bbox": [ + 173, + 584, + 826, + 633 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/2dbe6a11e93d99a6799df1e36bc8a6f8e19f7e4776b5922d3767f7349921f459.jpg", + "text": "$$\n\\begin{array} { r } { \\mathrm { r } ( Q ) = \\displaystyle \\frac { 1 } { n } \\mathrm { t r } \\left( \\Sigma ^ { \\frac { 1 } { 2 } } [ I _ { n } \\otimes w _ { G } ] [ I _ { n } \\otimes w _ { G } ^ { \\prime } ] \\Sigma ^ { \\frac { 1 } { 2 } } \\right) = \\displaystyle \\frac { 1 } { n } \\mathrm { t r } \\left( [ I _ { n } \\otimes w _ { G } ^ { \\prime } ] \\Sigma [ I _ { n } \\otimes w _ { G } ] \\right) = \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( w _ { G } ^ { \\prime } \\Sigma _ { i i } w _ { G } ) } \\\\ { \\leq \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left( \\operatorname* { s u p } _ { w _ { G } \\in S ^ { P L - 1 } } \\frac { w _ { G } ^ { \\prime } \\Sigma _ { i i } w _ { G } } { w _ { G } ^ { \\prime } w _ { G } } \\right) \\left( \\operatorname* { s u p } _ { \\Delta \\in S ^ { P L - 1 } } \\Delta ^ { \\prime } U _ { G } ^ { \\prime } U _ { G } \\Delta \\right) \\leq \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\lambda _ { \\operatorname* { m a x } } ( \\Sigma _ { i j } ) C _ { u } \\leq \\kappa _ { U } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 638, + 839, + 724 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "and similarly, we can show that $\\mathrm { t r } ( { \\cal Q } ) \\ge \\kappa _ { \\cal L }$ , where $\\kappa _ { L } = c _ { x } c _ { u }$ , $\\kappa _ { U } = C _ { x } C _ { u }$ and $\\kappa _ { L } \\leq \\kappa _ { U }$ . Thus, ", + "bbox": [ + 171, + 743, + 818, + 760 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/d00071157bdb41e7e1928719392230d23ae6ad97b7c97074397270790185abb1.jpg", + "text": "$$\n\\kappa _ { L } \\leq \\operatorname { \\mathbb { E } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } = \\operatorname { t r } ( { \\boldsymbol { Q } } ) \\leq \\kappa _ { U } .\n$$", + "text_format": "latex", + "bbox": [ + 395, + 765, + 602, + 785 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Moreover, denote $Q _ { 1 } = n ^ { - \\frac { 1 } { 2 } } \\Sigma ^ { \\frac { 1 } { 2 } } [ I _ { n } \\otimes { \\pmb w } _ { G } ]$ and note that $Q = Q _ { 1 } Q _ { 1 } ^ { \\prime }$ . To bound the operator norm of $Q$ , we have ", + "bbox": [ + 171, + 791, + 826, + 823 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/d9529e8d703c8e5f3b4a0510e658b4e922e1fa6e8ce454fb10d298a4e4e64928.jpg", + "text": "$$\n\\begin{array} { r l } & { \\| Q \\| _ { \\mathrm { o p } } \\leq \\| Q _ { 1 } \\| _ { \\mathrm { o p } } ^ { 2 } = \\displaystyle \\operatorname* { s u p } _ { u \\in \\mathbb { S } ^ { n - 1 } } u ^ { \\prime } Q _ { 1 } ^ { \\prime } Q _ { 1 } u = \\displaystyle \\frac { 1 } { n } \\displaystyle \\operatorname* { s u p } _ { u \\in \\mathbb { S } ^ { n - 1 } } u ^ { \\prime } [ I _ { n } \\otimes w _ { G } ^ { \\prime } ] \\Sigma [ I _ { n } \\otimes w _ { G } ] u } \\\\ & { \\qquad \\leq \\displaystyle \\frac { 1 } { n } \\left( \\displaystyle \\operatorname* { s u p } _ { u \\in \\mathbb { S } ^ { n - 1 } } \\frac { u ^ { \\prime } [ I _ { n } \\otimes w _ { G } ^ { \\prime } ] \\Sigma [ I _ { n } \\otimes w _ { G } ] u } { u ^ { \\prime } [ I _ { n } \\otimes w _ { G } ^ { \\prime } ] [ I _ { n } \\otimes w _ { G } ] u } \\right) \\left( \\displaystyle \\operatorname* { s u p } _ { u \\in \\mathbb { S } ^ { n - 1 } } u ^ { \\prime } [ I _ { n } \\otimes w _ { G } ^ { \\prime } w _ { G } ] u \\right) } \\\\ & { \\qquad \\leq \\displaystyle \\frac { C _ { x } } { n } \\| w _ { G } \\| _ { 2 } ^ { 2 } \\leq \\displaystyle \\frac { C _ { x } } { n } \\| U _ { G } \\| _ { \\mathrm { o p } } ^ { 2 } \\| \\Delta \\| _ { 2 } ^ { 2 } \\leq \\displaystyle \\frac { \\kappa _ { U } } { n } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 212, + 825, + 756, + 931 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Finally we can use (18) and (20) to bound the Frobenius norm of $Q$ . By some algebra, for any square matrices $\\pmb { A } , \\pmb { B } \\in \\mathbb { R } ^ { n \\times n }$ , $\\left. A B \\right. _ { \\mathrm { F } } ^ { 2 } \\leq \\left. A \\right. _ { \\mathrm { o p } } ^ { 2 } \\left. B \\right. _ { \\mathrm { F } } ^ { 2 }$ holds. Hence, ", + "bbox": [ + 173, + 102, + 823, + 136 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/93a7e9591fa92976f59aa0d730371b15ced7172acb97aa91ab2810b43164e8ad.jpg", + "text": "$$\n\\left\\| Q \\right\\| _ { \\mathrm { F } } ^ { 2 } = \\left\\| Q _ { 1 } Q _ { 1 } ^ { \\prime } \\right\\| _ { \\mathrm { F } } ^ { 2 } \\leq \\left\\| Q _ { 1 } \\right\\| _ { \\mathrm { o p } } ^ { 2 } \\left\\| Q _ { 1 } \\right\\| _ { \\mathrm { F } } ^ { 2 } = \\left\\| Q _ { 1 } \\right\\| _ { \\mathrm { o p } } ^ { 2 } \\operatorname { t r } ( Q ) \\leq \\frac { \\kappa _ { U } ^ { 2 } } { n } .\n$$", + "text_format": "latex", + "bbox": [ + 285, + 141, + 710, + 172 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "This, together with (17), (20) and the Hanson-Wright inequality (Vershynin, 2018, Chapter 6), leads to ", + "bbox": [ + 171, + 174, + 825, + 203 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/41be867d575972234b17cc76ac138d290fad8311f2fc1f71a9a4cfbacb7f3696.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { \\mathbb { P } \\left\\{ \\left| \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\right| \\geq t \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } \\operatorname* { m i n } \\left( \\frac { t } { \\left\\| Q \\right\\| _ { \\mathrm { o p } } } , \\frac { t ^ { 2 } } { \\left\\| Q \\right\\| _ { \\mathrm { F } } ^ { 2 } } \\right) \\right\\} } \\\\ & { } & { \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\operatorname* { m i n } \\left( t / \\kappa _ { U } , ( t / \\kappa _ { U } ) ^ { 2 } \\right) \\right\\} , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 264, + 203, + 733, + 268 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $c _ { \\mathrm { H } }$ is a positive constant. ", + "bbox": [ + 173, + 270, + 382, + 285 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "On the other hand, ", + "bbox": [ + 173, + 291, + 297, + 305 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/63ef92cae3203f6338095f72112f23113976eb0486736e8da8308438e2ba108c.jpg", + "text": "$$\n\\left\\| \\pmb { \\Delta } \\right\\| _ { n } ^ { 2 } - \\mathbb { E } \\left\\| \\pmb { \\Delta } \\right\\| _ { n } ^ { 2 } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\pmb { \\Delta } ^ { \\prime } z ^ { i } z ^ { i ^ { \\prime } } \\pmb { \\Delta } - \\mathbb { E } ( \\pmb { \\Delta } ^ { \\prime } z ^ { i } z ^ { i ^ { \\prime } } \\pmb { \\Delta } ) = \\pmb { \\Delta } ^ { \\prime } \\widehat { \\pmb { \\Gamma } } \\pmb { \\Delta } ,\n$$", + "text_format": "latex", + "bbox": [ + 279, + 308, + 718, + 349 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { \\widehat { \\bf r } = n ^ { - 1 } \\sum _ { i = 1 } ^ { n } [ z ^ { i } z ^ { i \\prime } - E ( z ^ { i } z ^ { i \\prime } ) ] } \\end{array}$ is a symmetric matrix. Consider a $\\varepsilon$ -net $\\bar { S } _ { 2 K }$ , with the cardinality of $\\mathcal { N } ( 2 K , \\varepsilon )$ , for the set $S _ { 2 K }$ . For any $\\Delta \\in { \\mathcal { S } } _ { 2 K }$ , there exists a $\\bar { \\Delta } _ { j } \\in \\bar { \\mathcal { S } } _ { 2 K }$ such that $\\| \\Delta - \\bar { \\Delta } _ { j } \\| _ { \\mathrm { F } } \\leq \\varepsilon$ . Note that $\\Delta - \\bar { \\Delta } _ { j } \\in \\widehat { S } _ { 4 K }$ and, from Lemma 1, we can further find $\\Delta _ { 1 } , \\Delta _ { 2 } \\in \\widehat { S } _ { 2 K }$ such that $\\langle \\pmb { \\Delta } _ { 1 } , \\pmb { \\Delta } _ { 2 } \\rangle = 0$ and $\\Delta - \\bar { \\Delta } _ { j } = \\Delta _ { 1 } + \\Delta _ { 2 }$ , and it then holds that $\\| \\pmb { \\Delta } _ { 1 } \\| _ { \\mathrm { F } } + \\| \\pmb { \\Delta } _ { 2 } \\| _ { \\mathrm { F } } \\leq$ $\\sqrt { 2 } \\| \\pmb { \\Delta } - \\pmb { \\bar { \\Delta } } _ { j } \\| _ { \\mathrm { F } } \\leq \\sqrt { 2 } \\varepsilon$ . Moreover, for a general real symmetric matrix $\\pmb { A } \\in \\mathbb { R } ^ { d \\times d }$ , $\\pmb { u } \\in \\mathbb { R } ^ { d }$ and $\\pmb { v } \\in \\mathbb { R } ^ { d }$ , $\\begin{array} { r } { \\operatorname* { s u p } _ { \\| \\pmb { u } \\| _ { 2 } = \\| \\pmb { v } \\| _ { 2 } = 1 } \\pmb { u } ^ { \\prime } \\pmb { A } \\pmb { v } = \\operatorname* { s u p } _ { \\| \\pmb { u } \\| _ { 2 } = 1 } \\pmb { u } ^ { \\prime } \\pmb { A } \\pmb { u } } \\end{array}$ . As a result, ", + "bbox": [ + 173, + 353, + 826, + 452 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/8c69f1e549026309c660a8b4d91bac67a6cbe17a9837f7cf9bbd16043fd27c86.jpg", + "text": "$$\n\\begin{array} { r l } & { \\Delta ^ { \\prime } \\widehat \\Gamma \\Delta = \\bar { \\Delta } _ { j } ^ { \\prime } \\widehat \\Gamma \\bar { \\Delta } _ { j } + ( \\Delta _ { 1 } + \\Delta _ { 2 } ) ^ { \\prime } \\widehat \\Gamma ( \\Delta _ { 1 } + \\Delta _ { 2 } + 2 \\bar { \\Delta } _ { j } ) } \\\\ & { \\qquad \\leq \\underset { 1 \\leq j \\leq N ( 2 K , \\varepsilon ) } { \\operatorname* { m a x } } \\bar { \\Delta } _ { j } ^ { \\prime } \\widehat \\Gamma \\bar { \\Delta } _ { j } + 5 \\varepsilon \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { s u p } } \\Delta ^ { \\prime } \\widehat \\Gamma \\Delta , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 312, + 455, + 684, + 507 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $( \\Vert \\pmb { \\Delta } _ { 1 } \\Vert _ { \\mathrm { F } } + \\Vert \\pmb { \\Delta } _ { 2 } \\Vert _ { \\mathrm { F } } ) ^ { 2 } + 2 ( \\Vert \\pmb { \\Delta } _ { 1 } \\Vert _ { \\mathrm { F } } + \\Vert \\pmb { \\Delta } _ { 2 } \\Vert _ { \\mathrm { F } } ) \\Vert \\bar { \\pmb { \\Delta } } _ { j } \\Vert _ { \\mathrm { F } } \\leq 2 ( \\varepsilon + \\sqrt { 2 } ) \\varepsilon \\leq 5 \\varepsilon$ as $\\varepsilon \\leq 1$ , and this leads to ", + "bbox": [ + 173, + 511, + 823, + 540 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/4a4691ad4ad2160d12e1a9ab8b77007a8872d1c7696cd761b3e6c862acfed316.jpg", + "text": "$$\n\\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } \\Delta ^ { \\prime } \\widehat \\Gamma \\Delta \\leq ( 1 - 5 \\varepsilon ) ^ { - 1 } \\operatorname* { m a x } _ { 1 \\leq j \\leq \\mathcal { N } ( 2 K , \\varepsilon ) } \\bar { \\Delta } _ { j } ^ { \\prime } \\widehat \\Gamma \\bar { \\Delta } _ { j } .\n$$", + "text_format": "latex", + "bbox": [ + 326, + 536, + 671, + 565 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Note that, from Lemma 1(b), $\\log \\mathcal { N } ( 2 K , \\varepsilon ) \\leq 2 d _ { \\mathcal { M } } \\log ( 9 / \\varepsilon )$ , where $d _ { \\mathcal { M } } = K ( L + P + 1 )$ . Let $\\varepsilon = 1 / 1 0$ , and then $2 \\log ( 9 / \\varepsilon ) < 9$ . Combining (21) and (22) and letting $t = \\kappa _ { L } / 2$ , we have ", + "bbox": [ + 173, + 568, + 823, + 597 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/8fe1cea10255bfeb46f34c912339b8b632270b24dcb5ab4704aaf5e85b4f4dcf.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\geq \\frac { \\kappa _ { L } } { 2 } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 246, + 599, + 746, + 642 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "which, together with (19) and the fact that $\\kappa _ { L } \\leq \\kappa _ { U }$ , implies that ", + "bbox": [ + 174, + 645, + 602, + 660 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/7997cdcf2f45d3f47bfd9c0593ed471c9684710860b3070b4f11b719d57eb58e.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S M } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 276, + 662, + 718, + 705 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $\\alpha _ { \\mathrm { R S M } } = 1 . 5 \\kappa _ { U } \\geq \\kappa _ { U } + \\kappa _ { L } / 2$ ", + "bbox": [ + 174, + 708, + 423, + 724 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "By a method similar to (22), we can also show that ", + "bbox": [ + 176, + 729, + 508, + 744 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/c7ee36b494952df5485e93787d090f88baad7c501b33fbae4fce94880dc8855c.jpg", + "text": "$$\n\\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\leq ( 1 - 5 \\varepsilon ) ^ { - 1 } \\operatorname* { m a x } _ { 1 \\leq j \\leq N ( 2 K , \\varepsilon ) } \\mathbb { E } \\left\\| \\bar { \\Delta } _ { j } \\right\\| _ { n } ^ { 2 } - \\left\\| \\bar { \\Delta } _ { j } \\right\\| _ { n } ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 253, + 748, + 743, + 777 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "which, together with (21), leads to ", + "bbox": [ + 174, + 781, + 401, + 796 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/91663ef08df773b59cf885d78f6b76de81c80a265ebc84ee4b1ee9b603c4530d.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in { \\mathcal S } _ { 2 K } } \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\geq \\frac { \\kappa _ { L } } { 2 } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 246, + 799, + 746, + 842 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $t = \\kappa _ { L } / 2$ and $\\varepsilon = 1 / 1 0$ . As a result, ", + "bbox": [ + 174, + 844, + 460, + 861 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/1f40de1d1a4afde06ea8a3110bb837e99053432da644c9160cc35fa76c1c6b04.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S C } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 277, + 863, + 717, + 906 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $\\alpha _ { \\mathrm { R S C } } = \\kappa _ { L } - \\kappa _ { L } / 2$ . This, together with (23), accomplishes the proof. ", + "bbox": [ + 174, + 909, + 681, + 925 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Lemma 3. (Concentration bound for martingale) Let $\\{ \\xi ^ { i } , 1 \\le i \\le n \\}$ be independent $\\sigma ^ { 2 }$ -subGaussian random variables with mean zero, and $\\{ z ^ { i } , 1 \\leq i \\leq n \\}$ is another sequence of random variables. Suppose that $\\xi ^ { i }$ is independent of $\\{ z ^ { i } , z ^ { i - 1 } , \\ldots , z ^ { 1 } \\}$ for all $1 \\leq i \\leq n$ . It then holds that, for any real numbers $\\alpha , \\beta > 0$ , ", + "bbox": [ + 173, + 102, + 825, + 160 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/81b6078bd2521f1298c5343f4efb88d58e2b53a21026815318f7ab2441abbd4d.jpg", + "text": "$$\n\\mathbb { P } \\left[ \\left\\{ \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } z ^ { i } \\geq \\alpha \\right\\} \\cap \\left\\{ \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( z ^ { i } ) ^ { 2 } \\leq \\beta \\right\\} \\right] \\leq \\exp \\left( { - \\frac { n \\alpha ^ { 2 } } { 2 \\sigma ^ { 2 } \\beta } } \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 276, + 164, + 722, + 208 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Proof. We can prove the lemma by a method similar to Lemma 4.2 in Simchowitz et al. (2018). ", + "bbox": [ + 171, + 219, + 795, + 236 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "A.4 CLASSIFICATION PROBLEMS ", + "text_level": 1, + "bbox": [ + 176, + 251, + 416, + 266 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Starting from Section 2.2, we know that, for each input tensor ${ \\boldsymbol x }$ , the intermediate scalar output after convolution and pooling has the following form ", + "bbox": [ + 174, + 276, + 825, + 306 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/9d2dba13ab9429fdaa051bed3f6b88ab9303283573ab51e0f584a7abd5663107.jpg", + "text": "$$\n\\mathrm { o u t p u t } = \\langle \\mathcal { X } , \\sum _ { k = 1 } ^ { K } ( \\mathfrak { B } _ { k } \\otimes \\mathcal { A } _ { k } ) \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) } \\times _ { 2 } U _ { \\mathcal { F } } ^ { ( 2 ) } \\times _ { 3 } \\cdots \\times _ { N } U _ { \\mathcal { F } } ^ { ( N ) } \\rangle = \\langle \\mathfrak { Z } , \\mathcal { W } \\rangle ,\n$$", + "text_format": "latex", + "bbox": [ + 241, + 310, + 756, + 354 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "wheris the $\\begin{array} { r } { \\mathbf { \\mathcal { W } } = \\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } \\otimes \\mathbf { \\mathcal { A } } _ { k } } \\end{array}$ $\\mathfrak { Z } = \\mathfrak { X } \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) \\prime } \\times _ { 2 } U _ { \\mathcal { F } } ^ { ( 2 ) \\prime } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N } U _ { \\mathcal { F } } ^ { ( N ) \\prime }$ )0 ×3 · · · ×N U (N )0F , Ak ∈ Rl1×l2×···×lN $k$ $\\mathbf { \\mathcal { B } } _ { k } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\cdots \\times p _ { N } }$ ", + "bbox": [ + 173, + 359, + 821, + 392 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Consider a binary classification problem. We have the binary label output $y \\in \\{ 0 , 1 \\}$ with ", + "bbox": [ + 171, + 397, + 764, + 412 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/1142b79e738cd61a48e0ed7c8058ddc1760d5e5b5b14f559ff8e67ad75d6095c.jpg", + "text": "$$\n\\rho ( y | \\mathfrak { L } ) = \\left( \\frac { 1 } { 1 + \\exp ( \\langle \\mathfrak { L } , \\mathscr { W } \\rangle ) } \\right) ^ { 1 - y } \\left( \\frac { \\exp ( \\langle \\mathfrak { L } , \\mathscr { W } \\rangle ) } { 1 + \\exp ( \\langle \\mathfrak { L } , \\mathscr { W } \\rangle ) } \\right) ^ { y } = \\exp \\left\\{ y ( \\mathfrak { L } , \\mathscr { W } ) - \\log \\left[ 1 + \\exp ( \\langle \\mathfrak { L } , \\mathscr { W } \\rangle ) \\right] ^ { y } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 181, + 417, + 839, + 455 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Suppose we have samples $\\{ \\mathfrak { Z } ^ { i } , \\boldsymbol { y } ^ { i } \\} _ { i = 1 } ^ { n }$ 1 , we use the negative log-likelihood function as our loss function. It is given, up to a scaling of $n ^ { - 1 }$ by ", + "bbox": [ + 174, + 462, + 823, + 491 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/e05802ab5fcadf54b9ca226cda1c0159a4261762776798efcfccd26b55f83a30.jpg", + "text": "$$\n\\mathcal { L } _ { n } ( \\pmb { \\mathscr { W } } ) = - \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } y ^ { i } \\langle \\pmb { \\mathscr { Z } } ^ { i } , \\pmb { \\mathscr { W } } \\rangle + \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\phi ( \\langle \\pmb { \\mathscr { Z } } ^ { i } , \\pmb { \\mathscr { W } } \\rangle ) ,\n$$", + "text_format": "latex", + "bbox": [ + 325, + 496, + 671, + 536 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "where $\\phi ( z ) = \\log ( 1 + e ^ { z } )$ and its gradient and Hessian matrix is ", + "bbox": [ + 173, + 541, + 599, + 556 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/a07f175ded354210f0f31c68ef335b9630fe46ad61513f746897192ed81a02c4.jpg", + "text": "$$\n\\begin{array} { r l } & { \\displaystyle \\nabla \\mathcal { L } _ { n } ( \\mathcal { W } ) = \\frac { \\partial \\mathcal { L } _ { n } ( \\mathcal { W } ) } { \\partial \\mathrm { v e c } ( \\mathcal { W } ) } = - \\frac { 1 } { n } \\displaystyle \\sum _ { i = 1 } ^ { n } y ^ { i } \\mathrm { v e c } ( \\Xi ^ { i } ) + \\frac { 1 } { n } \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } \\rangle ) \\mathrm { v e c } ( \\Xi ^ { i } ) \\mathrm { a n d } , } \\\\ & { \\displaystyle H _ { n } ( \\mathcal { W } ) = \\frac { \\partial ^ { 2 } \\mathcal { L } _ { n } ( \\mathcal { W } ) } { \\partial ^ { 2 } \\mathrm { v e c } ( \\mathcal { W } ) } = \\frac { 1 } { n } \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } \\rangle ) \\mathrm { v e c } ( \\Xi ^ { i } ) \\mathrm { v e c } ( \\Xi ^ { i } ) ^ { \\prime } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 228, + 561, + 767, + 645 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "with $\\phi ^ { \\prime } ( z ) = 1 / ( 1 + e ^ { - z } ) \\in ( 0 , 1 )$ and $\\phi ^ { \\prime \\prime } ( z ) = e ^ { z } / ( 1 + e ^ { z } ) ^ { 2 } = 1 / ( e ^ { - z } + 2 + e ^ { z } ) \\in ( 0 , 0 . 2 5 )$ [because $e ^ { - z } + e ^ { z } \\geq 2 ]$ . Since $H _ { n } ( \\aleph )$ is a positive semi-definite matrix, our loss function in (24) is convex. ", + "bbox": [ + 174, + 650, + 823, + 693 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Suppose $\\widehat { \\mathcal W }$ is the minimizer to the loss function ", + "bbox": [ + 173, + 696, + 495, + 714 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/55041443ab679ad0ff003ad1ada909afc33f4c91c5ee182e1cf224316a20ecbc.jpg", + "text": "$$\n\\widehat { \\pmb { w } } \\in \\underset { \\pmb { w } \\in \\widehat { S } _ { K } \\cap \\mathbb { B } ( R ) } { \\arg \\operatorname* { m i n } } \\mathcal { L } _ { \\boldsymbol { n } } ( \\pmb { w } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 406, + 718, + 588, + 752 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "where Frobe $\\begin{array} { r } { \\widehat { \\mathcal { S } } _ { K } = \\{ \\sum _ { k = 1 } ^ { K } \\mathbf { 1 } _ { k } \\otimes \\pmb { \\mathscr { A } } _ { k } : \\pmb { \\mathscr { A } } _ { k } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } } } \\end{array}$ and nderl $\\mathfrak { B } _ { k } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } } \\}$ , and $\\mathbb { B } ( R )$ is a $R$ ", + "bbox": [ + 174, + 758, + 823, + 790 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Similar to Fan et al. (2019), we need to make two additional assumptions to guarantee the locally strong convexity condition. ", + "bbox": [ + 176, + 796, + 825, + 825 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Assumption 4 (Classification). Apart from Assumptions 2-3, we additionally assume that ", + "bbox": [ + 173, + 828, + 767, + 844 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "$( C l ) \\{ \\mathrm { v e c } ( \\mathbf { X } ^ { i } ) \\} _ { i = 1 } ^ { n }$ are i.i.d gaussian vectors with mean zero and variance $\\pmb { \\Sigma }$ , where $\\Sigma \\leq C _ { x } I$ ", + "bbox": [ + 173, + 851, + 799, + 867 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "$( C 2 )$ the Hessian matrix at the underlying true parameter $\\boldsymbol { w ^ { * } }$ is positive definite and there exists some $\\kappa _ { 0 } > \\kappa _ { U } > 0$ , such that $H ( \\mathcal { W } ^ { * } ) = \\mathbb { E } ( H _ { n } ( \\mathcal { W } ^ { * } ) ) \\geq \\kappa _ { 0 } \\cdot I$ , where $\\kappa _ { U } = C _ { x } C _ { u }$ ; ", + "bbox": [ + 173, + 872, + 825, + 902 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "(C3) $\\lVert \\boldsymbol { \\mathcal { W } } ^ { * } \\rVert _ { \\mathrm { F } } \\geq \\alpha \\sqrt { d _ { \\boldsymbol { \\mathcal { M } } } }$ for some constant $\\alpha$ , where $d _ { \\mathcal { M } } = K ( P + L + 1 )$ . ", + "bbox": [ + 174, + 907, + 669, + 925 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Notice that we can relax (C1) into Assumption 1, but it will require more techincal details. Also, $\\{ \\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } ) \\} _ { i = 1 } ^ { n }$ can be sub-gaussian random vectors instead of gaussian random vectors. ", + "bbox": [ + 171, + 103, + 825, + 133 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Denote $d _ { \\mathcal { M } } = K ( P + L + 1 )$ . ", + "bbox": [ + 174, + 138, + 377, + 155 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Theorem 3 (Classification: CNN). Suppose that Assumptions 2&3 and Assumption $^ { 4 }$ hold and $n \\gtrsim d _ { \\mathcal { M } }$ . Then, for some $\\delta > 0$ , ", + "bbox": [ + 173, + 159, + 825, + 186 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/764b2f6661c06866c6960e56a0367466d9bce5c9d127eee4b6dd82064ab8322b.jpg", + "text": "$$\n\\Vert \\widehat { \\mathcal { W } } - \\mathcal { W ^ { * } } \\Vert _ { \\mathrm { F } } \\leq \\frac { 2 \\sqrt { \\kappa _ { U } } } { \\kappa _ { 1 } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 352, + 190, + 643, + 233 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "with probability $1 - 4 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\} - 2 \\exp \\left\\{ - c _ { \\gamma } d _ { \\mathcal { M } } - c \\delta \\right\\}$ , where $\\delta = O _ { p } ( 1 )$ , c and $c _ { \\gamma }$ are some positive constants. ", + "bbox": [ + 173, + 237, + 823, + 266 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/c29b2cb88ced1654aa6db70495994ecb094d65562c39facddcd40c1b1d248dad.jpg", + "text": "$$\n\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { T U } } = \\prod _ { j = 1 } ^ { N + 1 } R _ { j } + \\sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P \\mathrm { ~ a n d } d _ { \\mathcal { M } } ^ { \\mathrm { C P } } = R ^ { N + 1 } + R ( \\sum _ { i = 1 } ^ { N } l _ { i } + P ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 222, + 275, + 761, + 296 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Corollary 2 (Classification: Compressed CNN). Let $( \\widehat { \\mathcal { W } } , d _ { \\mathcal { M } } )$ be $( \\widehat { \\sf w } _ { \\mathrm { T U } } , d _ { \\mathcal { M } } ^ { \\mathrm { T U } } )$ for Tucker decomposition, or $( \\widehat { \\sf w } _ { \\mathrm { C P } } , d _ { \\mathcal { M } } ^ { \\mathrm { C P } } )$ for $C P$ decomposition. Suppose that Assumptions in Theorem 3 hold and $n \\gtrsim c _ { N } d _ { \\mathcal { M } }$ . Then, for some $\\delta > 0$ , ", + "bbox": [ + 173, + 300, + 826, + 349 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/cfd3476458952d7f7a008b6967519721400b40ad4c47a043f05aa73fd208970c.jpg", + "text": "$$\n\\| \\widehat { \\mathcal { W } } - \\mathcal { W } ^ { * } \\| _ { \\mathrm { F } } \\leq \\frac { 2 \\sqrt { \\kappa _ { U } } } { \\kappa _ { 1 } } \\left( \\sqrt { \\frac { 3 c _ { N } d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 339, + 353, + 656, + 395 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "with probability $1 - 4 \\exp \\left\\{ - 0 . 2 5 c n + 3 c _ { N } d _ { \\mathcal { M } } \\right\\} - 2 \\exp \\left\\{ - c _ { \\gamma } d _ { \\mathcal { M } } - c \\delta \\right\\}$ , where $\\delta = O _ { p } ( 1 )$ , c and $c _ { \\gamma }$ are some positive constants, and $c _ { N }$ is defined as in Theorem 2. ", + "bbox": [ + 174, + 398, + 825, + 429 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "We consider a binary classification problem as a simple illustration. In fact, the analysis framework can be easily extended to a multiclass classification problem. Here, we consider a $M$ -class classification problem. ", + "bbox": [ + 173, + 438, + 825, + 481 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Because we need our intermediate output after convolution and pooling to be a vector of length $M$ , instead of a scalar, we need to introduce one additional dimension to the fully-connected weight tensor. Hence, we introduce another subscript $m$ to represent the class label. And the set of fullyconnected weights is represented as $\\{ \\mathbf { \\mathcal { B } } _ { k , m } \\} _ { 1 \\leq k \\leq K , 1 \\leq m \\leq M }$ where each $\\boldsymbol { \\mathcal { B } } _ { k , m }$ is of size $p _ { 1 } \\times p _ { 2 } \\times$ $\\cdots \\times p _ { N }$ . ", + "bbox": [ + 173, + 487, + 825, + 559 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Then, for each input tensor ${ \\boldsymbol x }$ , our intermediate output is a vector of size $M$ , where the $m$ th entry is represented by ", + "bbox": [ + 171, + 564, + 825, + 592 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/4f2a1876b082993cf6904018f61c181031eba31758844d5653c6805123d4548e.jpg", + "text": "$$\n\\begin{array} { r } { \\operatorname * { o u t p u t } _ { m } = \\langle \\Xi , \\mathcal { W } _ { m } \\rangle , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 424, + 590, + 570, + 608 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { \\pmb { \\mathscr { W } } _ { m } = \\sum _ { k = 1 } ^ { K } ( \\pmb { \\mathscr { B } } _ { k , m } \\otimes \\pmb { \\mathscr { A } } _ { k } ) } \\end{array}$ is an $N$ -th order tensor of size $l _ { 1 } p _ { 1 } \\times l _ { 2 } p _ { 2 } \\times \\cdot \\cdot \\cdot \\times l _ { N } p _ { N } .$ ", + "bbox": [ + 171, + 612, + 787, + 628 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "For a $M$ -class classification problem, we have the vector label output $\\pmb { y } \\in ( 0 , 1 ) ^ { M }$ . Essentially, each entry of $\\textbf { { y } }$ comes from a different binary classification problem, with $M$ problems in total. We can model it as ", + "bbox": [ + 174, + 635, + 825, + 678 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/3118f9b57db10188e97e1101c531c3a9a9914cbbfb774b38f6453ca0f4205b7a.jpg", + "text": "$$\n\\begin{array} { r l r } { { p ( y _ { m } | \\mathfrak { Z } ) = ( \\frac { 1 } { 1 + \\exp ( \\langle \\mathfrak { Z } , \\mathcal { W } _ { m } \\rangle ) } ) ^ { 1 - y _ { m } } ( \\frac { \\exp ( \\langle \\mathfrak { Z } , \\mathcal { W } _ { m } \\rangle ) } { 1 + \\exp ( \\langle \\mathfrak { Z } , \\mathcal { W } _ { m } \\rangle ) } ) ^ { y _ { m } } } } \\\\ & { } & { = \\exp \\{ y _ { m } \\langle \\mathfrak { Z } , \\mathcal { W } _ { m } \\rangle - \\log [ 1 + \\exp ( \\langle \\mathfrak { Z } , \\mathcal { W } _ { m } \\rangle ) ] \\} } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 272, + 679, + 723, + 736 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "If we stack $\\{ \\aleph _ { m } \\} _ { m = 1 } ^ { M }$ into a tensor ${ \\boldsymbol { \\mathsf { W } } } _ { \\mathrm { s t a c k } }$ , which is an $N + 1$ -order tensor of size $l _ { 1 } p _ { 1 } \\times l _ { 2 } p _ { 2 } \\times$ $\\dots \\times l _ { N } p _ { N } \\times M$ . And we further introduce some natural basis vectors $\\{ e _ { m } \\in \\mathbb { R } ^ { M } \\} _ { m = 1 } ^ { M ^ { \\setminus } }$ M }Mm=1. It can be shown that ", + "bbox": [ + 174, + 747, + 826, + 790 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/a03891a6a35b711e50591a9c3d94de1004ef7b0df0569543b537dbc9b93f4a10.jpg", + "text": "$$\n\\langle \\Xi ^ { i } , \\mathcal { W } _ { m } \\rangle = \\langle \\underbrace { \\mathfrak { T } ^ { i } \\circ e _ { m } } _ { \\mathfrak { Z } _ { m } ^ { i } } , \\mathcal { W } _ { \\mathrm { s t a c k } } \\rangle ,\n$$", + "text_format": "latex", + "bbox": [ + 387, + 786, + 607, + 828 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "where $\\circ$ is the outer product. ", + "bbox": [ + 174, + 829, + 362, + 844 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "We can then recast this model into one with $n M$ samples $\\{ \\mathfrak { Z } _ { m } ^ { i } , y _ { m } ^ { i } : 1 \\leq k \\leq K , 1 \\leq m \\leq M \\}$ . The corresponding loss function is ", + "bbox": [ + 173, + 849, + 825, + 881 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/8fce6f6e8b65556a86cb63c71b69eeb1759c58400cf32da14fe341edfe9354db.jpg", + "text": "$$\n\\mathcal { L } _ { n } ( \\mathcal { W } _ { \\mathrm { s t a c k } } ) = - \\frac { 1 } { n M } \\sum _ { m = 1 } ^ { M } \\sum _ { i = 1 } ^ { n } y ^ { i } \\langle \\Xi _ { m } ^ { i } , \\mathcal { W } _ { \\mathrm { s t a c k } } \\rangle + \\frac { 1 } { n M } \\sum _ { m = 1 } ^ { M } \\sum _ { i = 1 } ^ { n } \\phi ( \\langle \\Xi _ { m } ^ { i } , \\mathcal { W } _ { \\mathrm { s t a c k } } \\rangle ) .\n$$", + "text_format": "latex", + "bbox": [ + 225, + 885, + 771, + 929 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "We can now use the techniques in Theorem 3 to show the following corollaries for multiclass classification problem. ", + "bbox": [ + 173, + 102, + 825, + 132 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Denote $d _ { \\mathcal { M } } ^ { \\mathrm { M C } } = K ( M P + L + 1 )$ ", + "bbox": [ + 174, + 137, + 401, + 155 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Corollary 3 (Multiclass Classification: CNN). Under similar assumptions as in Theorem 3, suppose that $n \\gtrsim \\bar { d } _ { \\mathcal { M } } ^ { \\mathrm { M C } }$ . Then, for some $\\delta > 0$ , ", + "bbox": [ + 173, + 157, + 823, + 186 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/bd5866bf60f9c465500fcae6e12fa92ff341107967c96a248fe30e2ce6674ca7.jpg", + "text": "$$\n\\Vert \\widehat { \\mathcal { W } } _ { \\mathrm { s t a c k } } - \\mathcal { W } _ { \\mathrm { s t a c k } } ^ { * } \\Vert _ { \\mathrm { F } } \\leq \\frac { 2 \\sqrt { \\kappa _ { U } } } { \\kappa _ { 1 } } \\left( \\sqrt { \\frac { d _ { M } ^ { \\mathrm { M C } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 323, + 194, + 673, + 236 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "with probability $1 - 4 \\exp \\big \\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } ^ { \\mathrm { M C } } \\big \\} - 2 \\exp \\big \\{ - c _ { \\gamma } d _ { \\mathcal { M } } ^ { \\mathrm { M C } } - c \\delta \\big \\} ,$ where $\\delta = O _ { p } ( 1 )$ , c and $c _ { \\gamma }$ are some positive constants. ", + "bbox": [ + 174, + 242, + 821, + 273 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Denote $\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { M C - T U } } = \\prod _ { j = 1 } ^ { N + 1 } R _ { j } + \\sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P M } \\end{array}$ and $d _ { \\mathcal { M } } ^ { \\mathrm { M C - C P } } = R ^ { N + 1 } + R ( \\sum _ { i = 1 } ^ { N } l _ { i } +$ $P M )$ . ", + "bbox": [ + 174, + 285, + 823, + 320 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Corollary 4 (Multiclass Classification: Compressed CNN). Let $( \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathbf { s t a c k } } , d _ { \\mathcal { M } } ^ { \\mathrm { M C } } )$ be $( \\widehat { \\mathcal { W } } _ { \\mathrm { s t a c k , T U } } , d _ { \\mathcal { M } } ^ { \\mathrm { M C - T U } } )$ for Tucker decomposition, or $( \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathrm { s t a c k , C P } } , d _ { \\mathcal { M } } ^ { \\mathrm { M C - C P } } )$ c for $C P$ M decomposition. Suppose that Assumptions in Theorem hold and $n ~ \\stackrel { > } { \\sim } ~ c _ { N } d _ { \\mathcal { M } } ^ { \\mathrm { m u l t i } }$ . Then, for some $\\delta > 0$ , ", + "bbox": [ + 173, + 325, + 826, + 388 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/34571bff1e266c29b49fe290d0a45debb3a7188182ac4370ed659188f031f043.jpg", + "text": "$$\n\\| \\widehat { \\mathcal { W } } _ { \\mathrm { s t a c k } } - \\mathcal { W } _ { \\mathrm { s t a c k } } ^ { * } \\| _ { \\mathrm { F } } \\leq \\frac { 2 \\sqrt { \\kappa _ { U } } } { \\kappa _ { 1 } } \\left( \\sqrt { \\frac { 3 c _ { N } d _ { \\mathcal { M } } ^ { \\mathrm { M C } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 310, + 387, + 686, + 429 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "with probability $1 - 4 \\exp \\left\\{ - 0 . 2 5 c n + 3 c _ { N } d _ { \\mathcal { M } } ^ { \\mathrm { M C } } \\right\\} - 2 \\exp \\left\\{ - c _ { \\gamma } d _ { \\mathcal { M } } ^ { \\mathrm { M C } } - c \\delta \\right\\} ,$ , where $\\delta = O _ { p } ( 1 )$ , $c$ and $c _ { \\gamma }$ are some positive constants, and $c _ { N }$ is defined as in Theorem 2. ", + "bbox": [ + 173, + 433, + 823, + 463 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Proof of Theorem 3. Denote the sets $\\begin{array} { r } { \\widehat { \\mathcal { S } } _ { K } = \\{ \\sum _ { k = 1 } ^ { K } \\mathbf { 1 } _ { k } \\otimes \\mathbf { 1 } _ { k } : \\mathbf { 1 } _ { k } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } } } \\end{array}$ and $\\mathbf { \\mathcal { B } } _ { k } \\ \\in$ $\\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } } \\}$ and $S _ { K } = \\{ \\pmb { \\mathscr { W } } \\in \\widehat { S } _ { K } : \\| \\pmb { \\mathscr { W } } \\| _ { \\mathrm { F } } = 1 \\}$ . We further denote $\\Delta = \\operatorname { v e c } ( \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } )$ , where $\\boldsymbol { w ^ { * } }$ is the underlying true parameter and $w , \\dot { w } ^ { \\ast } \\in \\widehat { S } _ { K }$ , and define the first-order Taylor error ", + "bbox": [ + 173, + 481, + 826, + 545 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/3a4d83ff4caa7498b5c8021f75c34bb6a8d93a00409b5acf2b81dbaea3c04095.jpg", + "text": "$$\n\\pmb { \\mathcal { E } } _ { n } ( \\pmb { \\Delta } ) = \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ) - \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) - \\langle \\nabla \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) , \\pmb { \\Delta } \\rangle .\n$$", + "text_format": "latex", + "bbox": [ + 328, + 545, + 666, + 563 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Suppose $\\widehat { \\mathcal W }$ is the minimizer for the loss function, i.e., ", + "bbox": [ + 173, + 568, + 532, + 585 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/df492ce85e040cdeb321e49c189e7e3e9bf8cb77a64c3e5d3ef7e6f84bd8335b.jpg", + "text": "$$\n\\widehat { \\pmb { \\mathscr { W } } } = \\underset { \\pmb { \\mathscr { W } } \\in \\widehat { S } _ { K } } { \\arg \\operatorname* { m i n } } \\mathcal { L } _ { n } ( \\pmb { \\mathscr { W } } ) .\n$$", + "text_format": "latex", + "bbox": [ + 419, + 590, + 576, + 625 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Denote $\\widehat { \\Delta } = \\mathrm { v e c } ( \\widehat { \\mathcal { W } } - \\mathcal { W } ^ { * } )$ . We then have ", + "bbox": [ + 174, + 632, + 462, + 650 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "$\\mathcal { L } _ { n } ( \\widehat { \\mathbb { W } } ) - \\mathcal { L } _ { n } ( \\mathbb { W } ^ { * } ) \\leq 0$ , which can be rearranged into $\\begin{array} { r } { \\pmb { \\mathcal { E } } _ { n } ( \\widehat { \\Delta } ) \\leq - \\left. \\nabla \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) , \\widehat { \\Delta } \\right. } \\end{array}$ ", + "bbox": [ + 210, + 659, + 784, + 684 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Then, for some $\\widetilde { w }$ between $\\widehat { \\mathcal W }$ and $\\boldsymbol { w ^ { * } }$ , ", + "bbox": [ + 174, + 693, + 441, + 710 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/5ef63bd80c3ed73f1ee6f00b48e09ecf0c8f04036b35554279ceb14d7d3384dc.jpg", + "text": "$$\n\\frac { 1 } { 2 } \\widehat { \\Delta } ^ { \\prime } H _ { n } ( \\widetilde { \\pmb { \\mathscr { W } } } ) \\widehat { \\Delta } \\leq \\left| \\left. \\nabla \\mathcal { L } _ { n } ( \\pmb { \\mathscr { W } } ^ { * } ) , \\widehat { \\Delta } \\right. \\right| ,\n$$", + "text_format": "latex", + "bbox": [ + 366, + 715, + 629, + 747 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "which leads to ", + "bbox": [ + 174, + 752, + 271, + 767 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/493e6bdad3fc7fe69a7d3aece5a3a6d5a8bb184ddc4be788ce079ca1d999c278.jpg", + "text": "$$\n\\| \\widehat { \\boldsymbol { \\Delta } } \\| _ { \\mathrm { F } } ^ { 2 } \\operatorname* { s u p } _ { { \\boldsymbol { \\Delta } } \\in S _ { 2 K } } { \\boldsymbol { \\Delta } } ^ { \\prime } H _ { n } ( \\widetilde { \\mathcal { W } } ) { \\boldsymbol { \\Delta } } \\leq 2 \\| \\widehat { \\boldsymbol { \\Delta } } \\| _ { \\mathrm { F } } \\operatorname* { s u p } _ { { \\boldsymbol { \\Delta } } \\in S _ { 2 K } } | \\langle \\nabla { \\mathcal { L } } _ { n } ( \\mathcal { W } ^ { * } ) , { \\boldsymbol { \\Delta } } \\rangle | .\n$$", + "text_format": "latex", + "bbox": [ + 281, + 770, + 715, + 801 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "From Lemma 4 and Lemma 5, when $n \\gtrsim d _ { \\mathcal { M } }$ , we obtain that, for some $\\delta > 0$ , ", + "bbox": [ + 171, + 815, + 689, + 832 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/5e301d2dd4d5ce4c34fe2558d209fa1cbd0b50bd8b78dd5a433a4168a7177820.jpg", + "text": "$$\n\\Vert \\widehat { \\mathcal { W } } - \\mathcal { W } ^ { * } \\Vert _ { \\mathrm { F } } \\leq \\frac { 2 \\sqrt { \\kappa _ { U } } } { \\kappa _ { 1 } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 352, + 838, + 643, + 881 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "with probability $1 - 4 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\} - 2 \\exp \\left\\{ - c _ { \\gamma } d _ { \\mathcal { M } } - c \\delta \\right\\} .$ ", + "bbox": [ + 174, + 887, + 645, + 904 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Now we proof several lemmas to be used in Theorem 3. For simplicity of notation, denote $\\mathbf { \\delta } _ { \\mathbf { \\mathcal { X } } ^ { i } } = \\mathbf { \\delta } _ { }$ $\\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } )$ and $z ^ { i } = \\mathrm { v e c } ( \\mathfrak { Z } ^ { i } )$ . It holds that $\\pmb { z } ^ { i } = \\pmb { U } _ { G } \\pmb { x } ^ { i }$ , for $1 \\leq i \\leq n$ . ", + "bbox": [ + 171, + 102, + 823, + 133 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Lemma 4 (Deviation bound). Under Assumption $4 ( C 3 )$ , suppose that $n \\gtrsim d _ { { \\mathcal { M } } }$ , then, for some $\\delta > 0$ , ", + "bbox": [ + 171, + 136, + 825, + 165 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/8fe2d7ede053b9426e77604acbf56af08ca3e0d5ac563ab9b8b0d78956f78baf.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { s u p } } \\left| \\langle \\nabla \\mathcal { L } _ { n } ( \\mathcal { W } ^ { * } ) , \\Delta \\rangle \\right| \\geq 0 . 5 \\sqrt { \\kappa _ { U } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\gamma } d _ { \\mathcal { M } } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 225, + 165, + 769, + 208 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "where $\\delta = O _ { p } ( 1 )$ , $d _ { \\mathcal { M } } = K ( P + L + 1 )$ , $\\kappa _ { U } = C _ { x } C _ { u }$ and $c _ { \\gamma }$ is some positive constant. ", + "bbox": [ + 171, + 210, + 753, + 227 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Proof. Let $\\eta ^ { i } = \\langle \\Xi ^ { i } , { \\mathcal { W } } ^ { * } \\rangle$ , and from (25), ", + "bbox": [ + 174, + 241, + 452, + 258 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/83e13a902dff932b0985a7ee7dc39722644060c931e2ffdb4ac368497b6a87b0.jpg", + "text": "$$\n\\langle \\nabla \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) , \\pmb { \\Delta } \\rangle = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\langle z ^ { i } , \\pmb { \\Delta } \\rangle ,\n$$", + "text_format": "latex", + "bbox": [ + 341, + 261, + 653, + 303 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "and we can observe that ", + "bbox": [ + 174, + 304, + 334, + 318 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/4cde49c5073dd07325a8dbfeeecbd9081e1df62157604a604d080bcdcb4f4357.jpg", + "text": "$$\n\\mathbb { E } \\{ [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\langle z ^ { i } , \\Delta \\rangle \\} = \\mathbb { E } \\{ \\mathbb { E } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y | z ] \\langle z ^ { i } , \\Delta \\rangle \\} = 0 = \\mathbb { E } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\mathbb { E } [ \\langle z ^ { i } , \\Delta \\rangle ] .\n$$", + "text_format": "latex", + "bbox": [ + 202, + 320, + 790, + 338 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "It implies (i) $\\mathbb { E } \\langle \\nabla \\mathcal { L } _ { n } ( \\boldsymbol { \\mathsf { W } } ^ { * } ) , \\boldsymbol { \\Delta } \\rangle = 0$ , (ii) the independence between $\\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i }$ and $\\langle z ^ { i } , \\Delta \\rangle$ . And from Lemma 6, the independence leads to $\\| [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\langle z ^ { i } , \\Delta \\rangle \\| _ { \\psi _ { 1 } } \\leq \\| \\dot { \\phi ^ { \\prime } } ( \\eta ^ { i } ) - y ^ { i } \\| _ { \\psi _ { 2 } } \\| \\langle z ^ { i } , \\dot { \\Delta } \\rangle \\| _ { \\psi _ { 2 } }$ . Denote $\\kappa _ { U } = C _ { x } C _ { u }$ . For any fixed $\\pmb { \\Delta }$ such that $\\| \\Delta \\| _ { 2 } = 1$ , ", + "bbox": [ + 176, + 340, + 823, + 383 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/34b6398ea54111c6f4c41ca514fd24cb25fcfd04a3b8fc152369f079895d2a7f.jpg", + "text": "$$\n\\begin{array} { r } { \\| \\langle z ^ { i } , \\Delta \\rangle \\| _ { \\psi _ { 2 } } = \\| \\langle { \\pmb w } ^ { i } , { \\pmb \\Sigma } ^ { 1 / 2 } U _ { G } { \\pmb \\Delta } \\rangle \\| _ { \\psi _ { 2 } } \\leq \\sqrt { \\kappa _ { U } } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 341, + 387, + 653, + 406 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "This, together with $\\| \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\| _ { \\psi _ { 2 } } \\leq 0 . 2 5$ in Lemma 7, gives us ", + "bbox": [ + 173, + 409, + 606, + 425 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/eb8fd538851044d375801810943c217b260d944ce8e6ac79a9d80ae6ef83cb07.jpg", + "text": "$$\n\\| [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\langle z ^ { i } , \\Delta \\rangle \\| _ { \\psi _ { 1 } } \\leq 0 . 2 5 \\sqrt { \\kappa _ { U } } .\n$$", + "text_format": "latex", + "bbox": [ + 369, + 428, + 627, + 446 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Then, we can use the Beinstein-type inequality, namely Corollary 5.17 in (Vershynin, 2010) to derive that, for any fixed $\\pmb { \\Delta }$ with unit $l _ { 2 }$ -norm, ", + "bbox": [ + 174, + 449, + 825, + 478 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/e2eca10c372aa966599e58ad2df2b9c30496975bd8208d9d00f2eb4e6ead596c.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { P } \\left\\{ | \\langle \\nabla { \\mathcal L } _ { n } ( \\pmb { \\mathcal W } ^ { * } ) , \\pmb { \\Delta } \\rangle | \\geq t \\right\\} = \\mathbb { P } \\left\\{ \\frac { 1 } { n } \\left| \\displaystyle \\sum _ { i = 1 } ^ { n } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\langle z ^ { i } , \\pmb { \\Delta } \\rangle \\right| \\geq t \\right\\} } \\\\ & { \\qquad \\leq 2 \\exp \\left\\{ - c n \\operatorname* { m i n } \\left( \\frac { 4 t } { \\sqrt { \\kappa _ { U } } } , \\frac { 1 6 t ^ { 2 } } { \\kappa _ { U } } \\right) \\right\\} . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 271, + 479, + 725, + 560 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Consider a $\\varepsilon$ -net $\\bar { S } _ { 2 K }$ , with the cardinality of $\\mathcal { N } ( 2 K , \\varepsilon )$ , for the set $S _ { 2 K }$ . For any $\\Delta \\in { \\cal S } _ { 2 K }$ , there exists a $\\bar { \\Delta } _ { j } \\in \\bar { \\mathcal { S } } _ { 2 K }$ such that $\\| \\pmb { \\Delta } - \\bar { \\pmb { \\Delta } } _ { j } \\| _ { \\mathrm { F } } \\leq \\varepsilon$ . Note that $\\Delta - \\bar { \\Delta } _ { j } \\in \\widehat { S } _ { 4 K }$ and, from Lemma 1(a), we can further find $\\Delta _ { 1 } , \\Delta _ { 2 } \\in \\widehat { S } _ { 2 K }$ such that $\\langle \\pmb { \\Delta } _ { 1 } , \\pmb { \\Delta } _ { 2 } \\rangle = 0$ and $\\Delta - \\bar { \\Delta } _ { j } = \\Delta _ { 1 } + \\Delta _ { 2 }$ . It then holds that $\\| \\pmb { \\Delta } _ { 1 } \\| _ { \\mathrm { F } } + \\| \\pmb { \\Delta } _ { 2 } \\| _ { \\mathrm { F } } \\leq \\sqrt { 2 } \\| \\pmb { \\Delta } - \\pmb { \\bar { \\Delta } } _ { j } \\| _ { \\mathrm { F } } \\leq \\sqrt { 2 } \\varepsilon$ since $\\| \\pmb { \\Delta } - \\bar { \\pmb { \\Delta } } _ { j } \\| _ { \\mathrm { F } } ^ { 2 } = \\| \\pmb { \\Delta } _ { 1 } \\| _ { \\mathrm { F } } ^ { 2 } + \\| \\pmb { \\Delta } _ { 2 } \\| _ { \\mathrm { F } } ^ { 2 }$ . As a result, ", + "bbox": [ + 173, + 568, + 826, + 647 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/7ea0b5045f601d3cee0fc8a731afc685592cbb8b394a3683e52ef70f7548895d.jpg", + "text": "$$\n\\begin{array} { r l } & { | \\langle \\nabla { \\mathcal { L } } _ { n } ( { \\mathcal { W } } ^ { * } ) , \\Delta \\rangle | = \\left| \\langle \\nabla { \\mathcal { L } } _ { n } ( { \\mathcal { W } } ^ { * } ) , \\bar { \\Delta } _ { j } \\rangle \\right| + \\left| \\langle \\nabla { \\mathcal { L } } _ { n } ( { \\mathcal { W } } ^ { * } ) , \\Delta _ { 1 } \\rangle \\right| + | \\langle \\nabla { \\mathcal { L } } _ { n } ( { \\mathcal { W } } ^ { * } ) , \\Delta _ { 2 } \\rangle | } \\\\ & { \\qquad \\leq \\underset { 1 \\leq j \\leq N ( 2 K , \\varepsilon ) } { \\operatorname* { m a x } } \\left| \\langle \\nabla { \\mathcal { L } } _ { n } ( { \\mathcal { W } } ^ { * } ) , \\bar { \\Delta } _ { j } \\rangle \\right| + \\sqrt { 2 } \\varepsilon \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\left| \\langle \\nabla { \\mathcal { L } } _ { n } ( { \\mathcal { W } } ^ { * } ) , \\Delta \\rangle \\right| , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 207, + 648, + 787, + 700 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "which leads to ", + "bbox": [ + 173, + 700, + 272, + 715 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/b29d1ed821f90df9c83e7040a80ede774b3b52bff4bfe5beeb6d823d894dee32.jpg", + "text": "$$\n\\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\nabla { \\mathcal { L } } _ { n } ( \\mathcal { W } ^ { * } ) , \\Delta \\rangle | \\leq ( 1 - \\sqrt { 2 } \\varepsilon ) ^ { - 1 } \\operatorname* { m a x } _ { 1 \\leq j \\leq \\mathcal { N } ( 2 K , \\varepsilon ) } \\left| \\langle \\nabla { \\mathcal { L } } _ { n } ( \\mathcal { W } ^ { * } ) , { \\bar { \\Delta } } _ { j } \\rangle \\right| .\n$$", + "text_format": "latex", + "bbox": [ + 248, + 715, + 746, + 744 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Note that, from Lemma 1(b), $\\log \\mathcal { N } ( 2 K , \\varepsilon ) \\leq 2 d _ { \\mathcal { M } } \\log ( 9 / \\varepsilon )$ , where $d _ { \\mathcal { M } } = K ( P + L + 1 )$ . Let $\\varepsilon = ( 2 \\sqrt { 2 } ) ^ { - 1 }$ and then $2 \\log ( 9 / \\varepsilon ) < 7$ . With (28), we can show that ", + "bbox": [ + 173, + 755, + 826, + 786 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/a44acc085b14c70544313c0943fc07b0189287bd20b3b28431f578a76f13b24f.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } | \\langle \\nabla \\mathcal { L } _ { n } ( \\mathcal { W } ^ { * } ) , \\Delta \\rangle | \\geq 2 t \\right\\} \\leq 2 \\exp \\left\\{ - c n \\operatorname* { m i n } \\left( \\frac { 4 t } { \\sqrt { \\kappa _ { U } } } , \\frac { 1 6 t ^ { 2 } } { \\kappa _ { U } } \\right) + 7 d _ { \\mathcal { M } } \\right\\} .\n$$", + "text_format": "latex", + "bbox": [ + 220, + 789, + 774, + 825 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Take $t = 0 . 2 5 \\sqrt { \\kappa _ { U } } ( \\sqrt { d _ { \\mathscr { M } } / n } + \\sqrt { \\delta / n } )$ where $\\delta \\ = \\ O _ { p } ( 1 )$ , and there exists some $\\gamma$ such that $\\sqrt { d _ { \\mathcal { M } } / n } \\le \\gamma$ holds. We can finally show that ", + "bbox": [ + 173, + 828, + 825, + 862 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/d134e3b0e9695b9d4af821e0d91c4dfa77c65f00229d98fd094d69472f082881.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in { \\mathcal { S } _ { 2 K } } } | \\langle \\nabla { \\mathcal { L } } _ { n } ( \\mathcal { W } ^ { * } ) , \\Delta \\rangle | \\geq 0 . 5 \\sqrt { \\kappa _ { U } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\gamma } d _ { \\mathcal { M } } - c \\delta \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 207, + 864, + 787, + 907 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "where $c _ { \\gamma }$ is some positive constant related to $\\gamma$ . ", + "bbox": [ + 174, + 910, + 485, + 924 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Lemma 5 (LRSC). Suppose that $n \\gtrsim d _ { { \\mathcal { M } } }$ , under Assumptions 4, there exists some constant $R > 0$ , such that for any $\\boldsymbol { w } \\in \\widehat { \\mathcal { S } } _ { 2 K }$ satisfying $\\| \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } \\| _ { \\mathrm { F } } \\leq R ,$ , ", + "bbox": [ + 166, + 102, + 825, + 136 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/82801110a695803250feb1ada5cd0f6fc6948922c9078138ded6e3be898c8cc0.jpg", + "text": "$$\n\\operatorname* { i n f } _ { \\pmb { \\Delta } \\in S _ { 2 K } } \\pmb { \\Delta } ^ { \\prime } \\pmb { H } _ { n } ( \\pmb { \\mathcal { W } } ) \\pmb { \\Delta } \\geq \\frac { \\widetilde { \\kappa } _ { 1 } } { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 405, + 138, + 591, + 171 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "holds with probability ", + "bbox": [ + 173, + 174, + 320, + 190 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/e9c195f654adb804b24a25628572406bb4fe5d0f584759819018418061672cab.jpg", + "text": "$$\n1 - 4 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\cal M } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 395, + 188, + 599, + 204 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "where $\\widetilde { \\kappa } _ { 1 } = \\kappa _ { 1 } - \\kappa _ { U }$ . And $\\kappa _ { 1 }$ is defined in Lemma 8. ", + "bbox": [ + 173, + 205, + 522, + 222 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Proof. We divide this proof into two parts. ", + "bbox": [ + 174, + 234, + 454, + 251 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "1. RSC of ${ \\mathcal { L } } _ { n } ( \\aleph )$ at $\\boldsymbol { \\mathsf { W } } = \\boldsymbol { \\mathsf { W } } ^ { * }$ . ", + "bbox": [ + 174, + 256, + 387, + 272 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "We first show that, for all $\\Delta \\mathrm { ~ \\bf ~ \\underline { ~ } { ~ \\in ~ } ~ } { \\cal S } _ { 2 K }$ , the following holds with probability at least 1 − $2 \\exp \\left\\{ - 0 . 2 5 c ( \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n + 9 d _ { \\mathcal { M } } \\right\\}$ , ", + "bbox": [ + 173, + 277, + 823, + 309 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/dd56c14f13e555a2d942871326021d84ec19459bcf2f4c34944cefb2faadcf0a.jpg", + "text": "$$\n\\Delta ^ { \\prime } H _ { n } ( \\mathbb { W } ^ { * } ) \\Delta \\geq \\widetilde { \\kappa } ,\n$$", + "text_format": "latex", + "bbox": [ + 429, + 313, + 566, + 330 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "where $\\widetilde { \\kappa } = \\kappa _ { 0 } - \\kappa _ { L } > 0$ . ", + "bbox": [ + 173, + 334, + 341, + 349 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Let $\\eta ^ { i } = \\langle \\Xi ^ { i } , { \\mathcal { W } } ^ { * } \\rangle$ and denote $\\widetilde { z } ^ { i } = \\sqrt { \\phi ^ { \\prime \\prime } ( \\eta ^ { i } ) } z ^ { i }$ and we can see that ", + "bbox": [ + 174, + 353, + 625, + 372 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/2105028b8bf431f9b57d9f67b17300f52d9f652a2cbabb578fc18fe38a259bda.jpg", + "text": "$$\n\\pmb { H } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\widetilde { z } ^ { i } \\widetilde { z } ^ { i \\prime } \\mathrm { a n d } , \\quad \\pmb { H } ( \\pmb { \\mathcal { W } } ^ { * } ) = \\mathbb { E } \\pmb { H } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) .\n$$", + "text_format": "latex", + "bbox": [ + 312, + 376, + 684, + 416 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Denote $\\pmb { x } ^ { i } = \\mathrm { v e c } ( \\pmb { \\mathcal X } ^ { i } )$ . Here, for simplicity, we assume $\\{ { \\pmb x } ^ { i } \\} _ { i = 1 } ^ { n }$ to be independent gaussian vectors with mean zero and covariance matrix $\\pmb { \\Sigma }$ , where $c _ { x } I \\leq \\Sigma \\leq C _ { x } I$ for some $0 < c _ { x } < C _ { x }$ . We will also use the notation of $\\pmb { \\Delta }$ for its vectorized version, $\\mathrm { v e c } ( \\Delta )$ , and we consider $\\pmb { \\Delta }$ with unit $l _ { 2 }$ -norm. ", + "bbox": [ + 173, + 421, + 826, + 465 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Since $\\| \\langle \\pmb { \\Delta } , \\widetilde { \\pmb { z } } ^ { i } \\rangle \\| _ { \\psi _ { 2 } } = \\| \\langle \\pmb { \\Delta } , \\sqrt { \\phi ^ { \\prime \\prime } ( \\eta ^ { i } ) } U _ { G } ^ { \\prime } \\pmb { \\Sigma } ^ { 1 / 2 } \\pmb { w } ^ { i } \\rangle \\| _ { \\psi _ { 2 } } \\le 0 . 2 5 \\sqrt { \\kappa _ { U } }$ , where $\\mathbf { \\Delta } w ^ { i }$ is a standard gaussian vector and $\\kappa _ { U } = C _ { x } C _ { u }$ , we can show that ", + "bbox": [ + 176, + 472, + 823, + 502 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/efff3e87b4e3deda0a5451b3de6dac9a7b85c4236b7835897683c2a7bbd8fc88.jpg", + "text": "$$\n\\| \\langle \\pmb { \\Delta } , \\widetilde { z } ^ { i } \\rangle ^ { 2 } - \\mathbb { E } \\left[ \\langle \\pmb { \\Delta } , \\widetilde { z } \\rangle ^ { 2 } \\right] \\| _ { \\psi _ { 1 } } \\leq 2 \\| \\langle \\pmb { \\Delta } , \\widetilde { z } ^ { i } \\rangle ^ { 2 } \\| _ { \\psi _ { 1 } } \\leq 4 \\| \\langle \\pmb { \\Delta } , \\widetilde { z } ^ { i } \\rangle \\| _ { \\psi _ { 2 } } ^ { 2 } \\leq \\kappa _ { U } ,\n$$", + "text_format": "latex", + "bbox": [ + 261, + 506, + 735, + 525 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "where the first inequality comes from Remark 5.18 in (Vershynin, 2010) and second inequality comes from Lemma 5.14 in (Vershynin, 2010). ", + "bbox": [ + 176, + 527, + 821, + 558 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "And hence, by the Beinstein-type inequality in Corollary 5.17 in (Vershynin, 2010), for any fixed $\\pmb { \\Delta }$ such that $\\lVert \\Delta \\rVert _ { 2 } = 1$ , we have ", + "bbox": [ + 173, + 563, + 823, + 592 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/469c07af8f28b0b9e159489b951dd6ed2e52fccbb17e4c66e779263c69a248f5.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { P } \\left\\{ \\displaystyle \\big | \\Delta ^ { \\prime } \\big ( H _ { n } ( \\mathcal { W } ^ { * } ) - H ( \\mathcal { W } ^ { * } ) \\big ) \\Delta \\big | \\geq t \\right\\} = \\mathbb { P } \\left\\{ \\displaystyle \\frac { 1 } { n } \\left| \\displaystyle \\sum _ { i = 1 } ^ { n } \\left\\{ \\langle \\Delta , \\tilde { z } ^ { i } \\rangle ^ { 2 } - \\mathbb { E } \\left[ \\langle \\Delta , \\tilde { z } \\rangle ^ { 2 } \\right] \\right\\} \\right| \\geq t \\right\\} } \\\\ & { \\qquad \\leq 2 \\exp \\left\\{ - c n \\operatorname* { m i n } \\left( \\frac { t } { \\kappa _ { U } } , \\frac { t ^ { 2 } } { \\kappa _ { U } ^ { 2 } } \\right) \\right\\} . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 209, + 594, + 787, + 676 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "With similar covering number argument as presented in Lemma 2 in our paper, we can show that, ", + "bbox": [ + 176, + 684, + 810, + 700 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/2dc5536d379537d34a5bb37d09700dfc936fb59b822b3727cf96e12766bb6c08.jpg", + "text": "$$\n\\mathbb P \\left\\{ \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { s u p } } \\left| \\Delta ^ { \\prime } ( H _ { n } ( \\mathcal { W } ^ { * } ) - H ( \\mathcal { W } ^ { * } ) ) \\Delta \\right| \\geq 2 t \\right\\} \\leq 2 \\exp \\left\\{ - c n \\operatorname* { m i n } \\left( \\frac { t } { \\kappa _ { U } } , \\frac { t ^ { 2 } } { \\kappa _ { U } ^ { 2 } } \\right) + 9 d _ { \\mathcal { M } } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 192, + 704, + 800, + 739 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "where $d _ { \\mathcal { M } } = K ( P + L + 1 )$ . ", + "bbox": [ + 173, + 743, + 369, + 758 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Llet $t = 0 . 5 \\kappa _ { U }$ . By Assumption 4(C1), we can obtain that, when $n \\gtrsim d _ { \\mathcal { M } }$ ", + "bbox": [ + 174, + 763, + 663, + 781 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/cfbb68b717e9f42ae22dc859e4e4d86621b2854e705179222804b26fc57213c8.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in { \\mathcal { S } } _ { 2 K } } \\Delta ^ { \\prime } H _ { n } ( \\mathcal { W } ^ { * } ) \\Delta \\leq { \\widetilde { \\kappa } } \\right\\} \\leq 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 290, + 784, + 704, + 819 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "where $\\widetilde { \\kappa } = \\kappa _ { 0 } - \\kappa _ { U } > 0$ . ", + "bbox": [ + 173, + 821, + 343, + 837 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "2. LRSC of ${ \\mathcal { L } } _ { n } ( \\aleph )$ around $\\boldsymbol { \\mathsf { W } } ^ { * }$ . ", + "bbox": [ + 173, + 843, + 390, + 858 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Define the event $\\begin{array} { r } { A = \\{ | \\langle \\mathcal { W } ^ { * } , \\Xi ^ { i } \\rangle | > \\tau \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } | \\langle \\Delta , z ^ { i } \\rangle | \\} } \\end{array}$ and construct the functions ", + "bbox": [ + 169, + 864, + 756, + 883 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/296e62b4c3a065041825a7a555bbde28c76cf57ffb410fa911552a1945f9f8ab.jpg", + "text": "$$\n\\pmb { h } _ { n } ( \\pmb { \\mathscr { W } } ) = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\phi ^ { \\prime \\prime } ( \\langle \\pmb { \\mathscr { G } } ^ { i } , \\pmb { \\mathscr { W } } \\rangle ) \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } \\mathrm { a n d } , \\quad \\pmb { h } ( \\pmb { \\mathscr { W } } ) = \\mathbb { E } \\pmb { h } _ { n } ( \\pmb { \\mathscr { W } } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 281, + 887, + 714, + 928 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "where $\\tau$ is some positive constant to be selected according to Lemma 8. Since the difference between $h _ { n } ( \\cdot )$ and $H _ { n } ( \\cdot )$ is the indicator function, it holds that $H _ { n } ( \\cdot ) \\geq h _ { n } ( \\cdot )$ . ", + "bbox": [ + 169, + 103, + 825, + 133 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "We will finish the proof of LRSC in two steps. Firstly, we show that, with high probability, $\\boldsymbol { h } _ { n } ( \\boldsymbol { w } ^ { * } )$ is positive definite on the restricted set $S _ { 2 K }$ . Secondly, we bound the difference between $\\Delta ^ { \\prime } h _ { n } ( \\aleph ) \\Delta$ and $\\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ^ { \\ast } ) \\Delta$ , and hence show that $h _ { n } ( \\aleph )$ is locally positive definite around $\\boldsymbol { \\mathsf { W } } ^ { * }$ . This naturally leads to the LRSC of ${ \\mathcal { L } } _ { n } ( \\aleph )$ around $\\boldsymbol { \\mathsf { W } } ^ { * }$ . ", + "bbox": [ + 173, + 138, + 825, + 195 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "From Lemma 8, we can select $\\tau$ , such that $h ( \\boldsymbol { \\mathcal { W } } ^ { * } ) \\geq \\kappa _ { 1 } I$ . Following similar arguments as in the first part, we can show that for all $\\Delta \\in { \\mathcal { S } } _ { 2 K }$ , the following holds with probability at least $1 - 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\cal M } \\right\\}$ , ", + "bbox": [ + 173, + 200, + 825, + 243 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/831ed2454484cca22eb843f8225a55b564a031ee4be6373c750a8c2356dd8f3d.jpg", + "text": "$$\n\\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ^ { * } ) \\Delta \\geq \\widetilde { \\kappa } _ { 1 } ,\n$$", + "text_format": "latex", + "bbox": [ + 428, + 242, + 568, + 258 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "where $\\widetilde { \\kappa } _ { 1 } = \\kappa _ { 1 } - \\kappa _ { U } > 0$ ", + "bbox": [ + 173, + 260, + 349, + 275 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "In the meanwhile, for any $\\boldsymbol { w } \\in \\widehat { \\boldsymbol { S } } _ { K }$ such that $\\| \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } \\| _ { \\mathrm { F } } \\leq R$ , where $R$ can be specified later to satisfy some conditions, ", + "bbox": [ + 171, + 280, + 825, + 311 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/974a88e65ee8aaf5bd315e0c71a055c913644f6efee45586d1847df4efc27c51.jpg", + "text": "$$\n\\begin{array} { r l } { \\displaystyle | h _ { n } ( \\mathcal { W } ) - h _ { n } ( \\mathcal { W } ^ { * } ) | = \\left| \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } \\rangle ) \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } - \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } ^ { * } \\rangle ) \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } \\right| } & { } \\\\ { \\displaystyle \\leq \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left| \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } \\rangle ) - \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } ^ { * } \\rangle ) \\right| \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } } & { } \\\\ { \\displaystyle = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left| \\phi ^ { \\prime \\prime \\prime } ( \\langle \\Xi ^ { i } , \\bar { \\mathcal { W } } \\rangle ) \\langle \\Xi ^ { i } , \\mathcal { W } - \\mathcal { W } ^ { * } \\rangle \\right| \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } , } & { } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 214, + 314, + 782, + 440 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "where $\\bar { \\bf w }$ lies between $\\boldsymbol { w }$ and $\\boldsymbol { \\mathsf { W } } ^ { * }$ , and $\\phi ^ { \\prime \\prime \\prime } ( z ) = e ^ { z } ( 1 - e ^ { z } ) / ( 1 + e ^ { z } ) ^ { 3 }$ . Given the event $A$ holds, choose $R < \\tau$ , we can lower bound the term, ", + "bbox": [ + 173, + 444, + 821, + 474 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/54549da6b292a5ad11b3705c24370ca3f068157917d4737a606a008752a41cf5.jpg", + "text": "$$\n| \\langle \\Xi ^ { i } , \\bar { \\pmb { w } } \\rangle | \\geq | \\langle \\Xi ^ { i } , \\pmb { w } ^ { * } \\rangle | - \\operatorname* { s u p } _ { \\substack { \\Delta \\in \\hat { \\cal S } _ { 2 K } , \\| \\Delta \\| _ { \\mathrm { F } } \\leq R } } | \\langle \\Xi ^ { i } , \\pmb { \\Delta } \\rangle | \\leq ( \\tau - R ) \\operatorname* { s u p } _ { \\substack { \\Delta \\in \\hat { \\cal S } _ { 2 K } } } | \\langle \\Xi ^ { i } , \\pmb { \\Delta } \\rangle | .\n$$", + "text_format": "latex", + "bbox": [ + 225, + 474, + 771, + 507 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Notice that, for all $z ~ \\in ~ \\mathbb { R }$ , the third order derivative of the function $\\phi ( z )$ is upper bounded as $| \\phi ^ { \\prime \\prime \\prime } ( z ) | \\le 1 / | z |$ . This relationship helps us further bound the term, ", + "bbox": [ + 173, + 511, + 825, + 540 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/7c839e879e1faac8affbb0d0647b759227128eb8d01b5e506255d69a8882d474.jpg", + "text": "$$\n\\begin{array} { r l } { \\left| \\phi ^ { \\prime \\prime \\prime } ( \\langle \\mathfrak { Z } ^ { i } , \\bar { \\mathcal { W } } \\rangle ) \\langle \\mathfrak { Z } ^ { i } , \\mathcal { W } - \\mathcal { W } ^ { * } \\rangle \\right| \\leq \\displaystyle \\frac { | \\langle \\mathfrak { Z } ^ { i } , \\mathcal { W } - \\mathcal { W } ^ { * } \\rangle | } { | \\langle \\mathfrak { Z } ^ { i } , \\bar { \\mathcal { W } } \\rangle | } \\leq \\displaystyle \\frac { \\operatorname* { s u p } _ { \\Delta \\in \\widehat { \\mathcal { S } } _ { 2 K } , \\| \\Delta \\| _ { \\mathbb { P } \\leq R } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } { ( \\tau - R ) \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } } & { } \\\\ { \\leq \\displaystyle \\frac { R \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } { ( \\tau - R ) \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } = \\displaystyle \\frac { R } { \\tau - R } . } & { } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 217, + 544, + 781, + 627 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Hence, we can show that ", + "bbox": [ + 173, + 628, + 339, + 642 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/90ad1357d6c32f34465c973e27306df08cf5c1faaa312c6ba25217d711cc9d65.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } | \\Delta ^ { \\prime } [ h _ { n } ( \\boldsymbol { \\mathcal { W } } ) - h _ { n } ( \\boldsymbol { \\mathcal { W } } ^ { * } ) ] \\Delta | \\ge t \\right\\} \\le \\mathbb { P } \\left\\{ \\frac { R } { \\tau - R } \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\Delta ^ { \\prime } z ^ { i } z ^ { i \\prime } \\Delta \\ge t \\right\\} .\n$$", + "text_format": "latex", + "bbox": [ + 196, + 643, + 800, + 688 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "By setting $t = \\alpha _ { \\mathrm { R S M } } R / ( \\tau - R )$ , where $\\alpha _ { \\mathrm { R S M } } = 3 \\kappa _ { U } / 2$ , we can use the equation (16) in Lemma 2 to obtain, as long as $n \\gtrsim d _ { \\mathcal { M } }$ , ", + "bbox": [ + 173, + 690, + 823, + 719 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/764baa9fa3435e398f9f4cdcff1185a0dc6f4fca1a8485245aab8ceaa17fa3b8.jpg", + "text": "$$\n\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\left| \\Delta ^ { \\prime } [ h _ { n } ( \\boldsymbol { \\mathcal { W } } ) - h _ { n } ( \\boldsymbol { \\mathcal { W } } ^ { * } ) ] \\Delta \\right| \\geq \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { H } n + 9 d _ { \\mathcal { M } } \\right\\} .\n$$", + "text_format": "latex", + "bbox": [ + 236, + 722, + 761, + 757 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "By rearranging terms, this is equivalent to ", + "bbox": [ + 174, + 761, + 449, + 775 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/f3314e50d4fbf93ddf845c5c3261ad332d2b42ed2d4f747da9422d07fb567a95.jpg", + "text": "$$\n\\mathbb P \\left\\{ \\underbrace { \\operatorname* { i n f } _ { \\Delta \\in S _ { 2 \\kappa } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal W ) \\Delta \\leq \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 \\kappa } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal W ^ { * } ) \\Delta - \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } } _ { \\mathrm { d e n o t e d a s t h e ~ e v e n t } B _ { 1 } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { H } n + 9 d _ { \\mathcal M } \\right\\} .\n$$", + "text_format": "latex", + "bbox": [ + 200, + 777, + 797, + 852 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "If we define the event $\\begin{array} { r } { B _ { 2 } = \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ^ { * } ) } \\Delta \\leq \\widetilde { \\kappa } _ { 1 } \\right\\} } \\end{array}$ and denote its complementary event by $B _ { 2 } ^ { c }$ , and from (29), we know that $\\mathbb { P } ( B _ { 2 } ) \\le 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\}$ . It can be seen that ", + "bbox": [ + 171, + 854, + 825, + 885 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/7618dbecd708483375e40f528e1a885ee6541c7fe15ad846fa24dd8af29181e1.jpg", + "text": "$$\n\\mathbb P \\left( \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in \\mathcal S _ { 2 K } } \\Delta ^ { \\prime } h _ { n } ( \\pmb { \\mathcal W } ) \\Delta \\leq \\widetilde { \\kappa } _ { 1 } - \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } \\right\\} \\cap B _ { 2 } ^ { c } \\right) \\leq \\mathbb P ( B _ { 1 } \\cap B _ { 2 } ^ { c } ) \\leq \\mathbb P ( B _ { 1 } )\n$$", + "text_format": "latex", + "bbox": [ + 240, + 888, + 756, + 922 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "So, if we choose $R$ to be sufficiently small, such that $\\alpha _ { \\mathrm { R S M } } R / ( \\tau - R ) \\leq \\widetilde { \\kappa } _ { 1 } / 2$ , it holds that, ", + "bbox": [ + 166, + 102, + 777, + 119 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/f404a9aab1b7d9a9f7a83ec5f0163ee80d73849f13e2296ebe4d84644ec03030.jpg", + "text": "$$\n\\begin{array} { r } { \\mathrm { \\mathbb { P } } \\left\\{ \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { i n f } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ) \\Delta \\leq \\frac { \\widetilde { \\mathcal { R } } _ { 1 } } { 2 } \\right\\} \\leq \\mathbb { P } \\left( \\left\\{ \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { i n f } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ) \\Delta \\leq \\widetilde { \\kappa } _ { 1 } - \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } \\right\\} \\cap B _ { 2 } ^ { c } \\right) + \\mathbb { P } ( B _ { 2 } ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 125, + 823, + 160 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "This, together with $H _ { n } ( \\cdot ) \\geq h _ { n } ( \\cdot )$ , leads us to conclude that, when $n \\gtrsim d _ { \\mathcal { M } }$ , there exists some $R > 0$ , such that for any $\\boldsymbol { w } \\in \\widehat { \\mathcal { S } } _ { 2 K }$ satisfying $\\| \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } \\| _ { \\mathrm { F } } \\leq R$ , ", + "bbox": [ + 174, + 166, + 823, + 199 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/b6a8c6a0fecba3230fe4fd66fa3bd3afa0cc431b450348189ae11f2840fbd49a.jpg", + "text": "$$\n\\operatorname* { i n f } _ { \\Delta \\in S _ { 2 K } } \\Delta ^ { \\prime } H _ { n } ( \\mathcal { W } ) \\Delta \\geq \\frac { \\widetilde { \\kappa } _ { 1 } } { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 403, + 205, + 593, + 238 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "holds with probability ", + "bbox": [ + 173, + 244, + 320, + 258 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/102ae0e692cc17b22126be760a811b8f429d0a9aeab06a7d679a4df173e38a01.jpg", + "text": "$$\n1 - 2 \\exp \\left\\{ - 0 . 2 5 c _ { H } n + 9 d _ { \\mathcal { M } } \\right\\} - 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\} .\n$$", + "text_format": "latex", + "bbox": [ + 297, + 266, + 699, + 284 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "We accomplished our proof of the LRSC of ${ \\mathcal { L } } _ { n } ( \\aleph )$ around $\\boldsymbol { w ^ { * } }$ . ", + "bbox": [ + 176, + 289, + 598, + 305 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Lemma 6. For two sub-gaussian random variables, $X$ and $Y$ , when $\\mathbb { E } ( X Y ) = \\mathbb { E } X \\mathbb { E } Y$ , i.e. $X$ is independent to $Y$ , it holds that ", + "bbox": [ + 173, + 313, + 825, + 340 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Lemma 7. ", + "bbox": [ + 173, + 361, + 246, + 376 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/861260cd61602e82329f1d51d5ade0cff22fbaf6bec2389679fe05f012ec84ed.jpg", + "text": "$$\n\\begin{array} { r } { \\| X Y \\| _ { \\psi _ { 1 } } \\leq \\| X \\| _ { \\psi _ { 2 } } \\| Y \\| _ { \\psi _ { 2 } } . } \\\\ { \\| \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\| _ { \\psi _ { 2 } } \\leq 0 . 2 5 . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 406, + 338, + 589, + 393 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Proof. Firstly, we observe that ", + "bbox": [ + 174, + 406, + 379, + 421 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/ef4467e8a39bdba08650521cd0a24cb15d48b5cfa52ba1c7d719822458928fb0.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathsf { E } \\left( \\exp \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\right] \\} | z ^ { i } \\right) = \\exp \\{ \\lambda \\phi ^ { \\prime } ( \\eta ^ { i } ) \\} \\exp \\{ - \\phi ( \\eta ^ { i } ) \\} + \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - 1 \\right] \\} \\exp \\{ \\eta ^ { i } - \\phi ( \\eta ^ { i } ) \\} } \\\\ & { \\phantom { \\sum } = \\exp \\{ \\lambda \\phi ^ { \\prime } ( \\eta ^ { i } ) - \\phi ( \\eta ^ { i } ) \\} [ 1 + \\exp \\{ \\eta ^ { i } - \\lambda \\} ] } \\\\ & { \\phantom { \\sum } = \\exp \\{ \\phi ( \\eta ^ { i } - \\lambda ) - \\phi ( \\eta ^ { i } ) + \\lambda \\phi ^ { \\prime } ( \\eta ^ { i } ) \\} } \\\\ & { \\phantom { \\sum } = \\exp \\{ 0 . 5 \\lambda ^ { 2 } \\phi ^ { \\prime \\prime } ( \\eta ^ { i } ) \\} \\le \\exp \\{ 0 . 1 2 5 \\lambda ^ { 2 } \\} . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 425, + 825, + 507 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "It then holds that $\\begin{array} { r } { \\mathbb { E } \\left( \\exp \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\right] \\} \\right) = \\mathbb { E } \\{ \\mathbb { E } \\left( \\exp \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\right] \\} | z ^ { i } \\right) \\} \\le \\exp \\{ 0 . 1 2 5 \\lambda ^ { 2 } \\} , } \\end{array}$ and this implies that $\\| \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\| _ { \\psi _ { 2 } } \\leq 0 . 2 5$ . ", + "bbox": [ + 173, + 512, + 823, + 547 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Lemma 8. Under Assumption 4, there exists a universal constant $\\tau > 0$ such that $h ( \\boldsymbol { \\mathsf { W } } ^ { * } ) \\geq \\kappa _ { 1 } I$ , where $\\kappa _ { 1 }$ is a positive constant. ", + "bbox": [ + 171, + 575, + 825, + 604 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Proof. We first show that for any $p _ { 0 } \\in ( 0 , 1 )$ , there exists a constant $\\tau$ such that ", + "bbox": [ + 173, + 619, + 696, + 636 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/29b252ad4fb0afd4826375da3b02323336559086a9b77c81ed2ee5e444eb4da8.jpg", + "text": "$$\n\\mathbb { P } ( | \\langle \\pmb { \\mathscr { W } } ^ { * } , \\pmb { \\mathscr { Z } } ^ { i } \\rangle | > \\tau \\operatorname* { s u p } _ { \\pmb { \\Delta } \\in S _ { 2 K } } | \\langle \\pmb { \\Delta } , \\pmb { z } ^ { i } \\rangle | ) \\geq p _ { 0 } .\n$$", + "text_format": "latex", + "bbox": [ + 356, + 642, + 640, + 671 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "We would separately show that ", + "bbox": [ + 174, + 685, + 380, + 700 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/af28a136445e13afec4159dc368250be7a902e7853a1e6274e6903ce650de11a.jpg", + "text": "$$\n\\mathbb { P } \\big ( \\underbrace { | \\langle \\mathcal { W } ^ { * } , \\mathfrak { L } ^ { i } \\rangle | > c _ { 1 } \\sqrt { d _ { \\mathcal { M } } } } _ { \\mathrm { d e n o t e d b y ~ e v e n t } D _ { 1 } } \\big ) \\ge \\frac { p _ { 0 } + 1 } { 2 } \\mathrm { ~ a n d , } \\mathbb { P } \\big ( \\underbrace { \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\Delta , z ^ { i } \\rangle | \\le c _ { 2 } \\sqrt { d _ { \\mathcal { M } } } } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\big ) \\ge \\frac { p _ { 0 } + 1 } { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 215, + 705, + 779, + 750 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "for some positive constants $c _ { 1 }$ and $c _ { 2 }$ . Using the relationship $\\mathbb { P } ( D _ { 1 } \\cap D _ { 2 } ) = P ( D _ { 1 } ) + P ( D _ { 2 } ) -$ $P ( D _ { 1 } ^ { c } \\cup \\bar { D } _ { 2 } ^ { c } ) \\geq P ( D _ { 1 } ) + P ( D _ { 2 } ) - 1$ , it follows naturally that ", + "bbox": [ + 169, + 766, + 823, + 796 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/88e3d758e63e52f938e1eedfdfe9c85baa91e7fdb6f44ca41c1aa064adc76ef0.jpg", + "text": "$$\n\\mathbb { P } \\big ( | \\langle \\mathcal { W } ^ { * } , \\mathfrak { Z } ^ { i } \\rangle | > \\tau \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } | \\langle \\Delta , z ^ { i } \\rangle | \\big ) \\geq \\frac { p _ { 0 } + 1 } { 2 } + \\frac { p _ { 0 } + 1 } { 2 } - 1 = p _ { 0 } ,\n$$", + "text_format": "latex", + "bbox": [ + 274, + 801, + 720, + 837 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "where $\\tau = c _ { 1 } / c _ { 2 }$ ", + "bbox": [ + 174, + 844, + 290, + 859 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Since $\\mathbf { x } ^ { i }$ is a gaussian vector with mean zero and covariance $\\pmb { \\Sigma }$ $, z ^ { i } = U _ { G } ^ { \\prime } { \\pmb { x } } ^ { i }$ is a zero-mean gaussian vector with covariance given by $U _ { G } ^ { \\prime } \\Sigma U _ { G }$ , and $\\langle \\boldsymbol { \\mathcal { W } } ^ { * } , \\boldsymbol { \\mathfrak { L } } ^ { i } \\rangle = \\langle \\mathrm { v e c } ( \\boldsymbol { \\mathcal { W } } ^ { * } ) , \\boldsymbol { z } ^ { i } \\rangle$ also follows a normal distribution with mean zero and variance (also its sub-Gaussian norm) upper bounded by $\\kappa _ { U } \\| \\boldsymbol { \\mathsf { W } } ^ { * } \\| _ { \\mathrm { F } } ^ { 2 }$ , where $\\kappa _ { U } = C _ { x } C _ { u }$ . ", + "bbox": [ + 174, + 864, + 825, + 925 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Since from Assumption 4(C2), $\\Vert \\mathbf { \\mathcal { W } } ^ { * } \\Vert _ { \\mathrm { F } } ^ { 2 } \\geq \\alpha \\sqrt { d _ { \\mathcal { M } } }$ , we can take $c _ { 1 }$ to be sufficiently small such that ", + "bbox": [ + 171, + 102, + 823, + 119 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/e9df9bde22778b35c5bcb4786495e31c41b670d832c7f6ce8c61c073e95b7fab.jpg", + "text": "$$\n\\mathbb { P } ( D _ { 1 } ) = \\mathbb { P } \\left( \\frac { | \\langle \\mathcal { W } ^ { * } , \\Xi ^ { i } \\rangle | } { \\kappa _ { U } \\| \\mathcal { W } ^ { * } \\| _ { \\mathrm { F } } } > \\frac { c _ { 1 } } { \\kappa _ { U } \\alpha } \\right) \\geq \\mathbb { P } ( | x | > \\frac { c _ { 1 } } { \\kappa _ { U } \\alpha } ) \\geq \\frac { p _ { 0 } + 1 } { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 281, + 125, + 714, + 167 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "where $x$ is a gaussian variable with variance upper bounded by 1. ", + "bbox": [ + 174, + 172, + 601, + 188 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Then, we can also observe that, for any fixed $\\Delta \\in { \\cal S } _ { 2 K }$ , $\\langle \\Delta , z ^ { i } \\rangle$ is a gaussian variable with zero mean and variance upper bounded by $\\kappa _ { U }$ . We can use the concentration inequality for gaussian random variable to establish that ", + "bbox": [ + 173, + 193, + 826, + 236 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/b4924b75793249b1587da2cf75448274d91d47a523afb7f0c1cfadfa3f4789e5.jpg", + "text": "$$\n\\mathbb { P } \\left( | \\langle \\Delta , z ^ { i } \\rangle | \\geq t \\right) \\leq 2 \\exp ( - \\frac { t ^ { 2 } } { \\kappa _ { U } } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 383, + 239, + 612, + 273 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "for all $t \\in \\mathbb { R }$ . We can further use the union bound to show that ", + "bbox": [ + 173, + 277, + 583, + 294 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/ae06f6a7e8b2d89924e161eb9f6ce061c9bcb2aaf9448569ef85618b1d2f9bd8.jpg", + "text": "$$\n\\mathbb { P } \\left( \\operatorname* { s u p } _ { \\pmb { \\Delta \\in S } _ { 2 K } } | \\langle \\pmb { \\Delta } , \\pmb { z } ^ { i } \\rangle | \\geq t \\right) \\leq 2 \\exp ( - \\frac { t ^ { 2 } } { \\kappa _ { U } } + 7 d _ { \\mathcal { M } } ) .\n$$", + "text_format": "latex", + "bbox": [ + 328, + 296, + 669, + 333 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Let $t = c _ { 2 } \\sqrt { d _ { \\mathcal { M } } }$ for some positive constant $c _ { 2 } > \\sqrt { 7 \\kappa _ { U } }$ . We can choose $c _ { 2 }$ large enough such that ", + "bbox": [ + 169, + 339, + 812, + 356 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/80182487d971a3423f93a8f441d728ec211c9b4b2b59339a19ba23b96bf29803.jpg", + "text": "$$\n\\mathbb { P } \\left( \\operatorname* { s u p } _ { \\Delta \\in { \\mathcal { S } _ { 2 K } } } | \\langle \\Delta , z ^ { i } \\rangle | \\geq c _ { 2 } \\sqrt { d _ { \\mathcal { M } } } \\right) \\leq \\frac { 1 - p _ { 0 } } { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 348, + 361, + 648, + 397 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "The probability at (30) is hence shown. ", + "bbox": [ + 174, + 402, + 431, + 417 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Now, we will take a look at the matrix $h ( \\boldsymbol { \\mathsf { W } } ^ { * } )$ and show that it is positive definite. Same as in Lemma 5, we denote the event $\\begin{array} { r } { A = \\{ | \\langle \\mathcal { W } ^ { * } , \\Xi ^ { i } \\rangle | > \\tau \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } | \\langle \\Delta , z ^ { i } \\rangle | \\} } \\end{array}$ , and its complement by $A ^ { c }$ , then ", + "bbox": [ + 173, + 422, + 826, + 469 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/00f629f662e2cb8bb8c1c0fbeb16e950c8a53c719f5a7a92622d45129a0b8ccd.jpg", + "text": "$$\n\\begin{array} { r l } & { \\Delta ^ { \\prime } h ( \\mathbb { W } ^ { * } ) \\Delta = \\displaystyle \\frac { 1 } { n } E \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\{ \\xi \\xi ^ { i } , \\mathbb { W } \\} ) \\mathbb { I } _ { \\Delta } \\Delta ^ { \\prime } z ^ { i } z ^ { i } \\Delta \\right\\} } \\\\ & { \\quad = \\displaystyle \\frac { 1 } { n } E \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\{ \\xi \\xi ^ { i } , \\mathbb { W } \\} ) \\Delta ^ { \\prime } z ^ { i } z ^ { i } z ^ { i } \\Delta \\right\\} - \\displaystyle \\frac { 1 } { n } E \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\langle \\xi ^ { i } , \\mathbb { W } \\rangle ) \\mathbb { I } _ { \\Delta ^ { \\prime } } \\Delta ^ { \\prime } z ^ { i } z ^ { i } z ^ { i } \\Delta \\right\\} } \\\\ & { \\quad = \\Delta ^ { \\prime } H ( \\mathbb { W } ^ { * } ) \\Delta - \\displaystyle \\frac { 1 } { n } \\mathbb { E } \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\{ \\xi \\xi ^ { i } , \\mathbb { W } \\} ) \\mathbb { I } _ { \\Delta ^ { \\prime } } \\Delta ^ { \\prime } z ^ { i } z ^ { i } z ^ { i } z ^ { i } \\Delta \\right\\} } \\\\ & \\quad \\stackrel { \\mathrm { G } } { \\geq } \\kappa _ { 0 } - \\displaystyle \\frac { 1 } { n } \\sqrt { \\mathbb { E } \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\{ z \\} ^ { i } , \\mathbb { W } \\} ) \\mathbb { I } ^ { 2 } ( \\Delta , z ^ { i } ) \\right\\} \\sqrt { \\mathbb { E } \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\mathbb { I } _ { \\Delta ^ { \\prime } } \\right\\} } } \\\\ & { \\quad \\stackrel { \\mathrm { G } } { \\geq } \\kappa _ { 0 } - \\displaystyle \\frac { \\sqrt { 3 \\kappa \\xi } } { 4 } ( 1 - p _ { 0 } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 212, + 474, + 781, + 688 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "where (i) follows from Assumption 4(C1), And since $\\langle \\Delta , z ^ { i } \\rangle$ is a gaussian variable with mean zero and variance bounded by $\\kappa _ { U }$ , its fourth moment is bounded by $3 \\kappa _ { U }$ . Also, by $\\phi ^ { \\prime \\prime } ( z ) \\in ( 0 , 0 . 2 5 )$ for all $z \\in \\mathbb { R }$ , (ii) can be shown. ", + "bbox": [ + 174, + 691, + 825, + 736 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Here, we can take $p _ { 0 }$ to be small enough such that $0 . 2 5 \\sqrt { 3 \\kappa _ { U } } ( 1 - p _ { 0 } ) \\leq 0 . 5 \\kappa _ { 0 }$ holds. It follows that ", + "bbox": [ + 174, + 741, + 825, + 757 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/72bfc61381eb2740962dfaf6b510ad487054f4738ffa0b054a13417627e73ebd.jpg", + "text": "$$\n\\Delta ^ { \\prime } h ( \\boldsymbol { \\mathsf { W } } ^ { * } ) \\Delta \\geq \\kappa _ { 1 } ,\n$$", + "text_format": "latex", + "bbox": [ + 433, + 762, + 562, + 780 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "with $\\kappa _ { 1 } = 0 . 5 \\kappa _ { 0 }$ . We hence accomplished the proof of the lemma. ", + "bbox": [ + 173, + 786, + 609, + 801 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "A.5 ADDITIONAL EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 816, + 415, + 833 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "A.5.1 MORE EXPERIMENTS FOR THEORETICAL RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 843, + 578, + 858 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "We first provide some additional implementation details for Section 4.1 in the paper. We consider two types of inputs for verification of the sample complexity in Theorem 1. For the time-dependent inputs, we generate a sequence of vectors $\\{ \\dot { \\mathbf { } } \\mathbf { } x ^ { i } \\}$ with size $\\mathbb { R } ^ { d }$ from a stationary VAR(1) process, where $d = 2 4 5$ or 192. The VAR(1) process has a transition matrix with spectral norm less than ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 30 + }, + { + "type": "image", + "img_path": "images/b58a2c0f81ca7a92056b45c91ab77578160589cd9fdeea3f345595cfb2d8fba9.jpg", + "image_caption": [ + "Figure 7: Additional experiments for efficient number of kernels. " + ], + "image_footnote": [], + "bbox": [ + 266, + 98, + 784, + 228 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "1 to ensure stationarity, and a white noise sequence which follows multivariate standard normal distribution. The first 50 simulated data points in the sequence are discarded to alleviate the influence of initialization, and the length of the resulting sequence is equal to the training sample size plus the testing sample size, i.e. $n + 2 0 0$ . We then reshape $\\{ { \\pmb x } ^ { i } \\}$ into a sequence of tensors of shape (7, 5, 7) or (8, 8, 3), which are the time-dependent inputs for experiments under S1/S2 or S3/S4. ", + "bbox": [ + 173, + 286, + 825, + 357 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Next, we conduct extra experiments for efficient number of kernels for a CP block design. This study uses $3 2 \\times 3 2$ inputs with 16 channels, and we set stride to 1 and pooling sizes to $( 5 , 5 )$ . We generate the orthonormal factor matrices $\\{ \\pmb { H } ^ { ( j ) } , 1 \\le j \\le 4 \\}$ , where $H ^ { ( 1 ) }$ is of size $\\mathbb { R } ^ { 8 \\times R }$ , $\\dot { \\pmb { H } } ^ { ( 2 ) }$ is of size $\\mathbb { R } ^ { 8 \\times R }$ , $\\pmb { H } ^ { ( 3 ) }$ is of size $\\mathbb { R } ^ { 1 6 \\times R }$ and $H ^ { ( 4 ) }$ is of size $\\mathbb { R } ^ { K \\times R }$ where $R = 8$ and $K \\in \\{ 8 , 1 6 , 2 4 , 3 2 \\}$ . If we denote the orthonormal column vectors of $\\pmb { H } ^ { ( j ) }$ by $\\boldsymbol { h } _ { r } ^ { ( j ) }$ where $1 \\leq r \\leq R$ and $1 \\le j \\le 4$ , the stacked kerncan be seen that tensor has a $\\mathbfcal { A }$ can thenP rank of erated as . We spli $\\begin{array} { r } { \\pmb { \\mathcal { A } } = \\sum _ { r = 1 } ^ { R } \\pmb { h } _ { r } ^ { ( 1 ) } \\circ \\pmb { h } _ { r } ^ { ( 2 ) } \\circ \\pmb { h } _ { r } ^ { ( 3 ) } \\circ \\pmb { h } _ { r } ^ { ( 4 ) } } \\end{array}$ . And ite kernel $\\mathbfcal { A }$ $R = 8$ $\\mathbfcal { A }$ dimension to obtain $\\{ \\mathcal { A } _ { k } , 1 \\le k \\le K \\}$ and generate the corresponding fully-connected weight tensors $\\{ \\mathbf { { \\mathcal { B } } } _ { k } , 1 \\leq k \\leq K \\}$ with standard normal entries. The parameter tensor $\\boldsymbol { w }$ is hence obtained, and we further normalize it to have unit Frobenius norm to ensure the comparability of estimation errors between different $K \\mathrm { s }$ . The block structure in Figure 7(1) is employed to train the network, and it is equivalent to the bottleneck structure with a CP decomposition on $\\mathbfcal { A }$ ; see Kossaifi et al. (2020b). We can see that as $K$ increases, there is more redundancy in the network parameters. Fifty training sets are generated for each training size, and we stop training when the target function drops by less than $1 0 ^ { - 5 }$ . From Figure 7(2), the estimation error increases as $K$ is larger, and the difference is more pronounced when training size is small. ", + "bbox": [ + 173, + 363, + 825, + 597 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "A.5.2 ABLATION STUDIES ON MORE BLOCK DESIGNS ", + "text_level": 1, + "bbox": [ + 174, + 614, + 557, + 628 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "In this section, we present the results from the studies of $K / R$ ratios on two popular networks structures, namely, ResNeXt (Xie et al., 2017) and Shufflenet v2 (Ma et al., 2018). To start with, we will show the bottleneck block structure and its respective $K / R$ ratio in ResNeXt and Shufflenet. ", + "bbox": [ + 176, + 638, + 825, + 681 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "In Figure 8, we represent the bottleneck block structure of ResNeXt consisting of 3 layers: a $1 \\times 1$ convolution layer, a $3 \\times 3$ group convolution layer followed by another $1 \\times 1$ convolution layer. During group convolution phase, there are $g$ parallel paths, each has a bottleneck size of $r$ , which is also the rank of the output channel in each individual path; see also Figure 1 in Xie et al. (2017). Since the output from each path is aggregated via summation, the rank of the output channel of the entire bottleneck block is equal to $R = r \\cdot g$ . Subsequently, we can define the expansion ratio of this block to be $t = K / R$ . ", + "bbox": [ + 176, + 689, + 825, + 731 + ], + "page_idx": 31 + }, + { + "type": "image", + "img_path": "images/fe0b0502d876f66c8b6462a1d0456344337361c76ff72b9b7852bc41c593c3ad.jpg", + "image_caption": [ + "Figure 8: Equivalent ResNext building blocks. Both (1) and (2) represent a block of ResNeXt with cardinality $g$ , with $R = r \\cdot g$ . Here, the expansion ratio $t = K / R$ , and takes values of 1,2 and 4. " + ], + "image_footnote": [], + "bbox": [ + 194, + 757, + 810, + 876 + ], + "page_idx": 31 + }, + { + "type": "image", + "img_path": "images/fcd1f861ced7ea4129578e3cd9296f574bc08e9694134fc166b2927938614e6b.jpg", + "image_caption": [ + "Figure 9: A basic block of Shufflenet v2, with its bottleneck structure depict explicitly. Here, the expansion ratio $t = K / R$ , and takes values of 1,2 and 4. " + ], + "image_footnote": [], + "bbox": [ + 272, + 99, + 728, + 329 + ], + "page_idx": 32 + }, + { + "type": "table", + "img_path": "images/e66d5aa050a4e69ad92315f3d129c76ba9ec2f76fd99eec3c4218ccf597a5a42.jpg", + "table_caption": [ + "Table 3: Test accuracy $( \\% )$ of ResNeXt and Shufflenet on SVNH. " + ], + "table_footnote": [], + "table_body": "
tResNeXt#FLOPs#ParamsShufflenet#FLOPs#Params
196.200.05GMac1.45M95.930.05GMac1.33M
296.250.07GMac2.13M96.080.08GMac1.67M
496.200.14GMac4.44M96.030.16GMac3.84M
", + "bbox": [ + 274, + 415, + 727, + 476 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 501, + 825, + 556 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "In Figure 9, we represent the bottleneck block structure of Shufflenet. It consists of 3 layers: a $1 \\times 1$ convolution layer, a $3 \\times 3$ depthwise convolution layer followed by another $1 \\times 1$ convolution layer. So, the only difference between this block structure and that in ResNet (He et al., 2016) is that the full $3 \\times 3$ convolution is replaced by the depthwise separable convolution. It follows that the expansion ratio is $t = K / R$ . ", + "bbox": [ + 173, + 563, + 825, + 633 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "We conducted the experiments on the SVNH dataset and take $t = 1 , 2 , 4$ , since $t = 2$ or $t = 4$ in particular, is commonly used in practice. We followed the design of ResNeXt-50 (see Table 1 in Xie et al. (2017)) and Shufflenet v2-50 (see Appendix Table 2 in Ma et al. (2018)), only be removing the three convolution block in ”conv5” to avoid overfitting. And we set $R = 2 4$ , 58, 116, 232 as the bottleneck rank for ”conv1”-”conv4”, respectively. And $K = t \\cdot R$ is taken according to different values of $t$ . The implementations are similar to before. Following the practice in He et al. (2016), we adopt batch normalization(BN) (Ioffe & Szegedy, 2015) right after each convolution and before the ReLU activation. For ResNeXt, the cardinality of the group convolution is set to be 32, and we initialize the weights as in He et al. (2015). We use stochastic gradient descent with weight decay $1 0 ^ { - 4 }$ , momentum 0.9 and mini-batch size 128. The learning rate starts from 0.1 and is divided by 10 for every 100 epochs. We stop training after 350 epochs, since the training accuracy hardly changes. The training accuracy is approximately $96 \\%$ . We set seeds 1-5 and report the worst case scenario of the test accuracy in Table 3. ", + "bbox": [ + 173, + 640, + 825, + 820 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "We can see that, when $t = 1$ , the test accuracy is comparable to when $t = 2$ or 4, and the number of parameters are reduced by a lot. In fact, the ratio of number of parameters at a single bottleneck block for $t = 1 , 2$ and 4 is roughly $1 : 2 : 4$ , for both networks. This implies that the number of parameters will increase dramatically when we have a deeper CNN, for instance, ResNeXt-101. Hence, it is always recommended to keep $t \\ = \\ 1$ to achieve more parameter efficiency without sacrificing the test accuracy. 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Our finding is further", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 319, + 438, + 332 + ], + "spans": [ + { + "bbox": [ + 141, + 319, + 438, + 332 + ], + "score": 1.0, + "content": "supported by ablation studies on CIFAR10, SVNH and UCF101 datasets.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 10, + "bbox_fs": [ + 141, + 210, + 470, + 332 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 349, + 206, + 362 + ], + "lines": [ + { + "bbox": [ + 105, + 348, + 208, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 208, + 365 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 373, + 505, + 451 + ], + "lines": [ + { + "bbox": [ + 106, + 373, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 106, + 373, + 505, + 386 + ], + "score": 1.0, + "content": "The introduction of AlexNet (Krizhevsky et al., 2012) spurred a line of research in 2D CNNs, which", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 384, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 104, + 384, + 505, + 398 + ], + "score": 1.0, + "content": "progressively achieve high levels of accuracy in the domain of image recognition (Simonyan &", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 394, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 408 + ], + "score": 1.0, + "content": "Zisserman, 2015; Szegedy et al., 2015; He et al., 2016; Huang et al., 2017). The current state-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 420 + ], + "score": 1.0, + "content": "of-the-art CNNs leave little room to achieve significant improvement on accuracy in learning still-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 416, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 431 + ], + "score": 1.0, + "content": "images, and attention has hence been diverted towards two directions. The first is to deploy deep", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 428, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 442 + ], + "score": 1.0, + "content": "CNNs on mobile devices by removing redundancy from the over-parametrized network, and some", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 440, + 482, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 482, + 452 + ], + "score": 1.0, + "content": "representative models include MobileNetV1 & V2 (Howard et al., 2017; Sandler et al., 2018).", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20, + "bbox_fs": [ + 104, + 373, + 506, + 452 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 504, + 533 + ], + "lines": [ + { + "bbox": [ + 105, + 455, + 506, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 506, + 470 + ], + "score": 1.0, + "content": "The second direction is to utilize CNNs to learn from higher-order inputs, for instance, video clips", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 467, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 505, + 480 + ], + "score": 1.0, + "content": "(Tran et al., 2018; Hara et al., 2017) or electronic health records (Cheng et al., 2016; Suo et al.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 477, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 492 + ], + "score": 1.0, + "content": "2017). This area has not yet seen a widely-accepted state-of-the-art network. High-order kernel", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "score": 1.0, + "content": "tensors are usually required to account for the multiway dependence of the input. This notoriously", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 501, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 106, + 501, + 505, + 513 + ], + "score": 1.0, + "content": "leads to heavy computational burden, as the number of parameters to be trained grows exponentially", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "with the dimension of inputs. Subsequently, model compression becomes the critical juncture to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 523, + 373, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 373, + 534 + ], + "score": 1.0, + "content": "guarantee the successful training and deployment of tensor CNNs.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 455, + 506, + 534 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 682 + ], + "lines": [ + { + "bbox": [ + 106, + 538, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 505, + 552 + ], + "score": 1.0, + "content": "Tensor methods for compressing CNNs. Denil et al. (2013) showed that there is huge redundancy", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "score": 1.0, + "content": "in network weights such that the entire network can be approximately recovered with a small fraction", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 562, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 505, + 574 + ], + "score": 1.0, + "content": "of parameters. Tensor decomposition recently has been widely used to compress the weights in", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 104, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "a CNN network (Lebedev et al., 2015; Kim et al., 2016; Kossaifi et al., 2020b; Hayashi et al.,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "2019). Specifically, the weights at each layer are first summarized into a tensor, and then tensor", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "score": 1.0, + "content": "decomposition, CP or Tucker decomposition, can be applied to reduce the number of parameters.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "Different tensor decomposition to convolution layers will lead to a variety of compressed CNN", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "score": 1.0, + "content": "block designs. For instance, the bottleneck block in ResNet (He et al., 2016) corresponds to the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "score": 1.0, + "content": "convolution kernel with a special Tucker low-rank structure, and the depthwise separable block", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 650 + ], + "score": 1.0, + "content": "in MobileNetV1 (Howard et al., 2017) and the inverted residual block in MobileNetV2 (Sandler", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "et al., 2018) correspond to the convolution kernel with special CP forms. All the above are for 2D", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 659, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 673 + ], + "score": 1.0, + "content": "CNNs, and Kossaifi et al. (2020b) and Su et al. 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Moreover,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "Kossaifi et al. (2019) summarized all weights of a network into one single high-order tensor, and", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "then directly imposed a low-rank structure to achieve full network compression. 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However, there is still", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "score": 1.0, + "content": "lack of a theoretical study to understand the mechanism of how tensor decomposition can compress", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 391, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 391, + 156 + ], + "score": 1.0, + "content": "CNNs. This paper attempts to fill this gap from statistical perspectives.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 218 + ], + "lines": [ + { + "bbox": [ + 105, + 159, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 174 + ], + "score": 1.0, + "content": "Sample Complexity Analysis. Du et al. 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The sample complexity analysis is to investigate how many samples are needed to guarantee a", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 277, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 506, + 289 + ], + "score": 1.0, + "content": "given tolerance on the prediction error. It can also be used to detect the model redundancy. 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Given the same true underlying networks,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 299, + 505, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 268, + 311 + ], + "score": 1.0, + "content": "when the prediction errors from trained", + "type": "text" + }, + { + "bbox": [ + 269, + 299, + 281, + 309 + ], + "score": 0.89, + "content": "F _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 299, + 300, + 311 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 300, + 299, + 312, + 309 + ], + "score": 0.91, + "content": "F _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 299, + 475, + 311 + ], + "score": 1.0, + "content": "are comparable, we then can argue that", + "type": "text" + }, + { + "bbox": [ + 475, + 299, + 487, + 309 + ], + "score": 0.88, + "content": "F _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 299, + 505, + 311 + ], + "score": 1.0, + "content": "has", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 310, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 246, + 322 + ], + "score": 1.0, + "content": "redundant weights comparing with", + "type": "text" + }, + { + "bbox": [ + 246, + 310, + 258, + 321 + ], + "score": 0.88, + "content": "F _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 310, + 505, + 322 + ], + "score": 1.0, + "content": ". As a result, conducting sample complexity analysis to CNNs", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "score": 1.0, + "content": "with higher order inputs will shed light on the compressing mechanism of popular compressed CNNs", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 332, + 211, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 211, + 344 + ], + "score": 1.0, + "content": "via tensor decomposition.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 107, + 348, + 505, + 437 + ], + "lines": [ + { + "bbox": [ + 106, + 348, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 348, + 505, + 361 + ], + "score": 1.0, + "content": "The study in Du et al. (2018a) is limited to 1-dimensional convolution with a single kernel, followed", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "by weighted summation, and its theoretical analysis cannot be generalized to CNNs with compressed", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "score": 1.0, + "content": "layers. In comparison, our paper presents a more realistic modeling of CNN by introducing a gen-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 381, + 506, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 124, + 394 + ], + "score": 1.0, + "content": "eral", + "type": "text" + }, + { + "bbox": [ + 124, + 382, + 135, + 391 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 381, + 506, + 394 + ], + "score": 1.0, + "content": "-dimensional convolution with multiple kernels, followed by an average pooling layer and a", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "fully-connected layer. The convolution kernel and fully-connected weights are in tensor forms, and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 402, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 506, + 416 + ], + "score": 1.0, + "content": "this allows us to explicitly model compressed CNNs via imposing low-rank assumption on weight", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 414, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 505, + 427 + ], + "score": 1.0, + "content": "tensors. Moreover, we used an alternative technical tool, and a sharper upper bound on the sample", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 425, + 221, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 221, + 438 + ], + "score": 1.0, + "content": "complexity can be obtained.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 108, + 442, + 278, + 453 + ], + "lines": [ + { + "bbox": [ + 107, + 442, + 279, + 455 + ], + "spans": [ + { + "bbox": [ + 107, + 442, + 279, + 455 + ], + "score": 1.0, + "content": "Our paper makes three main contributions:", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 459, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 106, + 458, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 505, + 471 + ], + "score": 1.0, + "content": "1. We formulate CNNs with high-order inputs into statistical models, and show that they have an", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 470, + 220, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 220, + 482 + ], + "score": 1.0, + "content": "explicit “Tucker-like” form.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 486, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 499 + ], + "score": 1.0, + "content": "2. The sample complexity analysis can then be conducted to CNNs as well as compressed CNNs", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "via tensor decomposition, with weak conditions allowing for time-dependent inputs like video data.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "score": 1.0, + "content": "3. From theoretical analysis, we draw an interesting finding that forcing low dimensionality on", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 526, + 478, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 478, + 538 + ], + "score": 1.0, + "content": "output channels may introduce unnecessary parameter redundancy to a compressed network.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5 + }, + { + "type": "title", + "bbox": [ + 108, + 551, + 323, + 562 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 324, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 324, + 564 + ], + "score": 1.0, + "content": "1.1 COMPARISON WITH OTHER EXISTING WORKS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 572, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 106, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "Deep neural networks are usually over-parametrized, yet empirically, they can generalize well. It", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "is an important topic in the literature to theoretically study the generalization ability of deep neural", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "score": 1.0, + "content": "networks, including deep CNNs (Li et al., 2020; Arora et al., 2018). The generalization error, defined", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "as the difference between test and training errors, is commonly used to evaluate such ability, and", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "many techniques have been developed to control its bound; see, for example, the VC dimension", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "score": 1.0, + "content": "(Vapnik, 2013), the Rademacher complexity & covering number (Bartlett & Mendelson, 2002), the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "norm-based capacity control (Neyshabur et al., 2017; Golowich et al., 2018; Bartlett et al., 2017;", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "score": 1.0, + "content": "Neyshabur et al., 2015) and low-rank compression based methods (Li et al., 2020; Zhou & Feng,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "2018; Arora et al., 2018). These works use a model-agnostic framework, and hence relies heavily on", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 671, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 505, + 684 + ], + "score": 1.0, + "content": "explicit regularization such as weight decay, dropout or data augumentation, as well as algorithm-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 682, + 391, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 391, + 694 + ], + "score": 1.0, + "content": "based implicit regularization to remove the redundancy in the network.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "We, however, attempt to theoretically explain how much compressibility is achieved in a compressed", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "network architecture. 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However, there is still", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 145 + ], + "score": 1.0, + "content": "lack of a theoretical study to understand the mechanism of how tensor decomposition can compress", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 391, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 391, + 156 + ], + "score": 1.0, + "content": "CNNs. This paper attempts to fill this gap from statistical perspectives.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 110, + 505, + 156 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 218 + ], + "lines": [ + { + "bbox": [ + 105, + 159, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 174 + ], + "score": 1.0, + "content": "Sample Complexity Analysis. Du et al. 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The sample complexity analysis is to investigate how many samples are needed to guarantee a", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 277, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 506, + 289 + ], + "score": 1.0, + "content": "given tolerance on the prediction error. It can also be used to detect the model redundancy. Consider", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 287, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 207, + 300 + ], + "score": 1.0, + "content": "two nested CNNs, where", + "type": "text" + }, + { + "bbox": [ + 208, + 288, + 219, + 299 + ], + "score": 0.88, + "content": "F _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 287, + 321, + 300 + ], + "score": 1.0, + "content": "is more compressed than", + "type": "text" + }, + { + "bbox": [ + 321, + 288, + 333, + 299 + ], + "score": 0.88, + "content": "F _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 287, + 505, + 300 + ], + "score": 1.0, + "content": ". Given the same true underlying networks,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 299, + 505, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 268, + 311 + ], + "score": 1.0, + "content": "when the prediction errors from trained", + "type": "text" + }, + { + "bbox": [ + 269, + 299, + 281, + 309 + ], + "score": 0.89, + "content": "F _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 299, + 300, + 311 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 300, + 299, + 312, + 309 + ], + "score": 0.91, + "content": "F _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 299, + 475, + 311 + ], + "score": 1.0, + "content": "are comparable, we then can argue that", + "type": "text" + }, + { + "bbox": [ + 475, + 299, + 487, + 309 + ], + "score": 0.88, + "content": "F _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 299, + 505, + 311 + ], + "score": 1.0, + "content": "has", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 310, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 246, + 322 + ], + "score": 1.0, + "content": "redundant weights comparing with", + "type": "text" + }, + { + "bbox": [ + 246, + 310, + 258, + 321 + ], + "score": 0.88, + "content": "F _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 310, + 505, + 322 + ], + "score": 1.0, + "content": ". As a result, conducting sample complexity analysis to CNNs", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "score": 1.0, + "content": "with higher order inputs will shed light on the compressing mechanism of popular compressed CNNs", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 332, + 211, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 211, + 344 + ], + "score": 1.0, + "content": "via tensor decomposition.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 252, + 506, + 344 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 348, + 505, + 437 + ], + "lines": [ + { + "bbox": [ + 106, + 348, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 348, + 505, + 361 + ], + "score": 1.0, + "content": "The study in Du et al. (2018a) is limited to 1-dimensional convolution with a single kernel, followed", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "by weighted summation, and its theoretical analysis cannot be generalized to CNNs with compressed", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "score": 1.0, + "content": "layers. In comparison, our paper presents a more realistic modeling of CNN by introducing a gen-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 381, + 506, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 124, + 394 + ], + "score": 1.0, + "content": "eral", + "type": "text" + }, + { + "bbox": [ + 124, + 382, + 135, + 391 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 381, + 506, + 394 + ], + "score": 1.0, + "content": "-dimensional convolution with multiple kernels, followed by an average pooling layer and a", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "fully-connected layer. The convolution kernel and fully-connected weights are in tensor forms, and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 402, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 506, + 416 + ], + "score": 1.0, + "content": "this allows us to explicitly model compressed CNNs via imposing low-rank assumption on weight", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 414, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 505, + 427 + ], + "score": 1.0, + "content": "tensors. Moreover, we used an alternative technical tool, and a sharper upper bound on the sample", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 425, + 221, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 221, + 438 + ], + "score": 1.0, + "content": "complexity can be obtained.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 348, + 506, + 438 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 442, + 278, + 453 + ], + "lines": [ + { + "bbox": [ + 107, + 442, + 279, + 455 + ], + "spans": [ + { + "bbox": [ + 107, + 442, + 279, + 455 + ], + "score": 1.0, + "content": "Our paper makes three main contributions:", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28, + "bbox_fs": [ + 107, + 442, + 279, + 455 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 459, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 106, + 458, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 505, + 471 + ], + "score": 1.0, + "content": "1. We formulate CNNs with high-order inputs into statistical models, and show that they have an", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 470, + 220, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 220, + 482 + ], + "score": 1.0, + "content": "explicit “Tucker-like” form.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 486, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 499 + ], + "score": 1.0, + "content": "2. The sample complexity analysis can then be conducted to CNNs as well as compressed CNNs", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "via tensor decomposition, with weak conditions allowing for time-dependent inputs like video data.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "score": 1.0, + "content": "3. From theoretical analysis, we draw an interesting finding that forcing low dimensionality on", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 526, + 478, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 478, + 538 + ], + "score": 1.0, + "content": "output channels may introduce unnecessary parameter redundancy to a compressed network.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 458, + 505, + 538 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 551, + 323, + 562 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 324, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 324, + 564 + ], + "score": 1.0, + "content": "1.1 COMPARISON WITH OTHER EXISTING WORKS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 572, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 106, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "Deep neural networks are usually over-parametrized, yet empirically, they can generalize well. It", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "is an important topic in the literature to theoretically study the generalization ability of deep neural", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "score": 1.0, + "content": "networks, including deep CNNs (Li et al., 2020; Arora et al., 2018). The generalization error, defined", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "as the difference between test and training errors, is commonly used to evaluate such ability, and", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "many techniques have been developed to control its bound; see, for example, the VC dimension", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "score": 1.0, + "content": "(Vapnik, 2013), the Rademacher complexity & covering number (Bartlett & Mendelson, 2002), the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "norm-based capacity control (Neyshabur et al., 2017; Golowich et al., 2018; Bartlett et al., 2017;", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 663 + ], + "score": 1.0, + "content": "Neyshabur et al., 2015) and low-rank compression based methods (Li et al., 2020; Zhou & Feng,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "2018; Arora et al., 2018). These works use a model-agnostic framework, and hence relies heavily on", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 671, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 505, + 684 + ], + "score": 1.0, + "content": "explicit regularization such as weight decay, dropout or data augumentation, as well as algorithm-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 682, + 391, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 391, + 694 + ], + "score": 1.0, + "content": "based implicit regularization to remove the redundancy in the network.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 572, + 506, + 694 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "We, however, attempt to theoretically explain how much compressibility is achieved in a compressed", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "network architecture. Specifically, we make a comparison between a CNN and its compressed", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 720, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 506, + 734 + ], + "score": 1.0, + "content": "version, and makes theoretically-supported modification to the latter to further increase efficiency.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 48, + "bbox_fs": [ + 106, + 698, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 160 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "score": 1.0, + "content": "Subsequently, our analysis requires an explicit formulation for the network architecture, which is", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "provided in Section 2, and the prediction error at (1) is adopted as our evaluation criteria. We notice", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 103, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 103, + 505, + 117 + ], + "score": 1.0, + "content": "that Li et al. (2020) also proposes to use the CP Layers to compress the weights in each convolution", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "layer. But their study is still model-agnostic, since the ranks of the underlying CP Layers depend", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "score": 1.0, + "content": "on the trained weights. In details, their proposed approach uses regularization assumptions on the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "score": 1.0, + "content": "weights and hence, their derived theoretical bound is influenced by training and not suitable to", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 149, + 266, + 161 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 266, + 161 + ], + "score": 1.0, + "content": "analyze the network design exclusively.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 165, + 505, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 506, + 178 + ], + "score": 1.0, + "content": "Other existing works, that aim to provide theoretical understanding for the neural networks, include", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "the understanding of parameter recovery with gradient-based algorithms for deep neural networks", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "(Zhong et al., 2017b; Fu et al., 2020; Goel et al., 2018; Zhong et al., 2017a); the development of", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 506, + 210 + ], + "score": 1.0, + "content": "other provably efficient algorithms (Cao & Gu, 2019; Du & Goel, 2018); and the investigation of", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "convergence in an over-parameterized regime (Allen-Zhu et al., 2019; Li & Liang, 2018; Du et al.,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "score": 1.0, + "content": "2018b). Our work differs greatly from these works in both target and methodology. We do not", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 231, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 506, + 243 + ], + "score": 1.0, + "content": "consider computational complexity or algorithm convergence. Instead, we focus on the statistical", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 243, + 446, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 243, + 446, + 254 + ], + "score": 1.0, + "content": "sample complexity to depict the mechanism of compressed block designs for CNNs.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 108, + 271, + 391, + 284 + ], + "lines": [ + { + "bbox": [ + 105, + 270, + 393, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 393, + 286 + ], + "score": 1.0, + "content": "2 FORMULATING CNNS WITH HIGHER-ORDER INPUTS", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 107, + 297, + 176, + 308 + ], + "lines": [ + { + "bbox": [ + 105, + 295, + 178, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 178, + 310 + ], + "score": 1.0, + "content": "2.1 NOTATION", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 505, + 509 + ], + "lines": [ + { + "bbox": [ + 106, + 317, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 505, + 330 + ], + "score": 1.0, + "content": "Tensor notations. 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We notice", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 103, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 103, + 505, + 117 + ], + "score": 1.0, + "content": "that Li et al. (2020) also proposes to use the CP Layers to compress the weights in each convolution", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "layer. But their study is still model-agnostic, since the ranks of the underlying CP Layers depend", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 139 + ], + "score": 1.0, + "content": "on the trained weights. 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The average", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 327, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 284, + 341 + ], + "score": 1.0, + "content": "pooling operation is equivalent to forming", + "type": "text" + }, + { + "bbox": [ + 285, + 330, + 342, + 340 + ], + "score": 0.89, + "content": "p _ { 1 } p _ { 2 } p _ { 3 } \\cdots p _ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 327, + 453, + 341 + ], + "score": 1.0, + "content": "consecutive blocks within", + "type": "text" + }, + { + "bbox": [ + 453, + 328, + 467, + 339 + ], + "score": 0.88, + "content": "\\mathfrak { X } _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 327, + 506, + 341 + ], + "score": 1.0, + "content": ", each of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 335, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 104, + 335, + 126, + 353 + ], + "score": 1.0, + "content": "size", + "type": "text" + }, + { + "bbox": [ + 126, + 339, + 185, + 349 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { \\bar { q } _ { 1 } \\times \\bar { q } _ { 2 } \\times \\dots \\times q _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 335, + 438, + 353 + ], + "score": 1.0, + "content": ", and then take the average per block. 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As a result,", + "type": "text" + }, + { + "bbox": [ + 400, + 254, + 414, + 265 + ], + "score": 0.89, + "content": "\\mathfrak { X } _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 254, + 459, + 266 + ], + "score": 1.0, + "content": "has entries", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 106, + 243, + 505, + 266 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 173, + 267, + 437, + 285 + ], + "lines": [ + { + "bbox": [ + 173, + 267, + 437, + 285 + ], + "spans": [ + { + "bbox": [ + 173, + 267, + 437, + 285 + ], + "score": 0.88, + "content": "\\pmb { \\mathcal { X } } _ { c } ( i _ { 1 } , i _ { 2 } , \\ldots , i _ { N } ) = \\langle \\pmb { \\mathcal { X } } , \\pmb { \\mathcal { A } } \\times _ { 1 } \\pmb { U } _ { i _ { 1 } } ^ { ( 1 ) } \\times _ { 2 } \\pmb { U } _ { i _ { 2 } } ^ { ( 2 ) } \\times _ { 3 } \\cdots \\times _ { N } \\pmb { U } _ { i _ { N } } ^ { ( N ) } \\rangle .", + "type": "interline_equation", + "image_path": "013be854a9532dabb1fa6665db380c28ec3b3f8805bf479b05c8e8dd4f098e89.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 173, + 267, + 437, + 285 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 291, + 506, + 384 + ], + "lines": [ + { + "bbox": [ + 105, + 291, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 300, + 305 + ], + "score": 1.0, + "content": "For the pooling layer with the stride size of", + "type": "text" + }, + { + "bbox": [ + 301, + 295, + 312, + 305 + ], + "score": 0.85, + "content": "s _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 291, + 505, + 305 + ], + "score": 1.0, + "content": "along each dimension, we assume the pool-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 102, + 299, + 509, + 322 + ], + "spans": [ + { + "bbox": [ + 102, + 299, + 147, + 322 + ], + "score": 1.0, + "content": "ing sizes", + "type": "text" + }, + { + "bbox": [ + 147, + 304, + 181, + 318 + ], + "score": 0.93, + "content": "\\{ q _ { j } \\} _ { j = 1 } ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 299, + 295, + 322 + ], + "score": 1.0, + "content": "satisfy the relationship of", + "type": "text" + }, + { + "bbox": [ + 295, + 304, + 399, + 317 + ], + "score": 0.92, + "content": "m _ { j } ^ { - } ~ = ~ q _ { j } + ( p _ { j } - 1 ) s _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 299, + 509, + 322 + ], + "score": 1.0, + "content": ", so the sliding windows", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 317, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 386, + 331 + ], + "score": 1.0, + "content": "can be overlapped. But for ease of notation, we can simply take", + "type": "text" + }, + { + "bbox": [ + 387, + 317, + 442, + 330 + ], + "score": 0.93, + "content": "q _ { j } ~ = ~ m _ { j } / p _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 317, + 506, + 331 + ], + "score": 1.0, + "content": ". The average", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 327, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 284, + 341 + ], + "score": 1.0, + "content": "pooling operation is equivalent to forming", + "type": "text" + }, + { + "bbox": [ + 285, + 330, + 342, + 340 + ], + "score": 0.89, + "content": "p _ { 1 } p _ { 2 } p _ { 3 } \\cdots p _ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 327, + 453, + 341 + ], + "score": 1.0, + "content": "consecutive blocks within", + "type": "text" + }, + { + "bbox": [ + 453, + 328, + 467, + 339 + ], + "score": 0.88, + "content": "\\mathfrak { X } _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 327, + 506, + 341 + ], + "score": 1.0, + "content": ", each of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 335, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 104, + 335, + 126, + 353 + ], + "score": 1.0, + "content": "size", + "type": "text" + }, + { + "bbox": [ + 126, + 339, + 185, + 349 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { \\bar { q } _ { 1 } \\times \\bar { q } _ { 2 } \\times \\dots \\times q _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 335, + 438, + 353 + ], + "score": 1.0, + "content": ", and then take the average per block. 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When", + "type": "text" + }, + { + "bbox": [ + 199, + 226, + 220, + 237 + ], + "score": 0.92, + "content": "\\{ { \\pmb x } ^ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 224, + 444, + 239 + ], + "score": 1.0, + "content": "is a stationary time series with spectral density function", + "type": "text" + }, + { + "bbox": [ + 445, + 226, + 470, + 237 + ], + "score": 0.92, + "content": "f _ { X } ( \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 224, + 505, + 239 + ], + "score": 1.0, + "content": ", we can", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 235, + 506, + 252 + ], + "spans": [ + { + "bbox": [ + 104, + 235, + 126, + 252 + ], + "score": 1.0, + "content": "take", + "type": "text" + }, + { + "bbox": [ + 126, + 237, + 251, + 249 + ], + "score": 0.89, + "content": "c _ { x } = \\operatorname* { i n f } _ { - \\pi \\leq \\theta \\leq \\pi } \\lambda _ { \\mathrm { m i n } } ( f _ { X } ( \\theta ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 235, + 270, + 252 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 271, + 237, + 403, + 249 + ], + "score": 0.92, + "content": "\\begin{array} { r } { C _ { x } = \\operatorname* { s u p } _ { - \\pi \\leq \\theta \\leq \\pi } \\lambda _ { \\operatorname* { m a x } } ( f _ { X } ( \\theta ) ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 235, + 506, + 252 + ], + "score": 1.0, + "content": "; see Basu & Michailidis", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 248, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 242, + 262 + ], + "score": 1.0, + "content": "(2015). 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(Sub-Gaussian errors)", + "type": "text" + }, + { + "bbox": [ + 268, + 274, + 288, + 287 + ], + "score": 0.89, + "content": "\\{ \\xi ^ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 273, + 358, + 289 + ], + "score": 1.0, + "content": "are independent", + "type": "text" + }, + { + "bbox": [ + 359, + 274, + 370, + 285 + ], + "score": 0.88, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 273, + 506, + 289 + ], + "score": 1.0, + "content": "-sub-Gaussian random variables", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 287, + 402, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 287, + 260, + 300 + ], + "score": 1.0, + "content": "with mean zero, and is independent of", + "type": "text" + }, + { + "bbox": [ + 261, + 287, + 327, + 300 + ], + "score": 0.91, + "content": "\\{ \\boldsymbol { x } ^ { j } , 1 \\le j \\le i \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 287, + 356, + 300 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 356, + 288, + 398, + 299 + ], + "score": 0.88, + "content": "1 \\leq i \\leq n", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 287, + 402, + 300 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 107, + 301, + 481, + 314 + ], + "lines": [ + { + "bbox": [ + 106, + 300, + 482, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 295, + 315 + ], + "score": 1.0, + "content": "Assumption 3. 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Suppose that Assumptions 1-3 hold and", + "type": "text" + }, + { + "bbox": [ + 351, + 348, + 427, + 361 + ], + "score": 0.92, + "content": "n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } d _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 347, + 456, + 362 + ], + "score": 1.0, + "content": ". 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The case with multiple kernels will have a form similar to (4). Following", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 505, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 505, + 120 + ], + "score": 1.0, + "content": "the same logic, it can indeed be generalized to an even deeper CNN by adding more “convolution-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 118, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 506, + 131 + ], + "score": 1.0, + "content": "pooling” layers. Since the composite weight tensor always has a “Tucker-like” form, techniques in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 129, + 484, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 484, + 141 + ], + "score": 1.0, + "content": "proving Theorem 1 can be adopted to conduct the sample complexity analysis for deep CNNs.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 147, + 505, + 204 + ], + "lines": [ + { + "bbox": [ + 105, + 146, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 448, + 160 + ], + "score": 1.0, + "content": "Note that, at model (7), the kernels at different convolution layers appear in the form of", + "type": "text" + }, + { + "bbox": [ + 448, + 146, + 475, + 159 + ], + "score": 0.91, + "content": "\\widetilde { \\mathbfcal { A } } \\otimes \\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 147, + 505, + 160 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "score": 1.0, + "content": "actually provides a theoretical justification for exploring the layer-wise low-dimensional structure in", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 170, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 170, + 505, + 182 + ], + "score": 1.0, + "content": "the literature. On the other hand, we summarize all weights of a network into one single tensor, akin", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 180, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 505, + 194 + ], + "score": 1.0, + "content": "to Kossaifi et al. (2019). But our summarized tensor has an explicit “nested doll” structure, where", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 191, + 435, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 435, + 205 + ], + "score": 1.0, + "content": "the weight structure of the previous layer is nested within that of the current layer.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 208, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 106, + 209, + 505, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 221 + ], + "score": 1.0, + "content": "In practice, zero-padding can be used before each convolution layer to preserve the input size. This", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 219, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 505, + 233 + ], + "score": 1.0, + "content": "is compatible with our framework, since we can propagate the padding of zeros to previous layers", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 231, + 279, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 266, + 243 + ], + "score": 1.0, + "content": "and all the way back to the input tensor", + "type": "text" + }, + { + "bbox": [ + 266, + 231, + 275, + 240 + ], + "score": 0.73, + "content": "\\boldsymbol { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 231, + 279, + 243 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 108, + 257, + 233, + 270 + ], + "lines": [ + { + "bbox": [ + 104, + 256, + 234, + 273 + ], + "spans": [ + { + "bbox": [ + 104, + 256, + 234, + 273 + ], + "score": 1.0, + "content": "3 COMPRESSED CNNS", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 281, + 505, + 338 + ], + "lines": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "score": 1.0, + "content": "For a high-order input, a deep CNN with a larger number of kernels may involve heavy computation,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 292, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 505, + 306 + ], + "score": 1.0, + "content": "which renders its training difficult for portable devices with limited resources. In real applications,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 304, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 304, + 506, + 318 + ], + "score": 1.0, + "content": "many compressed CNN block designs have been proposed to improve the efficiency, and most of", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 314, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 505, + 328 + ], + "score": 1.0, + "content": "them are based on either matrix factorization or tensor decomposition; see Lebedev et al. (2015);", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 325, + 360, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 360, + 338 + ], + "score": 1.0, + "content": "Kim et al. (2016); Astrid & Lee (2017); Kossaifi et al. (2020b).", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 342, + 505, + 388 + ], + "lines": [ + { + "bbox": [ + 105, + 342, + 505, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 355 + ], + "score": 1.0, + "content": "Tucker decomposition can be used to compress CNNs, which is same as introducing a multilayer", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 352, + 504, + 366 + ], + "spans": [ + { + "bbox": [ + 104, + 352, + 421, + 366 + ], + "score": 1.0, + "content": "CNN block; see Figure 3 in Kim et al. (2016). Specifically, we stack the kernels", + "type": "text" + }, + { + "bbox": [ + 422, + 353, + 504, + 365 + ], + "score": 0.89, + "content": "\\pmb { \\mathcal { A } } _ { k } \\in \\mathbf { \\mathbb { R } } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 103, + 360, + 507, + 380 + ], + "spans": [ + { + "bbox": [ + 103, + 360, + 127, + 380 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 365, + 175, + 376 + ], + "score": 0.94, + "content": "1 \\leq k \\leq K", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 360, + 280, + 380 + ], + "score": 1.0, + "content": "into a higher order tensor", + "type": "text" + }, + { + "bbox": [ + 280, + 364, + 389, + 376 + ], + "score": 0.91, + "content": "\\mathcal { A } _ { \\mathrm { s t a c k } } ^ { \\mathrm { ~ ~ } } \\in \\mathbb { R } ^ { l _ { 1 } ^ { \\circ } \\times l _ { 2 } \\times \\cdots \\times l _ { N } \\times K }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 360, + 460, + 380 + ], + "score": 1.0, + "content": ", and assume that", + "type": "text" + }, + { + "bbox": [ + 460, + 365, + 488, + 376 + ], + "score": 0.88, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 360, + 507, + 380 + ], + "score": 1.0, + "content": "has", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 375, + 329, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 172, + 389 + ], + "score": 1.0, + "content": "Tucker ranks of", + "type": "text" + }, + { + "bbox": [ + 172, + 376, + 277, + 388 + ], + "score": 0.9, + "content": "( R _ { 1 } , R _ { 2 } , \\cdot \\cdot \\cdot , R _ { N } , R _ { N + 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 375, + 329, + 389 + ], + "score": 1.0, + "content": ". As a result,", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5 + }, + { + "type": "interline_equation", + "bbox": [ + 202, + 390, + 408, + 405 + ], + "lines": [ + { + "bbox": [ + 202, + 390, + 408, + 405 + ], + "spans": [ + { + "bbox": [ + 202, + 390, + 408, + 405 + ], + "score": 0.88, + "content": "\\pmb { \\mathcal { A } } _ { \\mathrm { s t a c k } } = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\cdots \\times _ { N + 1 } \\pmb { H } ^ { ( N + 1 ) } ,", + "type": "interline_equation", + "image_path": "2e4449a335278e7ddf4c328be2cf8c44a46f529e48bd778b2d9f274a08039cd7.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 202, + 390, + 408, + 405 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 406, + 506, + 537 + ], + "lines": [ + { + "bbox": [ + 104, + 405, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 104, + 405, + 133, + 422 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 407, + 232, + 419 + ], + "score": 0.92, + "content": "\\mathfrak { G } \\in \\mathbb { R } ^ { R _ { 1 } \\times \\cdots \\times R _ { N } \\times R _ { N + 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 405, + 326, + 422 + ], + "score": 1.0, + "content": "is the core tensor, and", + "type": "text" + }, + { + "bbox": [ + 326, + 407, + 391, + 419 + ], + "score": 0.92, + "content": "\\pmb { H } ^ { ( j ) } \\in \\mathbb { R } ^ { l _ { j } \\times R _ { j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 405, + 486, + 422 + ], + "score": 1.0, + "content": "are factor matrices for", + "type": "text" + }, + { + "bbox": [ + 486, + 408, + 505, + 420 + ], + "score": 0.83, + "content": "1 \\leq", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 418, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 107, + 420, + 158, + 431 + ], + "score": 0.91, + "content": "j \\ \\leq \\ N + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 418, + 506, + 433 + ], + "score": 1.0, + "content": ". From Section 2, to train such a compressed CNN block with linear activations is", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 356, + 442 + ], + "score": 1.0, + "content": "equivalent to search for the least-square estimators at (6) with", + "type": "text" + }, + { + "bbox": [ + 356, + 431, + 384, + 442 + ], + "score": 0.91, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "being constrained to have the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 221, + 439, + 507, + 482 + ], + "spans": [ + { + "bbox": [ + 221, + 439, + 256, + 482 + ], + "score": 1.0, + "content": "ators by , and the", + "type": "text" + }, + { + "bbox": [ + 256, + 441, + 343, + 459 + ], + "score": 0.93, + "content": "\\{ \\widehat { \\pmb { \\mathscr { B } } } _ { k } ^ { \\mathrm { T U } } , \\widehat { \\pmb { A } } _ { k } ^ { \\mathrm { T U } } \\} _ { 1 \\leq k \\leq K } .", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 439, + 507, + 482 + ], + "score": 1.0, + "content": "f.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 457, + 502, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 221, + 474 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathrm { T U } } = \\sum _ { k = 1 } ^ { K } \\widehat { \\pmb { \\mathscr { B } } } _ { k } ^ { \\mathrm { T U } } \\otimes \\widehat { \\pmb { A } } _ { k } ^ { \\mathrm { T U } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 459, + 502, + 475 + ], + "score": 0.93, + "content": "\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { T U } } = \\prod _ { j = 1 } ^ { N + 1 } R _ { j } + \\sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P } \\end{array}", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 479, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 505, + 491 + ], + "score": 1.0, + "content": "CP decomposition is more popular in compressing CNNs; see Kossaifi et al. (2020b); Lebedev", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 489, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 104, + 489, + 190, + 510 + ], + "score": 1.0, + "content": "et al. (2015); Astrid", + "type": "text" + }, + { + "bbox": [ + 191, + 496, + 200, + 505 + ], + "score": 0.25, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 489, + 271, + 510 + ], + "score": 1.0, + "content": "Lee (2017). Let", + "type": "text" + }, + { + "bbox": [ + 271, + 490, + 356, + 508 + ], + "score": 0.93, + "content": "\\{ \\hat { \\mathfrak { B } } _ { k } ^ { \\mathrm { \\bar { C P } } } , \\hat { \\mathcal { A } } _ { k } ^ { \\bar { \\mathrm { C P } } } \\} _ { 1 \\leq k \\leq K }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 489, + 506, + 510 + ], + "score": 1.0, + "content": "be the least-square estimators at (6)", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 506, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 127, + 523 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 509, + 155, + 520 + ], + "score": 0.88, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 508, + 332, + 523 + ], + "score": 1.0, + "content": "having a CP decomposition with a rank of", + "type": "text" + }, + { + "bbox": [ + 332, + 510, + 341, + 519 + ], + "score": 0.78, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 508, + 468, + 523 + ], + "score": 1.0, + "content": ". Then, the trained weights are", + "type": "text" + }, + { + "bbox": [ + 468, + 506, + 505, + 521 + ], + "score": 0.93, + "content": "\\widehat { \\sf w } _ { \\mathrm { C P } } =", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 515, + 448, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 187, + 538 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\sum _ { k = 1 } ^ { K } \\widehat { \\mathbf { B } } _ { k } ^ { \\mathrm { C P } } \\otimes \\widehat { \\mathbf { A } } _ { k } ^ { \\mathrm { C P } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 515, + 307, + 543 + ], + "score": 1.0, + "content": ", and the model complexity is", + "type": "text" + }, + { + "bbox": [ + 307, + 522, + 442, + 537 + ], + "score": 0.92, + "content": "\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { C P } } = R ^ { N + 1 } + R ( \\sum _ { i = 1 } ^ { N } l _ { i } + P ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 515, + 448, + 543 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 578 + ], + "lines": [ + { + "bbox": [ + 105, + 538, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 267, + 555 + ], + "score": 1.0, + "content": "Theorem 2 (Compressed CNN). Let", + "type": "text" + }, + { + "bbox": [ + 267, + 538, + 306, + 554 + ], + "score": 0.92, + "content": "( \\widehat { \\mathcal { W } } , d _ { \\mathcal { M } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 538, + 324, + 555 + ], + "score": 1.0, + "content": "be", + "type": "text" + }, + { + "bbox": [ + 324, + 538, + 377, + 554 + ], + "score": 0.91, + "content": "( \\widehat { \\sf w } _ { \\mathrm { T U } } , d _ { \\mathcal { M } } ^ { \\mathrm { T U } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 538, + 506, + 555 + ], + "score": 1.0, + "content": "for Tucker decomposition, or", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 551, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 107, + 552, + 159, + 568 + ], + "score": 0.93, + "content": "( \\widehat { \\sf w } _ { \\mathrm { C P } } , d _ { \\mathcal { M } } ^ { \\mathrm { C P } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 551, + 174, + 571 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 175, + 555, + 189, + 566 + ], + "score": 0.49, + "content": "C P", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 551, + 412, + 571 + ], + "score": 1.0, + "content": "decomposition. Suppose that Assumptions 1-3 hold and", + "type": "text" + }, + { + "bbox": [ + 413, + 554, + 501, + 568 + ], + "score": 0.92, + "content": "n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } c _ { N } d _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 551, + 506, + 571 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 564, + 132, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 132, + 580 + ], + "score": 1.0, + "content": "Then,", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34 + }, + { + "type": "interline_equation", + "bbox": [ + 127, + 578, + 482, + 612 + ], + "lines": [ + { + "bbox": [ + 127, + 578, + 482, + 612 + ], + "spans": [ + { + "bbox": [ + 127, + 578, + 482, + 612 + ], + "score": 0.84, + "content": "\\| \\widehat { \\pmb { w } } - \\pmb { w } ^ { * } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\ a n d , \\quad \\pmb { \\mathcal { E } } ( \\widehat { \\pmb { w } } ) \\leq \\sqrt { \\kappa _ { U } } \\| \\widehat { \\pmb { w } } - \\pmb { w } ^ { * } \\| _ { \\mathrm { F } }", + "type": "interline_equation", + "image_path": "fb187e2961257565548b057427fa52ba9f26b8b37704d0800ef004da904400fd.jpg" + } + ] + } + ], + "index": 37, + "virtual_lines": [ + { + "bbox": [ + 127, + 578, + 482, + 589.3333333333334 + ], + "spans": [], + "index": 36 + }, + { + "bbox": [ + 127, + 589.3333333333334, + 482, + 600.6666666666667 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 127, + 600.6666666666667, + 482, + 612.0000000000001 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 614, + 504, + 640 + ], + "lines": [ + { + "bbox": [ + 105, + 612, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 172, + 629 + ], + "score": 1.0, + "content": "with probability", + "type": "text" + }, + { + "bbox": [ + 172, + 615, + 428, + 627 + ], + "score": 0.84, + "content": "\\begin{array} { r } { 1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n - 3 c _ { N } d _ { \\mathcal { M } } ] \\} - \\exp \\{ - d _ { \\mathcal { M } } - 8 \\delta \\} , } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 612, + 457, + 629 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 457, + 615, + 501, + 627 + ], + "score": 0.92, + "content": "\\delta = O _ { p } ( 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 612, + 505, + 629 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 625, + 472, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 204, + 639 + ], + "score": 0.85, + "content": "c _ { N } = 2 ^ { N + 1 } \\log ( N + 2 )", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 625, + 207, + 641 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 208, + 628, + 220, + 639 + ], + "score": 0.73, + "content": "c _ { \\mathrm { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 625, + 312, + 641 + ], + "score": 1.0, + "content": "is a positive value and", + "type": "text" + }, + { + "bbox": [ + 313, + 629, + 365, + 639 + ], + "score": 0.8, + "content": "\\alpha _ { \\mathrm { R S C } } , \\alpha _ { \\mathrm { R S M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 625, + 461, + 641 + ], + "score": 1.0, + "content": "are defined in Theorem", + "type": "text" + }, + { + "bbox": [ + 461, + 628, + 466, + 637 + ], + "score": 0.55, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 625, + 472, + 641 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 107, + 646, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 105, + 646, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 505, + 660 + ], + "score": 1.0, + "content": "Theorem 2 shows that, as expected, the sample complexity is proportional to the model complexity.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "score": 1.0, + "content": "Compared to Theorem 1, we see that the sample complexity of the compressed CNN depends on", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 663, + 510, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 140, + 683 + ], + "score": 0.91, + "content": "\\textstyle \\sum _ { i = 1 } ^ { N } l _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 663, + 185, + 694 + ], + "score": 1.0, + "content": "instead of large num", + "type": "text" + }, + { + "bbox": [ + 185, + 669, + 217, + 684 + ], + "score": 0.93, + "content": "\\textstyle \\prod _ { i = 1 } ^ { N } l _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 663, + 335, + 694 + ], + "score": 1.0, + "content": ". When the input dimension arameters.", + "type": "text" + }, + { + "bbox": [ + 335, + 671, + 346, + 681 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 663, + 510, + 694 + ], + "score": 1.0, + "content": "is large, compressed CNN can indeed", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 107, + 698, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 104, + 696, + 504, + 713 + ], + "spans": [ + { + "bbox": [ + 104, + 696, + 477, + 713 + ], + "score": 1.0, + "content": "However, we notice that the sample complexity of a compressed CNN depends on the rank", + "type": "text" + }, + { + "bbox": [ + 477, + 699, + 504, + 711 + ], + "score": 0.91, + "content": "R _ { N + 1 }", + "type": "inline_equation" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 117, + 722 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 118, + 710, + 126, + 720 + ], + "score": 0.78, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 709, + 266, + 722 + ], + "score": 1.0, + "content": ", rather than the number of kernels", + "type": "text" + }, + { + "bbox": [ + 267, + 710, + 277, + 720 + ], + "score": 0.82, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 709, + 506, + 722 + ], + "score": 1.0, + "content": ". This differs from the naive parameter counting, and we", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 721, + 472, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 472, + 732 + ], + "score": 1.0, + "content": "hence provide the rationale behind this counter-intuitive observation in the corollary below.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 45 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 307, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 310, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 310, + 761 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 81, + 505, + 141 + ], + "lines": [ + { + "bbox": [ + 105, + 76, + 510, + 102 + ], + "spans": [ + { + "bbox": [ + 105, + 76, + 132, + 102 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 80, + 184, + 96 + ], + "score": 0.93, + "content": "\\mathcal { U } ^ { ( j ) } \\times _ { 3 } \\widetilde { \\mathcal { U } } ^ { ( j ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 76, + 272, + 102 + ], + "score": 1.0, + "content": "yields a tensor of size", + "type": "text" + }, + { + "bbox": [ + 272, + 82, + 327, + 95 + ], + "score": 0.92, + "content": "\\mathbb { R } ^ { d _ { j } \\times l _ { j } \\times \\widetilde { l } _ { j } \\times \\widetilde { p } _ { j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 76, + 351, + 102 + ], + "score": 1.0, + "content": ", with", + "type": "text" + }, + { + "bbox": [ + 352, + 80, + 493, + 98 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\sum _ { i = 1 } ^ { p _ { j } } \\mathcal { \\mathbf { U } } ^ { ( j ) } ( k _ { 1 } , k _ { 2 } , i ) \\widetilde { \\mathbf { U } } ^ { ( j ) } ( i , k _ { 3 } , k _ { 4 } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 76, + 510, + 102 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 94, + 506, + 110 + ], + "spans": [ + { + "bbox": [ + 104, + 94, + 118, + 110 + ], + "score": 1.0, + "content": "its", + "type": "text" + }, + { + "bbox": [ + 119, + 96, + 180, + 108 + ], + "score": 0.89, + "content": "( k _ { 1 } , k _ { 2 } , k _ { 3 } , k _ { 4 } ) \\cdot", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 94, + 506, + 110 + ], + "score": 1.0, + "content": "th entry. The case with multiple kernels will have a form similar to (4). Following", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 505, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 505, + 120 + ], + "score": 1.0, + "content": "the same logic, it can indeed be generalized to an even deeper CNN by adding more “convolution-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 118, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 506, + 131 + ], + "score": 1.0, + "content": "pooling” layers. Since the composite weight tensor always has a “Tucker-like” form, techniques in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 129, + 484, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 484, + 141 + ], + "score": 1.0, + "content": "proving Theorem 1 can be adopted to conduct the sample complexity analysis for deep CNNs.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2, + "bbox_fs": [ + 104, + 76, + 510, + 141 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 147, + 505, + 204 + ], + "lines": [ + { + "bbox": [ + 105, + 146, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 448, + 160 + ], + "score": 1.0, + "content": "Note that, at model (7), the kernels at different convolution layers appear in the form of", + "type": "text" + }, + { + "bbox": [ + 448, + 146, + 475, + 159 + ], + "score": 0.91, + "content": "\\widetilde { \\mathbfcal { A } } \\otimes \\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 147, + 505, + 160 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "score": 1.0, + "content": "actually provides a theoretical justification for exploring the layer-wise low-dimensional structure in", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 170, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 170, + 505, + 182 + ], + "score": 1.0, + "content": "the literature. On the other hand, we summarize all weights of a network into one single tensor, akin", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 180, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 505, + 194 + ], + "score": 1.0, + "content": "to Kossaifi et al. (2019). But our summarized tensor has an explicit “nested doll” structure, where", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 191, + 435, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 435, + 205 + ], + "score": 1.0, + "content": "the weight structure of the previous layer is nested within that of the current layer.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 146, + 505, + 205 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 208, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 106, + 209, + 505, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 221 + ], + "score": 1.0, + "content": "In practice, zero-padding can be used before each convolution layer to preserve the input size. This", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 219, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 505, + 233 + ], + "score": 1.0, + "content": "is compatible with our framework, since we can propagate the padding of zeros to previous layers", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 231, + 279, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 266, + 243 + ], + "score": 1.0, + "content": "and all the way back to the input tensor", + "type": "text" + }, + { + "bbox": [ + 266, + 231, + 275, + 240 + ], + "score": 0.73, + "content": "\\boldsymbol { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 231, + 279, + 243 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 209, + 505, + 243 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 257, + 233, + 270 + ], + "lines": [ + { + "bbox": [ + 104, + 256, + 234, + 273 + ], + "spans": [ + { + "bbox": [ + 104, + 256, + 234, + 273 + ], + "score": 1.0, + "content": "3 COMPRESSED CNNS", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 281, + 505, + 338 + ], + "lines": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "score": 1.0, + "content": "For a high-order input, a deep CNN with a larger number of kernels may involve heavy computation,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 292, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 505, + 306 + ], + "score": 1.0, + "content": "which renders its training difficult for portable devices with limited resources. In real applications,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 304, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 304, + 506, + 318 + ], + "score": 1.0, + "content": "many compressed CNN block designs have been proposed to improve the efficiency, and most of", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 314, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 505, + 328 + ], + "score": 1.0, + "content": "them are based on either matrix factorization or tensor decomposition; see Lebedev et al. (2015);", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 325, + 360, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 360, + 338 + ], + "score": 1.0, + "content": "Kim et al. (2016); Astrid & Lee (2017); Kossaifi et al. (2020b).", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 281, + 506, + 338 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 342, + 505, + 388 + ], + "lines": [ + { + "bbox": [ + 105, + 342, + 505, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 355 + ], + "score": 1.0, + "content": "Tucker decomposition can be used to compress CNNs, which is same as introducing a multilayer", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 352, + 504, + 366 + ], + "spans": [ + { + "bbox": [ + 104, + 352, + 421, + 366 + ], + "score": 1.0, + "content": "CNN block; see Figure 3 in Kim et al. (2016). Specifically, we stack the kernels", + "type": "text" + }, + { + "bbox": [ + 422, + 353, + 504, + 365 + ], + "score": 0.89, + "content": "\\pmb { \\mathcal { A } } _ { k } \\in \\mathbf { \\mathbb { R } } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 103, + 360, + 507, + 380 + ], + "spans": [ + { + "bbox": [ + 103, + 360, + 127, + 380 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 365, + 175, + 376 + ], + "score": 0.94, + "content": "1 \\leq k \\leq K", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 360, + 280, + 380 + ], + "score": 1.0, + "content": "into a higher order tensor", + "type": "text" + }, + { + "bbox": [ + 280, + 364, + 389, + 376 + ], + "score": 0.91, + "content": "\\mathcal { A } _ { \\mathrm { s t a c k } } ^ { \\mathrm { ~ ~ } } \\in \\mathbb { R } ^ { l _ { 1 } ^ { \\circ } \\times l _ { 2 } \\times \\cdots \\times l _ { N } \\times K }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 360, + 460, + 380 + ], + "score": 1.0, + "content": ", and assume that", + "type": "text" + }, + { + "bbox": [ + 460, + 365, + 488, + 376 + ], + "score": 0.88, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 360, + 507, + 380 + ], + "score": 1.0, + "content": "has", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 375, + 329, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 172, + 389 + ], + "score": 1.0, + "content": "Tucker ranks of", + "type": "text" + }, + { + "bbox": [ + 172, + 376, + 277, + 388 + ], + "score": 0.9, + "content": "( R _ { 1 } , R _ { 2 } , \\cdot \\cdot \\cdot , R _ { N } , R _ { N + 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 375, + 329, + 389 + ], + "score": 1.0, + "content": ". As a result,", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5, + "bbox_fs": [ + 103, + 342, + 507, + 389 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 202, + 390, + 408, + 405 + ], + "lines": [ + { + "bbox": [ + 202, + 390, + 408, + 405 + ], + "spans": [ + { + "bbox": [ + 202, + 390, + 408, + 405 + ], + "score": 0.88, + "content": "\\pmb { \\mathcal { A } } _ { \\mathrm { s t a c k } } = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\cdots \\times _ { N + 1 } \\pmb { H } ^ { ( N + 1 ) } ,", + "type": "interline_equation", + "image_path": "2e4449a335278e7ddf4c328be2cf8c44a46f529e48bd778b2d9f274a08039cd7.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 202, + 390, + 408, + 405 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 406, + 506, + 537 + ], + "lines": [ + { + "bbox": [ + 104, + 405, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 104, + 405, + 133, + 422 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 407, + 232, + 419 + ], + "score": 0.92, + "content": "\\mathfrak { G } \\in \\mathbb { R } ^ { R _ { 1 } \\times \\cdots \\times R _ { N } \\times R _ { N + 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 405, + 326, + 422 + ], + "score": 1.0, + "content": "is the core tensor, and", + "type": "text" + }, + { + "bbox": [ + 326, + 407, + 391, + 419 + ], + "score": 0.92, + "content": "\\pmb { H } ^ { ( j ) } \\in \\mathbb { R } ^ { l _ { j } \\times R _ { j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 405, + 486, + 422 + ], + "score": 1.0, + "content": "are factor matrices for", + "type": "text" + }, + { + "bbox": [ + 486, + 408, + 505, + 420 + ], + "score": 0.83, + "content": "1 \\leq", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 418, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 107, + 420, + 158, + 431 + ], + "score": 0.91, + "content": "j \\ \\leq \\ N + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 418, + 506, + 433 + ], + "score": 1.0, + "content": ". From Section 2, to train such a compressed CNN block with linear activations is", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 356, + 442 + ], + "score": 1.0, + "content": "equivalent to search for the least-square estimators at (6) with", + "type": "text" + }, + { + "bbox": [ + 356, + 431, + 384, + 442 + ], + "score": 0.91, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "being constrained to have the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 221, + 439, + 507, + 482 + ], + "spans": [ + { + "bbox": [ + 221, + 439, + 256, + 482 + ], + "score": 1.0, + "content": "ators by , and the", + "type": "text" + }, + { + "bbox": [ + 256, + 441, + 343, + 459 + ], + "score": 0.93, + "content": "\\{ \\widehat { \\pmb { \\mathscr { B } } } _ { k } ^ { \\mathrm { T U } } , \\widehat { \\pmb { A } } _ { k } ^ { \\mathrm { T U } } \\} _ { 1 \\leq k \\leq K } .", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 439, + 507, + 482 + ], + "score": 1.0, + "content": "f.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 457, + 502, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 221, + 474 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathrm { T U } } = \\sum _ { k = 1 } ^ { K } \\widehat { \\pmb { \\mathscr { B } } } _ { k } ^ { \\mathrm { T U } } \\otimes \\widehat { \\pmb { A } } _ { k } ^ { \\mathrm { T U } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 459, + 502, + 475 + ], + "score": 0.93, + "content": "\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { T U } } = \\prod _ { j = 1 } ^ { N + 1 } R _ { j } + \\sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P } \\end{array}", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 479, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 505, + 491 + ], + "score": 1.0, + "content": "CP decomposition is more popular in compressing CNNs; see Kossaifi et al. (2020b); Lebedev", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 489, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 104, + 489, + 190, + 510 + ], + "score": 1.0, + "content": "et al. (2015); Astrid", + "type": "text" + }, + { + "bbox": [ + 191, + 496, + 200, + 505 + ], + "score": 0.25, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 489, + 271, + 510 + ], + "score": 1.0, + "content": "Lee (2017). Let", + "type": "text" + }, + { + "bbox": [ + 271, + 490, + 356, + 508 + ], + "score": 0.93, + "content": "\\{ \\hat { \\mathfrak { B } } _ { k } ^ { \\mathrm { \\bar { C P } } } , \\hat { \\mathcal { A } } _ { k } ^ { \\bar { \\mathrm { C P } } } \\} _ { 1 \\leq k \\leq K }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 489, + 506, + 510 + ], + "score": 1.0, + "content": "be the least-square estimators at (6)", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 506, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 127, + 523 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 509, + 155, + 520 + ], + "score": 0.88, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 508, + 332, + 523 + ], + "score": 1.0, + "content": "having a CP decomposition with a rank of", + "type": "text" + }, + { + "bbox": [ + 332, + 510, + 341, + 519 + ], + "score": 0.78, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 508, + 468, + 523 + ], + "score": 1.0, + "content": ". Then, the trained weights are", + "type": "text" + }, + { + "bbox": [ + 468, + 506, + 505, + 521 + ], + "score": 0.93, + "content": "\\widehat { \\sf w } _ { \\mathrm { C P } } =", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 515, + 448, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 187, + 538 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\sum _ { k = 1 } ^ { K } \\widehat { \\mathbf { B } } _ { k } ^ { \\mathrm { C P } } \\otimes \\widehat { \\mathbf { A } } _ { k } ^ { \\mathrm { C P } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 515, + 307, + 543 + ], + "score": 1.0, + "content": ", and the model complexity is", + "type": "text" + }, + { + "bbox": [ + 307, + 522, + 442, + 537 + ], + "score": 0.92, + "content": "\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { C P } } = R ^ { N + 1 } + R ( \\sum _ { i = 1 } ^ { N } l _ { i } + P ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 515, + 448, + 543 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28, + "bbox_fs": [ + 104, + 405, + 507, + 543 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 578 + ], + "lines": [ + { + "bbox": [ + 105, + 538, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 267, + 555 + ], + "score": 1.0, + "content": "Theorem 2 (Compressed CNN). Let", + "type": "text" + }, + { + "bbox": [ + 267, + 538, + 306, + 554 + ], + "score": 0.92, + "content": "( \\widehat { \\mathcal { W } } , d _ { \\mathcal { M } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 538, + 324, + 555 + ], + "score": 1.0, + "content": "be", + "type": "text" + }, + { + "bbox": [ + 324, + 538, + 377, + 554 + ], + "score": 0.91, + "content": "( \\widehat { \\sf w } _ { \\mathrm { T U } } , d _ { \\mathcal { M } } ^ { \\mathrm { T U } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 538, + 506, + 555 + ], + "score": 1.0, + "content": "for Tucker decomposition, or", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 551, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 107, + 552, + 159, + 568 + ], + "score": 0.93, + "content": "( \\widehat { \\sf w } _ { \\mathrm { C P } } , d _ { \\mathcal { M } } ^ { \\mathrm { C P } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 551, + 174, + 571 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 175, + 555, + 189, + 566 + ], + "score": 0.49, + "content": "C P", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 551, + 412, + 571 + ], + "score": 1.0, + "content": "decomposition. Suppose that Assumptions 1-3 hold and", + "type": "text" + }, + { + "bbox": [ + 413, + 554, + 501, + 568 + ], + "score": 0.92, + "content": "n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } c _ { N } d _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 551, + 506, + 571 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 564, + 132, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 132, + 580 + ], + "score": 1.0, + "content": "Then,", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 538, + 506, + 580 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 127, + 578, + 482, + 612 + ], + "lines": [ + { + "bbox": [ + 127, + 578, + 482, + 612 + ], + "spans": [ + { + "bbox": [ + 127, + 578, + 482, + 612 + ], + "score": 0.84, + "content": "\\| \\widehat { \\pmb { w } } - \\pmb { w } ^ { * } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\ a n d , \\quad \\pmb { \\mathcal { E } } ( \\widehat { \\pmb { w } } ) \\leq \\sqrt { \\kappa _ { U } } \\| \\widehat { \\pmb { w } } - \\pmb { w } ^ { * } \\| _ { \\mathrm { F } }", + "type": "interline_equation", + "image_path": "fb187e2961257565548b057427fa52ba9f26b8b37704d0800ef004da904400fd.jpg" + } + ] + } + ], + "index": 37, + "virtual_lines": [ + { + "bbox": [ + 127, + 578, + 482, + 589.3333333333334 + ], + "spans": [], + "index": 36 + }, + { + "bbox": [ + 127, + 589.3333333333334, + 482, + 600.6666666666667 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 127, + 600.6666666666667, + 482, + 612.0000000000001 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 614, + 504, + 640 + ], + "lines": [ + { + "bbox": [ + 105, + 612, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 172, + 629 + ], + "score": 1.0, + "content": "with probability", + "type": "text" + }, + { + "bbox": [ + 172, + 615, + 428, + 627 + ], + "score": 0.84, + "content": "\\begin{array} { r } { 1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n - 3 c _ { N } d _ { \\mathcal { M } } ] \\} - \\exp \\{ - d _ { \\mathcal { M } } - 8 \\delta \\} , } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 612, + 457, + 629 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 457, + 615, + 501, + 627 + ], + "score": 0.92, + "content": "\\delta = O _ { p } ( 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 612, + 505, + 629 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 625, + 472, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 204, + 639 + ], + "score": 0.85, + "content": "c _ { N } = 2 ^ { N + 1 } \\log ( N + 2 )", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 625, + 207, + 641 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 208, + 628, + 220, + 639 + ], + "score": 0.73, + "content": "c _ { \\mathrm { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 625, + 312, + 641 + ], + "score": 1.0, + "content": "is a positive value and", + "type": "text" + }, + { + "bbox": [ + 313, + 629, + 365, + 639 + ], + "score": 0.8, + "content": "\\alpha _ { \\mathrm { R S C } } , \\alpha _ { \\mathrm { R S M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 625, + 461, + 641 + ], + "score": 1.0, + "content": "are defined in Theorem", + "type": "text" + }, + { + "bbox": [ + 461, + 628, + 466, + 637 + ], + "score": 0.55, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 625, + 472, + 641 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 612, + 505, + 641 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 646, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 105, + 646, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 505, + 660 + ], + "score": 1.0, + "content": "Theorem 2 shows that, as expected, the sample complexity is proportional to the model complexity.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "score": 1.0, + "content": "Compared to Theorem 1, we see that the sample complexity of the compressed CNN depends on", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 663, + 510, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 140, + 683 + ], + "score": 0.91, + "content": "\\textstyle \\sum _ { i = 1 } ^ { N } l _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 663, + 185, + 694 + ], + "score": 1.0, + "content": "instead of large num", + "type": "text" + }, + { + "bbox": [ + 185, + 669, + 217, + 684 + ], + "score": 0.93, + "content": "\\textstyle \\prod _ { i = 1 } ^ { N } l _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 663, + 335, + 694 + ], + "score": 1.0, + "content": ". When the input dimension arameters.", + "type": "text" + }, + { + "bbox": [ + 335, + 671, + 346, + 681 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 663, + 510, + 694 + ], + "score": 1.0, + "content": "is large, compressed CNN can indeed", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 646, + 510, + 694 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 698, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 104, + 696, + 504, + 713 + ], + "spans": [ + { + "bbox": [ + 104, + 696, + 477, + 713 + ], + "score": 1.0, + "content": "However, we notice that the sample complexity of a compressed CNN depends on the rank", + "type": "text" + }, + { + "bbox": [ + 477, + 699, + 504, + 711 + ], + "score": 0.91, + "content": "R _ { N + 1 }", + "type": "inline_equation" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 117, + 722 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 118, + 710, + 126, + 720 + ], + "score": 0.78, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 709, + 266, + 722 + ], + "score": 1.0, + "content": ", rather than the number of kernels", + "type": "text" + }, + { + "bbox": [ + 267, + 710, + 277, + 720 + ], + "score": 0.82, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 709, + 506, + 722 + ], + "score": 1.0, + "content": ". This differs from the naive parameter counting, and we", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 721, + 472, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 472, + 732 + ], + "score": 1.0, + "content": "hence provide the rationale behind this counter-intuitive observation in the corollary below.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 45, + "bbox_fs": [ + 104, + 696, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 185, + 95 + ], + "score": 1.0, + "content": "Corollary 1. (a) If", + "type": "text" + }, + { + "bbox": [ + 185, + 83, + 195, + 93 + ], + "score": 0.42, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 82, + 378, + 95 + ], + "score": 1.0, + "content": "has a Tucker decomposition with the ranks of", + "type": "text" + }, + { + "bbox": [ + 378, + 82, + 464, + 94 + ], + "score": 0.89, + "content": "( R _ { 1 } , R _ { 2 } , \\cdot \\cdot \\cdot , R _ { N + 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 82, + 505, + 95 + ], + "score": 1.0, + "content": ", the CNN", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 92, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 208, + 106 + ], + "score": 1.0, + "content": "is equivalent to one with", + "type": "text" + }, + { + "bbox": [ + 208, + 94, + 234, + 105 + ], + "score": 0.91, + "content": "R _ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 92, + 336, + 106 + ], + "score": 1.0, + "content": "kernels, and each kernel", + "type": "text" + }, + { + "bbox": [ + 337, + 94, + 351, + 105 + ], + "score": 0.88, + "content": "\\mathbf { \\mathcal { A } } _ { r }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 92, + 382, + 106 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 382, + 95, + 447, + 105 + ], + "score": 0.9, + "content": "1 \\le r \\le R _ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 92, + 505, + 106 + ], + "score": 1.0, + "content": ", has a Tucker", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 224, + 117 + ], + "score": 1.0, + "content": "decomposition with ranks of", + "type": "text" + }, + { + "bbox": [ + 224, + 105, + 300, + 116 + ], + "score": 0.91, + "content": "( R _ { 1 } , R _ { 2 } , \\cdots , R _ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 104, + 477, + 117 + ], + "score": 1.0, + "content": ". 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Corollary 1 essentially states that when", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 107, + 169, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 107, + 169, + 147, + 181 + ], + "score": 0.92, + "content": "K / \\bar { R } > 1", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 169, + 505, + 181 + ], + "score": 1.0, + "content": ", there exists model redundancy in the CNN model with linear activations. In other words,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 180, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 330, + 192 + ], + "score": 1.0, + "content": "we can obtain a more compressed network by setting", + "type": "text" + }, + { + "bbox": [ + 330, + 180, + 366, + 190 + ], + "score": 0.91, + "content": "K = R", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 181, + 505, + 192 + ], + "score": 1.0, + "content": "such that it has the same sample", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 191, + 505, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 253, + 203 + ], + "score": 1.0, + "content": "complexity as the previous one. The", + "type": "text" + }, + { + "bbox": [ + 253, + 191, + 276, + 203 + ], + "score": 0.91, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 191, + 505, + 203 + ], + "score": 1.0, + "content": "ratio appears in various block designs; see Figure 2. And", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 201, + 337, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 337, + 216 + ], + "score": 1.0, + "content": "we can use this finding to evaluate their model efficiency.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 218, + 505, + 263 + ], + "lines": [ + { + "bbox": [ + 105, + 218, + 505, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 505, + 231 + ], + "score": 1.0, + "content": "(T1) Standard bottleneck block. The basic building block in ResNet (He et al., 2016) can be", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 227, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 104, + 227, + 299, + 244 + ], + "score": 1.0, + "content": "exactly replicated by a Tucker decomposition on", + "type": "text" + }, + { + "bbox": [ + 299, + 229, + 392, + 241 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } } \\mathbf { \\Psi } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times C \\times K }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 227, + 449, + 244 + ], + "score": 1.0, + "content": ", with ranks of", + "type": "text" + }, + { + "bbox": [ + 450, + 230, + 501, + 242 + ], + "score": 0.92, + "content": "( l _ { 1 } , l _ { 2 } , R , R )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 227, + 506, + 244 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 241, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 133, + 253 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 241, + 143, + 251 + ], + "score": 0.82, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 241, + 505, + 253 + ], + "score": 1.0, + "content": "is the number of input channels (Kossaifi et al., 2020b). 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As a straightforward revision on a standard bottleneck block, the funnel block", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 253, + 292 + ], + "score": 1.0, + "content": "maintains an output channel size of", + "type": "text" + }, + { + "bbox": [ + 254, + 280, + 287, + 290 + ], + "score": 0.89, + "content": "K = R", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 279, + 505, + 292 + ], + "score": 1.0, + "content": ". This is hence an efficient block design. 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This block is the basic module in MobileNetV1 (Howard et al.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 318, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 505, + 332 + ], + "score": 1.0, + "content": "2017) with a pair of depthwise and pointwise separable convolution layers. It is equivalent to as-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 103, + 327, + 507, + 344 + ], + "spans": [ + { + "bbox": [ + 103, + 327, + 235, + 344 + ], + "score": 1.0, + "content": "suming a CP decomposition on", + "type": "text" + }, + { + "bbox": [ + 235, + 329, + 329, + 341 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times C \\times K }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 327, + 398, + 344 + ], + "score": 1.0, + "content": "with the rank of", + "type": "text" + }, + { + "bbox": [ + 398, + 330, + 407, + 340 + ], + "score": 0.83, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 327, + 507, + 344 + ], + "score": 1.0, + "content": "(Kossaifi et al., 2020b).", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 124, + 354 + ], + "score": 1.0, + "content": "The", + "type": "text" + }, + { + "bbox": [ + 125, + 341, + 149, + 351 + ], + "score": 0.9, + "content": "1 \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 340, + 402, + 354 + ], + "score": 1.0, + "content": "pointwise convolution expands the numbers of channels from", + "type": "text" + }, + { + "bbox": [ + 402, + 341, + 411, + 351 + ], + "score": 0.81, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 340, + 423, + 354 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 423, + 341, + 433, + 351 + ], + "score": 0.77, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 340, + 466, + 354 + ], + "score": 1.0, + "content": ". When", + "type": "text" + }, + { + "bbox": [ + 466, + 341, + 501, + 351 + ], + "score": 0.89, + "content": "K \\gg C", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 340, + 505, + 354 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 351, + 371, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 371, + 365 + ], + "score": 1.0, + "content": "this design is parameter inefficient from a computation viewpoint.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 368, + 505, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "(C2) Inverted residual block. Sandler et al. (2018) later proposed this design in MobileNetV2. It", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 450, + 392 + ], + "score": 1.0, + "content": "includes expansive layers between the input and output layers, with the channel size of", + "type": "text" + }, + { + "bbox": [ + 450, + 379, + 501, + 391 + ], + "score": 0.91, + "content": "x \\cdot C ( x \\geq 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 379, + 505, + 392 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 133, + 403 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 392, + 140, + 400 + ], + "score": 0.75, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "represents the expansion factor. As discussed by Kossaifi et al. (2020b), it can heuristically", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 257, + 415 + ], + "score": 1.0, + "content": "correspond to a CP decomposition on", + "type": "text" + }, + { + "bbox": [ + 257, + 402, + 286, + 412 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { A } } _ { s t a c k }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 401, + 381, + 415 + ], + "score": 1.0, + "content": ", with CP rank equals to", + "type": "text" + }, + { + "bbox": [ + 382, + 402, + 401, + 412 + ], + "score": 0.88, + "content": "x \\cdot C", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 401, + 506, + 415 + ], + "score": 1.0, + "content": ". Since, the rank of output", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 244, + 424 + ], + "score": 1.0, + "content": "channel dimension can be at most", + "type": "text" + }, + { + "bbox": [ + 244, + 413, + 266, + 423 + ], + "score": 0.89, + "content": "x \\cdot C", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 412, + 311, + 424 + ], + "score": 1.0, + "content": ", as long as", + "type": "text" + }, + { + "bbox": [ + 312, + 412, + 356, + 423 + ], + "score": 0.92, + "content": "K \\leq x \\cdot C", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "holds, it is theoretically efficient and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 423, + 343, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 343, + 436 + ], + "score": 1.0, + "content": "provides leeway for exploring thicker layers within blocks.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 107, + 440, + 505, + 496 + ], + "lines": [ + { + "bbox": [ + 106, + 440, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 505, + 453 + ], + "score": 1.0, + "content": "With nonlinear activations, the model redundancy may bring some benefit. Such benefit is often not", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 450, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 202, + 465 + ], + "score": 1.0, + "content": "guaranteed. And when", + "type": "text" + }, + { + "bbox": [ + 203, + 451, + 239, + 462 + ], + "score": 0.91, + "content": "K \\gg R", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 450, + 505, + 465 + ], + "score": 1.0, + "content": ", it will, without a doubt, greatly hinder computational efficiency.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 462, + 504, + 474 + ], + "spans": [ + { + "bbox": [ + 107, + 462, + 504, + 474 + ], + "score": 1.0, + "content": "We will show, in our ablation studies in the next section, that under realistic settings with nonlin-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 473, + 504, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 247, + 486 + ], + "score": 1.0, + "content": "ear activations, our finding on the", + "type": "text" + }, + { + "bbox": [ + 247, + 473, + 270, + 485 + ], + "score": 0.92, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 473, + 460, + 486 + ], + "score": 1.0, + "content": "ratio still applies. Specifically, networks with", + "type": "text" + }, + { + "bbox": [ + 460, + 473, + 504, + 485 + ], + "score": 0.91, + "content": "K / R = 1", + "type": "inline_equation" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 483, + 503, + 496 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 319, + 496 + ], + "score": 1.0, + "content": "maintains comparable performance as networks with", + "type": "text" + }, + { + "bbox": [ + 320, + 484, + 360, + 496 + ], + "score": 0.92, + "content": "K / R > 1", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 483, + 503, + 496 + ], + "score": 1.0, + "content": ", while using much less parameters.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31 + }, + { + "type": "title", + "bbox": [ + 108, + 511, + 200, + 524 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 201, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 201, + 526 + ], + "score": 1.0, + "content": "4 EXPERIMENTS", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 537, + 504, + 559 + ], + "lines": [ + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "score": 1.0, + "content": "This section first verifies the theoretical results with synthetic datasets, and then conducts ablation", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 547, + 453, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 402, + 560 + ], + "score": 1.0, + "content": "studies on the bottleneck blocks in ResNet (He et al., 2016) with different", + "type": "text" + }, + { + "bbox": [ + 403, + 547, + 425, + 560 + ], + "score": 0.91, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 547, + 453, + 560 + ], + "score": 1.0, + "content": "ratios.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5 + }, + { + "type": "title", + "bbox": [ + 106, + 573, + 352, + 584 + ], + "lines": [ + { + "bbox": [ + 106, + 573, + 352, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 352, + 585 + ], + "score": 1.0, + "content": "4.1 NUMERICAL ANALYSIS FOR THEORETICAL RESULTS", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 106, + 593, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 106, + 593, + 504, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 504, + 606 + ], + "score": 1.0, + "content": "We choose four settings to verify the sample complexity in Theorem 1; see Table 1. The parame-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 601, + 507, + 620 + ], + "spans": [ + { + "bbox": [ + 104, + 601, + 151, + 620 + ], + "score": 1.0, + "content": "ter tensors", + "type": "text" + }, + { + "bbox": [ + 151, + 604, + 209, + 617 + ], + "score": 0.94, + "content": "\\{ \\mathcal { A } _ { k } , \\mathbf { \\mathcal { B } } _ { k } \\} _ { k = 1 } ^ { \\tilde { K } }", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 601, + 507, + 620 + ], + "score": 1.0, + "content": "are generated to have standard normal entries. 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The last layer", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 718, + 473, + 731 + ], + "spans": [ + { + "bbox": [ + 106, + 718, + 473, + 731 + ], + "score": 1.0, + "content": "indicates the output of the block. The dashed layer represents the ”bottleneck” of the block.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43.5 + } + ], + "index": 42.25 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 307, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 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": "text", + "bbox": [ + 106, + 82, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 185, + 95 + ], + "score": 1.0, + "content": "Corollary 1. (a) If", + "type": "text" + }, + { + "bbox": [ + 185, + 83, + 195, + 93 + ], + "score": 0.42, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 82, + 378, + 95 + ], + "score": 1.0, + "content": "has a Tucker decomposition with the ranks of", + "type": "text" + }, + { + "bbox": [ + 378, + 82, + 464, + 94 + ], + "score": 0.89, + "content": "( R _ { 1 } , R _ { 2 } , \\cdot \\cdot \\cdot , R _ { N + 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 82, + 505, + 95 + ], + "score": 1.0, + "content": ", the CNN", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 92, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 208, + 106 + ], + "score": 1.0, + "content": "is equivalent to one with", + "type": "text" + }, + { + "bbox": [ + 208, + 94, + 234, + 105 + ], + "score": 0.91, + "content": "R _ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 92, + 336, + 106 + ], + "score": 1.0, + "content": "kernels, and each kernel", + "type": "text" + }, + { + "bbox": [ + 337, + 94, + 351, + 105 + ], + "score": 0.88, + "content": "\\mathbf { \\mathcal { A } } _ { r }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 92, + 382, + 106 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 382, + 95, + 447, + 105 + ], + "score": 0.9, + "content": "1 \\le r \\le R _ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 92, + 505, + 106 + ], + "score": 1.0, + "content": ", has a Tucker", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 224, + 117 + ], + "score": 1.0, + "content": "decomposition with ranks of", + "type": "text" + }, + { + "bbox": [ + 224, + 105, + 300, + 116 + ], + "score": 0.91, + "content": "( R _ { 1 } , R _ { 2 } , \\cdots , R _ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 104, + 477, + 117 + ], + "score": 1.0, + "content": ". 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Corollary 1 essentially states that when", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 107, + 169, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 107, + 169, + 147, + 181 + ], + "score": 0.92, + "content": "K / \\bar { R } > 1", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 169, + 505, + 181 + ], + "score": 1.0, + "content": ", there exists model redundancy in the CNN model with linear activations. 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The", + "type": "text" + }, + { + "bbox": [ + 253, + 191, + 276, + 203 + ], + "score": 0.91, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 191, + 505, + 203 + ], + "score": 1.0, + "content": "ratio appears in various block designs; see Figure 2. And", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 201, + 337, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 337, + 216 + ], + "score": 1.0, + "content": "we can use this finding to evaluate their model efficiency.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 147, + 505, + 216 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 218, + 505, + 263 + ], + "lines": [ + { + "bbox": [ + 105, + 218, + 505, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 505, + 231 + ], + "score": 1.0, + "content": "(T1) Standard bottleneck block. 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As shown by the ablation studies", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 252, + 429, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 183, + 264 + ], + "score": 1.0, + "content": "in Session 4, when", + "type": "text" + }, + { + "bbox": [ + 184, + 252, + 217, + 262 + ], + "score": 0.9, + "content": "K \\gg R", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 252, + 429, + 264 + ], + "score": 1.0, + "content": ", this design may not be the most parameter efficient.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5, + "bbox_fs": [ + 104, + 218, + 506, + 264 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 269, + 504, + 302 + ], + "lines": [ + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "(T2) Funnel block. As a straightforward revision on a standard bottleneck block, the funnel block", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 253, + 292 + ], + "score": 1.0, + "content": "maintains an output channel size of", + "type": "text" + }, + { + "bbox": [ + 254, + 280, + 287, + 290 + ], + "score": 0.89, + "content": "K = R", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 279, + 505, + 292 + ], + "score": 1.0, + "content": ". This is hence an efficient block design. Also, when", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 290, + 501, + 303 + ], + "spans": [ + { + "bbox": [ + 107, + 291, + 136, + 301 + ], + "score": 0.89, + "content": "R = C", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 290, + 501, + 303 + ], + "score": 1.0, + "content": ", we obtain a normalized funnel block, with the same number of input and output channels.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 269, + 505, + 303 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 307, + 505, + 363 + ], + "lines": [ + { + "bbox": [ + 105, + 307, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 505, + 321 + ], + "score": 1.0, + "content": "(C1) Depthwise separable block. This block is the basic module in MobileNetV1 (Howard et al.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 318, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 505, + 332 + ], + "score": 1.0, + "content": "2017) with a pair of depthwise and pointwise separable convolution layers. It is equivalent to as-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 103, + 327, + 507, + 344 + ], + "spans": [ + { + "bbox": [ + 103, + 327, + 235, + 344 + ], + "score": 1.0, + "content": "suming a CP decomposition on", + "type": "text" + }, + { + "bbox": [ + 235, + 329, + 329, + 341 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times C \\times K }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 327, + 398, + 344 + ], + "score": 1.0, + "content": "with the rank of", + "type": "text" + }, + { + "bbox": [ + 398, + 330, + 407, + 340 + ], + "score": 0.83, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 327, + 507, + 344 + ], + "score": 1.0, + "content": "(Kossaifi et al., 2020b).", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 124, + 354 + ], + "score": 1.0, + "content": "The", + "type": "text" + }, + { + "bbox": [ + 125, + 341, + 149, + 351 + ], + "score": 0.9, + "content": "1 \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 340, + 402, + 354 + ], + "score": 1.0, + "content": "pointwise convolution expands the numbers of channels from", + "type": "text" + }, + { + "bbox": [ + 402, + 341, + 411, + 351 + ], + "score": 0.81, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 340, + 423, + 354 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 423, + 341, + 433, + 351 + ], + "score": 0.77, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 340, + 466, + 354 + ], + "score": 1.0, + "content": ". When", + "type": "text" + }, + { + "bbox": [ + 466, + 341, + 501, + 351 + ], + "score": 0.89, + "content": "K \\gg C", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 340, + 505, + 354 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 351, + 371, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 371, + 365 + ], + "score": 1.0, + "content": "this design is parameter inefficient from a computation viewpoint.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20, + "bbox_fs": [ + 103, + 307, + 507, + 365 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 368, + 505, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "(C2) Inverted residual block. Sandler et al. (2018) later proposed this design in MobileNetV2. It", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 450, + 392 + ], + "score": 1.0, + "content": "includes expansive layers between the input and output layers, with the channel size of", + "type": "text" + }, + { + "bbox": [ + 450, + 379, + 501, + 391 + ], + "score": 0.91, + "content": "x \\cdot C ( x \\geq 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 379, + 505, + 392 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 133, + 403 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 392, + 140, + 400 + ], + "score": 0.75, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "represents the expansion factor. As discussed by Kossaifi et al. 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Since, the rank of output", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 244, + 424 + ], + "score": 1.0, + "content": "channel dimension can be at most", + "type": "text" + }, + { + "bbox": [ + 244, + 413, + 266, + 423 + ], + "score": 0.89, + "content": "x \\cdot C", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 412, + 311, + 424 + ], + "score": 1.0, + "content": ", as long as", + "type": "text" + }, + { + "bbox": [ + 312, + 412, + 356, + 423 + ], + "score": 0.92, + "content": "K \\leq x \\cdot C", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "holds, it is theoretically efficient and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 423, + 343, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 343, + 436 + ], + "score": 1.0, + "content": "provides leeway for exploring thicker layers within blocks.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 367, + 506, + 436 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 440, + 505, + 496 + ], + "lines": [ + { + "bbox": [ + 106, + 440, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 505, + 453 + ], + "score": 1.0, + "content": "With nonlinear activations, the model redundancy may bring some benefit. Such benefit is often not", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 450, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 202, + 465 + ], + "score": 1.0, + "content": "guaranteed. And when", + "type": "text" + }, + { + "bbox": [ + 203, + 451, + 239, + 462 + ], + "score": 0.91, + "content": "K \\gg R", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 450, + 505, + 465 + ], + "score": 1.0, + "content": ", it will, without a doubt, greatly hinder computational efficiency.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 462, + 504, + 474 + ], + "spans": [ + { + "bbox": [ + 107, + 462, + 504, + 474 + ], + "score": 1.0, + "content": "We will show, in our ablation studies in the next section, that under realistic settings with nonlin-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 473, + 504, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 247, + 486 + ], + "score": 1.0, + "content": "ear activations, our finding on the", + "type": "text" + }, + { + "bbox": [ + 247, + 473, + 270, + 485 + ], + "score": 0.92, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 473, + 460, + 486 + ], + "score": 1.0, + "content": "ratio still applies. Specifically, networks with", + "type": "text" + }, + { + "bbox": [ + 460, + 473, + 504, + 485 + ], + "score": 0.91, + "content": "K / R = 1", + "type": "inline_equation" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 483, + 503, + 496 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 319, + 496 + ], + "score": 1.0, + "content": "maintains comparable performance as networks with", + "type": "text" + }, + { + "bbox": [ + 320, + 484, + 360, + 496 + ], + "score": 0.92, + "content": "K / R > 1", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 483, + 503, + 496 + ], + "score": 1.0, + "content": ", while using much less parameters.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 440, + 505, + 496 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 511, + 200, + 524 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 201, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 201, + 526 + ], + "score": 1.0, + "content": "4 EXPERIMENTS", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 537, + 504, + 559 + ], + "lines": [ + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "score": 1.0, + "content": "This section first verifies the theoretical results with synthetic datasets, and then conducts ablation", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 547, + 453, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 402, + 560 + ], + "score": 1.0, + "content": "studies on the bottleneck blocks in ResNet (He et al., 2016) with different", + "type": "text" + }, + { + "bbox": [ + 403, + 547, + 425, + 560 + ], + "score": 0.91, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 547, + 453, + 560 + ], + "score": 1.0, + "content": "ratios.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 536, + 505, + 560 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 573, + 352, + 584 + ], + "lines": [ + { + "bbox": [ + 106, + 573, + 352, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 352, + 585 + ], + "score": 1.0, + "content": "4.1 NUMERICAL ANALYSIS FOR THEORETICAL RESULTS", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 106, + 593, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 106, + 593, + 504, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 504, + 606 + ], + "score": 1.0, + "content": "We choose four settings to verify the sample complexity in Theorem 1; see Table 1. The parame-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 601, + 507, + 620 + ], + "spans": [ + { + "bbox": [ + 104, + 601, + 151, + 620 + ], + "score": 1.0, + "content": "ter tensors", + "type": "text" + }, + { + "bbox": [ + 151, + 604, + 209, + 617 + ], + "score": 0.94, + "content": "\\{ \\mathcal { A } _ { k } , \\mathbf { \\mathcal { B } } _ { k } \\} _ { k = 1 } ^ { \\tilde { K } }", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 601, + 507, + 620 + ], + "score": 1.0, + "content": "are generated to have standard normal entries. We consider two types of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "score": 1.0, + "content": "inputs: the independent inputs are generated with entries being standard normal random variables,", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 262, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 231, + 276 + ], + "score": 1.0, + "content": "and the time-dependent inputs", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 231, + 263, + 252, + 275 + ], + "score": 0.92, + "content": "\\{ \\boldsymbol { x } ^ { i } \\}", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 253, + 262, + 505, + 276 + ], + "score": 1.0, + "content": "are generated from a stationary VAR(1) process. The random", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 274, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 274, + 505, + 286 + ], + "score": 1.0, + "content": "additive noises are generated from the standard normal distribution. The number of training samples", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 285, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 114, + 297 + ], + "score": 0.67, + "content": "n", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 114, + 286, + 181, + 299 + ], + "score": 1.0, + "content": "varies such that", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 182, + 285, + 218, + 299 + ], + "score": 0.94, + "content": "\\sqrt { d _ { \\mathcal { M } } / n }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 219, + 286, + 505, + 299 + ], + "score": 1.0, + "content": "is equally spaced in the interval [0.15, 0.60], with all other parameters", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 297, + 504, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 169, + 310 + ], + "score": 1.0, + "content": "fixed. 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The last layer", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 718, + 473, + 731 + ], + "spans": [ + { + "bbox": [ + 106, + 718, + 473, + 731 + ], + "score": 1.0, + "content": "indicates the output of the block. 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Input sizesKernel sizesPooling sizes#KernelsInput sizesKernel sizesPooling sizesTucker ranks#Kernels
Setting 1 (S1)(7,5,7)(2,2,2)(3,2,3)1(10,10,8,3)(5,5,3)(3,3,3)(2,2,2,1)2
Setting 2(S2)(7,5,7)(2,2,2)(3,2,3)3(10,10,8,3)(5,5,3)(3,3,3)(2,2,2,1)3
Setting 3 (S3)(8,8,3)(3,3,3)(3,3,1)1(12,12,6,3)(7,7,3)(3,3,2)(2,3,2,1)2
Setting 4 (S4)(8,8,3)(3,3,3)(3,3,1)3(12,12,6,3)(7,7,3)(3,3,2)(2,3,2,1)3
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(3) is the experiment results for Tucker CNN in Theorem 2.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + } + ], + "index": 6.25 + }, + { + "type": "text", + "bbox": [ + 106, + 252, + 505, + 331 + ], + "lines": [ + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "score": 1.0, + "content": "inputs: the independent inputs are generated with entries being standard normal random variables,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 262, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 231, + 276 + ], + "score": 1.0, + "content": "and the time-dependent inputs", + "type": "text" + }, + { + "bbox": [ + 231, + 263, + 252, + 275 + ], + "score": 0.92, + "content": "\\{ \\boldsymbol { x } ^ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 262, + 505, + 276 + ], + "score": 1.0, + "content": "are generated from a stationary VAR(1) process. 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The procedure is deemed to have reached convergence", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 427, + 291, + 441 + ], + "spans": [ + { + "bbox": [ + 104, + 427, + 264, + 441 + ], + "score": 1.0, + "content": "if the target function drops by less than", + "type": "text" + }, + { + "bbox": [ + 265, + 428, + 286, + 438 + ], + "score": 0.9, + "content": "1 0 ^ { - 8 }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 427, + 291, + 441 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 107, + 454, + 435, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 454, + 437, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 437, + 466 + ], + "score": 1.0, + "content": "4.2 ABLATION STUDIES ON COMPUTATIONALLY-EFFICIENT BLOCK DESIGNS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 474, + 505, + 563 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 306, + 487 + ], + "score": 1.0, + "content": "Following the notation in Section 3, we denote by", + "type": "text" + }, + { + "bbox": [ + 307, + 475, + 317, + 484 + ], + "score": 0.77, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 474, + 505, + 487 + ], + "score": 1.0, + "content": ", the number of output channels of a bottleneck", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 485, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 163, + 498 + ], + "score": 1.0, + "content": "block, and by", + "type": "text" + }, + { + "bbox": [ + 163, + 486, + 172, + 495 + ], + "score": 0.78, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 485, + 250, + 498 + ], + "score": 1.0, + "content": ", the Tucker rank of", + "type": "text" + }, + { + "bbox": [ + 251, + 486, + 279, + 496 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 485, + 456, + 498 + ], + "score": 1.0, + "content": "along the output channels dimension. Since", + "type": "text" + }, + { + "bbox": [ + 456, + 486, + 487, + 496 + ], + "score": 0.91, + "content": "K \\geq R", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 485, + 506, + 498 + ], + "score": 1.0, + "content": ", we", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 119, + 509 + ], + "score": 1.0, + "content": "let", + "type": "text" + }, + { + "bbox": [ + 119, + 496, + 160, + 508 + ], + "score": 0.91, + "content": "t = K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 496, + 322, + 509 + ], + "score": 1.0, + "content": "be the expansive ratio of the block. As", + "type": "text" + }, + { + "bbox": [ + 322, + 497, + 327, + 506 + ], + "score": 0.67, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 496, + 505, + 509 + ], + "score": 1.0, + "content": "increases, the number of parameters within", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 508, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 508, + 460, + 519 + ], + "score": 1.0, + "content": "the block increases. 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Input sizesKernel sizesPooling sizes#KernelsInput sizesKernel sizesPooling sizesTucker ranks#Kernels
Setting 1 (S1)(7,5,7)(2,2,2)(3,2,3)1(10,10,8,3)(5,5,3)(3,3,3)(2,2,2,1)2
Setting 2(S2)(7,5,7)(2,2,2)(3,2,3)3(10,10,8,3)(5,5,3)(3,3,3)(2,2,2,1)3
Setting 3 (S3)(8,8,3)(3,3,3)(3,3,1)1(12,12,6,3)(7,7,3)(3,3,2)(2,3,2,1)2
Setting 4 (S4)(8,8,3)(3,3,3)(3,3,1)3(12,12,6,3)(7,7,3)(3,3,2)(2,3,2,1)3
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(3) is the experiment results for Tucker CNN in Theorem 2.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + } + ], + "index": 6.25 + }, + { + "type": "text", + "bbox": [ + 106, + 252, + 505, + 331 + ], + "lines": [], + "index": 12, + "bbox_fs": [ + 105, + 253, + 505, + 332 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 336, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 106, + 336, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 336, + 505, + 349 + ], + "score": 1.0, + "content": "For Theorem 2, we also adopt four different settings; see Table 1. Here, we consider 4D input", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 220, + 360 + ], + "score": 1.0, + "content": "tensors. 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The procedure is deemed to have reached convergence", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 427, + 291, + 441 + ], + "spans": [ + { + "bbox": [ + 104, + 427, + 264, + 441 + ], + "score": 1.0, + "content": "if the target function drops by less than", + "type": "text" + }, + { + "bbox": [ + 265, + 428, + 286, + 438 + ], + "score": 0.9, + "content": "1 0 ^ { - 8 }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 427, + 291, + 441 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22, + "bbox_fs": [ + 104, + 406, + 505, + 441 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 454, + 435, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 454, + 437, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 437, + 466 + ], + "score": 1.0, + "content": "4.2 ABLATION STUDIES ON COMPUTATIONALLY-EFFICIENT BLOCK DESIGNS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 474, + 505, + 563 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 306, + 487 + ], + "score": 1.0, + "content": "Following the notation in Section 3, we denote by", + "type": "text" + }, + { + "bbox": [ + 307, + 475, + 317, + 484 + ], + "score": 0.77, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 474, + 505, + 487 + ], + "score": 1.0, + "content": ", the number of output channels of a bottleneck", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 485, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 163, + 498 + ], + "score": 1.0, + "content": "block, and by", + "type": "text" + }, + { + "bbox": [ + 163, + 486, + 172, + 495 + ], + "score": 0.78, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 485, + 250, + 498 + ], + "score": 1.0, + "content": ", the Tucker rank of", + "type": "text" + }, + { + "bbox": [ + 251, + 486, + 279, + 496 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 485, + 456, + 498 + ], + "score": 1.0, + "content": "along the output channels dimension. Since", + "type": "text" + }, + { + "bbox": [ + 456, + 486, + 487, + 496 + ], + "score": 0.91, + "content": "K \\geq R", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 485, + 506, + 498 + ], + "score": 1.0, + "content": ", we", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 119, + 509 + ], + "score": 1.0, + "content": "let", + "type": "text" + }, + { + "bbox": [ + 119, + 496, + 160, + 508 + ], + "score": 0.91, + "content": "t = K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 496, + 322, + 509 + ], + "score": 1.0, + "content": "be the expansive ratio of the block. As", + "type": "text" + }, + { + "bbox": [ + 322, + 497, + 327, + 506 + ], + "score": 0.67, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 496, + 505, + 509 + ], + "score": 1.0, + "content": "increases, the number of parameters within", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 508, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 508, + 460, + 519 + ], + "score": 1.0, + "content": "the block increases. 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We analyze two image recognition datasets, CIFAR-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 529, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 505, + 541 + ], + "score": 1.0, + "content": "10 (Krizhevsky et al., 2009) and Street View House Numbers (SVHN) (BNetzer et al., 2011), and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 540, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 552 + ], + "score": 1.0, + "content": "an action recognition dataset, UCF101 (Soomro et al., 2012). Standard data pre-processing and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 551, + 477, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 477, + 563 + ], + "score": 1.0, + "content": "augmentation techniques are adopted to all three datasets (He et al., 2016; Hara et al., 2017).", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 474, + 506, + 563 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 568, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 106, + 568, + 505, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 505, + 580 + ], + "score": 1.0, + "content": "Network architecture. Two network architectures are considered in our study; as shown in Figure", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 579, + 504, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 479, + 590 + ], + "score": 1.0, + "content": "4. 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For CIFAR-10, it may appear that the test accuracy for", + "type": "text" + }, + { + "bbox": [ + 428, + 325, + 460, + 335 + ], + "score": 0.89, + "content": "t \\ = \\ 1 6", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 324, + 505, + 338 + ], + "score": 1.0, + "content": "is slightly", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 335, + 334, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 151, + 348 + ], + "score": 1.0, + "content": "better than", + "type": "text" + }, + { + "bbox": [ + 151, + 336, + 174, + 346 + ], + "score": 0.89, + "content": "t = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 335, + 334, + 348 + ], + "score": 1.0, + "content": "but it uses 5 times as many parameters.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 106, + 353, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 106, + 352, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 365 + ], + "score": 1.0, + "content": "Implementation details. All experiments are conducted in PyTorch and on Tesla V100-DGXS.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 362, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 104, + 362, + 505, + 378 + ], + "score": 1.0, + "content": "Following the practice in He et al. (2016), we adopt batch normalization(BN) (Ioffe & Szegedy,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "score": 1.0, + "content": "2015) right after each convolution and before the ReLU activation. For network (1), we initialize", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 384, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 104, + 384, + 479, + 399 + ], + "score": 1.0, + "content": "the weights as in He et al. (2015). We use stochastic gradient descent with weight decay", + "type": "text" + }, + { + "bbox": [ + 479, + 385, + 501, + 396 + ], + "score": 0.89, + "content": "1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 384, + 506, + 399 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 397, + 506, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 506, + 409 + ], + "score": 1.0, + "content": "momentum 0.9 and mini-batch size 128. The learning rate starts from 0.1 and is divided by 10 for", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 408, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 505, + 421 + ], + "score": 1.0, + "content": "every 100 epochs. We stop training after 300 epochs, since the training accuracy hardly changes.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 419, + 506, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 262, + 431 + ], + "score": 1.0, + "content": "The training accuracy is approximately", + "type": "text" + }, + { + "bbox": [ + 262, + 419, + 282, + 429 + ], + "score": 0.87, + "content": "93 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 419, + 356, + 431 + ], + "score": 1.0, + "content": "for CIFAR-10 and", + "type": "text" + }, + { + "bbox": [ + 356, + 419, + 376, + 429 + ], + "score": 0.87, + "content": "96 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 419, + 506, + 431 + ], + "score": 1.0, + "content": "for SVHN. We set seeds 1-5 and", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "report the worst case scenario of the test accuracy in Table 2. For network (2), we follow Hara et al.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 440, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 506, + 454 + ], + "score": 1.0, + "content": "(2018) and use the Kinetics pretrained 3D ResNet-18. The weights are fixed for the first few layers,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "and backward propagation is only applied to the added Block B layers and the fully-connected layer.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 461, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 323, + 475 + ], + "score": 1.0, + "content": "We use stochastic gradient descent with weight decay", + "type": "text" + }, + { + "bbox": [ + 324, + 462, + 345, + 473 + ], + "score": 0.9, + "content": "1 0 ^ { - 5 }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 461, + 506, + 475 + ], + "score": 1.0, + "content": ", momentum 0.9 and mini-batch size 64", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "with 16 frames per clip. The learning rate starts from 0.001 and divided by 10 for every 30 epochs.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 484, + 459, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 383, + 497 + ], + "score": 1.0, + "content": "Training is stopped after 80 epochs and top-1 clip accuracy is around", + "type": "text" + }, + { + "bbox": [ + 384, + 484, + 403, + 495 + ], + "score": 0.86, + "content": "79 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 484, + 459, + 497 + ], + "score": 1.0, + "content": "for UCF101.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20 + }, + { + "type": "title", + "bbox": [ + 108, + 520, + 285, + 533 + ], + "lines": [ + { + "bbox": [ + 105, + 519, + 288, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 288, + 536 + ], + "score": 1.0, + "content": "5 CONCLUSION AND DISCUSSION", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 550, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "Our paper proposes a unified theoretical framework that can adopt sample complexity analysis as", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "a tool to study the effective number of parameter in a tensor decomposed CNN block. The main", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 319, + 585 + ], + "score": 1.0, + "content": "practical takeaways are: (i) For a large kernel tensor", + "type": "text" + }, + { + "bbox": [ + 319, + 573, + 329, + 582 + ], + "score": 0.69, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "(Peng et al., 2017), it is always effective to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "impose low-rank structure on its input dimensions, such as height, width or time-length, etc; and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 593, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 227, + 607 + ], + "score": 1.0, + "content": "(ii) It is essential to maintain", + "type": "text" + }, + { + "bbox": [ + 227, + 594, + 270, + 606 + ], + "score": 0.92, + "content": "K / R = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 593, + 506, + 607 + ], + "score": 1.0, + "content": "for a CNN block in order to increase accuracy in a more", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 604, + 507, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 387, + 619 + ], + "score": 1.0, + "content": "parameter efficient way. In this regard, one can either choose a small", + "type": "text" + }, + { + "bbox": [ + 388, + 605, + 397, + 615 + ], + "score": 0.79, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 604, + 507, + 619 + ], + "score": 1.0, + "content": "with deeper networks or a", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 132, + 628 + ], + "score": 1.0, + "content": "larger", + "type": "text" + }, + { + "bbox": [ + 133, + 616, + 142, + 626 + ], + "score": 0.75, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 615, + 307, + 628 + ], + "score": 1.0, + "content": "with shallower networks. In fact, when", + "type": "text" + }, + { + "bbox": [ + 307, + 616, + 351, + 628 + ], + "score": 0.92, + "content": "K / R = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 615, + 505, + 628 + ], + "score": 1.0, + "content": ", the block corresponds exactly to the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 627, + 504, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 504, + 640 + ], + "score": 1.0, + "content": "“straightened” bottleneck in Zagoruyko & Komodakis (2016), who showed in their empirical study", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 637, + 500, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 180, + 651 + ], + "score": 1.0, + "content": "that by increasing", + "type": "text" + }, + { + "bbox": [ + 180, + 639, + 189, + 648 + ], + "score": 0.77, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 637, + 500, + 651 + ], + "score": 1.0, + "content": "in shallow networks, the test accuracy can indeed improve quite significantly.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "Since the low-dimensional structure at convolution layers is our focus, tensor decomposition has", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 249, + 679 + ], + "score": 1.0, + "content": "been applied to the kernel weights", + "type": "text" + }, + { + "bbox": [ + 250, + 666, + 278, + 677 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 665, + 506, + 679 + ], + "score": 1.0, + "content": "only in Section 3. 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Along the line, we can stack the fully-connected weights", + "type": "text" + }, + { + "bbox": [ + 360, + 687, + 446, + 699 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { B } } _ { k } \\in \\bar { \\mathbb { R } } ^ { p _ { 1 } \\times p _ { 2 } \\times \\cdots \\times p _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 685, + 468, + 702 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 468, + 687, + 505, + 699 + ], + "score": 0.89, + "content": "1 \\leq k \\leq", + "type": "inline_equation" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 695, + 507, + 713 + ], + "spans": [ + { + "bbox": [ + 107, + 699, + 117, + 709 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 695, + 220, + 713 + ], + "score": 1.0, + "content": "into a higher order tensor", + "type": "text" + }, + { + "bbox": [ + 221, + 698, + 334, + 710 + ], + "score": 0.89, + "content": "\\mathfrak { B } _ { \\mathrm { s t a c k } } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } \\times K }", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 695, + 507, + 713 + ], + "score": 1.0, + "content": ", and further consider a Tensor Contraction", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 709, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 721 + ], + "score": 1.0, + "content": "Layer (TCL) or Tensor Regression Layer (TRL) as in (Kossaifi et al., 2020a). Similar theoretical", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 721, + 349, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 349, + 732 + ], + "score": 1.0, + "content": "analysis can be obtained, and we leave it for future research.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 306, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "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": "image", + "bbox": [ + 109, + 78, + 506, + 180 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 78, + 506, + 180 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 78, + 506, + 180 + ], + "spans": [ + { + "bbox": [ + 109, + 78, + 506, + 180 + ], + "score": 0.888, + "type": "image", + "image_path": "8bc56d9574903ac62a265cf1407947d70929a72df2a03472b08907531a8f49a8.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 109, + 78, + 506, + 112.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 112.0, + 506, + 146.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 146.0, + 506, + 180.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 191, + 505, + 214 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 191, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 506, + 205 + ], + "score": 1.0, + "content": "Figure 4: (1) 41-layer Residual Network for CIFAR-10&SVNH. (2) 30-layer 3D Residual Network", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 202, + 464, + 215 + ], + "spans": [ + { + "bbox": [ + 106, + 202, + 185, + 215 + ], + "score": 1.0, + "content": "for UCF101. Here,", + "type": "text" + }, + { + "bbox": [ + 185, + 203, + 224, + 215 + ], + "score": 0.93, + "content": "t = K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 202, + 464, + 215 + ], + "score": 1.0, + "content": "represents the expansion ratio, and takes values of 1,4,8,16.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 107, + 242, + 505, + 298 + ], + "lines": [], + "index": 7, + "bbox_fs": [ + 105, + 243, + 505, + 299 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 303, + 504, + 347 + ], + "lines": [ + { + "bbox": [ + 105, + 303, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 505, + 315 + ], + "score": 1.0, + "content": "Results. The results in Table 2 provide empirical support for our theoretical finding. Though the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 314, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 355, + 326 + ], + "score": 1.0, + "content": "number of parameters in the network increases with larger", + "type": "text" + }, + { + "bbox": [ + 355, + 315, + 360, + 324 + ], + "score": 0.65, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 314, + 506, + 326 + ], + "score": 1.0, + "content": ", the overall test accuracy remains", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 324, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 427, + 338 + ], + "score": 1.0, + "content": "roughly comparable. For CIFAR-10, it may appear that the test accuracy for", + "type": "text" + }, + { + "bbox": [ + 428, + 325, + 460, + 335 + ], + "score": 0.89, + "content": "t \\ = \\ 1 6", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 324, + 505, + 338 + ], + "score": 1.0, + "content": "is slightly", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 335, + 334, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 151, + 348 + ], + "score": 1.0, + "content": "better than", + "type": "text" + }, + { + "bbox": [ + 151, + 336, + 174, + 346 + ], + "score": 0.89, + "content": "t = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 335, + 334, + 348 + ], + "score": 1.0, + "content": "but it uses 5 times as many parameters.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 303, + 506, + 348 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 353, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 106, + 352, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 365 + ], + "score": 1.0, + "content": "Implementation details. All experiments are conducted in PyTorch and on Tesla V100-DGXS.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 362, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 104, + 362, + 505, + 378 + ], + "score": 1.0, + "content": "Following the practice in He et al. (2016), we adopt batch normalization(BN) (Ioffe & Szegedy,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "score": 1.0, + "content": "2015) right after each convolution and before the ReLU activation. For network (1), we initialize", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 384, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 104, + 384, + 479, + 399 + ], + "score": 1.0, + "content": "the weights as in He et al. (2015). We use stochastic gradient descent with weight decay", + "type": "text" + }, + { + "bbox": [ + 479, + 385, + 501, + 396 + ], + "score": 0.89, + "content": "1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 384, + 506, + 399 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 397, + 506, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 506, + 409 + ], + "score": 1.0, + "content": "momentum 0.9 and mini-batch size 128. The learning rate starts from 0.1 and is divided by 10 for", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 408, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 505, + 421 + ], + "score": 1.0, + "content": "every 100 epochs. We stop training after 300 epochs, since the training accuracy hardly changes.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 419, + 506, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 262, + 431 + ], + "score": 1.0, + "content": "The training accuracy is approximately", + "type": "text" + }, + { + "bbox": [ + 262, + 419, + 282, + 429 + ], + "score": 0.87, + "content": "93 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 419, + 356, + 431 + ], + "score": 1.0, + "content": "for CIFAR-10 and", + "type": "text" + }, + { + "bbox": [ + 356, + 419, + 376, + 429 + ], + "score": 0.87, + "content": "96 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 419, + 506, + 431 + ], + "score": 1.0, + "content": "for SVHN. We set seeds 1-5 and", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "report the worst case scenario of the test accuracy in Table 2. For network (2), we follow Hara et al.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 440, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 506, + 454 + ], + "score": 1.0, + "content": "(2018) and use the Kinetics pretrained 3D ResNet-18. The weights are fixed for the first few layers,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "and backward propagation is only applied to the added Block B layers and the fully-connected layer.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 461, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 323, + 475 + ], + "score": 1.0, + "content": "We use stochastic gradient descent with weight decay", + "type": "text" + }, + { + "bbox": [ + 324, + 462, + 345, + 473 + ], + "score": 0.9, + "content": "1 0 ^ { - 5 }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 461, + 506, + 475 + ], + "score": 1.0, + "content": ", momentum 0.9 and mini-batch size 64", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "with 16 frames per clip. The learning rate starts from 0.001 and divided by 10 for every 30 epochs.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 484, + 459, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 383, + 497 + ], + "score": 1.0, + "content": "Training is stopped after 80 epochs and top-1 clip accuracy is around", + "type": "text" + }, + { + "bbox": [ + 384, + 484, + 403, + 495 + ], + "score": 0.86, + "content": "79 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 484, + 459, + 497 + ], + "score": 1.0, + "content": "for UCF101.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20, + "bbox_fs": [ + 104, + 352, + 506, + 497 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 520, + 285, + 533 + ], + "lines": [ + { + "bbox": [ + 105, + 519, + 288, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 288, + 536 + ], + "score": 1.0, + "content": "5 CONCLUSION AND DISCUSSION", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 550, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "Our paper proposes a unified theoretical framework that can adopt sample complexity analysis as", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "a tool to study the effective number of parameter in a tensor decomposed CNN block. The main", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 319, + 585 + ], + "score": 1.0, + "content": "practical takeaways are: (i) For a large kernel tensor", + "type": "text" + }, + { + "bbox": [ + 319, + 573, + 329, + 582 + ], + "score": 0.69, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "(Peng et al., 2017), it is always effective to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "impose low-rank structure on its input dimensions, such as height, width or time-length, etc; and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 593, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 227, + 607 + ], + "score": 1.0, + "content": "(ii) It is essential to maintain", + "type": "text" + }, + { + "bbox": [ + 227, + 594, + 270, + 606 + ], + "score": 0.92, + "content": "K / R = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 593, + 506, + 607 + ], + "score": 1.0, + "content": "for a CNN block in order to increase accuracy in a more", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 604, + 507, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 387, + 619 + ], + "score": 1.0, + "content": "parameter efficient way. In this regard, one can either choose a small", + "type": "text" + }, + { + "bbox": [ + 388, + 605, + 397, + 615 + ], + "score": 0.79, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 604, + 507, + 619 + ], + "score": 1.0, + "content": "with deeper networks or a", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 132, + 628 + ], + "score": 1.0, + "content": "larger", + "type": "text" + }, + { + "bbox": [ + 133, + 616, + 142, + 626 + ], + "score": 0.75, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 615, + 307, + 628 + ], + "score": 1.0, + "content": "with shallower networks. In fact, when", + "type": "text" + }, + { + "bbox": [ + 307, + 616, + 351, + 628 + ], + "score": 0.92, + "content": "K / R = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 615, + 505, + 628 + ], + "score": 1.0, + "content": ", the block corresponds exactly to the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 627, + 504, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 504, + 640 + ], + "score": 1.0, + "content": "“straightened” bottleneck in Zagoruyko & Komodakis (2016), who showed in their empirical study", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 637, + 500, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 180, + 651 + ], + "score": 1.0, + "content": "that by increasing", + "type": "text" + }, + { + "bbox": [ + 180, + 639, + 189, + 648 + ], + "score": 0.77, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 637, + 500, + 651 + ], + "score": 1.0, + "content": "in shallow networks, the test accuracy can indeed improve quite significantly.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 550, + 507, + 651 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "Since the low-dimensional structure at convolution layers is our focus, tensor decomposition has", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 249, + 679 + ], + "score": 1.0, + "content": "been applied to the kernel weights", + "type": "text" + }, + { + "bbox": [ + 250, + 666, + 278, + 677 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { A } } _ { \\mathrm { s t a c k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 665, + 506, + 679 + ], + "score": 1.0, + "content": "only in Section 3. Kossaifi et al. (2017) applied tensor", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "decomposition to fully-connected layers since they may contain a large number of parameters as", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 685, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 104, + 685, + 359, + 702 + ], + "score": 1.0, + "content": "well. Along the line, we can stack the fully-connected weights", + "type": "text" + }, + { + "bbox": [ + 360, + 687, + 446, + 699 + ], + "score": 0.92, + "content": "\\mathbf { \\mathcal { B } } _ { k } \\in \\bar { \\mathbb { R } } ^ { p _ { 1 } \\times p _ { 2 } \\times \\cdots \\times p _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 685, + 468, + 702 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 468, + 687, + 505, + 699 + ], + "score": 0.89, + "content": "1 \\leq k \\leq", + "type": "inline_equation" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 695, + 507, + 713 + ], + "spans": [ + { + "bbox": [ + 107, + 699, + 117, + 709 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 695, + 220, + 713 + ], + "score": 1.0, + "content": "into a higher order tensor", + "type": "text" + }, + { + "bbox": [ + 221, + 698, + 334, + 710 + ], + "score": 0.89, + "content": "\\mathfrak { B } _ { \\mathrm { s t a c k } } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } \\times K }", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 695, + 507, + 713 + ], + "score": 1.0, + "content": ", and further consider a Tensor Contraction", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 709, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 721 + ], + "score": 1.0, + "content": "Layer (TCL) or Tensor Regression Layer (TRL) as in (Kossaifi et al., 2020a). 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In the fourth section, we extend our settings to classification", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 161, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 505, + 174 + ], + "score": 1.0, + "content": "and subsequently establish theorem and corollaries for binary and multiclass classification problem.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "score": 1.0, + "content": "More implementation details and results for additional experiments are presented in the last section.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4 + }, + { + "type": "title", + "bbox": [ + 108, + 196, + 222, + 208 + ], + "lines": [ + { + "bbox": [ + 105, + 195, + 223, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 195, + 223, + 210 + ], + "score": 1.0, + "content": "A.1 CNN FORMULATION", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 216, + 505, + 286 + ], + "lines": [ + { + "bbox": [ + 104, + 213, + 505, + 231 + ], + "spans": [ + { + "bbox": [ + 104, + 213, + 182, + 231 + ], + "score": 1.0, + "content": "For a tensor input", + "type": "text" + }, + { + "bbox": [ + 182, + 216, + 252, + 227 + ], + "score": 0.91, + "content": "\\pmb { \\chi } \\in \\mathbb { R } ^ { d _ { 1 } \\times \\cdots \\times d _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 213, + 363, + 231 + ], + "score": 1.0, + "content": ", it first convolutes with an", + "type": "text" + }, + { + "bbox": [ + 363, + 218, + 374, + 227 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 213, + 483, + 231 + ], + "score": 1.0, + "content": "-dimensional kernel tensor", + "type": "text" + }, + { + "bbox": [ + 483, + 217, + 505, + 228 + ], + "score": 0.85, + "content": "\\textbf { \\mathcal { A } } \\in", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 225, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 107, + 227, + 150, + 238 + ], + "score": 0.91, + "content": "\\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 225, + 256, + 243 + ], + "score": 1.0, + "content": "with stride sizes equal to", + "type": "text" + }, + { + "bbox": [ + 257, + 230, + 267, + 239 + ], + "score": 0.84, + "content": "s _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 225, + 506, + 243 + ], + "score": 1.0, + "content": ", and then performs an average pooling with pooling sizes", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 142, + 252 + ], + "score": 1.0, + "content": "equal to", + "type": "text" + }, + { + "bbox": [ + 142, + 239, + 195, + 251 + ], + "score": 0.91, + "content": "( q _ { 1 } , \\cdots , q _ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 239, + 438, + 252 + ], + "score": 1.0, + "content": ". It ends with a fully-connected layer with the weight tensor", + "type": "text" + }, + { + "bbox": [ + 438, + 239, + 448, + 249 + ], + "score": 0.78, + "content": "\\mathfrak { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 239, + 505, + 252 + ], + "score": 1.0, + "content": "and produces", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 249, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 104, + 249, + 240, + 264 + ], + "score": 1.0, + "content": "a scalar output. We assume that", + "type": "text" + }, + { + "bbox": [ + 241, + 250, + 340, + 263 + ], + "score": 0.93, + "content": "m _ { j } = ( d _ { j } - l _ { j } ) / s _ { c } + \\bar { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 249, + 407, + 264 + ], + "score": 1.0, + "content": "are integers for", + "type": "text" + }, + { + "bbox": [ + 407, + 250, + 459, + 261 + ], + "score": 0.91, + "content": "1 \\leq j \\leq N", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 249, + 505, + 264 + ], + "score": 1.0, + "content": ", otherwise", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 101, + 255, + 510, + 281 + ], + "spans": [ + { + "bbox": [ + 101, + 255, + 415, + 281 + ], + "score": 1.0, + "content": "zero-padding will be needed. 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To begin with, we first", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 399, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 272, + 414 + ], + "score": 1.0, + "content": "illustrate the process using a vector input", + "type": "text" + }, + { + "bbox": [ + 272, + 400, + 303, + 411 + ], + "score": 0.91, + "content": "\\pmb { x } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 399, + 389, + 414 + ], + "score": 1.0, + "content": ", with a kernel vector", + "type": "text" + }, + { + "bbox": [ + 389, + 400, + 419, + 411 + ], + "score": 0.91, + "content": "\\mathbf { \\Delta } _ { \\mathbf { \\pmb { a } } } \\in \\mathbb { R } ^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 399, + 506, + 414 + ], + "score": 1.0, + "content": "; see Fig 5. 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A complete", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 140, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 140, + 505, + 151 + ], + "score": 1.0, + "content": "version of Theorems 1&2 together with the technical proofs for Theorems 1&2 and Corollary 1", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 149, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 163 + ], + "score": 1.0, + "content": "are provided in the third section. In the fourth section, we extend our settings to classification", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 161, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 505, + 174 + ], + "score": 1.0, + "content": "and subsequently establish theorem and corollaries for binary and multiclass classification problem.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "score": 1.0, + "content": "More implementation details and results for additional experiments are presented in the last section.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 106, + 506, + 185 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 196, + 222, + 208 + ], + "lines": [ + { + "bbox": [ + 105, + 195, + 223, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 195, + 223, + 210 + ], + "score": 1.0, + "content": "A.1 CNN FORMULATION", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 216, + 505, + 286 + ], + "lines": [ + { + "bbox": [ + 104, + 213, + 505, + 231 + ], + "spans": [ + { + "bbox": [ + 104, + 213, + 182, + 231 + ], + "score": 1.0, + "content": "For a tensor input", + "type": "text" + }, + { + "bbox": [ + 182, + 216, + 252, + 227 + ], + "score": 0.91, + "content": "\\pmb { \\chi } \\in \\mathbb { R } ^ { d _ { 1 } \\times \\cdots \\times d _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 213, + 363, + 231 + ], + "score": 1.0, + "content": ", it first convolutes with an", + "type": "text" + }, + { + "bbox": [ + 363, + 218, + 374, + 227 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 213, + 483, + 231 + ], + "score": 1.0, + "content": "-dimensional kernel tensor", + "type": "text" + }, + { + "bbox": [ + 483, + 217, + 505, + 228 + ], + "score": 0.85, + "content": "\\textbf { \\mathcal { A } } \\in", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 225, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 107, + 227, + 150, + 238 + ], + "score": 0.91, + "content": "\\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 225, + 256, + 243 + ], + "score": 1.0, + "content": "with stride sizes equal to", + "type": "text" + }, + { + "bbox": [ + 257, + 230, + 267, + 239 + ], + "score": 0.84, + "content": "s _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 225, + 506, + 243 + ], + "score": 1.0, + "content": ", and then performs an average pooling with pooling sizes", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 142, + 252 + ], + "score": 1.0, + "content": "equal to", + "type": "text" + }, + { + "bbox": [ + 142, + 239, + 195, + 251 + ], + "score": 0.91, + "content": "( q _ { 1 } , \\cdots , q _ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 239, + 438, + 252 + ], + "score": 1.0, + "content": ". 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We assume that", + "type": "text" + }, + { + "bbox": [ + 241, + 250, + 340, + 263 + ], + "score": 0.93, + "content": "m _ { j } = ( d _ { j } - l _ { j } ) / s _ { c } + \\bar { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 249, + 407, + 264 + ], + "score": 1.0, + "content": "are integers for", + "type": "text" + }, + { + "bbox": [ + 407, + 250, + 459, + 261 + ], + "score": 0.91, + "content": "1 \\leq j \\leq N", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 249, + 505, + 264 + ], + "score": 1.0, + "content": ", otherwise", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 101, + 255, + 510, + 281 + ], + "spans": [ + { + "bbox": [ + 101, + 255, + 415, + 281 + ], + "score": 1.0, + "content": "zero-padding will be needed. For ease of notation, we take the pooling sizes", + "type": "text" + }, + { + "bbox": [ + 416, + 262, + 450, + 276 + ], + "score": 0.93, + "content": "\\{ q _ { j } \\} _ { j = 1 } ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 255, + 510, + 281 + ], + "score": 1.0, + "content": "to satisfy the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 274, + 205, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 205, + 286 + ], + "score": 1.0, + "content": "relationship mj = pj qj .", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5, + "bbox_fs": [ + 101, + 213, + 510, + 286 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 290, + 504, + 317 + ], + "lines": [ + { + "bbox": [ + 106, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "To duplicate the operation of the convolution layer using a simple mathematical expression, we first", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 299, + 336, + 320 + ], + "spans": [ + { + "bbox": [ + 104, + 299, + 232, + 320 + ], + "score": 1.0, + "content": "need to define a set of matrices", + "type": "text" + }, + { + "bbox": [ + 233, + 301, + 303, + 318 + ], + "score": 0.94, + "content": "\\{ U _ { i _ { j } } ^ { ( j ) } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 299, + 336, + 320 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5, + "bbox_fs": [ + 104, + 289, + 505, + 320 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 147, + 322, + 464, + 352 + ], + "lines": [ + { + "bbox": [ + 147, + 322, + 464, + 352 + ], + "spans": [ + { + "bbox": [ + 147, + 322, + 464, + 352 + ], + "score": 0.91, + "content": "U _ { i j } ^ { ( j ) } = \\big [ \\underbrace { \\mathbf { 0 } } _ { ( i _ { j } - 1 ) s _ { c } } \\underbrace { I } _ { l _ { j } } \\underbrace { \\mathbf { 0 } } _ { d _ { j } - ( i _ { j } - 1 ) s _ { c } - l _ { j } } \\big ] ^ { \\prime } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } } \\mathrm { f o r } 1 \\leq i _ { j } \\leq m _ { j } , 1 \\leq j \\leq N .", + "type": "interline_equation", + "image_path": "81b26ebfa2964e44c0508244663254d96ead51e53c1d30b5f9fd56900918300e.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 147, + 322, + 464, + 352 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 359, + 504, + 384 + ], + "lines": [ + { + "bbox": [ + 106, + 356, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 127, + 374 + ], + "score": 0.91, + "content": "U _ { i _ { j } } ^ { ( j ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 356, + 362, + 375 + ], + "score": 1.0, + "content": "acts as a positioning factor to transform the kernel tensor", + "type": "text" + }, + { + "bbox": [ + 362, + 361, + 372, + 370 + ], + "score": 0.83, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 356, + 506, + 375 + ], + "score": 1.0, + "content": "into a tensor of same size as the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 372, + 305, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 129, + 386 + ], + "score": 1.0, + "content": "input", + "type": "text" + }, + { + "bbox": [ + 130, + 373, + 138, + 383 + ], + "score": 0.79, + "content": "\\boldsymbol { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 372, + 305, + 386 + ], + "score": 1.0, + "content": ", with the rest of the entries equal to zero.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 356, + 506, + 386 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 389, + 506, + 502 + ], + "lines": [ + { + "bbox": [ + 106, + 388, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 505, + 401 + ], + "score": 1.0, + "content": "We are ready to construct our main formulation for a 3-layer tensor CNN. To begin with, we first", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 399, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 272, + 414 + ], + "score": 1.0, + "content": "illustrate the process using a vector input", + "type": "text" + }, + { + "bbox": [ + 272, + 400, + 303, + 411 + ], + "score": 0.91, + "content": "\\pmb { x } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 399, + 389, + 414 + ], + "score": 1.0, + "content": ", with a kernel vector", + "type": "text" + }, + { + "bbox": [ + 389, + 400, + 419, + 411 + ], + "score": 0.91, + "content": "\\mathbf { \\Delta } _ { \\mathbf { \\pmb { a } } } \\in \\mathbb { R } ^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 399, + 506, + 414 + ], + "score": 1.0, + "content": "; see Fig 5. Using the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 408, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 107, + 413, + 117, + 424 + ], + "score": 0.85, + "content": "i ^ { \\mathrm { { t h } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 408, + 194, + 432 + ], + "score": 1.0, + "content": "positioning matrix", + "type": "text" + }, + { + "bbox": [ + 194, + 411, + 215, + 426 + ], + "score": 0.92, + "content": "U _ { i } ^ { ( 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 408, + 384, + 432 + ], + "score": 1.0, + "content": ", we can propagate the small kernel vector", + "type": "text" + }, + { + "bbox": [ + 385, + 416, + 392, + 424 + ], + "score": 0.75, + "content": "\\textbf { \\em a }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 408, + 447, + 432 + ], + "score": 1.0, + "content": ", into a vector", + "type": "text" + }, + { + "bbox": [ + 448, + 412, + 475, + 426 + ], + "score": 0.93, + "content": "U _ { i } ^ { ( 1 ) } { \\pmb a }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 408, + 506, + 432 + ], + "score": 1.0, + "content": "of size", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 107, + 424, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 107, + 426, + 119, + 436 + ], + "score": 0.85, + "content": "\\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 424, + 506, + 440 + ], + "score": 1.0, + "content": ", by filling the rest of the entries with zeros. 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This gives us the predicted output", + "type": "text" + }, + { + "bbox": [ + 372, + 489, + 472, + 501 + ], + "score": 0.91, + "content": "\\widehat { \\boldsymbol y } = \\langle \\boldsymbol b , \\boldsymbol x _ { c p } \\rangle = \\langle \\boldsymbol x , \\boldsymbol w _ { X } \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 488, + 503, + 502 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24, + "bbox_fs": [ + 100, + 388, + 507, + 502 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 163, + 505, + 446, + 542 + ], + "lines": [ + { + "bbox": [ + 163, + 505, + 446, + 542 + ], + "spans": [ + { + "bbox": [ + 163, + 505, + 446, + 542 + ], + "score": 0.92, + "content": "{ \\pmb w } _ { X } = \\sum _ { i = 1 } ^ { p } b _ { i } \\frac { 1 } { q } \\sum _ { k = ( i - 1 ) q + 1 } ^ { i q } U _ { k } ^ { ( 1 ) } { \\pmb a } = U _ { { \\mathcal { F } } } ^ { ( 1 ) } ( { \\pmb b } \\otimes { \\pmb a } ) = ( { \\pmb b } \\otimes { \\pmb a } ) \\times _ { 1 } U _ { { \\mathcal { F } } } ^ { ( 1 ) } ,", + "type": "interline_equation", + "image_path": "e1061440fd4cae3ee15c20392c4c1ab9325cc59c7b659a2fb39f099d03a1ad15.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 163, + 505, + 446, + 517.3333333333334 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 163, + 517.3333333333334, + 446, + 529.6666666666667 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 163, + 529.6666666666667, + 446, + 542.0000000000001 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 547, + 492, + 564 + ], + "lines": [ + { + "bbox": [ + 100, + 542, + 497, + 568 + ], + "spans": [ + { + "bbox": [ + 100, + 542, + 123, + 568 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 547, + 322, + 565 + ], + "score": 0.89, + "content": "\\begin{array} { r } { \\pmb { U } _ { \\mathcal { F } } ^ { ( 1 ) } = q ^ { - 1 } ( \\sum _ { k = 1 } ^ { q } \\pmb { U } _ { k } ^ { ( 1 ) } , \\cdots , \\sum _ { k = m - q + 1 } ^ { m } \\pmb { U } _ { k } ^ { ( 1 ) } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 542, + 347, + 568 + ], + "score": 1.0, + "content": ", and ”", + "type": "text" + }, + { + "bbox": [ + 348, + 551, + 361, + 562 + ], + "score": 0.58, + "content": "\\times _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 542, + 497, + 568 + ], + "score": 1.0, + "content": "” represents the mode-1 product.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32, + "bbox_fs": [ + 100, + 542, + 497, + 568 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 567, + 507, + 659 + ], + "lines": [ + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 180, + 581 + ], + "score": 1.0, + "content": "For matrix input", + "type": "text" + }, + { + "bbox": [ + 181, + 569, + 192, + 578 + ], + "score": 0.83, + "content": "\\boldsymbol { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 568, + 278, + 581 + ], + "score": 1.0, + "content": "with matrix kernel", + "type": "text" + }, + { + "bbox": [ + 278, + 569, + 288, + 578 + ], + "score": 0.77, + "content": "\\pmb { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 568, + 506, + 581 + ], + "score": 1.0, + "content": ", however, we need 2 sets of positioning matrices,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 577, + 510, + 600 + ], + "spans": [ + { + "bbox": [ + 107, + 579, + 155, + 596 + ], + "score": 0.93, + "content": "\\{ U _ { i _ { 1 } } ^ { ( 1 ) } \\} _ { i _ { 1 } = 1 } ^ { m _ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 577, + 176, + 600 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 176, + 579, + 224, + 596 + ], + "score": 0.93, + "content": "\\{ U _ { i _ { 2 } } ^ { ( 2 ) } \\} _ { i _ { 2 } = 1 } ^ { m _ { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 577, + 510, + 600 + ], + "score": 1.0, + "content": ", one for the height dimension and the other for width. Then, the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 101, + 594, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 101, + 594, + 351, + 612 + ], + "score": 1.0, + "content": "intermediate output from convolution has entries given by", + "type": "text" + }, + { + "bbox": [ + 352, + 594, + 485, + 610 + ], + "score": 0.93, + "content": "X _ { c } ( i _ { 1 } , i _ { 2 } ) = \\langle X , U _ { i _ { 1 } } ^ { ( 1 ) } A U _ { i _ { 2 } } ^ { ( 2 ) \\prime } \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 594, + 506, + 612 + ], + "score": 1.0, + "content": ", for", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 608, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 214, + 619 + ], + "score": 0.74, + "content": "1 \\leq i _ { 1 } \\leq p _ { 1 } , 1 \\leq i _ { 2 } \\leq p _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 608, + 357, + 621 + ], + "score": 1.0, + "content": ". 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Define the set", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 600, + 507, + 619 + ], + "spans": [ + { + "bbox": [ + 104, + 600, + 156, + 619 + ], + "score": 1.0, + "content": "of matrices", + "type": "text" + }, + { + "bbox": [ + 156, + 602, + 230, + 619 + ], + "score": 0.92, + "content": "\\{ U _ { i _ { j } } ^ { ( j ) } \\in \\mathbb { R } ^ { d _ { j } \\times l _ { j } } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 600, + 251, + 619 + ], + "score": 1.0, + "content": ", for", + "type": "text" + }, + { + "bbox": [ + 252, + 604, + 370, + 617 + ], + "score": 0.91, + "content": "1 \\leq i _ { j } \\leq m _ { j } , 1 \\leq j \\leq N", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 600, + 507, + 619 + ], + "score": 1.0, + "content": "as in (2). 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Let", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 425, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 162, + 107 + ], + "score": 0.93, + "content": "\\varepsilon = ( 2 \\sqrt { 2 } ) ^ { - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 94, + 202, + 108 + ], + "score": 1.0, + "content": ", and then", + "type": "text" + }, + { + "bbox": [ + 203, + 95, + 281, + 107 + ], + "score": 0.91, + "content": "8 - 2 \\log ( 9 / \\varepsilon ) > 1", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 94, + 425, + 108 + ], + "score": 1.0, + "content": ". 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d _ { M } - 8 \\delta \\} . } \\end{array}", + "type": "interline_equation", + "image_path": "c8e9a6233d2e01611f9fe7ba1294342a78f67093c6ab425dfff0537ecd7b5cc9.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 103, + 113, + 500, + 154.33333333333334 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 103, + 154.33333333333334, + 500, + 195.66666666666669 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 103, + 195.66666666666669, + 500, + 237.00000000000003 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 252, + 146, + 263 + ], + "lines": [ + { + "bbox": [ + 105, + 250, + 147, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 147, + 264 + ], + "score": 1.0, + "content": "Note that", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "interline_equation", + "bbox": [ + 118, + 268, + 494, + 366 + ], + "lines": [ + { + "bbox": [ + 118, + 268, + 494, + 366 + ], + "spans": [ + { + "bbox": [ + 118, + 268, + 494, + 366 + ], + "score": 0.94, + "content": "\\begin{array} { r l } & { \\mathbb { P } \\left[ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\underset { i = 1 } { \\overset { n } { \\sum } } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\right] } \\\\ & { \\leq \\mathbb { P } \\left[ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\underset { i = 1 } { \\overset { n } { \\sum } } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\quad + \\mathbb { P } \\left( \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S M } } \\right) . } \\end{array}", + "type": "interline_equation", + "image_path": "838cd2986018eea31a5124a3243774537fd9ab9c6779fe5df214e8d8e9ca89b2.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 118, + 268, + 494, + 300.6666666666667 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 118, + 300.6666666666667, + 494, + 333.33333333333337 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 118, + 333.33333333333337, + 494, + 366.00000000000006 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 371, + 504, + 396 + ], + "lines": [ + { + "bbox": [ + 105, + 370, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 360, + 386 + ], + "score": 1.0, + "content": "From (13) and Lemma 2, we then have that, with probability", + "type": "text" + }, + { + "bbox": [ + 361, + 372, + 505, + 385 + ], + "score": 0.9, + "content": "1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n -", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 383, + 222, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 218, + 396 + ], + "score": 0.86, + "content": "9 d _ { \\mathcal { M } } ] \\} - \\exp \\{ - d _ { \\mathcal { M } } - 8 \\delta \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 383, + 222, + 396 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5 + }, + { + "type": "interline_equation", + "bbox": [ + 120, + 401, + 490, + 435 + ], + "lines": [ + { + "bbox": [ + 120, + 401, + 490, + 435 + ], + "spans": [ + { + "bbox": [ + 120, + 401, + 490, + 435 + ], + "score": 0.93, + "content": "\\operatorname* { s u p } _ { \\Delta \\in { \\mathcal { S } _ { 2 K } } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\mathcal { Z } ^ { i } , \\Delta \\rangle \\leq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { M } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\qquad \\mathrm { a n d } \\qquad \\| \\Delta \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S C } } \\| \\Delta \\| _ { \\mathrm { F } } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "48cfb9dd953f41ecf35f7664534ff58d3686a6c217718f52b620ae753c3e3b29.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 120, + 401, + 490, + 412.3333333333333 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 120, + 412.3333333333333, + 490, + 423.66666666666663 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 120, + 423.66666666666663, + 490, + 434.99999999999994 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 442, + 246, + 453 + ], + "lines": [ + { + "bbox": [ + 106, + 441, + 246, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 246, + 454 + ], + "score": 1.0, + "content": "which, together with (11), leads to", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "interline_equation", + "bbox": [ + 119, + 459, + 492, + 493 + ], + "lines": [ + { + "bbox": [ + 119, + 459, + 492, + 493 + ], + "spans": [ + { + "bbox": [ + 119, + 459, + 492, + 493 + ], + "score": 0.93, + "content": "\\| \\widehat { \\boldsymbol { \\Delta } } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\quad \\mathrm { ~ a n d ~ } \\quad \\| \\widehat { \\boldsymbol { \\Delta } } \\| _ { n } \\leq 1 6 \\sigma \\frac { \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) .", + "type": "interline_equation", + "image_path": "aab4d002872e37113f19d6933f7fd6f8f3e07108ad8783caeac3e21eb484acfd.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 119, + 459, + 492, + 470.3333333333333 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 119, + 470.3333333333333, + 492, + 481.66666666666663 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 119, + 481.66666666666663, + 492, + 492.99999999999994 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 506, + 502, + 531 + ], + "lines": [ + { + "bbox": [ + 103, + 506, + 503, + 523 + ], + "spans": [ + { + "bbox": [ + 103, + 506, + 271, + 523 + ], + "score": 1.0, + "content": "Finally we prove (c). Given a test sample", + "type": "text" + }, + { + "bbox": [ + 272, + 509, + 297, + 521 + ], + "score": 0.92, + "content": "( \\boldsymbol { \\mathfrak { X } } , \\boldsymbol { y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 506, + 330, + 523 + ], + "score": 1.0, + "content": ", and let", + "type": "text" + }, + { + "bbox": [ + 330, + 506, + 503, + 522 + ], + "score": 0.9, + "content": "\\mathfrak { L } = \\mathfrak { X } \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) \\prime } \\times _ { 2 } U _ { \\mathcal { F } } ^ { ( 2 ) \\prime } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N } U _ { \\mathcal { F } } ^ { ( N ) \\prime } .", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 518, + 158, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 518, + 158, + 533 + ], + "score": 1.0, + "content": "It holds that", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5 + }, + { + "type": "interline_equation", + "bbox": [ + 182, 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"content": "and", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "interline_equation", + "bbox": [ + 173, + 561, + 435, + 577 + ], + "lines": [ + { + "bbox": [ + 173, + 561, + 435, + 577 + ], + "spans": [ + { + "bbox": [ + 173, + 561, + 435, + 577 + ], + "score": 0.86, + "content": "\\begin{array} { r } { \\mathbb { E } ( \\langle \\Xi , \\Delta \\rangle ) ^ { 2 } = \\Delta ^ { \\prime } \\mathbb { E } ( \\bar { z } \\bar { z } ^ { \\prime } ) \\Delta = \\Delta ^ { \\prime } U _ { G } \\mathbb { E } ( \\bar { x } \\bar { x } ^ { \\prime } ) U _ { G } ^ { \\prime } \\Delta \\leq \\kappa _ { U } \\| \\Delta \\| _ { 2 } ^ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "4431197e232f78efbd1ddb002a278a979df3e3ca0baaf1f06df1fbcf51121ef2.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 173, + 561, + 435, + 577 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 580, + 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"bhas the ranks of", + "type": "text" + }, + { + "bbox": [ + 255, + 693, + 338, + 705 + ], + "score": 0.9, + "content": "( R _ { 1 } , . . . , R _ { N } , R _ { N + 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 685, + 361, + 712 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 361, + 692, + 461, + 704 + ], + "score": 0.86, + "content": "\\mathfrak { B } _ { k } \\ \\in \\ \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } } \\Big \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 685, + 468, + 712 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 468, + 691, + 505, + 705 + ], + "score": 0.72, + "content": "\\widehat { S } _ { 2 K } ^ { \\mathrm { T U } } ~ =", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 702, + 507, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 704, + 319, + 719 + ], + "score": 0.68, + "content": "\\{ \\mathcal { W } _ { 1 } + \\mathcal { W } _ { 2 } : \\mathcal { W } _ { 1 } , \\mathcal { W } _ { 2 } \\in \\widehat { { S } } ^ { \\mathrm { T U } } ( R _ { 1 } , \\cdot \\cdot \\cdot , R _ { N + 1 } ) \\} ,", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 702, + 341, + 723 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 342, + 705, + 501, + 719 + ], + "score": 0.87, + "content": "S _ { 2 K } ^ { \\mathrm { T U } } = \\{ \\mathcal { W } \\in \\widehat { S } _ { 2 K } ^ { \\mathrm { T U } } : \\| \\mathcal { W } \\| _ { \\mathrm { F } } = 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 702, + 507, + 723 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 102, + 713, + 424, + 739 + ], + "spans": [ + { + "bbox": [ + 102, + 713, + 146, + 739 + ], + "score": 1.0, + "content": "Note that", + "type": "text" + }, + { + "bbox": [ + 146, + 718, + 290, + 732 + ], + "score": 0.88, + 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Let", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 425, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 162, + 107 + ], + "score": 0.93, + "content": "\\varepsilon = ( 2 \\sqrt { 2 } ) ^ { - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 94, + 202, + 108 + ], + "score": 1.0, + "content": ", and then", + "type": "text" + }, + { + "bbox": [ + 203, + 95, + 281, + 107 + ], + "score": 0.91, + "content": "8 - 2 \\log ( 9 / \\varepsilon ) > 1", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 94, + 425, + 108 + ], + "score": 1.0, + "content": ". 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d _ { M } - 8 \\delta \\} . } \\end{array}", + "type": "interline_equation", + "image_path": "c8e9a6233d2e01611f9fe7ba1294342a78f67093c6ab425dfff0537ecd7b5cc9.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 103, + 113, + 500, + 154.33333333333334 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 103, + 154.33333333333334, + 500, + 195.66666666666669 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 103, + 195.66666666666669, + 500, + 237.00000000000003 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 252, + 146, + 263 + ], + "lines": [ + { + "bbox": [ + 105, + 250, + 147, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 147, + 264 + ], + "score": 1.0, + "content": "Note that", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5, + "bbox_fs": [ + 105, + 250, + 147, + 264 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 118, + 268, + 494, + 366 + ], + "lines": [ + { + "bbox": [ + 118, + 268, + 494, + 366 + ], + "spans": [ + { + "bbox": [ + 118, + 268, + 494, + 366 + ], + "score": 0.94, + "content": "\\begin{array} { r l } & { \\mathbb { P } \\left[ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\underset { i = 1 } { \\overset { n } { \\sum } } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\right] } \\\\ & { \\leq \\mathbb { P } \\left[ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\underset { i = 1 } { \\overset { n } { \\sum } } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\quad + \\mathbb { P } \\left( \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S M } } \\right) . } \\end{array}", + "type": "interline_equation", + "image_path": "838cd2986018eea31a5124a3243774537fd9ab9c6779fe5df214e8d8e9ca89b2.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 118, + 268, + 494, + 300.6666666666667 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 118, + 300.6666666666667, + 494, + 333.33333333333337 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 118, + 333.33333333333337, + 494, + 366.00000000000006 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 371, + 504, + 396 + ], + "lines": [ + { + "bbox": [ + 105, + 370, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 360, + 386 + ], + "score": 1.0, + "content": "From (13) and Lemma 2, we then have that, with probability", + "type": "text" + }, + { + "bbox": [ + 361, + 372, + 505, + 385 + ], + "score": 0.9, + "content": "1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n -", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 383, + 222, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 218, + 396 + ], + "score": 0.86, + "content": "9 d _ { \\mathcal { M } } ] \\} - \\exp \\{ - d _ { \\mathcal { M } } - 8 \\delta \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 383, + 222, + 396 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 370, + 505, + 396 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 120, + 401, + 490, + 435 + ], + "lines": [ + { + "bbox": [ + 120, + 401, + 490, + 435 + ], + "spans": [ + { + "bbox": [ + 120, + 401, + 490, + 435 + ], + "score": 0.93, + "content": "\\operatorname* { s u p } _ { \\Delta \\in { \\mathcal { S } _ { 2 K } } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\mathcal { Z } ^ { i } , \\Delta \\rangle \\leq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { d _ { M } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\qquad \\mathrm { a n d } \\qquad \\| \\Delta \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S C } } \\| \\Delta \\| _ { \\mathrm { F } } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "48cfb9dd953f41ecf35f7664534ff58d3686a6c217718f52b620ae753c3e3b29.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 120, + 401, + 490, + 412.3333333333333 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 120, + 412.3333333333333, + 490, + 423.66666666666663 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 120, + 423.66666666666663, + 490, + 434.99999999999994 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 442, + 246, + 453 + ], + "lines": [ + { + "bbox": [ + 106, + 441, + 246, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 246, + 454 + ], + "score": 1.0, + "content": "which, together with (11), leads to", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14, + "bbox_fs": [ + 106, + 441, + 246, + 454 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 119, + 459, + 492, + 493 + ], + "lines": [ + { + "bbox": [ + 119, + 459, + 492, + 493 + ], + "spans": [ + { + "bbox": [ + 119, + 459, + 492, + 493 + ], + "score": 0.93, + "content": "\\| \\widehat { \\boldsymbol { \\Delta } } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\quad \\mathrm { ~ a n d ~ } \\quad \\| \\widehat { \\boldsymbol { \\Delta } } \\| _ { n } \\leq 1 6 \\sigma \\frac { \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) .", + "type": "interline_equation", + "image_path": "aab4d002872e37113f19d6933f7fd6f8f3e07108ad8783caeac3e21eb484acfd.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 119, + 459, + 492, + 470.3333333333333 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 119, + 470.3333333333333, + 492, + 481.66666666666663 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 119, + 481.66666666666663, + 492, + 492.99999999999994 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 506, + 502, + 531 + ], + "lines": [ + { + "bbox": [ + 103, + 506, + 503, + 523 + ], + "spans": [ + { + "bbox": [ + 103, + 506, + 271, + 523 + ], + "score": 1.0, + "content": "Finally we prove (c). Given a test sample", + "type": "text" + }, + { + "bbox": [ + 272, + 509, + 297, + 521 + ], + "score": 0.92, + "content": "( \\boldsymbol { \\mathfrak { X } } , \\boldsymbol { y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 506, + 330, + 523 + ], + "score": 1.0, + "content": ", and let", + "type": "text" + }, + { + "bbox": [ + 330, + 506, + 503, + 522 + ], + "score": 0.9, + "content": "\\mathfrak { L } = \\mathfrak { X } \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) \\prime } \\times _ { 2 } U _ { \\mathcal { F } } ^ { ( 2 ) \\prime } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N } U _ { \\mathcal { F } } ^ { ( N ) \\prime } .", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 518, + 158, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 518, + 158, + 533 + ], + "score": 1.0, + "content": "It holds that", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 103, + 506, + 503, + 533 + ] + }, + { + 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It then holds that", + "type": "text" + }, + { + "bbox": [ + 216, + 622, + 246, + 651 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 246, + 630, + 417, + 645 + ], + "score": 0.91, + "content": "\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { T U } } = \\prod _ { j = 1 } ^ { N + 1 } R _ { j } + \\sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 617, + 415, + 630 + ], + "score": 0.88, + "content": "\\log ( 3 ( N + 2 ) / \\varepsilon ) ~ < ~ 3 \\log ( N + 2 )", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 615, + 438, + 632 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 417, + 622, + 510, + 651 + ], + "score": 1.0, + "content": ". By a method similar", + "type": "text" + }, + { + "bbox": [ + 438, + 617, + 505, + 630 + ], + "score": 0.88, + "content": "\\log \\mathcal { N } ^ { \\mathrm { T U } } ( \\varepsilon ) ~ \\leq", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 642, + 281, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 281, + 655 + ], + "score": 1.0, + "content": "to the proof of Lemma 2, we can show that", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34.5, + "bbox_fs": [ + 104, + 615, + 510, + 655 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 160, + 657, + 449, + 691 + ], + "lines": [ + { + "bbox": [ + 160, + 657, + 449, + 691 + ], + "spans": [ + { + "bbox": [ + 160, + 657, + 449, + 691 + ], + "score": 0.91, + "content": "\\mathbb { P } \\left\\{ \\underset { \\Delta \\in S _ { 2 K } ^ { \\mathrm { T U } } } { \\operatorname* { s u p } } \\left. \\Delta \\right. _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S M } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 3 c _ { N } d _ { \\mathcal { M } } ^ { \\mathrm { T U } } \\right\\} ,", + "type": "interline_equation", + "image_path": "1a287e1a96daf2c8fca264ccf6bb597f6db91324f826d785e1a17905eca4e341.jpg" + } + ] + } + ], + "index": 36, + "virtual_lines": [ + { + "bbox": [ + 160, + 657, + 449, + 691 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 695, + 124, + 705 + ], + "lines": [ + { + "bbox": [ + 105, + 694, + 124, + 706 + ], + "spans": [ + { + "bbox": [ + 105, + 694, + 124, + 706 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 694, + 124, + 706 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 162, + 702, + 448, + 736 + ], + "lines": [ + { + "bbox": [ + 162, + 702, + 448, + 736 + ], + "spans": [ + { + "bbox": [ + 162, + 702, + 448, + 736 + ], + "score": 0.89, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in S _ { 2 K } ^ { \\mathrm { T U } } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S C } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 3 c _ { N } d _ { \\mathcal { M } } ^ { \\mathrm { T U } } \\right\\} .", + "type": "interline_equation", + "image_path": "12987e6447ff35cac62675f211dfda8ea0cc38d948b8687603790ce172dff6de.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 162, + 702, + 448, + 736 + ], + "spans": [], + "index": 38 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 81, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 79, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 79, + 133, + 96 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 82, + 234, + 95 + ], + "score": 0.91, + "content": "c _ { N } = 2 ^ { N + 1 } \\log ( N + 2 )", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 79, + 506, + 96 + ], + "score": 1.0, + "content": ". 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By a method similar", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 257, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 361, + 273 + ], + "score": 1.0, + "content": "to the proof of Theorem 1, we can show that, with probability", + "type": "text" + }, + { + "bbox": [ + 362, + 258, + 505, + 271 + ], + "score": 0.91, + "content": "1 - \\mathrm { ~ \\ r ~ { 4 e x p \\{ - [ \\bar { c } _ { H } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n - } } ", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 267, + 289, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 282, + 282 + ], + "score": 0.91, + "content": "3 c _ { N } \\mathrm { l o g } ( N + 2 ) d _ { \\mathcal { M } } ^ { \\mathrm { T U } } ] \\} - \\mathrm { e x p } \\{ - d _ { \\mathcal { M } } ^ { \\mathrm { T U } } - 8 \\delta \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 267, + 289, + 285 + ], + "score": 1.0, + "content": ",", + 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\\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\mathrm { T U } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , } \\\\ & { \\| \\widehat { \\pmb { \\Delta } } \\| _ { n } \\leq 1 6 \\sigma \\frac { \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\mathrm { T U } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , } \\\\ & { \\ \\mathrm { e r r } ^ { 2 } ( \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathrm { T U } } ) \\leq \\left( \\frac { 1 6 \\sigma \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\right) ^ { 2 } \\left( \\frac { c _ { N } d _ { M } ^ { \\mathrm { T U } } } { n } + \\frac { \\delta } { n } \\right) + \\sigma ^ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "be7ed59b1f8936fb8e7856542fd4533e6afe561cc70155708dd87cb646bc226c.jpg" + } 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255, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 255, + 477 + ], + "score": 1.0, + "content": "A.3.3 PROOFS OF COROLLARY 1", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 482, + 505, + 574 + ], + "lines": [ + { + "bbox": [ + 103, + 477, + 504, + 499 + ], + "spans": [ + { + "bbox": [ + 103, + 477, + 200, + 499 + ], + "score": 1.0, + "content": "When the kernel tensor", + "type": "text" + }, + { + "bbox": [ + 200, + 484, + 209, + 493 + ], + "score": 0.78, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 477, + 354, + 499 + ], + "score": 1.0, + "content": "has a Tucker decomposition form of", + "type": "text" + }, + { + "bbox": [ + 354, + 482, + 504, + 495 + ], + "score": 0.89, + "content": "\\pmb { \\mathcal { A } } = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N + 1 }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 492, + 504, + 510 + ], + "spans": [ + { + "bbox": [ + 107, + 494, + 142, + 505 + ], + "score": 0.87, + "content": "{ \\cal H } ^ { ( N + 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 492, + 252, + 510 + ], + "score": 1.0, + "content": ", and the multilinear rank is", + "type": "text" + }, + { + "bbox": [ + 252, + 495, + 338, + 507 + ], + "score": 0.9, + "content": "( R _ { 1 } , R _ { 2 } , \\cdot \\cdot \\cdot , R _ { N + 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 492, + 357, + 510 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 357, + 495, + 504, + 507 + ], + "score": 0.9, + "content": "\\pmb { \\mathcal { H } } = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N }", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 504, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 107, + 506, + 132, + 518 + ], + "score": 0.87, + "content": "{ \\pmb { H } } ^ { ( N ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 504, + 237, + 520 + ], + "score": 1.0, + "content": ", which is a tensor of size", + "type": "text" + }, + { + "bbox": [ + 237, + 507, + 307, + 517 + ], + "score": 0.89, + "content": "\\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } \\times R _ { N + 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 504, + 357, + 520 + ], + "score": 1.0, + "content": ". The mode-", + "type": "text" + }, + { + "bbox": [ + 357, + 507, + 392, + 520 + ], + "score": 0.91, + "content": "( N + 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 504, + 447, + 520 + ], + "score": 1.0, + "content": "unfolding of", + "type": "text" + }, + { + "bbox": [ + 447, + 508, + 459, + 518 + ], + "score": 0.69, + "content": "\\mathbf { \\mathcal { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 504, + 506, + 520 + ], + "score": 1.0, + "content": "is a matrix", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 516, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 104, + 516, + 127, + 534 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 519, + 154, + 531 + ], + "score": 0.92, + "content": "R _ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 516, + 260, + 534 + ], + "score": 1.0, + "content": "row vectors, each of size", + "type": "text" + }, + { + "bbox": [ + 260, + 518, + 274, + 529 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 516, + 377, + 534 + ], + "score": 1.0, + "content": ", and we denote them by", + "type": "text" + }, + { + "bbox": [ + 377, + 520, + 439, + 532 + ], + "score": 0.9, + "content": "g _ { 1 } , \\cdots , g _ { R _ { N + 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 516, + 466, + 534 + ], + "score": 1.0, + "content": ". Fold", + "type": "text" + }, + { + "bbox": [ + 466, + 520, + 477, + 531 + ], + "score": 0.46, + "content": "{ \\pmb g } _ { r }", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 516, + 506, + 534 + ], + "score": 1.0, + "content": "s back", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 529, + 507, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 178, + 547 + ], + "score": 1.0, + "content": "into tensors, i.e.", + "type": "text" + }, + { + "bbox": [ + 178, + 531, + 242, + 545 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\pmb { g } _ { r } = \\mathrm { v e c } ( \\widetilde { \\pmb { \\mathcal { H } } } _ { r } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 529, + 275, + 547 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 276, + 531, + 349, + 544 + ], + "score": 0.91, + "content": "\\mathcal { \\tilde { H } } _ { r } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 529, + 370, + 547 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 370, + 533, + 440, + 545 + ], + "score": 0.9, + "content": "1 \\le r \\le R _ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 529, + 507, + 547 + ], + "score": 1.0, + "content": ". Moreover, let", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 541, + 504, + 561 + ], + "spans": [ + { + "bbox": [ + 107, + 544, + 250, + 559 + ], + "score": 0.89, + "content": "{ \\pmb { H } } ^ { ( N + 1 ) } = ( { \\pmb { h } } _ { 1 } ^ { ( N + 1 ) } , \\cdot \\cdot \\cdot , { \\pmb { h } } _ { K } ^ { ( N + 1 ) } ) ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 541, + 299, + 561 + ], + "score": 1.0, + "content": "h(N+1)K )0, where h(Nk", + "type": "text" + }, + { + "bbox": [ + 282, + 545, + 313, + 559 + ], + "score": 0.93, + "content": "\\boldsymbol { h } _ { k } ^ { ( N + 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 542, + 388, + 559 + ], + "score": 1.0, + "content": "is a vector of size", + "type": "text" + }, + { + "bbox": [ + 388, + 546, + 417, + 557 + ], + "score": 0.89, + "content": "\\mathbb { R } ^ { R _ { N + 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 542, + 492, + 559 + ], + "score": 1.0, + "content": "and we denote its", + "type": "text" + }, + { + "bbox": [ + 492, + 546, + 504, + 557 + ], + "score": 0.84, + "content": "r ^ { \\mathrm { t h } }", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 103, + 555, + 434, + 578 + ], + "spans": [ + { + "bbox": [ + 103, + 558, + 162, + 577 + ], + "score": 1.0, + "content": "entry as", + "type": "text" + }, + { + "bbox": [ + 141, + 555, + 434, + 578 + ], + "score": 1.0, + "content": "h(N+1)k,r , for 1 ≤ r ≤ RN+1. It can be verified that, for each 1 ≤ k ≤ K,", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23 + }, + { + "type": "interline_equation", + "bbox": [ + 151, + 579, + 458, + 596 + ], + "lines": [ + { + "bbox": [ + 151, + 579, + 458, + 596 + ], + "spans": [ + { + "bbox": [ + 151, + 579, + 458, + 596 + ], + "score": 0.89, + "content": "\\mathbf { \\mathcal { A } } _ { k } = \\mathbb { 9 } \\times _ { 1 } \\mathbf { { \\cal { H } } } ^ { ( 1 ) } \\times _ { 2 } \\mathbf { { \\cal { H } } } ^ { ( 2 ) } \\cdots \\times _ { N } \\mathbf { { \\cal { H } } } ^ { ( N ) } \\bar { \\times } _ { N + 1 } \\pmb { { h } } _ { k } ^ { ( N + 1 ) } = \\mathbf { \\mathcal { H } } \\bar { \\times } _ { N + 1 } \\pmb { { h } } _ { k } ^ { ( N + 1 ) } ,", + "type": "interline_equation", + "image_path": "7173d303efb71985c71809a165b62ee81d7a13cef4f38191448c73225cd3b8eb.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 151, + 579, + 458, + 596 + ], + "spans": [], + 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\\right) \\otimes \\mathbf { \\widetilde { H } } _ { r } .", + "type": "interline_equation", + "image_path": "eaac70f3a24076fe904257008d04c614fafe050ccb08ea6127544d3f4d427fd2.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 134, + 615, + 477, + 627.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 134, + 627.0, + 477, + 639.0 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 134, + 639.0, + 477, + 651.0 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 655, + 504, + 680 + ], + "lines": [ + { + "bbox": [ + 99, + 646, + 512, + 682 + ], + "spans": [ + { + "bbox": [ + 99, + 646, + 150, + 682 + ], + "score": 1.0, + "content": "By letting", + "type": "text" + }, + { + "bbox": [ + 151, + 655, + 252, + 672 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\mathbf { \\widetilde { B } } _ { r } = \\sum _ { k = 1 } ^ { K } h _ { k , r } ^ { ( N + 1 ) } \\mathbf { \\widetilde { B } } _ { k } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 646, + 271, + 682 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 272, + 655, + 317, + 670 + ], + "score": 0.93, + "content": "\\widetilde { \\pmb { A } } _ { r } = \\widetilde { \\pmb { \\mathscr { H } } } _ { r }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 646, + 334, + 682 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 334, + 658, + 403, + 670 + ], + "score": 0.91, + "content": "1 \\le r \\le R _ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 646, + 512, + 682 + ], + "score": 1.0, + "content": ", we can reformulate the", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "interline_equation", + "bbox": [ + 240, + 678, + 370, + 713 + ], + "lines": [ + { + "bbox": [ + 240, + 678, + 370, + 713 + ], + "spans": [ + { + "bbox": [ + 240, + 678, + 370, + 713 + ], + "score": 0.94, + "content": "y ^ { i } = \\langle \\sum _ { r = 1 } ^ { R _ { N + 1 } } \\widetilde { \\mathbf { \\mathcal { B } } } _ { r } \\otimes \\widetilde { \\mathbf { \\mathcal { A } } } _ { r } , \\mathbf { \\mathcal { Z } } ^ { i } \\rangle + \\xi ^ { i } ,", + "type": "interline_equation", + "image_path": "6068bd3f2b4e52dac5b250947cf8c8dd14d12f517e02aed93627ba6e47fb3909.jpg" + } + ] + } + ], + "index": 33.5, + "virtual_lines": [ + { + "bbox": [ + 240, + 678, + 370, + 695.5 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 240, + 695.5, + 370, + 713.0 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 720, + 274, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 720, + 275, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 275, + 734 + ], + "score": 1.0, + "content": "and the proof of (a) is then accomplished.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + } + ], + "page_idx": 19, + "page_size": [ + 612, + 792 + ], + 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Moreover, similar to equation 13, by applying Lemma 3, we can", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 92, + 149, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 149, + 106 + ], + "score": 1.0, + "content": "show that", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 79, + 506, + 106 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 106, + 514, + 231 + ], + "lines": [ + { + "bbox": [ + 111, + 106, + 514, + 231 + ], + "spans": [ + { + "bbox": [ + 111, + 106, + 514, + 231 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\mathbb { P } \\left[ \\underset { \\Delta \\in S _ { 2 K } ^ { \\operatorname { T W } } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\operatorname { T W } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in S _ { 2 K } ^ { \\operatorname { T W } } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\leq \\mathbb { P } \\left[ \\underset { 1 \\leq j \\leq N ^ { \\operatorname { T W } } ( \\varepsilon ) } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle \\geq 4 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\operatorname { T W } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in S _ { 2 K } ^ { \\operatorname { T W } } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\leq \\displaystyle \\sum _ { j = 1 } ^ { N ^ { \\operatorname { T W } } ( \\varepsilon ) } \\mathbb { P } \\left( \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle \\geq 4 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\operatorname { T W } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\ \\| \\bar { \\Delta } _ { j } \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right) } \\\\ & { \\leq \\exp \\{ - d _ { M } ^ { \\operatorname { T W } } - 8 \\delta \\} , } \\end{array}", + "type": "interline_equation", + "image_path": "33851c132c1fca7b2f332eee5c92fc7cd0d58a13ed7cd674c348b705807af1d9.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 111, + 106, + 514, + 147.66666666666666 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 111, + 147.66666666666666, + 514, + 189.33333333333331 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 111, + 189.33333333333331, + 514, + 230.99999999999997 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 246, + 505, + 283 + ], + "lines": [ + { + "bbox": [ + 105, + 245, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 133, + 261 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 247, + 192, + 260 + ], + "score": 0.93, + "content": "\\varepsilon = ( 2 \\sqrt { 2 } ) ^ { - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 245, + 215, + 261 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 215, + 247, + 414, + 260 + ], + "score": 0.83, + "content": "{ } ^ { 2 ^ { N + 4 } } \\log ( N + 2 ) - 2 ^ { N + 1 } \\log ( 3 ( N + 1 ) / \\varepsilon ) > 1", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 245, + 506, + 261 + ], + "score": 1.0, + "content": ". By a method similar", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 257, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 361, + 273 + ], + "score": 1.0, + "content": "to the proof of Theorem 1, we can show that, with probability", + "type": "text" + }, + { + "bbox": [ + 362, + 258, + 505, + 271 + ], + "score": 0.91, + "content": "1 - \\mathrm { ~ \\ r ~ { 4 e x p \\{ - [ \\bar { c } _ { H } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { 2 } n - } } ", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 267, + 289, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 282, + 282 + ], + "score": 0.91, + "content": "3 c _ { N } \\mathrm { l o g } ( N + 2 ) d _ { \\mathcal { M } } ^ { \\mathrm { T U } } ] \\} - \\mathrm { e x p } \\{ - d _ { \\mathcal { M } } ^ { \\mathrm { T U } } - 8 \\delta \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 267, + 289, + 285 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 245, + 506, + 285 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 112, + 286, + 497, + 320 + ], + "lines": [ + { + "bbox": [ + 112, + 286, + 497, + 320 + ], + "spans": [ + { + "bbox": [ + 112, + 286, + 497, + 320 + ], + "score": 0.93, + "content": "\\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } ^ { \\mathrm { T U } } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\leq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { \\mathcal { M } } ^ { \\mathrm { T U } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\qquad \\mathrm { a n d } \\qquad \\| \\Delta \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S C } } \\| \\Delta \\| _ { \\mathrm { F } } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "443f023c687b810faef6541832be196fcdc6d0d89ede8abd58558376bfa1f598.jpg" + } 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r l } & { \\| \\widehat { \\pmb { \\Delta } } \\| _ { \\mathrm { F } } \\leq \\frac { 1 6 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\mathrm { T U } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , } \\\\ & { \\| \\widehat { \\pmb { \\Delta } } \\| _ { n } \\leq 1 6 \\sigma \\frac { \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\mathrm { T U } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , } \\\\ & { \\ \\mathrm { e r r } ^ { 2 } ( \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathrm { T U } } ) \\leq \\left( \\frac { 1 6 \\sigma \\alpha _ { \\mathrm { R S M } } } { \\alpha _ { \\mathrm { R S C } } } \\right) ^ { 2 } \\left( \\frac { c _ { N } d _ { M } ^ { \\mathrm { T U } } } { n } + \\frac { \\delta } { n } \\right) + \\sigma ^ { 2 } . } \\end{array}", + "type": "interline_equation", 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\\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N + 1 }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 492, + 504, + 510 + ], + "spans": [ + { + "bbox": [ + 107, + 494, + 142, + 505 + ], + "score": 0.87, + "content": "{ \\cal H } ^ { ( N + 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 492, + 252, + 510 + ], + "score": 1.0, + "content": ", and the multilinear rank is", + "type": "text" + }, + { + "bbox": [ + 252, + 495, + 338, + 507 + ], + "score": 0.9, + "content": "( R _ { 1 } , R _ { 2 } , \\cdot \\cdot \\cdot , R _ { N + 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 492, + 357, + 510 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 357, + 495, + 504, + 507 + ], + "score": 0.9, + "content": "\\pmb { \\mathcal { H } } = \\pmb { \\mathcal { G } } \\times _ { 1 } \\pmb { H } ^ { ( 1 ) } \\times _ { 2 } \\pmb { H } ^ { ( 2 ) } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N }", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 504, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 107, + 506, + 132, + 518 + ], + "score": 0.87, + "content": "{ \\pmb { H } } ^ { ( N ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 504, + 237, + 520 + ], + "score": 1.0, + "content": ", which is a tensor of size", + "type": "text" + }, + { + "bbox": [ + 237, + 507, + 307, + 517 + ], + "score": 0.89, + "content": "\\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } \\times R _ { N + 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 504, + 357, + 520 + ], + "score": 1.0, + "content": ". The mode-", + "type": "text" + }, + { + "bbox": [ + 357, + 507, + 392, + 520 + ], + "score": 0.91, + "content": "( N + 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 504, + 447, + 520 + ], + "score": 1.0, + "content": "unfolding of", + "type": "text" + }, + { + "bbox": [ + 447, + 508, + 459, + 518 + ], + "score": 0.69, + "content": "\\mathbf { \\mathcal { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 504, + 506, + 520 + ], + "score": 1.0, + "content": "is a matrix", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 516, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 104, + 516, + 127, + 534 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 519, + 154, + 531 + ], + "score": 0.92, + "content": "R _ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 516, + 260, + 534 + ], + "score": 1.0, + "content": "row vectors, each of size", + "type": "text" + }, + { + "bbox": [ + 260, + 518, + 274, + 529 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 516, + 377, + 534 + ], + "score": 1.0, + "content": ", and we denote them by", + "type": "text" + }, + { + "bbox": [ + 377, + 520, + 439, + 532 + ], + "score": 0.9, + "content": "g _ { 1 } , \\cdots , g _ { R _ { N + 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 516, + 466, + 534 + ], + "score": 1.0, + "content": ". Fold", + "type": "text" + }, + { + "bbox": [ + 466, + 520, + 477, + 531 + ], + "score": 0.46, + "content": "{ \\pmb g } _ { r }", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 516, + 506, + 534 + ], + "score": 1.0, + "content": "s back", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 529, + 507, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 178, + 547 + ], + "score": 1.0, + "content": "into tensors, i.e.", + "type": "text" + }, + { + "bbox": [ + 178, + 531, + 242, + 545 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\pmb { g } _ { r } = \\mathrm { v e c } ( \\widetilde { \\pmb { \\mathcal { H } } } _ { r } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 529, + 275, + 547 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 276, + 531, + 349, + 544 + ], + "score": 0.91, + "content": "\\mathcal { \\tilde { H } } _ { r } \\in \\mathbb { R } ^ { l _ { 1 } \\times \\cdots \\times l _ { N } }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 529, + 370, + 547 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 370, + 533, + 440, + 545 + ], + "score": 0.9, + "content": "1 \\le r \\le R _ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 529, + 507, + 547 + ], + "score": 1.0, + "content": ". Moreover, let", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 541, + 504, + 561 + ], + "spans": [ + { + "bbox": [ + 107, + 544, + 250, + 559 + ], + "score": 0.89, + "content": "{ \\pmb { H } } ^ { ( N + 1 ) } = ( { \\pmb { h } } _ { 1 } ^ { ( N + 1 ) } , \\cdot \\cdot \\cdot , { \\pmb { h } } _ { K } ^ { ( N + 1 ) } ) ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 541, + 299, + 561 + ], + "score": 1.0, + "content": "h(N+1)K )0, where h(Nk", + "type": "text" + }, + { + "bbox": [ + 282, + 545, + 313, + 559 + ], + "score": 0.93, + "content": "\\boldsymbol { h } _ { k } ^ { ( N + 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 542, + 388, + 559 + ], + "score": 1.0, + "content": "is a vector of size", + "type": "text" + }, + { + "bbox": [ + 388, + 546, + 417, + 557 + ], + "score": 0.89, + "content": "\\mathbb { R } ^ { R _ { N + 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 542, + 492, + 559 + ], + "score": 1.0, + "content": "and we denote its", + "type": "text" + }, + { + "bbox": [ + 492, + 546, + 504, + 557 + ], + "score": 0.84, + "content": "r ^ { \\mathrm { t h } }", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 103, + 555, + 434, + 578 + ], + "spans": [ + { + "bbox": [ + 103, + 558, + 162, + 577 + ], + "score": 1.0, + "content": "entry as", + "type": "text" + }, + { + "bbox": [ + 141, + 555, + 434, + 578 + ], + "score": 1.0, + "content": "h(N+1)k,r , for 1 ≤ r ≤ RN+1. 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{ k = 1 } ^ { K } h _ { k , r } ^ { ( N + 1 ) } \\mathbf { \\mathcal { B } } _ { k } \\right) \\otimes \\mathbf { \\widetilde { H } } _ { r } .", + "type": "interline_equation", + "image_path": "eaac70f3a24076fe904257008d04c614fafe050ccb08ea6127544d3f4d427fd2.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 134, + 615, + 477, + 627.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 134, + 627.0, + 477, + 639.0 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 134, + 639.0, + 477, + 651.0 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 655, + 504, + 680 + ], + "lines": [ + { + "bbox": [ + 99, + 646, + 512, + 682 + ], + "spans": [ + { + "bbox": [ + 99, + 646, + 150, + 682 + ], + "score": 1.0, + "content": "By letting", + "type": "text" + }, + { + "bbox": [ + 151, + 655, + 252, + 672 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\mathbf { \\widetilde { B } } _ { r } = \\sum _ { k = 1 } ^ { K 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\\end{array}", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 94, + 505, + 109 + ], + "spans": [ + { + "bbox": [ + 107, + 94, + 161, + 108 + ], + "score": 0.91, + "content": "\\cdots \\circ h _ { r } ^ { ( N + 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 94, + 244, + 108 + ], + "score": 0.92, + "content": "\\pmb { h } _ { r } ^ { ( j ) } \\in \\mathbb { R } ^ { l _ { j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 94, + 317, + 109 + ], + "score": 0.91, + "content": "\\| h _ { r } ^ { ( j ) } \\| = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 97, + 405, + 109 + ], + "score": 0.9, + "content": "1 \\leq j \\leq N", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 95, + 505, + 109 + ], + "score": 0.86, + "content": "h _ { r } ^ { ( N + 1 ) } \\ =", + "type": "inline_equation" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 347, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 108, + 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(Restricted strong convexity and smoothness) Suppose that", + "type": "text" + }, + { + "bbox": [ + 391, + 214, + 467, + 227 + ], + "score": 0.92, + "content": "n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } d _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 214, + 505, + 228 + ], + "score": 1.0, + "content": ". It holds", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 225, + 399, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 224, + 240 + ], + "score": 1.0, + "content": "that, with probability at least", + "type": "text" + }, + { + "bbox": [ + 225, + 226, + 396, + 239 + ], + "score": 0.93, + "content": "1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { \\bar { 2 } } \\bar { n } - 9 d _ { \\mathcal { M } } ] \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 225, + 399, + 240 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + }, + { + "type": "interline_equation", + "bbox": [ + 203, + 243, + 407, + 275 + ], + "lines": [ + { + "bbox": [ + 203, + 243, + 407, + 275 + ], + "spans": [ + { + "bbox": [ + 203, + 243, + 407, + 275 + ], + "score": 0.92, + "content": "\\alpha _ { \\mathrm { R S C } } \\left\\| \\pmb { \\Delta } \\right\\| _ { \\mathrm { F } } ^ { 2 } \\leq \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( \\langle \\Im ^ { i } , \\pmb { \\Delta } \\rangle ) ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\left\\| \\pmb { \\Delta } \\right\\| _ { \\mathrm { F } } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "05f8fc60fb98de8a8aa4e8b57e9a7048fa4ed22202a4a93c2b2f714d3fe7d35d.jpg" + } + ] + } + ], + "index": 5.5, + "virtual_lines": [ + { + "bbox": [ + 203, + 243, + 407, + 259.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 203, + 259.0, + 407, + 275.0 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 280, + 503, + 306 + ], + "lines": [ + { + "bbox": [ + 104, + 279, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 104, + 279, + 135, + 295 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 135, + 280, + 178, + 293 + ], + "score": 0.92, + "content": "\\Delta \\in \\widehat { S } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 279, + 210, + 295 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 210, + 280, + 230, + 293 + ], + "score": 0.9, + "content": "\\widehat { S } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 279, + 317, + 295 + ], + "score": 1.0, + "content": "is defined in Lemma", + "type": "text" + }, + { + "bbox": [ + 317, + 283, + 323, + 292 + ], + "score": 0.28, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 279, + 327, + 295 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 328, + 283, + 340, + 293 + ], + "score": 0.63, + "content": "c _ { \\mathrm { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 279, + 505, + 295 + ], + "score": 1.0, + "content": "is a positive constant from the Hanson-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 291, + 328, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 181, + 306 + ], + "score": 1.0, + "content": "Wright inequality,", + "type": "text" + }, + { + "bbox": [ + 181, + 293, + 240, + 305 + ], + "score": 0.91, + "content": "\\alpha _ { \\mathrm { R S C } } = \\kappa _ { L } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 291, + 258, + 306 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 259, + 293, + 324, + 305 + ], + "score": 0.91, + "content": "\\alpha _ { \\mathrm { R S M } } = 3 \\kappa _ { U } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 291, + 328, + 306 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 316, + 505, + 366 + ], + "lines": [ + { + "bbox": [ + 104, + 316, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 104, + 316, + 247, + 332 + ], + "score": 1.0, + "content": "Proof. It is sufficient to show that", + "type": "text" + }, + { + "bbox": [ + 247, + 317, + 358, + 331 + ], + "score": 0.88, + "content": "\\begin{array} { r } { \\operatorname* { s u p } _ { \\pmb { \\Delta } \\in S _ { 2 K } } \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 316, + 377, + 332 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 378, + 317, + 483, + 331 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\operatorname* { i n f } _ { \\pmb { \\Delta } \\in S _ { 2 K } } \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S C } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 316, + 506, + 332 + ], + "score": 1.0, + "content": "hold", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 102, + 326, + 509, + 349 + ], + "spans": [ + { + "bbox": [ + 102, + 326, + 232, + 349 + ], + "score": 1.0, + "content": "with a high probability, where", + "type": "text" + }, + { + "bbox": [ + 232, + 331, + 363, + 345 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } : = n ^ { - 1 } \\sum _ { i = 1 } ^ { n } ( \\langle \\pmb { \\Sigma } ^ { i } , \\pmb { \\Delta } \\rangle ) ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 326, + 475, + 349 + ], + "score": 1.0, + "content": "is the empirical norm, and", + "type": "text" + }, + { + "bbox": [ + 475, + 333, + 494, + 344 + ], + "score": 0.9, + "content": "S _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 326, + 509, + 349 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 342, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 466, + 356 + ], + "score": 1.0, + "content": "defined in Lemma 1. Without confusion, in this proof, we will also use the notation of", + "type": "text" + }, + { + "bbox": [ + 466, + 344, + 476, + 353 + ], + "score": 0.82, + "content": "\\pmb { \\Delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 342, + 505, + 356 + ], + "score": 1.0, + "content": "for its", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 354, + 262, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 184, + 366 + ], + "score": 1.0, + "content": "vectorized version,", + "type": "text" + }, + { + "bbox": [ + 184, + 354, + 217, + 366 + ], + "score": 0.79, + "content": "\\mathrm { v e c } ( { \\Delta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 354, + 262, + 366 + ], + "score": 1.0, + "content": ". Note that", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10.5 + }, + { + "type": "interline_equation", + "bbox": [ + 153, + 370, + 457, + 428 + ], + "lines": [ + { + "bbox": [ + 153, + 370, + 457, + 428 + ], + "spans": [ + { + "bbox": [ + 153, + 370, + 457, + 428 + ], + "score": 0.94, + "content": "\\begin{array} { l } { { \\displaystyle \\| { \\pmb \\Delta } \\| _ { n } ^ { 2 } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( \\langle { \\Xi ^ { i } } , { \\pmb \\Delta } \\rangle ) ^ { 2 } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } z ^ { i \\prime } { \\pmb \\Delta } { \\pmb \\Delta } ^ { \\prime } z ^ { i } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } { \\pmb x } ^ { i \\prime } U _ { G } { \\pmb \\Delta } { \\pmb \\Delta } ^ { \\prime } U _ { G } ^ { \\prime } { \\pmb x } ^ { i } } } \\\\ { { \\displaystyle ~ = \\frac { 1 } { n } \\bar { \\pmb x } ^ { \\prime } \\Big [ { \\pmb I _ { n } } \\otimes ( U _ { G } { \\pmb \\Delta } { \\pmb \\Delta } ^ { \\prime } U _ { G } ^ { \\prime } ) \\Big ] \\bar { \\pmb x } = \\bar { \\pmb w } ^ { \\prime } Q \\bar { \\pmb w } , } } \\end{array}", + "type": "interline_equation", + "image_path": "97ebd44ca0851a42264ce0c1d42e12d26d488109ba7f65eab10daea00fd0fe31.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 153, + 370, + 457, + 389.3333333333333 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 153, + 389.3333333333333, + 457, + 408.66666666666663 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 153, + 408.66666666666663, + 457, + 427.99999999999994 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 432, + 505, + 460 + ], + "lines": [ + { + "bbox": [ + 105, + 431, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 134, + 447 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 432, + 294, + 446 + ], + "score": 0.87, + "content": "Q = n ^ { - 1 } \\Sigma ^ { \\frac { 1 } { 2 } } [ I _ { n } \\otimes ( U _ { G } { \\bf \\underline { { { A } } } } \\Delta { \\bf \\underline { { { \\prime } } } } U _ { G } ^ { \\prime } ) ] { \\Sigma ^ { \\frac { 1 } { 2 } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 431, + 298, + 447 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 299, + 433, + 343, + 445 + ], + "score": 0.88, + "content": "\\bar { \\pmb w } \\in \\mathbb { R } ^ { n D }", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 431, + 506, + 447 + ], + "score": 1.0, + "content": "is a random vector with i.i.d. standard", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 444, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 168, + 459 + ], + "score": 1.0, + "content": "normal entries,", + "type": "text" + }, + { + "bbox": [ + 168, + 446, + 215, + 459 + ], + "score": 0.76, + "content": "z ^ { i } = U _ { G } ^ { \\prime } \\mathbf { x } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 444, + 219, + 459 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 219, + 446, + 379, + 459 + ], + "score": 0.82, + "content": "\\pmb { x } ^ { i } = \\mathrm { v e c } ( \\pmb { \\mathcal { X } } ^ { i } ) , \\bar { \\pmb { x } } = ( \\pmb { x } ^ { 1 \\prime } , \\pmb { x } ^ { 2 \\prime } , \\dots , \\pmb { x } ^ { n \\prime } ) ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 444, + 399, + 459 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 399, + 446, + 501, + 459 + ], + "score": 0.93, + "content": "\\pmb { \\Sigma } = \\mathbb { E } ( \\bar { \\pmb { x } } \\bar { \\pmb { x } } ^ { \\prime } ) \\in \\mathbb { R } ^ { n D \\times n D }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 444, + 505, + 459 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 106, + 463, + 506, + 502 + ], + "lines": [ + { + "bbox": [ + 105, + 462, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 138, + 478 + ], + "score": 1.0, + "content": "Denote", + "type": "text" + }, + { + "bbox": [ + 138, + 464, + 220, + 477 + ], + "score": 0.91, + "content": "\\pmb { w } _ { G } = \\pmb { U } _ { G } \\pmb { \\Delta } \\in \\mathbb { R } ^ { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 462, + 239, + 478 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 239, + 464, + 368, + 477 + ], + "score": 0.91, + "content": "S ^ { n - 1 } = \\{ \\pmb { v } \\in \\mathbb { R } ^ { n } : \\| \\pmb { v } \\| _ { 2 } = 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 462, + 389, + 478 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 389, + 465, + 433, + 477 + ], + "score": 0.93, + "content": "\\lambda _ { \\operatorname* { m a x } } ( \\pmb { \\Sigma } _ { i i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 462, + 505, + 478 + ], + "score": 1.0, + "content": "be the maximum", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 477, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 163, + 493 + ], + "score": 1.0, + "content": "eigenvalue of", + "type": "text" + }, + { + "bbox": [ + 163, + 478, + 279, + 492 + ], + "score": 0.91, + "content": "\\Sigma _ { i i } = \\mathbb { E } ( \\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } ) \\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } ) ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 477, + 294, + 493 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 295, + 479, + 337, + 491 + ], + "score": 0.88, + "content": "1 \\leq i \\leq n", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 477, + 407, + 493 + ], + "score": 1.0, + "content": ", and it holds that", + "type": "text" + }, + { + "bbox": [ + 408, + 479, + 477, + 492 + ], + "score": 0.93, + "content": "\\lambda _ { \\operatorname* { m a x } } ( \\Sigma _ { i i } ) \\leq C _ { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 477, + 506, + 493 + ], + "score": 1.0, + "content": "for all", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 490, + 247, + 503 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 149, + 502 + ], + "score": 0.9, + "content": "1 \\leq i \\leq n", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 490, + 198, + 503 + ], + "score": 1.0, + "content": ". For matrix", + "type": "text" + }, + { + "bbox": [ + 198, + 492, + 207, + 502 + ], + "score": 0.85, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 490, + 247, + 503 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 506, + 514, + 574 + ], + "lines": [ + { + "bbox": [ + 111, + 506, + 514, + 574 + ], + "spans": [ + { + "bbox": [ + 111, + 506, + 514, + 574 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\mathrm { r } ( Q ) = \\displaystyle \\frac { 1 } { n } \\mathrm { t r } \\left( \\Sigma ^ { \\frac { 1 } { 2 } } [ I _ { n } \\otimes w _ { G } ] [ I _ { n } \\otimes w _ { G } ^ { \\prime } ] \\Sigma ^ { \\frac { 1 } { 2 } } \\right) = \\displaystyle \\frac { 1 } { n } \\mathrm { t r } \\left( [ I _ { n } \\otimes w _ { G } ^ { \\prime } ] \\Sigma [ I _ { n } \\otimes w _ { G } ] \\right) = \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( w _ { G } ^ { \\prime } \\Sigma _ { i i } w _ { G } ) } \\\\ { \\leq \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left( \\operatorname* { s u p } _ { w _ { G } \\in S ^ { P L - 1 } } \\frac { w _ { G } ^ { \\prime } \\Sigma _ { i i } w _ { G } } { w _ { G } ^ { \\prime } w _ { G } } \\right) \\left( \\operatorname* { s u p } _ { \\Delta \\in S ^ { P L - 1 } } \\Delta ^ { \\prime } U _ { G } ^ { \\prime } U _ { G } \\Delta \\right) \\leq \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\lambda _ { \\operatorname* { m a x } } ( \\Sigma _ { i j } ) C _ { u } \\leq \\kappa _ { U } , } \\end{array}", + "type": "interline_equation", + "image_path": "2dbe6a11e93d99a6799df1e36bc8a6f8e19f7e4776b5922d3767f7349921f459.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 111, + 506, + 514, + 528.6666666666666 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 111, + 528.6666666666666, + 514, + 551.3333333333333 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 111, + 551.3333333333333, + 514, + 573.9999999999999 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 589, + 501, + 602 + ], + "lines": [ + { + "bbox": [ + 105, + 587, + 502, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 234, + 604 + ], + "score": 1.0, + "content": "and similarly, we can show that", + "type": "text" + }, + { + "bbox": [ + 234, + 590, + 284, + 602 + ], + "score": 0.93, + "content": "\\mathrm { t r } ( { \\cal Q } ) \\ge \\kappa _ { \\cal L }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 587, + 315, + 604 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 315, + 592, + 360, + 601 + ], + "score": 0.81, + "content": "\\kappa _ { L } = c _ { x } c _ { u }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 587, + 364, + 604 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 365, + 590, + 415, + 601 + ], + "score": 0.9, + "content": "\\kappa _ { U } = C _ { x } C _ { u }", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 587, + 433, + 604 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 434, + 591, + 472, + 601 + ], + "score": 0.92, + "content": "\\kappa _ { L } \\leq \\kappa _ { U }", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 587, + 502, + 604 + ], + "score": 1.0, + "content": ". Thus,", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "interline_equation", + "bbox": [ + 242, + 606, + 369, + 622 + ], + "lines": [ + { + "bbox": [ + 242, + 606, + 369, + 622 + ], + "spans": [ + { + "bbox": [ + 242, + 606, + 369, + 622 + ], + "score": 0.92, + "content": "\\kappa _ { L } \\leq \\operatorname { \\mathbb { E } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } = \\operatorname { t r } ( { \\boldsymbol { Q } } ) \\leq \\kappa _ { U } .", + "type": "interline_equation", + "image_path": "d00071157bdb41e7e1928719392230d23ae6ad97b7c97074397270790185abb1.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 242, + 606, + 369, + 622 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 627, + 506, + 652 + ], + "lines": [ + { + "bbox": [ + 104, + 625, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 104, + 625, + 179, + 643 + ], + "score": 1.0, + "content": "Moreover, denote", + "type": "text" + }, + { + "bbox": [ + 180, + 626, + 282, + 641 + ], + "score": 0.93, + "content": "Q _ { 1 } = n ^ { - \\frac { 1 } { 2 } } \\Sigma ^ { \\frac { 1 } { 2 } } [ I _ { n } \\otimes { \\pmb w } _ { G } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 625, + 337, + 643 + ], + "score": 1.0, + "content": "and note that", + "type": "text" + }, + { + "bbox": [ + 338, + 628, + 387, + 641 + ], + "score": 0.94, + "content": "Q = Q _ { 1 } Q _ { 1 } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 625, + 506, + 643 + ], + "score": 1.0, + "content": ". 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(Restricted strong convexity and smoothness) Suppose that", + "type": "text" + }, + { + "bbox": [ + 391, + 214, + 467, + 227 + ], + "score": 0.92, + "content": "n \\gtrsim ( \\kappa _ { U } / \\kappa _ { L } ) ^ { 2 } d _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 214, + 505, + 228 + ], + "score": 1.0, + "content": ". It holds", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 225, + 399, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 224, + 240 + ], + "score": 1.0, + "content": "that, with probability at least", + "type": "text" + }, + { + "bbox": [ + 225, + 226, + 396, + 239 + ], + "score": 0.93, + "content": "1 - 4 \\exp \\{ - [ c _ { \\mathrm { H } } ( 0 . 2 5 \\kappa _ { L } / \\kappa _ { U } ) ^ { \\bar { 2 } } \\bar { n } - 9 d _ { \\mathcal { M } } ] \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 225, + 399, + 240 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 214, + 505, + 240 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 203, + 243, + 407, + 275 + ], + "lines": [ + { + "bbox": [ + 203, + 243, + 407, + 275 + ], + "spans": [ + { + "bbox": [ + 203, + 243, + 407, + 275 + ], + "score": 0.92, + "content": "\\alpha _ { \\mathrm { R S C } } \\left\\| \\pmb { \\Delta } \\right\\| _ { \\mathrm { F } } ^ { 2 } \\leq \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( \\langle \\Im ^ { i } , \\pmb { \\Delta } \\rangle ) ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\left\\| \\pmb { \\Delta } \\right\\| _ { \\mathrm { F } } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "05f8fc60fb98de8a8aa4e8b57e9a7048fa4ed22202a4a93c2b2f714d3fe7d35d.jpg" + } + ] + } + ], + "index": 5.5, + "virtual_lines": [ + { + "bbox": [ + 203, + 243, + 407, + 259.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 203, + 259.0, + 407, + 275.0 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 280, + 503, + 306 + ], + "lines": [ + { + "bbox": [ + 104, + 279, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 104, + 279, + 135, + 295 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 135, + 280, + 178, + 293 + ], + "score": 0.92, + "content": "\\Delta \\in \\widehat { S } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 279, + 210, + 295 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 210, + 280, + 230, + 293 + ], + "score": 0.9, + "content": "\\widehat { S } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 279, + 317, + 295 + ], + "score": 1.0, + "content": "is defined in Lemma", + "type": "text" + }, + { + "bbox": [ + 317, + 283, + 323, + 292 + ], + "score": 0.28, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 279, + 327, + 295 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 328, + 283, + 340, + 293 + ], + "score": 0.63, + "content": "c _ { \\mathrm { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 279, + 505, + 295 + ], + "score": 1.0, + "content": "is a positive constant from the Hanson-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 291, + 328, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 181, + 306 + ], + "score": 1.0, + "content": "Wright inequality,", + "type": "text" + }, + { + "bbox": [ + 181, + 293, + 240, + 305 + ], + "score": 0.91, + "content": "\\alpha _ { \\mathrm { R S C } } = \\kappa _ { L } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 291, + 258, + 306 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 259, + 293, + 324, + 305 + ], + "score": 0.91, + "content": "\\alpha _ { \\mathrm { R S M } } = 3 \\kappa _ { U } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 291, + 328, + 306 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5, + "bbox_fs": [ + 104, + 279, + 505, + 306 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 316, + 505, + 366 + ], + "lines": [ + { + "bbox": [ + 104, + 316, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 104, + 316, + 247, + 332 + ], + "score": 1.0, + "content": "Proof. It is sufficient to show that", + "type": "text" + }, + { + "bbox": [ + 247, + 317, + 358, + 331 + ], + "score": 0.88, + "content": "\\begin{array} { r } { \\operatorname* { s u p } _ { \\pmb { \\Delta } \\in S _ { 2 K } } \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 316, + 377, + 332 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 378, + 317, + 483, + 331 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\operatorname* { i n f } _ { \\pmb { \\Delta } \\in S _ { 2 K } } \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S C } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 316, + 506, + 332 + ], + "score": 1.0, + "content": "hold", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 102, + 326, + 509, + 349 + ], + "spans": [ + { + "bbox": [ + 102, + 326, + 232, + 349 + ], + "score": 1.0, + "content": "with a high probability, where", + "type": "text" + }, + { + "bbox": [ + 232, + 331, + 363, + 345 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\| \\pmb { \\Delta } \\| _ { n } ^ { 2 } : = n ^ { - 1 } \\sum _ { i = 1 } ^ { n } ( \\langle \\pmb { \\Sigma } ^ { i } , \\pmb { \\Delta } \\rangle ) ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 326, + 475, + 349 + ], + "score": 1.0, + "content": "is the empirical norm, and", + "type": "text" + }, + { + "bbox": [ + 475, + 333, + 494, + 344 + ], + "score": 0.9, + "content": "S _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 326, + 509, + 349 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 342, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 466, + 356 + ], + "score": 1.0, + "content": "defined in Lemma 1. Without confusion, in this proof, we will also use the notation of", + "type": "text" + }, + { + "bbox": [ + 466, + 344, + 476, + 353 + ], + "score": 0.82, + "content": "\\pmb { \\Delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 342, + 505, + 356 + ], + "score": 1.0, + "content": "for its", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 354, + 262, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 184, + 366 + ], + "score": 1.0, + "content": "vectorized version,", + "type": "text" + }, + { + "bbox": [ + 184, + 354, + 217, + 366 + ], + "score": 0.79, + "content": "\\mathrm { v e c } ( { \\Delta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 354, + 262, + 366 + ], + "score": 1.0, + "content": ". Note that", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10.5, + "bbox_fs": [ + 102, + 316, + 509, + 366 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 153, + 370, + 457, + 428 + ], + "lines": [ + { + "bbox": [ + 153, + 370, + 457, + 428 + ], + "spans": [ + { + "bbox": [ + 153, + 370, + 457, + 428 + ], + "score": 0.94, + "content": "\\begin{array} { l } { { \\displaystyle \\| { \\pmb \\Delta } \\| _ { n } ^ { 2 } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( \\langle { \\Xi ^ { i } } , { \\pmb \\Delta } \\rangle ) ^ { 2 } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } z ^ { i \\prime } { \\pmb \\Delta } { \\pmb \\Delta } ^ { \\prime } z ^ { i } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } { \\pmb x } ^ { i \\prime } U _ { G } { \\pmb \\Delta } { \\pmb \\Delta } ^ { \\prime } U _ { G } ^ { \\prime } { \\pmb x } ^ { i } } } \\\\ { { \\displaystyle ~ = \\frac { 1 } { n } \\bar { \\pmb x } ^ { \\prime } \\Big [ { \\pmb I _ { n } } \\otimes ( U _ { G } { \\pmb \\Delta } { \\pmb \\Delta } ^ { \\prime } U _ { G } ^ { \\prime } ) \\Big ] \\bar { \\pmb x } = \\bar { \\pmb w } ^ { \\prime } Q \\bar { \\pmb w } , } } \\end{array}", + "type": "interline_equation", + "image_path": "97ebd44ca0851a42264ce0c1d42e12d26d488109ba7f65eab10daea00fd0fe31.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 153, + 370, + 457, + 389.3333333333333 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 153, + 389.3333333333333, + 457, + 408.66666666666663 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 153, + 408.66666666666663, + 457, + 427.99999999999994 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 432, + 505, + 460 + ], + "lines": [ + { + "bbox": [ + 105, + 431, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 134, + 447 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 432, + 294, + 446 + ], + "score": 0.87, + "content": "Q = n ^ { - 1 } \\Sigma ^ { \\frac { 1 } { 2 } } [ I _ { n } \\otimes ( U _ { G } { \\bf \\underline { { { A } } } } \\Delta { \\bf \\underline { { { \\prime } } } } U _ { G } ^ { \\prime } ) ] { \\Sigma ^ { \\frac { 1 } { 2 } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 431, + 298, + 447 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 299, + 433, + 343, + 445 + ], + "score": 0.88, + "content": "\\bar { \\pmb w } \\in \\mathbb { R } ^ { n D }", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 431, + 506, + 447 + ], + "score": 1.0, + "content": "is a random vector with i.i.d. standard", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 444, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 168, + 459 + ], + "score": 1.0, + "content": "normal entries,", + "type": "text" + }, + { + "bbox": [ + 168, + 446, + 215, + 459 + ], + "score": 0.76, + "content": "z ^ { i } = U _ { G } ^ { \\prime } \\mathbf { x } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 444, + 219, + 459 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 219, + 446, + 379, + 459 + ], + "score": 0.82, + "content": "\\pmb { x } ^ { i } = \\mathrm { v e c } ( \\pmb { \\mathcal { X } } ^ { i } ) , \\bar { \\pmb { x } } = ( \\pmb { x } ^ { 1 \\prime } , \\pmb { x } ^ { 2 \\prime } , \\dots , \\pmb { x } ^ { n \\prime } ) ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 444, + 399, + 459 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 399, + 446, + 501, + 459 + ], + "score": 0.93, + "content": "\\pmb { \\Sigma } = \\mathbb { E } ( \\bar { \\pmb { x } } \\bar { \\pmb { x } } ^ { \\prime } ) \\in \\mathbb { R } ^ { n D \\times n D }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 444, + 505, + 459 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 431, + 506, + 459 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 463, + 506, + 502 + ], + "lines": [ + { + "bbox": [ + 105, + 462, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 138, + 478 + ], + "score": 1.0, + "content": "Denote", + "type": "text" + }, + { + "bbox": [ + 138, + 464, + 220, + 477 + ], + "score": 0.91, + "content": "\\pmb { w } _ { G } = \\pmb { U } _ { G } \\pmb { \\Delta } \\in \\mathbb { R } ^ { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 462, + 239, + 478 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 239, + 464, + 368, + 477 + ], + "score": 0.91, + "content": "S ^ { n - 1 } = \\{ \\pmb { v } \\in \\mathbb { R } ^ { n } : \\| \\pmb { v } \\| _ { 2 } = 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 462, + 389, + 478 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 389, + 465, + 433, + 477 + ], + "score": 0.93, + "content": "\\lambda _ { \\operatorname* { m a x } } ( \\pmb { \\Sigma } _ { i i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 462, + 505, + 478 + ], + "score": 1.0, + "content": "be the maximum", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 477, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 163, + 493 + ], + "score": 1.0, + "content": "eigenvalue of", + "type": "text" + }, + { + "bbox": [ + 163, + 478, + 279, + 492 + ], + "score": 0.91, + "content": "\\Sigma _ { i i } = \\mathbb { E } ( \\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } ) \\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } ) ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 477, + 294, + 493 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 295, + 479, + 337, + 491 + ], + "score": 0.88, + "content": "1 \\leq i \\leq n", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 477, + 407, + 493 + ], + "score": 1.0, + "content": ", and it holds that", + "type": "text" + }, + { + "bbox": [ + 408, + 479, + 477, + 492 + ], + "score": 0.93, + "content": "\\lambda _ { \\operatorname* { m a x } } ( \\Sigma _ { i i } ) \\leq C _ { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 477, + 506, + 493 + ], + "score": 1.0, + "content": "for all", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 490, + 247, + 503 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 149, + 502 + ], + "score": 0.9, + "content": "1 \\leq i \\leq n", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 490, + 198, + 503 + ], + "score": 1.0, + "content": ". For matrix", + "type": "text" + }, + { + "bbox": [ + 198, + 492, + 207, + 502 + ], + "score": 0.85, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 490, + 247, + 503 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 462, + 506, + 503 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 506, + 514, + 574 + ], + "lines": [ + { + "bbox": [ + 111, + 506, + 514, + 574 + ], + "spans": [ + { + "bbox": [ + 111, + 506, + 514, + 574 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\mathrm { r } ( Q ) = \\displaystyle \\frac { 1 } { n } \\mathrm { t r } \\left( \\Sigma ^ { \\frac { 1 } { 2 } } [ I _ { n } \\otimes w _ { G } ] [ I _ { n } \\otimes w _ { G } ^ { \\prime } ] \\Sigma ^ { \\frac { 1 } { 2 } } \\right) = \\displaystyle \\frac { 1 } { n } \\mathrm { t r } \\left( [ I _ { n } \\otimes w _ { G } ^ { \\prime } ] \\Sigma [ I _ { n } \\otimes w _ { G } ] \\right) = \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( w _ { G } ^ { \\prime } \\Sigma _ { i i } w _ { G } ) } \\\\ { \\leq \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left( \\operatorname* { s u p } _ { w _ { G } \\in S ^ { P L - 1 } } \\frac { w _ { G } ^ { \\prime } \\Sigma _ { i i } w _ { G } } { w _ { G } ^ { \\prime } w _ { G } } \\right) \\left( \\operatorname* { s u p } _ { \\Delta \\in S ^ { P L - 1 } } \\Delta ^ { \\prime } U _ { G } ^ { \\prime } U _ { G } \\Delta \\right) \\leq \\displaystyle \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\lambda _ { \\operatorname* { m a x } } ( \\Sigma _ { i j } ) C _ { u } \\leq \\kappa _ { U } , } \\end{array}", + "type": "interline_equation", + "image_path": "2dbe6a11e93d99a6799df1e36bc8a6f8e19f7e4776b5922d3767f7349921f459.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 111, + 506, + 514, + 528.6666666666666 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 111, + 528.6666666666666, + 514, + 551.3333333333333 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 111, + 551.3333333333333, + 514, + 573.9999999999999 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 589, + 501, + 602 + ], + "lines": [ + { + "bbox": [ + 105, + 587, + 502, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 234, + 604 + ], + "score": 1.0, + "content": "and similarly, we can show that", + "type": "text" + }, + { + "bbox": [ + 234, + 590, + 284, + 602 + ], + "score": 0.93, + "content": "\\mathrm { t r } ( { \\cal Q } ) \\ge \\kappa _ { \\cal L }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 587, + 315, + 604 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 315, + 592, + 360, + 601 + ], + "score": 0.81, + "content": "\\kappa _ { L } = c _ { x } c _ { u }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 587, + 364, + 604 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 365, + 590, + 415, + 601 + ], + "score": 0.9, + "content": "\\kappa _ { U } = C _ { x } C _ { u }", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 587, + 433, + 604 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 434, + 591, + 472, + 601 + ], + "score": 0.92, + "content": "\\kappa _ { L } \\leq \\kappa _ { U }", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 587, + 502, + 604 + ], + "score": 1.0, + "content": ". Thus,", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 587, + 502, + 604 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 242, + 606, + 369, + 622 + ], + "lines": [ + { + "bbox": [ + 242, + 606, + 369, + 622 + ], + "spans": [ + { + "bbox": [ + 242, + 606, + 369, + 622 + ], + "score": 0.92, + "content": "\\kappa _ { L } \\leq \\operatorname { \\mathbb { E } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } = \\operatorname { t r } ( { \\boldsymbol { Q } } ) \\leq \\kappa _ { U } .", + "type": "interline_equation", + "image_path": "d00071157bdb41e7e1928719392230d23ae6ad97b7c97074397270790185abb1.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 242, + 606, + 369, + 622 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 627, + 506, + 652 + ], + "lines": [ + { + "bbox": [ + 104, + 625, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 104, + 625, + 179, + 643 + ], + "score": 1.0, + "content": "Moreover, denote", + "type": "text" + }, + { + "bbox": [ + 180, + 626, + 282, + 641 + ], + "score": 0.93, + "content": "Q _ { 1 } = n ^ { - \\frac { 1 } { 2 } } \\Sigma ^ { \\frac { 1 } { 2 } } [ I _ { n } \\otimes { \\pmb w } _ { G } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 625, + 337, + 643 + ], + "score": 1.0, + "content": "and note that", + "type": "text" + }, + { + "bbox": [ + 338, + 628, + 387, + 641 + ], + "score": 0.94, + "content": "Q = Q _ { 1 } Q _ { 1 } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 625, + 506, + 643 + ], + "score": 1.0, + "content": ". 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\\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\right| \\geq t \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } \\operatorname* { m i n } \\left( \\frac { t } { \\left\\| Q \\right\\| _ { \\mathrm { o p } } } , \\frac { t ^ { 2 } } { \\left\\| Q \\right\\| _ { \\mathrm { F } } ^ { 2 } } \\right) \\right\\} } \\\\ & { } & { \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\operatorname* { m i n } \\left( t / \\kappa _ { U } , ( t / \\kappa _ { U } ) ^ { 2 } \\right) \\right\\} , } \\end{array}", + "type": "interline_equation", + "image_path": "41be867d575972234b17cc76ac138d290fad8311f2fc1f71a9a4cfbacb7f3696.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 162, + 161, + 449, + 178.33333333333334 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 162, + 178.33333333333334, + 449, + 195.66666666666669 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 162, + 195.66666666666669, + 449, + 213.00000000000003 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 214, + 234, + 226 + ], + "lines": [ + { + "bbox": [ + 106, + 213, + 233, + 226 + ], + "spans": [ + { + "bbox": [ + 106, + 213, + 133, + 226 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 216, + 145, + 225 + ], + "score": 0.84, + "content": "c _ { \\mathrm { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 213, + 233, + 226 + ], + "score": 1.0, + "content": "is a positive constant.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 231, + 182, + 242 + ], + "lines": [ + { + "bbox": [ + 106, + 230, + 183, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 183, + 243 + ], + "score": 1.0, + "content": "On the other hand,", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "interline_equation", + "bbox": [ + 171, + 244, + 440, + 277 + ], + "lines": [ + { + "bbox": [ + 171, + 244, + 440, + 277 + ], + "spans": [ + { + "bbox": [ + 171, + 244, + 440, + 277 + ], + "score": 0.94, + "content": "\\left\\| \\pmb { \\Delta } \\right\\| _ { n } ^ { 2 } - \\mathbb { E } \\left\\| \\pmb { \\Delta } \\right\\| _ { n } ^ { 2 } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\pmb { \\Delta } ^ { \\prime } z ^ { i } z ^ { i ^ { \\prime } } \\pmb { \\Delta } - \\mathbb { E } ( \\pmb { \\Delta } ^ { \\prime } z ^ { i } z ^ { i ^ { \\prime } } \\pmb { \\Delta } ) = \\pmb { \\Delta } ^ { \\prime } \\widehat { \\pmb { \\Gamma } } \\pmb { \\Delta } ,", + "type": "interline_equation", + "image_path": "63ef92cae3203f6338095f72112f23113976eb0486736e8da8308438e2ba108c.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 171, + 244, + 440, + 255.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 171, + 255.0, + 440, + 266.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 171, + 266.0, + 440, + 277.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 280, + 506, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 278, + 507, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 134, + 297 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 280, + 277, + 294 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\widehat { \\bf r } = n ^ { - 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For any", + "type": "text" + }, + { + "bbox": [ + 313, + 294, + 356, + 306 + ], + "score": 0.91, + "content": "\\Delta \\in { \\mathcal { S } } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 294, + 417, + 306 + ], + "score": 1.0, + "content": ", there exists a", + "type": "text" + }, + { + "bbox": [ + 417, + 293, + 464, + 307 + ], + "score": 0.93, + "content": "\\bar { \\Delta } _ { j } \\in \\bar { \\mathcal { S } } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 294, + 505, + 306 + ], + "score": 1.0, + "content": "such that", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 107, + 306, + 504, + 321 + ], + "spans": [ + { + "bbox": [ + 107, + 307, + 174, + 320 + ], + "score": 0.91, + "content": "\\| \\Delta - \\bar { \\Delta } _ { j } \\| _ { \\mathrm { F } } \\leq \\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 306, + 217, + 321 + ], + "score": 1.0, + "content": ". Note that", + "type": "text" + }, + { + "bbox": [ + 217, + 306, + 280, + 320 + ], + "score": 0.91, + "content": "\\Delta - \\bar { \\Delta } _ { j } \\in \\widehat { S } _ { 4 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 306, + 440, + 321 + ], + "score": 1.0, + "content": "and, from Lemma 1, we can further find", + "type": "text" + }, + { + "bbox": [ + 441, + 306, + 504, + 319 + ], + "score": 0.91, + "content": "\\Delta _ { 1 } , \\Delta _ { 2 } \\in \\widehat { S } _ { 2 K }", + "type": "inline_equation" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 318, + 505, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 146, + 333 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 147, + 320, + 209, + 331 + ], + "score": 0.9, + "content": "\\langle \\pmb { \\Delta } _ { 1 } , \\pmb { \\Delta } _ { 2 } \\rangle = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 318, + 228, + 333 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 229, + 320, + 324, + 332 + ], + "score": 0.91, + "content": "\\Delta - \\bar { \\Delta } _ { j } = \\Delta _ { 1 } + \\Delta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 318, + 418, + 333 + ], + "score": 1.0, + "content": ", and it then holds that", + "type": "text" + }, + { + "bbox": [ + 419, + 320, + 505, + 332 + ], + "score": 0.91, + "content": "\\| \\pmb { \\Delta } _ { 1 } \\| _ { \\mathrm { F } } + \\| \\pmb { \\Delta } _ { 2 } \\| _ { \\mathrm { F } } \\leq", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 330, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 107, + 331, + 205, + 344 + ], + "score": 0.9, + "content": "\\sqrt { 2 } \\| \\pmb { \\Delta } - \\pmb { \\bar { \\Delta } } _ { j } \\| _ { \\mathrm { F } } \\leq \\sqrt { 2 } \\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 330, + 402, + 345 + ], + "score": 1.0, + "content": ". 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As a result,", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5 + }, + { + "type": "interline_equation", + "bbox": [ + 191, + 361, + 419, + 402 + ], + "lines": [ + { + "bbox": [ + 191, + 361, + 419, + 402 + ], + "spans": [ + { + "bbox": [ + 191, + 361, + 419, + 402 + ], + "score": 0.9, + "content": "\\begin{array} { r l } & { \\Delta ^ { \\prime } \\widehat \\Gamma \\Delta = \\bar { \\Delta } _ { j } ^ { \\prime } \\widehat \\Gamma \\bar { \\Delta } _ { j } + ( \\Delta _ { 1 } + \\Delta _ { 2 } ) ^ { \\prime } \\widehat \\Gamma ( \\Delta _ { 1 } + \\Delta _ { 2 } + 2 \\bar { \\Delta } _ { j } ) } \\\\ & { \\qquad \\leq \\underset { 1 \\leq j \\leq N ( 2 K , \\varepsilon ) } { \\operatorname* { m a x } } \\bar { \\Delta } _ { j } ^ { \\prime } \\widehat \\Gamma \\bar { \\Delta } _ { j } + 5 \\varepsilon \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { s u p } } \\Delta ^ { \\prime } \\widehat \\Gamma \\Delta , } \\end{array}", + "type": "interline_equation", + "image_path": "8c69f1e549026309c660a8b4d91bac67a6cbe17a9837f7cf9bbd16043fd27c86.jpg" + } + ] + } + ], + "index": 19.5, + "virtual_lines": [ + { + "bbox": [ + 191, + 361, + 419, + 381.5 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 191, + 381.5, + 419, + 402.0 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 405, + 504, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 405, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 134, + 420 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 406, + 431, + 420 + ], + "score": 0.86, + "content": "( \\Vert \\pmb { \\Delta } _ { 1 } \\Vert _ { \\mathrm { F } } + \\Vert \\pmb { \\Delta } _ { 2 } \\Vert _ { \\mathrm { F } } ) ^ { 2 } + 2 ( \\Vert \\pmb { \\Delta } _ { 1 } \\Vert _ { \\mathrm { F } } + \\Vert \\pmb { \\Delta } _ { 2 } \\Vert _ { \\mathrm { F } } ) \\Vert \\bar { \\pmb { \\Delta } } _ { j } \\Vert _ { \\mathrm { F } } \\leq 2 ( \\varepsilon + \\sqrt { 2 } ) \\varepsilon \\leq 5 \\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 405, + 442, + 420 + ], + "score": 1.0, + "content": "as", + "type": "text" + }, + { + "bbox": [ + 442, + 407, + 467, + 418 + ], + "score": 0.9, + "content": "\\varepsilon \\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 405, + 505, + 420 + ], + "score": 1.0, + "content": ", and this", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 415, + 141, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 141, + 431 + ], + "score": 1.0, + "content": "leads to", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5 + }, + { + "type": "interline_equation", + "bbox": [ + 200, + 425, + 411, + 448 + ], + "lines": [ + { + "bbox": [ + 200, + 425, + 411, + 448 + ], + "spans": [ + { + "bbox": [ + 200, + 425, + 411, + 448 + ], + "score": 0.88, + "content": "\\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } \\Delta ^ { \\prime } \\widehat \\Gamma \\Delta \\leq ( 1 - 5 \\varepsilon ) ^ { - 1 } \\operatorname* { m a x } _ { 1 \\leq j \\leq \\mathcal { N } ( 2 K , \\varepsilon ) } \\bar { \\Delta } _ { j } ^ { \\prime } \\widehat \\Gamma \\bar { \\Delta } _ { j } .", + "type": "interline_equation", + "image_path": "4a4691ad4ad2160d12e1a9ab8b77007a8872d1c7696cd761b3e6c862acfed316.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 200, + 425, + 411, + 448 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 450, + 504, + 473 + ], + "lines": [ + { + "bbox": [ + 105, + 449, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 228, + 463 + ], + "score": 1.0, + "content": "Note that, from Lemma 1(b),", + "type": "text" + }, + { + "bbox": [ + 228, + 450, + 357, + 462 + ], + "score": 0.89, + "content": "\\log \\mathcal { N } ( 2 K , \\varepsilon ) \\leq 2 d _ { \\mathcal { M } } \\log ( 9 / \\varepsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 449, + 388, + 463 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 389, + 450, + 483, + 461 + ], + "score": 0.9, + "content": "d _ { \\mathcal { M } } = K ( L + P + 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 449, + 506, + 463 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 460, + 478, + 474 + ], + "spans": [ + { + "bbox": [ + 107, + 461, + 145, + 473 + ], + "score": 0.91, + "content": "\\varepsilon = 1 / 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 460, + 186, + 474 + ], + "score": 1.0, + "content": ", and then", + "type": "text" + }, + { + "bbox": [ + 186, + 461, + 247, + 473 + ], + "score": 0.94, + "content": "2 \\log ( 9 / \\varepsilon ) < 9", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 460, + 399, + 474 + ], + "score": 1.0, + "content": ". Combining (21) and (22) and letting", + "type": "text" + }, + { + "bbox": [ + 399, + 462, + 438, + 473 + ], + "score": 0.92, + "content": "t = \\kappa _ { L } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 460, + 478, + 474 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5 + }, + { + "type": "interline_equation", + "bbox": [ + 151, + 475, + 457, + 509 + ], + "lines": [ + { + "bbox": [ + 151, + 475, + 457, + 509 + ], + "spans": [ + { + "bbox": [ + 151, + 475, + 457, + 509 + ], + "score": 0.93, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\geq \\frac { \\kappa _ { L } } { 2 } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "8fe1cea10255bfeb46f34c912339b8b632270b24dcb5ab4704aaf5e85b4f4dcf.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 151, + 475, + 457, + 486.3333333333333 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 151, + 486.3333333333333, + 457, + 497.66666666666663 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 151, + 497.66666666666663, + 457, + 508.99999999999994 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 511, + 369, + 523 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 369, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 276, + 524 + ], + "score": 1.0, + "content": "which, together with (19) and the fact that", + "type": "text" + }, + { + "bbox": [ + 277, + 512, + 315, + 523 + ], + "score": 0.91, + "content": "\\kappa _ { L } \\leq \\kappa _ { U }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 510, + 369, + 524 + ], + "score": 1.0, + "content": ", implies that", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "interline_equation", + "bbox": [ + 169, + 525, + 440, + 559 + ], + "lines": [ + { + "bbox": [ + 169, + 525, + 440, + 559 + ], + "spans": [ + { + "bbox": [ + 169, + 525, + 440, + 559 + ], + "score": 0.93, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S M } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "7997cdcf2f45d3f47bfd9c0593ed471c9684710860b3070b4f11b719d57eb58e.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 169, + 525, + 440, + 536.3333333333334 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 169, + 536.3333333333334, + 440, + 547.6666666666667 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 169, + 547.6666666666667, + 440, + 559.0000000000001 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 561, + 259, + 574 + ], + "lines": [ + { + "bbox": [ + 105, + 559, + 256, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 133, + 576 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 561, + 256, + 574 + ], + "score": 0.89, + "content": "\\alpha _ { \\mathrm { R S M } } = 1 . 5 \\kappa _ { U } \\geq \\kappa _ { U } + \\kappa _ { L } / 2", + "type": "inline_equation" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 108, + 578, + 311, + 590 + ], + "lines": [ + { + "bbox": [ + 106, + 577, + 312, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 312, + 591 + ], + "score": 1.0, + "content": "By a method similar to (22), we can also show that", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "interline_equation", + "bbox": [ + 155, + 593, + 455, + 616 + ], + "lines": [ + { + "bbox": [ + 155, + 593, + 455, + 616 + ], + "spans": [ + { + "bbox": [ + 155, + 593, + 455, + 616 + ], + "score": 0.87, + "content": "\\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\leq ( 1 - 5 \\varepsilon ) ^ { - 1 } \\operatorname* { m a x } _ { 1 \\leq j \\leq N ( 2 K , \\varepsilon ) } \\mathbb { E } \\left\\| \\bar { \\Delta } _ { j } \\right\\| _ { n } ^ { 2 } - \\left\\| \\bar { \\Delta } _ { j } \\right\\| _ { n } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "c7ee36b494952df5485e93787d090f88baad7c501b33fbae4fce94880dc8855c.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 155, + 593, + 455, + 616 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 619, + 246, + 631 + ], + "lines": [ + { + "bbox": [ + 106, + 619, + 246, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 246, + 632 + ], + "score": 1.0, + "content": "which, together with (21), leads to", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "interline_equation", + "bbox": [ + 151, + 633, + 457, + 667 + ], + "lines": [ + { + "bbox": [ + 151, + 633, + 457, + 667 + ], + "spans": [ + { + "bbox": [ + 151, + 633, + 457, + 667 + ], + "score": 0.9, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in { \\mathcal S } _ { 2 K } } \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\geq \\frac { \\kappa _ { L } } { 2 } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "91663ef08df773b59cf885d78f6b76de81c80a265ebc84ee4b1ee9b603c4530d.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 151, + 633, + 457, + 644.3333333333334 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 151, + 644.3333333333334, + 457, + 655.6666666666667 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 151, + 655.6666666666667, + 457, + 667.0000000000001 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 669, + 282, + 682 + ], + "lines": [ + { + "bbox": [ + 105, + 668, + 282, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 133, + 683 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 669, + 173, + 682 + ], + "score": 0.93, + "content": "t = \\kappa _ { L } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 668, + 191, + 683 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 191, + 669, + 230, + 682 + ], + "score": 0.92, + "content": "\\varepsilon = 1 / 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 668, + 282, + 683 + ], + "score": 1.0, + "content": ". As a result,", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "interline_equation", + "bbox": [ + 170, + 684, + 439, + 718 + ], + "lines": [ + { + "bbox": [ + 170, + 684, + 439, + 718 + ], + "spans": [ + { + "bbox": [ + 170, + 684, + 439, + 718 + ], + "score": 0.93, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S C } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "1f40de1d1a4afde06ea8a3110bb837e99053432da644c9160cc35fa76c1c6b04.jpg" + } + ] + } + ], + "index": 42, + "virtual_lines": [ + { + "bbox": [ + 170, + 684, + 439, + 695.3333333333334 + ], + "spans": [], + "index": 41 + }, + { + "bbox": [ + 170, + 695.3333333333334, + 439, + 706.6666666666667 + ], + "spans": [], + "index": 42 + }, + { + "bbox": [ + 170, + 706.6666666666667, + 439, + 718.0000000000001 + ], + "spans": [], + "index": 43 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 720, + 417, + 733 + ], + "lines": [ + { + "bbox": [ + 106, + 719, + 418, + 735 + ], + "spans": [ + { + "bbox": [ + 106, + 719, + 133, + 735 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 720, + 216, + 732 + ], + "score": 0.92, + "content": "\\alpha _ { \\mathrm { R S C } } = \\kappa _ { L } - \\kappa _ { L } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 719, + 418, + 735 + ], + "score": 1.0, + "content": ". This, together with (23), accomplishes the proof.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + } + ], + "page_idx": 22, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 26, + 307, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 307, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 307, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "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 + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 721, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 496, + 722, + 504, + 731 + ], + "spans": [ + { + "bbox": [ + 496, + 722, + 504, + 731 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 81, + 504, + 108 + ], + "lines": [ + { + "bbox": [ + 105, + 80, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 380, + 97 + ], + "score": 1.0, + "content": "Finally we can use (18) and (20) to bound the Frobenius norm of", + "type": "text" + }, + { + "bbox": [ + 381, + 83, + 390, + 94 + ], + "score": 0.85, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 80, + 505, + 97 + ], + "score": 1.0, + "content": ". By some algebra, for any", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 92, + 396, + 110 + ], + "spans": [ + { + "bbox": [ + 104, + 92, + 171, + 110 + ], + "score": 1.0, + "content": "square matrices", + "type": "text" + }, + { + "bbox": [ + 172, + 94, + 230, + 106 + ], + "score": 0.9, + "content": "\\pmb { A } , \\pmb { B } \\in \\mathbb { R } ^ { n \\times n }", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 92, + 234, + 110 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 235, + 93, + 336, + 109 + ], + "score": 0.91, + "content": "\\left. A B \\right. _ { \\mathrm { F } } ^ { 2 } \\leq \\left. A \\right. _ { \\mathrm { o p } } ^ { 2 } \\left. B \\right. _ { \\mathrm { F } } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 92, + 396, + 110 + ], + "score": 1.0, + "content": "holds. 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\\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\right| \\geq t \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } \\operatorname* { m i n } \\left( \\frac { t } { \\left\\| Q \\right\\| _ { \\mathrm { o p } } } , \\frac { t ^ { 2 } } { \\left\\| Q \\right\\| _ { \\mathrm { F } } ^ { 2 } } \\right) \\right\\} } \\\\ & { } & { \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\operatorname* { m i n } \\left( t / \\kappa _ { U } , ( t / \\kappa _ { U } ) ^ { 2 } \\right) \\right\\} , } \\end{array}", + "type": "interline_equation", + "image_path": "41be867d575972234b17cc76ac138d290fad8311f2fc1f71a9a4cfbacb7f3696.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 162, + 161, + 449, + 178.33333333333334 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 162, + 178.33333333333334, + 449, + 195.66666666666669 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 162, + 195.66666666666669, + 449, + 213.00000000000003 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 214, + 234, + 226 + ], + "lines": [ + { + "bbox": [ + 106, + 213, + 233, + 226 + ], + "spans": [ + { + "bbox": [ + 106, + 213, + 133, + 226 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 216, + 145, + 225 + ], + "score": 0.84, + "content": "c _ { \\mathrm { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 213, + 233, + 226 + ], + "score": 1.0, + "content": "is a positive constant.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 106, + 213, + 233, + 226 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 231, + 182, + 242 + ], + "lines": [ + { + "bbox": [ + 106, + 230, + 183, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 183, + 243 + ], + "score": 1.0, + "content": "On the other hand,", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9, + "bbox_fs": [ + 106, + 230, + 183, + 243 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 171, + 244, + 440, + 277 + ], + "lines": [ + { + "bbox": [ + 171, + 244, + 440, + 277 + ], + "spans": [ + { + "bbox": [ + 171, + 244, + 440, + 277 + ], + "score": 0.94, + "content": "\\left\\| \\pmb { \\Delta } \\right\\| _ { n } ^ { 2 } - \\mathbb { E } \\left\\| \\pmb { \\Delta } \\right\\| _ { n } ^ { 2 } = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\pmb { \\Delta } ^ { \\prime } z ^ { i } z ^ { i ^ { \\prime } } \\pmb { \\Delta } - \\mathbb { E } ( \\pmb { \\Delta } ^ { \\prime } z ^ { i } z ^ { i ^ { \\prime } } \\pmb { \\Delta } ) = \\pmb { \\Delta } ^ { \\prime } \\widehat { \\pmb { \\Gamma } } \\pmb { \\Delta } ,", + "type": "interline_equation", + "image_path": "63ef92cae3203f6338095f72112f23113976eb0486736e8da8308438e2ba108c.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 171, + 244, + 440, + 255.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 171, + 255.0, + 440, + 266.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 171, + 266.0, + 440, + 277.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 280, + 506, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 278, + 507, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 134, + 297 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 280, + 277, + 294 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\widehat { \\bf r } = n ^ { - 1 } \\sum _ { i = 1 } ^ { n } [ z ^ { i } z ^ { i \\prime } - E ( z ^ { i } z ^ { i \\prime } ) ] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 278, + 422, + 297 + ], + "score": 1.0, + "content": "is a symmetric matrix. Consider a", + "type": "text" + }, + { + "bbox": [ + 423, + 284, + 428, + 292 + ], + "score": 0.79, + "content": "\\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 278, + 446, + 297 + ], + "score": 1.0, + "content": "-net", + "type": "text" + }, + { + "bbox": [ + 446, + 281, + 464, + 293 + ], + "score": 0.91, + "content": "\\bar { S } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 278, + 507, + 297 + ], + "score": 1.0, + "content": ", with the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 293, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 164, + 306 + ], + "score": 1.0, + "content": "cardinality of", + "type": "text" + }, + { + "bbox": [ + 164, + 294, + 205, + 306 + ], + "score": 0.92, + "content": "\\mathcal { N } ( 2 K , \\varepsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 294, + 253, + 306 + ], + "score": 1.0, + "content": ", for the set", + "type": "text" + }, + { + "bbox": [ + 254, + 295, + 272, + 305 + ], + "score": 0.88, + "content": "S _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 294, + 313, + 306 + ], + "score": 1.0, + "content": ". For any", + "type": "text" + }, + { + "bbox": [ + 313, + 294, + 356, + 306 + ], + "score": 0.91, + "content": "\\Delta \\in { \\mathcal { S } } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 294, + 417, + 306 + ], + "score": 1.0, + "content": ", there exists a", + "type": "text" + }, + { + "bbox": [ + 417, + 293, + 464, + 307 + ], + "score": 0.93, + "content": "\\bar { \\Delta } _ { j } \\in \\bar { \\mathcal { S } } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 294, + 505, + 306 + ], + "score": 1.0, + "content": "such that", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 107, + 306, + 504, + 321 + ], + "spans": [ + { + "bbox": [ + 107, + 307, + 174, + 320 + ], + "score": 0.91, + "content": "\\| \\Delta - \\bar { \\Delta } _ { j } \\| _ { \\mathrm { F } } \\leq \\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 306, + 217, + 321 + ], + "score": 1.0, + "content": ". Note that", + "type": "text" + }, + { + "bbox": [ + 217, + 306, + 280, + 320 + ], + "score": 0.91, + "content": "\\Delta - \\bar { \\Delta } _ { j } \\in \\widehat { S } _ { 4 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 306, + 440, + 321 + ], + "score": 1.0, + "content": "and, from Lemma 1, we can further find", + "type": "text" + }, + { + "bbox": [ + 441, + 306, + 504, + 319 + ], + "score": 0.91, + "content": "\\Delta _ { 1 } , \\Delta _ { 2 } \\in \\widehat { S } _ { 2 K }", + "type": "inline_equation" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 318, + 505, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 146, + 333 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 147, + 320, + 209, + 331 + ], + "score": 0.9, + "content": "\\langle \\pmb { \\Delta } _ { 1 } , \\pmb { \\Delta } _ { 2 } \\rangle = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 318, + 228, + 333 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 229, + 320, + 324, + 332 + ], + "score": 0.91, + "content": "\\Delta - \\bar { \\Delta } _ { j } = \\Delta _ { 1 } + \\Delta _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 318, + 418, + 333 + ], + "score": 1.0, + "content": ", and it then holds that", + "type": "text" + }, + { + "bbox": [ + 419, + 320, + 505, + 332 + ], + "score": 0.91, + "content": "\\| \\pmb { \\Delta } _ { 1 } \\| _ { \\mathrm { F } } + \\| \\pmb { \\Delta } _ { 2 } \\| _ { \\mathrm { F } } \\leq", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 330, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 107, + 331, + 205, + 344 + ], + "score": 0.9, + "content": "\\sqrt { 2 } \\| \\pmb { \\Delta } - \\pmb { \\bar { \\Delta } } _ { j } \\| _ { \\mathrm { F } } \\leq \\sqrt { 2 } \\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 330, + 402, + 345 + ], + "score": 1.0, + "content": ". 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As a result,", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 278, + 507, + 361 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 191, + 361, + 419, + 402 + ], + "lines": [ + { + "bbox": [ + 191, + 361, + 419, + 402 + ], + "spans": [ + { + "bbox": [ + 191, + 361, + 419, + 402 + ], + "score": 0.9, + "content": "\\begin{array} { r l } & { \\Delta ^ { \\prime } \\widehat \\Gamma \\Delta = \\bar { \\Delta } _ { j } ^ { \\prime } \\widehat \\Gamma \\bar { \\Delta } _ { j } + ( \\Delta _ { 1 } + \\Delta _ { 2 } ) ^ { \\prime } \\widehat \\Gamma ( \\Delta _ { 1 } + \\Delta _ { 2 } + 2 \\bar { \\Delta } _ { j } ) } \\\\ & { \\qquad \\leq \\underset { 1 \\leq j \\leq N ( 2 K , \\varepsilon ) } { \\operatorname* { m a x } } \\bar { \\Delta } _ { j } ^ { \\prime } \\widehat \\Gamma \\bar { \\Delta } _ { j } + 5 \\varepsilon \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { s u p } } \\Delta ^ { \\prime } \\widehat \\Gamma \\Delta , } \\end{array}", + "type": "interline_equation", + "image_path": "8c69f1e549026309c660a8b4d91bac67a6cbe17a9837f7cf9bbd16043fd27c86.jpg" + } + ] + } + ], + "index": 19.5, + "virtual_lines": [ + { + "bbox": [ + 191, + 361, + 419, + 381.5 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 191, + 381.5, + 419, + 402.0 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 405, + 504, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 405, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 134, + 420 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 406, + 431, + 420 + ], + "score": 0.86, + "content": "( \\Vert \\pmb { \\Delta } _ { 1 } \\Vert _ { \\mathrm { F } } + \\Vert \\pmb { \\Delta } _ { 2 } \\Vert _ { \\mathrm { F } } ) ^ { 2 } + 2 ( \\Vert \\pmb { \\Delta } _ { 1 } \\Vert _ { \\mathrm { F } } + \\Vert \\pmb { \\Delta } _ { 2 } \\Vert _ { \\mathrm { F } } ) \\Vert \\bar { \\pmb { \\Delta } } _ { j } \\Vert _ { \\mathrm { F } } \\leq 2 ( \\varepsilon + \\sqrt { 2 } ) \\varepsilon \\leq 5 \\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 405, + 442, + 420 + ], + "score": 1.0, + "content": "as", + "type": "text" + }, + { + "bbox": [ + 442, + 407, + 467, + 418 + ], + "score": 0.9, + "content": "\\varepsilon \\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 405, + 505, + 420 + ], + "score": 1.0, + "content": ", and this", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 415, + 141, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 141, + 431 + ], + "score": 1.0, + "content": "leads to", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 405, + 505, + 431 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 200, + 425, + 411, + 448 + ], + "lines": [ + { + "bbox": [ + 200, + 425, + 411, + 448 + ], + "spans": [ + { + "bbox": [ + 200, + 425, + 411, + 448 + ], + "score": 0.88, + "content": "\\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } \\Delta ^ { \\prime } \\widehat \\Gamma \\Delta \\leq ( 1 - 5 \\varepsilon ) ^ { - 1 } \\operatorname* { m a x } _ { 1 \\leq j \\leq \\mathcal { N } ( 2 K , \\varepsilon ) } \\bar { \\Delta } _ { j } ^ { \\prime } \\widehat \\Gamma \\bar { \\Delta } _ { j } .", + "type": "interline_equation", + "image_path": "4a4691ad4ad2160d12e1a9ab8b77007a8872d1c7696cd761b3e6c862acfed316.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 200, + 425, + 411, + 448 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 450, + 504, + 473 + ], + "lines": [ + { + "bbox": [ + 105, + 449, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 228, + 463 + ], + "score": 1.0, + "content": "Note that, from Lemma 1(b),", + "type": "text" + }, + { + "bbox": [ + 228, + 450, + 357, + 462 + ], + "score": 0.89, + "content": "\\log \\mathcal { N } ( 2 K , \\varepsilon ) \\leq 2 d _ { \\mathcal { M } } \\log ( 9 / \\varepsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 449, + 388, + 463 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 389, + 450, + 483, + 461 + ], + "score": 0.9, + "content": "d _ { \\mathcal { M } } = K ( L + P + 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 449, + 506, + 463 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 460, + 478, + 474 + ], + "spans": [ + { + "bbox": [ + 107, + 461, + 145, + 473 + ], + "score": 0.91, + "content": "\\varepsilon = 1 / 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 460, + 186, + 474 + ], + "score": 1.0, + "content": ", and then", + "type": "text" + }, + { + "bbox": [ + 186, + 461, + 247, + 473 + ], + "score": 0.94, + "content": "2 \\log ( 9 / \\varepsilon ) < 9", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 460, + 399, + 474 + ], + "score": 1.0, + "content": ". Combining (21) and (22) and letting", + "type": "text" + }, + { + "bbox": [ + 399, + 462, + 438, + 473 + ], + "score": 0.92, + "content": "t = \\kappa _ { L } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 460, + 478, + 474 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 449, + 506, + 474 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 151, + 475, + 457, + 509 + ], + "lines": [ + { + "bbox": [ + 151, + 475, + 457, + 509 + ], + "spans": [ + { + "bbox": [ + 151, + 475, + 457, + 509 + ], + "score": 0.93, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\geq \\frac { \\kappa _ { L } } { 2 } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "8fe1cea10255bfeb46f34c912339b8b632270b24dcb5ab4704aaf5e85b4f4dcf.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 151, + 475, + 457, + 486.3333333333333 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 151, + 486.3333333333333, + 457, + 497.66666666666663 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 151, + 497.66666666666663, + 457, + 508.99999999999994 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 511, + 369, + 523 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 369, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 276, + 524 + ], + "score": 1.0, + "content": "which, together with (19) and the fact that", + "type": "text" + }, + { + "bbox": [ + 277, + 512, + 315, + 523 + ], + "score": 0.91, + "content": "\\kappa _ { L } \\leq \\kappa _ { U }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 510, + 369, + 524 + ], + "score": 1.0, + "content": ", implies that", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29, + "bbox_fs": [ + 106, + 510, + 369, + 524 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 169, + 525, + 440, + 559 + ], + "lines": [ + { + "bbox": [ + 169, + 525, + 440, + 559 + ], + "spans": [ + { + "bbox": [ + 169, + 525, + 440, + 559 + ], + "score": 0.93, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\geq \\alpha _ { \\mathrm { R S M } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "7997cdcf2f45d3f47bfd9c0593ed471c9684710860b3070b4f11b719d57eb58e.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 169, + 525, + 440, + 536.3333333333334 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 169, + 536.3333333333334, + 440, + 547.6666666666667 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 169, + 547.6666666666667, + 440, + 559.0000000000001 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 561, + 259, + 574 + ], + "lines": [ + { + "bbox": [ + 105, + 559, + 256, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 133, + 576 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 561, + 256, + 574 + ], + "score": 0.89, + "content": "\\alpha _ { \\mathrm { R S M } } = 1 . 5 \\kappa _ { U } \\geq \\kappa _ { U } + \\kappa _ { L } / 2", + "type": "inline_equation" + } + ], + "index": 33 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 559, + 256, + 576 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 578, + 311, + 590 + ], + "lines": [ + { + "bbox": [ + 106, + 577, + 312, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 312, + 591 + ], + "score": 1.0, + "content": "By a method similar to (22), we can also show that", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34, + "bbox_fs": [ + 106, + 577, + 312, + 591 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 155, + 593, + 455, + 616 + ], + "lines": [ + { + "bbox": [ + 155, + 593, + 455, + 616 + ], + "spans": [ + { + "bbox": [ + 155, + 593, + 455, + 616 + ], + "score": 0.87, + "content": "\\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\leq ( 1 - 5 \\varepsilon ) ^ { - 1 } \\operatorname* { m a x } _ { 1 \\leq j \\leq N ( 2 K , \\varepsilon ) } \\mathbb { E } \\left\\| \\bar { \\Delta } _ { j } \\right\\| _ { n } ^ { 2 } - \\left\\| \\bar { \\Delta } _ { j } \\right\\| _ { n } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "c7ee36b494952df5485e93787d090f88baad7c501b33fbae4fce94880dc8855c.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 155, + 593, + 455, + 616 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 619, + 246, + 631 + ], + "lines": [ + { + "bbox": [ + 106, + 619, + 246, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 246, + 632 + ], + "score": 1.0, + "content": "which, together with (21), leads to", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36, + "bbox_fs": [ + 106, + 619, + 246, + 632 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 151, + 633, + 457, + 667 + ], + "lines": [ + { + "bbox": [ + 151, + 633, + 457, + 667 + ], + "spans": [ + { + "bbox": [ + 151, + 633, + 457, + 667 + ], + "score": 0.9, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in { \\mathcal S } _ { 2 K } } \\mathbb { E } \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } - \\left\\| \\Delta \\right\\| _ { n } ^ { 2 } \\geq \\frac { \\kappa _ { L } } { 2 } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "91663ef08df773b59cf885d78f6b76de81c80a265ebc84ee4b1ee9b603c4530d.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 151, + 633, + 457, + 644.3333333333334 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 151, + 644.3333333333334, + 457, + 655.6666666666667 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 151, + 655.6666666666667, + 457, + 667.0000000000001 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 669, + 282, + 682 + ], + "lines": [ + { + "bbox": [ + 105, + 668, + 282, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 133, + 683 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 669, + 173, + 682 + ], + "score": 0.93, + "content": "t = \\kappa _ { L } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 668, + 191, + 683 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 191, + 669, + 230, + 682 + ], + "score": 0.92, + "content": "\\varepsilon = 1 / 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 668, + 282, + 683 + ], + "score": 1.0, + "content": ". As a result,", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 668, + 282, + 683 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 170, + 684, + 439, + 718 + ], + "lines": [ + { + "bbox": [ + 170, + 684, + 439, + 718 + ], + "spans": [ + { + "bbox": [ + 170, + 684, + 439, + 718 + ], + "score": 0.93, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S C } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\mathrm { H } } n \\left( \\frac { \\kappa _ { L } } { 4 \\kappa _ { U } } \\right) ^ { 2 } + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "1f40de1d1a4afde06ea8a3110bb837e99053432da644c9160cc35fa76c1c6b04.jpg" + } + ] + } + ], + "index": 42, + "virtual_lines": [ + { + "bbox": [ + 170, + 684, + 439, + 695.3333333333334 + ], + "spans": [], + "index": 41 + }, + { + "bbox": [ + 170, + 695.3333333333334, + 439, + 706.6666666666667 + ], + "spans": [], + "index": 42 + }, + { + "bbox": [ + 170, + 706.6666666666667, + 439, + 718.0000000000001 + ], + "spans": [], + "index": 43 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 720, + 417, + 733 + ], + "lines": [ + { + "bbox": [ + 106, + 719, + 418, + 735 + ], + "spans": [ + { + "bbox": [ + 106, + 719, + 133, + 735 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 720, + 216, + 732 + ], + "score": 0.92, + "content": "\\alpha _ { \\mathrm { R S C } } = \\kappa _ { L } - \\kappa _ { L } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 719, + 418, + 735 + ], + "score": 1.0, + "content": ". This, together with (23), accomplishes the proof.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44, + "bbox_fs": [ + 106, + 719, + 418, + 735 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 81, + 505, + 127 + ], + "lines": [ + { + "bbox": [ + 104, + 81, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 104, + 81, + 331, + 97 + ], + "score": 1.0, + "content": "Lemma 3. (Concentration bound for martingale) Let", + "type": "text" + }, + { + "bbox": [ + 332, + 82, + 404, + 95 + ], + "score": 0.91, + "content": "\\{ \\xi ^ { i } , 1 \\le i \\le n \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 81, + 471, + 97 + ], + "score": 1.0, + "content": "be independent", + "type": "text" + }, + { + "bbox": [ + 471, + 82, + 483, + 93 + ], + "score": 0.87, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 81, + 506, + 97 + ], + "score": 1.0, + "content": "-sub-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 91, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 307, + 106 + ], + "score": 1.0, + "content": "Gaussian random variables with mean zero, and", + "type": "text" + }, + { + "bbox": [ + 307, + 94, + 376, + 105 + ], + "score": 0.87, + "content": "\\{ z ^ { i } , 1 \\leq i \\leq n \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 91, + 506, + 106 + ], + "score": 1.0, + "content": "is another sequence of random", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 103, + 103, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 103, + 103, + 203, + 118 + ], + "score": 1.0, + "content": "variables. Suppose that", + "type": "text" + }, + { + "bbox": [ + 203, + 104, + 212, + 116 + ], + "score": 0.87, + "content": "\\xi ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 103, + 284, + 118 + ], + "score": 1.0, + "content": "is independent of", + "type": "text" + }, + { + "bbox": [ + 284, + 105, + 357, + 116 + ], + "score": 0.86, + "content": "\\{ z ^ { i } , z ^ { i - 1 } , \\ldots , z ^ { 1 } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 103, + 386, + 118 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 386, + 105, + 428, + 116 + ], + "score": 0.9, + "content": "1 \\leq i \\leq n", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 103, + 506, + 118 + ], + "score": 1.0, + "content": ". It then holds that,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 233, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 192, + 127 + ], + "score": 1.0, + "content": "for any real numbers", + "type": "text" + }, + { + "bbox": [ + 193, + 116, + 228, + 127 + ], + "score": 0.89, + "content": "\\alpha , \\beta > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 115, + 233, + 127 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "interline_equation", + "bbox": [ + 169, + 130, + 442, + 165 + ], + "lines": [ + { + "bbox": [ + 169, + 130, + 442, + 165 + ], + "spans": [ + { + "bbox": [ + 169, + 130, + 442, + 165 + ], + "score": 0.93, + "content": "\\mathbb { P } \\left[ \\left\\{ \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } z ^ { i } \\geq \\alpha \\right\\} \\cap \\left\\{ \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } ( z ^ { i } ) ^ { 2 } \\leq \\beta \\right\\} \\right] \\leq \\exp \\left( { - \\frac { n \\alpha ^ { 2 } } { 2 \\sigma ^ { 2 } \\beta } } \\right) .", + "type": "interline_equation", + "image_path": "81b6078bd2521f1298c5343f4efb88d58e2b53a21026815318f7ab2441abbd4d.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 169, + 130, + 442, + 141.66666666666666 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 169, + 141.66666666666666, + 442, + 153.33333333333331 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 169, + 153.33333333333331, + 442, + 164.99999999999997 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 174, + 487, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 173, + 487, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 487, + 189 + ], + "score": 1.0, + "content": "Proof. We can prove the lemma by a method similar to Lemma 4.2 in Simchowitz et al. (2018).", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "title", + "bbox": [ + 108, + 199, + 255, + 211 + ], + "lines": [ + { + "bbox": [ + 106, + 198, + 256, + 212 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 256, + 212 + ], + "score": 1.0, + "content": "A.4 CLASSIFICATION PROBLEMS", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 107, + 219, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 106, + 219, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 352, + 232 + ], + "score": 1.0, + "content": "Starting from Section 2.2, we know that, for each input tensor", + "type": "text" + }, + { + "bbox": [ + 352, + 221, + 361, + 230 + ], + "score": 0.83, + "content": "{ \\boldsymbol x }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 219, + 505, + 232 + ], + "score": 1.0, + "content": ", the intermediate scalar output after", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 231, + 299, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 299, + 244 + ], + "score": 1.0, + "content": "convolution and pooling has the following form", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5 + }, + { + "type": "interline_equation", + "bbox": [ + 148, + 246, + 463, + 281 + ], + "lines": [ + { + "bbox": [ + 148, + 246, + 463, + 281 + ], + "spans": [ + { + "bbox": [ + 148, + 246, + 463, + 281 + ], + "score": 0.93, + "content": "\\mathrm { o u t p u t } = \\langle \\mathcal { X } , \\sum _ { k = 1 } ^ { K } ( \\mathfrak { B } _ { k } \\otimes \\mathcal { A } _ { k } ) \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) } \\times _ { 2 } U _ { \\mathcal { F } } ^ { ( 2 ) } \\times _ { 3 } \\cdots \\times _ { N } U _ { \\mathcal { F } } ^ { ( N ) } \\rangle = \\langle \\mathfrak { Z } , \\mathcal { W } \\rangle ,", + "type": "interline_equation", + "image_path": "9d2dba13ab9429fdaa051bed3f6b88ab9303283573ab51e0f584a7abd5663107.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 148, + 246, + 463, + 257.6666666666667 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 148, + 257.6666666666667, + 463, + 269.33333333333337 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 148, + 269.33333333333337, + 463, + 281.00000000000006 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 285, + 503, + 311 + ], + "lines": [ + { + "bbox": [ + 101, + 278, + 509, + 312 + ], + "spans": [ + { + "bbox": [ + 101, + 278, + 130, + 312 + ], + "score": 1.0, + "content": "wheris the", + "type": "text" + }, + { + "bbox": [ + 133, + 286, + 224, + 300 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\mathbf { \\mathcal { W } } = \\sum _ { k = 1 } ^ { K } \\mathbf { \\mathcal { B } } _ { k } \\otimes \\mathbf { \\mathcal { A } } _ { k } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 285, + 418, + 300 + ], + "score": 0.92, + "content": "\\mathfrak { Z } = \\mathfrak { X } \\times _ { 1 } U _ { \\mathcal { F } } ^ { ( 1 ) \\prime } \\times _ { 2 } U _ { \\mathcal { F } } ^ { ( 2 ) \\prime } \\times _ { 3 } \\cdot \\cdot \\cdot \\times _ { N } U _ { \\mathcal { F } } ^ { ( N ) \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 278, + 509, + 306 + ], + "score": 1.0, + "content": ")0 ×3 · · · ×N U (N )0F , Ak ∈ Rl1×l2×···×lN", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 131, + 299, + 276, + 310 + ], + "spans": [ + { + "bbox": [ + 131, + 299, + 137, + 309 + ], + "score": 0.75, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 299, + 276, + 310 + ], + "score": 0.9, + "content": "\\mathbf { \\mathcal { B } } _ { k } \\in \\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\cdots \\times p _ { N } }", + "type": "inline_equation" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 105, + 315, + 468, + 327 + ], + "lines": [ + { + "bbox": [ + 106, + 315, + 467, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 402, + 329 + ], + "score": 1.0, + "content": "Consider a binary classification problem. 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(Concentration bound for martingale) Let", + "type": "text" + }, + { + "bbox": [ + 332, + 82, + 404, + 95 + ], + "score": 0.91, + "content": "\\{ \\xi ^ { i } , 1 \\le i \\le n \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 81, + 471, + 97 + ], + "score": 1.0, + "content": "be independent", + "type": "text" + }, + { + "bbox": [ + 471, + 82, + 483, + 93 + ], + "score": 0.87, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 81, + 506, + 97 + ], + "score": 1.0, + "content": "-sub-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 91, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 307, + 106 + ], + "score": 1.0, + "content": "Gaussian random variables with mean zero, and", + "type": "text" + }, + { + "bbox": [ + 307, + 94, + 376, + 105 + ], + "score": 0.87, + "content": "\\{ z ^ { i } , 1 \\leq i \\leq n \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 91, + 506, + 106 + ], + "score": 1.0, + "content": "is another sequence of random", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 103, + 103, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 103, + 103, + 203, + 118 + ], + "score": 1.0, + "content": "variables. 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We can prove the lemma by a method similar to Lemma 4.2 in Simchowitz et al. 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Also,", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 93, + 457, + 109 + ], + "spans": [ + { + "bbox": [ + 107, + 93, + 164, + 107 + ], + "score": 0.92, + "content": "\\{ \\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } ) \\} _ { i = 1 } ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 93, + 457, + 109 + ], + "score": 1.0, + "content": "can be sub-gaussian random vectors instead of gaussian random vectors.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 107, + 110, + 231, + 123 + ], + "lines": [ + { + "bbox": [ + 105, + 109, + 232, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 109, + 138, + 126 + ], + "score": 1.0, + "content": "Denote", + "type": "text" + }, + { + "bbox": [ + 138, + 111, + 228, + 124 + ], + "score": 0.91, + "content": "d _ { \\mathcal { M } } = K ( P + L + 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 109, + 232, + 126 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 126, + 505, + 148 + ], + "lines": [ + { + "bbox": [ + 106, + 125, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 125, + 456, + 139 + ], + "score": 1.0, + "content": "Theorem 3 (Classification: CNN). Suppose that Assumptions 2&3 and Assumption", + "type": "text" + }, + { + "bbox": [ + 457, + 127, + 465, + 136 + ], + "score": 0.42, + "content": "^ { 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 125, + 506, + 139 + ], + "score": 1.0, + "content": "hold and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 107, + 136, + 236, + 150 + ], + "spans": [ + { + "bbox": [ + 107, + 137, + 141, + 149 + ], + "score": 0.92, + "content": "n \\gtrsim d _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 136, + 208, + 150 + ], + "score": 1.0, + "content": ". Then, for some", + "type": "text" + }, + { + "bbox": [ + 208, + 137, + 232, + 147 + ], + "score": 0.9, + "content": "\\delta > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 136, + 236, + 150 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + }, + { + "type": "interline_equation", + "bbox": [ + 216, + 151, + 394, + 185 + ], + "lines": [ + { + "bbox": [ + 216, + 151, + 394, + 185 + ], + "spans": [ + { + "bbox": [ + 216, + 151, + 394, + 185 + ], + "score": 0.94, + "content": "\\Vert \\widehat { \\mathcal { W } } - \\mathcal { W ^ { * } } \\Vert _ { \\mathrm { F } } \\leq \\frac { 2 \\sqrt { \\kappa _ { U } } } { \\kappa _ { 1 } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) ,", + "type": "interline_equation", + "image_path": "764b2f6661c06866c6960e56a0367466d9bce5c9d127eee4b6dd82064ab8322b.jpg" + } + ] + } + ], + "index": 5.5, + "virtual_lines": [ + { + "bbox": [ + 216, + 151, + 394, + 168.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 216, + 168.0, + 394, + 185.0 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 188, + 504, + 211 + ], + "lines": [ + { + "bbox": [ + 105, + 186, + 504, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 171, + 203 + ], + "score": 1.0, + "content": "with probability", + "type": "text" + }, + { + "bbox": [ + 172, + 188, + 390, + 201 + ], + "score": 0.88, + "content": "1 - 4 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\} - 2 \\exp \\left\\{ - c _ { \\gamma } d _ { \\mathcal { M } } - c \\delta \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 186, + 421, + 203 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 421, + 189, + 465, + 201 + ], + "score": 0.92, + "content": "\\delta = O _ { p } ( 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 186, + 493, + 203 + ], + "score": 1.0, + "content": ", c and", + "type": "text" + }, + { + "bbox": [ + 493, + 190, + 504, + 201 + ], + "score": 0.84, + "content": "c _ { \\gamma }", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 200, + 221, + 212 + ], + "spans": [ + { + "bbox": [ + 106, + 200, + 221, + 212 + ], + "score": 1.0, + "content": "are some positive constants.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "interline_equation", + "bbox": [ + 136, + 218, + 466, + 235 + ], + "lines": [ + { + "bbox": [ + 136, + 218, + 466, + 235 + ], + "spans": [ + { + "bbox": [ + 136, + 218, + 466, + 235 + ], + "score": 0.67, + "content": "\\begin{array} { r } { d _ { \\mathcal { M } } ^ { \\mathrm { T U } } = \\prod _ { j = 1 } ^ { N + 1 } R _ { j } + \\sum _ { i = 1 } ^ { N } l _ { i } R _ { i } + R _ { N + 1 } P \\mathrm { ~ a n d } d _ { \\mathcal { M } } ^ { \\mathrm { C P } } = R ^ { N + 1 } + R ( \\sum _ { i = 1 } ^ { N } l _ { i } + P ) . } \\end{array}", + "type": "interline_equation", + "image_path": "c29b2cb88ced1654aa6db70495994ecb094d65562c39facddcd40c1b1d248dad.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 136, + 218, + 466, + 235 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 238, + 506, + 277 + ], + "lines": [ + { + "bbox": [ + 105, + 237, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 321, + 254 + ], + "score": 1.0, + "content": "Corollary 2 (Classification: Compressed CNN). Let", + "type": "text" + }, + { + "bbox": [ + 322, + 237, + 360, + 253 + ], + "score": 0.87, + "content": "( \\widehat { \\mathcal { W } } , d _ { \\mathcal { M } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 237, + 375, + 254 + ], + "score": 1.0, + "content": "be", + "type": "text" + }, + { + "bbox": [ + 375, + 237, + 428, + 253 + ], + "score": 0.87, + "content": "( \\widehat { \\sf w } _ { \\mathrm { T U } } , d _ { \\mathcal { M } } ^ { \\mathrm { T U } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 237, + 506, + 254 + ], + "score": 1.0, + "content": "for Tucker decom-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 252, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 156, + 268 + ], + "score": 1.0, + "content": "position, or", + "type": "text" + }, + { + "bbox": [ + 156, + 252, + 208, + 266 + ], + "score": 0.9, + "content": "( \\widehat { \\sf w } _ { \\mathrm { C P } } , d _ { \\mathcal { M } } ^ { \\mathrm { C P } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 252, + 224, + 268 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 225, + 254, + 239, + 264 + ], + "score": 0.33, + "content": "C P", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 252, + 506, + 268 + ], + "score": 1.0, + "content": "decomposition. 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Denote the sets", + "type": "text" + }, + { + "bbox": [ + 258, + 381, + 459, + 396 + ], + "score": 0.85, + "content": "\\begin{array} { r } { \\widehat { \\mathcal { S } } _ { K } = \\{ \\sum _ { k = 1 } ^ { K } \\mathbf { 1 } _ { k } \\otimes \\mathbf { 1 } _ { k } : \\mathbf { 1 } _ { k } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 378, + 478, + 400 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 478, + 384, + 505, + 396 + ], + "score": 0.88, + "content": "\\mathbf { \\mathcal { B } } _ { k } \\ \\in", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 394, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 397, + 173, + 410 + ], + "score": 0.92, + "content": "\\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 394, + 192, + 411 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 192, + 396, + 330, + 410 + ], + "score": 0.92, + "content": "S _ { K } = \\{ \\pmb { \\mathscr { W } } \\in \\widehat { S } _ { K } : \\| \\pmb { \\mathscr { W } } \\| _ { \\mathrm { F } } = 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 394, + 413, + 411 + ], + "score": 1.0, + "content": ". We further denote", + "type": "text" + }, + { + "bbox": [ + 413, + 397, + 501, + 410 + ], + "score": 0.92, + "content": "\\Delta = \\operatorname { v e c } ( \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 394, + 506, + 411 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 408, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 104, + 409, + 134, + 423 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 411, + 151, + 420 + ], + "score": 0.87, + "content": "\\boldsymbol { w ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 409, + 306, + 423 + ], + "score": 1.0, + "content": "is the underlying true parameter and", + "type": "text" + }, + { + "bbox": [ + 306, + 408, + 367, + 422 + ], + "score": 0.92, + "content": "w , \\dot { w } ^ { \\ast } \\in \\widehat { S } _ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 409, + 506, + 423 + ], + "score": 1.0, + "content": ", and define the first-order Taylor", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 423, + 129, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 129, + 433 + ], + "score": 1.0, + "content": "error", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5 + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 432, + 408, + 446 + ], + "lines": [ + { + "bbox": [ + 201, + 432, + 408, + 446 + ], + "spans": [ + { + "bbox": [ + 201, + 432, + 408, + 446 + ], + "score": 0.88, + "content": "\\pmb { \\mathcal { E } } _ { n } ( \\pmb { \\Delta } ) = \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ) - \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) - \\langle \\nabla \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) , \\pmb { \\Delta } \\rangle .", + "type": "interline_equation", + "image_path": "3a4d83ff4caa7498b5c8021f75c34bb6a8d93a00409b5acf2b81dbaea3c04095.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 201, + 432, + 408, + 446 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 450, + 326, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 327, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 142, + 466 + ], + "score": 1.0, + "content": "Suppose", + "type": "text" + }, + { + "bbox": [ + 143, + 449, + 155, + 462 + ], + "score": 0.87, + "content": "\\widehat { \\mathcal W }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 448, + 327, + 466 + ], + "score": 1.0, + "content": "is the minimizer for the loss function, i.e.,", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "interline_equation", + "bbox": [ + 257, + 468, + 353, + 495 + ], + "lines": [ + { + "bbox": [ + 257, + 468, + 353, + 495 + ], + "spans": [ + { + "bbox": [ + 257, + 468, + 353, + 495 + ], + "score": 0.92, + "content": "\\widehat { \\pmb { \\mathscr { W } } } = \\underset { \\pmb { \\mathscr { W } } \\in \\widehat { S } _ { K } } { \\arg \\operatorname* { m i n } } \\mathcal { L } _ { n } ( \\pmb { \\mathscr { W } } ) .", + "type": "interline_equation", + "image_path": "df492ce85e040cdeb321e49c189e7e3e9bf8cb77a64c3e5d3ef7e6f84bd8335b.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 257, + 468, + 353, + 495 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 283, + 515 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 284, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 138, + 518 + ], + "score": 1.0, + "content": "Denote", + "type": "text" + }, + { + "bbox": [ + 138, + 501, + 222, + 516 + ], + "score": 0.93, + "content": "\\widehat { \\Delta } = \\mathrm { v e c } ( \\widehat { \\mathcal { W } } - \\mathcal { W } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 500, + 284, + 518 + ], + "score": 1.0, + "content": ". 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Under similar assumptions as in Theorem 3, suppose", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 104, + 133, + 260, + 152 + ], + "spans": [ + { + "bbox": [ + 104, + 133, + 124, + 152 + ], + "score": 1.0, + "content": "that", + "type": "text" + }, + { + "bbox": [ + 124, + 136, + 163, + 149 + ], + "score": 0.93, + "content": "n \\gtrsim \\bar { d } _ { \\mathcal { M } } ^ { \\mathrm { M C } }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 133, + 230, + 152 + ], + "score": 1.0, + "content": ". 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Let", + "type": "text" + }, + { + "bbox": [ + 421, + 257, + 484, + 273 + ], + "score": 0.89, + "content": "( \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathbf { s t a c k } } , d _ { \\mathcal { M } } ^ { \\mathrm { M C } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 256, + 507, + 276 + ], + "score": 1.0, + "content": "be", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 107, + 265, + 509, + 294 + ], + "spans": [ + { + "bbox": [ + 107, + 271, + 199, + 286 + ], + "score": 0.92, + "content": "( \\widehat { \\mathcal { W } } _ { \\mathrm { s t a c k , T U } } , d _ { \\mathcal { M } } ^ { \\mathrm { M C - T U } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 265, + 340, + 294 + ], + "score": 1.0, + "content": "for Tucker decomposition, or", + "type": "text" + }, + { + "bbox": [ + 340, + 271, + 430, + 286 + ], + "score": 0.91, + "content": "( \\widehat { \\pmb { \\mathscr { W } } } _ { \\mathrm { s t a c k , C P } } , d _ { \\mathcal { M } } ^ { \\mathrm { M C - C P } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 265, + 453, + 294 + ], + "score": 1.0, + "content": "c for", + "type": "text" + }, + { + "bbox": [ + 454, + 274, + 469, + 285 + ], + "score": 0.67, + "content": "C P", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 265, + 509, + 294 + ], + "score": 1.0, + "content": "M decom-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 100, + 282, + 509, + 304 + ], + "spans": [ + { + "bbox": [ + 100, + 282, + 313, + 304 + ], + "score": 1.0, + "content": "position. 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Denote the sets", + "type": "text" + }, + { + "bbox": [ + 258, + 381, + 459, + 396 + ], + "score": 0.85, + "content": "\\begin{array} { r } { \\widehat { \\mathcal { S } } _ { K } = \\{ \\sum _ { k = 1 } ^ { K } \\mathbf { 1 } _ { k } \\otimes \\mathbf { 1 } _ { k } : \\mathbf { 1 } _ { k } \\in \\mathbb { R } ^ { l _ { 1 } \\times l _ { 2 } \\times \\cdots \\times l _ { N } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 378, + 478, + 400 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 478, + 384, + 505, + 396 + ], + "score": 0.88, + "content": "\\mathbf { \\mathcal { B } } _ { k } \\ \\in", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 394, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 397, + 173, + 410 + ], + "score": 0.92, + "content": "\\mathbb { R } ^ { p _ { 1 } \\times p _ { 2 } \\times \\dots \\times p _ { N } } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 394, + 192, + 411 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 192, + 396, + 330, + 410 + ], + "score": 0.92, + "content": "S _ { K } = \\{ \\pmb { \\mathscr { W } } \\in \\widehat { S } _ { K } : \\| \\pmb { \\mathscr { W } } \\| _ { \\mathrm { F } } = 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 394, + 413, + 411 + ], + "score": 1.0, + "content": ". We further denote", + "type": "text" + }, + { + "bbox": [ + 413, + 397, + 501, + 410 + ], + "score": 0.92, + "content": "\\Delta = \\operatorname { v e c } ( \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 394, + 506, + 411 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 408, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 104, + 409, + 134, + 423 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 411, + 151, + 420 + ], + "score": 0.87, + "content": "\\boldsymbol { w ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 409, + 306, + 423 + ], + "score": 1.0, + "content": "is the underlying true parameter and", + "type": "text" + }, + { + "bbox": [ + 306, + 408, + 367, + 422 + ], + "score": 0.92, + "content": "w , \\dot { w } ^ { \\ast } \\in \\widehat { S } _ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 409, + 506, + 423 + ], + "score": 1.0, + "content": ", and define the first-order Taylor", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 423, + 129, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 129, + 433 + ], + "score": 1.0, + "content": "error", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5, + "bbox_fs": [ + 102, + 378, + 506, + 433 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 432, + 408, + 446 + ], + "lines": [ + { + "bbox": [ + 201, + 432, + 408, + 446 + ], + "spans": [ + { + "bbox": [ + 201, + 432, + 408, + 446 + ], + "score": 0.88, + "content": "\\pmb { \\mathcal { E } } _ { n } ( \\pmb { \\Delta } ) = \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ) - \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) - \\langle \\nabla \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) , \\pmb { \\Delta } \\rangle .", + "type": "interline_equation", + "image_path": "3a4d83ff4caa7498b5c8021f75c34bb6a8d93a00409b5acf2b81dbaea3c04095.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 201, + 432, + 408, + 446 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 450, + 326, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 327, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 142, + 466 + ], + "score": 1.0, + "content": "Suppose", + "type": "text" + }, + { + "bbox": [ + 143, + 449, + 155, + 462 + ], + "score": 0.87, + "content": "\\widehat { \\mathcal W }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 448, + 327, + 466 + ], + "score": 1.0, + "content": "is the minimizer for the loss function, i.e.,", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 448, + 327, + 466 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 257, + 468, + 353, + 495 + ], + "lines": [ + { + "bbox": [ + 257, + 468, + 353, + 495 + ], + "spans": [ + { + "bbox": [ + 257, + 468, + 353, + 495 + ], + "score": 0.92, + "content": "\\widehat { \\pmb { \\mathscr { W } } } = \\underset { \\pmb { \\mathscr { W } } \\in \\widehat { S } _ { K } } { \\arg \\operatorname* { m i n } } \\mathcal { L } _ { n } ( \\pmb { \\mathscr { W } } ) .", + "type": "interline_equation", + "image_path": "df492ce85e040cdeb321e49c189e7e3e9bf8cb77a64c3e5d3ef7e6f84bd8335b.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 257, + 468, + 353, + 495 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 283, + 515 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 284, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 138, + 518 + ], + "score": 1.0, + "content": "Denote", + "type": "text" + }, + { + "bbox": [ + 138, + 501, + 222, + 516 + ], + "score": 0.93, + "content": "\\widehat { \\Delta } = \\mathrm { v e c } ( \\widehat { \\mathcal { W } } - \\mathcal { W } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 500, + 284, + 518 + ], + "score": 1.0, + "content": ". 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For simplicity of notation, denote", + "type": "text" + }, + { + "bbox": [ + 481, + 82, + 505, + 94 + ], + "score": 0.87, + "content": "\\mathbf { \\delta } _ { \\mathbf { \\mathcal { X } } ^ { i } } = \\mathbf { \\delta } _ { }", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 382, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 140, + 107 + ], + "score": 0.88, + "content": "\\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 93, + 159, + 108 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 159, + 93, + 214, + 107 + ], + "score": 0.93, + "content": "z ^ { i } = \\mathrm { v e c } ( \\mathfrak { Z } ^ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 93, + 269, + 108 + ], + "score": 1.0, + "content": ". It holds that", + "type": "text" + }, + { + "bbox": [ + 270, + 94, + 317, + 106 + ], + "score": 0.93, + "content": "\\pmb { z } ^ { i } = \\pmb { U } _ { G } \\pmb { x } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 93, + 335, + 108 + ], + "score": 1.0, + "content": ", for", + "type": "text" + }, + { + "bbox": [ + 336, + 95, + 378, + 106 + ], + "score": 0.91, + "content": "1 \\leq i \\leq n", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 93, + 382, + 108 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 105, + 108, + 505, + 131 + ], + "lines": [ + { + "bbox": [ + 105, + 106, + 505, + 122 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 313, + 122 + ], + "score": 1.0, + "content": "Lemma 4 (Deviation bound). Under Assumption", + "type": "text" + }, + { + "bbox": [ + 313, + 109, + 337, + 120 + ], + "score": 0.55, + "content": "4 ( C 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 106, + 398, + 122 + ], + "score": 1.0, + "content": ", suppose that", + "type": "text" + }, + { + "bbox": [ + 398, + 108, + 437, + 120 + ], + "score": 0.91, + "content": "n \\gtrsim d _ { { \\mathcal { M } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 106, + 505, + 122 + ], + "score": 1.0, + "content": ", then, for some", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 117, + 137, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 120, + 131, + 130 + ], + "score": 0.87, + "content": "\\delta > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 117, + 137, + 133 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "interline_equation", + "bbox": [ + 138, + 131, + 471, + 165 + ], + "lines": [ + { + "bbox": [ + 138, + 131, + 471, + 165 + ], + "spans": [ + { + "bbox": [ + 138, + 131, + 471, + 165 + ], + "score": 0.92, + "content": "\\mathbb { P } \\left\\{ \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { s u p } } \\left| \\langle \\nabla \\mathcal { L } _ { n } ( \\mathcal { W } ^ { * } ) , \\Delta \\rangle \\right| \\geq 0 . 5 \\sqrt { \\kappa _ { U } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\gamma } d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "8fe2d7ede053b9426e77604acbf56af08ca3e0d5ac563ab9b8b0d78956f78baf.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 138, + 131, + 471, + 142.33333333333334 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 138, + 142.33333333333334, + 471, + 153.66666666666669 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 138, + 153.66666666666669, + 471, + 165.00000000000003 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 167, + 461, + 180 + ], + "lines": [ + { + "bbox": [ + 105, + 165, + 462, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 133, + 182 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 167, + 177, + 180 + ], + "score": 0.8, + "content": "\\delta = O _ { p } ( 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 165, + 181, + 182 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 181, + 167, + 271, + 180 + ], + "score": 0.88, + "content": "d _ { \\mathcal { M } } = K ( P + L + 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 165, + 275, + 182 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 275, + 167, + 326, + 179 + ], + "score": 0.84, + "content": "\\kappa _ { U } = C _ { x } C _ { u }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 165, + 345, + 182 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 345, + 169, + 356, + 180 + ], + "score": 0.85, + "content": "c _ { \\gamma }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 165, + 462, + 182 + ], + "score": 1.0, + "content": "is some positive constant.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 191, + 277, + 205 + ], + "lines": [ + { + "bbox": [ + 105, + 189, + 278, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 152, + 208 + ], + "score": 1.0, + "content": "Proof. Let", + "type": "text" + }, + { + "bbox": [ + 152, + 192, + 213, + 205 + ], + "score": 0.95, + "content": "\\eta ^ { i } = \\langle \\Xi ^ { i } , { \\mathcal { W } } ^ { * } \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 189, + 278, + 208 + ], + "score": 1.0, + "content": ", and from (25),", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "interline_equation", + "bbox": [ + 209, + 207, + 400, + 240 + ], + "lines": [ + { + "bbox": [ + 209, + 207, + 400, + 240 + ], + "spans": [ + { + "bbox": [ + 209, + 207, + 400, + 240 + ], + "score": 0.94, + "content": "\\langle \\nabla \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) , \\pmb { \\Delta } \\rangle = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\langle z ^ { i } , \\pmb { \\Delta } \\rangle ,", + "type": "interline_equation", + "image_path": "83e13a902dff932b0985a7ee7dc39722644060c931e2ffdb4ac368497b6a87b0.jpg" + } + ] + } + ], + "index": 9.5, + "virtual_lines": [ + { + "bbox": [ + 209, + 207, + 400, + 223.5 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 209, + 223.5, + 400, + 240.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 241, + 205, + 252 + ], + "lines": [ + { + "bbox": [ + 106, + 241, + 205, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 205, + 253 + ], + "score": 1.0, + "content": "and we can observe that", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 124, + 254, + 484, + 268 + ], + "lines": [ + { + "bbox": [ + 124, + 254, + 484, + 268 + ], + "spans": [ + { + "bbox": [ + 124, + 254, + 484, + 268 + ], + "score": 0.85, + "content": "\\mathbb { E } \\{ [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\langle z ^ { i } , \\Delta \\rangle \\} = \\mathbb { E } \\{ \\mathbb { E } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y | z ] \\langle z ^ { i } , \\Delta \\rangle \\} = 0 = \\mathbb { E } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\mathbb { E } [ \\langle z ^ { i } , \\Delta \\rangle ] .", + "type": "interline_equation", + "image_path": "4cde49c5073dd07325a8dbfeeecbd9081e1df62157604a604d080bcdcb4f4357.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 124, + 254, + 484, + 268 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 270, + 504, + 304 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 160, + 285 + ], + "score": 1.0, + "content": "It implies (i)", + "type": "text" + }, + { + "bbox": [ + 160, + 270, + 253, + 282 + ], + "score": 0.91, + "content": "\\mathbb { E } \\langle \\nabla \\mathcal { L } _ { n } ( \\boldsymbol { \\mathsf { W } } ^ { * } ) , \\boldsymbol { \\Delta } \\rangle = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 268, + 381, + 285 + ], + "score": 1.0, + "content": ", (ii) the independence between", + "type": "text" + }, + { + "bbox": [ + 381, + 270, + 429, + 282 + ], + "score": 0.92, + "content": "\\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 268, + 448, + 285 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 448, + 270, + 480, + 282 + ], + "score": 0.91, + "content": "\\langle z ^ { i } , \\Delta \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 268, + 506, + 285 + ], + "score": 1.0, + "content": ". 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For simplicity of notation, denote", + "type": "text" + }, + { + "bbox": [ + 481, + 82, + 505, + 94 + ], + "score": 0.87, + "content": "\\mathbf { \\delta } _ { \\mathbf { \\mathcal { X } } ^ { i } } = \\mathbf { \\delta } _ { }", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 382, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 140, + 107 + ], + "score": 0.88, + "content": "\\mathrm { v e c } ( \\mathbf { \\mathcal { X } } ^ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 93, + 159, + 108 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 159, + 93, + 214, + 107 + ], + "score": 0.93, + "content": "z ^ { i } = \\mathrm { v e c } ( \\mathfrak { Z } ^ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 93, + 269, + 108 + ], + "score": 1.0, + "content": ". It holds that", + "type": "text" + }, + { + "bbox": [ + 270, + 94, + 317, + 106 + ], + "score": 0.93, + "content": "\\pmb { z } ^ { i } = \\pmb { U } _ { G } \\pmb { x } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 93, + 335, + 108 + ], + "score": 1.0, + "content": ", for", + "type": "text" + }, + { + "bbox": [ + 336, + 95, + 378, + 106 + ], + "score": 0.91, + "content": "1 \\leq i \\leq n", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 93, + 382, + 108 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 106, + 81, + 505, + 108 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 108, + 505, + 131 + ], + "lines": [ + { + "bbox": [ + 105, + 106, + 505, + 122 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 313, + 122 + ], + "score": 1.0, + "content": "Lemma 4 (Deviation bound). Under Assumption", + "type": "text" + }, + { + "bbox": [ + 313, + 109, + 337, + 120 + ], + "score": 0.55, + "content": "4 ( C 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 106, + 398, + 122 + ], + "score": 1.0, + "content": ", suppose that", + "type": "text" + }, + { + "bbox": [ + 398, + 108, + 437, + 120 + ], + "score": 0.91, + "content": "n \\gtrsim d _ { { \\mathcal { M } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 106, + 505, + 122 + ], + "score": 1.0, + "content": ", then, for some", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 117, + 137, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 120, + 131, + 130 + ], + "score": 0.87, + "content": "\\delta > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 117, + 137, + 133 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 106, + 505, + 133 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 138, + 131, + 471, + 165 + ], + "lines": [ + { + "bbox": [ + 138, + 131, + 471, + 165 + ], + "spans": [ + { + "bbox": [ + 138, + 131, + 471, + 165 + ], + "score": 0.92, + "content": "\\mathbb { P } \\left\\{ \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { s u p } } \\left| \\langle \\nabla \\mathcal { L } _ { n } ( \\mathcal { W } ^ { * } ) , \\Delta \\rangle \\right| \\geq 0 . 5 \\sqrt { \\kappa _ { U } } \\left( \\sqrt { \\frac { d _ { \\mathcal { M } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) \\right\\} \\leq 2 \\exp \\left\\{ - c _ { \\gamma } d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "8fe2d7ede053b9426e77604acbf56af08ca3e0d5ac563ab9b8b0d78956f78baf.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 138, + 131, + 471, + 142.33333333333334 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 138, + 142.33333333333334, + 471, + 153.66666666666669 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 138, + 153.66666666666669, + 471, + 165.00000000000003 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 167, + 461, + 180 + ], + "lines": [ + { + "bbox": [ + 105, + 165, + 462, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 133, + 182 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 167, + 177, + 180 + ], + "score": 0.8, + "content": "\\delta = O _ { p } ( 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 165, + 181, + 182 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 181, + 167, + 271, + 180 + ], + "score": 0.88, + "content": "d _ { \\mathcal { M } } = K ( P + L + 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 165, + 275, + 182 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 275, + 167, + 326, + 179 + ], + "score": 0.84, + "content": "\\kappa _ { U } = C _ { x } C _ { u }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 165, + 345, + 182 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 345, + 169, + 356, + 180 + ], + "score": 0.85, + "content": "c _ { \\gamma }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 165, + 462, + 182 + ], + "score": 1.0, + "content": "is some positive constant.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 165, + 462, + 182 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 191, + 277, + 205 + ], + "lines": [ + { + "bbox": [ + 105, + 189, + 278, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 152, + 208 + ], + "score": 1.0, + "content": "Proof. Let", + "type": "text" + }, + { + "bbox": [ + 152, + 192, + 213, + 205 + ], + "score": 0.95, + "content": "\\eta ^ { i } = \\langle \\Xi ^ { i } , { \\mathcal { W } } ^ { * } \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 189, + 278, + 208 + ], + "score": 1.0, + "content": ", and from (25),", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 189, + 278, + 208 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 209, + 207, + 400, + 240 + ], + "lines": [ + { + "bbox": [ + 209, + 207, + 400, + 240 + ], + "spans": [ + { + "bbox": [ + 209, + 207, + 400, + 240 + ], + "score": 0.94, + "content": "\\langle \\nabla \\mathcal { L } _ { n } ( \\pmb { \\mathcal { W } } ^ { * } ) , \\pmb { \\Delta } \\rangle = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\langle z ^ { i } , \\pmb { \\Delta } \\rangle ,", + "type": "interline_equation", + "image_path": "83e13a902dff932b0985a7ee7dc39722644060c931e2ffdb4ac368497b6a87b0.jpg" + } + ] + } + ], + "index": 9.5, + "virtual_lines": [ + { + "bbox": [ + 209, + 207, + 400, + 223.5 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 209, + 223.5, + 400, + 240.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 241, + 205, + 252 + ], + "lines": [ + { + "bbox": [ + 106, + 241, + 205, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 205, + 253 + ], + "score": 1.0, + "content": "and we can observe that", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11, + "bbox_fs": [ + 106, + 241, + 205, + 253 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 124, + 254, + 484, + 268 + ], + "lines": [ + { + "bbox": [ + 124, + 254, + 484, + 268 + ], + "spans": [ + { + "bbox": [ + 124, + 254, + 484, + 268 + ], + "score": 0.85, + "content": "\\mathbb { E } \\{ [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\langle z ^ { i } , \\Delta \\rangle \\} = \\mathbb { E } \\{ \\mathbb { E } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y | z ] \\langle z ^ { i } , \\Delta \\rangle \\} = 0 = \\mathbb { E } [ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } ] \\mathbb { E } [ \\langle z ^ { i } , \\Delta \\rangle ] .", + "type": "interline_equation", + "image_path": "4cde49c5073dd07325a8dbfeeecbd9081e1df62157604a604d080bcdcb4f4357.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 124, + 254, + 484, + 268 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 270, + 504, + 304 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 160, + 285 + ], + "score": 1.0, + "content": "It implies (i)", + "type": "text" + }, + { + "bbox": [ + 160, + 270, + 253, + 282 + ], + "score": 0.91, + "content": "\\mathbb { E } \\langle \\nabla \\mathcal { L } _ { n } ( \\boldsymbol { \\mathsf { W } } ^ { * } ) , \\boldsymbol { \\Delta } \\rangle = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 268, + 381, + 285 + ], + "score": 1.0, + "content": ", (ii) the independence between", + "type": "text" + }, + { + "bbox": [ + 381, + 270, + 429, + 282 + ], + "score": 0.92, + "content": "\\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 268, + 448, + 285 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 448, + 270, + 480, + 282 + ], + "score": 0.91, + "content": "\\langle z ^ { i } , \\Delta \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 268, + 506, + 285 + ], + "score": 1.0, + "content": ". 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Suppose that", + "type": "text" + }, + { + "bbox": [ + 241, + 83, + 276, + 95 + ], + "score": 0.92, + "content": "n \\gtrsim d _ { { \\mathcal { M } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 81, + 474, + 96 + ], + "score": 1.0, + "content": ", under Assumptions 4, there exists some constant", + "type": "text" + }, + { + "bbox": [ + 474, + 83, + 501, + 93 + ], + "score": 0.85, + "content": "R > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 81, + 505, + 96 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 340, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 176, + 108 + ], + "score": 1.0, + "content": "such that for any", + "type": "text" + }, + { + "bbox": [ + 176, + 93, + 218, + 106 + ], + "score": 0.92, + "content": "\\boldsymbol { w } \\in \\widehat { \\mathcal { S } } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 94, + 261, + 108 + ], + "score": 1.0, + "content": "satisfying", + "type": "text" + }, + { + "bbox": [ + 261, + 95, + 338, + 108 + ], + "score": 0.9, + "content": "\\| \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } \\| _ { \\mathrm { F } } \\leq R ,", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 94, + 340, + 108 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "interline_equation", + "bbox": [ + 248, + 110, + 362, + 136 + ], + "lines": [ + { + "bbox": [ + 248, + 110, + 362, + 136 + ], + "spans": [ + { + "bbox": [ + 248, + 110, + 362, + 136 + ], + "score": 0.93, + "content": "\\operatorname* { i n f } _ { \\pmb { \\Delta } \\in S _ { 2 K } } \\pmb { \\Delta } ^ { \\prime } \\pmb { H } _ { n } ( \\pmb { \\mathcal { W } } ) \\pmb { \\Delta } \\geq \\frac { \\widetilde { \\kappa } _ { 1 } } { 2 }", + "type": "interline_equation", + "image_path": "82801110a695803250feb1ada5cd0f6fc6948922c9078138ded6e3be898c8cc0.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 248, + 110, + 362, + 136 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 138, + 196, + 151 + ], + "lines": [ + { + "bbox": [ + 105, + 137, + 196, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 196, + 153 + ], + "score": 1.0, + "content": "holds with probability", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "interline_equation", + "bbox": [ + 242, + 149, + 367, + 162 + ], + "lines": [ + { + "bbox": [ + 242, + 149, + 367, + 162 + ], + "spans": [ + { + "bbox": [ + 242, + 149, + 367, + 162 + ], + "score": 0.89, + "content": "1 - 4 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\cal M } \\right\\} ,", + "type": "interline_equation", + "image_path": "e9c195f654adb804b24a25628572406bb4fe5d0f584759819018418061672cab.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 242, + 149, + 367, + 162 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 163, + 320, + 176 + ], + "lines": [ + { + "bbox": [ + 106, + 162, + 320, + 177 + ], + "spans": [ + { + "bbox": [ + 106, + 162, + 133, + 177 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 164, + 192, + 175 + ], + "score": 0.9, + "content": "\\widetilde { \\kappa } _ { 1 } = \\kappa _ { 1 } - \\kappa _ { U }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 162, + 215, + 177 + ], + "score": 1.0, + "content": ". 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\\mathbb { E } \\left[ \\langle \\pmb { \\Delta } , \\widetilde { z } \\rangle ^ { 2 } \\right] \\| _ { \\psi _ { 1 } } \\leq 2 \\| \\langle \\pmb { \\Delta } , \\widetilde { z } ^ { i } \\rangle ^ { 2 } \\| _ { \\psi _ { 1 } } \\leq 4 \\| \\langle \\pmb { \\Delta } , \\widetilde { z } ^ { i } \\rangle \\| _ { \\psi _ { 2 } } ^ { 2 } \\leq \\kappa _ { U } ,", + "type": "interline_equation", + "image_path": "efff3e87b4e3deda0a5451b3de6dac9a7b85c4236b7835897683c2a7bbd8fc88.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 160, + 401, + 450, + 416 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 418, + 503, + 442 + ], + "lines": [ + { + "bbox": [ + 105, + 417, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 432 + ], + "score": 1.0, + "content": "where the first inequality comes from Remark 5.18 in (Vershynin, 2010) and second inequality", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 429, + 296, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 296, + 442 + ], + "score": 1.0, + "content": "comes from Lemma 5.14 in (Vershynin, 2010).", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 106, + 446, + 504, + 469 + ], + "lines": [ + { + "bbox": [ + 106, + 445, + 504, + 460 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 493, + 460 + ], + "score": 1.0, + "content": "And hence, by the Beinstein-type inequality in Corollary 5.17 in (Vershynin, 2010), for any fixed", + "type": "text" + }, + { + "bbox": [ + 493, + 447, + 504, + 456 + ], + "score": 0.7, + "content": "\\pmb { \\Delta }", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 457, + 227, + 470 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 145, + 470 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 145, + 457, + 188, + 469 + ], + "score": 0.93, + "content": "\\lVert \\Delta \\rVert _ { 2 } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 457, + 227, + 470 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5 + }, + { + "type": "interline_equation", + "bbox": [ + 128, + 471, + 482, + 536 + ], + "lines": [ + { + "bbox": [ + 128, + 471, + 482, + 536 + ], + "spans": [ + { + "bbox": [ + 128, + 471, + 482, + 536 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\mathbb { P } \\left\\{ \\displaystyle \\big | \\Delta ^ { \\prime } \\big ( H _ { n } ( \\mathcal { W } ^ { * } ) - 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\\mathbb { E } \\left[ \\langle \\pmb { \\Delta } , \\widetilde { z } \\rangle ^ { 2 } \\right] \\| _ { \\psi _ { 1 } } \\leq 2 \\| \\langle \\pmb { \\Delta } , \\widetilde { z } ^ { i } \\rangle ^ { 2 } \\| _ { \\psi _ { 1 } } \\leq 4 \\| \\langle \\pmb { \\Delta } , \\widetilde { z } ^ { i } \\rangle \\| _ { \\psi _ { 2 } } ^ { 2 } \\leq \\kappa _ { U } ,", + "type": "interline_equation", + "image_path": "efff3e87b4e3deda0a5451b3de6dac9a7b85c4236b7835897683c2a7bbd8fc88.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 160, + 401, + 450, + 416 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 418, + 503, + 442 + ], + "lines": [ + { + "bbox": [ + 105, + 417, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 432 + ], + "score": 1.0, + "content": "where the first inequality comes from Remark 5.18 in (Vershynin, 2010) and second inequality", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 429, + 296, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 296, + 442 + ], + "score": 1.0, + "content": "comes from Lemma 5.14 in (Vershynin, 2010).", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 417, + 505, + 442 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 446, + 504, + 469 + ], + "lines": [ + { + "bbox": [ + 106, + 445, + 504, + 460 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 493, + 460 + ], + "score": 1.0, + "content": "And hence, by the Beinstein-type inequality in Corollary 5.17 in (Vershynin, 2010), for any fixed", + "type": "text" + }, + { + "bbox": [ + 493, + 447, + 504, + 456 + ], + "score": 0.7, + "content": "\\pmb { \\Delta }", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 457, + 227, + 470 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 145, + 470 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 145, + 457, + 188, + 469 + ], + "score": 0.93, + "content": "\\lVert \\Delta \\rVert _ { 2 } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 457, + 227, + 470 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5, + "bbox_fs": [ + 106, + 445, + 504, + 470 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 128, + 471, + 482, + 536 + ], + "lines": [ + { + "bbox": [ + 128, + 471, + 482, + 536 + ], + "spans": [ + { + "bbox": [ + 128, + 471, + 482, + 536 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\mathbb { P } \\left\\{ \\displaystyle \\big | \\Delta ^ { \\prime } \\big ( H _ { n } ( \\mathcal { W } ^ { * } ) - H ( \\mathcal { W } ^ { * } ) \\big ) \\Delta \\big | \\geq t \\right\\} = \\mathbb { P } \\left\\{ \\displaystyle \\frac { 1 } { n } \\left| \\displaystyle \\sum _ { i = 1 } ^ { n } \\left\\{ \\langle \\Delta , \\tilde { z } ^ { i } \\rangle ^ { 2 } - \\mathbb { E } \\left[ \\langle \\Delta , \\tilde { z } \\rangle ^ { 2 } \\right] \\right\\} \\right| \\geq t \\right\\} } \\\\ & { \\qquad \\leq 2 \\exp \\left\\{ - c n \\operatorname* { m i n } \\left( \\frac { t } { \\kappa _ { U } } , \\frac { t ^ { 2 } } { \\kappa _ { U } ^ { 2 } } \\right) \\right\\} . } \\end{array}", + "type": "interline_equation", + "image_path": "469c07af8f28b0b9e159489b951dd6ed2e52fccbb17e4c66e779263c69a248f5.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 128, + 471, + 482, + 492.6666666666667 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 128, + 492.6666666666667, + 482, + 514.3333333333334 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 128, + 514.3333333333334, + 482, + 536.0 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 542, + 496, + 555 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 498, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 498, + 557 + ], + "score": 1.0, + "content": "With similar covering number argument as presented in Lemma 2 in our paper, we can show that,", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 540, + 498, + 557 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 118, + 558, + 490, + 586 + ], + "lines": [ + { + "bbox": [ + 118, + 558, + 490, + 586 + ], + "spans": [ + { + "bbox": [ + 118, + 558, + 490, + 586 + ], + "score": 0.93, + "content": "\\mathbb P \\left\\{ \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { s u p } } \\left| \\Delta ^ { \\prime } ( H _ { n } ( \\mathcal { W } ^ { * } ) - H ( \\mathcal { W } ^ { * } ) ) \\Delta \\right| \\geq 2 t \\right\\} \\leq 2 \\exp \\left\\{ - c n \\operatorname* { m i n } \\left( \\frac { t } { \\kappa _ { U } } , \\frac { t ^ { 2 } } { \\kappa _ { U } ^ { 2 } } \\right) + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "2dc5536d379537d34a5bb37d09700dfc936fb59b822b3727cf96e12766bb6c08.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 118, + 558, + 490, + 586 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 589, + 226, + 601 + ], + "lines": [ + { + "bbox": [ + 106, + 588, + 227, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 133, + 603 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 589, + 223, + 601 + ], + "score": 0.92, + "content": "d _ { \\mathcal { M } } = K ( P + L + 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 588, + 227, + 603 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30, + "bbox_fs": [ + 106, + 588, + 227, + 603 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 605, + 406, + 619 + ], + "lines": [ + { + "bbox": [ + 104, + 603, + 403, + 621 + ], + "spans": [ + { + "bbox": [ + 104, + 603, + 125, + 621 + ], + "score": 1.0, + "content": "Llet", + "type": "text" + }, + { + "bbox": [ + 125, + 606, + 168, + 618 + ], + "score": 0.91, + "content": "t = 0 . 5 \\kappa _ { U }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 603, + 367, + 621 + ], + "score": 1.0, + "content": ". By Assumption 4(C1), we can obtain that, when", + "type": "text" + }, + { + "bbox": [ + 367, + 606, + 403, + 618 + ], + "score": 0.91, + "content": "n \\gtrsim d _ { \\mathcal { M } }", + "type": "inline_equation" + } + ], + "index": 31 + } + ], + "index": 31, + "bbox_fs": [ + 104, + 603, + 403, + 621 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 178, + 621, + 431, + 649 + ], + "lines": [ + { + "bbox": [ + 178, + 621, + 431, + 649 + ], + "spans": [ + { + "bbox": [ + 178, + 621, + 431, + 649 + ], + "score": 0.91, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in { \\mathcal { S } } _ { 2 K } } \\Delta ^ { \\prime } H _ { n } ( \\mathcal { W } ^ { * } ) \\Delta \\leq { \\widetilde { \\kappa } } \\right\\} \\leq 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\} ,", + "type": "interline_equation", + "image_path": "cfbb68b717e9f42ae22dc859e4e4d86621b2854e705179222804b26fc57213c8.jpg" + } + ] + } + ], + "index": 32, + "virtual_lines": [ + { + "bbox": [ + 178, + 621, + 431, + 649 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 651, + 210, + 663 + ], + "lines": [ + { + "bbox": [ + 106, + 650, + 211, + 665 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 133, + 665 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 652, + 207, + 663 + ], + "score": 0.91, + "content": "\\widetilde { \\kappa } = \\kappa _ { 0 } - \\kappa _ { U } > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 650, + 211, + 665 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33, + "bbox_fs": [ + 106, + 650, + 211, + 665 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 668, + 239, + 680 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 239, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 155, + 682 + ], + "score": 1.0, + "content": "2. 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Since the difference between", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 393, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 130, + 106 + ], + "score": 0.91, + "content": "h _ { n } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 93, + 148, + 107 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 149, + 93, + 175, + 106 + ], + "score": 0.92, + "content": "H _ { n } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 93, + 326, + 107 + ], + "score": 1.0, + "content": "is the indicator function, it holds that", + "type": "text" + }, + { + "bbox": [ + 327, + 93, + 389, + 106 + ], + "score": 0.93, + "content": "H _ { n } ( \\cdot ) \\geq h _ { n } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 93, + 393, + 107 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 106, + 110, + 505, + 155 + ], + "lines": [ + { + "bbox": [ + 105, + 109, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 109, + 505, + 123 + ], + "score": 1.0, + "content": "We will finish the proof of LRSC in two steps. Firstly, we show that, with high probability,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 121, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 143, + 133 + ], + "score": 0.89, + "content": "\\boldsymbol { h } _ { n } ( \\boldsymbol { w } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 121, + 303, + 134 + ], + "score": 1.0, + "content": "is positive definite on the restricted set", + "type": "text" + }, + { + "bbox": [ + 303, + 122, + 321, + 132 + ], + "score": 0.91, + "content": "S _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 121, + 506, + 134 + ], + "score": 1.0, + "content": ". Secondly, we bound the difference between", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 107, + 131, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 107, + 132, + 161, + 144 + ], + "score": 0.9, + "content": "\\Delta ^ { \\prime } h _ { n } ( \\aleph ) \\Delta", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 131, + 181, + 145 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 181, + 132, + 239, + 144 + ], + "score": 0.93, + "content": "\\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ^ { \\ast } ) \\Delta", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 131, + 331, + 145 + ], + "score": 1.0, + "content": ", and hence show that", + "type": "text" + }, + { + "bbox": [ + 331, + 132, + 363, + 144 + ], + "score": 0.92, + "content": "h _ { n } ( \\aleph )", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 131, + 505, + 145 + ], + "score": 1.0, + "content": "is locally positive definite around", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 143, + 357, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 123, + 154 + ], + "score": 0.83, + "content": "\\boldsymbol { \\mathsf { W } } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 143, + 272, + 156 + ], + "score": 1.0, + "content": ". This naturally leads to the LRSC of", + "type": "text" + }, + { + "bbox": [ + 272, + 143, + 304, + 155 + ], + "score": 0.93, + "content": "{ \\mathcal { L } } _ { n } ( \\aleph )", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 143, + 336, + 156 + ], + "score": 1.0, + "content": "around", + "type": "text" + }, + { + "bbox": [ + 336, + 144, + 352, + 154 + ], + "score": 0.86, + "content": "\\boldsymbol { \\mathsf { W } } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 143, + 357, + 156 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 106, + 159, + 505, + 193 + ], + "lines": [ + { + "bbox": [ + 105, + 158, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 236, + 173 + ], + "score": 1.0, + "content": "From Lemma 8, we can select", + "type": "text" + }, + { + "bbox": [ + 236, + 163, + 243, + 170 + ], + "score": 0.75, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 158, + 289, + 173 + ], + "score": 1.0, + "content": ", such that", + "type": "text" + }, + { + "bbox": [ + 289, + 160, + 354, + 172 + ], + "score": 0.92, + "content": "h ( \\boldsymbol { \\mathcal { W } } ^ { * } ) \\geq \\kappa _ { 1 } I", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 158, + 505, + 173 + ], + "score": 1.0, + "content": ". Following similar arguments as in", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 270, + 183 + ], + "score": 1.0, + "content": "the first part, we can show that for all", + "type": "text" + }, + { + "bbox": [ + 270, + 172, + 315, + 182 + ], + "score": 0.91, + "content": "\\Delta \\in { \\mathcal { S } } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 170, + 505, + 183 + ], + "score": 1.0, + "content": ", the following holds with probability at least", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 181, + 230, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 226, + 194 + ], + "score": 0.88, + "content": "1 - 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\cal M } \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 181, + 230, + 195 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7 + }, + { + "type": "interline_equation", + "bbox": [ + 262, + 192, + 348, + 205 + ], + "lines": [ + { + "bbox": [ + 262, + 192, + 348, + 205 + ], + "spans": [ + { + "bbox": [ + 262, + 192, + 348, + 205 + ], + "score": 0.89, + "content": "\\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ^ { * } ) \\Delta \\geq \\widetilde { \\kappa } _ { 1 } ,", + "type": "interline_equation", + "image_path": "831ed2454484cca22eb843f8225a55b564a031ee4be6373c750a8c2356dd8f3d.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 262, + 192, + 348, + 205 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 206, + 214, + 218 + ], + "lines": [ + { + "bbox": [ + 105, + 204, + 212, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 133, + 220 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 207, + 212, + 218 + ], + "score": 0.88, + "content": "\\widetilde { \\kappa } _ { 1 } = \\kappa _ { 1 } - \\kappa _ { U } > 0", + "type": "inline_equation" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 105, + 222, + 505, + 247 + ], + "lines": [ + { + "bbox": [ + 105, + 222, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 212, + 238 + ], + "score": 1.0, + "content": "In the meanwhile, for any", + "type": "text" + }, + { + "bbox": [ + 212, + 222, + 250, + 236 + ], + "score": 0.93, + "content": "\\boldsymbol { w } \\in \\widehat { \\boldsymbol { S } } _ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 222, + 290, + 238 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 290, + 224, + 367, + 237 + ], + "score": 0.93, + "content": "\\| \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } \\| _ { \\mathrm { F } } \\leq R", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 222, + 398, + 238 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 398, + 225, + 407, + 235 + ], + "score": 0.83, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 222, + 505, + 238 + ], + "score": 1.0, + "content": "can be specified later to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 234, + 206, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 206, + 249 + ], + "score": 1.0, + "content": "satisfy some conditions,", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "interline_equation", + "bbox": [ + 131, + 249, + 479, + 349 + ], + "lines": [ + { + "bbox": [ + 131, + 249, + 479, + 349 + ], + "spans": [ + { + "bbox": [ + 131, + 249, + 479, + 349 + ], + "score": 0.95, + "content": "\\begin{array} { r l } { \\displaystyle | h _ { n } ( \\mathcal { W } ) - h _ { n } ( \\mathcal { W } ^ { * } ) | = \\left| \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } \\rangle ) \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } - \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } ^ { * } \\rangle ) \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } \\right| } & { } \\\\ { \\displaystyle \\leq \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left| \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } \\rangle ) - \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } ^ { * } \\rangle ) \\right| \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } } & { } \\\\ { \\displaystyle = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left| \\phi ^ { \\prime \\prime \\prime } ( \\langle \\Xi ^ { i } , \\bar { \\mathcal { W } } \\rangle ) \\langle \\Xi ^ { i } , \\mathcal { W } - \\mathcal { W } ^ { * } \\rangle \\right| \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } , } & { } \\end{array}", + "type": "interline_equation", + "image_path": "974a88e65ee8aaf5bd315e0c71a055c913644f6efee45586d1847df4efc27c51.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 131, + 249, + 479, + 282.3333333333333 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 131, + 282.3333333333333, + 479, + 315.66666666666663 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 131, + 315.66666666666663, + 479, + 348.99999999999994 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 352, + 503, + 376 + ], + "lines": [ + { + "bbox": [ + 106, + 352, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 133, + 366 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 352, + 146, + 363 + ], + "score": 0.83, + "content": "\\bar { \\bf w }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 352, + 200, + 366 + ], + "score": 1.0, + "content": "lies between", + "type": "text" + }, + { + "bbox": [ + 200, + 353, + 212, + 363 + ], + "score": 0.68, + "content": "\\boldsymbol { w }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 352, + 231, + 366 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 231, + 353, + 247, + 363 + ], + "score": 0.89, + "content": "\\boldsymbol { \\mathsf { W } } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 352, + 269, + 366 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 269, + 353, + 398, + 365 + ], + "score": 0.93, + "content": "\\phi ^ { \\prime \\prime \\prime } ( z ) = e ^ { z } ( 1 - e ^ { z } ) / ( 1 + e ^ { z } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 352, + 468, + 366 + ], + "score": 1.0, + "content": ". Given the event", + "type": "text" + }, + { + "bbox": [ + 469, + 354, + 477, + 363 + ], + "score": 0.83, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 352, + 505, + 366 + ], + "score": 1.0, + "content": "holds,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 363, + 289, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 137, + 378 + ], + "score": 1.0, + "content": "choose", + "type": "text" + }, + { + "bbox": [ + 137, + 365, + 164, + 375 + ], + "score": 0.9, + "content": "R < \\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 363, + 289, + 378 + ], + "score": 1.0, + "content": ", we can lower bound the term,", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5 + }, + { + "type": "interline_equation", + "bbox": [ + 138, + 376, + 472, + 402 + ], + "lines": [ + { + "bbox": [ + 138, + 376, + 472, + 402 + ], + "spans": [ + { + "bbox": [ + 138, + 376, + 472, + 402 + ], + "score": 0.89, + "content": "| \\langle \\Xi ^ { i } , \\bar { \\pmb { w } } \\rangle | \\geq | \\langle \\Xi ^ { i } , \\pmb { w } ^ { * } \\rangle | - \\operatorname* { s u p } _ { \\substack { \\Delta \\in \\hat { \\cal S } _ { 2 K } , \\| \\Delta \\| _ { \\mathrm { F } } \\leq R } } | \\langle \\Xi ^ { i } , \\pmb { \\Delta } \\rangle | \\leq ( \\tau - R ) \\operatorname* { s u p } _ { \\substack { \\Delta \\in \\hat { \\cal S } _ { 2 K } } } | \\langle \\Xi ^ { i } , \\pmb { \\Delta } \\rangle | .", + "type": "interline_equation", + "image_path": "54549da6b292a5ad11b3705c24370ca3f068157917d4737a606a008752a41cf5.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 138, + 376, + 472, + 402 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 405, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 404, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 187, + 418 + ], + "score": 1.0, + "content": "Notice that, for all", + "type": "text" + }, + { + "bbox": [ + 188, + 406, + 219, + 416 + ], + "score": 0.9, + "content": "z ~ \\in ~ \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 404, + 396, + 418 + ], + "score": 1.0, + "content": ", the third order derivative of the function", + "type": "text" + }, + { + "bbox": [ + 397, + 405, + 416, + 417 + ], + "score": 0.92, + "content": "\\phi ( z )", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 404, + 505, + 418 + ], + "score": 1.0, + "content": "is upper bounded as", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 415, + 378, + 430 + ], + "spans": [ + { + "bbox": [ + 107, + 416, + 173, + 428 + ], + "score": 0.92, + "content": "| \\phi ^ { \\prime \\prime \\prime } ( z ) | \\le 1 / | z |", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 415, + 378, + 430 + ], + "score": 1.0, + "content": ". This relationship helps us further bound the term,", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + }, + { + "type": "interline_equation", + "bbox": [ + 133, + 431, + 478, + 497 + ], + "lines": [ + { + "bbox": [ + 133, + 431, + 478, + 497 + ], + "spans": [ + { + "bbox": [ + 133, + 431, + 478, + 497 + ], + "score": 0.93, + "content": "\\begin{array} { r l } { \\left| \\phi ^ { \\prime \\prime \\prime } ( \\langle \\mathfrak { Z } ^ { i } , \\bar { \\mathcal { W } } \\rangle ) \\langle \\mathfrak { Z } ^ { i } , \\mathcal { W } - \\mathcal { W } ^ { * } \\rangle \\right| \\leq \\displaystyle \\frac { | \\langle \\mathfrak { Z } ^ { i } , \\mathcal { W } - \\mathcal { W } ^ { * } \\rangle | } { | \\langle \\mathfrak { Z } ^ { i } , \\bar { \\mathcal { W } } \\rangle | } \\leq \\displaystyle \\frac { \\operatorname* { s u p } _ { \\Delta \\in \\widehat { \\mathcal { S } } _ { 2 K } , \\| \\Delta \\| _ { \\mathbb { P } \\leq R } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } { ( \\tau - R ) \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } } & { } \\\\ { \\leq \\displaystyle \\frac { R \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } { ( \\tau - R ) \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } = \\displaystyle \\frac { R } { \\tau - R } . } & { } \\end{array}", + "type": "interline_equation", + "image_path": "7c839e879e1faac8affbb0d0647b759227128eb8d01b5e506255d69a8882d474.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 133, + 431, + 478, + 453.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 133, + 453.0, + 478, + 475.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 133, + 475.0, + 478, + 497.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 498, + 208, + 509 + ], + "lines": [ + { + "bbox": [ + 106, + 497, + 208, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 497, + 208, + 509 + ], + "score": 1.0, + "content": "Hence, we can show that", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "interline_equation", + "bbox": [ + 120, + 510, + 490, + 545 + ], + "lines": [ + { + "bbox": [ + 120, + 510, + 490, + 545 + ], + "spans": [ + { + "bbox": [ + 120, + 510, + 490, + 545 + ], + "score": 0.92, + "content": "\\mathbb { P } \\left\\{ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } | \\Delta ^ { \\prime } [ h _ { n } ( \\boldsymbol { \\mathcal { W } } ) - h _ { n } ( \\boldsymbol { \\mathcal { W } } ^ { * } ) ] \\Delta | \\ge t \\right\\} \\le \\mathbb { P } \\left\\{ \\frac { R } { \\tau - R } \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\Delta ^ { \\prime } z ^ { i } z ^ { i \\prime } \\Delta \\ge t \\right\\} .", + "type": "interline_equation", + "image_path": "90ad1357d6c32f34465c973e27306df08cf5c1faaa312c6ba25217d711cc9d65.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 120, + 510, + 490, + 521.6666666666666 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 120, + 521.6666666666666, + 490, + 533.3333333333333 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 120, + 533.3333333333333, + 490, + 544.9999999999999 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 547, + 504, + 570 + ], + "lines": [ + { + "bbox": [ + 106, + 546, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 150, + 560 + ], + "score": 1.0, + "content": "By setting", + "type": "text" + }, + { + "bbox": [ + 150, + 547, + 236, + 559 + ], + "score": 0.91, + "content": "t = \\alpha _ { \\mathrm { R S M } } R / ( \\tau - R )", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 546, + 267, + 560 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 268, + 547, + 332, + 559 + ], + "score": 0.93, + "content": "\\alpha _ { \\mathrm { R S M } } = 3 \\kappa _ { U } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 546, + 506, + 560 + ], + "score": 1.0, + "content": ", we can use the equation (16) in Lemma 2", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 557, + 228, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 188, + 573 + ], + "score": 1.0, + "content": "to obtain, as long as", + "type": "text" + }, + { + "bbox": [ + 189, + 559, + 223, + 570 + ], + "score": 0.91, + "content": "n \\gtrsim d _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 557, + 228, + 573 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5 + }, + { + "type": "interline_equation", + "bbox": [ + 145, + 572, + 466, + 600 + ], + "lines": [ + { + "bbox": [ + 145, + 572, + 466, + 600 + ], + "spans": [ + { + "bbox": [ + 145, + 572, + 466, + 600 + ], + "score": 0.91, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\left| \\Delta ^ { \\prime } [ h _ { n } ( \\boldsymbol { \\mathcal { W } } ) - h _ { n } ( \\boldsymbol { \\mathcal { W } } ^ { * } ) ] \\Delta \\right| \\geq \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { H } n + 9 d _ { \\mathcal { M } } \\right\\} .", + "type": "interline_equation", + "image_path": "764baa9fa3435e398f9f4cdcff1185a0dc6f4fca1a8485245aab8ceaa17fa3b8.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 145, + 572, + 466, + 600 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 275, + 614 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 276, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 276, + 615 + ], + "score": 1.0, + "content": "By rearranging terms, this is equivalent to", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "interline_equation", + "bbox": [ + 123, + 616, + 488, + 675 + ], + "lines": [ + { + "bbox": [ + 123, + 616, + 488, + 675 + ], + "spans": [ + { + "bbox": [ + 123, + 616, + 488, + 675 + ], + "score": 0.94, + "content": "\\mathbb P \\left\\{ \\underbrace { \\operatorname* { i n f } _ { \\Delta \\in S _ { 2 \\kappa } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal W ) \\Delta \\leq \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 \\kappa } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal W ^ { * } ) \\Delta - \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } } _ { \\mathrm { d e n o t e d a s t h e ~ e v e n t } B _ { 1 } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { H } n + 9 d _ { \\mathcal M } \\right\\} .", + "type": "interline_equation", + "image_path": "f3314e50d4fbf93ddf845c5c3261ad332d2b42ed2d4f747da9422d07fb567a95.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 123, + 616, + 488, + 635.6666666666666 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 123, + 635.6666666666666, + 488, + 655.3333333333333 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 123, + 655.3333333333333, + 488, + 674.9999999999999 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 677, + 505, + 701 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 196, + 690 + ], + "score": 1.0, + "content": "If we define the event", + "type": "text" + }, + { + "bbox": [ + 196, + 678, + 357, + 690 + ], + "score": 0.87, + "content": "\\begin{array} { r } { B _ { 2 } = \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ^ { * } ) } \\Delta \\leq \\widetilde { \\kappa } _ { 1 } \\right\\} } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "and denote its complementary event", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 688, + 474, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 119, + 701 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 119, + 689, + 132, + 701 + ], + "score": 0.89, + "content": "B _ { 2 } ^ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 688, + 252, + 701 + ], + "score": 1.0, + "content": ", and from (29), we know that", + "type": "text" + }, + { + "bbox": [ + 252, + 689, + 394, + 701 + ], + "score": 0.9, + "content": "\\mathbb { P } ( B _ { 2 } ) \\le 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 688, + 474, + 701 + ], + "score": 1.0, + "content": ". It can be seen that", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5 + }, + { + "type": "interline_equation", + "bbox": [ + 147, + 704, + 463, + 731 + ], + "lines": [ + { + "bbox": [ + 147, + 704, + 463, + 731 + ], + "spans": [ + { + "bbox": [ + 147, + 704, + 463, + 731 + ], + "score": 0.92, + "content": "\\mathbb P \\left( \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in \\mathcal S _ { 2 K } } \\Delta ^ { \\prime } h _ { n } ( \\pmb { \\mathcal W } ) \\Delta \\leq \\widetilde { \\kappa } _ { 1 } - \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } \\right\\} \\cap B _ { 2 } ^ { c } \\right) \\leq \\mathbb P ( B _ { 1 } \\cap B _ { 2 } ^ { c } ) \\leq \\mathbb P ( B _ { 1 } )", + "type": "interline_equation", + "image_path": "7618dbecd708483375e40f528e1a885ee6541c7fe15ad846fa24dd8af29181e1.jpg" + } + ] + } + ], + "index": 37, + "virtual_lines": [ + { + "bbox": [ + 147, + 704, + 463, + 731 + ], + "spans": [], + "index": 37 + } + ] + } + ], + "page_idx": 28, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 26, + 307, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 313, + 765 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 313, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 15 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 505, + 106 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 132, + 95 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 85, + 140, + 92 + ], + "score": 0.79, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "is some positive constant to be selected according to Lemma 8. Since the difference between", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 393, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 130, + 106 + ], + "score": 0.91, + "content": "h _ { n } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 93, + 148, + 107 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 149, + 93, + 175, + 106 + ], + "score": 0.92, + "content": "H _ { n } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 93, + 326, + 107 + ], + "score": 1.0, + "content": "is the indicator function, it holds that", + "type": "text" + }, + { + "bbox": [ + 327, + 93, + 389, + 106 + ], + "score": 0.93, + "content": "H _ { n } ( \\cdot ) \\geq h _ { n } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 93, + 393, + 107 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 106, + 82, + 505, + 107 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 110, + 505, + 155 + ], + "lines": [ + { + "bbox": [ + 105, + 109, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 109, + 505, + 123 + ], + "score": 1.0, + "content": "We will finish the proof of LRSC in two steps. Firstly, we show that, with high probability,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 121, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 143, + 133 + ], + "score": 0.89, + "content": "\\boldsymbol { h } _ { n } ( \\boldsymbol { w } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 121, + 303, + 134 + ], + "score": 1.0, + "content": "is positive definite on the restricted set", + "type": "text" + }, + { + "bbox": [ + 303, + 122, + 321, + 132 + ], + "score": 0.91, + "content": "S _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 121, + 506, + 134 + ], + "score": 1.0, + "content": ". Secondly, we bound the difference between", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 107, + 131, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 107, + 132, + 161, + 144 + ], + "score": 0.9, + "content": "\\Delta ^ { \\prime } h _ { n } ( \\aleph ) \\Delta", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 131, + 181, + 145 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 181, + 132, + 239, + 144 + ], + "score": 0.93, + "content": "\\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ^ { \\ast } ) \\Delta", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 131, + 331, + 145 + ], + "score": 1.0, + "content": ", and hence show that", + "type": "text" + }, + { + "bbox": [ + 331, + 132, + 363, + 144 + ], + "score": 0.92, + "content": "h _ { n } ( \\aleph )", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 131, + 505, + 145 + ], + "score": 1.0, + "content": "is locally positive definite around", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 143, + 357, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 123, + 154 + ], + "score": 0.83, + "content": "\\boldsymbol { \\mathsf { W } } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 143, + 272, + 156 + ], + "score": 1.0, + "content": ". This naturally leads to the LRSC of", + "type": "text" + }, + { + "bbox": [ + 272, + 143, + 304, + 155 + ], + "score": 0.93, + "content": "{ \\mathcal { L } } _ { n } ( \\aleph )", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 143, + 336, + 156 + ], + "score": 1.0, + "content": "around", + "type": "text" + }, + { + "bbox": [ + 336, + 144, + 352, + 154 + ], + "score": 0.86, + "content": "\\boldsymbol { \\mathsf { W } } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 143, + 357, + 156 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 109, + 506, + 156 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 159, + 505, + 193 + ], + "lines": [ + { + "bbox": [ + 105, + 158, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 236, + 173 + ], + "score": 1.0, + "content": "From Lemma 8, we can select", + "type": "text" + }, + { + "bbox": [ + 236, + 163, + 243, + 170 + ], + "score": 0.75, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 158, + 289, + 173 + ], + "score": 1.0, + "content": ", such that", + "type": "text" + }, + { + "bbox": [ + 289, + 160, + 354, + 172 + ], + "score": 0.92, + "content": "h ( \\boldsymbol { \\mathcal { W } } ^ { * } ) \\geq \\kappa _ { 1 } I", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 158, + 505, + 173 + ], + "score": 1.0, + "content": ". Following similar arguments as in", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 270, + 183 + ], + "score": 1.0, + "content": "the first part, we can show that for all", + "type": "text" + }, + { + "bbox": [ + 270, + 172, + 315, + 182 + ], + "score": 0.91, + "content": "\\Delta \\in { \\mathcal { S } } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 170, + 505, + 183 + ], + "score": 1.0, + "content": ", the following holds with probability at least", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 181, + 230, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 226, + 194 + ], + "score": 0.88, + "content": "1 - 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\cal M } \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 181, + 230, + 195 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 158, + 505, + 195 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 262, + 192, + 348, + 205 + ], + "lines": [ + { + "bbox": [ + 262, + 192, + 348, + 205 + ], + "spans": [ + { + "bbox": [ + 262, + 192, + 348, + 205 + ], + "score": 0.89, + "content": "\\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ^ { * } ) \\Delta \\geq \\widetilde { \\kappa } _ { 1 } ,", + "type": "interline_equation", + "image_path": "831ed2454484cca22eb843f8225a55b564a031ee4be6373c750a8c2356dd8f3d.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 262, + 192, + 348, + 205 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 206, + 214, + 218 + ], + "lines": [ + { + "bbox": [ + 105, + 204, + 212, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 133, + 220 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 207, + 212, + 218 + ], + "score": 0.88, + "content": "\\widetilde { \\kappa } _ { 1 } = \\kappa _ { 1 } - \\kappa _ { U } > 0", + "type": "inline_equation" + } + ], + "index": 10 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 204, + 212, + 220 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 222, + 505, + 247 + ], + "lines": [ + { + "bbox": [ + 105, + 222, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 212, + 238 + ], + "score": 1.0, + "content": "In the meanwhile, for any", + "type": "text" + }, + { + "bbox": [ + 212, + 222, + 250, + 236 + ], + "score": 0.93, + "content": "\\boldsymbol { w } \\in \\widehat { \\boldsymbol { S } } _ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 222, + 290, + 238 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 290, + 224, + 367, + 237 + ], + "score": 0.93, + "content": "\\| \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } \\| _ { \\mathrm { F } } \\leq R", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 222, + 398, + 238 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 398, + 225, + 407, + 235 + ], + "score": 0.83, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 222, + 505, + 238 + ], + "score": 1.0, + "content": "can be specified later to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 234, + 206, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 206, + 249 + ], + "score": 1.0, + "content": "satisfy some conditions,", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 222, + 505, + 249 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 131, + 249, + 479, + 349 + ], + "lines": [ + { + "bbox": [ + 131, + 249, + 479, + 349 + ], + "spans": [ + { + "bbox": [ + 131, + 249, + 479, + 349 + ], + "score": 0.95, + "content": "\\begin{array} { r l } { \\displaystyle | h _ { n } ( \\mathcal { W } ) - h _ { n } ( \\mathcal { W } ^ { * } ) | = \\left| \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } \\rangle ) \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } - \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } ^ { * } \\rangle ) \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } \\right| } & { } \\\\ { \\displaystyle \\leq \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left| \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } \\rangle ) - \\phi ^ { \\prime \\prime } ( \\langle \\Xi ^ { i } , \\mathcal { W } ^ { * } \\rangle ) \\right| \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } } & { } \\\\ { \\displaystyle = \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\left| \\phi ^ { \\prime \\prime \\prime } ( \\langle \\Xi ^ { i } , \\bar { \\mathcal { W } } \\rangle ) \\langle \\Xi ^ { i } , \\mathcal { W } - \\mathcal { W } ^ { * } \\rangle \\right| \\mathbb { I } _ { A } z ^ { i } z ^ { i \\prime } , } & { } \\end{array}", + "type": "interline_equation", + "image_path": "974a88e65ee8aaf5bd315e0c71a055c913644f6efee45586d1847df4efc27c51.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 131, + 249, + 479, + 282.3333333333333 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 131, + 282.3333333333333, + 479, + 315.66666666666663 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 131, + 315.66666666666663, + 479, + 348.99999999999994 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 352, + 503, + 376 + ], + "lines": [ + { + "bbox": [ + 106, + 352, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 133, + 366 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 352, + 146, + 363 + ], + "score": 0.83, + "content": "\\bar { \\bf w }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 352, + 200, + 366 + ], + "score": 1.0, + "content": "lies between", + "type": "text" + }, + { + "bbox": [ + 200, + 353, + 212, + 363 + ], + "score": 0.68, + "content": "\\boldsymbol { w }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 352, + 231, + 366 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 231, + 353, + 247, + 363 + ], + "score": 0.89, + "content": "\\boldsymbol { \\mathsf { W } } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 352, + 269, + 366 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 269, + 353, + 398, + 365 + ], + "score": 0.93, + "content": "\\phi ^ { \\prime \\prime \\prime } ( z ) = e ^ { z } ( 1 - e ^ { z } ) / ( 1 + e ^ { z } ) ^ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 352, + 468, + 366 + ], + "score": 1.0, + "content": ". Given the event", + "type": "text" + }, + { + "bbox": [ + 469, + 354, + 477, + 363 + ], + "score": 0.83, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 352, + 505, + 366 + ], + "score": 1.0, + "content": "holds,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 363, + 289, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 137, + 378 + ], + "score": 1.0, + "content": "choose", + "type": "text" + }, + { + "bbox": [ + 137, + 365, + 164, + 375 + ], + "score": 0.9, + "content": "R < \\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 363, + 289, + 378 + ], + "score": 1.0, + "content": ", we can lower bound the term,", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5, + "bbox_fs": [ + 106, + 352, + 505, + 378 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 138, + 376, + 472, + 402 + ], + "lines": [ + { + "bbox": [ + 138, + 376, + 472, + 402 + ], + "spans": [ + { + "bbox": [ + 138, + 376, + 472, + 402 + ], + "score": 0.89, + "content": "| \\langle \\Xi ^ { i } , \\bar { \\pmb { w } } \\rangle | \\geq | \\langle \\Xi ^ { i } , \\pmb { w } ^ { * } \\rangle | - \\operatorname* { s u p } _ { \\substack { \\Delta \\in \\hat { \\cal S } _ { 2 K } , \\| \\Delta \\| _ { \\mathrm { F } } \\leq R } } | \\langle \\Xi ^ { i } , \\pmb { \\Delta } \\rangle | \\leq ( \\tau - R ) \\operatorname* { s u p } _ { \\substack { \\Delta \\in \\hat { \\cal S } _ { 2 K } } } | \\langle \\Xi ^ { i } , \\pmb { \\Delta } \\rangle | .", + "type": "interline_equation", + "image_path": "54549da6b292a5ad11b3705c24370ca3f068157917d4737a606a008752a41cf5.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 138, + 376, + 472, + 402 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 405, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 404, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 187, + 418 + ], + "score": 1.0, + "content": "Notice that, for all", + "type": "text" + }, + { + "bbox": [ + 188, + 406, + 219, + 416 + ], + "score": 0.9, + "content": "z ~ \\in ~ \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 404, + 396, + 418 + ], + "score": 1.0, + "content": ", the third order derivative of the function", + "type": "text" + }, + { + "bbox": [ + 397, + 405, + 416, + 417 + ], + "score": 0.92, + "content": "\\phi ( z )", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 404, + 505, + 418 + ], + "score": 1.0, + "content": "is upper bounded as", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 415, + 378, + 430 + ], + "spans": [ + { + "bbox": [ + 107, + 416, + 173, + 428 + ], + "score": 0.92, + "content": "| \\phi ^ { \\prime \\prime \\prime } ( z ) | \\le 1 / | z |", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 415, + 378, + 430 + ], + "score": 1.0, + "content": ". This relationship helps us further bound the term,", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 404, + 505, + 430 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 133, + 431, + 478, + 497 + ], + "lines": [ + { + "bbox": [ + 133, + 431, + 478, + 497 + ], + "spans": [ + { + "bbox": [ + 133, + 431, + 478, + 497 + ], + "score": 0.93, + "content": "\\begin{array} { r l } { \\left| \\phi ^ { \\prime \\prime \\prime } ( \\langle \\mathfrak { Z } ^ { i } , \\bar { \\mathcal { W } } \\rangle ) \\langle \\mathfrak { Z } ^ { i } , \\mathcal { W } - \\mathcal { W } ^ { * } \\rangle \\right| \\leq \\displaystyle \\frac { | \\langle \\mathfrak { Z } ^ { i } , \\mathcal { W } - \\mathcal { W } ^ { * } \\rangle | } { | \\langle \\mathfrak { Z } ^ { i } , \\bar { \\mathcal { W } } \\rangle | } \\leq \\displaystyle \\frac { \\operatorname* { s u p } _ { \\Delta \\in \\widehat { \\mathcal { S } } _ { 2 K } , \\| \\Delta \\| _ { \\mathbb { P } \\leq R } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } { ( \\tau - R ) \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } } & { } \\\\ { \\leq \\displaystyle \\frac { R \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } { ( \\tau - R ) \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\mathfrak { Z } ^ { i } , \\Delta \\rangle | } = \\displaystyle \\frac { R } { \\tau - R } . } & { } \\end{array}", + "type": "interline_equation", + "image_path": "7c839e879e1faac8affbb0d0647b759227128eb8d01b5e506255d69a8882d474.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 133, + 431, + 478, + 453.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 133, + 453.0, + 478, + 475.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 133, + 475.0, + 478, + 497.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 498, + 208, + 509 + ], + "lines": [ + { + "bbox": [ + 106, + 497, + 208, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 497, + 208, + 509 + ], + "score": 1.0, + "content": "Hence, we can show that", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 106, + 497, + 208, + 509 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 120, + 510, + 490, + 545 + ], + "lines": [ + { + "bbox": [ + 120, + 510, + 490, + 545 + ], + "spans": [ + { + "bbox": [ + 120, + 510, + 490, + 545 + ], + "score": 0.92, + "content": "\\mathbb { P } \\left\\{ \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } | \\Delta ^ { \\prime } [ h _ { n } ( \\boldsymbol { \\mathcal { W } } ) - h _ { n } ( \\boldsymbol { \\mathcal { W } } ^ { * } ) ] \\Delta | \\ge t \\right\\} \\le \\mathbb { P } \\left\\{ \\frac { R } { \\tau - R } \\underset { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\Delta ^ { \\prime } z ^ { i } z ^ { i \\prime } \\Delta \\ge t \\right\\} .", + "type": "interline_equation", + "image_path": "90ad1357d6c32f34465c973e27306df08cf5c1faaa312c6ba25217d711cc9d65.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 120, + 510, + 490, + 521.6666666666666 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 120, + 521.6666666666666, + 490, + 533.3333333333333 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 120, + 533.3333333333333, + 490, + 544.9999999999999 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 547, + 504, + 570 + ], + "lines": [ + { + "bbox": [ + 106, + 546, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 150, + 560 + ], + "score": 1.0, + "content": "By setting", + "type": "text" + }, + { + "bbox": [ + 150, + 547, + 236, + 559 + ], + "score": 0.91, + "content": "t = \\alpha _ { \\mathrm { R S M } } R / ( \\tau - R )", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 546, + 267, + 560 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 268, + 547, + 332, + 559 + ], + "score": 0.93, + "content": "\\alpha _ { \\mathrm { R S M } } = 3 \\kappa _ { U } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 546, + 506, + 560 + ], + "score": 1.0, + "content": ", we can use the equation (16) in Lemma 2", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 557, + 228, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 188, + 573 + ], + "score": 1.0, + "content": "to obtain, as long as", + "type": "text" + }, + { + "bbox": [ + 189, + 559, + 223, + 570 + ], + "score": 0.91, + "content": "n \\gtrsim d _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 557, + 228, + 573 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 546, + 506, + 573 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 145, + 572, + 466, + 600 + ], + "lines": [ + { + "bbox": [ + 145, + 572, + 466, + 600 + ], + "spans": [ + { + "bbox": [ + 145, + 572, + 466, + 600 + ], + "score": 0.91, + "content": "\\mathbb { P } \\left\\{ \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\left| \\Delta ^ { \\prime } [ h _ { n } ( \\boldsymbol { \\mathcal { W } } ) - h _ { n } ( \\boldsymbol { \\mathcal { W } } ^ { * } ) ] \\Delta \\right| \\geq \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { H } n + 9 d _ { \\mathcal { M } } \\right\\} .", + "type": "interline_equation", + "image_path": "764baa9fa3435e398f9f4cdcff1185a0dc6f4fca1a8485245aab8ceaa17fa3b8.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 145, + 572, + 466, + 600 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 275, + 614 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 276, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 276, + 615 + ], + "score": 1.0, + "content": "By rearranging terms, this is equivalent to", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 602, + 276, + 615 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 123, + 616, + 488, + 675 + ], + "lines": [ + { + "bbox": [ + 123, + 616, + 488, + 675 + ], + "spans": [ + { + "bbox": [ + 123, + 616, + 488, + 675 + ], + "score": 0.94, + "content": "\\mathbb P \\left\\{ \\underbrace { \\operatorname* { i n f } _ { \\Delta \\in S _ { 2 \\kappa } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal W ) \\Delta \\leq \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 \\kappa } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal W ^ { * } ) \\Delta - \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } } _ { \\mathrm { d e n o t e d a s t h e ~ e v e n t } B _ { 1 } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { H } n + 9 d _ { \\mathcal M } \\right\\} .", + "type": "interline_equation", + "image_path": "f3314e50d4fbf93ddf845c5c3261ad332d2b42ed2d4f747da9422d07fb567a95.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 123, + 616, + 488, + 635.6666666666666 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 123, + 635.6666666666666, + 488, + 655.3333333333333 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 123, + 655.3333333333333, + 488, + 674.9999999999999 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 677, + 505, + 701 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 196, + 690 + ], + "score": 1.0, + "content": "If we define the event", + "type": "text" + }, + { + "bbox": [ + 196, + 678, + 357, + 690 + ], + "score": 0.87, + "content": "\\begin{array} { r } { B _ { 2 } = \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } { \\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ^ { * } ) } \\Delta \\leq \\widetilde { \\kappa } _ { 1 } \\right\\} } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "and denote its complementary event", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 688, + 474, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 119, + 701 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 119, + 689, + 132, + 701 + ], + "score": 0.89, + "content": "B _ { 2 } ^ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 688, + 252, + 701 + ], + "score": 1.0, + "content": ", and from (29), we know that", + "type": "text" + }, + { + "bbox": [ + 252, + 689, + 394, + 701 + ], + "score": 0.9, + "content": "\\mathbb { P } ( B _ { 2 } ) \\le 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 688, + 474, + 701 + ], + "score": 1.0, + "content": ". It can be seen that", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 677, + 505, + 701 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 147, + 704, + 463, + 731 + ], + "lines": [ + { + "bbox": [ + 147, + 704, + 463, + 731 + ], + "spans": [ + { + "bbox": [ + 147, + 704, + 463, + 731 + ], + "score": 0.92, + "content": "\\mathbb P \\left( \\left\\{ \\operatorname* { i n f } _ { \\Delta \\in \\mathcal S _ { 2 K } } \\Delta ^ { \\prime } h _ { n } ( \\pmb { \\mathcal W } ) \\Delta \\leq \\widetilde { \\kappa } _ { 1 } - \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } \\right\\} \\cap B _ { 2 } ^ { c } \\right) \\leq \\mathbb P ( B _ { 1 } \\cap B _ { 2 } ^ { c } ) \\leq \\mathbb P ( B _ { 1 } )", + "type": "interline_equation", + "image_path": "7618dbecd708483375e40f528e1a885ee6541c7fe15ad846fa24dd8af29181e1.jpg" + } + ] + } + ], + "index": 37, + "virtual_lines": [ + { + "bbox": [ + 147, + 704, + 463, + 731 + ], + "spans": [], + "index": 37 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 102, + 81, + 476, + 95 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 477, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 174, + 96 + ], + "score": 1.0, + "content": "So, if we choose", + "type": "text" + }, + { + "bbox": [ + 175, + 83, + 184, + 92 + ], + "score": 0.81, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 81, + 319, + 96 + ], + "score": 1.0, + "content": "to be sufficiently small, such that", + "type": "text" + }, + { + "bbox": [ + 319, + 82, + 421, + 95 + ], + "score": 0.92, + "content": "\\alpha _ { \\mathrm { R S M } } R / ( \\tau - R ) \\leq \\widetilde { \\kappa } _ { 1 } / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 81, + 477, + 96 + ], + "score": 1.0, + "content": ", it holds that,", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 99, + 504, + 127 + ], + "lines": [ + { + "bbox": [ + 111, + 99, + 504, + 127 + ], + "spans": [ + { + "bbox": [ + 111, + 99, + 504, + 127 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mathrm { \\mathbb { P } } \\left\\{ \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { i n f } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ) \\Delta \\leq \\frac { \\widetilde { \\mathcal { R } } _ { 1 } } { 2 } \\right\\} \\leq \\mathbb { P } \\left( \\left\\{ \\underset { \\Delta \\in S _ { 2 K } } { \\operatorname* { i n f } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal { W } ) \\Delta \\leq \\widetilde { \\kappa } _ { 1 } - \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } \\right\\} \\cap B _ { 2 } ^ { c } \\right) + \\mathbb { P } ( B _ { 2 } ) . } \\end{array}", + "type": "interline_equation", + "image_path": "f404a9aab1b7d9a9f7a83ec5f0163ee80d73849f13e2296ebe4d84644ec03030.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 111, + 99, + 504, + 127 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 132, + 504, + 158 + ], + "lines": [ + { + "bbox": [ + 106, + 132, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 106, + 132, + 187, + 145 + ], + "score": 1.0, + "content": "This, together with", + "type": "text" + }, + { + "bbox": [ + 187, + 132, + 252, + 145 + ], + "score": 0.92, + "content": "H _ { n } ( \\cdot ) \\geq h _ { n } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 132, + 389, + 145 + ], + "score": 1.0, + "content": ", leads us to conclude that, when", + "type": "text" + }, + { + "bbox": [ + 389, + 133, + 427, + 145 + ], + "score": 0.92, + "content": "n \\gtrsim d _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 132, + 505, + 145 + ], + "score": 1.0, + "content": ", there exists some", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 107, + 144, + 372, + 159 + ], + "spans": [ + { + "bbox": [ + 107, + 146, + 133, + 156 + ], + "score": 0.89, + "content": "R > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 144, + 206, + 159 + ], + "score": 1.0, + "content": ", such that for any", + "type": "text" + }, + { + "bbox": [ + 207, + 145, + 249, + 157 + ], + "score": 0.91, + "content": "\\boldsymbol { w } \\in \\widehat { \\mathcal { S } } _ { 2 K }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 144, + 291, + 159 + ], + "score": 1.0, + "content": "satisfying", + "type": "text" + }, + { + "bbox": [ + 291, + 145, + 368, + 158 + ], + "score": 0.91, + "content": "\\| \\boldsymbol { \\mathsf { W } } - \\boldsymbol { \\mathsf { W } } ^ { * } \\| _ { \\mathrm { F } } \\leq R", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 144, + 372, + 159 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "interline_equation", + "bbox": [ + 247, + 163, + 363, + 189 + ], + "lines": [ + { + "bbox": [ + 247, + 163, + 363, + 189 + ], + "spans": [ + { + "bbox": [ + 247, + 163, + 363, + 189 + ], + "score": 0.93, + "content": "\\operatorname* { i n f } _ { \\Delta \\in S _ { 2 K } } \\Delta ^ { \\prime } H _ { n } ( \\mathcal { W } ) \\Delta \\geq \\frac { \\widetilde { \\kappa } _ { 1 } } { 2 } ,", + "type": "interline_equation", + "image_path": "b6a8c6a0fecba3230fe4fd66fa3bd3afa0cc431b450348189ae11f2840fbd49a.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 247, + 163, + 363, + 189 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 194, + 196, + 205 + ], + "lines": [ + { + "bbox": [ + 105, + 191, + 197, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 197, + 208 + ], + "score": 1.0, + "content": "holds with probability", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "interline_equation", + "bbox": [ + 182, + 211, + 428, + 225 + ], + "lines": [ + { + "bbox": [ + 182, + 211, + 428, + 225 + ], + "spans": [ + { + "bbox": [ + 182, + 211, + 428, + 225 + ], + "score": 0.87, + "content": "1 - 2 \\exp \\left\\{ - 0 . 2 5 c _ { H } n + 9 d _ { \\mathcal { M } } \\right\\} - 2 \\exp \\left\\{ - 0 . 2 5 c n + 9 d _ { \\mathcal { M } } \\right\\} .", + "type": "interline_equation", + "image_path": "102ae0e692cc17b22126be760a811b8f429d0a9aeab06a7d679a4df173e38a01.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 182, + 211, + 428, + 225 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 229, + 366, + 242 + ], + "lines": [ + { + "bbox": [ + 105, + 228, + 367, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 282, + 243 + ], + "score": 1.0, + "content": "We accomplished our proof of the LRSC of", + "type": "text" + }, + { + "bbox": [ + 283, + 230, + 315, + 242 + ], + "score": 0.92, + "content": "{ \\mathcal { L } } _ { n } ( \\aleph )", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 228, + 347, + 243 + ], + "score": 1.0, + "content": "around", + "type": "text" + }, + { + "bbox": [ + 347, + 230, + 363, + 240 + ], + "score": 0.88, + "content": "\\boldsymbol { w ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 228, + 367, + 243 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 248, + 505, + 270 + ], + "lines": [ + { + "bbox": [ + 105, + 247, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 320, + 262 + ], + "score": 1.0, + "content": "Lemma 6. For two sub-gaussian random variables,", + "type": "text" + }, + { + "bbox": [ + 320, + 249, + 330, + 259 + ], + "score": 0.83, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 247, + 349, + 262 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 349, + 249, + 358, + 259 + ], + "score": 0.81, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 247, + 387, + 262 + ], + "score": 1.0, + "content": ", when", + "type": "text" + }, + { + "bbox": [ + 387, + 249, + 464, + 261 + ], + "score": 0.92, + "content": "\\mathbb { E } ( X Y ) = \\mathbb { E } X \\mathbb { E } Y", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 247, + 484, + 262 + ], + "score": 1.0, + "content": ", i.e.", + "type": "text" + }, + { + "bbox": [ + 484, + 249, + 495, + 259 + ], + "score": 0.79, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 247, + 506, + 262 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 259, + 231, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 168, + 271 + ], + "score": 1.0, + "content": "independent to", + "type": "text" + }, + { + "bbox": [ + 168, + 260, + 177, + 270 + ], + "score": 0.69, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 259, + 231, + 271 + ], + "score": 1.0, + "content": ", it holds that", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 106, + 286, + 151, + 298 + ], + "lines": [ + { + "bbox": [ + 106, + 286, + 152, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 152, + 298 + ], + "score": 1.0, + "content": "Lemma 7.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 249, + 268, + 361, + 312 + ], + "lines": [ + { + "bbox": [ + 250, + 268, + 361, + 312 + ], + "spans": [ + { + "bbox": [ + 250, + 268, + 361, + 312 + ], + "score": 0.33, + "content": "\\begin{array} { r } { \\| X Y \\| _ { \\psi _ { 1 } } \\leq \\| X \\| _ { \\psi _ { 2 } } \\| Y \\| _ { \\psi _ { 2 } } . } \\\\ { \\| \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\| _ { \\psi _ { 2 } } \\leq 0 . 2 5 . } \\end{array}", + "type": "interline_equation", + "image_path": "861260cd61602e82329f1d51d5ade0cff22fbaf6bec2389679fe05f012ec84ed.jpg" + } + ] + } + ], + "index": 11.0, + "virtual_lines": [ + { + "bbox": [ + 249, + 268, + 361, + 290.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 249, + 290.0, + 361, + 312.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 322, + 232, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 321, + 232, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 232, + 335 + ], + "score": 1.0, + "content": "Proof. Firstly, we observe that", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 337, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 111, + 337, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 111, + 337, + 505, + 402 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\mathsf { E } \\left( \\exp \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\right] \\} | z ^ { i } \\right) = \\exp \\{ \\lambda \\phi ^ { \\prime } ( \\eta ^ { i } ) \\} \\exp \\{ - \\phi ( \\eta ^ { i } ) \\} + \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - 1 \\right] \\} \\exp \\{ \\eta ^ { i } - \\phi ( \\eta ^ { i } ) \\} } \\\\ & { \\phantom { \\sum } = \\exp \\{ \\lambda \\phi ^ { \\prime } ( \\eta ^ { i } ) - \\phi ( \\eta ^ { i } ) \\} [ 1 + \\exp \\{ \\eta ^ { i } - \\lambda \\} ] } \\\\ & { \\phantom { \\sum } = \\exp \\{ \\phi ( \\eta ^ { i } - \\lambda ) - \\phi ( \\eta ^ { i } ) + \\lambda \\phi ^ { \\prime } ( \\eta ^ { i } ) \\} } \\\\ & { \\phantom { \\sum } = \\exp \\{ 0 . 5 \\lambda ^ { 2 } \\phi ^ { \\prime \\prime } ( \\eta ^ { i } ) \\} \\le \\exp \\{ 0 . 1 2 5 \\lambda ^ { 2 } \\} . } \\end{array}", + "type": "interline_equation", + "image_path": "ef4467e8a39bdba08650521cd0a24cb15d48b5cfa52ba1c7d719822458928fb0.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 111, + 337, + 505, + 358.6666666666667 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 111, + 358.6666666666667, + 505, + 380.33333333333337 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 111, + 380.33333333333337, + 505, + 402.00000000000006 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 406, + 504, + 434 + ], + "lines": [ + { + "bbox": [ + 104, + 406, + 502, + 423 + ], + "spans": [ + { + "bbox": [ + 104, + 406, + 175, + 423 + ], + "score": 1.0, + "content": "It then holds that", + "type": "text" + }, + { + "bbox": [ + 175, + 407, + 502, + 421 + ], + "score": 0.78, + "content": "\\begin{array} { r } { \\mathbb { E } \\left( \\exp \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\right] \\} \\right) = \\mathbb { E } \\{ \\mathbb { E } \\left( \\exp \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\right] \\} | z ^ { i } \\right) \\} \\le \\exp \\{ 0 . 1 2 5 \\lambda ^ { 2 } \\} , } \\end{array}", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 419, + 292, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 190, + 435 + ], + "score": 1.0, + "content": "and this implies that", + "type": "text" + }, + { + "bbox": [ + 190, + 421, + 286, + 433 + ], + "score": 0.91, + "content": "\\| \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\| _ { \\psi _ { 2 } } \\leq 0 . 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 419, + 292, + 435 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 105, + 456, + 505, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 455, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 373, + 470 + ], + "score": 1.0, + "content": "Lemma 8. Under Assumption 4, there exists a universal constant", + "type": "text" + }, + { + "bbox": [ + 374, + 457, + 399, + 467 + ], + "score": 0.89, + "content": "\\tau > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 455, + 440, + 470 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 440, + 456, + 501, + 469 + ], + "score": 0.92, + "content": "h ( \\boldsymbol { \\mathsf { W } } ^ { * } ) \\geq \\kappa _ { 1 } I", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 455, + 505, + 470 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 467, + 234, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 132, + 480 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 469, + 144, + 479 + ], + "score": 0.85, + "content": "\\kappa _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 467, + 234, + 480 + ], + "score": 1.0, + "content": "is a positive constant.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 106, + 491, + 426, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 491, + 427, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 241, + 505 + ], + "score": 1.0, + "content": "Proof. We first show that for any", + "type": "text" + }, + { + "bbox": [ + 241, + 492, + 286, + 504 + ], + "score": 0.93, + "content": "p _ { 0 } \\in ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 491, + 380, + 505 + ], + "score": 1.0, + "content": ", there exists a constant", + "type": "text" + }, + { + "bbox": [ + 380, + 495, + 387, + 502 + ], + "score": 0.79, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 491, + 427, + 505 + ], + "score": 1.0, + "content": "such that", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "interline_equation", + "bbox": [ + 218, + 509, + 392, + 532 + ], + "lines": [ + { + "bbox": [ + 218, + 509, + 392, + 532 + ], + "spans": [ + { + "bbox": [ + 218, + 509, + 392, + 532 + ], + "score": 0.92, + "content": "\\mathbb { P } ( | \\langle \\pmb { \\mathscr { W } } ^ { * } , \\pmb { \\mathscr { Z } } ^ { i } \\rangle | > \\tau \\operatorname* { s u p } _ { \\pmb { \\Delta } \\in S _ { 2 K } } | \\langle \\pmb { \\Delta } , \\pmb { z } ^ { i } \\rangle | ) \\geq p _ { 0 } .", + "type": "interline_equation", + "image_path": "29b252ad4fb0afd4826375da3b02323336559086a9b77c81ed2ee5e444eb4da8.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 218, + 509, + 392, + 532 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 543, + 233, + 555 + ], + "lines": [ + { + "bbox": [ + 106, + 542, + 234, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 234, + 556 + ], + "score": 1.0, + "content": "We would separately show that", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "interline_equation", + "bbox": [ + 132, + 559, + 477, + 594 + ], + "lines": [ + { + "bbox": [ + 132, + 559, + 477, + 594 + ], + "spans": [ + { + "bbox": [ + 132, + 559, + 477, + 594 + ], + "score": 0.89, + "content": "\\mathbb { P } \\big ( \\underbrace { | \\langle \\mathcal { W } ^ { * } , \\mathfrak { L } ^ { i } \\rangle | > c _ { 1 } \\sqrt { d _ { \\mathcal { M } } } } _ { \\mathrm { d e n o t e d b y ~ e v e n t } D _ { 1 } } \\big ) \\ge \\frac { p _ { 0 } + 1 } { 2 } \\mathrm { ~ a n d , } \\mathbb { P } \\big ( \\underbrace { \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\Delta , z ^ { i } \\rangle | \\le c _ { 2 } \\sqrt { d _ { \\mathcal { M } } } } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\big ) \\ge \\frac { p _ { 0 } + 1 } { 2 } ,", + "type": "interline_equation", + "image_path": "af28a136445e13afec4159dc368250be7a902e7853a1e6274e6903ce650de11a.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 132, + 559, + 477, + 570.6666666666666 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 132, + 570.6666666666666, + 477, + 582.3333333333333 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 132, + 582.3333333333333, + 477, + 593.9999999999999 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 607, + 504, + 631 + ], + "lines": [ + { + "bbox": [ + 105, + 607, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 219, + 621 + ], + "score": 1.0, + "content": "for some positive constants", + "type": "text" + }, + { + "bbox": [ + 219, + 610, + 229, + 619 + ], + "score": 0.85, + "content": "c _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 607, + 248, + 621 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 249, + 610, + 258, + 619 + ], + "score": 0.82, + "content": "c _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 607, + 356, + 621 + ], + "score": 1.0, + "content": ". Using the relationship", + "type": "text" + }, + { + "bbox": [ + 357, + 608, + 505, + 620 + ], + "score": 0.92, + "content": "\\mathbb { P } ( D _ { 1 } \\cap D _ { 2 } ) = P ( D _ { 1 } ) + P ( D _ { 2 } ) -", + "type": "inline_equation" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 619, + 359, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 259, + 631 + ], + "score": 0.89, + "content": "P ( D _ { 1 } ^ { c } \\cup \\bar { D } _ { 2 } ^ { c } ) \\geq P ( D _ { 1 } ) + P ( D _ { 2 } ) - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 619, + 359, + 632 + ], + "score": 1.0, + "content": ", it follows naturally that", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5 + }, + { + "type": "interline_equation", + "bbox": [ + 168, + 635, + 441, + 663 + ], + "lines": [ + { + "bbox": [ + 168, + 635, + 441, + 663 + ], + "spans": [ + { + "bbox": [ + 168, + 635, + 441, + 663 + ], + "score": 0.93, + "content": "\\mathbb { P } \\big ( | \\langle \\mathcal { 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Firstly, we observe that", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 321, + 232, + 335 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 337, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 111, + 337, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 111, + 337, + 505, + 402 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\mathsf { E } \\left( \\exp \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\right] \\} | z ^ { i } \\right) = \\exp \\{ \\lambda \\phi ^ { \\prime } ( \\eta ^ { i } ) \\} \\exp \\{ - \\phi ( \\eta ^ { i } ) \\} + \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - 1 \\right] \\} \\exp \\{ \\eta ^ { i } - \\phi ( \\eta ^ { i } ) \\} } \\\\ & { \\phantom { \\sum } = \\exp \\{ \\lambda \\phi ^ { \\prime } ( \\eta ^ { i } ) - \\phi ( \\eta ^ { i } ) \\} [ 1 + \\exp \\{ \\eta ^ { i } - \\lambda \\} ] } \\\\ & { \\phantom { \\sum } = \\exp \\{ \\phi ( \\eta ^ { i } - \\lambda ) - \\phi ( \\eta ^ { i } ) + \\lambda \\phi ^ { \\prime } ( \\eta ^ { i } ) \\} } \\\\ & { \\phantom { \\sum } = \\exp \\{ 0 . 5 \\lambda ^ { 2 } \\phi ^ { \\prime \\prime } ( \\eta ^ { i } ) \\} \\le \\exp \\{ 0 . 1 2 5 \\lambda ^ { 2 } \\} . } \\end{array}", + "type": "interline_equation", + "image_path": "ef4467e8a39bdba08650521cd0a24cb15d48b5cfa52ba1c7d719822458928fb0.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 111, + 337, + 505, + 358.6666666666667 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 111, + 358.6666666666667, + 505, + 380.33333333333337 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 111, + 380.33333333333337, + 505, + 402.00000000000006 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 406, + 504, + 434 + ], + "lines": [ + { + "bbox": [ + 104, + 406, + 502, + 423 + ], + "spans": [ + { + "bbox": [ + 104, + 406, + 175, + 423 + ], + "score": 1.0, + "content": "It then holds that", + "type": "text" + }, + { + "bbox": [ + 175, + 407, + 502, + 421 + ], + "score": 0.78, + "content": "\\begin{array} { r } { \\mathbb { E } \\left( \\exp \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\right] \\} \\right) = \\mathbb { E } \\{ \\mathbb { E } \\left( \\exp \\{ \\lambda \\left[ \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\right] \\} | z ^ { i } \\right) \\} \\le \\exp \\{ 0 . 1 2 5 \\lambda ^ { 2 } \\} , } \\end{array}", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 419, + 292, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 190, + 435 + ], + "score": 1.0, + "content": "and this implies that", + "type": "text" + }, + { + "bbox": [ + 190, + 421, + 286, + 433 + ], + "score": 0.91, + "content": "\\| \\phi ^ { \\prime } ( \\eta ^ { i } ) - y ^ { i } \\| _ { \\psi _ { 2 } } \\leq 0 . 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 419, + 292, + 435 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5, + "bbox_fs": [ + 104, + 406, + 502, + 435 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 456, + 505, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 455, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 373, + 470 + ], + "score": 1.0, + "content": "Lemma 8. Under Assumption 4, there exists a universal constant", + "type": "text" + }, + { + "bbox": [ + 374, + 457, + 399, + 467 + ], + "score": 0.89, + "content": "\\tau > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 455, + 440, + 470 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 440, + 456, + 501, + 469 + ], + "score": 0.92, + "content": "h ( \\boldsymbol { \\mathsf { W } } ^ { * } ) \\geq \\kappa _ { 1 } I", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 455, + 505, + 470 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 467, + 234, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 132, + 480 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 469, + 144, + 479 + ], + "score": 0.85, + "content": "\\kappa _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 467, + 234, + 480 + ], + "score": 1.0, + "content": "is a positive constant.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 455, + 505, + 480 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 491, + 426, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 491, + 427, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 241, + 505 + ], + "score": 1.0, + "content": "Proof. We first show that for any", + "type": "text" + }, + { + "bbox": [ + 241, + 492, + 286, + 504 + ], + "score": 0.93, + "content": "p _ { 0 } \\in ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 491, + 380, + 505 + ], + "score": 1.0, + "content": ", there exists a constant", + "type": "text" + }, + { + "bbox": [ + 380, + 495, + 387, + 502 + ], + "score": 0.79, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 491, + 427, + 505 + ], + "score": 1.0, + "content": "such that", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 491, + 427, + 505 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 218, + 509, + 392, + 532 + ], + "lines": [ + { + "bbox": [ + 218, + 509, + 392, + 532 + ], + "spans": [ + { + "bbox": [ + 218, + 509, + 392, + 532 + ], + "score": 0.92, + "content": "\\mathbb { P } ( | \\langle \\pmb { \\mathscr { W } } ^ { * } , \\pmb { \\mathscr { Z } } ^ { i } \\rangle | > \\tau \\operatorname* { s u p } _ { \\pmb { \\Delta } \\in S _ { 2 K } } | \\langle \\pmb { \\Delta } , \\pmb { z } ^ { i } \\rangle | ) \\geq p _ { 0 } .", + "type": "interline_equation", + "image_path": "29b252ad4fb0afd4826375da3b02323336559086a9b77c81ed2ee5e444eb4da8.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 218, + 509, + 392, + 532 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 543, + 233, + 555 + ], + "lines": [ + { + "bbox": [ + 106, + 542, + 234, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 234, + 556 + ], + "score": 1.0, + "content": "We would separately show that", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 106, + 542, + 234, + 556 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 132, + 559, + 477, + 594 + ], + "lines": [ + { + "bbox": [ + 132, + 559, + 477, + 594 + ], + "spans": [ + { + "bbox": [ + 132, + 559, + 477, + 594 + ], + "score": 0.89, + "content": "\\mathbb { P } \\big ( \\underbrace { | \\langle \\mathcal { W } ^ { * } , \\mathfrak { L } ^ { i } \\rangle | > c _ { 1 } \\sqrt { d _ { \\mathcal { M } } } } _ { \\mathrm { d e n o t e d b y ~ e v e n t } D _ { 1 } } \\big ) \\ge \\frac { p _ { 0 } + 1 } { 2 } \\mathrm { ~ a n d , } \\mathbb { P } \\big ( \\underbrace { \\operatorname* { s u p } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } | \\langle \\Delta , z ^ { i } \\rangle | \\le c _ { 2 } \\sqrt { d _ { \\mathcal { M } } } } _ { \\Delta \\in \\mathcal { S } _ { 2 K } } \\big ) \\ge \\frac { p _ { 0 } + 1 } { 2 } ,", + "type": "interline_equation", + "image_path": "af28a136445e13afec4159dc368250be7a902e7853a1e6274e6903ce650de11a.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 132, + 559, + 477, + 570.6666666666666 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 132, + 570.6666666666666, + 477, + 582.3333333333333 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 132, + 582.3333333333333, + 477, + 593.9999999999999 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 607, + 504, + 631 + ], + "lines": [ + { + "bbox": [ + 105, + 607, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 219, + 621 + ], + "score": 1.0, + "content": "for some positive constants", + "type": "text" + }, + { + "bbox": [ + 219, + 610, + 229, + 619 + ], + "score": 0.85, + "content": "c _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 607, + 248, + 621 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 249, + 610, + 258, + 619 + ], + "score": 0.82, + "content": "c _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 607, + 356, + 621 + ], + "score": 1.0, + "content": ". Using the relationship", + "type": "text" + }, + { + "bbox": [ + 357, + 608, + 505, + 620 + ], + "score": 0.92, + "content": "\\mathbb { P } ( D _ { 1 } \\cap D _ { 2 } ) = P ( D _ { 1 } ) + P ( D _ { 2 } ) -", + "type": "inline_equation" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 619, + 359, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 259, + 631 + ], + "score": 0.89, + "content": "P ( D _ { 1 } ^ { c } \\cup \\bar { D } _ { 2 } ^ { c } ) \\geq P ( D _ { 1 } ) + P ( D _ { 2 } ) - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 619, + 359, + 632 + ], + "score": 1.0, + "content": ", it follows naturally that", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 607, + 505, + 632 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 168, + 635, + 441, + 663 + ], + "lines": [ + { + "bbox": [ + 168, + 635, + 441, + 663 + ], + "spans": [ + { + "bbox": [ + 168, + 635, + 441, + 663 + ], + "score": 0.93, + "content": "\\mathbb { P } \\big ( | \\langle \\mathcal { W } ^ { * } , \\mathfrak { Z } ^ { i } \\rangle | > \\tau \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } | \\langle \\Delta , z ^ { i } \\rangle | \\big ) \\geq \\frac { p _ { 0 } + 1 } { 2 } + \\frac { p _ { 0 } + 1 } { 2 } - 1 = p _ { 0 } ,", + "type": "interline_equation", + "image_path": "88e3d758e63e52f938e1eedfdfe9c85baa91e7fdb6f44ca41c1aa064adc76ef0.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 168, + 635, + 441, + 663 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 669, + 178, + 681 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 176, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 133, + 683 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 669, + 176, + 681 + ], + "score": 0.93, + "content": "\\tau = c _ { 1 } / c _ { 2 }", + "type": "inline_equation" + } + ], + "index": 30 + } + ], + "index": 30, + 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Same as in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 347, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 104, + 347, + 231, + 363 + ], + "score": 1.0, + "content": "Lemma 5, we denote the event", + "type": "text" + }, + { + "bbox": [ + 231, + 348, + 408, + 362 + ], + "score": 0.92, + "content": "\\begin{array} { r } { A = \\{ | \\langle \\mathcal { W } ^ { * } , \\Xi ^ { i } \\rangle | > \\tau \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 K } } | \\langle \\Delta , z ^ { i } \\rangle | \\} } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 409, + 347, + 505, + 363 + ], + "score": 1.0, + "content": ", and its complement by", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 107, + 358, + 144, + 373 + ], + "spans": [ + { + "bbox": [ + 107, + 360, + 119, + 370 + ], + "score": 0.85, + "content": "A ^ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 358, + 144, + 373 + ], + "score": 1.0, + "content": ", then", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17 + }, + { + "type": "interline_equation", + "bbox": [ + 130, + 376, + 478, + 545 + ], + "lines": [ + { + "bbox": [ + 130, + 376, + 478, + 545 + ], + "spans": [ + { + "bbox": [ + 130, + 376, + 478, + 545 + ], + "score": 0.95, + "content": "\\begin{array} { r l } & { \\Delta ^ { \\prime } h ( \\mathbb { W } ^ { * } ) \\Delta = \\displaystyle \\frac { 1 } { n } E \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\{ \\xi \\xi ^ { i } , \\mathbb { W } \\} ) \\mathbb { I } _ { \\Delta } \\Delta ^ { \\prime } z ^ { i } z ^ { i } \\Delta \\right\\} } \\\\ & { \\quad = \\displaystyle \\frac { 1 } { n } E \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\{ \\xi \\xi ^ { i } , \\mathbb { W } \\} ) \\Delta ^ { \\prime } z ^ { i } z ^ { i } z ^ { i } \\Delta \\right\\} - \\displaystyle \\frac { 1 } { n } E \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\langle \\xi ^ { i } , \\mathbb { W } \\rangle ) \\mathbb { I } _ { \\Delta ^ { \\prime } } \\Delta ^ { \\prime } z ^ { i } z ^ { i } z ^ { i } \\Delta \\right\\} } \\\\ & { \\quad = \\Delta ^ { \\prime } H ( \\mathbb { W } ^ { * } ) \\Delta - \\displaystyle \\frac { 1 } { n } \\mathbb { E } \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\{ \\xi \\xi ^ { i } , \\mathbb { W } \\} ) \\mathbb { I } _ { \\Delta ^ { \\prime } } \\Delta ^ { \\prime } z ^ { i } z ^ { i } z ^ { i } z ^ { i } \\Delta \\right\\} } \\\\ & \\quad \\stackrel { \\mathrm { G } } { \\geq } \\kappa _ { 0 } - \\displaystyle \\frac { 1 } { n } \\sqrt { \\mathbb { E } \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\phi ^ { \\mu } ( \\{ z \\} ^ { i } , \\mathbb { W } \\} ) \\mathbb { I } ^ { 2 } ( \\Delta , z ^ { i } ) \\right\\} \\sqrt { \\mathbb { E } \\left\\{ \\displaystyle \\sum _ { i = 1 } ^ { n } \\mathbb { I } _ { \\Delta ^ { \\prime } } \\right\\} } } \\\\ & { \\quad \\stackrel { \\mathrm { G } } { \\geq } \\kappa _ { 0 } - \\displaystyle \\frac { \\sqrt { 3 \\kappa \\xi } } { 4 } ( 1 - p _ { 0 } ) , } \\end{array}", + "type": "interline_equation", + "image_path": "00f629f662e2cb8bb8c1c0fbeb16e950c8a53c719f5a7a92622d45129a0b8ccd.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 130, + 376, + 478, + 432.3333333333333 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 130, + 432.3333333333333, + 478, + 488.66666666666663 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 130, + 488.66666666666663, + 478, + 545.0 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 548, + 505, + 583 + ], + "lines": [ + { + "bbox": [ + 105, + 548, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 321, + 562 + ], + "score": 1.0, + "content": "where (i) follows from Assumption 4(C1), And since", + "type": "text" + }, + { + "bbox": [ + 321, + 549, + 353, + 561 + ], + "score": 0.93, + "content": "\\langle \\Delta , z ^ { i } \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 548, + 505, + 562 + ], + "score": 1.0, + "content": "is a gaussian variable with mean zero", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 560, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 208, + 573 + ], + "score": 1.0, + "content": "and variance bounded by", + "type": "text" + }, + { + "bbox": [ + 209, + 562, + 222, + 572 + ], + "score": 0.84, + "content": "\\kappa _ { U }", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 560, + 358, + 573 + ], + "score": 1.0, + "content": ", its fourth moment is bounded by", + "type": "text" + }, + { + "bbox": [ + 358, + 561, + 377, + 571 + ], + "score": 0.89, + "content": "3 \\kappa _ { U }", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 560, + 417, + 573 + ], + "score": 1.0, + "content": ". 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We hence accomplished the proof of the lemma.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 108, + 647, + 254, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 254, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 254, + 660 + ], + "score": 1.0, + "content": "A.5 ADDITIONAL EXPERIMENTS", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 107, + 668, + 354, + 680 + ], + "lines": [ + { + "bbox": [ + 106, + 668, + 355, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 355, + 681 + ], + "score": 1.0, + "content": "A.5.1 MORE EXPERIMENTS FOR THEORETICAL RESULTS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "We first provide some additional implementation details for Section 4.1 in the paper. We consider", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "two types of inputs for verification of the sample complexity in Theorem 1. For the time-dependent", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 282, + 723 + ], + "score": 1.0, + "content": "inputs, we generate a sequence of vectors", + "type": "text" + }, + { + "bbox": [ + 282, + 709, + 303, + 722 + ], + "score": 0.92, + "content": "\\{ \\dot { \\mathbf { } } \\mathbf { } x ^ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 709, + 345, + 723 + ], + "score": 1.0, + "content": "with size", + "type": "text" + }, + { + "bbox": [ + 346, + 709, + 359, + 720 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "from a stationary VAR(1) process,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 134, + 733 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 721, + 168, + 731 + ], + "score": 0.89, + "content": "d = 2 4 5", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "or 192. 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It follows that", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 586, + 505, + 601 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 265, + 604, + 344, + 618 + ], + "lines": [ + { + "bbox": [ + 265, + 604, + 344, + 618 + ], + "spans": [ + { + "bbox": [ + 265, + 604, + 344, + 618 + ], + "score": 0.89, + "content": "\\Delta ^ { \\prime } h ( \\boldsymbol { \\mathsf { W } } ^ { * } ) \\Delta \\geq \\kappa _ { 1 } ,", + "type": "interline_equation", + "image_path": "72bfc61381eb2740962dfaf6b510ad487054f4738ffa0b054a13417627e73ebd.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 265, + 604, + 344, + 618 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 623, + 373, + 635 + ], + "lines": [ + { + "bbox": [ + 106, + 622, + 374, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 126, + 636 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 623, + 174, + 634 + ], + "score": 0.91, + "content": "\\kappa _ { 1 } = 0 . 5 \\kappa _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 622, + 374, + 636 + ], + "score": 1.0, + "content": ". We hence accomplished the proof of the lemma.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27, + "bbox_fs": [ + 106, + 622, + 374, + 636 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 647, + 254, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 254, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 254, + 660 + ], + "score": 1.0, + "content": "A.5 ADDITIONAL EXPERIMENTS", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 107, + 668, + 354, + 680 + ], + "lines": [ + { + "bbox": [ + 106, + 668, + 355, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 355, + 681 + ], + "score": 1.0, + "content": "A.5.1 MORE EXPERIMENTS FOR THEORETICAL RESULTS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "We first provide some additional implementation details for Section 4.1 in the paper. We consider", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "two types of inputs for verification of the sample complexity in Theorem 1. For the time-dependent", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 282, + 723 + ], + "score": 1.0, + "content": "inputs, we generate a sequence of vectors", + "type": "text" + }, + { + "bbox": [ + 282, + 709, + 303, + 722 + ], + "score": 0.92, + "content": "\\{ \\dot { \\mathbf { } } \\mathbf { } x ^ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 709, + 345, + 723 + ], + "score": 1.0, + "content": "with size", + "type": "text" + }, + { + "bbox": [ + 346, + 709, + 359, + 720 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "from a stationary VAR(1) process,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 134, + 733 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 721, + 168, + 731 + ], + "score": 0.89, + "content": "d = 2 4 5", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "or 192. The VAR(1) process has a transition matrix with spectral norm less than", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 687, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 163, + 78, + 480, + 181 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 163, + 78, + 480, + 181 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 163, + 78, + 480, + 181 + ], + "spans": [ + { + "bbox": [ + 163, + 78, + 480, + 181 + ], + "score": 0.966, + "type": "image", + "image_path": "b58a2c0f81ca7a92056b45c91ab77578160589cd9fdeea3f345595cfb2d8fba9.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 163, + 78, + 480, + 112.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 163, + 112.33333333333334, + 480, + 146.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 163, + 146.66666666666669, + 480, + 181.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 174, + 194, + 435, + 205 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 174, + 193, + 436, + 207 + ], + "spans": [ + { + "bbox": [ + 174, + 193, + 436, + 207 + ], + "score": 1.0, + "content": "Figure 7: Additional experiments for efficient number of kernels.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "text", + "bbox": [ + 106, + 227, + 505, + 283 + ], + "lines": [ + { + "bbox": [ + 106, + 227, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 505, + 239 + ], + "score": 1.0, + "content": "1 to ensure stationarity, and a white noise sequence which follows multivariate standard normal", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 238, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 505, + 251 + ], + "score": 1.0, + "content": "distribution. The first 50 simulated data points in the sequence are discarded to alleviate the influence", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 249, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 506, + 263 + ], + "score": 1.0, + "content": "of initialization, and the length of the resulting sequence is equal to the training sample size plus the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 260, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 201, + 273 + ], + "score": 1.0, + "content": "testing sample size, i.e.", + "type": "text" + }, + { + "bbox": [ + 201, + 261, + 236, + 271 + ], + "score": 0.89, + "content": "n + 2 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 261, + 308, + 273 + ], + "score": 1.0, + "content": ". We then reshape", + "type": "text" + }, + { + "bbox": [ + 308, + 260, + 329, + 273 + ], + "score": 0.93, + "content": "\\{ { \\pmb x } ^ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 261, + 505, + 273 + ], + "score": 1.0, + "content": "into a sequence of tensors of shape (7, 5, 7)", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 271, + 457, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 457, + 284 + ], + "score": 1.0, + "content": "or (8, 8, 3), which are the time-dependent inputs for experiments under S1/S2 or S3/S4.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 288, + 505, + 473 + ], + "lines": [ + { + "bbox": [ + 105, + 287, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 505, + 301 + ], + "score": 1.0, + "content": "Next, we conduct extra experiments for efficient number of kernels for a CP block design. This study", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 298, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 104, + 298, + 126, + 313 + ], + "score": 1.0, + "content": "uses", + "type": "text" + }, + { + "bbox": [ + 126, + 300, + 159, + 311 + ], + "score": 0.9, + "content": "3 2 \\times 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 298, + 426, + 313 + ], + "score": 1.0, + "content": "inputs with 16 channels, and we set stride to 1 and pooling sizes to", + "type": "text" + }, + { + "bbox": [ + 426, + 300, + 448, + 311 + ], + "score": 0.83, + "content": "( 5 , 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 298, + 506, + 313 + ], + "score": 1.0, + "content": ". We generate", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 309, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 104, + 309, + 236, + 325 + ], + "score": 1.0, + "content": "the orthonormal factor matrices", + "type": "text" + }, + { + "bbox": [ + 237, + 311, + 317, + 324 + ], + "score": 0.91, + "content": "\\{ \\pmb { H } ^ { ( j ) } , 1 \\le j \\le 4 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 309, + 349, + 325 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 349, + 311, + 371, + 322 + ], + "score": 0.9, + "content": "H ^ { ( 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 309, + 412, + 325 + ], + "score": 1.0, + "content": "is of size", + "type": "text" + }, + { + "bbox": [ + 412, + 311, + 437, + 322 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { 8 \\times R }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 309, + 442, + 325 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 442, + 311, + 464, + 322 + ], + "score": 0.85, + "content": "\\dot { \\pmb { H } } ^ { ( 2 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 309, + 506, + 325 + ], + "score": 1.0, + "content": "is of size", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 320, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 131, + 334 + ], + "score": 0.85, + "content": "\\mathbb { R } ^ { 8 \\times R }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 320, + 136, + 338 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 136, + 323, + 158, + 335 + ], + "score": 0.83, + "content": "\\pmb { H } ^ { ( 3 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 320, + 200, + 338 + ], + "score": 1.0, + "content": "is of size", + "type": "text" + }, + { + "bbox": [ + 200, + 323, + 229, + 334 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { 1 6 \\times R }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 320, + 248, + 338 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 249, + 324, + 271, + 334 + ], + "score": 0.88, + "content": "H ^ { ( 4 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 320, + 312, + 338 + ], + "score": 1.0, + "content": "is of size", + "type": "text" + }, + { + "bbox": [ + 312, + 323, + 341, + 334 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { K \\times R }", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 320, + 370, + 338 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 370, + 324, + 399, + 334 + ], + "score": 0.93, + "content": "R = 8", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 320, + 418, + 338 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 419, + 324, + 501, + 336 + ], + "score": 0.9, + "content": "K \\in \\{ 8 , 1 6 , 2 4 , 3 2 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 320, + 506, + 338 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 103, + 333, + 507, + 353 + ], + "spans": [ + { + "bbox": [ + 103, + 333, + 303, + 353 + ], + "score": 1.0, + "content": "If we denote the orthonormal column vectors of", + "type": "text" + }, + { + "bbox": [ + 303, + 336, + 325, + 348 + ], + "score": 0.9, + "content": "\\pmb { H } ^ { ( j ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 333, + 340, + 353 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 340, + 335, + 358, + 349 + ], + "score": 0.92, + "content": "\\boldsymbol { h } _ { r } ^ { ( j ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 333, + 387, + 353 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 388, + 338, + 437, + 349 + ], + "score": 0.9, + "content": "1 \\leq r \\leq R", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 333, + 455, + 353 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 455, + 338, + 501, + 350 + ], + "score": 0.89, + "content": "1 \\le j \\le 4", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 333, + 507, + 353 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 101, + 343, + 511, + 375 + ], + "spans": [ + { + "bbox": [ + 101, + 343, + 173, + 375 + ], + "score": 1.0, + "content": "the stacked kerncan be seen that", + "type": "text" + }, + { + "bbox": [ + 184, + 343, + 209, + 375 + ], + "score": 1.0, + "content": "tensor has a", + "type": "text" + }, + { + "bbox": [ + 209, + 352, + 219, + 361 + ], + "score": 0.75, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 343, + 255, + 375 + ], + "score": 1.0, + "content": "can thenP rank of", + "type": "text" + }, + { + "bbox": [ + 283, + 343, + 321, + 375 + ], + "score": 1.0, + "content": "erated as . We spli", + "type": "text" + }, + { + "bbox": [ + 322, + 349, + 472, + 364 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\pmb { \\mathcal { A } } = \\sum _ { r = 1 } ^ { R } \\pmb { h } _ { r } ^ { ( 1 ) } \\circ \\pmb { h } _ { r } ^ { ( 2 ) } \\circ \\pmb { h } _ { r } ^ { ( 3 ) } \\circ \\pmb { h } _ { r } ^ { ( 4 ) } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 343, + 511, + 375 + ], + "score": 1.0, + "content": ". 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The parameter tensor", + "type": "text" + }, + { + "bbox": [ + 418, + 385, + 430, + 395 + ], + "score": 0.48, + "content": "\\boldsymbol { w }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 384, + 505, + 397 + ], + "score": 1.0, + "content": "is hence obtained,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 396, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 407 + ], + "score": 1.0, + "content": "and we further normalize it to have unit Frobenius norm to ensure the comparability of estimation", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 406, + 504, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 206, + 419 + ], + "score": 1.0, + "content": "errors between different", + "type": "text" + }, + { + "bbox": [ + 207, + 407, + 221, + 417 + ], + "score": 0.76, + "content": "K \\mathrm { s }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 406, + 504, + 419 + ], + "score": 1.0, + "content": ". The block structure in Figure 7(1) is employed to train the network,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 417, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 415, + 429 + ], + "score": 1.0, + "content": "and it is equivalent to the bottleneck structure with a CP decomposition on", + "type": "text" + }, + { + "bbox": [ + 416, + 418, + 425, + 427 + ], + "score": 0.77, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 417, + 505, + 429 + ], + "score": 1.0, + "content": "; see Kossaifi et al.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 218, + 441 + ], + "score": 1.0, + "content": "(2020b). We can see that as", + "type": "text" + }, + { + "bbox": [ + 218, + 429, + 229, + 438 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "increases, there is more redundancy in the network parameters. Fifty", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "score": 1.0, + "content": "training sets are generated for each training size, and we stop training when the target function drops", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 448, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 104, + 448, + 155, + 464 + ], + "score": 1.0, + "content": "by less than", + "type": "text" + }, + { + "bbox": [ + 155, + 449, + 177, + 460 + ], + "score": 0.9, + "content": "1 0 ^ { - 5 }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 448, + 384, + 464 + ], + "score": 1.0, + "content": ". From Figure 7(2), the estimation error increases as", + "type": "text" + }, + { + "bbox": [ + 384, + 451, + 394, + 460 + ], + "score": 0.85, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 448, + 506, + 464 + ], + "score": 1.0, + "content": "is larger, and the difference", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 462, + 299, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 299, + 473 + ], + "score": 1.0, + "content": "is more pronounced when training size is small.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 16.5 + }, + { + "type": "title", + "bbox": [ + 107, + 487, + 341, + 498 + ], + "lines": [ + { + "bbox": [ + 106, + 487, + 342, + 499 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 342, + 499 + ], + "score": 1.0, + "content": "A.5.2 ABLATION STUDIES ON MORE BLOCK DESIGNS", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 108, + 506, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 348, + 519 + ], + "score": 1.0, + "content": "In this section, we present the results from the studies of", + "type": "text" + }, + { + "bbox": [ + 348, + 507, + 371, + 519 + ], + "score": 0.91, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "ratios on two popular networks", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 518, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 505, + 530 + ], + "score": 1.0, + "content": "structures, namely, ResNeXt (Xie et al., 2017) and Shufflenet v2 (Ma et al., 2018). To start with, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 529, + 496, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 339, + 540 + ], + "score": 1.0, + "content": "will show the bottleneck block structure and its respective", + "type": "text" + }, + { + "bbox": [ + 340, + 529, + 362, + 541 + ], + "score": 0.91, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 529, + 496, + 540 + ], + "score": 1.0, + "content": "ratio in ResNeXt and Shufflenet.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 108, + 546, + 505, + 579 + ], + "lines": [ + { + "bbox": [ + 106, + 546, + 504, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 480, + 558 + ], + "score": 1.0, + "content": "In Figure 8, we represent the bottleneck block structure of ResNeXt consisting of 3 layers: a", + "type": "text" + }, + { + "bbox": [ + 480, + 546, + 504, + 556 + ], + "score": 0.87, + "content": "1 \\times 1", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 557, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 190, + 569 + ], + "score": 1.0, + "content": "convolution layer, a", + "type": "text" + }, + { + "bbox": [ + 190, + 557, + 216, + 568 + ], + "score": 0.89, + "content": "3 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 557, + 403, + 569 + ], + "score": 1.0, + "content": "group convolution layer followed by another", + "type": "text" + }, + { + "bbox": [ + 403, + 558, + 428, + 568 + ], + "score": 0.89, + "content": "1 \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 557, + 505, + 569 + ], + "score": 1.0, + "content": "convolution layer.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 567, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 280, + 581 + ], + "score": 1.0, + "content": "During group convolution phase, there are", + "type": "text" + }, + { + "bbox": [ + 280, + 570, + 287, + 579 + ], + "score": 0.74, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 567, + 468, + 581 + ], + "score": 1.0, + "content": "parallel paths, each has a bottleneck size of", + "type": "text" + }, + { + "bbox": [ + 468, + 570, + 474, + 578 + ], + "score": 0.65, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 567, + 505, + 581 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30 + }, + { + "type": "image", + "bbox": [ + 119, + 600, + 496, + 694 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 119, + 600, + 496, + 694 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 119, + 600, + 496, + 694 + ], + "spans": [ + { + "bbox": [ + 119, + 600, + 496, + 694 + ], + "score": 0.96, + "type": "image", + "image_path": "fe0b0502d876f66c8b6462a1d0456344337361c76ff72b9b7852bc41c593c3ad.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 119, + 600, + 496, + 631.3333333333334 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 119, + 631.3333333333334, + 496, + 662.6666666666667 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 119, + 662.6666666666667, + 496, + 694.0000000000001 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 707, + 505, + 730 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 707, + 505, + 720 + ], + "spans": [ + { + "bbox": [ + 106, + 707, + 505, + 720 + ], + "score": 1.0, + "content": "Figure 8: Equivalent ResNext building blocks. Both (1) and (2) represent a block of ResNeXt with", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 717, + 492, + 730 + ], + "spans": [ + { + "bbox": [ + 105, + 717, + 151, + 730 + ], + "score": 1.0, + "content": "cardinality", + "type": "text" + }, + { + "bbox": [ + 151, + 720, + 158, + 730 + ], + "score": 0.76, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 717, + 182, + 730 + ], + "score": 1.0, + "content": ", with", + "type": "text" + }, + { + "bbox": [ + 182, + 718, + 221, + 730 + ], + "score": 0.91, + "content": "R = r \\cdot g", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 717, + 328, + 730 + ], + "score": 1.0, + "content": ". Here, the expansion ratio", + "type": "text" + }, + { + "bbox": [ + 328, + 718, + 367, + 730 + ], + "score": 0.92, + "content": "t = K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 717, + 492, + 730 + ], + "score": 1.0, + "content": ", and takes values of 1,2 and 4.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5 + } + ], + "index": 34.25 + } + ], + "page_idx": 31, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 313, + 765 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 313, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 15 + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 307, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 163, + 78, + 480, + 181 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 163, + 78, + 480, + 181 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 163, + 78, + 480, + 181 + ], + "spans": [ + { + "bbox": [ + 163, + 78, + 480, + 181 + ], + "score": 0.966, + "type": "image", + "image_path": "b58a2c0f81ca7a92056b45c91ab77578160589cd9fdeea3f345595cfb2d8fba9.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 163, + 78, + 480, + 112.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 163, + 112.33333333333334, + 480, + 146.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 163, + 146.66666666666669, + 480, + 181.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 174, + 194, + 435, + 205 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 174, + 193, + 436, + 207 + ], + "spans": [ + { + "bbox": [ + 174, + 193, + 436, + 207 + ], + "score": 1.0, + "content": "Figure 7: Additional experiments for efficient number of kernels.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "text", + "bbox": [ + 106, + 227, + 505, + 283 + ], + "lines": [ + { + "bbox": [ + 106, + 227, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 505, + 239 + ], + "score": 1.0, + "content": "1 to ensure stationarity, and a white noise sequence which follows multivariate standard normal", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 238, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 505, + 251 + ], + "score": 1.0, + "content": "distribution. The first 50 simulated data points in the sequence are discarded to alleviate the influence", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 249, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 506, + 263 + ], + "score": 1.0, + "content": "of initialization, and the length of the resulting sequence is equal to the training sample size plus the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 260, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 201, + 273 + ], + "score": 1.0, + "content": "testing sample size, i.e.", + "type": "text" + }, + { + "bbox": [ + 201, + 261, + 236, + 271 + ], + "score": 0.89, + "content": "n + 2 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 261, + 308, + 273 + ], + "score": 1.0, + "content": ". 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We generate", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 309, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 104, + 309, + 236, + 325 + ], + "score": 1.0, + "content": "the orthonormal factor matrices", + "type": "text" + }, + { + "bbox": [ + 237, + 311, + 317, + 324 + ], + "score": 0.91, + "content": "\\{ \\pmb { H } ^ { ( j ) } , 1 \\le j \\le 4 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 309, + 349, + 325 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 349, + 311, + 371, + 322 + ], + "score": 0.9, + "content": "H ^ { ( 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 309, + 412, + 325 + ], + "score": 1.0, + "content": "is of size", + "type": "text" + }, + { + "bbox": [ + 412, + 311, + 437, + 322 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { 8 \\times R }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 309, + 442, + 325 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 442, + 311, + 464, + 322 + ], + "score": 0.85, + "content": "\\dot { \\pmb { H } } ^ { ( 2 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 309, + 506, + 325 + ], + "score": 1.0, + "content": "is of size", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 320, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 131, + 334 + ], + "score": 0.85, + "content": "\\mathbb { R } ^ { 8 \\times R }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 320, + 136, + 338 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 136, + 323, + 158, + 335 + ], + "score": 0.83, + "content": "\\pmb { H } ^ { ( 3 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 320, + 200, + 338 + ], + "score": 1.0, + "content": "is of size", + "type": "text" + }, + { + "bbox": [ + 200, + 323, + 229, + 334 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { 1 6 \\times R }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 320, + 248, + 338 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 249, + 324, + 271, + 334 + ], + "score": 0.88, + "content": "H ^ { ( 4 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 320, + 312, + 338 + ], + "score": 1.0, + "content": "is of size", + "type": "text" + }, + { + "bbox": [ + 312, + 323, + 341, + 334 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { K \\times R }", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 320, + 370, + 338 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 370, + 324, + 399, + 334 + ], + "score": 0.93, + "content": "R = 8", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 320, + 418, + 338 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 419, + 324, + 501, + 336 + ], + "score": 0.9, + "content": "K \\in \\{ 8 , 1 6 , 2 4 , 3 2 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 320, + 506, + 338 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 103, + 333, + 507, + 353 + ], + "spans": [ + { + "bbox": [ + 103, + 333, + 303, + 353 + ], + "score": 1.0, + "content": "If we denote the orthonormal column vectors of", + "type": "text" + }, + { + "bbox": [ + 303, + 336, + 325, + 348 + ], + "score": 0.9, + "content": "\\pmb { H } ^ { ( j ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 333, + 340, + 353 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 340, + 335, + 358, + 349 + ], + "score": 0.92, + "content": "\\boldsymbol { h } _ { r } ^ { ( j ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 333, + 387, + 353 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 388, + 338, + 437, + 349 + ], + "score": 0.9, + "content": "1 \\leq r \\leq R", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 333, + 455, + 353 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 455, + 338, + 501, + 350 + ], + "score": 0.89, + "content": "1 \\le j \\le 4", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 333, + 507, + 353 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 101, + 343, + 511, + 375 + ], + "spans": [ + { + "bbox": [ + 101, + 343, + 173, + 375 + ], + "score": 1.0, + "content": "the stacked kerncan be seen that", + "type": "text" + }, + { + "bbox": [ + 184, + 343, + 209, + 375 + ], + "score": 1.0, + "content": "tensor has a", + "type": "text" + }, + { + "bbox": [ + 209, + 352, + 219, + 361 + ], + "score": 0.75, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 343, + 255, + 375 + ], + "score": 1.0, + "content": "can thenP rank of", + "type": "text" + }, + { + "bbox": [ + 283, + 343, + 321, + 375 + ], + "score": 1.0, + "content": "erated as . 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And ite kernel", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 174, + 363, + 437, + 372 + ], + "spans": [ + { + "bbox": [ + 174, + 363, + 183, + 372 + ], + "score": 0.72, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 363, + 283, + 372 + ], + "score": 0.89, + "content": "R = 8", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 363, + 437, + 372 + ], + "score": 0.75, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 373, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 106, + 373, + 191, + 386 + ], + "score": 1.0, + "content": "dimension to obtain", + "type": "text" + }, + { + "bbox": [ + 192, + 373, + 275, + 385 + ], + "score": 0.91, + "content": "\\{ \\mathcal { A } _ { k } , 1 \\le k \\le K \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 373, + 505, + 386 + ], + "score": 1.0, + "content": "and generate the corresponding fully-connected weight", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 384, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 137, + 397 + ], + "score": 1.0, + "content": "tensors", + "type": "text" + }, + { + "bbox": [ + 137, + 384, + 212, + 397 + ], + "score": 0.92, + "content": "\\{ \\mathbf { { \\mathcal { B } } } _ { k } , 1 \\leq k \\leq K \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 384, + 418, + 397 + ], + "score": 1.0, + "content": "with standard normal entries. The parameter tensor", + "type": "text" + }, + { + "bbox": [ + 418, + 385, + 430, + 395 + ], + "score": 0.48, + "content": "\\boldsymbol { w }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 384, + 505, + 397 + ], + "score": 1.0, + "content": "is hence obtained,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 396, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 407 + ], + "score": 1.0, + "content": "and we further normalize it to have unit Frobenius norm to ensure the comparability of estimation", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 406, + 504, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 206, + 419 + ], + "score": 1.0, + "content": "errors between different", + "type": "text" + }, + { + "bbox": [ + 207, + 407, + 221, + 417 + ], + "score": 0.76, + "content": "K \\mathrm { s }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 406, + 504, + 419 + ], + "score": 1.0, + "content": ". The block structure in Figure 7(1) is employed to train the network,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 417, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 415, + 429 + ], + "score": 1.0, + "content": "and it is equivalent to the bottleneck structure with a CP decomposition on", + "type": "text" + }, + { + "bbox": [ + 416, + 418, + 425, + 427 + ], + "score": 0.77, + "content": "\\mathbfcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 417, + 505, + 429 + ], + "score": 1.0, + "content": "; see Kossaifi et al.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 218, + 441 + ], + "score": 1.0, + "content": "(2020b). We can see that as", + "type": "text" + }, + { + "bbox": [ + 218, + 429, + 229, + 438 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "increases, there is more redundancy in the network parameters. Fifty", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 505, + 452 + ], + "score": 1.0, + "content": "training sets are generated for each training size, and we stop training when the target function drops", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 448, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 104, + 448, + 155, + 464 + ], + "score": 1.0, + "content": "by less than", + "type": "text" + }, + { + "bbox": [ + 155, + 449, + 177, + 460 + ], + "score": 0.9, + "content": "1 0 ^ { - 5 }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 448, + 384, + 464 + ], + "score": 1.0, + "content": ". From Figure 7(2), the estimation error increases as", + "type": "text" + }, + { + "bbox": [ + 384, + 451, + 394, + 460 + ], + "score": 0.85, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 448, + 506, + 464 + ], + "score": 1.0, + "content": "is larger, and the difference", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 462, + 299, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 299, + 473 + ], + "score": 1.0, + "content": "is more pronounced when training size is small.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 16.5, + "bbox_fs": [ + 101, + 287, + 511, + 473 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 487, + 341, + 498 + ], + "lines": [ + { + "bbox": [ + 106, + 487, + 342, + 499 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 342, + 499 + ], + "score": 1.0, + "content": "A.5.2 ABLATION STUDIES ON MORE BLOCK DESIGNS", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 108, + 506, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 348, + 519 + ], + "score": 1.0, + "content": "In this section, we present the results from the studies of", + "type": "text" + }, + { + "bbox": [ + 348, + 507, + 371, + 519 + ], + "score": 0.91, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "ratios on two popular networks", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 518, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 505, + 530 + ], + "score": 1.0, + "content": "structures, namely, ResNeXt (Xie et al., 2017) and Shufflenet v2 (Ma et al., 2018). To start with, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 529, + 496, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 339, + 540 + ], + "score": 1.0, + "content": "will show the bottleneck block structure and its respective", + "type": "text" + }, + { + "bbox": [ + 340, + 529, + 362, + 541 + ], + "score": 0.91, + "content": "K / R", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 529, + 496, + 540 + ], + "score": 1.0, + "content": "ratio in ResNeXt and Shufflenet.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27, + "bbox_fs": [ + 106, + 507, + 505, + 541 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 546, + 505, + 579 + ], + "lines": [ + { + "bbox": [ + 106, + 546, + 504, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 480, + 558 + ], + "score": 1.0, + "content": "In Figure 8, we represent the bottleneck block structure of ResNeXt consisting of 3 layers: a", + "type": "text" + }, + { + "bbox": [ + 480, + 546, + 504, + 556 + ], + "score": 0.87, + "content": "1 \\times 1", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 557, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 190, + 569 + ], + "score": 1.0, + "content": "convolution layer, a", + "type": "text" + }, + { + "bbox": [ + 190, + 557, + 216, + 568 + ], + "score": 0.89, + "content": "3 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 557, + 403, + 569 + ], + "score": 1.0, + "content": "group convolution layer followed by another", + "type": "text" + }, + { + "bbox": [ + 403, + 558, + 428, + 568 + ], + "score": 0.89, + "content": "1 \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 557, + 505, + 569 + ], + "score": 1.0, + "content": "convolution layer.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 567, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 280, + 581 + ], + "score": 1.0, + "content": "During group convolution phase, there are", + "type": "text" + }, + { + "bbox": [ + 280, + 570, + 287, + 579 + ], + "score": 0.74, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 567, + 468, + 581 + ], + "score": 1.0, + "content": "parallel paths, each has a bottleneck size of", + "type": "text" + }, + { + "bbox": [ + 468, + 570, + 474, + 578 + ], + "score": 0.65, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 567, + 505, + 581 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 396, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 104, + 396, + 505, + 410 + ], + "score": 1.0, + "content": "is also the rank of the output channel in each individual path; see also Figure 1 in Xie et al. (2017).", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 408, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 408, + 505, + 420 + ], + "score": 1.0, + "content": "Since the output from each path is aggregated via summation, the rank of the output channel of the", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 419, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 243, + 432 + ], + "score": 1.0, + "content": "entire bottleneck block is equal to", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 243, + 420, + 281, + 431 + ], + "score": 0.91, + "content": "R = r \\cdot g", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 281, + 419, + 506, + 432 + ], + "score": 1.0, + "content": ". Subsequently, we can define the expansion ratio of this", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 429, + 196, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 153, + 442 + ], + "score": 1.0, + "content": "block to be", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 153, + 430, + 192, + 442 + ], + "score": 0.92, + "content": "t = K / R", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 193, + 429, + 196, + 442 + ], + "score": 1.0, + "content": ".", + "type": "text", + "cross_page": true + } + ], + "index": 12 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 546, + 505, + 581 + ] + }, + { + "type": "image", + "bbox": [ + 119, + 600, + 496, + 694 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 119, + 600, + 496, + 694 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 119, + 600, + 496, + 694 + ], + "spans": [ + { + "bbox": [ + 119, + 600, + 496, + 694 + ], + "score": 0.96, + "type": "image", + "image_path": "fe0b0502d876f66c8b6462a1d0456344337361c76ff72b9b7852bc41c593c3ad.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 119, + 600, + 496, + 631.3333333333334 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 119, + 631.3333333333334, + 496, + 662.6666666666667 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 119, + 662.6666666666667, + 496, + 694.0000000000001 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 707, + 505, + 730 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 707, + 505, + 720 + ], + "spans": [ + { + "bbox": [ + 106, + 707, + 505, + 720 + ], + "score": 1.0, + "content": "Figure 8: Equivalent ResNext building blocks. 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So, the only difference between this block structure and that in ResNet (He et al., 2016) is", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 478, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 154, + 492 + ], + "score": 1.0, + "content": "that the full", + "type": "text" + }, + { + "bbox": [ + 154, + 480, + 176, + 490 + ], + "score": 0.89, + "content": "3 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 478, + 506, + 492 + ], + "score": 1.0, + "content": "convolution is replaced by the depthwise separable convolution. 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We followed the design of ResNeXt-50 (see Table 1 in Xie", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 528, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 104, + 528, + 506, + 543 + ], + "score": 1.0, + "content": "et al. (2017)) and Shufflenet v2-50 (see Appendix Table 2 in Ma et al. (2018)), only be removing", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 540, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 393, + 553 + ], + "score": 1.0, + "content": "the three convolution block in ”conv5” to avoid overfitting. 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And", + "type": "text" + }, + { + "bbox": [ + 335, + 552, + 380, + 562 + ], + "score": 0.91, + "content": "K = t \\cdot R", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 551, + 506, + 564 + ], + "score": 1.0, + "content": "is taken according to different", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 145, + 575 + ], + "score": 1.0, + "content": "values of", + "type": "text" + }, + { + "bbox": [ + 146, + 563, + 151, + 572 + ], + "score": 0.66, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 561, + 505, + 575 + ], + "score": 1.0, + "content": ". The implementations are similar to before. Following the practice in He et al. (2016),", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 573, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 506, + 587 + ], + "score": 1.0, + "content": "we adopt batch normalization(BN) (Ioffe & Szegedy, 2015) right after each convolution and before", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 584, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 106, + 584, + 506, + 597 + ], + "score": 1.0, + "content": "the ReLU activation. For ResNeXt, the cardinality of the group convolution is set to be 32, and we", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 594, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 608 + ], + "score": 1.0, + "content": "initialize the weights as in He et al. (2015). We use stochastic gradient descent with weight decay", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 604, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 128, + 617 + ], + "score": 0.89, + "content": "1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 604, + 506, + 619 + ], + "score": 1.0, + "content": ", momentum 0.9 and mini-batch size 128. The learning rate starts from 0.1 and is divided by 10", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 616, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 506, + 631 + ], + "score": 1.0, + "content": "for every 100 epochs. We stop training after 350 epochs, since the training accuracy hardly changes.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 627, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 264, + 641 + ], + "score": 1.0, + "content": "The training accuracy is approximately", + "type": "text" + }, + { + "bbox": [ + 264, + 628, + 284, + 639 + ], + "score": 0.86, + "content": "96 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 627, + 506, + 641 + ], + "score": 1.0, + "content": ". 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And we set", + "type": "text" + }, + { + "bbox": [ + 393, + 541, + 425, + 551 + ], + "score": 0.71, + "content": "R = 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 540, + 505, + 553 + ], + "score": 1.0, + "content": ", 58, 116, 232 as the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 335, + 564 + ], + "score": 1.0, + "content": "bottleneck rank for ”conv1”-”conv4”, respectively. And", + "type": "text" + }, + { + "bbox": [ + 335, + 552, + 380, + 562 + ], + "score": 0.91, + "content": "K = t \\cdot R", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 551, + 506, + 564 + ], + "score": 1.0, + "content": "is taken according to different", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 145, + 575 + ], + "score": 1.0, + "content": "values of", + "type": "text" + }, + { + "bbox": [ + 146, + 563, + 151, + 572 + ], + "score": 0.66, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 561, + 505, + 575 + ], + "score": 1.0, + "content": ". The implementations are similar to before. Following the practice in He et al. (2016),", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 573, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 506, + 587 + ], + "score": 1.0, + "content": "we adopt batch normalization(BN) (Ioffe & Szegedy, 2015) right after each convolution and before", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 584, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 106, + 584, + 506, + 597 + ], + "score": 1.0, + "content": "the ReLU activation. For ResNeXt, the cardinality of the group convolution is set to be 32, and we", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 594, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 608 + ], + "score": 1.0, + "content": "initialize the weights as in He et al. (2015). We use stochastic gradient descent with weight decay", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 604, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 128, + 617 + ], + "score": 0.89, + "content": "1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 604, + 506, + 619 + ], + "score": 1.0, + "content": ", momentum 0.9 and mini-batch size 128. The learning rate starts from 0.1 and is divided by 10", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 616, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 506, + 631 + ], + "score": 1.0, + "content": "for every 100 epochs. We stop training after 350 epochs, since the training accuracy hardly changes.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 627, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 264, + 641 + ], + "score": 1.0, + "content": "The training accuracy is approximately", + "type": "text" + }, + { + "bbox": [ + 264, + 628, + 284, + 639 + ], + "score": 0.86, + "content": "96 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 627, + 506, + 641 + ], + "score": 1.0, + "content": ". We set seeds 1-5 and report the worst case scenario of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 639, + 220, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 220, + 652 + ], + "score": 1.0, + "content": "the test accuracy in Table 3.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 24, + "bbox_fs": [ + 104, + 508, + 506, + 652 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 656, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 106, + 656, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 199, + 667 + ], + "score": 1.0, + "content": "We can see that, when", + "type": "text" + }, + { + "bbox": [ + 199, + 657, + 224, + 666 + ], + "score": 0.89, + "content": "t = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 656, + 392, + 667 + ], + "score": 1.0, + "content": ", the test accuracy is comparable to when", + "type": "text" + }, + { + "bbox": [ + 392, + 657, + 417, + 666 + ], + "score": 0.88, + "content": "t = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 656, + 505, + 667 + ], + "score": 1.0, + "content": "or 4, and the number", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "of parameters are reduced by a lot. In fact, the ratio of number of parameters at a single bottleneck", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 147, + 690 + ], + "score": 1.0, + "content": "block for", + "type": "text" + }, + { + "bbox": [ + 147, + 678, + 184, + 689 + ], + "score": 0.91, + "content": "t = 1 , 2", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 677, + 257, + 690 + ], + "score": 1.0, + "content": "and 4 is roughly", + "type": "text" + }, + { + "bbox": [ + 257, + 678, + 298, + 689 + ], + "score": 0.88, + "content": "1 : 2 : 4", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 677, + 505, + 690 + ], + "score": 1.0, + "content": ", for both networks. This implies that the number", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 690, + 504, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 690, + 504, + 701 + ], + "score": 1.0, + "content": "of parameters will increase dramatically when we have a deeper CNN, for instance, ResNeXt-101.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 284, + 712 + ], + "score": 1.0, + "content": "Hence, it is always recommended to keep", + "type": "text" + }, + { + "bbox": [ + 285, + 700, + 313, + 710 + ], + "score": 0.9, + "content": "t \\ = \\ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "to achieve more parameter efficiency without", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 710, + 221, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 221, + 725 + ], + "score": 1.0, + "content": 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tCIFAR-10SVHN#FLOPs#ParamsUCF101#Added FLOPs#Added Params
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{ T W } } } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\Delta \\rangle \\geq 8 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\operatorname { T W } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in S _ { 2 K } ^ { \\operatorname { T W } } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\leq \\mathbb { P } \\left[ \\underset { 1 \\leq j \\leq N ^ { \\operatorname { T W } } ( \\varepsilon ) } { \\operatorname* { s u p } } \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle \\geq 4 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\operatorname { T W } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\quad \\underset { \\Delta \\in S _ { 2 K } ^ { \\operatorname { T W } } } { \\operatorname* { s u p } } \\| \\Delta \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right] } \\\\ & { \\leq \\displaystyle \\sum _ { j = 1 } ^ { N ^ { \\operatorname { T W } } ( \\varepsilon ) } \\mathbb { P } \\left( \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\xi ^ { i } \\langle \\Xi ^ { i } , \\bar { \\Delta } _ { j } \\rangle \\geq 4 \\sigma \\sqrt { \\alpha _ { \\mathrm { R S M } } } \\left( \\sqrt { \\frac { c _ { N } d _ { M } ^ { \\operatorname { T W } } } { n } } + \\sqrt { \\frac { \\delta } { n } } \\right) , \\ \\| \\bar { \\Delta } _ { j } \\| _ { n } ^ { 2 } \\leq \\alpha _ { \\mathrm { R S M } } \\right) } \\\\ & { \\leq \\exp \\{ - d _ { M } ^ { \\operatorname { T W } } - 8 \\delta \\} , } \\end{array}" + }, + { + "category_id": 13, + "poly": [ + 756, + 1822, + 881, + 1822, + 881, + 1862, + 756, + 1862 + ], + "score": 0.93, + "latex": "\\widetilde { \\pmb { A } } _ { r } = \\widetilde { \\pmb 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\\prime } , } & { } \\end{array}" + }, + { + "category_id": 14, + "poly": [ + 344, + 1713, + 1357, + 1713, + 1357, + 1876, + 344, + 1876 + ], + "score": 0.94, + "latex": "\\mathbb P \\left\\{ \\underbrace { \\operatorname* { i n f } _ { \\Delta \\in S _ { 2 \\kappa } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal W ) \\Delta \\leq \\operatorname* { s u p } _ { \\Delta \\in S _ { 2 \\kappa } } \\Delta ^ { \\prime } h _ { n } ( \\mathcal W ^ { * } ) \\Delta - \\frac { \\alpha _ { \\mathrm { R S M } } R } { \\tau - R } } _ { \\mathrm { d e n o t e d a s t h e ~ e v e n t } B _ { 1 } } \\right\\} \\leq 2 \\exp \\left\\{ - c _ { H } n + 9 d _ { \\mathcal M } \\right\\} ." + }, + { + "category_id": 13, + "poly": [ + 757, + 399, + 846, + 399, + 846, + 433, + 757, + 433 + ], + "score": 0.93, + "latex": "{ \\mathcal { L } } _ { n } ( \\aleph )" + }, + { + "category_id": 13, + "poly": [ + 909, + 261, + 1081, + 261, + 1081, + 296, + 909, + 296 + ], + "score": 0.93, + "latex": "H _ { n } ( \\cdot ) 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